TheArcAlliance.org facebook.com/arcalliance Ridge Pike Eagleville, PA

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1 TheArcAlliance.org facebook.com/arcalliance Ridge Pike Eagleville, PA

2 TABLE OF CONTENTS I. GENERAL INFORMATION... 1 A. ASSOCIATION OVERVIEW AND HISTORY... 1 B. INTRODUCTION... 1 C. AT-WILL EMPLOYMENT... 2 D. AUTHORITY AND RESPONSIBILITY OVER PERSONNEL MATTERS... 2 E. SCOPE OF PERSONNEL POLICIES... 2 F. CHANGES AND AMENDMENTS TO POLICIES... 2 G. DISTRIBUTION / ACKNOWLEDGEMENT... 3 II. WORK ENVIRONMENT... 3 A. EQUAL EMPLOYMENT OPPORTUNITY POLICY... 3 B. AMERICANS WITH DISABILITIES ACT... 3 C. ANTI-HARASSMENT POLICY... 3 D. DRUG-FREE WORKPLACE POLICY... 4 E. SMOKING POLICY... 5 III. EMPLOYEE CLASSIFICATIONS... 5 A. EXEMPT AND NON-EXEMPT EMPLOYEES... 5 B. FULL-TIME EMPLOYMENT... 5 C. PART-TIME EMPLOYMENT... 5 D. VARIABLE HOURLY EMPLOYEES... 5 IV. EMPLOYMENT POLICIES... 6 A. NOT-A-CONTRACT AND EMPLOYMENT-AT-WILL STATEMENT... 6 B. CHIEF EXECUTIVE OFFICER (CEO)... 6 C. HIRING PROCEDURES... 6 D. EMPLOYMENT APPLICATIONS... 6 E. EMPLOYMENT VERIFICATION AND REFERENCE CHECKS... 7 F. REQUIRED EMPLOYMENT CLEARANCES... 7 G. IMMIGRATION LAW COMPLIANCE... 7 H. NEPOTISM... 7 I. FRATERNIZATION... 7 J. MEDICAL EXAMINATIONS... 7 K. WORKING HOURS; ATTENDANCE... 8 L. TIMEKEEPING... 8 M. OVERTIME... 8 N. REST AND MEAL PERIODS... 8 O. PERSONNEL INFORMATION CHANGES... 8 P. ACCESS TO PERSONNEL FILES... 9 Q. OUTSIDE EMPLOYMENT... 9 R. TELEPHONES AND OTHER PERSONAL COMMUNICATIONS... 9 S. AND INTERNET USAGE IN THE WORKPLACE... 9 T. INCLEMENT WEATHER... 9 U. OTHER EMERGENCIES V. PERSONAL USE OF EMPLOYER VEHICLE POLICY W. SELLING AND SOLICITING POLICY X. DRESS AND GROOMING POLICY Y. VIOLENCE IN THE WORKPLACE Z. VISITORS IN THE WORKPLACE AA. PROPERTY AND EQUIPMENT POLICY BB. PERFORMANCE EVALUATIONS CC. DEPARTURE FROM EMPLOYMENT... 12

3 V. RULES OF CONDUCT, DISCIPLINE, AND DISCHARGE A. STANDARDS OF PERFORMANCE B. RULES OF CONDUCT C. EXAMPLES OF MISCONDUCT D. DISCIPLINE PROCEDURES VI. OPEN DOOR / APPEAL PROCESS A. OPEN DOOR POLICY B. APPEAL PROCEDURES VII. EMPLOYEE BENEFITS A. PAY PERIODS B. PAYROLL DEDUCTIONS C. ELIGIBILITY FOR EMPLOYEE BENEFITS D. HOLIDAYS E. VACATION F. CONFERENCES G. TRAVEL POLICY H. SICK TIME I. FAMILY AND MEDICAL LEAVE ACT (FMLA) POLICY J. MILITARY LEAVE K. JURY DUTY LEAVE L. OTHER LEAVE M. OTHER BENEFITS N. WORKERS COMPENSATION O. EARLY RETURN TO WORK P. STAFF INCENTIVE FOR LONGEVITY Q. 401(K) PLAN R. QUALIFIED BENEFIT PLAN S. MEMBERSHIP IN PROFESSIONAL ORGANIZATIONS T. COBRA BENEFITS VIII. SUPERVISORY PLAN IX. ORIENTATION PLAN X. TRAINING PLAN XI. HIPAA CONFIDENTIALITY POLICY XII. POLICY ON REPORTING INCIDENTS XIII. POLITICAL ACTIVITIES POLICY XIV. EMPLOYEE-BOARD RELATIONSHIP POLICY A. APPROPRIATE EMPLOYEE TO BOARD RELATIONS B. APPROPRIATE BOARD TO EMPLOYEE RELATIONS C. PERSONAL RELATIONSHIP BETWEEN BOARD MEMBERS AND EMPLOYEES XV. CONFLICT OF INTEREST POLICY A. BOARD OF DIRECTORS AND OFFICERS B. EMPLOYEES C. CONFLICT OF INTEREST AND DISCLOSURE STATEMENT... 28

4 APPENDIX A TABLE 1 - VACATION ACCRUAL TABLE TABLE 2 - ELIGIBILITY TABLE APPENDIX B STAFF HEALTH ASSESSMENT APPENDIX C... ERROR! BOOKMARK NOT DEFINED. TABLE OF ORGANIZATION... ERROR! BOOKMARK NOT DEFINED.

5 I. GENERAL INFORMATION A. ASSOCIATION OVERVIEW AND HISTORY The Arc is the largest organization in the United States that advocates on behalf of persons with disabilities. The Arc of Montgomery County expanded into Bucks County in June, The Arc of Montgomery and Bucks County merged with The Arc of Berks County in December, The Arc of Montgomery, Berks & Bucks Counties voted in June 2011 to change it s name and the names of all of the associated organizations. The Arc of Montgomery, Berks & Bucks Counties is now The Arc Alliance. The new name has been adopted for each associated organization. The official names for each organization are listed below: The Arc Alliance Advocacy Services formerly Arc Advocacy Services The Arc Alliance Children s Services formerly Marc Children s Services The Arc Alliance Foundation formerly Marc Foundation The Arc of Montgomery, Berks & Bucks Counties and its related organizations: Arc Advocacy Services, Marc Children s Services, and Marc Foundation, is a member of The Arc of the United States and The Arc of Pennsylvania, whose primary focus is to advocate on behalf of persons with developmental disabilities. The Arc of the United States, The Arc of Pennsylvania, and The Arc of Montgomery County all were founded in the early 1950 s by parents of children with a disability. The Arc of Montgomery, Berks & Bucks Counties continues to be a family driven organization, and The Arc of Montgomery, Berks & Bucks Counties leadership on its Board of Directors continues to have a majority of board members who have a member of their family with a developmental disability. This includes parents, grandparents, siblings, and persons with developmental disabilities. Since the late 1970 s, The Arc of Montgomery County s primary mission was to provide services of early intervention to all children and advocacy to all persons with developmental disabilities. In the 1970 s, The Arc of Montgomery County spun off all of its adult services to other non-profits, including The Developmental Enterprises Corporation. As a result of a reorganization in the late 1990 s, the parent organization, The Arc of Montgomery County, had the power to appoint Board members for three separate corporations: Marc Advocacy Services (an organization to advocate for individuals with developmental disabilities throughout their life), Marc Children s Services (to provide early intervention services for children birth-five, and provide other supports to children up to the age of 21), and Marc Foundation (to raise funds for Marc Children s Services and Arc Advocacy Services). This corporate restructuring alleviated the conflict that has historically existed between the provision of services and advocacy. In 2010 one of the strategic goals of the agency was to operate more efficiently by restructuring the table of organization. Executive Director positions of each related organization were approved. A Chief Executive Officer (CEO), Chief Financial Officer (CFO) and Chief Operating Officer (COO) position were approved. The CEO will continue to have ultimate responsibility for overall operations of the agency. The Arc of Montgomery, Berks & Bucks Counties has a deep commitment to the full inclusion of all individuals with developmental disabilities. This inclusion means that not only are people with developmental disability given complete access to all opportunities and services that an individual without a disability receives and that these individuals also have the opportunity to be contributing members of society. The vision of The Arc of Montgomery, Berks & Bucks Counties is to see all persons with developmental disability fully included into society, and their mission is to achieve that objective. For the purpose of these Personnel Policies from here on in The Arc of Montgomery, Berks & Bucks Counties will be referred to as The Arc. B. INTRODUCTION One of The Arc s objectives is to provide a work environment that is conducive to both personal and professional growth. The Arc s Personnel Policies are designed to help you understand your role as The Arc s July 1, 2014 FORM Personnel Policies Page 1 of 31

6 employee and to provide general information about The Arc s Personnel Policies, working conditions, and employee benefits. It is the responsibility of each employee to read these policies carefully since it describes your responsibilities as an employee and outlines the programs developed by The Arc s to benefit its employees. It is The Arc s hope that its employees will find these guidelines useful and informative. However, these policies do not cover all of the terms and conditions of your employment with The Arc nor does it answer every question about your job. If there are any questions about these procedures and policies, do not hesitate to ask your supervisor or any administrator of The Arc. In order to retain necessary flexibility in administering The Arc s policies and procedures, The Arc is not required to follow any specific procedures in these Personnel Policies or elsewhere in taking any personnel action, including but not limited to hiring, promotion, demotion, payment or termination of any employee. The Arc also retains the right to make changes to these Personnel Policies or the policies contained herein at any time as circumstances may require and based upon The Arc s best interests. Changes to these Personnel Policies may be made without prior notice to employees. The Personnel Policies provide a summary of The Arc s policies, practices and programs as of July 1, 2011, and it overrides and replaces all past handbooks, manuals and policies, whether written or oral. C. AT-WILL EMPLOYMENT All of The Arc s employees are employed on an at-will basis. This means that The Arc does not employ you for any defined period of time or promise to continue to employ you. You have the right to quit your job at any time and for any reason you deem appropriate or for no reason. Likewise, The Arc may terminate any employee or change the employee s wages, benefits or working conditions at any time, with or without cause or prior notice, for any reason, with or without cause. The Arc may terminate your employment whether or not it has complied with any of the procedures in these Personnel Policies before termination. Any benefits provided by The Arc to an employee will cease upon termination except those benefits that are required to continue by federal or state law. No one at The Arc has the authority to change an employee s at-will status. No such change in status, promise or guarantee of employment shall occur unless the promise is clearly stated in a written contract signed by you and The CEO. The Personnel Policies are under no circumstances to be construed as an employment contract, either express or implied, between you and The Arc. In other words, the Personnel Policies do not legally bind you or The Arc. D. AUTHORITY AND RESPONSIBILITY OVER PERSONNEL MATTERS The Arc s Board of Directors ( Board ) has the ultimate responsibility for approving these Personnel Policies. The Board has delegated the authority and responsibility for interpreting, implementing and administering these Personnel Policies to the CEO. The CEO s actions may be subject to review by a Personnel Committee of the Board, whose Chair shall be appointed by the Chairperson of The Arc s Board for a one year term. E. SCOPE OF PERSONNEL POLICIES These Personnel Policies apply to The Arc s employees and to the employees of its related organizations. Certain policies and procedures may apply only to nonexempt employees. See Section III, Employee Classifications. These Personnel Policies do not apply to consultants under contract with The Arc, whose relationship is governed by the terms of their contract. Volunteers are not covered by these Personnel Policies. F. CHANGES AND AMENDMENTS TO POLICIES These policies may be amended, modified, rescinded, or suspended at any time, with or without notice. The responsibility for amending these policies lies with the Board. The CEO may recommend amendments to the Personnel Committee when the CEO deems such amendments to be necessary. The Personnel Committee, in turn, may recommend amendments to the Board. A copy of any amendments will be made available to you by HR/Personnel. If there is a question of an interpretation of these policies, the CEO has the authority to interpret and enforce the policy. July 1, 2014 FORM Personnel Policies Page 2 of 31

