Disclaimer Employee Acts - PDF

Document Sample
Disclaimer Employee Acts - PDF Powered By Docstoc
					                            EMPLOYEE POLICY MANUAL
                                      Revised January 2009




**DISCLAIMER: If any material in this policy manual contradicts policies in the Collective Bargaining Agreement,
then the policies of the QSAC EMPLOYEE POLICY MANUAL are superseded for Collective Bargaining Unit
employees by the policies in the Collective Bargaining Agreement.
                                                         
THIS PAGE LAST UPDATED:            January 2009        SUPERSEDES ALL PREVIOUS POLICIES
                                                                Table of Contents
        I. FOREWORD................................................................................................................................. 1
               WELCOME TO QSAC!.................................................................................................................................................1
               THE EMPLOYEE MANUAL .........................................................................................................................................1
               QSAC ENVIRONMENT ................................................................................................................................................2
               MANAGEMENT RESPONSIBILITY.............................................................................................................................2
               EMPLOYMENT “AT WILL” .........................................................................................................................................2

        II. BOARD OF DIRECTORS............................................................................................................ 3
        III. HIRING PRACTICES.................................................................................................................. 3
               1.      AFFIRMATIVE ACTION STATEMENT ..............................................................................................................3
               2.      EQUAL EMPLOYMENT OPPORTUNITY STATEMENT ...................................................................................4
               3.      AMERICANS WITH DISABILITIES ACT (ADA) ................................................................................................4
               4.      NEPOTISM.........................................................................................................................................................4
               5.      RECRUITMENT .................................................................................................................................................5
                           Preference For Internal Candidates.......................................................................... 5
                           Testing/Screening ...................................................................................................... 5
                           Employment Applications ......................................................................................... 5
                           Interviewing................................................................................................................. 6
                           References .................................................................................................................. 6
                           Letter Of Hire............................................................................................................... 6
               6.      EMPLOYMENT CLASSIFICATION ...................................................................................................................6
                           Staff Categories:......................................................................................................... 6
                           Exempt and Nonexempt Classification .................................................................... 6
               7.      ORIENTATION...................................................................................................................................................7
                           Orientation To The Organization .............................................................................. 7
                           Orientation To The Job .............................................................................................. 7
               8.      INTRODUCTORY PERIOD ................................................................................................................................7
               9.      TB (PPD) TESTING............................................................................................................................................7
               10.     HEPATITIS B VACCINATION............................................................................................................................8
               11.     JOB REFERENCE .............................................................................................................................................8

        IV. SALARY ADMINISTRATION..................................................................................................... 8
               1.      SALARY.............................................................................................................................................................8
               2.      RAISES ..............................................................................................................................................................8
               3.      PAY ADVANCES ...............................................................................................................................................9
               4.      PAYROLL DEDUCTIONS..................................................................................................................................9
               5.      ADMINISTRATIVE PAY CORRECTIONS/PAYDAYS .......................................................................................9

        V. EMPLOYEE RECORDS ADMINISTRATION ........................................................................... 10
               1.      PERSONNEL RECORDS ................................................................................................................................10
               2.      PERSONNEL DATA CHANGES......................................................................................................................10

        VI. PERFORMANCE...................................................................................................................... 11
               1.      JOB DESCRIPTIONS ......................................................................................................................................11
               2.      PERFORMANCE APPRAISALS .....................................................................................................................11
               3.      PROBATION ....................................................................................................................................................11
               4.      PROMOTIONS, TRANSFERS, AND DEMOTIONS .........................................................................................12
                           Promotions and Transfers....................................................................................... 12
                           Demotions ................................................................................................................. 12
        VII. PERFORMANCE & DISCIPLINE PROCEDURES ................................................................. 13
               1.      CRIMINAL ACTS AGAINST QSAC PROPERTY ............................................................................................13
               2.      DISCIPLINARY PHILOSOPHY........................................................................................................................13
               3.      DISMISSAL ......................................................................................................................................................13
               4.      FRATERNIZATION ..........................................................................................................................................14
                           Persons Currently Served: ...................................................................................... 14
                           Persons Formerly Served:....................................................................................... 14
               5.      SUSPECTED ILLICIT ACTIVITY .....................................................................................................................15
                           Violence Against Clients.......................................................................................... 15


**DISCLAIMER: If any material in this policy manual contradicts policies in the Collective Bargaining Agreement,
then the policies of the QSAC EMPLOYEE POLICY MANUAL are superseded for Collective Bargaining Unit
employees by the policies in the Collective Bargaining Agreement.
                                                                                          
THIS PAGE LAST UPDATED:                            January 2009                       SUPERSEDES ALL PREVIOUS POLICIES
                           Use Of Physical Restraint........................................................................................ 15
               6.       SUSPENSION ..................................................................................................................................................16
               7.       WARNINGS......................................................................................................................................................16

        VIII. END OF EMPLOYMENT........................................................................................................16
               1.       RESIGNATION.................................................................................................................................................16
               2.       ABANDONMENT OF JOB ...............................................................................................................................17
               3.       EXIT INTERVIEW.............................................................................................................................................17
                           Guidelines ................................................................................................................. 17
               4.       FINAL PAY/BENEFIT CONTINUATION ..........................................................................................................17
               5.       LAYOFFS.........................................................................................................................................................18
               6.       SEVERANCE PAY ...........................................................................................................................................18

        IX. BENEFITS ................................................................................................................................ 18
               1.       BENEFIT DETERMINATION/CHANGE OF WORK SCHEDULE ....................................................................18
               2.       BONUSES........................................................................................................................................................19
               3.       HEALTH & WELFARE INSURANCE...............................................................................................................19
               4.       C.O.B.R.A. RIGHTS & NOTICE .......................................................................................................................20
               5.       SPENDING ACCOUNTS..................................................................................................................................23
               6.       HOLIDAYS .......................................................................................................................................................24
               7.       PERSONAL TIME OFF (PTO) – (VACATION, SICK, ETC.) ............................................................................24
                           Accruing PTO............................................................................................................ 24
                           Using PTO ................................................................................................................. 25
                           Unused PTO .............................................................................................................. 26
                           Forfeiture Policy ....................................................................................................... 26
               8.       COMPENSATORY TIME .................................................................................................................................26
               9.       SHORT TERM DISABILITY .............................................................................................................................26
               10.      TUITION REIMBURSEMENT...........................................................................................................................26
               11.      WORKERS’ COMPENSATION........................................................................................................................27
                           Reporting................................................................................................................... 27
        X. LEAVES OF ABSENCE............................................................................................................ 27
               GENERAL PRACTICES FOR ALL LEAVES OF ABSENCE.....................................................................................27
               1.  PERSONAL LEAVE.........................................................................................................................................27
               2.  BEREAVEMENT ..............................................................................................................................................28
               3.  JURY DUTY .....................................................................................................................................................28
               4.  MILITARY LEAVE............................................................................................................................................28
               5.  FAMILY MILITARY LEAVE ACT (NEW YORK STATE)..................................................................................29
               6.  THE FAMILY AND MEDICAL LEAVE ACT OF 1993.......................................................................................29
                           Leave Entitlement..................................................................................................... 30
               SERVICE MEMBER FMLA LEAVE ..................................................................................................................................30
               DURATION OF SERVICE MEMBER FMLA........................................................................................................................30
                           Intermittent Leave..................................................................................................... 30
                           Maintenance Of Health Benefits ............................................................................. 32
                           Job Restoration ........................................................................................................ 32
                           Notice and Certification ........................................................................................... 32
                           Unlawful Acts............................................................................................................ 33
                           Other Provisions....................................................................................................... 33
               7.       NEW YORK STATE NURSING MOTHER'S LAW ...........................................................................................33

        XI. EMPLOYMENT PRACTICES .................................................................................................. 34
               1.       ATTENDANCE AND PUNCTUALITY ..............................................................................................................34
               2.       BULLETIN BOARDS .......................................................................................................................................34
               3.       CLIENT CONFIDENTIALITY ...........................................................................................................................34
               4.       HEALTH INSURANCE PORTABILITY AND ACCOUTABILITY ACT (HIPAA) ................................................35
                           QSAC’S HIPAA Policy For Staff .............................................................................. 35
                           Statement Of Policy.................................................................................................. 35
                           Minimum Necessary Standard In Routine Situations........................................... 37
                           Exceptions ................................................................................................................ 38
               5.       FUNDRAISING ACTIVITIES – ISSUES FOR ALL STAFF ..............................................................................39
                           Violations................................................................................................................... 39
               6.       CONFLICT OF INTEREST ...............................................................................................................................39
                           Outside Business Interests ..................................................................................... 40
                           Gifts And Gratuities.................................................................................................. 40
**DISCLAIMER: If any material in this policy manual contradicts policies in the Collective Bargaining Agreement,
then the policies of the QSAC EMPLOYEE POLICY MANUAL are superseded for Collective Bargaining Unit
employees by the policies in the Collective Bargaining Agreement.
THIS PAGE LAST UPDATED:              January 2009       SUPERSEDES ALL PREVIOUS POLICIES
                           Personal Beliefs........................................................................................................ 40
               7.       DRESS CODE ..................................................................................................................................................40
               8.       DRUG & ALCOHOL FREE WORKPLACE ......................................................................................................40
               9.       E-MAIL, VOICE MAIL, ELECTRONIC COMMUNICATIONS POLICY ............................................................41
               10.      EMPLOYEES WITH LIFE-THREATENING ILLNESSES ................................................................................43
               11.      EXPOSURE TO BODILY FLUIDS....................................................................................................................43
               12.      INCLEMENT WEATHER & EMERGENCY CLOSINGS ..................................................................................45
               13.      ISSUANCE OF IDENTIFICATION CARDS ......................................................................................................46
               14.      JOB EXPENSES ..............................................................................................................................................46
               15.      LICENSES AND CERTIFICATIONS ................................................................................................................46
               16.      VEHICLES........................................................................................................................................................46
               17.      MAIL.................................................................................................................................................................47
               18.      PROFESSIONAL CONDUCT ..........................................................................................................................48
               19.      RECYCLING ....................................................................................................................................................49
               20.      SAFETY STANDARDS AND EMERGENCY PROCEDURES .........................................................................49
                           Fire Prevention ......................................................................................................... 49
                           Fire Emergency......................................................................................................... 49
                           Power Failures .......................................................................................................... 50
                           First Aid/Workers Compensation ........................................................................... 50
               21.      SOLICITATION AND DISTRIBUTION .............................................................................................................50
               22.      SPEAKING TO THE MEDIA.............................................................................................................................50
               23.      TELEPHONE & OTHER COMMUNICATION SERVICES ...............................................................................50
                           QSAC Supplied Cell Phone Usage ......................................................................... 51
                           Use Of Cell Phones While Driving .......................................................................... 51
               24.      USE OF QSAC PROPERTY.............................................................................................................................51
               25.      WORKPLACE MONITORING..........................................................................................................................51
               26.      WORK SCHEDULES .......................................................................................................................................52

        XII. EMPLOYEE RELATIONS....................................................................................................... 53
               1.       OPEN DOOR POLICY......................................................................................................................................53
               2.       PROBLEM RESOLUTION ...............................................................................................................................53
               3.       OUTSIDE EMPLOYMENT OF EMPLOYEES ..................................................................................................53
                           Employment Disclosure........................................................................................... 53
               4.       POLITICAL ACTIVITY .....................................................................................................................................54
               5.       PROFESSIONAL DEVELOPMENT/PROFESSIONAL MEMBERSHIPS........................................................54
               6.       SERIOUS OR FATAL ACCIDENT ...................................................................................................................55
               7.       SEXUAL HARASSMENT.................................................................................................................................56
                           Allegations Of Consumer Abuse ............................................................................ 57
                           False Allegations ...................................................................................................... 57
               8.       CONSUMER PROTECTION/COMMUNITY OUTINGS....................................................................................57
               9.       SOCIAL SECURITY NUMBER PROTECTION ................................................................................................57
               10.      SUGGESTIONS/COMPLAINT PROCEDURE .................................................................................................58
               11.      VISITORS.........................................................................................................................................................58

        XIII. APPENDIX ............................................................................................................................. 58
               1.       RESIDENTIAL AND DAY HAB ADDENDUM ..................................................................................................58
                           a. Inclement Weather & Emergency Closing...................................................... 58
                           b. Licenses & Certifications ................................................................................. 59
                           c. Shift Coverage................................................................................................... 59
                           d. Sick Call Policy (Day/Afternoon/Evening Shift) ............................................. 59
                           e. Sick Call Policy (Overnight Shift) ................................................................... 59
                           f. Residential Closings......................................................................................... 59
                           g. PTO for Residential Staff.................................................................................. 59
                           h. Holiday Coverage.............................................................................................. 59
                           i. Holiday Double Time.......................................................................................... 59
               2.       PRESCHOOL ADDENDUM .............................................................................................................................60

        XIV. QSAC WHISTLE BLOWER POLICY .................................................................................... 61
               FALSE CLAIMS .........................................................................................................................................................61

        XV. CORPORATE COMPLIANCE PLAN ..................................................................................... 74



**DISCLAIMER: If any material in this policy manual contradicts policies in the Collective Bargaining Agreement,
then the policies of the QSAC EMPLOYEE POLICY MANUAL are superseded for Collective Bargaining Unit
employees by the policies in the Collective Bargaining Agreement.
THIS PAGE LAST UPDATED:              January 2009       SUPERSEDES ALL PREVIOUS POLICIES
                                            I. FOREWORD
WELCOME TO QSAC!

On behalf of your colleagues, we welcome you and wish you every success here.

We believe that each employee contributes directly to QSAC's growth and success, and we
hope you will take pride in being a member of our team.

This handbook was developed to describe some of the expectations of our employees and to
outline the policies, programs, and benefits available to eligible employees. Employees should
familiarize themselves with the contents of the employee handbook as soon as possible, for it
will answer many questions about employment with QSAC.

We hope that your experience here will be challenging, enjoyable, and rewarding. Again,
welcome!

Sincerely,

Gary Maffei
Executive Director

THE EMPLOYEE MANUAL

This Employee Manual is an outline of the basic personnel policies, practices, and procedures
at QSAC, INC. (“QSAC” or the “Agency”). It contains general statements of Agency policy and it
should not be read as including the fine details of each policy, nor as forming an expressed or
implied contract or promise that the policies discussed in it will be applied in all cases. No
employees have contracts with the Agency and nothing in this handbook creates or is intended
to create such a contract.

The Agency may add to the policies in the Manual or revoke or modify them from time to time.
Management will try to keep the Manual current, but there may be times when policy will change
without notice and without a written revision of the Manual.

The Director of Human Resources shall be responsible for the custody and distribution of copies
of this Manual.

This manual will be online at www.qsac.com. Individuals are encouraged to access the manual
online. Upon request employees will be given a hard copy of the Manual. Any questions
regarding the Manual should be directed to your immediate supervisor. All employees will be
issued an “Employee Handbook” which is a listing of all policy sections and includes the details
of what we deem to be the most important policies.

This Manual will be updated periodically by means of new or replacement items, which will
reflect the date of issuance. These pages should be inserted in the manual or used to replace
the previous items in the manual and the Table of Contents should be revised accordingly.

**DISCLAIMER: If any material in this policy manual contradicts policies in the Collective Bargaining Agreement,
then the policies of the QSAC EMPLOYEE POLICY MANUAL are superseded for Collective Bargaining Unit
employees by the policies in the Collective Bargaining Agreement.
                                                       1 
THIS PAGE LAST UPDATED:            January 2009        SUPERSEDES ALL PREVIOUS POLICIES
Periodically a complete new Table of Contents will be issued reflecting all revised updated
items.

QSAC ENVIRONMENT

We believe that the work conditions, wages, and benefits we offer to QSAC employees are
competitive with those offered by other employers in this area and in this industry. If you have
concerns about work conditions or compensation, we strongly encourage you to express these
concerns openly and directly to your supervisor.

Our experience has shown that when employees deal openly and directly with management, the
work environment can be excellent, communications can be clear, and attitudes can be positive.
We believe that QSAC fully demonstrates its commitment to employees by responding
effectively to employee concerns.

As some employees at QSAC have already chosen third party representation, we affirm our
commitment to retaining positive relationships with all existing bargaining units.

MANAGEMENT RESPONSIBILITY

Notwithstanding any provision set forth in this Manual, QSAC retains the sole right to exercise
all managerial functions including, but not limited to, the rights:

    a. To dismiss, assign, supervise, and discipline employees;
    b. To determine and change starting times, quitting times, and shifts;
    c. To transfer employees within units or into other units and other classifications;
    d. To determine and change the size of and qualifications of the work force;
    e. To establish, change, and abolish policies, practices, rules, and regulations at will and as
       it sees fit;
    f. To determine and change methods by which its operations are carried out;
    g. To determine and change the nature and location of services rendered; and
    h. To assign duties to employees in accordance with the Agency’s needs and
       requirements, and to carry out all ordinary administrative and management functions.

EMPLOYMENT “AT WILL”

Employment at QSAC is “at will”. All employees of QSAC have the right to resign at any time for
any reason. Similarly, QSAC has the right to terminate any employee’s employment at any time
with or without notice, except in those instances where third party contractual representation
may dictate otherwise. Statements of specific grounds for termination set forth in this manual or
in any other agency documents are examples only, not all-inclusive lists, and are not intended to
restrict the agency’s right to terminate at will.




**DISCLAIMER: If any material in this policy manual contradicts policies in the Collective Bargaining Agreement,
then the policies of the QSAC EMPLOYEE POLICY MANUAL are superseded for Collective Bargaining Unit
employees by the policies in the Collective Bargaining Agreement.
                                                         2
       THIS PAGE LAST UPDATED:              January 2009      SUPERSEDES ALL PREVIOUS POLICIES
                                  II. BOARD OF DIRECTORS
The Board of Directors of QSAC is responsible for setting policies for its employees. The Board
employs the Executive Director, to whom it delegates responsibility for the day-to-day
administration of the nonprofit. The Executive Director manages the employees, using policies
approved by the Board of Directors.

QSAC’s employees are ultimately accountable to the Executive Director, through whom all
communication to the Board is channeled.

The President is the chief elected corporate officer of QSAC and the Executive Director is the
Chief Executive Officer. The Executive Director delegates responsibilities as appropriate.


                                     III. HIRING PRACTICES
1. AFFIRMATIVE ACTION STATEMENT

    Every staff member employed by QSAC shall be selected under fair employment
    procedures that provide equal employment opportunities to all people and that includes full
    commitment to an Affirmative Action Program.

    It is the policy of QSAC to recruit, hire, train and promote employees without discrimination
    because of race, disability, color, creed, religion, sex, sexual orientation, age, national origin,
    marital status, ancestry, citizenship status, or any other classification protected by law.
    QSAC operates without discrimination to assure equal employment opportunity. This, we
    state affirmatively, applies to persons served by QSAC, to its staff and to membership on the
    governing Board.

    We will attempt to achieve and maintain a diverse work force.

    These steps may include, but are not limited to, the following:

        1. Pursuing our goal along with regular review by the Board of Directors.
        2. Ensuring that QSAC’s policy regarding equal employment opportunity is
           communicated to all employees and applicants.
        3. Ensuring that hiring, training, promotion and salary administration practices are fair
           and consistent with the policy of QSAC.
        4. Reporting to the Board of Directors on all activities and efforts to implement QSAC’s
           policy of equal employment opportunities.
        5. To the extent that our staff is not diverse, we will make special recruitment efforts as
           part of this plan.

    Each supervisor and member of the management staff must provide equal opportunity for all
    employees with regard to work assignments, training, transfer, advancement, and other
    conditions and privileges of employment, and to work to assure a continuation of this policy
    of equal employment opportunity.

