ETHICAL CODE OF CONDUCT POLICY

Transcription

1 ETHICAL CODE OF CONDUCT POLICY STATEMENT OF INTENT: Anchored in Wellness, LLC (AIW) is dedicated to the delivery of quality behavioral health care with the highest standards of accountability for best business practice, professional service and financial management. POLICY: All employees, students and volunteers as part of the agency's initial orientation, shall review the Ethical Code of Conduct, including the procedures for investigating and acting on conduct violations. All staff will receive a copy of the Ethical Code of Conduct, sign a form acknowledging their review and full understanding of the code, and return the form to be filed in the employee s personnel file. To assure an awareness of ethical practices, reviews of the Code of Conduct and continued training will be conducted on an annual basis. This Ethical Code of Conduct is serves as guidelines for basis for ethical decision making in the conduct of professional work Note: In addition to the Anchored In Wellness Ethical Code of Conduct, all staff holding licensures are obligated to also comply with those codes of ethics (i.e., National Association of Social Workers Code of Ethics) PROCEDURES: 1. Business Practices Anchored In Wellness, LLC leadership is committed to operating with honesty, integrity and accountability. As well as, adhere to all regulations, federal, state and local laws that govern our services. We do not tolerate discrimination or harassment. We are committed to the need to prevent fraud, fiscal mismanagement and misappropriation of funds. Anchored In Wellness LLC employees shall adhere to fair business practices and accurately and honestly represent themselves and the agency s services. Anchored In Wellness LLC employees will not accept, for themselves or for the agency, anything of value in exchange for referrals of business or the referral of consumers. Employees must not offer or receive any item or service of value as an inducement for the referral of business or consumers. Federal law prohibits anyone from offering anything of value to a Bayou Health member that is likely to influence that person s decision to select or receive care from a particular behavioral health care provider. Antitrust Regulations: Anchored In Wellness LLC will comply with all applicable federal and state antitrust laws Employees should not agree or attempt to agree with a competitor to artificially set prices or salaries, divide markets, restrict output, or block new competitors from the market, share pricing information that is not normally available to the public, deny staff privileges to qualified practitioners, or agree to or participate with competitors in a boycott of government programs insurance companies, or particular drugs or products.

2 2. Marketing Anchored In Wellness LLC will conduct marketing practices in an honest and factual manner. Marketing materials and practices will in no way mislead the public of Anchored In Wellness LLC abilities to provide services. Anchored In Wellness LLC will not show any service outcomes unless represented by valid and reliable outcome data and/or research studies. Anchored In Wellness LLC will utilize clear and consistent methods of communicating information to members, family members, third-party entities, referral sources, funding sources, and community members, and will exhibit sensitivity to the educational and reading levels of all persons when distributing information. 3. Contractual Relationships When Anchored In Wellness, LLC enters into contractual arrangements for goods or services, they will be executed by the Chief Executive Officer and the contracting party, each legally qualified to commit the contracting entity to a binding contract. The contract will establish the nature of the services to be performed; period of the agreement; review, renewal, or termination conditions; clear financial arrangements; necessary accounting procedures for revenue and expenditures; any federal or state requirements. Vendors who contract to provide goods and services to the agency will be selected on the basis of quality, cost-effectiveness and appropriateness for the identified task or need, in accordance with agency policy. 4. Conflicts of Interest STATEMENT OF INTENT: AIW prohibits the engagement of activities for personal gain that compromise the ability of its employees to represent the best interest of AIW in a positive and ethical manner. POLICY: It is the policy of AIW to prohibit its employees from engaging in any activity, practices, or conduct which conflicts with or appears to conflict with, the interest of AIW, its recipients, or its contractors. Since it is impossible to describe all of the situations that may cause or give the appearance of a conflict of interest, the prohibitions included in this policy are not intended to be exhaustive and only include some of the more clear-cut examples. PROCEDURE: At AIW the following procedures will be followed: 1) Employees are expected to represent AIW in a positive and ethical manner. Thus, employees have an obligation to avoid conflicts of interest and to refer question and concerns about potential conflicts to their supervisor. Top management and employees who have contact with recipients and suppliers may be required to sign a special statement acknowledging their understanding of and adherence to this policy.