7 G. DISTRIBUTION / ACKNOWLEDGEMENT A copy of these Policies shall be given to all employees. Each employee shall be required to sign an acknowledgement of receipt of these Policies. Each employee is expected to be familiar with these Policies and to meet all requirements of these Policies. II. WORK ENVIRONMENT A. EQUAL EMPLOYMENT OPPORTUNITY POLICY The Arc and its subsidiaries are equal opportunity employers, meaning that no employee or job applicant will be denied employment or discriminated against with respect to compensation, tenure, conditions or privileges of employment on the basis of race, religion, color, creed, gender, age, national origin, disability, or any other status protected by federal law or the law of the state or locality where you work. Additionally, no employee or job applicant will be denied employment or discriminated against on the basis of marital status or sexual orientation. The Arc s employment practices are to insure that all individuals are recruited, hired, assigned, advanced, compensated, and retained on the basis of their qualifications, and treated equally in all respects. Every supervisor shall have the responsibility to implement this policy and to ensure conformity with this policy. All supervisors, as well as those responsible for hiring new employees, are expected to take all necessary action to prevent possible discrimination towards employees and applicants for employment with The Arc and its related organizations. The CEO and Executive Directors are responsible for seeing that this policy is continuously followed and will personally work with the program directors in furthering and monitoring its implementation. B. AMERICANS WITH DISABILITIES ACT In accordance with the Americans with Disabilities Act, reasonable accommodations necessary to allow an individual to perform the essential functions of a position will be made for all applicants and employees covered by the Americans with Disabilities Act, unless an undue burden or expense would result. If you have or develop a need for an accommodation to help you perform the essential functions of your job, you should discuss it with your supervisor. When the supervisor is made aware of your request, your supervisor will work with management personnel to evaluate your request, and every effort required by law will be made to provide you with a reasonable accommodation(s) to allow you to perform your job. C. ANTI-HARASSMENT POLICY The Arc is committed to providing a work environment that is free from discrimination and unlawful harassment on the basis of an employee's race, religion, color, creed, gender, age, national origin, disability, or any other status protected by the law of the state and/or municipality where you work. Furthermore, every employee has the right to work in an environment free from discrimination and unlawful harassment. This policy prohibiting harassment and discrimination applies to all of The Arc s employees, customers, vendors and anyone else doing business with The Arc. Prohibited conduct includes but is not limited to conduct on The Arc s property, in The Arc s vehicles, or in the course of The Arc s business. 1. Any employee who feels he/she has been harassed in violation of this policy should do all of the following: a) The employee should express all unease and/or disapproval of actions directly and immediately to the harasser, if appropriate. Employees often can stop or prevent harassment by immediately and directly expressing their disapproval of an individual s unwelcome comments, gestures, actions, or sexually oriented attention or conduct. July 1, 2014 FORM Personnel Policies Page 3 of 31

8 b) The employee should make a written record of the date, time, and nature of the incident(s) and the names of any witnesses. c) The employee should then report the incident to the CEO, or if the concern is about the CEO the employee should report the incident to the Chairperson of the Personnel Committee. ALL INCIDENTS OF HARASSMENT OR INAPPROPRIATE SEXUAL CONDUCT SHOULD BE REPORTED, REGARDLESS OF THE INCIDENT S SERIOUSNESS. d) The Arc will thoroughly investigate the incident. e) Employees who violate this policy are subject to appropriate discipline, up to and including termination of employment. D. DRUG-FREE WORKPLACE POLICY The Arc believes that it is essential to provide a safe working environment for The Arc employees and for the clients that we serve. Therefore, it is the responsibility of The Arc employees to maintain personal health in order to be able to perform employment duties and serve people with disabilities. The Arc requires that its personnel perform their duties free of drugs and alcohol. As a recipient of federal funds, The Arc is also obligated to operate within the requirements of the federal Drug- Free Workplace Act. The Arc s Drug-Free Workplace Policy is intended to conform to those requirements. The Arc fully supports the Drug-Free Workplace Act of 1988 and asks for cooperation and understanding in the implementation of this policy, and for the education of all employees as to the risks of drug and alcohol use. 1. Employment Policies The policies set forth below apply during regular working hours and while engaged in The Arc s business and at all times on The Arc s property and in The Arc s vehicles. a) The unlawful manufacture, distribution, circulation, possession or use of controlled substances or alcohol during work hours, while engaged in any work for The Arc or its related organizations or while on The Arc property is strictly prohibited. Violations of this rule may subject employees to immediate discharge for the first offense, in accordance with The Arc s Personnel Policies. b) Reporting to work, conducting The Arc business, or otherwise being on or around The Arc property while under the influence of controlled substances or alcohol is prohibited. Violations of this rule may subject employees to immediate discharge for the first offense, in accordance with The Arc s Personnel Policies. c) Illegal use of controlled substances or abuse of alcohol off premises and off duty is inconsistent with an employee s responsibilities because it can affect employee health, employee safety, on-the-job performance, productivity, and public confidence in The Arc s ability to meet its responsibilities. To the extent that such use results in the presence of alcohol, controlled substances or the metabolites in an employee s system during work, or interferes with the employee s job performance, this employee will be in violation of this policy and may be subject to immediate discharge for the first offense. d) If an event/activity sponsored by The Arc includes the responsible serving of alcohol, an employee will not violate this policy by consuming alcohol, provided that (i) the employee is not scheduled to work; (ii) excessive use or abuse does not occur; and (iii) no intoxication occurs. At no time during employment related activities will intoxication be condoned. e) An employee is required to notify The Arc of conviction for a violation of any criminal drug statute no later than five (5) days after such conviction. According to the requirements of the Drug-Free Workplace Act, The Arc will notify the appropriate federal agency within ten (10) days after receiving such notice, and the employee will be subject to discharge. 2. Additional Policies and Procedures This policy is intended to conform to the requirements of the Drug-Free Workplace Act of 1988, but is not intended to be a full statement of The Arc s policies and procedures with respect to drug and July 1, 2014 FORM Personnel Policies Page 4 of 31

9 alcohol use, possession or other drug-related problems in the workplace. The Arc will continue to follow its current rules, policies, and procedures governing drug and alcohol problems on the job and the detection thereof including the practice of reasonable searches and investigations. The Arc reserves the right to modify or rescind its policies at any time. 3. Definitions E. SMOKING POLICY a) Controlled substances are defined in this chapter to include narcotics, marijuana, hashish, heroin, hallucinogens, depressants, cocaine, valium, amphetamines, barbiturates and other substances, as defined by Schedules I through V, 21 U.S.C. 812, or medication other than those sold to the public on a non-prescription basis or those prescribed to the employee by a duly licensed physician. A drug prescribed by a licensed physician will not be considered a controlled substance under this policy if the drug is in its original container, which identifies the drug, dosage, date of prescription and authorizing physician. It is the responsibility of the employee to notify the Executive Director of any work restrictions that should be observed while taking the prescribed drug. b) The Arc property includes all property, facilities, land, buildings, structures and vehicles, whether owned, leased or used by The Arc and its related organizations and any employeeowned or used property which is brought on to The Arc property. c) Criminal drug statute means a federal or non-federal criminal statute involving the manufacture, distribution, dispensing, possession or use of any prohibited drug. d) Conviction means a finding of guilt (including a plea of no contest ) or imposition of a sentence or both, by any judicial body charged with the responsibility to determine violations of federal and state criminal statutes. In keeping with The Arc s desire to provide a safe and healthy working environment, smoking is prohibited throughout The Arc facilities, buildings, structures and vehicles, whether owned, leased or used by The Arc and its related organizations. This policy applies equally to all employees. III. EMPLOYEE CLASSIFICATIONS A. EXEMPT AND NON-EXEMPT EMPLOYEES Each employee is classified as either non-exempt or exempt for purposes of federal and state wage and hour laws. Non-exempt employees are entitled to overtime pay under the specific provisions of the applicable federal and state laws. Exempt employees are excluded from specific provisions of federal and state wage and hour laws. An employee s exempt or non-exempt classification can only be changed upon written notification to the employee from The Arc management. B. FULL-TIME EMPLOYMENT Full-time employees work 35to 40 hours per week. This will be stated in the letter of hire. C. PART-TIME EMPLOYMENT A part-time employee is anyone who works less than 35 hours per week. Part-time employees receive all legally-mandated benefits, such as Social Security and workers compensation insurance. Part-time employees may receive certain other benefits on a pro-rated basis. VARIABLE HOURLY EMPLOYEES These individuals will receive a limited group of benefits including Social Security, workers compensation, and unemployment compensation. July 1, 2014 FORM Personnel Policies Page 5 of 31

