LUZERNE/SCHUYLKILL WORKFORCE INVESTMENT BOARD CORPORATE COMPLIANCE/ETHICS PLAN

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1 LUZERNE/SCHUYLKILL WORKFORCE INVESTMENT BOARD CORPORATE COMPLIANCE/ETHICS PLAN It is the philosophy of the Luzerne/Schuylkill Workforce Investment Board that all of its employees will comply with all applicable laws and regulation and adhere to the highest ethical standards. The Luzerne/Schuylkill Workforce Investment Board is committed to honest and responsible corporate conduct and promotes the prevention, detection, and resolution of instances of conduct that do not conform to federal, state and local laws. This also applies to Federal, State and County program requirements as well as the Luzerne/Schuylkill Workforce Investment Board s ethical and business policies and procedures. An effective compliance/ethics plan helps The Luzerne/Schuylkill Workforce Investment Board to fulfill its mission to develop and operate a world class workforce development system so as to dovetail with local, regional and state overall education and economic development strategy, while focusing and coordinating federal, state and local resources in a customer (individual/employer) centered and humanly sensitive way that promotes and ensures the highest quality, technically competent, and educated workforce (labor) pool in the state and the world.. This plan also reduces the risk of improper or unlawful conduct. In addition, this plan sets forth guidelines and procedures that will result in a workforce that can identify and assist in the prevention and detection of improper, fraudulent, or illegal behavior. It will be the responsibility of employees of the Luzerne/Schuylkill Workforce Investment Board (WIB) to adhere to this program. Non-compliance will be addressed via the policy and procedure for Discipline. STANDARDS OF CONDUCT The Luzerne/Schuylkill Workforce Investment Board has established standards of conduct though organizational policies and procedures that promote adherence to applicable Federal, State and Local laws and the program requirement for state and private health plans. These include the Anti-Fraud, Conflict of Interest,

2 Code of Ethical Conduct, Whistleblower, Investigations, Shredding/Document Destruction, and Discipline policies and procedures. COMPLIANCE OFFICER The Executive Director of the WIB will appoint a staff person to serve as the compliance officer who will have direct access to the Chairperson of the Workforce Investment Board on compliance issues. The primary duties and responsibilities of the Compliance Officer are: A. Reporting on a regular basis to the Luzerne/Schuylkill Workforce Investment Board and the compliance/ethics committee on all financial, operational and other compliance investigations. Also, assisting them in establishing methods to improve the WIB s efficiency and quality of services, and reducing the Luzerne/Schuylkill Workforce Investment Board s vulnerability to fraud, abuse, and waste. B. Periodically revising the compliance and ethics program based upon the experience in implementing this program and of the evolving changes in the needs of the organization, in laws, regulation, and policy & procedures of the local state and federal government C. Overseeing and monitoring the implementation of the compliance program by consistently enforcing standards through appropriate interventions and/or disciplinary actions. D. Coordinating with Human Resources in developing a training program that focuses on the compliance program and seeks to ensure that all employees are knowledgeable and in compliance with pertinent Luzerne/Schuylkill Workforce Investment Board, Federal, State, and County standards. E. Ensuring that independent contractors and providers who provide services on behalf of the Luzerne/Schuylkill Workforce Investment Board are aware of the requirements of the compliance program with respect to billing coding, and marketing among other things. F. Coordinating personnel issues with the Human Resources to ensure that compliance is an element in evaluating job performance, and that individuals that are non-compliant are subject to disciplinary action as contained in the Discipline policy. 2