**DISCLAIMER: If any material in this policy manual contradicts policies in the Collective Bargaining Agreement,
then the policies of the QSAC EMPLOYEE POLICY MANUAL are superseded for Collective Bargaining Unit
employees by the policies in the Collective Bargaining Agreement.
                                                         3
       THIS PAGE LAST UPDATED:              January 2009      SUPERSEDES ALL PREVIOUS POLICIES
2. EQUAL EMPLOYMENT OPPORTUNITY STATEMENT

    QSAC believes that equal opportunity for all employees is important for the continuing
    success of our organization. QSAC is committed to equal opportunity for all applicants and
    employees in all personnel matters.

    In accordance with state and federal law, QSAC will not discriminate against an employee or
    applicant for employment because of race, disability, color, creed, religion, sex, sexual
    orientation, age, national origin, marital status, ancestry, citizenship status, any other
    classifications protected by law, or non-job related factors in hiring, promoting, demoting,
    training, benefits, transfers, layoffs, terminations, recommendations, rates of pay or other
    forms of compensation. Opportunity is provided to all employees based on qualifications and
    job requirements.

3. AMERICANS WITH DISABILITIES ACT (ADA)

    QSAC welcomes applications from people with disabilities. QSAC complies with the
    Americans with Disabilities Act (ADA) of 1990. For example, by:

        •   Considering all applicants with disabilities for employment using the same criteria as
            are used for the employment of persons without disabilities.
        •   Considering employees with disabilities for promotion using the same criteria that are
            used for the promotion of employees without disabilities.
        •   Taking steps to make its facilities barrier-free and accessible according to
            appropriate federal and state statutes.
        •   Making scheduling and other adjustments to reasonably accommodate employees
            with disabilities.
        •   Educating employees to the fact that individuals with disabilities are employed by
            QSAC and should not be discriminated against.
        •   Posting notices explaining the provisions of ADA and staff rights under the law.

4. NEPOTISM

    Although it is QSAC’s policy to discourage bringing family relationships into the workplace,
    individuals who are family members of a QSAC employee may apply and will be evaluated
    taking into account their individual merits and the needs of the Agency.

    Applicants will be asked to disclose any possible conflicts of interest that they might have as
    a QSAC employee. If a QSAC staff person introduces an applicant, the employee must
    disclose if a family relationship exists.

    QSAC defines “Family” as including anyone related by blood, marriage or the sharing of a
    household.

    The following guidelines apply:

        •   No supervisor is permitted to hire a family member to be employed under his/her
            supervision.

**DISCLAIMER: If any material in this policy manual contradicts policies in the Collective Bargaining Agreement,
then the policies of the QSAC EMPLOYEE POLICY MANUAL are superseded for Collective Bargaining Unit
employees by the policies in the Collective Bargaining Agreement.
                                                         4
       THIS PAGE LAST UPDATED:              January 2009      SUPERSEDES ALL PREVIOUS POLICIES
        •   When more than one family member works for QSAC, one may not directly
            supervise the other.
        •   Family members will not be involved in evaluating each other’s job performance or in
            making recommendations or approving salary adjustments, promotions or other
            personnel decisions.

        Employees hired before this policy became effective (1/1/96) are exempted.

5. RECRUITMENT

    QSAC fills job openings with qualified applicants. Job openings and instructions for applying
    are posted on an office bulletin board. QSAC may begin an external search for applicants
    simultaneously with the job postings.

    The following paragraphs summarize the major elements of our hiring policies.

    Preference For Internal Candidates
    Job openings are filled by qualified persons from within QSAC when possible. Preference is
    given to internal candidates over external candidates when both are equally qualified.
    However, internal candidates are not guaranteed the positions for which they apply.

    Testing/Screening
    Applicants for certain positions may be required to fill out a standard screening instrument
    and take a test as a condition of being considered for employment. Recently enacted
    legislation requires certain prospective employees to be fingerprinted and have a criminal
    background check processed. These employees must either begin employment after the
    proscribed period to allow processing of the background check or be limited to supervised
    employment. Employees who may be required to drive QSAC vehicles will have a report run
    of their Motor Vehicle record.

    All employment is offered conditionally, pending the results of any background checks. The
    existence of a criminal record does not automatically disqualify a candidate from being
    hired. All criminal history is reviewed for relevance to position, age at conviction, and time-
    elapsed since conviction among other factors. Failure to disclose a criminal conviction on
    QSAC’s employment application or to disclose a criminal conviction subsequent to being
    hired may lead to immediate termination.

    Employment Applications
    We rely on the accuracy of the information contained in employment applications. We also
    expect that applicants/employees and references give accurate and true information during
    the hiring process and employment. If QSAC determines that any information is misleading,
    false, or was left out on purpose, QSAC may reject an applicant from further consideration. If
    the person was already hired, it could result in termination of employment.

    If QSAC take an adverse employment action based in whole or in part on a background
    report, a copy of the report and a summary of your rights under the applicable law will be
    provided as well as any other documents required by law.


**DISCLAIMER: If any material in this policy manual contradicts policies in the Collective Bargaining Agreement,
then the policies of the QSAC EMPLOYEE POLICY MANUAL are superseded for Collective Bargaining Unit
employees by the policies in the Collective Bargaining Agreement.
                                                         5
       THIS PAGE LAST UPDATED:              January 2009      SUPERSEDES ALL PREVIOUS POLICIES
    Interviewing
    Applications will be reviewed to determine who should become candidates for a job. Job
    candidates may be interviewed by more than one person, including the position’s
    supervisor.

    References
    References will be checked on all candidates to whom job offers may be made. Law
    Enforcement record checks also may be required.

    Letter Of Hire
    Upon selection of a candidate to fill an open full-time position, the Executive Director will
    send that candidate two copies of a letter of hire, which states the specific position, starting
    date, beginning pay or salary, and the offer of employment. Part-time employees will
    receive a confirmation from Human Resources of their start date, starting salary,
    department, supervisor and schedule.

    The prospective employee is asked to sign and return one of the letters, either accepting or
    declining the position. He/She will retain the other for his/her files.

6. EMPLOYMENT CLASSIFICATION
   The Executive Director shall be employed by the Board of Directors on the recommendation
   of the search committee appointed by the President and with the concurrence of the Board.
   The personnel committee of the Board shall be involved in an advisory and consultative role
   in the selection of leadership personnel.

    Staff Categories:
       • Introductory – an individual who has worked at QSAC less than six months and
           whose performance is being evaluated
       • Full-time - an individual who works 35 hours per week, 52 weeks a year.
       • Hourly employees - an individual who works on an hourly basis.

    Exempt and Nonexempt Classification
    Employees are classified as “exempt” or “nonexempt”.

        “Exempt employees” are not subject to overtime, which includes employees who earn
        over $455 a week and are responsible for:
           1. office work related to management or business operations; or
           2. work directly related to instruction or training carried on in the administration of a
               school or educational establishment; and
           3. must regularly use discretion and independent judgment and have the authority
               to make important decisions (i.e. Directors, Assistant Directors, Coordinators,
               Group Leaders, Supervisors, Teachers, Behavior Evaluators, etc.).

        “Nonexempt employees” - Any employee who does not meet the qualifications for
        exemption are included in the term “nonexempt” (i.e. Direct Care Workers, Case
        Managers, etc.).




**DISCLAIMER: If any material in this policy manual contradicts policies in the Collective Bargaining Agreement,
then the policies of the QSAC EMPLOYEE POLICY MANUAL are superseded for Collective Bargaining Unit
employees by the policies in the Collective Bargaining Agreement.
                                                         6
       THIS PAGE LAST UPDATED:              January 2009      SUPERSEDES ALL PREVIOUS POLICIES
7. ORIENTATION

    New employees will undergo an orientation to acquaint them with QSAC’s policies and
    procedures, their jobs, and working relationships. The orientation will consist of two parts:

    Orientation To The Organization
    The Director of Human Resources generally will coordinate orientation to QSAC, to
    compensation and benefits, and to our expectations of employees. As part of the orientation,
    the employee will receive a copy of the employee packet, which contains QSAC’s personnel
    policies and will be asked to sign a document stating he or she has received the material
    and it is the employee’s responsibility to read and comply with the material in it.

    Orientation To The Job
    The new employee’s immediate supervisor, as designated by the Executive Director,
    generally will orient the employee to the job and the internal and external working
    relationships.

8. INTRODUCTORY PERIOD

    Newly hired employees include any employee who returns after one year from separation of
    employment with QSAC. Newly hired employees are not eligible to take or be paid for PTO
    during the introductory period of employment.

    Whenever the term “Introductory Period” is used in this personnel policies manual, it shall
    mean up to the first six months of employment by a newly hired employee. A leave of
    absence will automatically extend the introductory period by an equal length. Employees
    whose service is satisfactory in the introductory period may become full-time employees,
    subject to availability of funds, the continued existence of the position and continued
    satisfactory work performance in the position.

    An employee may be terminated (without notice or pay) at any time during and after the
    introductory period if his/her performance continually fails to meet minimum performance
    standards.

    At this time, the employee is also given a non-compensation-related performance
    evaluation.

9. TB (PPD) TESTING

    All employees, volunteers, consultants must receive annual PPD (mantoux) skin testing
    before starting at QSAC. Medical Documentation of results must be submitted to the Human
    Resources Department prior to starting. Positive skin test results require further testing and
    documentation from a practicing physician.

    As required by New York State regulations, refusal to be tested (without a NYS allowable
    exclusion) or submitting documentation is incompatible with employment/affiliation with
    QSAC.



**DISCLAIMER: If any material in this policy manual contradicts policies in the Collective Bargaining Agreement,
then the policies of the QSAC EMPLOYEE POLICY MANUAL are superseded for Collective Bargaining Unit
employees by the policies in the Collective Bargaining Agreement.
                                                         7
       THIS PAGE LAST UPDATED:              January 2009      SUPERSEDES ALL PREVIOUS POLICIES
10. HEPATITIS B VACCINATION

    Whereas certain QSAC employees have an occupational exposure to blood or other
    potentially infectious materials, QSAC will offer such employees full reimbursement for
    hepatitis B vaccinations. QSAC will maintain a record in such employees’ personnel file of
    whether employees received the vaccination or declined vaccination.

11. JOB REFERENCE

    All requests for information about a current, retired or terminated employee must be
    transferred to the Director of Human Resources, who may disclose to prospective employers
    only the former employee’s dates of employment, final title or position, job location and
    eligibility for rehire.

    With the former employee’s written authorization, the Executive Director may give an
    employment reference and salary history.

    Information requested by a law enforcement agency will be provided if it is believed that an
    applicant, employee or former employee has been engaged in illegal activities; if action of
    the individual threatens physical injury to QSAC property, client property, other employee or
    persons served; or to protect the legal interests of QSAC.


                               IV. SALARY ADMINISTRATION
1. SALARY

    Salary for each job title, commensurate with the nature of the position, takes into
    consideration the following:
           1) The diversity and complexity of duties;
           2) The amount of responsibility and judgment exercised;
           3) Location of position within the organizational chart; and
           4) Qualifications required.

    Total compensation to employees includes salaries and fringe benefits, and shall also be
    based on the following:
           1) Prevailing rates for similar work in other nonprofit organizations;
           2) National as well as local salary patterns;
           3) Applicable legal requirements;
           4) Standards established by professional organizations; and
           5) As outlined per contract agreements.

    All salaries are gross salaries, and are subject to mandatory and voluntary deductions.

2. RAISES

    Each employee’s salary is reviewed annually. Potential raises take into account several
    factors including the employee’s performance, community conditions, comparisons between
    similar types of positions, field trends and QSAC’s financial position.
**DISCLAIMER: If any material in this policy manual contradicts policies in the Collective Bargaining Agreement,
then the policies of the QSAC EMPLOYEE POLICY MANUAL are superseded for Collective Bargaining Unit
employees by the policies in the Collective Bargaining Agreement.
                                                         8
       THIS PAGE LAST UPDATED:              January 2009      SUPERSEDES ALL PREVIOUS POLICIES
    Additional considerations in determining raises are:

        a. Potential salary increases are based on merit and performance as indicated in the
           written evaluation. The fulfillment of a certain period of time in a position does not, in
           itself, justify a salary increase.
        b. Salary for any job classification may be increased or decreased (in times of financial
           difficulty).
        c. Salary increases depend on QSAC’s ability to meet its budget. Understand, however,
           that QSAC’s budget is not entirely dependent upon the organization itself and its
           operation, since the sources of income include government funds. Any changes to
           income by these sources will affect QSAC’s ability to provide raises.
        d. Cost of living adjustments may be made at the discretion of the Executive Director.
           Such adjustments depend on the overall financial status of QSAC and are neither
           automatic nor granted on any regular basis.

    The provisions of this section do not apply to temporary employees. The salaries of such
    employees are individually determined by the Executive Director.

3. PAY ADVANCES

    Pay advances are granted at QSAC’s discretion in cases when an employee will be on PTO
    for two or more days, an emergency as determined by the Executive Director, or for tuition
    payments. Pay advances are considered early payments of wages and will not exceed the
    net amount of one paycheck, and at no time will payment be made if the employee is in
    arrears of either money or time. Requests must be made in writing to the supervisor and
    approved by the Executive Director.

4. PAYROLL DEDUCTIONS

    Deductions from each employee’s paycheck include the mandatory and voluntary
    deductions described below.

    Mandatory deductions are Social Security, and state and federal taxes. A staff member’s
    paycheck may be garnished for alimony, child support, delinquent loans, or for some other
    reason, by court order. All mandatory deductions are made without written authorization of
    the employee.

    Voluntary deductions are made with the written authorization of the employee. Voluntary
    deductions include sums designated for the savings club, retirement plan, charitable
    contributions, and transit (MetroCard/Parking permit), FSA/DEP and insurances. An
    itemized statement of all deductions from the employee’s wages accompanies each
    paycheck.

5. ADMINISTRATIVE PAY CORRECTIONS/PAYDAYS

    QSAC tries to make sure that you are paid correctly and on scheduled paydays. In case you
    find a mistake in your pay, tell the Payroll Specialist immediately so that the error can be

**DISCLAIMER: If any material in this policy manual contradicts policies in the Collective Bargaining Agreement,
then the policies of the QSAC EMPLOYEE POLICY MANUAL are superseded for Collective Bargaining Unit
employees by the policies in the Collective Bargaining Agreement.
                                                         9
       THIS PAGE LAST UPDATED:              January 2009      SUPERSEDES ALL PREVIOUS POLICIES
    corrected as quickly as possible.          QSAC reserves the right to recoup overpayments of
    wages.

    Payment is made on a biweekly basis. If a regular payday falls on a holiday, payment may
    be on the preceding workday. A workweek starts at 12:01 AM on Sunday and ends at
    midnight on the following Saturday. Salaries of full-time and salaried part-time staff are
    divided into 26 equal payments. Hourly employees are paid the number of hours worked
    and reported on their timesheets. Time Sheets for In-Home Residential Habilitation and
    Respite must be submitted within 90 days of service date. Time Sheets submitted beyond
    90 days will only be paid minimum wage.


                    V. EMPLOYEE RECORDS ADMINISTRATION
1. PERSONNEL RECORDS

    All personnel files are the property of QSAC. Each employee’s individual personnel file is
    regarded as confidential information and is treated as such. Access to personnel files is on a
    need-to-know basis.

    Employees may access his/her own personnel file by scheduling an appointment with the
    Director of Human Resources. Employees are not allowed to make copies of documents in
    their personnel files. Terminated employees shall have no access to their personnel files.

    Staff personnel files may contain the following items:
       • Application and resume;
       • Letters of appointment and acceptance;
       • Job description;
       • Copies of transcripts, diplomas, certificates and licenses;
       • Ongoing performance evaluations;
       • Any memoranda or documents relating to performance;
       • Memoranda concerning job changes or transfers;
       • Letters of commendation or other indications of exceptional performance;
       • Warning letters and records of all disciplinary actions;
       • Training records, including grades and notations of those who have completed or are
            currently taking in-house training programs;
       • Leave of absence information;
       • Documentation required by state or private regulatory agencies.

    All medical records, I-9 information, criminal background information or other protected
    information is maintained in separate locked files in the Human Resources department and
    accessed on a need to know basis.

2. PERSONNEL DATA CHANGES

    It is important that QSAC have certain personal information about you in our records.
    Employees need to tell QSAC as soon as there is a change to your mailing address,
    telephone numbers, email address, marital status, dependents' information, educational
**DISCLAIMER: If any material in this policy manual contradicts policies in the Collective Bargaining Agreement,
then the policies of the QSAC EMPLOYEE POLICY MANUAL are superseded for Collective Bargaining Unit
employees by the policies in the Collective Bargaining Agreement.
                                                        10
       THIS PAGE LAST UPDATED:              January 2009      SUPERSEDES ALL PREVIOUS POLICIES
    accomplishments, and other possibly related information. We also need to have information
    about who to contact in case of an emergency. To change your personal information or if
    you have questions about what information is required, contact the Director of Human
    Resources.



                                        VI. PERFORMANCE
1. JOB DESCRIPTIONS

    QSAC will maintain a written job description for staff positions. In the event new paid
    positions are created through expansion or reorganization, written job descriptions will be
    prepared and then approved by the Executive Director prior to filling the position.

    A job description must contain the following elements: title, department, exempt/nonexempt
    status, supervisor’s title, summary of job duties, definition of the functions of the position,
    and physical requirements of the job. Job descriptions are to be as detailed and explicit as
    possible. However, employees occasionally may be required to perform related duties not
    specified in the job description.

2. PERFORMANCE APPRAISALS

    All employees shall receive, at least once per year, a performance appraisal which will
    objectively assess their performance and accomplishments relative to the job description.

    Standardized forms will be used to record all formal performance appraisals, and all
    individuals supervising the employee being evaluated will contribute to the review. These
    records will be used to help determine salary reviews and other personnel actions which are
    based on merit.

    All employees must be given the opportunity to review and have copies of performance
    reviews.

    Employees are encouraged to include written comments on the review, if appropriate.
    Employees who disagree with appraisals are encouraged to discuss areas of disagreement
    with their supervisor, or with an administrative representative.

    Employees must sign and date their appraisal after all comments have been noted as an
    acknowledgement that the review has occurred.

    Performance appraisals become a permanent part of the employee’s personnel file. This
    information will be held in strict confidentiality, and may only be released to a third party with
    the prior written approval of the employee.

3. PROBATION




**DISCLAIMER: If any material in this policy manual contradicts policies in the Collective Bargaining Agreement,
then the policies of the QSAC EMPLOYEE POLICY MANUAL are superseded for Collective Bargaining Unit
employees by the policies in the Collective Bargaining Agreement.
                                                        11
       THIS PAGE LAST UPDATED:              January 2009      SUPERSEDES ALL PREVIOUS POLICIES
    An employee may be placed on probation (usually up to 6 months) by the supervisor in
    order to allow the employee to show improvement on the problem(s) specified at the time of
    probation.

    The disciplinary probation period begins when the supervisor provides the employee with a
    written -- and signed -- document which:
            1) Identifies the problem(s);
            2) Indicates the necessary improvement;
            3) Specifies the length of the probation period;
            4) Informs the employee of further disciplinary action which could result from failure
                to show satisfactory improvement within the specified probation period.

    If the employee is dismissed, the probationary period shall be deemed notice from QSAC.

4. PROMOTIONS, TRANSFERS, AND DEMOTIONS

    Staff member promotions, demotions and transfers are made on the basis of legitimate
    business needs and several other factors, including but not limited to, individual skills,
    abilities and demonstrated performance. When making such decisions, QSAC observes the
    following guidelines:

    Promotions and Transfers
    QSAC strives to provide maximum advancement potential for current employees and to
    make QSAC employment attractive to qualified individuals. Therefore, hiring preference is
    given to internal candidates over external candidates when both are equally qualified. Job
    opportunities may be posted in-house on a bulletin board before being publicly advertised.
    To apply for an opening, staff members should notify the appropriate supervisor and submit
    a letter of interest and resume by the designated date.