10 IV. EMPLOYMENT POLICIES A. NOT-A-CONTRACT AND EMPLOYMENT-AT-WILL STATEMENT These Personnel Policies are designed to serve as general guidelines, particularly for management action. The policies are not intended to create any contract or binding agreement between The Arc and any employee. They are subject to change or modification at The Arc s discretion at any time that particular circumstances warrant. An employee s employment can be terminated by either the employee or The Arc at any time, for any lawful reason, with or without notice. No representative or agent of The Arc, other than the CEO with input from the President of the Board of Directors, can authorize or sign an employment agreement contrary to the above terms or otherwise make any binding offer of employment for a specific duration, and then only in writing. B. CHIEF EXECUTIVE OFFICER (CEO) The CEO will manage the overall operations of The Arc. The Arc s Board will select the CEO. The CEO will have the ultimate responsibility and the power to hire and terminate all The Arc employees and to modify job descriptions and duties for such employees. The CEO may approve up to a 10% increase annually. Increases more than 10% require Board approval. The CEO may from time to time authorize bonuses in accordance with the Fiscal Policies. The CEO is evaluated annually by the President of The Arc. The evaluation and salary adjustment must be approved by the Executive Committee and reported to the Board. C. HIRING PROCEDURES The following steps must be adhered to when hiring The Arc employees, keeping in mind our Equal Employment Opportunity (EEO) Policy. 1. Upon creating a new position or receiving a written resignation, the first step necessary to fill the vacancy is to submit a Personnel Request Form completed with the signatures of the COO and CFO. The Request for Employee form should have allowable salary ranges. It is expected that this form be reviewed within three working days. This form will then be submitted to the HR/Personnel prior to the posting for the position or with the letter of hire information. The CEO will be made aware of all agency personnel changes. 2. The open position will be posted internally (and posted on the website). Any interested employee or person should submit a letter of interest to HR/Personnel and their immediate supervisor. 3. The procedure for advertising positions outside The Arc is as follows: a) A classified advertisement will be submitted to appropriate publications, included in the classified advertisement should be that The Arc adheres to EEO practices. 4. The Arc Alliance Children Services frequently has open positions in the areas of Speech-Language Pathology, Physical Therapy, Occupational Therapy and Educational Services. The Arc is continually recruiting for these positions, through word of mouth, referrals, job fairs and The Arc website. When this occurs we do all we can to comply with EEO practices. (See Appendix A for Sign-On and Referral Bonus) D. EMPLOYMENT APPLICATIONS The Arc relies upon the accuracy of information contained in the employment application of prospective employees, as well as the accuracy of other data presented to The Arc throughout the hiring process and employment relationship. Any misrepresentations, falsifications, or omissions in any of this information or data may result in The Arc s exclusion of the individual from further consideration for employment or, if the person has been hired, The Arc may terminate that individual's employment if The Arc, in its sole discretion, deems such misrepresentation, falsification or omissions to be material. July 1, 2014 FORM Personnel Policies Page 6 of 31

11 E. EMPLOYMENT VERIFICATION AND REFERENCE CHECKS The Arc reserves the right to verify a job candidate s previous employment record. In order to ensure that the individuals who join The Arc are well qualified and have a strong potential to be productive and successful, it is also the policy of The Arc to check the employment references of applicants. The Arc may deny employment to any candidate whose previous employment verification reveals any adverse information with respect to that candidate s employment suitability. F. REQUIRED EMPLOYMENT CLEARANCES All applicants will be required to obtain a Criminal History Check and a Child Abuse Clearance from the Commonwealth of Pennsylvania at the time of employment. An applicant that has a report of child abuse will be ineligible or report of criminal history may be ineligible for employment. All applicants will require an FBI clearance. The Arc may request updated clearances every four (4) years. G. IMMIGRATION LAW COMPLIANCE In compliance with the Immigration Reform and Control Act of 1986, each new employee as a condition of their employment shall complete the Employment Eligibility Verification Form I-9 and present the requisite documentation establishing identity and employment eligibility. H. NEPOTISM The Arc will not employ any individual in a position where a member of his or her immediate family (i.e., a spouse, parent, sibling or child, whether by birth, marriage or legal adoption) would exercise supervisory authority over that individual. The Arc will not employ any individual while he or she, or a member of his or her immediate family, serves on the Board of Directors. Board Members are not eligible for consideration for employment. If a Board Member applies for a position they must immediately resign from the Board. The Arc strongly discourages consensual sexual or romantic relationships among The Arc s employees. I. FRATERNIZATION The Arc prohibits consensual sexual or romantic relationships between employees and any clients or families while receiving services. Any such relationship must be reported to the CEO. J. MEDICAL EXAMINATIONS Under the Americans with Disabilities Act ( ADA ), applicants for employment are not permitted to be given physical examinations prior to receiving an employment offer. However, once an employment offer is given to an applicant, this offer may be conditioned on the applicant's passing a Staff Health Assessment (see Appendix A) verifying that the person can perform the tasks necessary to meet the requirements of the position in which he or she will work. During employment, The Arc may require employees, as a condition to continuing or maintaining employment, to have an annual Staff Health Assessment form completed by a health care professional. The Arc may also require employees who work with children to undergo TB testing. The Arc will reimburse up to $45 for completion of the required Staff Health Assessment form. In addition, if an employee has been absent from work because of an accident or illness, The Arc may require a physical examination by a physician of The Arc s choosing and a determination that the employee is medically fit to work at his or her assigned job before that employee is allowed to return to work at their job. Any medical examination results will be maintained and kept confidential by The Arc. However, The Arc may use or supply any medical examination results in response to subpoenas, requests to The Arc by any governmental agency authorized by law to obtain these reports, and in arbitration or litigation of any claim or action involving The Arc. July 1, 2014 FORM Personnel Policies Page 7 of 31

12 K. WORKING HOURS; ATTENDANCE Full-time employees work 35 to 40 hours per week. Work schedules for employees vary throughout The Arc, and The Arc has the right to change an employee s work schedule, assignment, and to require overtime. Supervisors will advise employees of their individual work schedules. At The Arc s discretion, work schedules may be staggered or varied during the working day to ensure adequate coverage. Flex-time scheduling may be available in some instances to allow employees to vary their starting and ending times each day within established limits. Employees are to consult with their supervisor for the details of this flex-time program. To maintain a safe and productive work environment, regular attendance is essential. Tardiness and absenteeism are not consistent with excellence and place an undue burden on other employees. All employees shall be at work on time. An employee unable to report to work shall notify his or her supervisor prior to the scheduled work period. Maximum advance notice of the inability to work is essential if The Arc is to maintain efficient and effective office operations. Regular attendance is essential. All absences from work require proper notification and prior approval from your supervisor. L. TIMEKEEPING All employees are responsible for maintaining and delivering accurate records of time worked. Time worked is all the time actually spent on the job performing assigned duties. All employees should accurately record their time. Employees are to also record the beginning and ending time of any departure from work for personal reasons. For non-exempt (hourly employees) prior approval from your supervisor is required to work more hours than stated in your hire letter. Non-exempt (hourly employees) are paid for the number of hours worked each week, according to their letter of hire. Non-exempt (hourly employees) cannot use vacation and sick time if it will exceed the hours stated in their letter of hire. Any misrepresentation, altering, falsifying or tampering with time records, or recording time on another employee s time record, may result in disciplinary action, up to and including termination of employment. M. OVERTIME Overtime consists of the hours in excess of 40 that non-exempt employees work in a work week. Overtime is earned during a work week, Saturday through Friday, and not from one pay period to the next. You are allowed to work overtime only with prior approval of your Supervisor and Executive Director, or their designee. Non-exempt employees who work more than 40 hours in a given work week will be paid for all hours worked over 40 at the rate of one and a half times their regular rate of pay. Although federal law permits overtime hours to be offset by compensatory time in certain situations, Pennsylvania law does not permit the offset of overtime hours worked in a work week by compensatory time off in any prior or subsequent work week, under any circumstances. Therefore, employees who have incurred overtime during a given work week will be compensated for all hours worked in excess of 40 at a rate of one and a half time their regular rate of pay. Holiday time off will be calculated as hours worked for all employees when calculating overtime pay. N. REST AND MEAL PERIODS All full-time employees will be provided with one meal period each work day. In each work period, a nonexempt employee shall take a one-half hour period for a meal, unless otherwise stated by The Arc. These meal periods are unpaid, unless otherwise stated by The Arc. O. PERSONNEL INFORMATION CHANGES Information about employees must be kept current. Employees are to promptly notify HR/Personnel in writing of any changes in address, telephone number, whom to notify in case of emergency, legal name, marital status, dependents, military status, or other pertinent information affecting the employee s employment status. July 1, 2014 FORM Personnel Policies Page 8 of 31

13 P. ACCESS TO PERSONNEL FILES THE ARC ALLIANCE PERSONNEL POLICY The Arc maintains a personnel file for each employee. The personnel file includes such information as the employee s job application, resume, training records, performance appraisals, documentation of salary increases and other employment records. Personnel files are the property of The Arc and access to the information they contain is restricted. Generally, only supervisors and management personnel of The Arc who have a legitimate reason to review information in a file will be permitted to do so. As a current employee of The Arc, you may request to review your personnel file by contacting the CEO in writing with this request. With reasonable advance notice and in accordance with applicable state law, employees may review their own personnel file in The Arc s offices and in the presence of the person in charge of maintaining such files. However, employees may not make or obtain copies of any information contained in the file, unless authorized by state law. Additionally, personnel files may not be removed from the building or from their place of storage without the permission of the Executive Director. Q. OUTSIDE EMPLOYMENT Employees must notify the CEO and their supervisor in writing of any outside employment. It is the employee s responsibility to keep the CEO and their supervisor updated of any changes. If The CEO determines that an employee s outside work interferes with performance or the ability to meet the requirements of The Arc, as they are modified from time to time, the employee may be asked to terminate the outside employment if he or she wishes to remain an employee of The Arc. All outside employment activities must be consistent with The Arc s conflict of interest policies. R. TELEPHONES AND OTHER PERSONAL COMMUNICATIONS Employees should limit personal telephone calls during work hours except in emergencies and calls should be short in duration. Long distance calls must be approved and documented. The cost of these calls must be reimbursed. In addition, employees should not receive personal mail at the business address. The use of cell phones or two-way radios for personal purposes should be limited. The use of cell phones either for personal or business purposes while driving is not allowed and against agency policy. The Arc reserves the right to charge for personal use on business cell phones. The Arc will bill employees any costs not covered by the current plan as stated in the Cell Phone Contract each employee signs when receiving a The Arc cell phone. Direct service staff that elect not to use a The Arc cell phone will be reimbursed a pro-rated percentage based on the hours worked up to the amount The Arc is currently paying for the business cell phone plan. S. AND INTERNET USAGE IN THE WORKPLACE The Arc s information systems and equipment, including electronic mail, computer data, hardware and software, telephones, facsimile machines and any other means of communication and information storage, are assets of The Arc and shall be protected from unauthorized access, disclosure, destruction, modification, or loss, whether accidental or intentional. These systems and equipment may be used only for appropriate business purposes for The Arc. Any employee who violates this will be subject to disciplinary action, up to and including termination of employment. The Arc reserves the right to monitor and internet usage in the workplace by any employee of The Arc, to ensure that no excessive, inappropriate, or personal use of the or internet takes place. Employees do not have any right of privacy or confidentiality in The Arc s information systems and equipment, including electronic mail and internet access. It is the expectation that all employees have internet access and an address. This will not be reimbursed. T. INCLEMENT WEATHER (Revised ) The inclement weather policy applies to employees who are scheduled to work on the day of the event. In the event of inclement weather contact your supervisor. July 1, 2014 FORM Personnel Policies Page 9 of 31

