Advocacy and ResourceCenter

Agency Policy and Procedure

Section # 100 Agency OrganizationCreated: 1/24/07

Topic # 140Corporate Compliance PlanRevision: 12/15/08;9/11/14

Title #140.5Conflict of Interest

Reference:Non-profit Revitalization Act of 2013

Board of Directors Approval: January 24, 2007 ;12/17/2008; 09/24/14

Applicability:

The following policies and procedures are applicable to members of the Board of Directors, Board committee members, contract agents, and allemployees of the Advocacy and ResourceCenter.

Policy:

  1. Members of the Board of Directorsand employeesof the Advocacy and ResourceCenterare to participate in initial and annual training for the purpose of obtaining relevant information regarding personal associations and relationships which may comprise a potential or perceived conflict of interest.
  1. A record of all pertinent training received, as well as a record of disclosures of situations which may comprise a potential or perceived conflict of interest, are to be maintained in a manner which will facilitate monitoring and enforcement of these requirements.
  1. Members of the Board of Directors, Board committee members and all volunteersand employeesare to immediately disclose all associations or relationships which may potentially compromise, or be perceived to compromise, their ability to perform their duties in an objective, unbiased, and ethical manner. Prior to the election of any member of the board of directors, the candidate must submit a written statement to the secretary of the boardidentifying any entity of which the candidate is an officer, director, trustee, member, owner, or employee and with which the agency is a participant and in which the candidate might have a conflicting interest.
  1. It is expected that members of the Board of Directors, Board committee members and all employees will, in spite of any reported conflict of interest, perform their duties in a manner which is in the best interests of the agency and the individuals served. It is expected that any member of the Board of Directors with a conflict not be present or participate in deliberations and/or votes on the matter giving rise to the conflict. The agency may take action, however, to reassign or otherwise dissociate a person from an activity in which the interests of the agency or individual served could be compromised due to the conflict. Documentation of such resolutions involving employees will be maintained by Human Resources, and documentation of resolutions involving board and committee members will be maintained by the Audit Committee.
  1. An employee who willingly fails to participate in required training and/or fails to disclose associations or relationships which may comprise a potential or perceived conflict of interest, is subject to disciplinary action up to and including dismissal from employment.
  1. Board Committee Members who are not members of the Board of Directors are required annually to be provided with a copy of these Conflict of Interest policies and procedures and to submit a signed Conflict of Interest Disclosure Statement. They are otherwise required to report all potential or perceived conflicts of interest immediately.
  1. Contract agents, unless subject to annual contract renewal, are required to be provided with a copy of these Conflict of Interest policies and procedures and to submit a signed Conflict of Interest Disclosure Statement every three years. They are otherwise required to report all potential or perceived conflicts of interest immediately.

Procedure:

Employee:

  1. All employees, regardless of title, within 30 days of initial hire or re-instatement, and annually thereafter, will be required to participate in formal training pertaining to the Corporate Compliance Policies and Procedures of the agency including the agency’s policies pertaining to conflict of interest. At such time, all participants will be required to disclose in writing (see Agency Form #140.5) the existence, or non-existence, of any association or relationship which may constitute a potential or perceived conflict of interest.
  1. A record of each employee’s initial and annual training will be maintained and will be accessible to the Director of Quality Management for on-going compliance monitoring activities. Individualized efforts to obtain compliance from those persons will be initiated. If sufficient evidence exists that an employee has willingly failed to participate in the above training and/or disclose potential or perceived conflicts of interest, disciplinary action will be initiated up to and including action to dismiss an employee.
  1. Potential or perceived conflicts of interest may be reported by employees, in person, during regular business hours, to anyone in the Quality Management Office, which is located at 231 New York Road, Plattsburgh, NY. Reporters will be asked to complete Agency Form #140.5F “Record of Disclosure of Potential Conflict of Interest”.
  1. Potential or perceived conflicts of interest which must be immediately disclosed, include but are not limited to the following examples:
  • Ownership by an employee or member of an employee’s immediate family of a significant financial interest in a business that does business with, seeks to do business with or is a competitor of the Advocacy and ResourceCenter.
  • Serving as a director, officer, consultant or other key role in any outside entity that does or seeks to do business with or is a competitor of the Advocacy and ResourceCenter.
  • Other circumstances, including family and personal relationships, which might prevent the employee from acting in the best interest of the agency.
  • Maintaining outside employment as defined in the Personnel Policy and Procedures 4.40 Outside Employment.
  1. A record of any disclosures of potential or perceived conflicts of interest will be entered into each employee’s Personnel Record.
  1. Documentation of the existence and resolution of conflicts of interest for employees is maintained by Human Resources.
  1. Any questions or concerns about potential conflicts may be directed to the employee’s supervisor or manager, the Human Resources office, and/or the Quality Management Office.

Board Member:

  1. Members of the Board of Directors, within 30 days of appointment to the board, and annually thereafter, will be required to participate in formal training pertaining to the Corporate Compliance Policies and Procedures of the agency including the agency’s policies pertaining to conflict of interest. At such time, all participants will be required to disclose in writing (see Agency Form #140.51F) the existence, or non-existence, of any association or relationship which may constitute a potential or perceived conflict of interest.
  1. A record of each Board Member’s initial and annual training will be maintained by the Compliance Officer and be monitored bythe Audit Committee for on-going compliance monitoring activities. If sufficient evidence exists that a Board Member has willingly failed to participate in the above training and/or disclose potential or perceived conflicts of interest, such information will be provided to the Audit Committee.
  1. Members of the Board of Directors and Board committee members may report disclosures to the Audit Committee in addition to completing Agency Form #140.51F “Board Member Conflict of Interest Statement”.
  1. Potential or perceived conflicts of interest which must be immediately disclosed, include but are not limited to the following examples:
  • Ownership by an employee or member of an employee’s immediate family of a significant financial interest in a business that does business with, seeks to do business with or is a competitor of the Advocacy and ResourceCenter.
  • Serving as a director, officer, consultant or other key role in any outside entity that does or seeks to do business with or is a competitor of the Advocacy and ResourceCenter.
  • Other circumstances, including family and personal relationships, which might prevent the employee from acting in the best interest of the agency.
  1. Disclosures of board and committee members’potential or perceived conflicts of interest will be reported to the Audit Committee.

Guiding principles with respect to avoiding conflicts of interest are:

  • The interest of the agency and the individuals being served are to take priority, at all times, over private business matters
  • A business opportunity which belongs to the Advocacy and ResourceCenter, or which is based on confidential information not available to the public, shall not be used for personal gain or for any purpose contrary to the agency’s interests.
  1. Board and committee members’ disclosure of potential or perceived conflicts of interest will be maintained by the Audit Committee.

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