    To be eligible for a promotion or transfer, staff members must be performing at a satisfactory
    level in their present job, and not be at the warning stage for any progressive disciplinary
    action. Eligibility for a promotion or transfer, however, does not mean the staff member will
    be promoted or transferred. Seniority may apply when candidates are equally qualified.
    Promotions and transfers may take effect as soon as possible, without undue disruption of
    departmental operation.

    Each employee who is promoted must serve a six (6) month introductory period in the new
    position. Staff members who fail to satisfactorily complete this introductory period may be
    reassigned, if possible, to a position equal to the one held prior to promotion. If such
    reassignment is not possible, staff members may be terminated.

    All promoted employees receive the rights, privileges, benefits and responsibilities attendant
    to the position to which they are promoted.

    Demotions
    A demotion may occur any time a staff member fails to satisfactorily meet performance
    standards established for his or her current position. Before demoting an employee, he or
    she must be informed of specific performance problems through counseling and a formal

**DISCLAIMER: If any material in this policy manual contradicts policies in the Collective Bargaining Agreement,
then the policies of the QSAC EMPLOYEE POLICY MANUAL are superseded for Collective Bargaining Unit
employees by the policies in the Collective Bargaining Agreement.
                                                        12
       THIS PAGE LAST UPDATED:              January 2009      SUPERSEDES ALL PREVIOUS POLICIES
    performance appraisal, and be given reasonable time to improve his or her performance.
    Demotions may include a reduction in pay.


                VII. PERFORMANCE & DISCIPLINE PROCEDURES
1. CRIMINAL ACTS AGAINST QSAC PROPERTY

    Criminal acts constitute breaking and entering and/or theft of QSAC property. Any staff
    member observing a criminal act or suspected criminal act against QSAC shall take the
    following actions:
            • Observe the situation and note details.
            • Exercise care in not touching anything that may provide evidence or information
               for the police.
            • Notify the Executive Director or a supervisor. immediately

    The Executive Director or senior supervisor on the scene shall be prepared to assist police
    investigators with any information possible

    The Executive Director or his designee will conduct an inventory of QSAC property and
    make a full report to the Board of Directors.

2. DISCIPLINARY PHILOSOPHY

    QSAC uses progressive discipline to ensure staff compliance with performance standards,
    ethics and conduct. It is intended that the discipline be administered fairly, without prejudice
    and only for cause.

    Disciplinary actions are of several levels, including verbal and written warnings, probation,
    suspension and termination. The frequency and/or severity of misconduct determines which
    level of disciplinary action is required.

    Progressive discipline is not required for all offenses or for staff during the Introductory
    Period. QSAC reserves the right to terminate employees for commission of serious
    infractions, regardless of progressive discipline guidelines or counseling.

3. DISMISSAL

    Dismissal occurs when other disciplinary action has failed to achieve improvement or when
    the employee commits a serious offense.

    Prior to dismissal, the Executive Director should assure that the employee has been
    properly counseled in writing concerning any deficiencies in performance, given time to
    correct these deficiencies, and informed that failure to correct them may result in
    termination.

    However, some offenses warrant immediate dismissal.

    These include but are not limited to:
**DISCLAIMER: If any material in this policy manual contradicts policies in the Collective Bargaining Agreement,
then the policies of the QSAC EMPLOYEE POLICY MANUAL are superseded for Collective Bargaining Unit
employees by the policies in the Collective Bargaining Agreement.
                                                        13
       THIS PAGE LAST UPDATED:              January 2009      SUPERSEDES ALL PREVIOUS POLICIES
        1) Theft — including, but not limited to, the removal of company property or the property
            of another employee or client.
        2) Drugs/Alcohol — possession, manufacture, use, sale, purchase or distribution at any
            QSAC work site, including vehicles, of alcohol (except at approved functions) or any
            illegal drugs. Also: reporting to work after having ingested alcohol or illegal drugs, in
            a condition that adversely affects the employee’s ability to safely or effectively
            perform his/her job functions, or which would imperil the safety of others.
        3) Knowingly signing in another employee or soliciting such conduct from another
            employee.
        4) Falsifying or altering company records including time sheets.
        5) Sabotaging or willfully damaging QSAC equipment or property or that of clients or
            fellow workers.
        6) Walking off the job without supervisory permission.
        7) Insubordination involving, but not limited to, defaming, assaulting or threatening to
            assault a supervisor, and refusing to carry out the order of a supervisor where
            personal safety is not an issue.
        8) Fighting or provoking a fight at a work site, including vehicles.
        9) Sleeping on the job.
        10) Working for another employer while on leave of absence or PTO without the written
            consent of the Executive Director.
        11) Carrying concealed weapons at any QSAC work site, including vehicles.

    QSAC has no formal notice policy and any notice pay is at the discretion of the Executive
    Director.

4. FRATERNIZATION

    There will be no unofficial transferring of money or goods between staff members and
    persons currently or formerly served.

    Persons Currently Served:
    QSAC prohibits employees from fraternizing with any of the people or their immediate
    families served by our programs.

    If evidence of non-professional, non-work related interaction between employee(s) and any
    person(s) served is found, the Executive Director will conduct an investigation of the
    charges to determine if a policy violation has occurred. If a violation is established, the
    employee(s) will be dismissed, and a report will be filed with the appropriate authorities if
    vulnerable individuals are also involved.

    Persons Formerly Served:
    It is assumed that involvement by our staff with persons formerly served will be in ways that
    are professional and ethical. The following guidelines have been developed:
             1) The former client or family must have received no services from QSAC for at
                least one year.
             2) The former client must not be involved in counseling or treatment which indicates
                vulnerability.
             3) Staff will discuss possible relationships with the Executive Director prior to
                involvement so that any concerns may be addressed as they arise.
**DISCLAIMER: If any material in this policy manual contradicts policies in the Collective Bargaining Agreement,
then the policies of the QSAC EMPLOYEE POLICY MANUAL are superseded for Collective Bargaining Unit
employees by the policies in the Collective Bargaining Agreement.
                                                        14
       THIS PAGE LAST UPDATED:              January 2009      SUPERSEDES ALL PREVIOUS POLICIES
5. SUSPECTED ILLICIT ACTIVITY

    Violence Against Clients

    The people QSAC serves shall not be subjected to bodily or verbal abuse, neglect or any
    form of mistreatment by staff or visitors.

    Definition: Illicit activity is any activity perpetrated against a client that is in violation of that
    person’s rights, including, but not limited to, assault, rape, sexual assault, abuse, theft or
    any criminal conduct.

    Any alleged violation shall be immediately reported to the supervisor on duty, who is
    responsible for initiating a thorough investigation and ensuring the details are recorded on
    an Incident Report Form. Failure to report any incident may be grounds for dismissal.

    The supervisor will maintain confidentiality as far as possible by reminding staff not to
    discuss the incident with anyone except the supervisor and Executive Director.

    If the allegation is substantiated, the Executive Director (or acting director in his/her
    absence) shall be responsible for invoking appropriate discipline up to, and including,
    suspension and/or termination.

    This action will be recorded on a Corrective Action Notice Form and will be placed in the
    employee’s personnel file. The Executive Director will report the incident to the Board
    President, the parent/guardian and the appropriate authorities no later than the next working
    day.

    Use Of Physical Restraint

    Under no circumstances is physical punishment ever to be administered to persons served.
    On rare occasions, however, it may be necessary to physically restrain or remove a client
    from a QSAC program or activity in order to prevent injury or the threat of injury to the client,
    to other clients, to staff or the public at large. This should be done in the least restraining
    manner possible, given the specific circumstances of the situation and the disruptive
    individual. Whenever possible, a staff member should talk the client out of his or her
    inappropriate actions. If this fails, assistance from a SCIP certified employee (if available)
    should be solicited. The following guidelines should be used:
        • The staff member(s) should restrain or remove the individual, using the least amount
            of physical restraint or force.
        • Staff members should be careful not to force any joints or apply pressure to an
            artery.
        • Protect the client’s head.
        • All staff members involved should submit an incident report within 24 hours to the
            Executive Director using QSAC’s incident report form.

**DISCLAIMER: If any material in this policy manual contradicts policies in the Collective Bargaining Agreement,
then the policies of the QSAC EMPLOYEE POLICY MANUAL are superseded for Collective Bargaining Unit
employees by the policies in the Collective Bargaining Agreement.
                                                        15
       THIS PAGE LAST UPDATED:              January 2009      SUPERSEDES ALL PREVIOUS POLICIES
    The above circumstances do not apply to “coaching”, which is the process of physically
    moving a client or parts of a client’s body to a designated location or through a range of
    motions as a means of demonstrating desired behavior.

6. SUSPENSION

    An employee may be suspended for disciplinary reasons without pay. An employee who is
    suspended will be given written notice of the reasons for the action, and a copy will be made
    a part of the employee’s personnel record.

    Employees can be suspended for incidents that merit termination if the employee’s
    participation is suspected, but unclear.

    Supervisors will meet formally with suspended employees upon their return to work, and
    define clearly and specifically the improvements in job-related behaviors required as a
    condition of the employee’s continued employment. This meeting will be documented and
    records of it submitted to the Executive Director. A copy of the suspension records will also
    be added to the employee’s personnel file.

    Employees do not accrue any time benefits during a suspension, and may be required to
    pay for employee insurances.

7. WARNINGS

    Warning documents should include identification of the date, violation, indication of
    necessary improvement and information concerning further disciplinary action that could
    result from failure to show improvement. Documentation of both verbal and written warnings
    will be signed by the supervisor and the employee and kept in the employee’s personnel file.
    The employee’s signature indicates receipt of the document, but not necessarily his/her
    agreement with it. If an employee refuses to sign, the supervisor should have a witness sign
    that a copy was given to the employee and that the employee refused to sign.


                                  VIII. END OF EMPLOYMENT
1. RESIGNATION

    Non-exempt employees who voluntarily resign from their position at QSAC must give at
    least two weeks notice, in writing, of their intent to resign. Exempt employees must give a
    one month notice. At the option of QSAC, such employees may be given pay and may be
    required to discontinue work immediately, in lieu of working during the notice period. No time
    off will be granted during the notice period.

    An employee may be allowed to exit prior to completing the full period as indicated if
    circumstances permit. Failure to provide the required notice will be noted in an employee’s
    personnel file and may result in the loss of compensation for time off during the last two
    weeks of employment.


**DISCLAIMER: If any material in this policy manual contradicts policies in the Collective Bargaining Agreement,
then the policies of the QSAC EMPLOYEE POLICY MANUAL are superseded for Collective Bargaining Unit
employees by the policies in the Collective Bargaining Agreement.
                                                        16
       THIS PAGE LAST UPDATED:              January 2009      SUPERSEDES ALL PREVIOUS POLICIES
    QSAC is not required to offer notice or notice pay to employees upon termination or
    resignation.


2. ABANDONMENT OF JOB

    Employees who miss work for two consecutive days without notifying their supervisor, or
    have two consecutive days of unexcused absences, are considered to have resigned their
    jobs.

3. EXIT INTERVIEW

    QSAC has a considerable investment in its employees. Therefore, it is of interest to the
    organization to evaluate the circumstances surrounding the separation of a staff member,
    whether voluntary or involuntary. Exploring an employee’s reasons for resigning, or the
    factors resulting in termination, enables QSAC to better evaluate whether the work
    environment is conducive to staff satisfaction or whether changes can or should be made.

    Guidelines
    Exit interviews should be conducted by the employee’s immediate supervisor during the
    staff member’s regular work hours on the last date of employment. If the employee prefers,
    the interview may be conducted by the Director of Human Resources.

    The employee has the option of requesting or declining to discuss reasons for the
    separation. In conducting an exit interview, QSAC will use an exit interview checklist to
    provide structure for the discussion.

    The following items may be included on the exit interview survey form:
       1) Equipment/key return;
       2) Final wage/PTO payment;
       3) C.O.B.R.A. insurance continuation information;
       4) Reasons for the separation;
       5) Plans for the immediate future & contact information;
       6) Benefits of employment with QSAC;
       7) Limitations of employment with QSAC;
       8) Interest in re-employment;
       9) Employee suggestions & comments.

4. FINAL PAY/BENEFIT CONTINUATION

    Employees who leave the service of QSAC for any reason shall receive all pay which may
    be due them with the following qualifications:
       1. Employees will be paid for unused PTO as per the PTO policy (see PTO Forfeiture
           Policy). Employees who leave before completing the introductory period are not
           entitled to any accrued PTO pay.
       2. Employees who are dismissed after committing a criminal offense against QSAC or
           for other gross violations of company policies as determined by the Executive
           Director will not receive payment for PTO under the forfeiture policy.

**DISCLAIMER: If any material in this policy manual contradicts policies in the Collective Bargaining Agreement,
then the policies of the QSAC EMPLOYEE POLICY MANUAL are superseded for Collective Bargaining Unit
employees by the policies in the Collective Bargaining Agreement.
                                                        17
       THIS PAGE LAST UPDATED:              January 2009      SUPERSEDES ALL PREVIOUS POLICIES
        3. Employees who give less than the required notice of resignation shall forfeit PTO in
           amount equaling the remaining notice period before QSAC’s forfeiture policy is
           applied, unless mutual agreement is reached between the Executive Director and the
           employee.
        4. Separation date for all employees is the last day of actual work or approved leave.
           Final pay received by an employee will not be construed to extend his/her
           employment with QSAC beyond the separation date.
        5. QSAC may seek legal action for failure to return QSAC issued equipment, keys,
           beepers, phones, materials, personnel policy or any other items.
        6. Employees will be advised of their rights under the Consolidated Omnibus Budget
           Reconciliation Act of 1986 (C.O.B.R.A.). This act entitles employees and their
           dependents to continue their coverage under QSAC’s health insurance plans — at
           their own expense, but at group rates — for 18 months after they leave, or 29
           months if disabled at the time of departure. See C.O.B.R.A. policy for more details.

    If an employee should die while still on the QSAC payroll, a check to cover any unpaid
    salary, earned PTO pay as per the PTO policy and/or savings club balance will be payable
    to employee’s designated beneficiary.

5. LAYOFFS

    QSAC intends to minimize the negative impact on current employees if a reduction in the
    work force becomes necessary. However, from time to time, cutbacks or reductions may be
    unavoidable due to forces beyond its control. In some cases, a program may have to be
    reduced in size or terminated entirely if funds for its operation are no longer available. The
    Executive Director will provide notice to employees affected and inform them of the
    beginning date of layoff. Within 30 days of the layoff date, the employee will be paid for
    unused accrued PTO as per the PTO policy.

6. SEVERANCE PAY

    An exempt full-time employee who has completed at least 7 years of continuous service to
    QSAC may receive, due to involuntary termination of employment, for reasons other than
    gross misconduct, severance pay or wage continuation at the employer’s discretion. The
    employee may receive up to one month of pay for each year of service if the employee signs
    a separation agreement with QSAC which in part waives claims against QSAC in lieu of
    notice pay.


                                             IX. BENEFITS
1. BENEFIT DETERMINATION/CHANGE OF WORK SCHEDULE

    A Full Time employee is defined as an employee who regularly works 35 hours per week.
    Please consult the benefit policy for eligibility.

    Full Time to Part Time Employees/Benefits Impact
    For the purpose of benefit determination, an individual who has been a full-time employee
    (works 70 hours bi-weekly) for over 1 year may become a part-time employee for up to six
**DISCLAIMER: If any material in this policy manual contradicts policies in the Collective Bargaining Agreement,
then the policies of the QSAC EMPLOYEE POLICY MANUAL are superseded for Collective Bargaining Unit
employees by the policies in the Collective Bargaining Agreement.
                                                        18
       THIS PAGE LAST UPDATED:              January 2009      SUPERSEDES ALL PREVIOUS POLICIES
    months. QSAC sponsored benefits will be lost (although many may be continued through
    COBRA due to a reduction in hours).

    After the six months, the individual must return to full-time status or their salary will revert to
    that of a part-time employee if a pay differential exists.

2. BONUSES

    In recognition of the vital part a conscientious and productive staff plays in providing quality
    service, QSAC has established a bonus program. Bonuses are determined on a year to year
    basis and depend upon available funds.

    To be eligible for a bonus, the employee must meet the following criteria:
       1) Full-time employees may receive bonuses. Salaried part-time and hourly employees
           are not eligible.
       2) He or she must have completed at least one year of continuous employment.
       3) Bonuses are based on merit and must be earned by exceeding job requirements as
           determined by each employee’s immediate supervisor.
       4) The employee must be employed at the time the bonuses are issued. If an employee
           works through the month of June, quits in July, and bonuses are issued in August,
           for example, the employee will not receive a bonus.

    Bonus availability and amount is determined as follows:
       1) Bonuses are based on the past fiscal year’s financial statement which is usually
          completed in September or October. The bonuses are not an automatic fringe
          benefit, but must be awarded by the Board of Directors.
       2) The dollar amount of the bonuses and the recipients are determined by the
          Executive Director in cooperation with the Board of Directors.

    In an effort to attract staff for certain needed positions, QSAC has also established a Staff
    Referral Bonus program. If an employee makes a referral and that person becomes a QSAC
    employee and meets certain qualifications, the referring employee is eligible for a bonus.
    Contact the Human Resources Department for a list of qualifying positions.

3. HEALTH & WELFARE INSURANCE

    A detailed description of coverage and eligibility is provided in a separate handout available
    in the Human Resources Department. Other insurance benefits are available after
    successful completion of the 6 month introductory period. (Coverage may be changed or
    reduced in the future.)

    Your family member(s) (spouse or domestic partner, children and/or stepchildren younger
    than 19, and your children and/or stepchildren younger than 23 who are full-time students or
    a disabled child over 19) may also be eligible to apply for employer subsidized health
    coverage. QSAC requires proof of relationship for any dependents.

    If you do not have family member(s) at the time of enrollment in the plan, but later acquire a
    family member(s), this person becomes eligible to participate in the plan on the date that
    he/she becomes your family member(s).
**DISCLAIMER: If any material in this policy manual contradicts policies in the Collective Bargaining Agreement,
then the policies of the QSAC EMPLOYEE POLICY MANUAL are superseded for Collective Bargaining Unit
employees by the policies in the Collective Bargaining Agreement.
                                                        19
       THIS PAGE LAST UPDATED:              January 2009      SUPERSEDES ALL PREVIOUS POLICIES
    The cost of some coverage may be shared by the employee and QSAC. Before your
    coverage or that of your family member(s) becomes effective, you must authorize payroll
    deductions for such coverage by filling out a payroll deduction authorization form available
    from the Human Resources Department.

    Law limits your ability to change coverage except in the case of a “life event” such as
    marriage/divorce, birth of a child, adoption, death, etc. You may only change your choices
    during an “Open Enrollment” period for reasons other than a “life event.” Open enrollment
    period will be announced well in advance by the Human Resources department.

4. C.O.B.R.A. RIGHTS & NOTICE

    Employees and their families (“qualified beneficiaries”) are entitled to a temporary extension
    of employer sponsored group health coverage (called "continuation coverage") at group
    rates in certain instances where coverage under the plan would otherwise end. A qualified
    beneficiary includes the employee, the employee’s spouse and dependent children
    (including children born or adopted during the continuation coverage period). Both you and
    your spouse should take the time to read this section carefully. QSAC recognizes Domestic
    Partners of employees who are covered under health coverage as qualified beneficiaries
    and entitled to temporary extension of employee sponsored group health coverage
    equivalent to COBRA.

    When You, Your Covered Spouse or Dependant Child May be Entitled to COBRA
    Continuation Coverage:
    If you are covered by our Group Health Plan, you have a right to choose continuation
    coverage if you lose your group health coverage because of a reduction in your hours of
    employment or the termination of your employment (for reasons other than your gross
    misconduct).