3 2) Employees may not engage in, directly or indirectly either on or off the job, any conduct which is disloyal, disruptive, competitive, or damaging to AIW. Prohibited activity also includes any illegal acts in restraint of trade. 3) Employees must disclose any financial interest they or their immediate family have in any firm that does business with AIW or that competes with AIW. AIW may require divestiture of the interest if it considers the financial interest to be in conflict with its best interests. 4) Employees and their immediate family may not accept gifts, except those of nominal value, or any special discount or loan from any person or firm doing, or seeking to do, business with AIW. The meaning of gifts for purposes of this policy includes the acceptance of lavish entertainment and free travel and lodging. 6) Employees may not give, offer, or promise, directly or indirectly, anything of value to any representative of a recipient, potential recipient, supplier, potential supplier, or of a financial institution in connection with any transaction or business that AIW may have with that recipient, potential recipient, supplier, potential supplier, or financial institution. 7) Any conflict of potential conflict of interest must be disclosed to AIW. Failure to do so will result in disciplinary action up to and including termination. 8) Anchored In Wellness employees may not engage in dual or multiple relationships with recipients or former recipients in which there is a risk of exploitation or potential harm to the recipient. Employees have the responsibility for setting professional boundaries between themselves and recipients, avoiding dual relationships of a social, financial or sexual nature with them or their families at any time during or after services have been provided. 9) Employees should inform persons served when a real, or potential, conflict of interest arises, and take reasonable steps to resolve the issue in a manner that makes the persons served interest primary and protects the persons served interest to fullest extent possible. 10) The conducting of a private practice or other enterprise on agency s facility, utilizing agency s materials, supplies, equipment, personnel or clients. 11) The directed referral of agency applicants, clients, and their families to any private practices in which employees or agency consultants may be engaged 12) Giving or receiving gifts, gratuities, loans, or other special treatment of value from third parties doing business with or wishing to do business with the agency. Third parties may include, but are not limited to, members, vendors, suppliers, competitors, payers, carriers, and fiscal intermediaries.

4 5. Media Relations and Social Media(Also Refer to Social Media Policy) a) The Chief Executive Officer (CEO) is the individual authorized to communicate with the media, or a designee assigned in writing. All press releases and communications with the media must be approved by the CEO prior to dissemination. The posting of information regarding the agency on the agency s website, Facebook, Twitter, blogs, etc. must be approved by the CEO or designee. b) Employees shall not post information regarding persons served on the organization s website or any social media outlet (i.e., Facebook, Twitter, Instagram, Snap Chat, blots, etc.). Social media is not a confidential form of communication. AIW is committed by policy, practice and legal requirements to maintain and guard the confidentiality of all persons served. Therefore, it is the policy of Anchored In Wellness, LLC that no employee may communicate or befriend a recipient of Anchored In Wellness, LLC utilizing social media. 6. Service Delivery Our primary responsibility is to promote the well-being of and prevent harm to our clients. Anchored In Wellness LLC will provide quality behavioral health care in a manner that is appropriate, and determined to be necessary, efficient, and effective. Health care professionals will follow current ethical standards regarding communication with members and their representatives regarding services provided Anchored In Wellness LLC will inform members about alternatives and risks associated with the care they are seeking and obtain informed consent prior to any clinical interventions. Anchored In Wellness LLC recognizes the right of members to make choices about their own care, including the right to do without recommended care or to refuse care. When providing services, employees shall only provide those services that are consistent with generally accepted standards for treatment and are determined by the professional to be clinically necessary and appropriate. Employees shall maintain and update their professional licenses, credentials, certifications and clinical privileges. Employees should make reasonable efforts to ensure continuum of care in the event that services are interrupted by factors such as unavailability, relocation, illness, disability. We adhere to AIW s Confidentiality Policy. a) Exchange of gifts, gratuities, and money between persons served and staff is prohibited. Staff will not accept gifts of value from a member, cannot accept personal favors or benefits that may family member, or stakeholder, and reasonably be construed as influencing their conduct.

