Compliance Standards Manual Resources

The Compliance Standards Manual allows users to access a myriad of resources applicable to each Compliance Program element.

Each Element features OMIG regulatory language, applicable OMIG Minimum Standards, OMIG Compliance Program Review Guidance, OMIG Opportunities for Compliance Program Enhancement, The Arc New York Best Practices, Bureau of Compliance Identified Compliance Program Best Practices, and template policies, assessments, and tools in a centralized location.

The Full Compliance manual and all sample policies are available at the links below. 

View Full Compliance Manual 

Template Policies 

• Element 1: Written Policies and Procedures  
• Element 2: Designate an Employee With Vested Responsibility
• Element 3: Training and Education
• Element 4: Lines of Communication to the Responsible Compliance Position
• Element 5: Disciplinary Policies to Encourage Good Faith Participation
• Element 6: Risk Assessment  
• Element 7: A System for Responding to Compliance Issues
• Element 8: Policy of Non-Intimidation and Non-Retaliation 

Element 1: Written Policies and Procedures 

1. Code of Conduct Policy (Arc of Jefferson St. Lawrence)
2. Corporate Compliance Plan (Madison Cortland Chapter, NYSARC, Inc.)
3. Appendix, Corporate Compliance Plan (Madison Cortland Chapter, NYSARC, Inc.)
4. Arc New York Template Policies:
   1. Compliance Plan [.doc]
   2. Corporate Compliance Structure [.doc]
   3. Code of Conduct [.doc]
   4. Conflict of Interest [.doc]
   5. Reporting Compliance Concerns with Whistleblower [.doc]
   6. Policy Development [.doc]
   7. Client Inducement/Co-payments [.doc]
   8. Contractual Financial Arrangements with Physicians/Stark [.doc]
   9. Detecting and Responding to Compliance Violations; Voluntary Disclosures [.doc]
   10. Employee Discipline [.doc]
   11. Documentation of Services [.doc]
   12. Documentation of Compliance Activities [.doc]
   13. Compliance Program Education and Training of Employees and Others [.doc]
   14. Exclusion Checks [.doc]
   15. Exit Interview and Separation from Service Procedures [.doc]
   16. Gifts and Entertainment [.doc]
   17. Internal Investigations [.doc]
   18. Political Contributions/Lobbying [.doc]
   19. Responding to Government Investigations [.doc]
   20. False Claims [.doc]
   21. Billing Third Party Payors [.doc]

Element 2: Designate an Employee With Vested Responsibility 

1. Compliance Officer Job Description (Arc of Onondaga)
2. Compliance Officer Job Description (Oswego Industries/Arc of Oswego County)
3. Compliance Officer Job Description (The Arc of Schuyler)
4. Corporate Compliance Report/Meeting Structure (The Arc Onondaga)
5. Corporate Compliance Report Form (The Arc Onondaga)
6. Corporate Compliance Report Form (The Arc Oneida-Lewis)
7. Executive Session Guide (BoardSource)
8. Corporate Compliance Committee Meeting Agenda (The Arc New York)

Element 3: Training and Education 

1. New Employee Compliance Training Policy (The Arc Otsego)
2. Pre-Orientation Training Policy and Pre-Orientation Training Checklist (The Arc of Onondaga)
3. Vendor Compliance Program Letter (The Arc of Onondaga)
4. Vendor Code of Conduct (The Arc of Onondaga) 
5. Initial (Formal) Training and Training Policies (The Arc of Onondaga)
6. Initial (Formal) Training Checklist/Outline (The Arc Onondaga)
7. Periodic (Annual) Training (The Arc Herkimer)
8. Compliance Training Test (The Arc Onondaga) 
9. Compliance Training Test (The Arc of Madison Cortland) 
10. Compliance Program Board Training (The Arc Oswego)
11. Ongoing Training/Brief News Blast Example (ACHIEVE)
12. Training Acknowledgment (The Arc of Madison Cortland)
13. Compliance Handbook (The Arc Otsego)
14. Compliance Handbook Acknowledgment (The Arc Otsego) 

Element 4: Lines of Communication to the Responsible Compliance Position

1. Confidentiality Policy (The Arc Otsego)
2. Compliance Hotline Policy (The Arc Otsego)
3. Compliance Hotline Policy & Poster (The Arc of Madison-Cortland)
4. Other Forms of Communication (The Arc Otsego)
5. Ethics Helpline Policy (The Arc Jefferson-St. Lawrence)
6. Compliance Line Poster (The Arc Otsego)

Element 5: Disciplinary Policies to Encourage Good Faith Participation

1. Detecting and Responding to Violations; Voluntary Disclosures (The Arc of Madison-Cortland)
2. Discipline and Incentive Program Policy (The Arc of Madison-Cortland)
3. Enforcement and Discipline Procedure (The Arc of Madison-Cortland)
4. Responding to Detected Offenses (The Arc of Madison-Cortland) A “Response to Reported Compliance Issue” Template is included with this policy
5. Compliance Event Tracking Log (The Arc New York) [.xls]

Element 6: Risk Assessment  

1. Risk Assessment Summary (The Arc St. Lawrence)
2. The Arc New York Assessment Interview Questionnaire (The Arc New York) [.doc]
3. Model Risk Assessment (The Arc New York) [.xls]
4. Model Risk Assessment Policy and Procedures (The Arc New York)
5. Model Risk Assessment – Instructions for Use (The Arc New York)
6. Compliance Issue Tracking Form (The Arc Onondaga)
7. Compliance Issue Chart (The Arc Onondaga)
8. Auditing and Monitoring Policy (The Arc of Onondaga)

Element 7: A System for Responding to Compliance Issues

1. Corporate Compliance Procedure (The Arc Jefferson-St. Lawrence)
2. Internal Investigations Policy (The Arc Jefferson-St. Lawrence)
3. Internal Investigations Policy (The Arc Onondaga)
4. Detecting and Responding to Violations (The Arc Jefferson-St. Lawrence)

Element 8: Policy of Non-Intimidation and Non-Retaliation 

1. Reporting Compliance Concerns with Whistleblower (The Arc New York) [.doc]