    If you are the spouse or dependent child of an employee covered by our Group Health Plan,
    you have the right to choose continuation coverage for yourself, if you lose group health
    coverage under our Group Health Plan for any of the following reasons:
         (1)    The death of the employee;
         (2)    A termination of the employee's employment (for reasons other than gross
                misconduct) or reduction of hours worked which renders the employee ineligible
                for coverage;
         (3)    Divorce or legal separation from the employee; or
         (4)    The employee becomes entitled to Medicare; or
         (5)    The dependent child ceases to be a "dependent child" under our Group Health
                Plan.

    When You or a Family Member Must Give Notice of Certain Events to the Plan:
    Under the law, the employee or a family member has the responsibility to inform our Plan
    Administrator of a divorce, legal separation, or a child losing dependent status under our
    Group Health Plan within sixty (60) days of the later date of the event or the date on which
    coverage would end under the Plan because of the event. We have the responsibility to
    notify the various carriers of the employee's death, termination, reduction in hours of
    employment or Medicare entitlement. You or your family should give notice of such event to
**DISCLAIMER: If any material in this policy manual contradicts policies in the Collective Bargaining Agreement,
then the policies of the QSAC EMPLOYEE POLICY MANUAL are superseded for Collective Bargaining Unit
employees by the policies in the Collective Bargaining Agreement.
                                                        20
       THIS PAGE LAST UPDATED:              January 2009      SUPERSEDES ALL PREVIOUS POLICIES
    the plan also to avoid confusion over the status of your health care should there be a delay
    in providing the notice.

    When the Plan Administrator is notified that one these events has happened within the time
    specified, the Plan Administrator will in turn notify you that you have the right to choose
    continuation coverage and will send you the forms you need to elect COBRA Continuation
    Coverage. You have sixty (60) days from the later of the date you would lose coverage
    because of one of the events described above or the date you are notified of the right to
    elect COBRA coverage to inform the Plan Administrator that you want continuation
    coverage. Your regular coverage terminates on the date of the event. If you elect
    continuation coverage within the sixty (60) day period, your coverage will be retroactively
    reinstated without penalty, upon payment of the premiums due. Premiums must be paid
    within forty-five (45) days of your election to receive COBRA coverage. IF YOU DO NOT
    CHOOSE CONTINUATION COVERAGE, YOUR GROUP HEALTH INSURANCE
    COVERAGE WILL END.

    The COBRA Continuation Coverage Available:
    If you choose COBRA Continuation Coverage, you will be entitled to the same type of health
    coverage that you had when the event occurred that caused your health coverage under the
    Plan to end, but you must pay for it. If there is a change in the health coverage provided by
    the Plan to similarly situated active employees and their families, that same change will be
    made in your COBRA Continuation Coverage.

    How Long Your COBRA Continuation Coverage Lasts:
    If you and/or your covered spouse or dependent child(ren) lose coverage under the
    Plan because of your termination of employment or reduction in hours, COBRA Continuation
    Coverage can be maintained for a maximum period of 18 months from the date of that
    event. If your spouse and/or dependent child(ren) lose coverage under the Plan because of
    your death, divorce or legal separation, entitlement to Medicare, or because a child ceases
    to be a “dependent child” under the Plan, your spouse and/or dependent child(ren) can
    maintain COBRA Continuation Coverage for a maximum of 36 months from the date of any
    such event.

    When a Second Qualifying Event Occurs During an 18-Month COBRA Continuation Period:
    If during an 18 month period of COBRA Continuation Coverage resulting from loss of
    coverage due to your termination of employment or reduction in hours, you die, become
    divorced or legally separated, become entitled to Medicare, or a covered child ceases to be
    a “dependent child” under the Plan, the maximum COBRA Continuation period for the
    affected spouse and/or child is extended to 36 months from the date of your termination of
    employment or reduction in hours (or the date you first became entitled to Medicare, if that is
    earlier).

    This extended period of COBRA Continuation Coverage is not available to anyone who
    became your spouse after the termination of employment or reduction in hours. However,
    this extended period of COBRA Continuation Coverage will be available to any child(ren)
    born to, adopted by or placed for adoption with you during the 18-month COBRA
    Continuation Coverage. In no case will any person be entitled to a period of COBRA
    Continuation Coverage for more than 36 months.

**DISCLAIMER: If any material in this policy manual contradicts policies in the Collective Bargaining Agreement,
then the policies of the QSAC EMPLOYEE POLICY MANUAL are superseded for Collective Bargaining Unit
employees by the policies in the Collective Bargaining Agreement.
                                                        21
       THIS PAGE LAST UPDATED:              January 2009      SUPERSEDES ALL PREVIOUS POLICIES
    Extended Coverage in Certain Cases of Disability During an 18-Month COBRA Continuation
    Period:
    If, during or before an 18-month period of COBRA Continuation Coverage, the Social
    Security Administration makes a formal determination that you or a covered spouse or
    dependent child are totally and permanently disabled so as to be entitled to Social Security
    Disability Income benefits, the disabled person and any covered family members who so
    choose, may be entitled to keep the COBRA Continuation Coverage for up to 29 months
    (instead of 18 months) or until the disabled person becomes entitled to Medicare (whichever
    is sooner).

    This extension is available if:
       1.      The Social Security Administration determines that the individual’s disability
               began no later than 60 days after the termination of employment or reduction in
               hours and
       2.      You or another family member notifies the Plan of the Social Security
               Administration determination within 60 days after that determination was received
               by you or another covered family member, provided that it is received before the
               end of the 18- month COBRA Continuation period.

    The cost of the COBRA Continuation Coverage during the additional 11-month period of
    COBRA Continuation Coverage will be considerably higher than the cost for that coverage
    during the 18-month period.

    Addition of Newly Acquired Dependents:
    If, while you are enrolled for COBRA Continuation Coverage, you marry, have a newborn
    child, adopt a child, or have a child placed with you for adoption, you may enroll that spouse
    or child for coverage for the balance of the period of COBRA Continuation Coverage by
    doing so within 30 days after the marriage, birth, adoption, or placement for adoption.
    Adding a spouse or child may cause an increase in the amount you must pay for COBRA
    Continuation Coverage.

    Termination of Coverage:
    The law also provides that your continuation coverage may be terminated for any of the
    following reasons:
         (1)    We no longer provide group health coverage to any of our employees;
         (2)    You fail to make premium payments on time;
         (3)    You or one of your family members become covered under another group health
                plan that does not contain a valid exclusion or limitation with respect to any
                preexisting condition you or they may have. If you become covered under
                another group health plan, you must notify the Plan Administrator immediately.
         (4)    You become entitled to Medicare (your spouse or dependent children not entitled
                will remain enrolled for continuation coverage);
         (5)    Coverage is extended for up to twenty-nine (29) months due to disability of a
                qualified beneficiary and there has been a final determination that he/she is no
                longer disabled.

    Paying for Your COBRA Continuation Coverage:
**DISCLAIMER: If any material in this policy manual contradicts policies in the Collective Bargaining Agreement,
then the policies of the QSAC EMPLOYEE POLICY MANUAL are superseded for Collective Bargaining Unit
employees by the policies in the Collective Bargaining Agreement.
                                                        22
       THIS PAGE LAST UPDATED:              January 2009      SUPERSEDES ALL PREVIOUS POLICIES
    By law, you will have to pay all of the cost of your COBRA Continuation Coverage, unless
    otherwise specified by federal law. Normally, unless otherwise specified by federal law, we
    are permitted to charge the same cost as the full premium charge of contribution for similarly
    situated employees and families (including both the employer’s and employee’s share) plus
    an additional 2 percent (or if an 18-month period of COBRA Continuation Coverage is
    extended because of disability, an additional 50 percent during the period following the 18th
    month of COBRA Continuation Coverage).

    Grace Periods:
    The initial payment for your coverage is due 45 days after you elect COBRA Continuation
    Coverage. After that, payments are due on the first day of each month, but you will have a
    30-day grace period to make your payments.

    Entitlement to Convert to an Individual Health Plan:
    At the end of the 18-month or 36-month period of COBRA Continuation Coverage, you will
    be allowed to enroll in an individual conversion health plan as provided by the Plan, if that
    right is still offered by the Plan when your COBRA Continuation Coverage period expires.

    Who to Contact if You Have Questions or if You Must Give the Plan Notice of Changes in
    Your Circumstances:

    If you have any questions about the law, please contact the Human Resources Director.
    Also, remember that to avoid loss of any of your rights to obtain COBRA Continuation
    Coverage, you must notify the Human Resources Director promptly and in writing if:
                          1. You have changed marital status; or
                          2. You have a new dependent child; or
                          3. You or a covered dependent spouse or child has been determined
                             to be totally and permanently disabled by the Social Security
                             Administration; or
                          4. A covered child ceases to be a “dependent child” as that term is
                             defined by the Plan; or if you or your spouse has changed
                             address.

5. SPENDING ACCOUNTS

    QSAC allows employees to save pre-tax dollars through payroll deductions for qualified
    uninsured expenses and/or dependent care services. All employees are eligible to
    participate in this plan; however, your bi-weekly payroll must be enough to cover the
    deduction or you may be terminated from the plan.

        Procedure:
        1) Employees complete an enrollment form for the spending account programs upon
           hire or at the start of a new plan year.
        2) Specified deductions are automatically taken from each paycheck prior to taxes
           being withheld. Once started, a deduction may be stopped or changed only:
               • during the start of a new plan year,
               • when there’s a change in family status (such as divorce or the death of a
                   qualifying dependent), or
               • upon termination.
**DISCLAIMER: If any material in this policy manual contradicts policies in the Collective Bargaining Agreement,
then the policies of the QSAC EMPLOYEE POLICY MANUAL are superseded for Collective Bargaining Unit
employees by the policies in the Collective Bargaining Agreement.
                                                        23
       THIS PAGE LAST UPDATED:              January 2009      SUPERSEDES ALL PREVIOUS POLICIES
        3) Qualified expenses are reimbursed to the employee after itemized receipts are
           turned in to QSAC’s Third Party Administrator. Reimbursements are made on a
           monthly basis.
        4) There are no refunds given for money remaining in the spending accounts at the end
           of the plan year.

6. HOLIDAYS

    The following holidays are declared paid holidays for eligible QSAC employees. If a holiday
    falls on a Saturday, it will be observed on the preceding Friday; if a holiday falls on a
    Sunday, it will be observed on the following Monday.

        Holidays      New Year’s Day                     Independence            Thanksgiving Day
        include:                                         Day
                      Martin Luther King, Jr. Day        Labor Day               Day After Thanksgiving
                      President’s Day                    Columbus Day            Christmas Day
                      Memorial Day                       Veteran’s Day           Employee’s Birthday

    If for any reason an employee is unable to take their actual birthday off, a day must be taken
    within the same payroll period.

    All employees must work the last scheduled workday before any holiday and the next
    scheduled workday after any holiday to receive holiday pay.

7. PERSONAL TIME OFF (PTO) – (VACATION, SICK, ETC.)

    QSAC provides paid Personal Time Off (PTO) for rest and relaxation, which we believe is
    important for employees’ physical and mental health.

    All full-time staff members will accrue personal time off (PTO) each pay period. PTO may be
    used at the discretion of the staff member, for example, for illness, vacation, or other
    personal reasons.

    Full-time employees begin accruing PTO up to eligible amounts as soon as employed. The
    supervisor and employee shall work out a convenient time for PTO to be taken.

    Accruing PTO
                                               Non-Exempt
        Completed Years of                     Annual                        Exempt
        Service:                               PTO*:                         Annual PTO*:

        Employed Prior to 1/1/99
                   0                              28 days                        28 days
                   3                              30 days                        31 days
                   8                              31 days                        33 days
                  10                              33 days                        38 days
                  15                              38 days                        43 days


**DISCLAIMER: If any material in this policy manual contradicts policies in the Collective Bargaining Agreement,
then the policies of the QSAC EMPLOYEE POLICY MANUAL are superseded for Collective Bargaining Unit
employees by the policies in the Collective Bargaining Agreement.
                                                        24
       THIS PAGE LAST UPDATED:              January 2009      SUPERSEDES ALL PREVIOUS POLICIES
        Employed After 1/1/99
                   0                              24 days                        24 days
                   1                              25 days                        25 days
                   2                              26 days                        26 days
                   3                              27 days                        27 days
                   4                              29 days                        29 days
                   5                              30 days                        30 days
                   6                              31 days                        32 days
                   7                              32 days                        33 days
                  10                              34 days                        38 days
                  15                              39 days                        43 days

    * A Religious Observance Day -- Good Friday or Yom Kippur or equivalent day -- is included
    in the PTO accrual calculation.

    Using PTO
    The only reason PTO may be used without prior approval is for illness of the staff member or
    staff member’s family. Staff members on probation (first six months of employment) may
    only use accrued PTO for illness.

    Planned PTO requests should be made in advance, based upon office procedures, and
    submitted in writing. Requests are granted upon approval of the supervisor and subject to
    needs of the department. In some departments, it is necessary to designate “no leave”
    periods.

    If you are out of the office immediately prior to a scheduled PTO, such as for jury duty, a
    leave-of-absence or illness, you must meet with your supervisor to discuss your workload
    and decide if the entire scheduled PTO is still possible. No more than 2 consecutive weeks
    may be taken without approval from the Executive Director.

    Each employee is responsible for directly notifying his/her supervisor at the beginning of
    each working day when illness prevents his/her attendance at work. When an extended
    length of absence due to illness is required, supervisors must be kept advised if the absence
    is expected to continue for a period longer than originally anticipated. Employees working in
    multiple programs must notify each supervisor.

    QSAC may request verification of the circumstances surrounding any unscheduled use of
    PTO.

    SEIT, Early Intervention, Day School and Preschool time off is tracked by the Education
    Department

    NOTE: When an employee works full-time in different QSAC programs, including the SEIT
    program, they will accrue PTO in accordance with the typical agency accrual procedures.
    Hence, the employee’s PTO will be tracked by the HR/Payroll Department as a regular full-
    time employee, not a Preschool or SEIT employee.


**DISCLAIMER: If any material in this policy manual contradicts policies in the Collective Bargaining Agreement,
then the policies of the QSAC EMPLOYEE POLICY MANUAL are superseded for Collective Bargaining Unit
employees by the policies in the Collective Bargaining Agreement.
                                                        25
       THIS PAGE LAST UPDATED:              January 2009      SUPERSEDES ALL PREVIOUS POLICIES
    Unused PTO
    Once per calendar year, staff not using all personal time may cash in up to 1/4th of their
    unused PTO.

    Forfeiture Policy
    Upon leaving QSAC, employees who have been employed for at least one (1) year shall be
    compensated for accrued PTO provided they have given proper written notice to the
    Director of Human Resources and to the Program Director.

    [SEE SEPARATE SECTION FOR POLICY ON “INCLEMENT WEATHER & EMERGENCY
    CLOSINGS”.]

8. COMPENSATORY TIME

    Compensatory time may be granted to exempt employees by the Executive Director.
    However, compensatory time is granted only when an employee shows extraordinary effort,
    and should not be considered automatic. Compensatory time must be used the week after it
    is accrued.

    Non-exempt employees who work overtime, with a Division Director’s approval, will be paid
    overtime in accordance with the law. Non-exempt employees who work overtime without a
    Division Director’s approval are subject to disciplinary action.

9. SHORT TERM DISABILITY

    Employees are eligible for NYS Short Term Disability after seven (7) consecutive days of
    disability as defined by the State of New York and supported by your physician. Forms are
    available from the Human Resources Department and must be completed by the attending
    physician and returned to the Human Resources Department for processing. The employee
    will receive payment in compliance with NY State after the first seven (7) days of disability
    have passed, for a maximum period of six (6) months. These payments come directly from
    our Short Term Disability Carrier and are reduced by FICA taxes.

10. TUITION REIMBURSEMENT

    To further develop staff skills, QSAC encourages employees to continue their education. If
    employees wish to enroll in college courses, and apply for tuition reimbursement, they
    should discuss the matter with their supervisor. QSAC will pay 100% of City University of
    New York (CUNY) tuition rates (tuition only – no fees) (one course per semester) if funds are
    available and if:
       1) The employee has obtained an AA degree or equivalent.
       2) The employee has been a full-time employee for at least 1 year of continuous
            service.
       3) In the opinion of senior management, the course selected is directly related to the
            employee’s job and/or the mission of QSAC.
       4) The employee completes the selected course with a final grade of 3.0 or better.
       5) The employee remains employed for a full year after completion of the course. If the
            employee is not employed for the full 12 months, he or she will be required to repay

**DISCLAIMER: If any material in this policy manual contradicts policies in the Collective Bargaining Agreement,
then the policies of the QSAC EMPLOYEE POLICY MANUAL are superseded for Collective Bargaining Unit
employees by the policies in the Collective Bargaining Agreement.
                                                        26
       THIS PAGE LAST UPDATED:              January 2009      SUPERSEDES ALL PREVIOUS POLICIES
            the cost of the course. The Tuition Reimbursement request form must be fully
            completed with all attachments within 90 days of course completion.

    Employees may schedule classes during the workday at the discretion of their supervisor
    and Executive Director as long as their full workweek is met.

11. WORKERS’ COMPENSATION

    Employees are protected under NYS Workers’ Compensation law against loss of income
    due to injury that occurs during work activities. QSAC pays the entire cost of the Workers’
    Compensation insurance premium. The insurance carrier will determine the benefits, if any,
    the employee is entitled to receive.

    Reporting
    Employees must report all job-related accidents, injuries and illness immediately after
    experiencing a symptom to their supervisors and the Human Resources Department,
    regardless of whether the injury is minor or of no apparent significance.
.
    Failure of an employee to document job-related injuries may result in disciplinary action, and
    may affect benefit eligibility.


                                   X. LEAVES OF ABSENCE
GENERAL PRACTICES FOR ALL LEAVES OF ABSENCE
As discussed in detail below, QSAC may grant employees leaves of absence from the Agency
under certain circumstances. Leaves are categorized into the categories of paid and unpaid,
and under all circumstances -- except qualified leave under the Family Medical Leave Act
(“FMLA”) and required military leave, are within the Agency’s discretion.

1. PERSONAL LEAVE

    At the discretion of the Executive Director, leave shall be granted without pay to employees
    who have worked at least six months at QSAC.

    Requests for a leave of absence or any extension of a leave of absence should be
    submitted in writing to the employee’s supervisor and a copy sent to the Human Resources
    Department, thirty (30) days prior to commencement of the leave period or extension. The
    final decision is made by the Executive Director.

    Employees returning from an approved leave of absence will be reinstated to their same job
    or one of similar status and pay, provided the Agency’s circumstances have not changed to
    the extent that it would be impossible or unreasonable to provide reinstatement. If the same
    job or one of similar status and pay is unavailable, reinstatement may be deferred until a
    position is available, and the employee may be granted a preference in recall.

    If an employee fails to return to work at the conclusion of an approved leave of absence,
    he/she will be considered to have resigned voluntarily and terminated from employment.

**DISCLAIMER: If any material in this policy manual contradicts policies in the Collective Bargaining Agreement,
then the policies of the QSAC EMPLOYEE POLICY MANUAL are superseded for Collective Bargaining Unit
employees by the policies in the Collective Bargaining Agreement.
                                                        27
       THIS PAGE LAST UPDATED:              January 2009      SUPERSEDES ALL PREVIOUS POLICIES
    While on leave without pay of less than one month, employees will receive full health
    insurance benefits. However, staff members taking a leave of over one month must pay all
    insurance premiums. PTO and seniority, however, will not accrue during the period of a
    leave of absence.