5 b) Personal Fundraising- Employees shall not engage in personal fundraising with persons served or solicit funds from persons served on behalf of a personal cause such as: selling cookies for a daughter in girl scouts; selling candy or wrapping paper for a child s school; having persons served selling items on behalf of the organization; and allowing persons served to raise funds by appeals to personnel or other persons served. c) Personal Property- Anchored In Wellness, LLC employees assume full responsibility for personal property brought to the worksite. AIW prohibits firearms, weapons and items that are offensive or demeaning to specific individuals or groups. d) Setting Boundaries- Employees have the responsibility for setting professional boundaries between themselves and recipients, avoiding dual relationships of a social, financial or sexual nature with them or the families at any time during or after services have been provided. Sexual relationships include but are not limited to the following: i. engaging in any type of sexual activity ii. flirting, iii. advances and/or propositions of a sexual nature, iv. comments of a sexual nature about an individual s body, v. clothing, or lewd sexually suggestive comments. e) Witnessing of legal documents- Employees may be asked to sign legal documents of persons served such as advance directives, guardianship or power of attorney. However, AIW will remain neutral and free of conflict; AIW staff do not witness documents with the exception of documents related to client treatment plans and intake documentation. A referral to a lawyer, a notary public or a third-party without an interest in the document may serve as a witness to a legal document. 7. Professional Responsibilities STATEMENT ON INTENT: It is the intent of AIW that its employees behave in a manner representative of its ethical and/or moral commitment to provide quality substance abuse treatment services to its recipients. POLICY: AIW shall hire, train and maintain staff that shall demonstrate positive appearance, discretion in areas of communication, personal and financial comportment, restraint in fraternization with recipients, staff, and other stakeholders, and participation in political affairs and other activities that may result in conflicts of interests with the goals, mission, and objectives of AIW. Association with its state level funding levels requires AIW and its parent corporation to conform to the Louisiana State Code of Ethics. Staff will conduct themselves in a professional, ethical, and moral manner Staff will respect the rights of our members by demonstrating full integration of the guidelines contained in the Rights and Responsibility Policy. This includes the right of the member to make autonomous decisions and fully participate in every aspect of the service delivery process. PROCEDURE:

6 Behavior of Employees: 1) Employees are expected at all times to conduct themselves in a positive manner in order to promote the best interests of AIW. Appropriate employee conduct includes: a) Anchored In Wellness, LLC employees are to maintain high standards of competence and conduct. b) Anchored In Wellness LLC employees will provide services in a manner that fully respects the confidentiality of members, by demonstrating a functional knowledge of confidentiality and privacy policies and guidelines. c) Anchored In Wellness LLC employees will be fair and honest in their work. They will not exploit or mislead and will be faithful to their contractual obligations and their word. d) Anchored In Wellness LLC employees will clarify their professional roles and obligations and be accountable for upholding professional standards of practice. e) Anchored In Wellness, LLC employees must seek assistance for any problem impairing judgment and performance. f) Anchored In Wellness, LLC employees have an obligation to use their knowledge, abilities and resources to educate the community and promote understanding to reduce the stigma of mental illness. g) To prevent and avoid unethical conduct, Anchored In Wellness LLC employees will consult with, refer to, and cooperate with other professionals. h) Anchored In Wellness, LLC employees are expected to comply with the ethical codes of conduct outlined by their respective licensing or certifying boards 2) The following conduct is prohibited and individuals engaged in it will be subject to discipline, up to and including termination: Engaging in or threatening acts of workplace violence, including but not limited to: a) Possessing firearms or other weapons on Agency property; b) Fighting or assaulting a coworker, guest, or recipients; c) Threatening or intimidating a coworker, security guard, recipient, or guest; d) Engaging in any form of sexual or other harassment; e) Reporting to work under the influence of alcohol, illegal drugs, or narcotics or using, selling, dispensing, or possessing alcohol, illegal drugs, or narcotics on Agency premises; f) Disclosing trade secrets or confidential Agency information; g) Falsifying or altering any Agency record or report, such as an employment application, medical reports, production records, time records, expense accounts, absentee reports, or shipping and receiving records; h) Stealing, destroying, defacing, or misusing Agency property or another employee s or recipient s property; i) Misusing Agency communications systems, including copiers, electronic mail, computers, Internet access, and telephones;