14 U. OTHER EMERGENCIES In the event of other emergencies contact your supervisor. V. PERSONAL USE OF EMPLOYER VEHICLE POLICY 1. When an employee is provided a vehicle that is either owned or leased by The Arc, records shall be maintained as to the use of that vehicle. All travel shall be documented. Documentation is to include the date, mileage, and purpose of travel, along with any other relevant information. These records shall be submitted to the fiscal department for review and storage. These records shall be submitted on a no less frequent than monthly basis. When a vehicle is available for The Arc s related business, it must be reserved at least one week in advance with the CEO. It is the responsibility of the person using the vehicle to record miles driven in the mileage log, notify the fiscal department of routine maintenance or vehicle problems, and return the vehicle clean and with a full tank of gas. The fiscal department of The Arc will review the usage of the vehicle and review the nature of use of the vehicle to determine the amount of personal use of the vehicle by the employee. The following types of use are agency usage and therefore not personal use: a) Specific travel for agency related business to/from The Arc locations. b) Commuting from home to a non-the Arc location and then home after performing agency related business. c) Commuting from non-the Arc location to home after performing agency related business. d) Commuting from home to The Arc when use of vehicle during the day for agency related business will be required. If expected travel is canceled, then commuting is still considered agency use. e) Commuting from The Arc to home when use of vehicle during the day for agency related business was required. If expected travel is canceled, then commuting is still considered agency use. f) Travel from one non-arc location to other non-arc location for agency related business. July 1, 2014 FORM Personnel Policies Page 10 of 31

15 2. If travel is determined to be personal use, the employee shall reimburse the agency for all personal usage. The reimbursement rate will be the same as the state approved rate. This method will be used for one-time occurrences. The following items will be considered personal use of The Arc s vehicle: a) Travel that is unrelated to The Arc or agency business (e.g., from home to supermarket, etc.). b) Commuting to/from The Arc location where no special travel for agency business is expected during the workday. 3. Any other instance of travel that is not specifically covered by these examples will be reviewed on a case by case basis by the Executive Director to determine the nature of use. W. SELLING AND SOLICITING POLICY No soliciting, selling, canvassing, or taking of orders for merchandise of any kind is permitted on The Arc s premises by employees or by any individual coming in from the outside without written permission from the CEO. Violations of this rule are to be reported immediately to the CEO. Furthermore, no papers or documents of any kind, which are not The Arc business paper or documents and which are not specifically authorized in writing by the CEO of The Arc, may be circulated, distributed, or exposed on The Arc s premises. These policies exclude any agency fund-raising activities. X. DRESS AND GROOMING POLICY Each employee is required to wear safe, appropriate and professional attire while at work or conducting The Arc business. The standards are those necessary to ensure employees work in a safe, healthy, and non-harassing workplace. The Arc will make reasonable accommodations for attire or grooming necessary to accommodate an individual s religious, ethnic, or disability related needs. Attire or grooming that is considered offensive or contradicts provisions of the separate Harassment Prevention Policy is not allowed. Y. VIOLENCE IN THE WORKPLACE To ensure both safe and efficient operations, The Arc expects and requires all of its employees to display common courtesy and engage in safe and appropriate behavior on the job at all times. Any involvement in incidents of physical violence or strenuous horseplay is considered dangerous and unacceptable behavior that violates this standard of appropriate behavior in the workplace. Racial or ethnic slurs, sexually harassing remarks, threats of violence, and any other provocative comments, language, or actions are not tolerated by The Arc. Employees who make provocative comments or otherwise engage in provocative conduct towards co-employees or other individuals ordinarily are held at least equally culpable for any ensuring physical altercation, even if they do not strike the first blow or otherwise initiate a physical confrontation. The Arc strictly prohibits the possession or use of any and all weapons, including handguns, on The Arc premises. The Arc employees are further prohibited from the possession or use of any and all weapons, including handguns, while conducting business on behalf of The Arc away from The Arc premises. Employees are responsible for their conduct on The Arc s premises, whether they are on or off duty. The Arc s general rules of conduct and behavior expectations also apply when employees are traveling on The Arc s business, as well as any time employees are working for or are representing The Arc away from the premises. The Arc does not tolerate acts of workplace violence committed by or against employees. The Arc strictly prohibits employees from making threats or engaging in violent acts. Violations of this policy are considered willful misconduct and employment will be terminated. Any violation must be reported in writing to the CEO within 24 hours of the violation. July 1, 2014 FORM Personnel Policies Page 11 of 31

16 The Arc may also prosecute any employee found to have violated this policy. Z. VISITORS IN THE WORKPLACE To provide for the safety and security of employees and the facilities at The Arc, only authorized visitors are allowed in the workplace. Restricting unauthorized visitors helps maintain safety standards, protects against theft, ensures security of equipment, protects confidential information, safeguards employee welfare and avoids potential distractions and disturbances. All visitors shall enter The Arc at the main entrance. Authorized visitors will receive directions or be escorted to their destination. Employees are responsible for the conduct and safety of their visitors. If an unauthorized individual is observed on The Arc s premises, employees should immediately notify their supervisor or, if necessary, direct the individual to the main entrance. AA. PROPERTY AND EQUIPMENT POLICY Where there is reasonable suspicion or to safeguard the property of our employees at The Arc, The Arc reserves the right to inspect possessions or articles carried to and from The Arc s property by employees and all other persons entering and leaving the premises. In addition, The Arc reserves the right to search any employee s office desk, files, computer, or other areas on The Arc premises, or any of The Arc property in an employee s possession. BB. PERFORMANCE EVALUATIONS 1. Employee performance evaluations are generally conducted on an annual basis. The Arc reserves the right to make more frequent evaluations, particularly for newly hired employees and employees who have been assigned major new duties and responsibilities. 2. An employee s evaluation will be prepared by the employee s immediate supervisor and reviewed by HR and the COO., and the evaluator s supervisor. Job descriptions must be reviewed at this time with their supervisor. A job description may be modified to reflect changes in job responsibilities or the needs of the agency. The CEO must approve any changes in a job description. Annual update on outside employment is required at annual evaluation. 3. All employees will be evaluated using the standard forms provided by The Arc. Performance ratings will be converted to a numerical figure and placed on The Arc s Salary Recommendation Form by the Program Supervisor. The Performance Evaluation and Salary Recommendation Forms are to be sent to the Executive Director and COO for consideration and action. The Executive Director may recommend a salary increase based upon available funds. If available, salary increases will be paid in the first pay period after the staff member s employment anniversary. Salaries may not exceed the Department of Public Welfare s Maximum Salary Allowable. 4. If an employee disagrees with the evaluation, the employee may write a statement of disagreement, and have this statement placed as part of his/her personnel file. 5. An employee who receives an overall rating of less than good during any performance evaluation may be placed on probation and/or the increment may be withheld. This will be at the supervisor s discretion. An employee has the right to appeal this evaluation. CC. DEPARTURE FROM EMPLOYMENT 1. Departure from employment may take place through the employee s resignation, layoff, termination from employment, or retirement. 2. Employees giving a 30 day written notice, and working every day during the notice period will be paid for any accrued but unused vacation time. July 1, 2014 FORM Personnel Policies Page 12 of 31

17 3. All departing employees are required to hold an exit interview with HR or COO at a mutually convenient time. 4. All departing employees are required to meet with their supervisor to complete a last day of employment checklist. a) During the last day of employment meeting the following matters will be reviewed and signed off where applicable: (1) Collect all keys, equipment, passwords or other property belonging to The Arc. (2) Confirm the employee s current address and phone number. (3) Remind the employee to remove all personal property. (4) Final paychecks will be mailed. Direct deposit is discontinued. (5) Inform the employee of COBRA benefits. (6) Provide the employee contact information regarding the retirement plan. (7) Inform the employee that references must be requested in writing to the CEO. (8) Remind the employee of the continuing confidentiality policy as it relates to the agency. 5. All employees requesting professional references for their job performance at The Arc are required to submit such request in writing to the CEO. All professional references will come from the CEO and/or his designee. 6. Employees are responsible for all property, materials, data, or written information issued to them or in their possession or control. Employees must return all The Arc property intact immediately upon request or upon termination of employment. Where permitted by applicable laws, The Arc may withhold from the employee s check or final paycheck the cost of any items that are not returned when required. The Arc may also take all action deemed appropriate to recover or protect its property. V. RULES OF CONDUCT, DISCIPLINE, AND DISCHARGE A. STANDARDS OF PERFORMANCE The Arc expects all employees to perform their duties set forth in their job description at the highest possible level of quality in order to serve the special needs of the community that looks to The Arc for services, support, and advocacy. Teamwork is essential among all employees. All employees are expected to carry out the duties of the employees supervisors during the supervisor s absence from the office for a reasonable period. The CEO has the authority to authorize a salary adjustment during this period. B. RULES OF CONDUCT To ensure orderly operations and provide the best possible work environment, The Arc expects employees to conduct themselves in a manner that will protect the interests and safety of all employees, the organization, and The Arc s clients. C. EXAMPLES OF MISCONDUCT It is not possible to list all the forms of behavior that are considered unacceptable in the workplace. The following is a non-exclusive list of examples of infractions of rules of conduct that may result in disciplinary action, up to and including termination of employment. This list of examples of misconduct does not modify the employment at will status of any employee of The Arc: 1. Theft or inappropriate removal or possession of The Arc property 2. Falsification of timekeeping records 3. Working under the influence of alcohol, illegal drugs, and/or controlled substances July 1, 2014 FORM Personnel Policies Page 13 of 31

18 4. Use of alcohol, illegal drugs, and/or controlled substances during working hours on The Arc s premises or while representing The Arc at an event outside the premises 5. Neglectful or improper conduct leading to damages of The Arc-owned or client-owned property 6. Unauthorized or improper use of agency funds 7. Insubordination, other disrespectful conduct, or bullying 8. Violation of safety or health rules 9. Excessive absenteeism or tardiness or any absence without notice 10. Unauthorized disclosure of confidential information or business secrets 11. Unsatisfactory performance or conduct 12. Violation of The Arc s sexual harassment and/or discrimination policies 13. Dishonesty 14. Fighting 15. Violation of any of the rules, policies, and procedures in this handbook 16. Poor work performance D. DISCIPLINE PROCEDURES 1. Progressive Discipline Policy The Arc generally follows a progressive discipline policy that allows The Arc to respond to violations of The Arc policies in a consistent manner. This policy would generally allow The Arc to take the following steps in any employee discipline: a) Oral documented warning b) Written warning c) Suspension with or without pay d) Dismissal However, this discipline policy is not binding on The Arc. This policy does not alter The Arc s employment-at-will policy, and therefore does not affect the employees at-will status. In addition, The Arc may alter or vary the disciplinary procedures set forth in these Personnel Policies at any time. Depending on the nature and severity of a violation of The Arc policy, The Arc, therefore, reserves the right to administer a written warning, suspension, or termination as a first or subsequent step in the disciplinary process. For example, for certain serious rule violations, The Arc might find it necessary to discharge an employee for a first offense. However, most rule violations, as well as poor or unacceptable work performance, are handled in accordance with a progressive discipline policy. In most circumstances, The Arc does not assess disciplinary penalties against employees without conducting an objective investigation, which ordinarily includes an opportunity for employees to explain or defend their actions, except for gross misconduct. Most rule violations are handled through a meeting between the supervisor and the employee. The immediate supervisor should endeavor to make sure the employee understands the workplace rules and standards. If appropriate, the immediate supervisor may arrange for additional training. The immediate supervisor and employee should endeavor to agree on a plan or objective for improving the employee s conduct or performance. 2. Gross Misconduct 3. Gross misconduct is defined as a serious violation of The Arc policies; insubordination; criminal behavior; substance abuse which subsequently impairs job performance; any behavior which threatens the health or safety of a client, staff member, or anyone else associated with The Arc; or any behavior that clearly jeopardizes The Arc. In most cases of gross misconduct, the Executive Director will suspend the employee without pay or terminate the employee. An employee terminated for gross misconduct will not be eligible for any benefits not mandated by federal law. An employee terminated for cause will not be paid for accrued but unused vacation. July 1, 2014 FORM Personnel Policies Page 14 of 31

