Code of Conduct
Birch Family Services
Code Of Conduct
Mission and Values
Our mission is three-fold: we develop state-of-the-art programs based on best practices; we help families to become outstanding advocates for family members affected by autism, mental retardation, emotional disturbance and severe communication disorders; and we work with professionals to enhance their professional knowledge and skills, so that the children, adults and families they serve receive the best possible support.
Intent
Birch Family Services’ (also referred to as “Birch”) Code of Conduct (the Code) applies to all employees (including but not limited to regular full and part-time employees, temporary employees, interns, per-diem employees and contract-agency personnel) and independent contractors.
The Code of Conduct was approved by Birch’s Board of Directors and is a formal statement of the Birch’s commitment to the standards and rules of ethical conduct.
Birch is committed to preventing the occurrence of unethical or unlawful behavior, stopping such behavior as soon as possible after discovery, and to discipline employees who violate the Code, including employees and independent contractors who neglect to report a violation.
All employees and independent contractors must comply with this Code, immediately report any alleged violations of wrongdoing, and assist management and compliance personnel in investigating allegations of wrongdoing.
While these standards addressed in the Code of Conduct are intended to guide employees in the course of their day-to-day responsibilities, they do not replace any Birch or program policies and procedures. There may be instances that are not addressed by the Code of Conduct or existing policies and procedures, or activities that may conflict with these standards. Employees must seek direction from their supervisor, other Birch management staff or the Compliance Officer in these instances.
Ethics
It is the policy of Birch to observe all laws and regulations applicable to its business and to conduct business with the highest degree of integrity. To accomplish this, all employees and contractors must obey the laws and regulations that govern their work and always act in the best interest of the people we serve, their families and Birch.
Guidelines for employees and contractors
- You are expected to keep management staff informed of what you are doing; to document or record all services or transactions accurately; and to be honest and forthcoming with Birch, regulatory agencies, and internal and external auditors.
- You are expected to comply with Birch’s policies and procedures, accounting rules, and internal controls.
- You are expected to function with honesty in your work for Birch and with people we serve, providers, suppliers and all others with whom Birch does business.
Conflict of Interest
Employees and contractors must not allow any outside financial interest, or competing personal interest to influence their decisions or actions taken on behalf of Birch.
Employees and contractors must avoid any situation where a conflict of interest exists or might appear between their personal interests and those of Birch. The appearance of a conflict of interest may be as serious as an actual conflict of interest.
Guidelines for Employees and Contractors
It is a conflict of interest for you to personally take for yourself opportunities that are discovered through the use of Birch property, information or position with the Birch; to use Birch property or information for personal gain; or to compete with Birch.
There are many types of situations where potential conflicts may arise. You must promptly report any actual or potential conflicts of interest to your immediate supervisor or directly to the Compliance Officer.
Outside Activities and Employment
- You may not conduct outside activities during work time.
- Outside employment must not conflict in any way with your responsibilities to Birch or its clients.
Use of Birch Funds and Resources
- Birch’s assets are to only be used for the benefit of Birch and the people we serve. Assets include funds, equipment, inventory, and office supplies, but also concepts, business plans and strategies, information about people served, financial information, computer property rights, and other business information about Birch.
- You may not use Birch assets for personal gain or give them to any other persons or entities, except in the ordinary course of business as part of an approved transaction.
Confidentiality
- During your employment or contract, you may acquire confidential information about Birch, its staff and people we serve that must be handled in strict confidence and not discussed with outsiders. The protection of confidential business, staff and client information is very important.
Business Dealings Between Birch and Employees
- Birch will not be inappropriately influenced with goods or services from any business in which you or your immediate family members have a substantial interest.
- Property and resources of Birch should only be used for the benefit of Birch or the people we serve.
Maintenance of Records
Employees and contractors must record and report all Birch, client and financial information fully, accurately, and honestly. Records include, but are not limited to, records of the people we serve, documentation of services, accounting books or records, financial statements, timesheets or records, expense reports, vouchers, bills, payroll, claims payment records, correspondence, and any other method of communication. Employees or contractors must not omit or conceal any relevant information.
Guidelines for Employees and Contractors
Many of Birch’s forms are legal documents used to prove that a service was provided, to bill for a service to a client, to record a job task, or to record specific happenings. You must document accurately and honestly, and only for those services that you provided or those events you were involved in.
Falsification of Records
- You must not make any false entries in any of Birch’s records or in any public record for any reason.
- You may not alter any permanent entries in Birch’s records.