7 j) Refusing to follow management s instructions concerning a job-related matter or being insubordinate; k) Failing to wear assigned agency attire or failing to abide by safety rules and policies; l) Soliciting or distributing in violation of Agency policies; n) Using profanity or abusive language; o) Sleeping on the job without authorization; p) Gambling on Agency property; q) Playing pranks or engaging in horseplay; and r) Wearing improper attire or having an inappropriate personal appearance. 3) The examples of impermissible behavior described in Comment (2) above, are not intended to be an all-inclusive list. At management s discretion, any violation of the Agency s policies or any conduct considered inappropriate or unsatisfactory may subject the employee to disciplinary action. Questions about this policy should be directed to the Human Resources Staff. 4) The procedures discussed in this policy are only guidelines. The Agency may, in its sole discretion, modify or revoke them in whole or in part at any time. Therefore, these procedures are not a promise or contract, express or implied, and the Agency retains the right to determine whether and how they will be applied, depending on the circumstances. (See Employment-At-Will) 8. Human Resources Anchored In Wellness, LLC maintains a comprehensive Personnel Policies and Procedures manual. Please refer to the organization s Personnel Policies and Procedures manual for more detailed information regarding human resources issues. This section only covers what is consider ethical conduct. Anchored In Wellness LLC prohibits discrimination in any work related decision on the basis of race, color, national origin, religion, sex, physical or behavioral disability, ancestry, marital status, age, sexual orientation, citizenship, or status as a covered veteran. The agency is committed to providing equal employment opportunity in a work environment where each employee is treated with fairness, dignity, and respect. Anchored In Wellness LLC will make reasonable accommodations to the known physical and behavioral limitations of otherwise qualified individuals with disabilities. Anchored In Wellness LLC does not tolerate harassment or discrimination by anyone based on the diverse characteristics or cultural backgrounds of those who work for the agency. 1. Any form of sexual harassment is prohibited. 2. Any form of workplace violence is prohibited. 3. Degree professional employees must practice within the legal constraints of their state license(s) and adhere to the ethics codes of their profession. 4. All employees must submit to a criminal background check

8 5. All clinical employee must submit a valid academic transcript 6. All licensed staff must maintain and renew licensure 7. All employees and contractors are required to report to their supervisor or Compliance Officer, respectively, if, subsequent to their employment or engagement through contract, they become subject to exclusion. 9. Prohibition of Waste, Fraud, Abuse, other Wrongdoing(Also Refer to Waste, Fraud Policy) It is the policy Anchored In Wellness, LLC that employees and volunteers may not participate in waste, fraud, abuse, of AIW sl resources or other wrongdoing. AIW will not tolerate falsifying documents, client records, time sheets, or other wrongdoing. In an effort to prevent waste fraud and abuse coding and documentation will be consistent with the standards and practices defined by the agency in its policy, procedures, and guidelines: a) Employees involved in coding, billing, documentation and accounting for member care services for the purpose of behavioral health, private or individual payers will comply with all applicable state and federal regulations and all agency policies and procedures. b) Anchored In Wellness LLC will only bill for services rendered and shall seek only the amount to which it is entitled.supporting clinical documentation will be prepared for all services rendered. If the appropriate and required documentation has not been provided, then the service has not been rendered. c) All services must be accurately and completely coded and submitted to the appropriate payer in accordance with applicable regulations, laws, contracts, and all agency policies and procedures. d) Members shall be consistently and uniformly charged. Government payers shall not be charged in excess of the provider s usual charges e) Billing and collections will be recorded in the appropriated accounts. An accurate and timely billing structure and medical records system will ensure that Anchored In Wellness LLC effectively implements and complies with required policies and procedures. Federal and state regulations take precedence, and all agency policies and procedures must reflect those regulations. Ethical violations and legal/unethical wrongdoing shall be reported to the appropriate authorities. B. Procedures for Investigating and Acting on Violations of The Code of Conduct: 1. Reporting Suspected Violation

