Compliance Reporting Policy 

 

Purpose: The Compliance Reporting Policy aims to establish a framework for reporting compliance issues within our organization while ensuring confidentiality, non-intimidation, and non-retaliation towards individuals reporting such issues. This policy is designed to promote transparency, integrity, and accountability in our operations. 

 

Confidentiality: 

1. All individuals reporting compliance issues, whether employees, contractors, agents, or any other stakeholders, shall have their confidentiality maintained throughout the reporting process. 

1. Information pertaining to compliance reports shall only be disclosed to authorized personnel directly involved in the investigation and resolution of the reported issues. 

1. Confidentiality shall be upheld unless the matter is subject to disciplinary proceedings, referred to or under investigation by relevant authorities, or disclosure is required during a legal proceeding. 

 

Non-Intimidation and Non-Retaliation: 

1. It is strictly prohibited to intimidate, threaten, or retaliate against any individual who reports compliance issues in good faith. 

1. Any form of retaliation, including but not limited to adverse employment actions, harassment, or discrimination, against individuals reporting compliance concerns is considered a violation of company policy and will result in disciplinary action, up to and including termination. 

 

Reporting Mechanisms: 

1. We provide multiple channels for reporting compliance issues to ensure accessibility for all stakeholders, including employees, contractors, agents, and service recipients. 

1. The following reporting mechanisms are available: 

1. Phone: Our organization maintains corporate, branch-specific, and general phone lines through which individuals can communicate compliance concerns directly to the appropriate authorities. 

1. SMS: Registration requires a paper form process. Patients can utilize SMS messaging to report compliance issues, ensuring accessibility and ease of use. 

1. Email: Internal and external emails addresses are available on our website, and business cards. Our email communication channel allows stakeholders to submit compliance-related inquiries or reports conveniently 

1. Chat function: Available on our website, the chat function serves as an additional means for stakeholders to communicate compliance concerns in real-time. 

1. Form submission: Through our website, stakeholders can access and submit a form to report compliance issues. 

1. An anonymous reporting mechanism is also available to allow individuals to report potential fraud, waste, and abuse or compliance issues directly to the compliance officer without disclosing their identity. 

 

Anonymous Reporting Mechanisms 

In addition to our standard reporting channels, we offer specific mechanisms for anonymous reporting to encourage individuals to come forward with compliance concerns without fear of reprisal or disclosure of their identity. These anonymous reporting mechanisms are as follows: 

1. Online Reporting Form: 

• Individuals wishing to report compliance issues anonymously can utilize our online reporting form. The form is accessible via the following URL: https://forms.office.com/r/tPBT4qgSSy 

• The online reporting form allows individuals to submit compliance concerns securely and anonymously. No personal information is required to submit a report. 

1. Phone Reporting: 

• Individuals preferring to report compliance issues anonymously via phone can call our dedicated compliance hotline at 929-488-4281. 

• Calls made to the compliance hotline are handled confidentially, and individuals can choose to remain anonymous throughout the reporting process. 

 

These anonymous reporting mechanisms are designed to facilitate the reporting of compliance concerns in a manner that protects the confidentiality of the reporter. Reports submitted through these channels will be promptly reviewed and investigated by our Compliance Officer in accordance with our established procedures. 

 

It is essential to note that while anonymity is respected and protected to the fullest extent possible, individuals using these anonymous reporting mechanisms should provide as much detail and context as possible to facilitate thorough investigation and resolution of reported compliance issues. 

 

Responsibilities: 

1. It is the responsibility of all employees, contractors, and agents to promptly report any compliance concerns or suspected violations of company policies or applicable laws and regulations. 

1. Managers and supervisors are required to encourage open communication and promptly address any compliance issues reported by their team members. 

1. The Compliance Officer is responsible for overseeing the implementation of this policy, ensuring compliance with regulatory requirements, and investigating reported compliance issues in a timely and thorough manner. 

 

Documentation: In the event that no compliance issues are reported during a specified review period, written Policies will include an expectation to maintain the confidentiality of persons reporting compliance issues and the provider’s policy for non-intimidation and non-retaliation. 

 

Training and Awareness: Regular training sessions and awareness programs will be conducted to educate employees, contractors, and agents about their rights and responsibilities under this policy, including the importance of maintaining confidentiality and the consequences of intimidation or retaliation. 

 

Review and Updates: This policy shall be reviewed periodically to ensure its effectiveness and relevance in addressing emerging compliance challenges. Any updates or revisions to the policy will be communicated to all stakeholders in a timely manner. 

 

Compliance with Laws and Regulations: This policy is designed to comply with all relevant laws, regulations, and industry standards governing compliance reporting and confidentiality. 

 

Enforcement: Violation of this policy may result in disciplinary action, up to and including termination of employment or contract, as well as legal consequences in accordance with applicable laws and regulations. 

 

Approval: This policy has been approved by Alex Meyers and is effective 3/15/2024. 

 

Review Date: This policy shall be reviewed annually or as needed to ensure its ongoing effectiveness and compliance with regulatory requirements.