- You may only approve payments or receipts on behalf of Birch that are described in documents supporting the transaction. “Slush funds” or similar of-book accounts, where there is no accounting for receipts or expenditures on the Birch books, are strictly prohibited.
- You may not create or participate in the creation of any records that are intended to mislead or to conceal anything that is improper.
Expense Records
- You must always charge expenses accurately and to the appropriate cost center or account, regardless of the financial status of the program, project, or contract, or the budget status of a particular account or line item.
Retention of Records
- The retention, disposal, or destruction of records of or pertaining to Birch must always comply with legal and regulatory requirements and Birch policy.
- You may not destroy records pertaining to litigation or government investigations or audit without express written approval of the Compliance Officer.
Protection of Confidential Information
Birch has developed policies and procedures to assure that the confidentiality of Birch information and information about the people we serve is protected and released only with the appropriate authorization or for lawful reasons, in addition to purposes of treatment, payment, and operations. All employees and contractors are required to comply with Birch’s Privacy Policy. If you have any questions concerning confidential information or the Privacy Policy, contact your immediate supervisor, the Privacy Officer or the Compliance Officer.
Guidelines for Employees and Contractors
You must treat all Birch records and information as confidential.
You may not release confidential information without the proper authorization. Confidential information includes not only information about the people that we serve and their families, but also non-public information about Birch that maybe of use to Birch’s competitors or harmful to Birch or its clients if released.
You must protect Birch information and avoid discussing or disclosing Birch information, purposefully or inadvertently (through casual conversation), to any unauthorized person inside or outside Birch. Furthermore, staff may not share confidential Birch information with anyone, except where required for a legitimate business purpose.
Birch information may not be removed from Birch property without permission from a supervisor or administrator with proper authority over the information. Ask your supervisor if you are not sure whether certain information is confidential.
Termination of Employment
- You may not use any confidential information gained from your employment with Birch for your or another company’s benefit. You may not take copies of any reports, documents, or any other property belonging to Birch.
- Upon termination of employment with Birch, you must return all Birch property including, but not limited to, copies of documents, notes, and other records containing confidential information; computer disks; Birch ID; keys and credit cards.
Information Security
- You are responsible for properly using information stored and produced by all of the Birch’s computer systems.
- Computers, Internet access, email, or other office communications systems are intended for business-related purposes only and not for uses that may be disruptive, offensive, harassing, or harmful to others.
- Do not share your system user name or password with another person or allow another to access the computer with your password.
- All employees and contractors are required to comply with Birch’s electronic communication policy. If you have any questions concerning information security, contact the Director of MIS or the Compliance Officer.
Fair Dealing
Conducting business with providers, contractors, suppliers, people we serve, and competitors may pose ethical problems. Employees and contractors are expected to deal fairly with providers, contractors, people we serve, and competitors.
The Code of Conduct and the following guidelines are intended to help you make appropriate, responsible and correct decisions in these and all matters:
Kickbacks and Rebate
- Kickbacks and rebates in cash, credit, or other forms are prohibited. They are not only unethical, but in most cases, if not all, are illegal.
Gifts and Gratuities and Entertainment
- You may not solicit money, gifts, gratitude, or any other personal benefits or favors of any kind from providers, contractors, producers, accounts, or people we serve and their families.
- You must not offer or accept entertainment primarily intended to gain favor or to influence a business decision.
- Employees may accept gifts from families or clients of a nominal value in appreciation of their work.
Agreements With Contractors and Vendors
Birch must assure that any agreements with contractors and vendors clearly and accurately describe the services to be performed or items to be purchased. Performance standards, and the applicable compensation, if any, must be reasonable in amount, not be excessive in terms of industry practice and must equal the value of the services rendered.
Improper Use of Funds or Assets
Use of Birch’s funds or assets for any improper purpose is strictly prohibited. If you are aware of or have reason to believe that funds or assets are being improperly used, you must report this immediately to your supervisor or the Compliance Officer.
Federal and State Programs
Birch is committed to complying with the laws and regulations that govern the federal and state programs that it administers. Policies and procedures, the Compliance Program, and this Code of Conduct are developed to provide guidance in your day-to-day work. You must abide by the policies and procedures and the standards set by Birch.
Governmental Investigations
There may be times that Birch is asked to cooperate with an investigation by a federal or state governmental agency, or to respond to a request for information. A request may be formally addressed to Birch or an individual within Birch. Employees and contractors must report any requests for information or cooperation with an investigation to the Compliance Officer immediately.
Political Activities and Contributions
Because Birch is a non-profit organization, it is prohibited from engaging in any political campaign activities and any “substantial” amount of lobbying, as defined by law.