9 Every Anchored In Wellness, LLC employee and volunteer has an obligation to report violations of ethical standards. Failure to do so constitutes a cover-up. No employee will be penalized or retaliated against for reporting negligence, wrongdoing, fraud, abuse, harassment or other such incidents. (Refer to Whistle Blower Policy) When any member, family member, authorized representative, advocate or other person believes that an ethical violation has occurred within the operations of the agency, they may report such suspicion directly to any employee, or management staff. When employees believe a violation of the Code of Conduct has occurred they are obligated to report the violation in one of the following ways: Immediate notification of the incident or violation by completing an Incident Report and submit Compliance Officer. Immediate reporting to their supervisor or to LBHP if the suspected violation involves their supervisor. When reporting suspected activities, the employee should be prepared to provide the following information: Who? - Who is involved? Who knows about the activities? Who can and would confirm? What? - What happened? Are there laws or regulations governing what the suspect did? What kinds of documents would provide evidence? Where? Where did the activity happen? Where are the documents that would provide evidence? When? - When did the activity occur? Is it ongoing? How often has it occurred? Why? Why would the suspect be involved? Does the activity benefit the suspect? How? - How was the suspect able to accomplish the improper activity? Employees are encouraged to put their names to allegations because appropriate follow-up questions and investigation may not be possible unless the source of the information is identified. An investigation of unspecified wrongdoing or broad allegations would not be undertaken without verifiable evidentiary support. Anonymous employees must provide sufficient corroborating evidence to justify the commencement of an investigation.

10 Concerns expressed anonymously will be investigated to the extent possible, but consideration will be given to: The seriousness of the issue raised; The credibility of the concern; and The likelihood of confirming the allegation from attributable sources Supervisors who have been informed of a suspected violation are required to immediately inform the LBHP of the suspected violation. If the violation involves a direct and immediate threat to the safety of a member, staff member, or visitor, employees are obligated to report the alleged violation immediately to their supervisor. The employee s role is that of a reporting party, not an investigator. They are not to act on their own in conducting any investigative activities, nor do they have a right to participate in any investigative activities other than as requested by investigators. Protection of an employee s identity will be maintained to the extent possible within the legitimate needs of law and the investigation. Should the employee self-disclose his or her identity, AIW will no longer be obligated to maintain such confidence. Timeframe for Investigation of Violation The Corporate Compliance Officer, will investigate the report within five (5) business days of receiving the report, and complete the investigation with a final report completed within 10 days. The COO will respond to the employee as follows: Acknowledging that the report was received; Indicating how the matter will be dealt with; Giving an estimate of the time that it will take for a final response; Telling the employee whether initial inquiries have been made; and Informing the employee whether further investigations will follow, and if not, why. Subject to legal constraints, the employee will receive information about the final outcome of any investigations, within a reasonable amount of time after the conclusion of the investigation. Resolution Action Code of Conduct investigations will follow the guidelines outlined in Anchored In Wellness LLC Compliance Policy and Procedure Once the questionable behavior has been brought to the attention of the supervisor or reported

11 through the compliance procedures, Staff must report each suspected violation of the Code of Conduct separately, should a violation that has been reported occur again. When any suspected violation of the Code of Conduct is reported to a supervisor, staff member or the Program Director, will begin an investigation of the matter immediately. While investigating the complaint, the following issues should be considered, and action taken depending on the situation: a) Is any member in any harm or potential harm because of this behavior? b) Does the complaint require immediate action to remove the employee from contact with a member? c) Does the complaint put Anchored In Wellness LLC or its employee in a potentially liable situation that needs legal consultation?. If there is sufficient evidence, as determined by the investigation, a report and recommendation will be submitted to the CEO by the Corporate Compliance Committee. The CEO will facilitate and approve the recommendations of the committee, which may include, but not limited to: a number of corrective action strategies, including training, supervision, and/or disciplinary action including disengagement of employment. Documenting the Investigation The Corporate Compliance Officer will maintain a log of all Code of Ethics investigations and report same to the CEO on a bi-annual basis. In addition to maintaining a log, the COO will use the following process: Create a separate file for the investigation. The investigation file should include: The complaint The Report of Investigation. The CEO will facilitate and approve the recommendations of the COO, which may include training, supervision, and/or disciplinary action.

12 2017 FINANCIAL REPORT 2018 FINANCIAL REPORT