    If an employee is absent for illness for more time than the employee is entitled to under the
    PTO policy, they may be in a leave without pay situation at the discretion of the Executive
    Director. Leave without pay will be considered on an individual basis, usually to a maximum
    of three months.

2. BEREAVEMENT

    Full-time employees will be paid at their regular schedule rate of pay for up to five working
    days should the death of a parent, guardian, spouse/domestic partner, child, sibling or
    grandparent occur. For the death of in-laws (mother-in-law, father-in-law, brother/sister-in-
    law, and grandparent-in-law), full-time employees will be paid at their regular schedule rate
    of pay for up to three working days. These days must be taken consecutively and within a
    reasonable time following the day of death or funeral. These days may not be split or
    postponed without the approval of the Executive Director.

3. JURY DUTY

    If full-time employees are called to serve on jury duty, they should notify their supervisors
    and provide a copy of the jury summons to their supervisor and the Executive Director
    immediately upon receipt and before jury duty is to begin. After six months of employment,
    full-time employees will be on paid leave up to a maximum of 5 days while on jury duty.
    They will be paid the difference between their regular salary and the amount received as
    jury pay. Other employees will receive compensation as prescribed by law.

    If an employee is served with a subpoena requiring him/her to serve as a witness or is the
    victim of a violent crime, that employee will be permitted time off, without pay if paid time is
    not available, to attend hearing/trials without loss or threat of loss of job.

    Documentation of court times and fee must be submitted to the Executive Director.

    Employees are required to notify the Executive Director in writing with a copy of all court
    documents immediately upon receipt, prior to and during any and all court proceedings.
    Failure to comply will result in forfeiture of any remuneration from QSAC.

4. MILITARY LEAVE

    If you are a member of the National Guard or Reserves, and are directed to participate in
    periodic field training, you will receive unpaid military leave for a maximum period of 15
    calendar days annually. Such leave shall not affect your normal PTO.

    Employees who are indefinitely deployed in active service via the draft or the act authorizing
    the President to order active duty the National Guard and reserve components of the Navy,
    Army, Air Force or Marine Corps are entitled to military leave. Military leave is leave of
    absence without pay and terminates either 90 days after the employee's discharge from the
**DISCLAIMER: If any material in this policy manual contradicts policies in the Collective Bargaining Agreement,
then the policies of the QSAC EMPLOYEE POLICY MANUAL are superseded for Collective Bargaining Unit
employees by the policies in the Collective Bargaining Agreement.
                                                        28
       THIS PAGE LAST UPDATED:              January 2009      SUPERSEDES ALL PREVIOUS POLICIES
    service, or one year after the employee is released from hospitalization continuing after
    discharge. The employee will be reinstated to his/her former position or to a position of
    similar seniority, status and pay if QSAC is informed of discharge no fewer than 60 days
    prior to the employee’s planned return.

    Continuation of health insurance benefits is available as required by USERRA based on the
    length of the leave and subject to the terms, conditions and limitations of the applicable
    plans for which you are otherwise eligible.

5. FAMILY MILITARY LEAVE ACT (NEW YORK STATE)

    The NYS Family Military Leave Act allows the spouse of a member of the armed forces of
    the United States, the National Guard, or Reserves to take unpaid leave when the military
    spouse is on leave from the armed forces of the United States, the National Guard, or
    Reserves while deployed during a period of military conflict to a combat theater or a combat
    zone of operations

        Eligible Employees
        Employees working an average of twenty (20) or more hours per week are eligible for
        Family Military Leave.

        Family Military Leave (NYS) Period
        The State of New York requires employers with twenty (20) or more employees at at
        least one site to provide up to ten (10) days of unpaid family military leave to a spouse.

        Notification
        Employees taking family military leave should provide QSAC with at least 14 days notice
        of the intended date when the leave will begin so as to not unduly disrupt QSAC’s
        operations.

        QSAC may require certification from the proper military authority to verify the employee’s
        eligibility for the family military leave requested.

        Please contact your supervisor or the Director of Human Resources if you have any
        questions about Family Military Leave.

6. THE FAMILY AND MEDICAL LEAVE ACT OF 1993

    This policy applies to all staff members who have worked at QSAC for at least one year at
    the time the leave is requested and have completed at least 1,250 hours of service during
    the 12-month period preceding the leave request, and work at a site where at least 50
    employees are employed, or within a 75-mile radius of that site. QSAC uses a “look back”
    method to determine the amount of Family Medical Leave available. In other words, when
    you request leave under FMLA, QSAC looks at the amount of leave you took in the prior
    twelve months to determine the amount you are currently eligible for.

    The law contains provisions on employer coverage; employee eligibility for the law's
    benefits; entitlement to leave, maintenance of health benefits during leave, and job
    restoration after leave; notice and certification of the need for FMLA leave; and, protection
**DISCLAIMER: If any material in this policy manual contradicts policies in the Collective Bargaining Agreement,
then the policies of the QSAC EMPLOYEE POLICY MANUAL are superseded for Collective Bargaining Unit
employees by the policies in the Collective Bargaining Agreement.
                                                        29
       THIS PAGE LAST UPDATED:              January 2009      SUPERSEDES ALL PREVIOUS POLICIES
    for employees who request or take FMLA leave. The law also requires employers to keep
    certain records.
    Leave Entitlement
    A covered employer must grant an eligible employee up to a total of 12 workweeks of
    unpaid leave during a “rolling look-back year” 12-month period for one or more of the
    following reasons:
    •   for the birth and care of the newborn child of the employee;
    •   for placement with the employee of a son or daughter for adoption or foster care;
    •   to care for an immediate family member (spouse, child, or parent) with a serious health
        condition; or
    •   for medical leave when the employee is unable to work because of a serious health
        condition.

    Spouses employed by the same employer are jointly entitled to a combined total of 12
    work-weeks of family leave for the birth and care of the newborn child, for placement of a
    child for adoption or foster care, and to care for a parent who has a serious health condition.
    Leave for birth and care, or placement for adoption or foster care must conclude within 12
    months of the birth or placement.
    Service Member FMLA Leave
    Service Member FMLA provides eligible employees unpaid leave for any one, or for a
    combination, of the following reasons:
    • A “qualifying exigency” arising out of a covered family member’s active duty or call to
       active duty in the Armed Forces in support of a contingency plan; and/or
    • To care for a covered family member who has incurred an injury or illness in the line of
       duty while on active duty in the Armed Forces provided that such injury or illness may
       render the family member medically unfit to perform duties of the member’s office, grade,
       rank or rating.

    Duration of Service Member FMLA
    •   When Leave Is Due To A “Qualifying Exigency”: An eligible employee may take up to
        12 workweeks of leave during any 12-month period.
    •   When Leave Is To Care for an Injured or Ill Service Member. An eligible employee may
        take up to 26 workweeks of leave during a single 12-month period to care for the
        service member. Leave to care for an injured or ill service member, when combined
        with other FMLA-qualifying leave, may not exceed 26 weeks in a single 12-month
        period.
    •   Service member FMLA runs concurrent with other leave entitlements provided under
        federal, state and local law.

    Intermittent Leave
    Under some circumstances, employees may take FMLA leave intermittently — which means
    taking leave in blocks of time, or by reducing their normal weekly or daily work schedule.
    •   If FMLA leave is for birth and care or placement for adoption or foster care, use of
        intermittent leave is subject to the employer's approval.


**DISCLAIMER: If any material in this policy manual contradicts policies in the Collective Bargaining Agreement,
then the policies of the QSAC EMPLOYEE POLICY MANUAL are superseded for Collective Bargaining Unit
employees by the policies in the Collective Bargaining Agreement.
                                                        30
       THIS PAGE LAST UPDATED:              January 2009      SUPERSEDES ALL PREVIOUS POLICIES
    •   FMLA leave may be taken intermittently whenever medically necessary to care for a
        seriously ill family member, or because the employee is seriously ill and unable to work.

    Also, subject to certain conditions, employees or employers may choose to use accrued
    paid leave (such as sick or vacation leave) to cover some or all of the FMLA leave.

    The employer is responsible for designating if an employee's use of paid leave counts as
    FMLA leave, based on information from the employee.

    "Serious health condition" means an illness, injury, impairment, or physical or mental
    condition that involves either:

        any period of incapacity or treatment connected with inpatient care (i.e., an overnight
        stay) in a hospital, hospice, or residential medical-care facility, and any period of
        incapacity or subsequent treatment in connection with such inpatient care; or

        Continuing treatment by a health care provider which includes any period of incapacity
        (i.e., inability to work, attend school or perform other regular daily activities) due to:

        (1) A health condition (including treatment therefore; or recovery there from) lasting more
        than three consecutive days, and any subsequent treatment or period of incapacity
        relating to the same condition that also includes:

            treatment two or more times by or under the supervision of a health care provider; or

            one treatment by a health care provider with a continuing regimen of treatment; or

        (2) Pregnancy or prenatal care. A visit to the health care provider is not necessary for
        each absence; or

        (3) A chronic serious health condition which continues over an extended period of time,
        requires periodic visits to a health care provider, and may involve occasional episodes of
        incapacity (e.g., asthma, diabetes). A visit to a health care provider is not necessary for
        each absence; or

        (4) A permanent or long-term condition for which treatment may not be effective (e.g.,
        Alzheimer's, a severe stroke, terminal cancer). Only supervision by a health care
        provider is required, rather than active treatment; or

        (5) Any absences to receive multiple treatments for restorative surgery or for a condition
        which would likely result in a period of incapacity of more than three days if not treated
        (e.g., chemotherapy or radiation treatments for cancer).
    "Health care provider" means:
       doctors of medicine or osteopathy authorized to practice medicine or surgery by the
       state in which the doctors practice; or
        podiatrists, dentists, clinical psychologists, optometrists and chiropractors (limited to
        manual manipulation of the spine to correct a subluxation as demonstrated by X-ray to
        exist) authorized to practice, and performing within the scope of their practice, under
        state law; or


**DISCLAIMER: If any material in this policy manual contradicts policies in the Collective Bargaining Agreement,
then the policies of the QSAC EMPLOYEE POLICY MANUAL are superseded for Collective Bargaining Unit
employees by the policies in the Collective Bargaining Agreement.
                                                        31
       THIS PAGE LAST UPDATED:              January 2009      SUPERSEDES ALL PREVIOUS POLICIES
        nurse practitioners, nurse-midwives and clinical social workers authorized to practice,
        and performing within the scope of their practice, as defined under state law; or

        Christian Science practitioners listed with the First Church of Christ, Scientist in Boston,
        Massachusetts; or

        Any health care provider recognized by the employer or the employer's group health
        plan benefits manager.
    Maintenance Of Health Benefits
    A covered employer is required to maintain group health insurance coverage for an
    employee on FMLA leave whenever such insurance was provided before the leave was
    taken and on the same terms as if the employee had continued to work. If applicable,
    arrangements will need to be made for employees to pay their share of health insurance
    premiums while on leave.

    In some instances, the employer may recover premiums it paid to maintain health coverage
    for an employee who fails to return to work from FMLA leave.
    Job Restoration
    Upon return from FMLA leave, an employee must be restored to the employee's original job,
    or to an equivalent job with equivalent pay, benefits, and other terms and conditions of
    employment.

    In addition, an employee's use of FMLA leave cannot result in the loss of any employment
    benefit that the employee earned or was entitled to before using FMLA leave, nor be
    counted against the employee under a "no fault" attendance policy.
    “Key” Employee
    A "key" employee is a salaried "eligible" employee who is among the highest paid ten
    percent of employees within 75 miles of the work site.

    Under specified and limited circumstances where restoration to employment will cause
    substantial and grievous economic injury to its operations, an employer may refuse to
    reinstate certain highly-paid "key" employees after using FMLA leave during which health
    coverage was maintained. In order to do so, the employer must:

    •   notify the employee of his/her status as a "key" employee in response to the employee's
        notice of intent to take FMLA leave;

    •   notify the employee as soon as the employer decides it will deny job restoration, and
        explain the reasons for this decision;

    •   offer the employee a reasonable opportunity to return to work from FMLA leave after
        giving this notice; and

    •   make a final determination as to whether reinstatement will be denied at the end of the
        leave period if the employee then requests restoration.
    Notice and Certification
    Employees seeking to use FMLA leave are required to provide 30-day advance notice of the
    need to take FMLA leave when the need is foreseeable and such notice is practicable.
**DISCLAIMER: If any material in this policy manual contradicts policies in the Collective Bargaining Agreement,
then the policies of the QSAC EMPLOYEE POLICY MANUAL are superseded for Collective Bargaining Unit
employees by the policies in the Collective Bargaining Agreement.
                                                        32
       THIS PAGE LAST UPDATED:              January 2009      SUPERSEDES ALL PREVIOUS POLICIES
    Employers may also require employees to provide:

    •   medical certification supporting the need for leave due to a serious health condition
        affecting the employee or an immediate family member;

    •   second or third medical opinions (at the employer's expense) and periodic recertification;
        and

    •   periodic reports during FMLA leave regarding the employee's status and intent to return
        to work.

    When intermittent leave is needed to care for an immediate family member or the
    employee's own illness, and is for planned medical treatment, the employee must try to
    schedule treatment so as not to unduly disrupt the employer's operation.

    Also, covered employers must inform employees of their rights and responsibilities under
    FMLA, including giving specific written information on what is required of the employee and
    what might happen in certain circumstances, such as if the employee fails to return to work
    after FMLA leave.
    Unlawful Acts
    It is unlawful for any employer to interfere with, restrain, or deny the exercise of any right
    provided by FMLA. It is also unlawful for an employer to discharge or discriminate against
    any individual for opposing any practice, or because of involvement in any proceeding,
    related to FMLA.
    Other Provisions
    Special rules apply to employees of local education agencies. Generally, these rules
    provide for FMLA leave to be taken in blocks of time when intermittent leave is needed or
    the leave is required near the end of a school term.

    Salaried executive, administrative, and professional employees of covered employers who
    meet the Fair Labor Standards Act (FLSA) criteria for exemption from minimum wage and
    overtime under Regulations, 29 CFR Part 541, do not lose their FLSA-exempt status by
    using any unpaid FMLA leave. This special exception to the "salary basis" requirements for
    FLSA's exemption extends only to "eligible" employees' use of leave required by FMLA.

    The FMLA does not affect any other federal or state law which prohibits discrimination, nor
    supersede any state or local law which provides greater family or medical leave protection.
    Nor does it affect an employer's obligation to provide greater leave rights under a collective
    bargaining agreement or employment benefit plan. The FMLA also encourages employers
    to provide more generous leave rights.

7. NEW YORK STATE NURSING MOTHER'S LAW

    QSAC will allow an employee who is a nursing mother to use paid break time or meal time
    or reasonable unpaid break time each day to express breast milk for her nursing child for up
    to three years following child birth. QSAC will make reasonable efforts to provide a room or
    other location, in close proximity to the work area, where the employee can express milk in
    privacy. Please contact your supervisor or the Human Resources Director if you wish to use
    this nursing mother’s benefit.
**DISCLAIMER: If any material in this policy manual contradicts policies in the Collective Bargaining Agreement,
then the policies of the QSAC EMPLOYEE POLICY MANUAL are superseded for Collective Bargaining Unit
employees by the policies in the Collective Bargaining Agreement.
                                                        33
       THIS PAGE LAST UPDATED:              January 2009      SUPERSEDES ALL PREVIOUS POLICIES
                                XI. EMPLOYMENT PRACTICES
1. ATTENDANCE AND PUNCTUALITY

    Good attendance and punctuality is required on the part of the Agency’s employees.
    Unauthorized or excessive absences or tardiness will not be tolerated and may result in loss
    of compensation or termination.

    Employees are expected to report for work whenever scheduled and to be at their work
    station at the starting time and at the prescribed time after meal breaks.

    Employees should notify their supervisor at least 1 hour before their scheduled start time if
    they are unable to report for work or know they will be late. Failure to notify one’s supervisor
    of any absence or delay will normally result in loss of compensation, disciplinary action up to
    and including termination.

    Specific departments may have different procedures regarding notifying your worksite of an
    absence. Please see your direct supervisor or your site policy manual for specific
    instructions. (Residential and Day Hab staff should refer to the policy addendum in the
    appendix of this document).

    QSAC may request verification of the circumstances surrounding any unscheduled absence.

2. BULLETIN BOARDS

    The Agency maintains employee bulletin boards to communicate Agency information to
    employees and to post notices required by law. These bulletin boards are for posting of
    Agency information and notices only.

3. CLIENT CONFIDENTIALITY

    Employees will, to the best of their ability, ensure confidentiality and privacy in regard to
    history, records and discussions about the people we serve. The very fact that an individual
    is served by QSAC must be kept private and confidential; disclosure can be made only
    under specified conditions, which are described below, for reasons relating to law
    enforcement and fulfillment of our mission. This means that staff shall not disclose any
    information about a person, including the fact the person is or is not served by QSAC, to
    anyone outside of this organization unless authorized by the Executive Director or other
    authorized personnel. The principle of confidentiality must be maintained in all programs
    and/or departments, functions and activities. Recently enacted HIPAA legislation has
    increased the scope and penalties for confidentiality of Protected Health Information for the
    people we serve. All QSAC employees will receive HIPAA training in QSAC’s Training 1
    (Orientation to the Agency). QSAC’s HIPAA Privacy Notice is posted on its website at
    www.qsac.com and may be obtained from QSAC’s Privacy Officer.




**DISCLAIMER: If any material in this policy manual contradicts policies in the Collective Bargaining Agreement,
then the policies of the QSAC EMPLOYEE POLICY MANUAL are superseded for Collective Bargaining Unit
employees by the policies in the Collective Bargaining Agreement.
                                                        34
       THIS PAGE LAST UPDATED:              January 2009      SUPERSEDES ALL PREVIOUS POLICIES
    No information requested by someone outside QSAC will be given over the telephone. Staff
    are instructed to respond with the statement: “QSAC policy does not permit me to give out
    this information.” That includes whether or not a person is or has been served by QSAC.

    If records are inspected by an outside agency, the individual(s) who inspect the records
    must be specifically authorized to do so by the Executive Director. The taking of notes,
    copying of records or removal of records is specifically prohibited in such cases.

    Staff will not discuss any individual’s record with unauthorized individuals, whether on or off
    duty. All employees are required to sign a confidentiality acknowledgment stating their
    responsibility and commitment in regard to client information.

    References to clients or discussion between employees regarding the client, whether
    specific in nature or not, should be governed by a respect for privacy and confidentiality.

    All requests for information regarding staff and/or clients, whether from public or private
    sources, shall be referred to the Executive Director for disposition.

    Staff members invited or offering to speak to outside groups regarding QSAC, its programs
    and services, or preparing articles for publication on the same topics, must secure prior
    approval from the Executive Director.

    Staff members will refrain from expressing opinions about the agency, its programs,
    services, clients and personnel, whether in conversation, public speeches or written
    documents. Inasmuch as QSAC staff are viewed by clients and the general public as
    representatives of the agency, it is essential that views expressed represent official agency
    position and policies. Consequently, unless authorized to speak for QSAC, expressions of
    opinion must be qualified as representing the personal views of the individual.

4. HEALTH INSURANCE PORTABILITY and ACCOUTABILITY ACT (HIPAA)

    QSAC’S HIPAA Policy For Staff
    HIPAA (The Health Insurance Portability and Accountability Act, Public Law 104-I91, which
    amends Internal Revenue Code of 1986, was signed into law on August 12, 1996).

    This policy applies to all QSAC staff members. QSAC staff members include all employees,
    trainees, volunteers, consultants, contractors and subcontractors at the agency.

    QSAC’s staff policy focuses on the main points of Protected Health Information,
    Disclosure of Protected Health Information in Routine Situations, Disclosure of
    Protected Health Information in Non-Routine Situations, Fundraising Activities for all
    staff, Violation Consequences for staff and questions.
    Complete departmental and agency policy will be available on or before April 14, 2003. All
    staff should be aware that their departmental supervisors will have the policies and staff are
    responsible to educate themselves and know these policies.