3 G. Directing financial management and coordinating internal compliance review and monitoring activities, including annual or periodic fiscal review of departments. H. Independently investigating and acting on matters relating to compliance including the flexibility to design and coordinate internal investigations to respond to reports of problems or suspected violations and any resulting corrective action. I. Developing policies and programs that encourage managers and employees to report suspected fraud and other improprieties without any fear of retaliation or retribution. The compliance officer has the authority to review all documents and other information that are relevant to compliance activities that include but are not limited to: billing records, and records concerning the marketing efforts of the facilities and arrangements with other parties including employees, professionals on staff, independent contractors, suppliers and agents. THE CORPORATE COMPLIANCE AND ETHICS COMMITTEE (CCEC) 1. The CCEC, as determined by the Luzerne/Schuylkill Workforce Investment Board will include individuals from the Executive Committee of the Board, the Compliance Officer and the Executive Director. The committee s responsibility includes: a. Analyzing the organization s service environment, and the legal requirements with which it must comply, and specific risk areas; b. Assessing existing policies and procedure that address these areas with possible incorporation into the compliance and ethics program; c. Working with the WIB Executive Director and appropriate Board Committees/Members to develop standards of conduct and policies and procedures, to promote conformance with the organization s compliance and ethics program; d. Recommending and monitoring the development of internal systems and controls to carry out the organization s standards, policies and procedures as part of its daily operations; e. Determining the appropriate approach to promote compliance with the program and detection of any violations, such as through hotlines and other fraud reporting mechanisms; f. Developing a system to solicit, evaluate, and respond to complaints and problems; g. These individuals should also assist and advise the compliance officer in carrying his/her responsibilities and shall monitor the 3

4 implementation of this compliance and ethics program in order to advise the compliance officer as to the effectiveness of the compliance program; h. All CCEC members shall serve as officio compliance officers to ensure that staff and board members adhere to the policies and procedures which establish the requirements of the corporate compliance and ethics program EDUCATION AND TRAINING Initial and on-going effective education and training programs regarding the Corporate Compliance/Ethics Plan will be offered for all staff. Orientation and annual training of all employees within the WIB will include an introduction to this plan and review of its contents as well as a review of all relevant policies. Education will be provided in a variety of ways, including but not limited to orientation, written materials, newsletters, staff meetings, and through use of outside consultants. The curriculum must include appropriate training on Federal, State, and Local statues, regulations, and guidelines. Training in corporate ethics, which emphasizes commitments to compliance with legal requirements and policies will also be included. Attendance and participation in training programs are a factor in performance evaluation and failure to comply with training requirements may result with disciplinary action. All staff will be required to attend these trainings with documentation specifying that they have attended these training sessions. Human Resources must maintain records of training of staff including attendance logs, and material distributed at training sessions. REPORTING OF COMPLIANCE/ETHICAL ISSUES The WIB staff may seek clarification from the compliance officer or members of the Corporate and Ethics committee in the event of any question or confusion as to compliance/ethical issues relating to the Luzerne/Schuylkill Workforce Investment Board s policies or practices. Staff and independent contractors are encouraged to report incidents of potential fraud, waste, or improper or illegal activities without fear of retribution or retaliation. Such reports may be made anonymously; the identity of the individual who reported the alleged misconduct, and results of the investigation shall remain strictly confidential at all times, unless the entailed existence of 4

5 fraudulent conduct is established or confirmed and disciplinary or legal action is to be taken. The Luzerne/Schuylkill Workforce Investment Board will respect the confidentiality of a reporting employee s identity; however it should be recognized that there may be point that an individual s identity may become known or may have to be revealed in certain incidents when governmental authorities become involved. REPORTING SUSPECTED FRAUDULENT OR ILLEGAL ACTIVITIES If an employee observes or witnesses any suspected fraudulent and/or illegal act in the workplace, they are encouraged to complete a fraud reporting form. Suspected fraudulent and /or illegal acts including those related to attendance, time reporting and other employment related issues should be reported to any one of the following designated individuals 1. Compliance Officer 2. Executive Director of the Luzerne/Schuylkill Workforce Investment Board 3. Chairperson of the Luzerne/Schuylkill Workforce Investment Board The employee making the allegation should use discretion in determining to which individual they choose to contact; however, it should be at a level within the Organization above those who are suspected of being directly involved in the matter. All reported allegations must be reported to the Chairperson of the Executive Committee of the Board within five (5) business days of receipt. Individuals who have sufficient grounds to report allegations of fraudulent or illegal activities under this policy shall not be subject to any of the following by the Luzerne/Schuylkill Workforce Investment Board or WIB staff or any person acting on behalf of the Luzerne/Schuylkill Workforce Investment Board because of or on the basis of such good-faith report: Dismissal or threats of dismissal; Discipline, suspension or threats of discipline or suspension; Imposition of any penalty; or Intimidation or coercion. 5