19 VI. OPEN DOOR / APPEAL PROCESS A. OPEN DOOR POLICY It is the policy of The Arc to ensure that all employees are free to discuss his/her problems, complaints, or suggestions with management. Any employee who has a complaint or suggestion concerning his/her job or any other matter that affects the employee should discuss the issue with his/her supervisor. If the complaint or suggestion cannot be handled or settled mutually by the immediate supervisor, then the complaint or suggestion should be taken to the Executive Director. If the matter continues without resolution, the Executive Director should arrange a meeting between the employee and the CEO who will attempt to mediate a satisfactory resolution. Under this policy, employees are required to follow the established supervisory line of communication. An employee should contact the employee s immediate supervisor first about any concern. If the concern is not satisfactorily resolved, the next step will be to approach the supervisor s supervisor (and so on) without penalty, to ensure objectivity and fairness in handling sensitive and/or personal complaints or suggestions. If the concern/complaint is about an employee s immediate supervisor, the employee may first go to his or her supervisor s supervisor, Executive Director or the CEO. The Arc hopes that both employees and management teams will use this suggestion and complaint procedure as a vehicle by which a better understanding will be accomplished among all The Arc employees. B. APPEAL PROCEDURES 1. Every employee shall have the right to appeal the administration of these personnel policies without penalty. 2. In order to file an appeal, the employee shall submit the complaint/appeal to his or her immediate supervisor in writing. The Arc will provide a written response to the employee within five (5) working days. 3. If the supervisor does not resolve the appeal, the appeal shall be submitted, in writing by the employee, within five (5) working days of the supervisor s decision to the CEO (with a copy to the immediate supervisor). The CEO will respond within five (5) working office days of his receipt of the appeal. 4. If the CEO does not resolve the appeal, the CEO will notify the chairperson of The Arc s Personnel Committee. The Personnel Committee Chairperson will review the appeal within a reasonable period. The Chairperson may take final action or refer the matter to the Personnel Committee. 5. In all situations, a decision by The Arc s Board of Directors shall be binding on The Arc employees. 6. All rights of appeal cease at termination. VII. EMPLOYEE BENEFITS A. PAY PERIODS As an employee, you will be paid on a bi-weekly basis, with a one week lag. Payday is Friday of every other week, in which you will be paid for the previous pay period. If Friday is a holiday, then payday will take place on the day prior to the holiday. B. PAYROLL DEDUCTIONS The law requires that The Arc make certain deductions from every employee s compensation. Among these are applicable federal, state and local income taxes. The Arc must also deduct Social Security taxes on each employee s earnings up to a specified limit that is called the Social Security wage base. July 1, 2014 FORM Personnel Policies Page 15 of 31

20 In addition, The Arc offers programs and benefits beyond those required by law. Eligible employees may voluntarily authorize deductions from their pay checks to cover the costs of participation in these programs and benefits. If you have questions concerning why deductions were made from your pay check or how they were calculated, the fiscal department can assist in having your questions answered. It is the employee s responsibility to notify the fiscal department using the appropriate form of any local taxes that need to be taken out of your paycheck. C. ELIGIBILITY FOR EMPLOYEE BENEFITS New Full Time Part Time Sick Leave Yes 1 Yes Prorated 2 Vacation Leave After 6 months 1 Yes Prorated 2 Holidays Yes Yes Prorated 2 Jury Duty Yes Yes Yes 2 Bereavement Leave Yes Yes Yes 2 Medical Insurance After 30 days, Yes Prorated 3 then 1 st of the month Life Insurance After 30 days Yes Yes 2 Long Term Disability After 30 days Yes Yes 2 Short Term Disability After 30 days Yes Yes 2 Investment Plans After 6 months Yes Yes 2 Workers Compensation Yes Yes Yes Social Security Yes Yes Yes State Unemployment Yes Yes Yes FMLA Yes Yes Yes 4 Military Leave Yes Yes Yes Qualified Benefit Plan After 30 days Yes Prorated 2 1 Benefits that accrue on a time-employed basis are based upon continuous service. 2 Employees must work twenty (20) hours per week to be eligible for Short Term Disability, Long Term Disability, and Life Insurance. 3 If hired before March 1, 2012 employees must work ten (10) hours per week to be eligible, if hired after March 1, 2012 employees must work (25) hours per week to be eligible. 4 Must meet criteria July 1, 2014 FORM Personnel Policies Page 16 of 31

21 D. HOLIDAYS All full-time hourly and full-time salaried employees will receive eight (8) paid holidays yearly. All part-time hourly and part-time salaried employees will receive a prorated portion of the eight (8) paid holidays 5. When a holiday falls on a Saturday, the holiday will be taken on the preceding Friday. When the holiday falls on a Sunday, it will be taken on the following Monday. Holidays are credited when they occur during a planned vacation period or a period of sick leave. These holidays are as follows: New Year s Day Martin Luther King s Birthday Memorial Day Independence Day Labor Day Thanksgiving Day Day after Thanksgiving Christmas Day E. VACATION 1. All full-time employees begin to earn paid vacation on their first day of employment. a) New employees may not take earned vacation until after six months of continuous satisfactory employment, unless given written permission by the Executive Director. b) Employees employed by The Arc for six (6) months or less forfeit any earned vacation at separation or termination. c) New employees earn 2.89 hours of vacation per pay period. 5 d) After three years of employment, employees earn 4.33 hours per pay period. 5 e) After six years of employment, employees earn 5.77 hours per pay period. 5 f) Using The Arc s Absence Authorization Form, vacation requests must be made to the individual s supervisor in advance for consideration. Prior approval is required before any leave is taken. The CEO may authorize in writing vacation hours to be used before it is earned. If an employee expends more vacation time than is earned upon separation, an adjustment will be made in the final pay to reflect unearned time. g) Vacation is expected to be used in the year it is earned. A maximum of 37.5 hours earned vacation time may be carried over into the next calendar year. Earned vacation time in excess of 37.5 hours will be forfeited. h) Upon separation, employees giving a 30 day notice and working every day during the notice period will be paid for any accrued but unused vacation. i) Upon termination all benefits provided by The Arc will cease except those that are required by federal or state law. An employee terminated for gross misconduct will not be eligible for any benefits not mandated by federal law. An employee terminated for cause will not be paid for accrued but unused vacation. 2. All part-time salaried and hourly employees working over twenty (20) hours per week, but less than 37.5 hours per week, will accrue vacation benefits per pay in proportion to the standard hours worked per week 5 with all above guidelines applying. Part-time employees will be eligible to carry-over earned vacation. This will be prorated in proportion to the number of hours worked per week. 3. Supervisors may require their employees to take vacation time based on the need of the agency. 5 See APPENDIX A - TABLE 1: Vacation Accrual Table (Page 30) July 1, 2014 FORM Personnel Policies Page 17 of 31

22 4. The CEO may close the agency during regular business hours. Employees may elect to use accrued vacation time. F. CONFERENCES Employees will be provided the opportunity to attend conferences, conventions, workshops and other meetings designated to enhance their effectiveness in providing services to The Arc consumers. Permission to attend such functions at the expense of The Arc will be given by the CEO with final approval by the CFO. G. TRAVEL POLICY 1. When an employee s personal automobile is used in the execution of The Arc business, he/she will be reimbursed by voucher based on the current mileage rate approved by the CEO provided the following conditions are met: a) Any individual who is compensated for driving on The Arc business who seeks reimbursement for mileage and/or reimbursement for time driving must meet the following requirements: (1) The agency must have a current and valid Pennsylvania driver s license and proof of auto insurance for the employee. (2) The agency must have a copy of the current auto insurance policy, with minimum coverage of $100,000/300,000 for liability and $100,000 for property damage for the employee. (3) All employees must have a Driver Record Check at the time of hiring. (if position requires traveling for agency business.) The following violations are checked for: Type A Violation: Includes (but is not limited to) DWI/DUI/OWI/OUI, Refusing Substance Test, Reckless Driving, Manslaughter, Hit & Run, Eluding a Police Officer, any Felony, Drag Racing, License Suspension, and Driving While License Suspended. Any driver with one or more of these types of violations is a major concern. Type B Violation: Includes all vehicle accidents, regardless of fault. Type C Violation: Includes all moving violations not classified as Type A or Type B (Speeding, Improper Lane Change, Failure to Yield, Running Red Lights or Stop Lights, etc.). Type D Violation: Includes all non-moving violations (Illegal Parking, Vehicle Defects, etc.). If the following violations show up, an employee may be terminated, prohibited from driving, or placed on probation: One or more Type A Violations in the preceding 36 months. Two or more Type B Violations in the preceding 36 months. Three or more Type C Violations in the preceding 36 months. One Type B Violation and Two Type C Violations in the preceding 36 months. (4) Any employee involved in an automobile accident during work hours must file a police report. The employee must notify their supervisor and HR/Personnel immediately of any automobile accident. (5) All accidents on the job will require an Accident Cause Determination & Corrective Recommendation plan completed by the supervisor and employee. b) No payment will be made for travel between home and place of normal employment. Time taken for breaks or lunch is not considered part of the work hours. July 1, 2014 FORM Personnel Policies Page 18 of 31