    Statement Of Policy
    QSAC is committed to protecting the privacy and confidentiality of health information about
    its consumers (clients). Protected health information is strictly confidential and should never
**DISCLAIMER: If any material in this policy manual contradicts policies in the Collective Bargaining Agreement,
then the policies of the QSAC EMPLOYEE POLICY MANUAL are superseded for Collective Bargaining Unit
employees by the policies in the Collective Bargaining Agreement.
                                                        35
       THIS PAGE LAST UPDATED:              January 2009      SUPERSEDES ALL PREVIOUS POLICIES
    be given, nor confirmed to anyone who is not authorized under the QSAC’s policies or
    applicable law to receive this information.

        1. Definition of Protected Health Information
           For purposes of this policy, the term “protected health information” means any
           consumer information, including very basic information such as their name or their
           address, that (1) relates to the past, present, or future physical or mental health or
           condition of an individual, the provision of health care to an individual, or the past,
           present, or future payment for the provision of health care to an individual, and (2)
           either identifies the individual or could reasonably be used to identify the individual.

            This policy applies to protected health information in any form, including spoken,
            written or electronic form. It is the responsibility of every agency staff member to
            protect the privacy and preserve the confidentiality of all protected health information.
            This includes, but is not limited to, compliance with the protective procedures below.

        2. Public Viewing/Hearing
           QSAC staff are expected to keep protected health information out of public viewing
           and hearing. For example, protected health information should not be left in
           conference rooms, out on desks, or on counters or other areas where the information
           may be accessible to the public or to other employees or individuals who do not have
           a need to know the protected health information. Agency staff should also refrain
           from discussing protected health information in public areas, such as elevators and
           reception areas, unless doing so is necessary to provide treatment to a consumer.
           Agency staff should also take care in sharing protected health information with
           families and friends of consumers. Such information may generally only be shared
           with a consumer’s “personal representative” or to a consumer’s family member,
           relative or close personal friend who is involved in the consumer's care or payment
           for the consumer’s care. Even in the latter circumstance, information cannot be
           disclosed unless the consumer has had a chance to agree or object to the
           disclosure, and you may only disclose information that is relevant to the involvement
           of that family member, relative or close personal friend in the consumer’s care or
           payment for the consumer’s care, as the case may be.

        3. Databases and Workstations
           QSAC staff are expected to ensure that they exit any confidential database upon
           leaving their work stations so that protected health information is not left on a
           computer screen where it may be viewed by individuals who are not authorized to
           see the information. Agency staff are also expected not to disclose or release to
           other persons any item or process which is used to verify their authority to access or
           amend protected health information, including but not limited to, any password,
           personal identification number, token or access card, or electronic signature. Each
           agency staff member will be liable for all activity occurring under his or her account,
           password and/or electronic signature. These activities may be monitored.

        4. Downloading, Copying or Removing
           QSAC staff should not download, copy or remove from QSAC any protected health
           information, except as necessary to perform their duties at the agency. Upon
           termination of employment or contract with QSAC, or upon termination of
**DISCLAIMER: If any material in this policy manual contradicts policies in the Collective Bargaining Agreement,
then the policies of the QSAC EMPLOYEE POLICY MANUAL are superseded for Collective Bargaining Unit
employees by the policies in the Collective Bargaining Agreement.
                                                        36
       THIS PAGE LAST UPDATED:              January 2009      SUPERSEDES ALL PREVIOUS POLICIES
            authorization to access protected health information, QSAC staff members must
            return to QSAC any and all copies of protected health information in their possession
            or under their control.

        5. Emailing and Faxing Information
           QSAC staff should not transmit protected health information over the Internet
           (including email) and other unsecured networks unless using a secure encryption
           procedure. Transmission of protected health information is permitted by fax only if
           QSAC staff member sending the information ensures that the intended recipient is
           available to receive the fax as it arrives, or confirms that there is a dedicated fax
           machine that is monitored for transmission of sensitive information. QSAC should
           use fax cover sheets that include standard confidentiality notices, and should request
           that the recipient call the staff member upon receipt of the fax.

    Minimum Necessary Standard In Routine Situations
    All QSAC staff are generally expected to limit their uses and disclosures of protected health
    information, and requests for protected health information, to the minimum amount of
    information necessary to perform their duties for QSAC. This general expectation does not
    mean that QSAC staff should restrict exchanges of information required in order to treat
    consumers quickly and effectively.

        Routine Activities
        As a member of QSAC staff, you routinely use protected health information about
        consumers to carry out your duties. You may also need to disclose protected health
        information about consumers to persons outside QSAC or to request protected health
        information from these persons. The agency and your department have specific policies
        and procedures explaining how much information may be used, disclosed or requested
        in situations that occur on a routine basis. You are expected to know and follow these
        policies at all times. These policies have been carefully developed and are not intended
        to limit any communications required for agency staff to provide quick, effective and high
        quality health care. If you have any questions about how these policies should be
        applied in a particular situation, contact your department supervisor or QSAC’s Privacy
        Officer (Timothy Burke).

        Non-Routine Situations
        Agency and department policies are general policies that address routine activities. If
        the general policies and procedures do not address a particular situation or do not permit
        you to use, disclose or request protected health information in a way that you believe is
        necessary to carry out your duties, you should notify your department supervisor. Your
        department supervisor will be responsible for providing guidance or directing you to the
        department or agency staff members who can more appropriately address the situation.
        If necessary, your department supervisor will consult with QSAC’s Privacy Officer to
        determine how much information may be used, disclosed or requested. Individual
        agency staff members should not make decisions on their own if the situation is not
        covered in QSAC’s policies or procedures or in their specific department’s policies and
        procedures. If there is insufficient time to consult with the Privacy Officer without
        jeopardizing consumer care, the department supervisor may make this determination on
        his or her own and notify the Privacy Officer as soon as possible afterwards.


**DISCLAIMER: If any material in this policy manual contradicts policies in the Collective Bargaining Agreement,
then the policies of the QSAC EMPLOYEE POLICY MANUAL are superseded for Collective Bargaining Unit
employees by the policies in the Collective Bargaining Agreement.
                                                        37
       THIS PAGE LAST UPDATED:              January 2009      SUPERSEDES ALL PREVIOUS POLICIES
        Many disclosures to persons outside the agency or requests for information from
        persons outside the agency will require a written authorization from the consumer whose
        protected health information is involved. This policy discusses only how much
        information may be disclosed or requested, and does not discuss when such
        authorizations are required.

        Disclosures In Response To Requests From Selected Persons
        If the Privacy Officer (or department supervisor) strongly believes that a request by one
        of the foregoing persons or organizations seeks more than the minimum information
        necessary, he or she should attempt to reach a compromise that meets the concerns
        and needs of both the agency and the person or organization making the request.
        Please refer to the departmental policy in response to requests from selected persons.

        QSAC staff are advised that special concerns are raised when using, disclosing or
        requesting certain types of information, particularly alcohol and substance abuse
        information, mental health information and HIV-rated information. Specific QSAC
        policies addressing these types of information should be consulted when these types of
        information are involved.

        Exceptions
        The following uses, disclosures and requests are not limited by the minimum necessary
        standard explained in this policy. The Privacy Officer (and department supervisor)
        nevertheless should do his/her best to limit the amount of information used, disclosed or
        requested in these situations to what is appropriate under current medical and ethical
        guidelines.
        •   Requesting consumer information from or disclosing consumer information to,
            another health care provider for treatment purposes.
        •   Disclosing consumer information to the consumer, or to a personal representative
            who is authorized to make health care decisions for the consumer or the consumer’s
            estate.
        •   Using or disclosing consumer information pursuant to an authorization requested
            by the consumer.
        •   Disclosing protected health information as required by HHS in connection with its
            investigation or determination of the QSAC’s compliance with the HIPAA Privacy
            Regulations.
        •   Using or disclosing protected health information as required by law (not just using
            or disclosing in a manner that is permitted by law).
        •   Using or disclosing protected health information in order to complete standard
            electronic transactions provided in the agency’s policy.
        •   Incidental uses or disclosures of protected health information that occur as a result
            of otherwise permitted uses and disclosures.




**DISCLAIMER: If any material in this policy manual contradicts policies in the Collective Bargaining Agreement,
then the policies of the QSAC EMPLOYEE POLICY MANUAL are superseded for Collective Bargaining Unit
employees by the policies in the Collective Bargaining Agreement.
                                                        38
       THIS PAGE LAST UPDATED:              January 2009      SUPERSEDES ALL PREVIOUS POLICIES
5. FUNDRAISING ACTIVITIES – ISSUES FOR ALL STAFF

    Statement Of Policy
    Fundraising activities involving the use or disclosure of consumer information may only be
    conducted after being approved by the Privacy Officer and Executive Director who will
    ensure that all requirements for the use and disclosure of consumer information have been
    met. Consumer information or lists should not be used or released before this approval has
    been obtained. Please refer to departmental fundraising policy for specific policies.

    Violations
    QSAC’s Privacy Officer has general responsibility for implementation of this policy.
    Members of QSAC staff who violate this policy will be subject to disciplinary action up to and
    including termination of employment or contract with QSAC. Anyone who knows or has
    reason to believe that another person has violated this policy should report the matter
    promptly to his or her supervisor or QSAC’s Privacy Officer. All reported matters will be
    investigated, and, where appropriate, steps will be taken to remedy the situation. Where
    possible, QSAC will make every effort to handle the reported matter confidentially. Any
    attempt to retaliate against a person for reporting a violation of this policy will itself be
    considered a violation of this policy that may result in disciplinary action up to and including
    termination of employment or contract with QSAC.

    Questions
    If you have questions about this policy, please contact your department supervisor or
    QSAC’s Privacy Officer immediately. It is important that all questions be resolved as soon
    as possible to ensure that protected health information is used appropriately.

    Effective Date: April 14, 2003

6. CONFLICT OF INTEREST

    Parents, guardians, or siblings of current clients are not permitted to work for QSAC in any
    capacity in which they would have access to confidential client files or supervise personnel
    working with clients.

        "An actual or potential conflict of interest also occurs when an employee is in a position
        to influence a decision that may result in a personal gain for that employee or for a family
        member as a result of QSAC's business dealings. If employees have any influence on
        transactions involving purchases, contracts or leases, it is imperative that they disclose
        to the Executive Director (and/or to the President) as soon as possible the existence of
        any actual or potential conflict of interest so that safeguards can be established to
        protect all parties.

        Personal gain may result not only in cases where an employee or family member has a
        significant ownership in a firm with which QSAC does business, but also where an
        employee or relative receives any kickback, bribe, substantial gift or special
        consideration as a result of any transaction or business dealings involving QSAC."

    Employees hired before the above became effective (1/1/96) are exempted.


**DISCLAIMER: If any material in this policy manual contradicts policies in the Collective Bargaining Agreement,
then the policies of the QSAC EMPLOYEE POLICY MANUAL are superseded for Collective Bargaining Unit
employees by the policies in the Collective Bargaining Agreement.
                                                        39
       THIS PAGE LAST UPDATED:              January 2009      SUPERSEDES ALL PREVIOUS POLICIES
    QSAC expects the primary interest of staff members to be the people QSAC serves. A
    conflict of interest occurs when the interests of a staffer actually or potentially affect QSAC in
    a negative way.

    Outside Business Interests
    Staffers may have outside business interests and outside employment so long as these do
    not interfere with job performance, including attendance or assignments. Staffers may not
    engage in outside employment or business which directly results from affiliation with QSAC
    without the written consent of the Executive Director.

    Gifts And Gratuities
    Staffers are not to accept gifts as an inducement to, or payment for, providing services.
    Gifts (as an expression of appreciation at holiday times) with a value of over $40 must be
    turned over to QSAC.

    Personal Beliefs
    QSAC recognizes that its staffers may hold a wide range of personal beliefs, values and
    commitments. These beliefs, values and commitments are a conflict of interest if staffers
    attempt to use QSAC time and facilities for furthering them, or if staffers continue attempting
    to convince others of their personal beliefs after they have been asked to stop.

7. DRESS CODE

    As representatives of QSAC, staff are expected to exhibit a neat, clean, well groomed
    appearance. Radical departure from conventional business dress, including jewelry, or
    personal grooming (including hairstyle, short dresses, shorts or skirts, tank tops, ripped
    jeans and shower thong-type footwear) is not permitted. Dangling pierced jewelry or hair
    decorations may not be worn as they may be torn off by a client and cause physical harm.
    Facial piercings are discouraged. Tattoos and clothing must be free from profanity. If a
    supervisor deems that an employee is in violation of the dress code, the employee will be
    asked to leave and change. The time required to do this is unpaid. Each department may
    develop guidelines appropriate to the work environment.

8. DRUG & ALCOHOL FREE WORKPLACE

    This policy establishes guidelines for maintaining a Drug-Free Workplace as delineated in
    the Federal Drug-Free Workplace Act.

    All employees are prohibited from unlawfully manufacturing, distributing, dispensing,
    possessing or using controlled substances. Any employee violating this policy is subject to
    discipline, up to and including termination, for a first offense. Controlled substances include,
    but are not limited to:
        • Narcotics (heroin, morphine, etc.);
        • Cannabis (marijuana, hashish);
        • Stimulants (cocaine, diet pills, etc.).
        • Depressants (tranquilizers)
        • Hallucinogens (PCP, LSD, “designer drugs”, etc.)


**DISCLAIMER: If any material in this policy manual contradicts policies in the Collective Bargaining Agreement,
then the policies of the QSAC EMPLOYEE POLICY MANUAL are superseded for Collective Bargaining Unit
employees by the policies in the Collective Bargaining Agreement.
                                                        40
       THIS PAGE LAST UPDATED:              January 2009      SUPERSEDES ALL PREVIOUS POLICIES
    Employees have the right to know the dangers of drug and alcohol abuse in the workplace,
    QSAC’s policy about them and what help is available to combat drug and alcohol problems.
    This document spells out QSAC’s policy. We will institute an education program for all
    employees on the dangers of drug and alcohol abuse in the workplace.

    Any staff member convicted of violating a criminal drug statute must inform QSAC of such
    conviction (including pleas of guilty or nolo contentre) within five days of the conviction
    occurring. Failure to so inform QSAC subjects the employee to disciplinary action up to and
    including termination for the first offense.

    QSAC reserves the right to offer staff members who violate this policy participation in an
    approved rehabilitation or drug and alcohol abuse assistance program as an alternative to
    discipline. If such a program is offered and accepted by the employee, he or she must
    satisfactorily participate in it as a condition of continued employment.

    Employees are prohibited from on-the-job use of alcohol. This includes lunch hours.

    Employees taking prescribed or un-prescribed medication that may impair their ability to
    perform specific job responsibilities must alert their supervisor or the Human Resources
    Department.

    QSAC reserves the right to perform random drug testing on employees and to require drug-
    testing for employees who have been convicted of a criminal drug statute or have requested
    leave from the agency for drug rehabilitation.

9. E-MAIL, VOICE MAIL, ELECTRONIC COMMUNICATIONS POLICY

    This Policy applies to:
    • All electronic mail systems and internet services provided or owned by QSAC; and
    • All users, holders, and uses of QSAC email and internet services; and
    • All QSAC email records in the possession of QSAC employees or other email users of
       electronic mail and internet services provided by QSAC.

    Specific tasks which QSAC restricts on its internet-e-mail system are as follows (although
    this list is not all inclusive):
        -         passing on chain letters or forward unwanted e-mail.
        -        downloading any files that are not QSAC-related.
        -        sending large files, such as pictures or MP3 files, that are not QSAC related.
        -        using QSAC’s computer system to run a side business.
        -        expecting privacy when using encryption software provided by QSAC.
        -        using your email account to search for a new job.

    QSAC encourages the use of electronic mail and respects the privacy of users. It does not
    routinely inspect, monitor, or disclose electronic mail without the holder’s consent.
    Nonetheless, subject to the requirements for authorization, notification, and other conditions
    specified in this Policy, QSAC may deny access to its electronic mail services and may
    inspect, monitor, or disclose electronic mail (i) when required by and consistent with law; (ii)
    when there is substantiated reason to believe that violations of law or of QSAC policies
    listed in have taken place; (iii) when there are compelling circumstances; or (iv) under time-
    dependent, critical operational circumstances.
**DISCLAIMER: If any material in this policy manual contradicts policies in the Collective Bargaining Agreement,
then the policies of the QSAC EMPLOYEE POLICY MANUAL are superseded for Collective Bargaining Unit
employees by the policies in the Collective Bargaining Agreement.
                                                        41
       THIS PAGE LAST UPDATED:              January 2009      SUPERSEDES ALL PREVIOUS POLICIES
    Staff are strongly encouraged to use the same personal and professional courtesies and
    considerations in electronic mail as they would in other forms of communication.

    In general, use of QSAC electronic mail and internet services is governed by policies that
    apply to the use of all QSAC facilities. In particular, use of QSAC electronic mail and internet
    services is encouraged and is allowable subject to the following conditions:

    Purpose: Electronic mail services are provided by QSAC in support of the teaching,
    research, fundraising and public service mission of QSAC, and the administrative functions
    that support this mission.

    Restrictions: QSAC electronic mail services may not be used for: unlawful activities;
    commercial purposes; personal financial gain; or uses that violate other QSAC policies or
    guidelines. The latter include, but are not limited to, policies and guidelines regarding
    intellectual property, or regarding sexual or other forms of harassment.

    Representation: Electronic mail users shall not give the impression that they are
    representing, giving opinions, or otherwise making statements on behalf of QSAC unless
    appropriately authorized (explicitly or implicitly) to do so.

    Interference: QSAC email services shall not be used for purposes that could reasonably be
    expected to cause, directly or indirectly, excessive strain on any computing facilities, or
    unwarranted or unsolicited interference with others’ use of email or email systems. Such
    uses include, but are not limited to, the use of email services to: (i) send or forward email
    chain letters; (ii) "spam," that is, to exploit list servers or similar broadcast systems for
    purposes beyond their intended scope to amplify the widespread distribution of unsolicited
    email; and (iii) "letter-bomb," that is, to resend the same email repeatedly to one or more
    recipients to interfere with the recipient's use of email.

    Personal Use: QSAC electronic mail services may be used for incidental personal
    purposes provided that, in addition to the foregoing constraints and conditions, such use
    does not: (i) directly or indirectly interfere with the operation of computing facilities or
    electronic mail services; (ii) burden QSAC with noticeable incremental cost; or (iii) interfere
    with the email user’s employment or other obligations to QSAC. Email records arising from
    such personal use may, however, be subject to the presumption of a QSAC Email Record,
    regarding personal and other email records. Email users should assess the implications of
    this presumption in their decision to use QSAC electronic mail services for personal
    purposes.

    Security and Confidentiality: The confidentiality of electronic mail cannot be assured.
    E-MAIL should not be used for the transmission of confidential information. As with
    delivered mail, all e-mails sent or received by QSAC’s system are the property of QSAC and
    may be read or reviewed for content by the Executive Director or his/her designee. During
    the performance of their duties or to retrieve messages for the Executive Director to review,
    network and computer operations personnel and system administrators need from time to
    time to observe certain transactional addressing information to ensure proper functioning of
    QSAC email services, and on these and other occasions may inadvertently see the contents
    of email messages.
**DISCLAIMER: If any material in this policy manual contradicts policies in the Collective Bargaining Agreement,
then the policies of the QSAC EMPLOYEE POLICY MANUAL are superseded for Collective Bargaining Unit
employees by the policies in the Collective Bargaining Agreement.
                                                        42
       THIS PAGE LAST UPDATED:              January 2009      SUPERSEDES ALL PREVIOUS POLICIES
    Email users and those in possession of QSAC records in the form of electronic mail are
    cautioned, therefore, to be prudent in their reliance on electronic mail for purposes of
    maintaining a lasting record. Sound business practice suggests that consideration be given
    to transferring (if possible) electronic mail to a more lasting medium/format, such as acid-
    free paper or microfilm, where long-term accessibility is an issue.