6 Although the employee making the report is not expected to prove the allegation, they need to demonstrate sufficient grounds for the complaint. If it is determined through investigation the complaint was filed without cause or with malicious intent, the employee filing the report will be subject to disciplinary action as contained in the Discipline Policy. ENFORCEMENT AND DISCIPLINE The Compliance Officer upon receipt of a compliant or report of potential fraud, ethical misconduct, waste, or improper, or illegal activities will follow the investigative process as specified in the WIB s Anti-Fraud policy. In addition, the compliance officer will take the appropriate steps to secure or prevent the destruction of documents or other evidence as specified in WIB s Shredding/Document Destruction policy. All WIB staff shall actively cooperate with investigation by the compliance officer or their designee. Disciplinary action will be taken against any staff member who has failed to comply with WIB s ethical and professional standards of conduct, policies and procedures including, but not limited to the Anti-Fraud, Conflict of Interest, Code of Ethical Conduct, Whistleblower, Investigations, Shredding/Document Destruction, and Discipline policies and procedures. In addition, if any staff member has failed to comply with state, federal, or county laws, rules, or regulations or those who have engaged in any wrong doings, which has the potential to impair the Luzerne/Schuylkill Workforce Investment Board s status as reliable, honest, and trust worthy organization, disciplinary action will be administered under the provision of the WIB s Discipline policy. Any staff that intentionally interferes or fails to cooperate fully in efforts to investigate or to address a compliance/ethical report may be subject to disciplinary sanctions. Disciplinary action may also be appropriate for staff failure to detect a violation which is attributable to his/her negligence or reckless conduct. Disciplinary action may also be taken for an individual failing to report a violation when the person could reasonably have been expected to have known of the violation. AUDITS AND MONITORING ACTIVITIES The Compliance Officer and members of the CCEC Committee will employ periodic audits and other evaluation techniques to monitor compliance in areas of actual or potential risk; assist in the reduction of or elimination of problem 6

7 areas and monitor the effectiveness of the Compliance/Ethics Program. These activities may include external and internal fiscal and program audits, surveys, and analysis of any failures. Compliance reports are generated as part of the monitoring process including reports of suspected non-compliance. They will be maintained by the Compliance Officer and shared with the Luzerne/Schuylkill Workforce Investment Board and the Corporate/Ethics Committee. In addition, corrective actions from senior management will be incorporated in audit reports. As necessary, follow-up audits will be completed to verify completion of required corrective actions. The Compliance Officer and each CCEC member shall hold themselves available to receive information of violations of criminal law or breaches of the Code of Ethical Conduct. Senior employees shall certify annually that they have and understood the Code of Ethical Conduct, and have reviewed it with those employees reporting to them and that they: 1. Have noted breaches of the Code of Ethical Conduct and the Anti-Fraud policies, or any other WIB policies and procedures. 2. Have disclosed or will disclose any violations of which they are aware. RESPONSE AND PREVENTION If it is determined that a material violation of the applicable laws or of the compliance/ethics programs has occurred the Compliance Officer will propose and facilitate corrective action. This may include a corrective action plan which specifies the activities that should be taken such as employee discipline, referral to governmental authorities, possible changes to the compliance ethics plan, recommended changes to WIB s policies and procedures, responsible parties and completion dates. A corrective action plan is written and shared with the Executive Director, the Corporate Compliance and Ethics Committee and staff so that a reoccurrence of the violation or similar breaches may be avoided. 7