23 c) To be considered for payment on a timely basis, the Travel Expense Voucher must be submitted to The Arc s main office on or before the last day of the following month. 2. If an employee is involved in an automobile accident while on the job, they may be reimbursed onehalf of their automobile insurance deductible up to $ The employee must notify their supervisor and HR/Personnel immediately of any automobile accident. Any reimbursement will be subject to the approval of the CEO. Employees will be required to provide in writing a request for reimbursement along with proof of insurance, proof of repair, proof of payment, and a copy of the police report. 3. When required, travel by rail will be by either Metroliner, Acela, or basic train service, and travel by air will be coach class. 4. The Arc reserves the right to determine the least expensive mode of travel within these policies and make reimbursement on that basis regardless of the form of travel used. 5. The Arc will reimburse for reasonable expenses when attending a prior approved event/conference. Receipts for all expenses should be put on travel vouchers. (Refer to Fiscal Policies for more details.) 6. At the discretion of a supervisor, Executive Director or COO/CFO, any expense that has not received prior approval or specified guidelines may be denied. H. SICK TIME 1. Unless otherwise specified under the terms of the Letter of Hire, all full-time employees shall accrue sick leave of 1.73 hours per pay period, not accumulating beyond hours of sick time. Sick leave is for actual illness of the staff member or for use during illness of a member of their immediate family, to be defined as a parent, spouse, children, or any person living in the home. ( not to exceed 50% of yearly earned sick hours) Illnesses may require a doctor s certificate at the discretion of the immediate supervisor or CEO. When employees are ill and unable to work, they must telephone their immediate supervisor as soon as possible so that adequate coverage can be arranged. It is The Arc s policy not to advance sick pay. In case of illness which is expected to continue beyond sick leave accrual, the Short Term Disability and /or Family Medical Leave policies may be applicable. Unused sick leave will not be compensated upon termination. Employees are expected to apply for Short Term Disability if absence from work will be more than two weeks. a) A return to work certification is required if the employee has had a communicable disease; or the illness or injury may limit or prevent the employee from performing any of their job duties. The return to work certification will be given to their supervisor prior to resuming work. b) It is the responsibility of supervisors to notify HR of all leaves which may fall under the FMLA. HR will make the determination concerning whether or not a leave is covered under the FMLA upon receipt of medical certification. 2. If an FMLA eligible employee is absent for an FMLA qualifying event, and does not want the absence to be counted as FMLA covered leave and will not provide medical certification to return to work, sick time or other paid time off will not be approved. 3. All part-time salaried or hourly employees working more than 20 hours per week, but less than 37.5 hours per week, shall accrue sick time benefits at a prorated I. FAMILY AND MEDICAL LEAVE ACT (FMLA) POLICY This policy applies to all employees of The Arc. It is the policy of The Arc to provide a leave of absence in accordance with the Family and Medical Leave Act (FMLA) of An employee may request a leave, or may provide information to make the supervisor aware of an absence that may be eligible for FMLA protection. In either case, contact HR to determine if and how the FMLA applies to the employee. If a supervisor is aware that the reason for an absence from work qualifies under FMLA, the absence must be designated as FMLA July 1, 2014 FORM Personnel Policies Page 19 of 31

24 leave, even if the employee does not request it. Forward this information to HR. Medical and dental benefits will be maintained during the leave so long as the employee intends to return and does actually return to work. Employees on an FMLA leave continue to be responsible for paying their share of premiums for benefit plans. Contact the HR office for more information. Employees on FMLA will not be paid any OPT out. Disability insurance may be used concurrently with FMLA leave. Leave must meet Insurance company requirements for income replacement. 1. Eligibility To be eligible to take an FMLA leave, an employee must meet all of these criteria: The employee must have been employed by The Arc for at least 12 months. Any portion of a week that the employee is on the payroll counts as a full week for FMLA eligibility. Employment does not have to have been continuous. Hourly employment with The Arc counts toward fulfilling this requirement. For the 12 months immediately preceding the first day of the FMLA leave, the employee must have worked at least 1,250 hours. These hours must be actual work hours, not compensated hours. Hours using any type of paid time off benefits or holiday time do not count. The 1,250 work hours requirement also exists when an employee is reapplying for an FMLA for a new calendar year. When the need for an FMLA extends past December 31st, the employee must have worked at least 1,250 actual work hours in the 12 months immediately preceding the request for the leave in the new calendar year. The employee must not have already received 12 weeks of FMLA leave in the current calendar year. Time in the military service covered under the Uniformed Services Employment and Reemployment Rights Act (USERRA) will count towards fulfilling the length of employment and hours of work requirements to be eligible for an FMLA leave. 2. Qualifying reasons a) The following reasons qualify an employee for FMLA: (1) Birth of a child and to care for a newborn child of the employee, spouse as defined by Pennsylvania law. Placement with the employee of a child through adoption or foster care of a child (2) Care for any of the following who has a serious health condition: the employee's spouse, the employee s child under 18, or the employee s parent (3) Care for the employee's child 18 or older who has a serious health condition and is incapable of self-care because of a mental or physical disability (4) A serious health condition that renders the employee unable to perform the functions of his or her job 3. Leave period An eligible employee may take up to 12 workweeks of leave during a 12-month period defined as a calendar year. Eligible employees are entitled to a new 12-week FMLA leave each calendar year. Unused portions of the 12-week FMLA leave may not be carried over between calendar years. If the purpose of the leave is to care for a sick family member or one's own serious health condition, the employee may take the leave intermittently or by means of a reduced work schedule. Such leaves are subject to the qualifications and limitations set forth in the FMLA federal regulations. Under certain circumstances, departments may place employees who are on an intermittent leave or a reduced work schedule in another position with equivalent pay and benefits. This placement is considered to be a temporary transfer and should be discussed with the human resources office. Such employees must make a reasonable effort to schedule the intermittent leave so it does not disrupt operations. When an employee is on an FMLA leave to care for a family member and the leave is terminated by the death of July 1, 2014 FORM Personnel Policies Page 20 of 31

25 the family member, the employee will be granted the normal time off for funerals/bereavement as described in the respective policy. 4. Use of time off accruals during an FMLA leave Time off accruals that may be used during FMLA leave include short term disability, accrued sick or vacation time. (See sick time for allowable use of this benefit) The employee must notify the supervisor which time off accruals he or she will be using. When the time off accruals is exhausted, the remainder of the FMLA leave is without pay. Employees will not accrue time off while on unpaid leave or short term disability. 5. Reinstatement At least two weeks before the FMLA leave is scheduled to end (if known), the employee is required to provide written notification to their supervisor and HR/Personnel stating the date they will return to work. At the conclusion of the leave, the employee will be returned to the same position held at the time the leave began or to an equivalent position with equivalent pay, benefits, and working conditions Employees on an FMLA leave are still subject to a reduction in force or reassignment that would have occurred otherwise had the employee been working. If the reinstatement of a key employee would result in "substantial and grievous economic injury" to The Arc, the CEO or his designee must approve an exception to the reinstatement rule. With the approval of the CEO or his designee, the agency is to inform the key employee -- before the leave begins -- that reinstatement might not be available when he or she returns to work. Key employees are professional employees who are among the highest ten percent-compensated employees at The Arc. 6. Proper notice of FMLA by employee Employees must provide at least 30 days advance notice of an anticipated FMLA leave. It is understood that under some circumstances it is not practical to provide 30 days notice. In these cases, employees must provide notice as soon as practicable, normally within two business days after knowledge of the need for a leave. 7. Fraudulence J. MILITARY LEAVE An employee who fraudulently obtains an FMLA leave is subject to disciplinary action, up to and including termination The Arc will comply with all appropriate federal and state regulations regarding military leave and return to work from such leave. K. JURY DUTY LEAVE If an employee is called to serve as a juror, the employee must notify their supervisor as soon as they receive notice. The Arc will pay, during the term of jury duty, the employee s full salary. The employee must submit the endorsed payment voucher received for jury duty to The Arc. L. OTHER LEAVE 1. Bereavement. Up to three (3) days of leave with pay not charged as vacation, prorated based on a five (5) day work week, will be provided for a death in the immediate family (defined as parents, spouse, children, grandparents, siblings). One (1) day, not charged as vacation, will be provided to attend funeral services of other relatives. The CEO may, under extenuating circumstances, amend this policy. 2. Other Emergencies. Up to three (3) days of leave, with pay, may be provided for other emergencies upon approval of the CEO. July 1, 2014 FORM Personnel Policies Page 21 of 31

26 3. Absences without Pay. For reasons not described in these Personnel Policies, absences without pay may be approved by the CEO. Employees will not accrue vacation or sick pay during periods for absence without pay. M. OTHER BENEFITS 1. The Arc provides a policy to employees for Short Term and Long Term Disability. Employees are eligible on the first of the month after working 30 days. Employee must work 20 or more hours per week. See separate benefit booklet for the Disability Policy. a) Short Term Disability (STD) Insurance. If the employee is younger than 65 years of age, he/she is eligible for STD coverage. Once approved for STD by the disability company there is a 14 day elimination period. Accrued sick and vacation time may be used during the 14 day elimination period. Weekend days are counted towards this 14 day elimination period. The maximum benefit period is twelve (12) weeks. b) Long Term Disability (LTD) Insurance. If a disability continues for more than twelve (12) weeks, LTD begins on the 90 th day. If there is any lapse of time between STD and LTD, accumulated sick and/or vacation time may be used. When an employee goes out on disability all of The Arc property must be returned to their supervisor. 2. Life Insurance (Employee must work 20 or more hours per week, see separate benefit booklet.) 3. The Arc s current Medical Benefits Package is included in a separate benefit booklet that is distributed on the employees first day of work. 4. The Arc provides Professional Liability Insurance. All employees are protected from claims which may arise from injury (including physical, mental injury, or death) to a client caused by unintentional acts, errors, or omissions in the delivery of professional services. This policy covers both legal fees and damages that may be awarded to the claimant. All employees are to be aware that the policy does not cover claims that arise from: a) Any intentional, dishonest, fraudulent, criminal, malicious, or knowingly wrongful act; b) Any act committed by the insured while under the influence of drugs, narcotics, or intoxicants; c) Any act involving sexual interaction between client and employees; or d) Any other exclusion delineated in the Professional Liability Insurance Policy. N. WORKERS COMPENSATION The Workers Compensation Act provides disability and medical benefits to employees who incur an injury that arises out of employment and that occurs in the course of employment. Compensation payments are a percentage of the employee s lost wages. Compensation is not payable from Workers Compensation for the first seven (7) calendar days within the disability. Employees may use sick or vacation time during the elimination period. The following requirements apply to Workers Compensation claims: 1. All job-related injuries and incidents must be reported at once. 2. In the event that an employee is injured on the job, and if immediate emergency help is required, get transported to the nearest emergency room. Call your supervisor and HR/Personnel to report your injury and to have a First Injury Report filed. The employee will be given a Medical Authorization form to sign, employee acknowledgement form (two copies) one to sign and return, and a copy of the physician panel. The employee must use a physician from the list provided. A panel provider must treat injured employees for the first 90 days. A temporary pharmacy card will be provided. July 1, 2014 FORM Personnel Policies Page 22 of 31