    Policy Violations: Violations of QSAC policies governing the use of QSAC electronic mail
    services may result in restriction of access to QSAC information technology resources. In
    addition, disciplinary action, up to and including dismissal, may be applicable under other
    QSAC policies, guidelines, implementing procedures, or collective bargaining agreements.

    Responsibility For Policy
    Division Director of Fiscal and Administrative Services is responsible for development and
    maintenance of this Policy for issuance by the President.

10. EMPLOYEES WITH LIFE-THREATENING ILLNESSES

    QSAC is committed to providing equal opportunity to all employees, including those who
    have life-threatening illnesses.

    QSAC is also committed to providing a safe work environment that meets or exceeds
    government regulations. Consequently, employees who have a life-threatening illness will
    be treated like other employees as long as they meet performance standards, and medical
    and other evidence indicates that their condition is not a threat to themselves, or others.

    QSAC recognizes that an employee’s health condition is personal, should be treated as
    confidential and reasonable precautions will be taken to protect information regarding an
    employee’s health condition.

    When necessary, efforts will be made to provide reasonable accommodation to employees
    who have disabling or life-threatening illnesses. Reasonable accommodations may include,
    but are not limited to, flexible or part-time work schedules, leaves of absence, work
    restructuring or job reassignment.

    The Human Resources Director will act as a resource for management and staff. Employees
    and/or managers with questions or concerns about disabling or life-threatening illnesses are
    encouraged to contact the Human Resources Director or the Executive Director.

11. EXPOSURE TO BODILY FLUIDS

    The following procedures should be used routinely to minimize the risks of transmission of
    communicable diseases. These guidelines provide simple and effective precautions for all
    staff members who may be exposed to the body fluids of any individual we serve or another
    employee. "Body fluids" or "bloodborne exposure" apply to blood, drainage from scrapes
    and cuts, feces, urine, vomit, saliva and drainage from any orifice (e.g., nose, ears).

    Rule #1: Avoid direct skin contact with bodily fluids of others when possible.
    Procedures:
**DISCLAIMER: If any material in this policy manual contradicts policies in the Collective Bargaining Agreement,
then the policies of the QSAC EMPLOYEE POLICY MANUAL are superseded for Collective Bargaining Unit
employees by the policies in the Collective Bargaining Agreement.
                                                        43
       THIS PAGE LAST UPDATED:              January 2009      SUPERSEDES ALL PREVIOUS POLICIES
        •   Gloves should be worn when direct hand contact with bodily fluids is anticipated. For
            example, gloves should be worn when treating bloody noses, handling clothes soiled
            by incontinence or vomit, cleaning small spills by hand and changing diapers.

        •   Gloves and other materials used for this purpose should be put in a plastic bag and
            placed in a lined trash can. Plastic bags should be changed daily and disposed of
            routinely. Double bagging can be used when there is a high risk of contamination.

        •   Gloves should be kept in all areas, including restrooms, maintenance areas, offices
            and any rooms where the risk of spills is high.

        •   Clients should be taught to handle their own bodily fluids as appropriate for age or
            state of health.

        •   Clients should be taught proper hand-washing techniques and encouraged to use
            them routinely (i.e., before eating, after toileting, etc.). Proper hand washing requires
            the use of soap and water and vigorous washing under a stream of water for 10
            seconds. Thorough drying of hands after washing is necessary.

    Rule #2: When direct skin contact or contamination of materials occurs from
    unanticipated skin contact with body fluids, proper cleaning techniques should be
    followed.
    Procedures:
        • Hands and other affected skin areas of the exposed person should routinely be
           washed with soap and water after contact. Liquid soap is preferable.
        • Clothing items that are soaked through to the skin should be removed, placed in a
           plastic bag and sent home for laundering.
        • Contaminated disposable items (tissues, paper towels, diapers) should be handled
           with disposable gloves.

    Rule #3: Spilled bodily fluids should be removed from the environment by proper
    cleaning techniques.
    Procedures:
       • Contaminated surfaces should be thoroughly cleaned with a freshly prepared
           solution containing one cup of household bleach per gallon of water. A germicide can
           be substituted if a bleach solution is unavailable. Disposable gloves should be worn.
       • Wastes and disposable cleaning equipment should be placed in a toilet or plastic bag
           as appropriate.
       • Non-disposable cleaning equipment (mops, buckets) should be thoroughly rinsed in
           a bleach solution. The bleach solution should be poured out promptly.

    Rule #4: Clothing of staff should be protected, especially staff who may be at frequent
    high risk for contact with bodily fluids.
    Procedures:
       • Smocks or aprons are recommended for use in some areas or when staff members
           are tending sick individuals. Smocks will protect the employees from contamination
           with bodily fluids and can be removed when employees leave the area. Such
           procedures help prevent unknown/unnecessary transmission of disease.

**DISCLAIMER: If any material in this policy manual contradicts policies in the Collective Bargaining Agreement,
then the policies of the QSAC EMPLOYEE POLICY MANUAL are superseded for Collective Bargaining Unit
employees by the policies in the Collective Bargaining Agreement.
                                                        44
       THIS PAGE LAST UPDATED:              January 2009      SUPERSEDES ALL PREVIOUS POLICIES
        •    Clothing should be laundered as previously described.

12. INCLEMENT WEATHER & EMERGENCY CLOSINGS

    The Executive Director or his designee may close QSAC or certain programs due to
    inclement weather or emergency on days other than regularly scheduled holidays.

    The procedure for weather closings will be to call the Main Office (718-7-AUTISM) extension
    55 for a recording. If the recording has not been updated, call your supervisor or call back in
    15 minutes.

    NOTE: Day Hab and Residential staff should keep in mind that if needed they may be
    mandated to work in one of the Group Homes.

The following chart indicates how full-time employees of different departments are treated
during Designated Emergency Periods (“DEP”) (i.e., Snow Days, Electrical Blackout etc.). If
your specific department is not listed, contact Human Resources to see which policy you follow.

    Employee Type                 Office Closures                      Department Closure Only


      Office-based                  Paid for DEP


            ASP                     Paid for DEP                               Paid for DEP

                              Must report to assigned
                                residence. “Double
    Day Habilitation          Time” paid for this shift.
                              PTO used for those not
                                     reporting.
                              Must report to assigned
                                                                If consumers are not present, assigned
Residential Employee           residence. PTO used
                                                                       other duties or use PTO.
                              for those not reporting.
                                   Paid for DEP.                      Paid for DEP.
                                “Double-time” paid if  Administrative Staff must still report to
        SEIT/EI
                              appointment kept during  work or use PTO (may report to other
                                       DEP               office if regular site is unavailable).
                                                                      Paid for DEP.
                                                       Administrative Staff must still report to
 Preschool/Dayschool           Paid for DEP.
                                                       work or use PTO (may report to other
                                                         office if regular site is unavailable).
A DEP could be a full day, a half-day or a number of hours to be determined by the Executive
Director.



**DISCLAIMER: If any material in this policy manual contradicts policies in the Collective Bargaining Agreement,
then the policies of the QSAC EMPLOYEE POLICY MANUAL are superseded for Collective Bargaining Unit
employees by the policies in the Collective Bargaining Agreement.
                                                        45
       THIS PAGE LAST UPDATED:              January 2009      SUPERSEDES ALL PREVIOUS POLICIES
13. ISSUANCE OF IDENTIFICATION CARDS

    All QSAC employees are required to carry a QSAC issued photo ID card when working with
    a client or on QSAC property. All ID cards will be issued by the Human Resources
    Department. Cards are valid for one calendar year. Sites or Departments may require
    employees to wear their QSAC ID while at work. If you are required to wear your QSAC ID,
    you are not allowed on the worksite premises if you do not have your ID card. Please
    contact the Human Resources immediately if you have lost your ID card.

14. JOB EXPENSES

    Reimbursement is authorized for reasonable expenses in carrying out the job, as follows:
       • Public transportation or mileage at or about IRS rates, whichever is less expensive.
       • Business or Program supplies.

    Employees must request reimbursement from QSAC for expenses incurred in carrying out
    the performance of Agency duties within 60 days. Employees must carry their own
    automobile insurance when using their private cars in the performance of job duties.

    Employees may be given a travel advance, depending upon the amount of travel necessary
    for work with approval of their supervisor. Accurate expense records, including receipts
    where possible, shall be kept by each staff member and must be submitted for supervisory
    approval prior to reimbursement.

    Conferences and Conventions: An employee serving as an official representative or
    delegate of QSAC at a convention, conference, or other meeting is reimbursed, insofar as
    possible within budgetary limitations, for expenses incurred, such as meal costs, lodging,
    travel expenses and registration fees.

15. LICENSES AND CERTIFICATIONS

    Employees whose jobs require educational degrees, professional license or certification
    must present documentation of their license or certification prior to employment. For certain
    positions, this may include a valid Driver License. Employees pay the cost of obtaining their
    license or certification, or maintaining it in a current status. Copies of the license or
    certification, plus copies of all renewal or changes, must be provided by the employee for
    inclusion in his or her personnel file. Employees must notify their supervisors before the next
    scheduled workday of any changes in the status of their license or certification.

    If your position requires a license or certification, you may be suspended, transferred or
    terminated for failure to maintain such license.

16. VEHICLES

    This policy affects any individual who may drive a QSAC vehicle or personal vehicle on
    QSAC business. Clients are never permitted in an employee’s personal vehicle. Prior to
    driving a vehicle, the following information must be in their personnel file:
         • Copy of current Driver's license
         • Proof of insurance, if personal vehicles are used for QSAC business
**DISCLAIMER: If any material in this policy manual contradicts policies in the Collective Bargaining Agreement,
then the policies of the QSAC EMPLOYEE POLICY MANUAL are superseded for Collective Bargaining Unit
employees by the policies in the Collective Bargaining Agreement.
                                                        46
       THIS PAGE LAST UPDATED:              January 2009      SUPERSEDES ALL PREVIOUS POLICIES
    All information will be kept confidential. It is the employee's responsibility to keep this
    information up-to-date, including reporting to the Executive Director any moving violations or
    changes in driving status within five (5) days of the violation or change. Failure to do this can
    result in disciplinary action up to and including termination. If an employee accumulates
    more than two (2) moving violations in any vehicle (personal or QSAC’s), the insurance
    carrier may demand that he or she will lose driving privileges on QSAC business. Any
    employee committing a moving violation in a QSAC vehicle may also be subject to
    disciplinary action. Some job classifications require an employee to drive. Dismissal from
    these positions may occur if an employee receives a moving violation in any vehicle.

    Employees who regularly drive vehicles will take a driver training course. Safe driving
    practices, speed limits and other driving laws must be observed at all times. QSAC is not
    responsible for fines incurred by employees while driving a QSAC vehicle or a personal
    vehicle while on QSAC business. Clients are never permitted in an employee’s personal
    vehicle. Due to the serious nature of this violation, it will lead to immediate termination.
    Employees who facilitate or have knowledge of the policy violation are required to report it
    immediately to their supervisor. Failure to report such a violation of policy is equivalent to
    transporting consumers yourself. Employees are responsible for reporting any accidents, no
    matter how minor, to the police before leaving the scene of the accident and as soon as
    possible to the Executive Director.

    Persons authorized to do business for QSAC and attend meetings in other places may use
    QSAC vehicles. If there is no vehicle available, personal vehicles may be used for QSAC
    business. Mileage for staff travel on QSAC business will be reimbursed at a rate set by
    QSAC.

    QSAC van drivers must meet the following requirements:
       • Minimum of 21 years of age, driving for at least three years.
       • Be cleared by the Human Resources department.
       • Have 6 points or less for moving violations during the last 18 months.
       • Must be supervised for a minimum of 4 hours while driving a QSAC vehicle. After 4
          hours of training, supervisors will determine if employee is able to drive
          independently.

    Using a QSAC vehicle to run errands (during lunch or any other time) without explicit prior
    permission will be grounds for disciplinary action, up to and including termination.

    Drivers with 6 points or more must attend a defensive driving course (at own cost) within 30
    days or will be suspended until completion of the course.

17. MAIL

    Employees should not have personal mail addressed to QSAC. Regardless of addressee,
    all mail received at QSAC is:
        • Opened;
        • Date stamped;
        • Reviewed.

**DISCLAIMER: If any material in this policy manual contradicts policies in the Collective Bargaining Agreement,
then the policies of the QSAC EMPLOYEE POLICY MANUAL are superseded for Collective Bargaining Unit
employees by the policies in the Collective Bargaining Agreement.
                                                        47
       THIS PAGE LAST UPDATED:              January 2009      SUPERSEDES ALL PREVIOUS POLICIES
18. PROFESSIONAL CONDUCT

    Rules and regulations regarding employee behavior are necessary for the efficient operation
    of the Agency, and for the benefit and safety of all its employees. These are to be
    interpreted within the context of the Agency’s mission of providing a supportive environment
    embracing and affirming the intrinsic human values of integrity, responsibility and trust.
    Conduct that interferes with operations, discredits the Agency, or is offensive to clients or
    fellow employees will not be tolerated.

        a. All employees are expected to conduct themselves and behave in a manner which is
           conducive to the efficient operation of the Agency. Such conduct includes:
            1. refraining from behavior or conduct deemed offensive or undesirable, or which is
               explicitly forbidden by these policies;
            2. performing assigned tasks efficiently and in accord with established quality
                standards;
            3. reporting to management suspicious, unethical, or illegal conduct by fellow
               employees, clients or suppliers;
            4. adhering to basic work standards as described in various sections of this manual.

        b. The following conduct is prohibited and constitutes grounds for immediate discharge:
            1. acts and/or threats of violence toward any client or group of clients or staff, or
               any altercation taking place on Agency premises;
            2. reporting to the workplace under the influence of any illegal drug, or as a result of
               the misuse of any prescribed and/or over-the-counter medications;
            3. reporting to the workplace under the influence of alcohol or with alcohol on the
               breath;
            4. using, manufacturing, selling, possessing or dispensing illegal drugs;
            5. possession of firearms or other weapons on Agency premises;
            6. sexual contact with or physical or verbal abuse of clients or employees;
            7. violation of the Agency’s nondiscrimination policy, including engaging in acts
               involving sexual or any other form of harassment;
            8. fighting or assault on a fellow employee or client;
            9. theft, destruction, defacement or misuse of Agency property or of another
               employee’s property;
           10. insubordination or refusal by an employee to follow management’s instructions
               concerning a job related matter;
           11. borrowing money from clients or their relatives or from persons performing paid
               services for the Agency or from any other persons in a position to benefit from an
               action of an employee. (employees are required to report the offer of a gift to the
               Executive Director);
           12. intimate involvement with active clients;
           13. falsifying any Agency records.

        c. The examples above are illustrative of the type of behavior that will not be permitted,
           and are not intended to be all-inclusive. Any questions in connection with this policy
           should be directed to the immediate supervisor or the Director of Human Resources.




**DISCLAIMER: If any material in this policy manual contradicts policies in the Collective Bargaining Agreement,
then the policies of the QSAC EMPLOYEE POLICY MANUAL are superseded for Collective Bargaining Unit
employees by the policies in the Collective Bargaining Agreement.
                                                        48
       THIS PAGE LAST UPDATED:              January 2009      SUPERSEDES ALL PREVIOUS POLICIES
19. RECYCLING

    QSAC wants to help the environment by encouraging staff to recycle appropriate materials
    whenever possible.
    You should use the special recycling containers when you throw away recyclable materials,
    such as:
       • computer paper
       • white or bond paper
       • newspapers
       • other allowable materials

    Whenever possible, we encourage you to buy products for work that contain recycled or
    easily recyclable materials.

    If you have any questions or new ideas and suggestions for the recycling , contact the
    Director of Human Resources.

20. SAFETY STANDARDS AND EMERGENCY PROCEDURES

    Since QSAC strives to ensure a safe workplace, it will be the responsibility of each staff
    member to adhere to the following:
       • Work according to safety practices as posted, instructed and discussed;
       • Refrain from any unsafe act that might endanger oneself, the people we serve or co-
          workers;
       • Use all safety and protective devices provided for his/her protection — failure to
          comply with safety requirements could result in dismissal;
       • Report any unsafe situation or acts immediately to the supervisor; and
       • Assume his/her share of the responsibility for acts that cause injury to oneself, co-
          workers or those we serve.

        Fire Prevention
        • Electrical equipment should be turned off when not in use.
        • Employees should notify the supervisor of any equipment that has cracked or
            exposed wiring, is causing a shock or emitting sparks, or appears to be a potential
            fire hazard.
        • Fire drills are held periodically to keep employees aware of fire safety equipment and
            procedures.

        Fire Emergency
        • Employees should familiarize themselves with the location of exits and extinguishers.
        • If an employee sees smoke or fire, the office-wide page on the telephone system
            should be used or the fire alarm should be pulled (depending on location) to alert
            people in the building. If it is a small fire, a nearby fire extinguisher may be used as
            necessary.
        • Do not use the elevator during a fire alarm.
        • If evacuation is called for, employees should assist clients and use the closest
            unaffected exit. Employees and clients should walk holding the stair railing and stay
            to the right of the staircase. Proceed quickly and calmly. Do not run.

**DISCLAIMER: If any material in this policy manual contradicts policies in the Collective Bargaining Agreement,
then the policies of the QSAC EMPLOYEE POLICY MANUAL are superseded for Collective Bargaining Unit
employees by the policies in the Collective Bargaining Agreement.
                                                        49
       THIS PAGE LAST UPDATED:              January 2009      SUPERSEDES ALL PREVIOUS POLICIES
        •   If you are in smoke, stay low.
        •   Move as far away from the building as possible for your safety and make room for
            emergency vehicles.
        •   Only if time permits before evacuation of the building, secure classified information,
            turn out lights, shut off equipment and close doors.
        •   QSAC will have a staff person designated as a Fire Warden and conduct periodic fire
            drills.

        Power Failures
        • Remain where you are until notified by an administrator.
        • If you leave the building during a power failure, do not use the elevators. Once the
          building has been exited, it is not advisable to re-enter until power is restored.

    First Aid/Workers Compensation

    First aid supplies are located at each facility. Employees should familiarize themselves with
    their location. For purposes of Workers Compensation, all injuries must be reported
    immediately to your immediate supervisor and to the Human Resources Department.

21. SOLICITATION AND DISTRIBUTION

    No solicitation including collection of funds, selling of items, securing of pledges or
    subscriptions, or similar activity is permitted by any staff member during working time.
    Distribution of literature or circulating petitions is prohibited in working areas. No solicitation
    will be permitted by any non-employee on QSAC property. Exceptions to this rule may be
    granted by the Executive Director.

22. SPEAKING TO THE MEDIA

    An employee may not speak to the news media as an official or unofficial spokesperson of
    QSAC without prior clearance from the Executive Director. All inquiries from the media
    should be referred to the Executive Director.

    Should an employee receive a media inquiry, he or she should respond: “I have no authority
    to respond to your request. You should refer your question to the Executive Director.”

23. TELEPHONE & OTHER COMMUNICATION SERVICES

    In order to conduct business the Agency provides or contracts for communication services
    and equipment. Such communication services and equipment should not be used by
    employees for personal purposes except in emergencies or when approved by a supervisor.
    Employees are discouraged from making personal calls on QSAC telephones. Personal use
    of telephones for long-distance calls by employees at QSAC is not allowed, except in the
    case of extreme emergency. Payment to QSAC for any personal calls must be made within
    10 days, upon receipt of an itemized bill.

    Additionally, the use of cell phones while working should be kept to a minimum.