Guidelines for Employees and Contractors
Birch funds and resources, including your work time, may not be used for political contributions or activities.
You may not act as a representative of Birch in any political campaign activity. In expressing your personal political views or support or opposition of a candidate for public office, it must be very clear that you are expressing your personal view, support, or opposition as an individual and not a representative of Birch.
Laws and regulations prohibit a “substantial” amount of lobbying. There are allowances for the Birch to advocate its position on public issues. To assure that Birch does not violate any laws or regulations, or risk losing its tax-exempt status, you must seek prior approval from the Compliance Officer before engaging in any lobbying activities. The Compliance Officer may need to consult with legal counsel on the matter and will need to record the amount of time spent in lobbying activities.
Employment Environment
Birch is committed to creating a safe and professional workplace where employees and others are treated with respect and without regard to their race, sex, age, religion, national origin, color, marital status, disability, or other protected characteristics. Business integrity, teamwork, trust, and respect are the Birch’s most important values. Unlawful discrimination or harassment of any sort violates these values. Harassment as defined in this policy is unwelcome verbal, visual or physical conduct creating an intimidating, offensive, or hostile work environment that interferes with work performance. Harassment can be verbal (including slurs, jokes, insults, epithets, gestures or teasing), graphic (including offensive posters, symbols, cartoons, drawings, computer displays, or e-mails) or physical conduct (including physically threatening another, blocking someone’s way, etc.) that denigrates or shows hostility or aversion towards an individual because of any protected characteristic. Such conduct violates this policy, even if it is not unlawful. Because it is difficult to define unlawful harassment, employees are expected to behave at all times in a professional and respectful manner.
All Birch employees must exhibit and promote respect, integrity, trust, and teamwork in the workplace and must comply with this policy prohibiting discrimination and harassment in all facets of Birch’s work.
Guidelines for Employees and Contractors
All employees and contractors are required to support Birch’s commitment to a safe and professional work environment and to demonstrate appropriate behavior in the workplace.
All employees and contractors are prohibited from making jokes, slurs or teasing about another employee’s race, sex, age, religion, national origin, color, marital status, disability, or other protected characteristics.
All employees and contractors are prohibited from considering someone’s race, color, religion, sex, national origin, age, disability, or other protected characteristic in making decisions about hiring, placement, assignment of duties, training, promotion, termination, compensation, benefits and other work terms.
Sexual harassment is prohibited. Sexual harassment includes any form of unwelcome sexual advance, request for sexual favors, or other verbal or physical conduct of a sexual or sex-based nature.
You are responsible for understanding Birch’s policy prohibiting discrimination and sexual harassment. You should consult with the Director of Human Resources or Chief Operating Officer if you have questions about your right to a workplace free from unlawful harassment or discrimination or if you have questions about your duty to avoid discrimination.
Seeking Guidance and Reporting Violations
Employees and contractors must report any actual or suspected violations of this Code of Conduct, any applicable law or regulation, or any Birch policy and procedure to their site or program manager, another member of management, or the Compliance Officer. A Compliance Hotline is also available for confidential or anonymous reporting of such issues. The Compliance Hotline number is (212) 616-1804.
When an actual or suspected violation of this Code of Conduct, any applicable law or regulation, or any Birch policy and procedure is reported to any Birch employee, it must be promptly referred to the Compliance Officer. Steps will be taken to protect confidentiality and anonymity, when appropriate and warranted. Birch will not tolerate any form of retaliation against a person who makes a good-faith report in accordance with this Code of Conduct.
All employees and contractors must cooperate fully and honestly in any investigation into a reported violation of this Code of Conduct, any applicable law or regulation, or Birch policy, procedure, or practice.
Corrective Action and/or Discipline
Any employee or contractor who violates or knowingly fails to report any violation of this Code of Conduct, any applicable law or regulation, or Birch policy, procedure, or practice is subject to appropriate disciplinary action, up to and including termination.
Disciplinary action may range from a warning to suspension or discharge, depending upon the nature of the incident and the relevant surrounding circumstances.
Your Responsibilities
- Attend required training, and read and understand Birch’s Corporate Compliance Plan, Corporate Compliance Policies and Procedures, and Code of Conduct.
- Follow Birch’s Code of Conduct and abide by all policies and procedures, guidelines, and Federal and State laws and regulations.
- Be alert to any situation that could violate Birch’s Code of Conduct, policies and procedures, guidelines, and/or federal and state laws and regulations.
- Promptly report any issues, concerns, violations or suspected violations to your Sire or program manager, other management staff, Director of Human Resources, Compliance Officer, or the Chief Executive Officer.