27 3. In the event that an employee is unable to contact their supervisor, they should speak to the following individuals in this order (a) Executive Director of their program or (b) HR/Personnel. In turn, these individuals will contact the CEO. The employee and the supervisor will complete a First Injury Report and Accident Investigation Form. This information must be forwarded to HR/Personnel within 24 hours of the injury. 4. The Arc reserves the right to discontinue all benefits provided through The Arc after 30 days of missed work. The CEO reserves the right to review each case and make exceptions if the situation warrants. (See benefit booklet that is distributed on the employees first day of work for current Workers Compensation Forms) O. EARLY RETURN TO WORK The Arc is committed to assisting every injured employee s return to work with The Arc as soon as possible. Any information regarding an employee s medical condition and/or treatment will be treated as confidential. Any employee who declines a transitional duty position which meets the medical treatment provider s requirements and does not conflict with other applicable regulations may be subject to disciplinary action and possible discharge, as well as the possible reduction of benefits under the Pennsylvania Workers Compensation Act. P. STAFF INCENTIVE FOR LONGEVITY The Arc will reward all employees with a two percent (2%) increment in salary for every ten (10) years of consecutive employment. Q. 401(K) PLAN (See separate benefit booklet for current information) R. QUALIFIED BENEFIT PLAN (currently benefit suspended) The Arc provides Dependent Care Assistance and Tuition Reimbursement. (See separate benefit booklet for current information) S. MEMBERSHIP IN PROFESSIONAL ORGANIZATIONS The Arc s policy regarding reimbursement to employees for membership in professional organizations is as follows: 1. When an employee is directed to join a professional organization by the Executive Director or CEO, the entire membership fee will be reimbursed. 2. Employees are to submit in writing to the CEO requests for reimbursements to other professional organizations for consideration. One per year for each employee unless otherwise approved by the Executive Director and COO/ CEO. T. COBRA BENEFITS The Consolidated Omnibus Budget Reconciliation Act ( COBRA ) requires an employer providing group health plans to offer employees and their families the opportunity to temporarily extend their coverage at group rates in certain instances when coverage under the plan would otherwise end. (See benefit booklet for COBRA notice) July 1, 2014 FORM Personnel Policies Page 23 of 31

28 VIII. SUPERVISORY PLAN The Arc s Board of Directors believes that it is extremely important that all of The Arc employees receive adequate and appropriate supervision. In order to achieve this objective, The Arc s Board of Directors instructs the CEO, administrative personnel, and supervisory personnel to meet the following criteria: A) CEO or his designee: Meet monthly to provide supervision and communication to all employees. Meet with all senior administrative personnel at least once a month. B) All administrative and supervisory personnel: Conduct employee meetings monthly with all of the employees under his/her supervision to review goals and objectives, share any concerns that the employees may have and to discuss resolution of problems that may exist. Communicate every other week with each individual that he/she supervises to improve supervision and promote communication. The above policies and procedures pertain to all supervisory employees, including the CEO. IX. ORIENTATION PLAN It is a belief of The Arc s Board of Directors and administrative employees that all new employees are to be oriented in a planned and timely fashion. The implementation of the following Orientation Plan should improve employee relationships and guarantee a high caliber performance by employees. In order to achieve this objective, the Board of Directors requires that all new employees go through the following orientation process: A) When a decision is made to hire a new employee, the orientation process will begin with the letter of hire. The letter of hire will include a starting date, a scheduled orientation date to meet with the Executive Director and CEO, and a scheduled time to meet with HR/Personnel. B) The HR/Personnel is to provide all new employees on the first day of employment agency brochures and copies of Financial Policies and Personnel Policies. Any pertinent personal forms that need to be completed will be reviewed during that meeting. Any information required by regulations will also be reviewed. C) Within the first month of hire, all new employees will attend an orientation session with the Executive Director and/or CEO who will discuss historical briefing of The Arc movement, The Arc s policy and procedures, The Arc s vision and mission, with emphasis on how The Arc is a parent-driven movement. The goal of this presentation will be to develop a rapport between all new employees, to permit The Arc to provide appropriate oversight in the supervision and career objectives of individual employees, and to assist The Arc in the development of a relationship with all employees. D) The Arc Alliance provides the mandatory pre-service training for all new employees who are mandated to have required trainings. X. TRAINING PLAN The Board of Directors and the administrative employees of The Arc are committed to providing the training that employees need to improve job capabilities, as well as to advance personal career objectives. Administrative employees will develop a yearly calendar based on employee needs and input. The trainings scheduled should be relevant to all employees. At times this may mean multiple presenters. Administrative employees will conduct routine ongoing training at department employee meetings on pertinent topics. Where appropriate, The Arc may provide tuition reimbursement to employees to assist employees in continuing their formal education in ways that will enhance their work at The Arc. July 1, 2014 FORM Personnel Policies Page 24 of 31

29 XI. HIPAA CONFIDENTIALITY POLICY It is the policy of The Arc to have communications, records, and program information on clients and services held in strict confidence. Confidentiality is defined as, the individual s right to privacy; to be assured that disclosure he or she makes will not be revealed to others. In the course of providing health care services, The Arc is entrusted with safeguarding the health information of the persons we serve. While providing effective health care services, we must abide by a complex web of Federal and State regulations and laws, and requirements established by payers and other health oversight organizations regarding confidentiality and privacy. Most recently, the Privacy Rule of the Health Insurance Portability and Accountability Act of 1966 require covered entities to establish administrative, technical, and physical safeguards whose goal is to safeguard health information. HIPAA requires that health care providers train employees on procedures, which are designed to safeguard individuals protected health information. The Arc has developed an effective set of procedures, and directives that will result in the continued protection of confidentiality and privacy for the health records that we maintain. Training on procedures designed to safeguard our patients protected health information will be provided to new employees within a reasonable time frame. All employees and/or personnel who access or handle confidential information of clients or employees must be trained on these procedures, and documentation of this training must be kept in their personnel file. All employees are required to abide by these procedures, and to actively participate in The Arc s confidentiality and privacy practices. XII. POLICY ON REPORTING INCIDENTS The Arc adheres to policy set forth by the Commonwealth of Pennsylvania, Department of Human Services DHS), the Office of Child Development and Early Learning (OCDEL), the Bureau of Autism Services (BAS), and the Office of Developmental Disabilities (ODP) regarding incidents. All employees are to adhere to the most current Bulletins pertaining to their individual program. Incidents must be reported to your immediate supervisor after responding to the security and safety of the people involved. Once an incident is reported, employees are to receive instructions on the next steps. Employees should be prepared to devote full attention to the incident until they have completed procedures referenced in the most current Bulletins pertaining to their individual program. Employees are to document their observations of the incident and these written observations are to be delivered to the Executive Director of their program by 9:00 a.m. of the next day. This information can be communicated immediately by phone with written information to follow as soon as possible. In the event that abuse or neglect is involved in the incident, employees are to comply with applicable laws and regulations. XIII. POLITICAL ACTIVITIES POLICY The Arc has a long-standing tradition of working with and educating legislators and political leaders at all levels with respect to matters affecting persons with developmental disabilities. The Board of Directors has adopted this Political Activities Policy as a means of continuing to encourage this education and information function while clarifying the activities in which The Arc, as a nonprofit organization exempt from taxation under Section 501(c)(3) of the Internal Revenue Code, may not engage. All persons acting on behalf of The Arc, including all Officers, Board members and employees, will abide by the following policies and procedures: A) The Arc will encourage any Officer, Director or employee of The Arc to disseminate information to or educate federal, state or local legislators and other political leaders regarding issues affecting persons with developmental disabilities so that those legislators and political leaders (1) have a better understanding of the issues affecting persons with developmental disabilities, and (2) are in a position to use that understanding in evaluating legislation or regulations that they may be considering. Such activities will not be considered lobbying. The Arc will continue July 1, 2014 FORM Personnel Policies Page 25 of 31

30 to provide, and strongly encourages all of its Directors, Officers and employees to provide, such information to educate such legislators and political leaders. B) The Arc encourages all of its Officers, Directors and employees to become acquainted with their federal, state and local legislators and political leaders. Such a personal relationship will permit the Officers, Directors and employees to share information with those legislators and political leaders that will assist them in making decisions that are in the best interests of persons with disabilities. C) The Arc will assist with and facilitate the participation by its Officers, Directors and employees in the annual Governmental Affairs Seminars sponsored by The Arc of the United States and The Arc of Pennsylvania, including scheduling meetings with legislators from Montgomery, Berks & Bucks Counties during these seminars. D) The Arc encourages and supports the development of appropriate letter writing and telephone campaigns regarding issues that have been deemed appropriate by The Arc Board of Directors, which may include issues identified by The Arc of the United States or The Arc of Pennsylvania, if all such campaigns are conducted in a manner consistent with this policy. E) The Arc will at all times comply with all applicable federal, state and other laws and regulations concerning lobbying activity. The President and/or the CEO shall seek the guidance of the Legal Affairs Committee and the Governmental Affairs Committee if any questions arise regarding prospective activities of The Arc or any of its Officers, Directors or employees on behalf of The Arc. F) Under no circumstances will The Arc make, or require any of its Directors, Officers, or employees to make any contribution to any candidate for any political office. G) Under no circumstances will The Arc support, or otherwise require any of its Directors, Officers, or employees to support, any candidate for any political office. The Board of Directors of The Arc, or the Executive Committee, or other duly authorized committee may at times encourage employees to support a certain political candidate or cause by offering pertinent information. No Officer, Director, or employee of The Arc shall represent, suggest or otherwise indicate to any federal, state or local legislator or other political leader that any views or beliefs expressed by such individual represent the views of The Arc. This Political Activities Policy is not intended to, and does not, affect or limit the right of any individual associated with The Arc to act in his/her own individual capacity and without any reference or relationship, direct or indirect, to his/her role as a Director, Officer, or employee of The Arc in connection with any matter described in this policy. However, no Director, Officer, or employee of The Arc may take any action described in this policy in his/her capacity as a Director, Officer, or employee of The Arc that is not in compliance with this policy, and any such action by any such individual in his/her own individual capacity shall include an expressed disclaimer by the individual so acting that he/she is not acting on behalf of The Arc. Any violation of this policy could have significant ramifications for The Arc, including potential loss of The Arc s status as an organization exempt from taxation under Section 501(c)(3) of the Internal Revenue Code. Accordingly, any violation of this policy will be viewed by the Board of Directors and the CEO as a matter of utmost seriousness and will result in appropriate discipline. In the case of employees, any material violation of this policy shall be grounds for termination of employment at the discretion of the CEO after consultation with the CEO or the Board of Directors. In the case of Directors or Officers, any material violation of this policy will be grounds for not nominating such Director or Officer for reelection and, in the appropriate circumstances, for recommending to the members that such Director or Officer be removed from his/her position. XIV. EMPLOYEE-BOARD RELATIONSHIP POLICY It is the belief of The Arc s Board of Directors that The Arc s employees are a vital component of the partnership necessary to fulfill The Arc s vision and mission. The proper relationship of the Board to employees is vitally important to the smooth running of a nonprofit organization. A poor understanding of this relationship can undercut an administrator s effectiveness and cause a crisis of authority. The Arc Board of Directors has the responsibility to supervise only one employee: the CEO. The Board hires the CEO to be the nonprofit expert in all management areas, including personnel. The CEO is ultimately responsible for all personnel changes and has ultimate responsibility for supervising, evaluating, rewarding, and disciplining them. The Board has created a chain of command with lines of authority and accountability. Attached is the Table of Organization that represents the chain of command which employees are expected to follow. July 1, 2014 FORM Personnel Policies Page 26 of 31

31 It is not unusual for employees to take a concern or a complicated complaint to the Board or to an individual Board member. When this occurs, however, it is the Board member s responsibility to clearly remind the employee about the chain of command. The Board member is to urge the employee to take the issue up with his/her supervisor and to follow the internal complaint procedure as necessary. A. APPROPRIATE EMPLOYEE TO BOARD RELATIONS There are three primary ways employees can work together with Board members: 1. On Committees. Employees can provide important background information and bring expertise about The Arc to Board committees (e.g. planning). Employees are to understand that they serve under the committee chairperson to offer their insight to the committee. Committees are not appropriate places to bring up employee-related issues. 2. By Giving Reports. The Arc s Board asks its CEO to have employees make presentations to the Board of Directors. This practice, usually done on a rotating basis among key employees, is an excellent way to keep the Board updated and informed about programs and projects. The Arc also requires each Executive Director to file a report bi-monthly with the Board of Directors. 3. Personnel Committee. The Personnel Committee is comprised of two Board members from each Board. B. APPROPRIATE BOARD TO EMPLOYEE RELATIONS Board members should be cautious to avoid any behavior that would be deemed inappropriate in such relationships as is required by The Arc s policies and procedures, or by federal or state regulations or legislation. Furthermore, Board members should be aware of the following procedures in dealing with the chain of command: 1. Board members are not to assign tasks to any employee except through the Board process or the CEO. It is important in order for employees to complete their job responsibilities in an effective fashion that only one s direct supervisor sets work objectives and priorities. 2. Board members shall never communicate any confidential or derogatory information to employees. If a Board member has a concern about employee performance, he/she shall not, independent of the Board, go out and make inquiries about employee performance. It is important that a Board member who has concerns follow the chain of command for making these concerns known to the President and appropriate committees. 3. The Arc s Board as a whole supervises the CEO, as communicated through the President. No individual Board member shall set job responsibilities for the CEO or Executive Director. Only The Arc s Board has the responsibility to hire, evaluate, and fire the CEO. The Arc s related organizations have no authority over the CEO or Executive Director. C. PERSONAL RELATIONSHIP BETWEEN BOARD MEMBERS AND EMPLOYEES Board members are to be cautious in the development of personal relationships with employees, since such personal relationships can often lead to conflict and potential violation of The Arc s policies and of federal and state regulations. Board members are also to be aware that it is against The Arc s by-laws for the agency to employ an immediate family member of a Board member. XV. CONFLICT OF INTEREST POLICY It is the policy of the Board of Directors of The Arc that no employee or Board member shall be involved in any activities that are not in the best interests of The Arc or that are opposed to The Arc s vision, mission, by laws or position July 1, 2014 FORM Personnel Policies Page 27 of 31

32 adopted by The Arc of the United States, or The Arc of Pennsylvania, or The Arc s Board of Directors. Any potential, perceived or actual conflict of interest must be fully disclosed to the Board of Directors or, if involving an employee, one s immediate supervisor and the CEO. A. BOARD OF DIRECTORS AND OFFICERS In order to minimize the risk of any conflict of interest concerning the Board of Directors and Officers of The Arc, all Board members and Officers shall refrain from voting on any issue in which they have a financial interest, other than an interest resulting from such Director s or Officer s role as a parent, sibling or other relative of a person with a developmental disability with respect to any matter that relates to persons with developmental disabilities in addition to the person so related to the Director or Officer. Furthermore, all Directors and Officers shall make a full disclosure of all organizations in the field of services for or on behalf of persons with developmental disabilities of which such Director or Officer is an Officer, Director or key employee, together with any other relationship which, in the judgment of the Director or Officer, has the potential for creating a conflict of interest. In the event that the Board of Directors considers any matter that may have a material impact on any organization of which a Director or Officer serves as a Director, Officer or key employee or as to which a Director or Officer otherwise has a material relationship, such Director or Officer shall disclose such relationship to the Board of Directors and shall refrain from voting on such matter. No Director or Officer, or any spouse, sibling, parent or child (in each case whether by birth, marriage or legal adoption) of such Director or Officer or any employer or other person or entity in which a Director or Officer has a material financial interest, shall receive any payment or other direct benefit from The Arc for any services rendered unless the Board of Directors, after full disclosure of the terms and conditions of such payments, approves such payments. B. EMPLOYEES It is an express conflict of interest for any employee or any spouse, sibling, parent, or child (in each case whether by birth, marriage, or legal adoption) of such employee to serve on the Board of Directors of The Arc. Furthermore, as set forth in the bylaws, no employee shall be able to be a voting member of the Board and thus shall not be able to vote at any membership meeting. Any employee who desires to work for, provide services to, or serve, as a board member of any other organization in the field of services for persons with developmental disabilities shall first notify the CEO of their proposed activities. No employee shall be permitted to serve in any such capacity without the express prior written approval of the CEO. Any employee who does serve in any such capacity with the approval of the Executive Director shall maintain the confidentially of, and shall not disclose to any party not affiliated with The Arc, any information relating to The Arc s operations. Moreover, all employees are reminded that their primary professional and vocational obligations are to The Arc, and that any actions while serving in any capacity for any organization other than The Arc that may have an adverse effect on The Arc shall be deemed to be a violation of the employee s obligations to The Arc and grounds for disciplinary action, including immediate termination. If the CEO desires to engage in the activities set forth above, he/she shall disclose such interest to the President of The Arc, and the President will have the obligation and the authority to act with respect to such activities by the CEO as set forth above for the CEO with respect to other employees. The President may, in his/her discretion, refer any such action to a decision of the full Board of Directors. C. CONFLICT OF INTEREST AND DISCLOSURE STATEMENT Individuals who serve as Officers and Directors of The Arc occupy a position of trust and have a fiduciary responsibility to The Arc. Consequently, Officers and Directors shall discharge their duties in good faith and with diligence and undivided loyalty. In order to do so, Officers and Directors shall avoid actual and potential conflicts of interest between responsibilities to The Arc and responsibilities to other entities or personal interests. Like most nonprofit corporations, The Arc has sought individuals with expertise in the nonprofit, business, and professional communities to serve as Officers and Directors. It is inevitable, therefore, that The Arc may have occasion to transact business with a person or entity related to a Director or Officer. In such a situation, Pennsylvania law treats the Director or Officer as interested in the transaction under consideration. July 1, 2014 FORM Personnel Policies Page 28 of 31

33 Pennsylvania law does not automatically invalidate a transaction in which an interested director is involved, but such transactions must be approved in accordance with The Arc s conflict of interest policy. Every Director and Officer has affirmed and certified that: 1. Disclosure: Set forth on the page(s) attached hereto is a complete list of all organizations in the field of services for or on behalf of persons with developmental disabilities of which such Director or Officer is an officer, director, or key employee, together with any other relationship which, in the judgment of the undersigned, has the potential for creating a conflict of interest. The undersigned further agrees to notify the Secretary of The Arc promptly in the event that any of the information on the attached list becomes incomplete or inaccurate at any time. 2. Policy: The undersigned acknowledges that he/she has received and reviewed a copy of The Arc s Conflict of Interest Policy. The undersigned agrees to abide by all aspects of such policy as it relates to him/her, including without limitation the provisions regarding the disclosure of potential conflicts during the discussion of matters by the Board of Directors and refraining from voting upon such matters. The undersigned agrees that the presiding Officer will have the discretion to determine whether a potential conflict of interest is sufficiently material that the Director or Officer in question shall refrain from participating in the discussion of or the voting on such matter, and that any such decision by the presiding Officer will be final. If the potential conflict of interest involves the presiding Officer, the next most senior Officer of The Arc (Senior Vice President, Vice President of Internal Affairs and Vice President of External Affairs, in that order) shall exercise the abovereferenced discretion. 3. Minutes: The minutes of any meeting must reflect all actions taken, including the disclosure of an actual or potential conflict of interest, the participation, if any, of any interested Directors or Officers in such discussion, any abstentions from voting and the vote on such matter. 4. Conclusion: The individual members of the Board are to set an example by following and respecting the chain of command established by the Table of Organization. If a Board member is approached by an employee who wishes to circumvent the chain of command, the Board member is to direct the employee to follow the appropriate chain of command and to inform the President of the Board of the occurrence. Additionally, since it is the policy of the Board of Directors that employees are a key part of The Arc s team, the Board supports employee participation on committees and the giving of appropriate reports to the Board of Directors directly. Furthermore, Board members need to deal appropriately with employees, just like any individual who has administrative and management responsibilities over employees. Board members interactions with employees are to meet all agency policies and federal and state guidelines. The Board of Directors will take appropriate disciplinary action if a Board member violates this policy. This action can include expulsion from the Board of Directors. Employees are also responsible to see that appropriate Board-employee relations are maintained. Employees will be required to follow the Personnel Policies and not circumvent the chain of command. Any violation will be dealt with by the CEO in accordance with the Personnel Policies concerning disciplinary action. Violation of this policy can be construed as gross misconduct and lead to an employee s immediate termination. Employees shall not take any concern to the Board unless they first express these concerns to the appropriate supervisor, including the CEO. See Appendix B for Table of Organization July 1, 2014 FORM Personnel Policies Page 29 of 31

34 TABLE 1 - VACATION ACCRUAL TABLE Vacation Accrual THE ARC ALLIANCE PERSONNEL POLICY APPENDIX A BEFORE MARCH 1, 2012 AFTER MARCH 1, 2012 a) New employees earn 4.33 hours of vacation per pay period, b) after three years of employment, employees earn 5.77 hours per pay period, and c) after six years of employment employees earn 7.21 hours per pay period. a) New employees earn 2.89 hours of vacation per pay period b) after three years of employment, employees earn 4.33 hours per pay period c) after six years of employment employees earn 5.77 hours per pay period, TABLE 2 - ELIGIBILITY TABLE HIRED BEFORE MARCH 1, 2012 PART TIME staff is eligible for the above benefits at a Eligibility* prorated basis based upon the percentage of hours worked per week HIRED MARCH 1, 2012 OR LATER PART TIME staff is eligible for benefits as noted 30-to less than 35 hours per week. 25-to less than 30 hours per week. 20-to less than 25 hours per week. Less than 20 hours per week. Employees working between 30-to less than 35 hours a week will be eligible for 80% of the benefit Employees working between 25-to less than 30 hours a week will be eligible for 65% of the benefits. Employees working between 20- to less than 25 hours will be eligible for 50% of the benefits with the exception of the medical and dental insurance. Employees working less than 20 hours a week will be eligible for only those benefits required by the law. 30-to less than 35 hours per week. 25-to less than 30 hours per week. 20-to less than 25 hours per week. Employees working between 30-to less than 35 hours a week will be eligible for 80% of the benefits Employees working between 25-to less than 30 hours a week will be eligible for 65% of the benefits. Employees working between 20- to less than 25 hours will be eligible for 50% of the benefits with the exception of the medical and dental insurance * Staff who make a change to the number of hours they work will have all benefits, except vacation accruals, prorated according to the new benefit schedule. July 1, 2014 FORM Personnel Policies Page 30 of 31

35 APPENDIX B STAFF HEALTH ASSESSMENT July 1, 2014 FORM Personnel Policies Page 31 of 31