**DISCLAIMER: If any material in this policy manual contradicts policies in the Collective Bargaining Agreement,
then the policies of the QSAC EMPLOYEE POLICY MANUAL are superseded for Collective Bargaining Unit
employees by the policies in the Collective Bargaining Agreement.
                                                        50
       THIS PAGE LAST UPDATED:              January 2009      SUPERSEDES ALL PREVIOUS POLICIES
    Please remember to keep all phone conversations, business and personal, private and
    quiet.

    QSAC Supplied Cell Phone Usage

    QSAC may provide cell phones to some employees for business use. Employees with
    QSAC cell phones are allowed to use them for short personal calls within reasonable limits.
    Sometimes we may check cell phone bills to make sure this policy is being followed.

    Use Of Cell Phones While Driving

    Employees using a cell phone while in their cars should remember that their primary
    responsibility is driving safely and obeying the rules of the road. Employees must comply
    with New York State law regarding use of "hands free" equipment especially if using a cell
    phone to conduct business while driving.

24. USE OF QSAC PROPERTY

    Staff members will not directly or indirectly use or allow the use of property, equipment or
    supplies belonging to QSAC or located on QSAC premises for any purpose other than
    QSAC business, unless special permission is obtained from the Executive Director.
    Furthermore, no staff member shall willfully alter, mutilate, abuse or waste any property,
    equipment or supplies belonging to QSAC. The improper, careless, negligent, destructive or
    unsafe use or operation of equipment or vehicles can result in disciplinary action, up to and
    including termination.

    If, in the course of normal business use, an employee notices that any equipment,
    machines, tools or vehicles appear to be damaged, defective or in need of repair, he or she
    should notify the supervisor in writing as soon as possible. Prompt reporting of damages,
    defects and the need for repairs could prevent deterioration of equipment and possible injury
    to employees or the people we serve.

    Employees who are issued temporary or permanent use of QSAC property are solely
    responsible for same.

    Properties issued to an employee may include but are not limited to, ID cards, keys, office
    equipment, beepers, mobile phones, and vehicles. Should such property be lost, damaged
    or destroyed by the employee, it is his/her responsibility to replace such property.

25. WORKPLACE MONITORING

    QSAC may conduct workplace monitoring to help ensure quality control, employee safety,
    security, and customer satisfaction.

    Employees who regularly communicate with on the phone may have their telephone
    conversations monitored or recorded. Telephone monitoring helps us to identify training
    needs and performance problems.



**DISCLAIMER: If any material in this policy manual contradicts policies in the Collective Bargaining Agreement,
then the policies of the QSAC EMPLOYEE POLICY MANUAL are superseded for Collective Bargaining Unit
employees by the policies in the Collective Bargaining Agreement.
                                                        51
       THIS PAGE LAST UPDATED:              January 2009      SUPERSEDES ALL PREVIOUS POLICIES
    All computer equipment, services, or technology that we furnish you are the property of
    QSAC. We reserve the right to monitor computer activities and data that is stored in our
    computer systems. QSAC also reserve the right to find and read any data that you write,
    send, or receive by computer.

    QSAC may perform video surveillance of non-private workplace areas. QSAC may use
    video monitoring to identify safety concerns, maintain quality control, detect theft and
    misconduct, and discourage and prevent harassment and workplace violence.

    An employee may request to see information gathered by workplace monitoring if it might
    impact employment decisions regarding the employee. QSAC will give the employee access
    unless there is an ongoing investigation or a legitimate business reason to protect
    confidentiality.

    Because QSAC is sensitive to employees' legitimate privacy rights, QSAC will make every
    effort to guarantee that workplace monitoring is always done ethically and with respect.

26. WORK SCHEDULES

    The standard office workweek consists of thirty-five hours per week.

    Up to 5 additional hours a week may be scheduled for non-exempt staff bringing the total
    work week to forty paid hours (44 for IRA staff). However, no more than 40 hours a week
    (overtime) may be scheduled without the approval of a Division Director. Such approval
    cannot exceed a 4-week period. More than 4 weeks of overtime requires the approval of the
    Executive Director.

    Exempt staff are expected to schedule their working hours in consultation with their
    supervisor to include necessary evening meetings and weekend activities.

    Employees should be at their desks ready for work, on time. All full-time employees are
    entitled to 1 hour off for lunch.

    Employees finding they are unable to report to work on time or unable to report for a full day
    must inform their supervisor a minimum of 1 hour before the beginning of their work shift.
    Good and sufficient reason must be provided for any tardiness or absence. Employees
    should not merely leave messages on answering machines, they must speak to a
    Supervisor.

    The efficient operation of QSAC requires the punctuality and regular attendance of all
    employees. Excessive or habitual tardiness or absenteeism is a factor for consideration in
    granting pay increases and may lead to disciplinary action, up to and including termination
    of employment.




**DISCLAIMER: If any material in this policy manual contradicts policies in the Collective Bargaining Agreement,
then the policies of the QSAC EMPLOYEE POLICY MANUAL are superseded for Collective Bargaining Unit
employees by the policies in the Collective Bargaining Agreement.
                                                        52
       THIS PAGE LAST UPDATED:              January 2009      SUPERSEDES ALL PREVIOUS POLICIES
                                 XII. EMPLOYEE RELATIONS
1. OPEN DOOR POLICY

    All staff members are encouraged to provide input and suggestions concerning the overall
    operation and programs of QSAC, following proper channels of communication. Staff
    members should initially bring any comments to their immediate supervisor. In those cases
    where that may be inappropriate, employees may approach their Division Director, Human
    Resources Director or the Executive Director.

2. PROBLEM RESOLUTION

    Employees are encouraged to discuss work-related questions, concerns and problems with
    their supervisor as soon as they arise so that corrective action may be taken when
    reasonably practicable.

    In the event of a substantial difference of opinion, or when significant facts seem to have
    been overlooked or ignored, or where the validity of judgment is questioned, employees may
    request a formal review through the Grievance Procedure.

    Any employee who has a complaint should present a grievance, in writing, to the Executive
    Director or the Director of Human Resources.

    No employee will be discriminated against, harassed, intimidated, or suffer any reprisal as a
    result of filing a grievance or participating in the investigation of a grievance.

    All complaints will be handled in a timely manner. As a goal, QSAC attempts to resolve a
    complaint within 30 working days from the time of its receipt. Employees may not file
    grievances challenging the substance of a performance evaluation or termination from
    employment.

3. OUTSIDE EMPLOYMENT OF EMPLOYEES

    Staff members shall not engage in or accept outside employment or render services to a
    family, person, firm or corporation when such service or employment:

        1) Is incompatible with the proper discharge of the duties and responsibilities of
           employment with this organization, or would impair independence of judgment or
           actions in such employment; or
        2) Involves such hours, or work or effort that it would or could reduce the staff
           member’s ability in either quantity or quality of service to QSAC.

    Occasionally, a staff member may request to work part time in addition to his/her regular job,
    in some other capacity at QSAC. Permission to do so will be given in accordance with this
    policy on outside employment and applicable labor laws.

    Employment Disclosure

**DISCLAIMER: If any material in this policy manual contradicts policies in the Collective Bargaining Agreement,
then the policies of the QSAC EMPLOYEE POLICY MANUAL are superseded for Collective Bargaining Unit
employees by the policies in the Collective Bargaining Agreement.
                                                        53
       THIS PAGE LAST UPDATED:              January 2009      SUPERSEDES ALL PREVIOUS POLICIES
    Any staff member who is engaged in or is planning to engage in outside employment, shall
    request clearance from his/her Division Director as to whether such current and planned
    activities are prohibited. If they are not prohibited, the staff member shall then put such
    request in writing. The supervisor may require the staff member to furnish such other
    information as may be appropriate in considering the request. The Division Director may
    grant clearance only when he/she believes such activities would be consistent with this
    regulation. If clearance is not granted, the employee shall not commence or continue the
    outside employment or activity. If the Division Director elects to grant a clearance, they will
    advise the Executive Director.

    Staff members who are on leave (except PTO and holidays) are not permitted to engage in
    outside employment during the time of their leave.

4. POLITICAL ACTIVITY

    QSAC encourages employees to take an active interest in government and to participate in
    political affairs. All employees have the right to express their opinions on political issues and
    candidates, and are also encouraged to exercise these rights. However, such employee
    activity is subject to these conditions:
    • Non-partisan position of QSAC — No action will be allowed by any person that infringes
        upon the right of any employee to decide which candidates or positions to support.
        QSAC will not endorse or contribute to any political candidate, party or cause.
    • Individual actions — No employee is allowed to give the impression that any political
        action or position represents QSAC. All political activities are to be done as the actions
        of individuals, on their own time, away from QSAC facilities. Employees are prohibited
        from listing their title or affiliation with QSAC, even with a disclaimer.
    • No employee is allowed directly or indirectly to coerce, attempt to coerce, command or
        advise any other staff member to pay, lend or contribute anything of value to a party,
        committee, organization, agency or person for political purpose.
    • Employees seeking elective office — Employees who wish to seek elective office should
        inform their supervisors and the Executive Director. Subject to the requirements of law,
        QSAC grants unpaid personal leave to employees who are seeking elective office, for
        the purposes of campaigning for and fulfilling the responsibilities of office, if elected.
        Employees who are granted leave under this policy must comply with QSAC policy for
        unpaid personal leave in its entirety.

    Any questions related to this policy must be referred to the Executive Director.

5. PROFESSIONAL DEVELOPMENT/PROFESSIONAL MEMBERSHIPS

    QSAC offers an in-house training to introduce new employees to QSAC. This training is
    called “Training 1” or “Introduction to QSAC & Autism” and is required for all QSAC
    employees. Employees are trained and notified of QSAC’s HIPAA policy for employees at
    this training.

    QSAC also requires all Service Coordinators and Direct Care employees and their
    supervisors to attend an in-house training to cover topics such as: Consumer Rights/Self
    Advocacy; Overview of Population Served; Incident Reporting/Abuse; Principles of Normal

**DISCLAIMER: If any material in this policy manual contradicts policies in the Collective Bargaining Agreement,
then the policies of the QSAC EMPLOYEE POLICY MANUAL are superseded for Collective Bargaining Unit
employees by the policies in the Collective Bargaining Agreement.
                                                        54
       THIS PAGE LAST UPDATED:              January 2009      SUPERSEDES ALL PREVIOUS POLICIES
    Growth & Development; OSHA (Occupational Safety Health Administration); and QSAC’s
    HIPAA Policy. This training is currently known as “OMRDD training” or “Training 2.”

    Conferences, workshops and seminars are designed to provide staff members with the
    skills, training and experience necessary for their continued development. Training will be
    subject to these conditions:
    • Attendance at conferences, educational meetings, workshops and institutes must have
         the approval of the Executive Director.
    • Each full-time management employee may be permitted to attend conferences as funds
         permit, including registration and reimbursement for lodging, meals and travel.
         Attendance at such a conference shall be requested by the employee by submitting an
         estimated cost to the Executive Director who will determine the value of the conference,
         amount of time lost from duties and cost.
    • Each individual who attends a conference, seminar and/or In-Service is expected to
         submit a written report summarizing what was covered, the date and who attended.
    • Other trainings may be required to maintain your position.

    In-Service trainings are periodically required for employees. Failure to attend in-services
    may result in disciplinary actions. If you have an unexcused absence from a scheduled
    training you will receive a written warning in your personnel file. A second unexcused
    absence from training will result in a two-day suspension. Further unexcused training
    absences will result in disciplinary action up to and including termination.

    With regard to professional memberships, QSAC may pay the annual cost of one (1)
    membership to one professional organization for each staff member. The amount of each
    membership should not normally exceed $50, and the professional organization must be
    approved by the Executive Director in writing. Staff members, in turn, are expected to
    participate in organization activities and share information/literature with fellow staff
    members.

6. SERIOUS OR FATAL ACCIDENT

    The person in charge at the scene will:

    Give priority attention to providing all reasonable care for the injured person or persons. Call
    doctor, ambulance, and police, as appropriate. Obtain names, addresses and phone
    numbers of all witnesses and a written statement of what happened if witnesses must leave
    before police arrive.

    In the event of a fatality, always notify the police. Retain a responsible adult at the scene of
    the accident. See that no disturbance of the victim or surroundings is permitted until the
    police have assumed authority.

    Contact the Executive Director to report the emergency and to secure additional assistance
          • Executive Director;
          • Division Director(s);
          • Department Director(s).


**DISCLAIMER: If any material in this policy manual contradicts policies in the Collective Bargaining Agreement,
then the policies of the QSAC EMPLOYEE POLICY MANUAL are superseded for Collective Bargaining Unit
employees by the policies in the Collective Bargaining Agreement.
                                                        55
       THIS PAGE LAST UPDATED:              January 2009      SUPERSEDES ALL PREVIOUS POLICIES
    To protect an employee’s rights under Workers’ Compensation, forms must be completed
    and submitted to our carrier within ten (10) days of the incident. Failure to report incidents in
    a timely matter may result in denial of benefits.

    Anyone involved in a serious accident, emergency or fatality shall make no statement orally
    or in writing, which could be interpreted either as an assumption or rejection of responsibility
    for the accident until all facts are known.

    Everyone involved will complete an Incident Report.

7. SEXUAL HARASSMENT

    QSAC will not tolerate sexual harassment of its employees. This means that the following
    behaviors are grounds for disciplinary action, including termination:
           • Unwelcome sexual advances;
           • Requests for sexual acts or favors;
           • Insulting or degrading sexual remarks or conduct directed against another
               employee;
           • Threats, demands or suggestions that an employee’s work is contingent upon
               toleration of or acquiescence to sexual advances;
           • Retaliation against employees for complaining about such behaviors;
           • Any other unwelcome statements or actions based on sex that are sufficiently
               severe or pervasive so as to unreasonably interfere with an individual’s work
               performance, or create an intimidating, hostile or offensive working environment.

    Any person who has a complaint of sexual harassment against a superior, a co-worker, a
    vendor or a person we serve should bring the problem to the attention of QSAC. Complaints
    must be raised with any of the following persons:
           1) Department Director;
           2) Division Director;
           3) Executive Director.
           4) Director of Human Resources

    QSAC prohibits retaliation against anyone for having raised such a complaint in good faith
    or cooperating with an investigation of a complaint. Complaints will be investigated and
    handled as confidentially as possible in the manner described below. Complaints of sexual
    harassment will be investigated as promptly as possible.

    The allegations of the complaint and the identity of the persons involved shall remain
    protected; however, in order to conduct a full and impartial investigation, remedy violations,
    monitor compliance and administer the policy -- strict confidentiality cannot be guaranteed to
    participants and details may have to be divulged on a strictly “need to know” basis. The
    investigation will include, but will not be limited to, discussion of both parties and witnesses.
    A report shall be forwarded to administration with recommendations concerning remedial
    action, if necessary. Administration reviews the recommendation, determines the corrective
    action, if any, notifies all parties of its decision and implements that decision.



**DISCLAIMER: If any material in this policy manual contradicts policies in the Collective Bargaining Agreement,
then the policies of the QSAC EMPLOYEE POLICY MANUAL are superseded for Collective Bargaining Unit
employees by the policies in the Collective Bargaining Agreement.
                                                        56
       THIS PAGE LAST UPDATED:              January 2009      SUPERSEDES ALL PREVIOUS POLICIES
    Allegations Of Consumer Abuse

    Any staff member who is alleged to have abused a consumer, whether physically or
    mentally, will be immediately suspended from employment. The allegation will be
    investigated by the Quality Assurance Department. If the allegation is unfounded, the
    employee will be reinstated with retroactive pay for all days. If the allegation is founded, the
    employee will be terminated.

    False Allegations

    If any employee knowingly and falsely accuses another employee or covered person of any
    type of consumer abuse or consumer/employee harassment, the employee will receive
    disciplinary action up to and including termination.

8. CONSUMER PROTECTION/COMMUNITY OUTINGS

    As detailed in the “Vehicle” section earlier, consumers are never allowed in an employee’s
    personal vehicle. Additionally, consumers are not allowed in the private homes of
    employees and employees should not run personal errands with consumers.

9. SOCIAL SECURITY NUMBER PROTECTION

    To protect employees' personal information, QSAC prohibits the use of employees' Social
    Security numbers for identification purposes, except as allowed by law. A Social Security
    number is defined to include the number issued by the federal Social Security Administration
    and any number derived from that number. The last four numbers of a Social Security
    number are included in this definition.

    In compliance with New York State's Social Security Protection Law, QSAC will not:

    •   Publicly post or publicly display in any manner an employee's Social Security number

    •   "Publicly post" or "publicly display" means to intentionally communicate or otherwise
        make available to the general public.

    •   Print an employee's Social Security number on any card or tag required for the
        employee to access products, services or benefits.

    •   Require an employee to transmit his or her Social Security number over the Internet,
        unless the connection is secure or the Social Security number is encrypted.

    •   Require an employee to use his or her Social Security number to access an Internet web
        site, unless a password or unique personal identification number (PIN) or other
        authentication device is also required to access the Internet web site.

    •   Print an employee's Social Security number on any materials to an individual unless
        required by law or the inclusion of the Social Security number is specifically allowed in
        the mailing. Examples of mailings that may contain Social Security numbers are
        application or termination materials (for employment or accounts) or documents to
**DISCLAIMER: If any material in this policy manual contradicts policies in the Collective Bargaining Agreement,
then the policies of the QSAC EMPLOYEE POLICY MANUAL are superseded for Collective Bargaining Unit
employees by the policies in the Collective Bargaining Agreement.
                                                        57
       THIS PAGE LAST UPDATED:              January 2009      SUPERSEDES ALL PREVIOUS POLICIES
        confirm the accuracy of a Social Security number. Any permitted mailing containing a
        Social Security number will be placed in an envelope where the Social Security number
        will not be visible.

   •    Encoding or embedding a social security number in or on a card or document, such as
        by means of a bar code, chip, magnetic strip, or other technology, in lieu of removing a
        social security number.

   •    Communicating an employee’s “personal information” to the public. For the purpose of
        this prohibition, “personal identifying information” means an employee’s social security
        number, home address, telephone number, personal email address, internet
        identification or password, last name prior to marriage, and driver’s license number.

    QSAC will continue to collect, use, or release Social Security numbers/Personal Information
    as required by state or federal law, and may use Social Security numbers for internal
    verification or administrative purposes.

    Employees who have questions about this policy or who feel that their Social Security
    number has been used inappropriately by QSAC should contact the Human Resources
    Department.

10. SUGGESTIONS/COMPLAINT PROCEDURE

    Non-grievance issues may be submitted to a Division Director, Director of Human
    Resources, or the Executive Director.

11. VISITORS

    Procedures:
       • All visitors should be instructed to check in at the receptionist’s desk as soon as they
          arrive at the facility.
       • Employees should not permit an unofficial visitor in their area without notification and
          clearance by administration. In the event that a visitor comes directly to the unit or
          department, the employee should inform a director. In the event that clearance
          cannot be granted, the visitor should be directed to the receptionist’s desk.


                                            XIII. APPENDIX
1. RESIDENTIAL AND DAY HAB ADDENDUM

        a.       Inclement Weather & Emergency Closing
                 Day Hab staff may be mandated to report to a residence determined by the
                 Director of Day Habilitation. Day Hab Staff will be paid “double time” in such an
                 event.




**DISCLAIMER: If any material in this policy manual contradicts policies in the Collective Bargaining Agreement,
then the policies of the QSAC EMPLOYEE POLICY MANUAL are superseded for Collective Bargaining Unit
employees by the policies in the Collective Bargaining Agreement.
                                                        58
       THIS PAGE LAST UPDATED:              January 2009      SUPERSEDES ALL PREVIOUS POLICIES
        b.       Licenses & Certifications
                 Employees who are required to maintain a driver license, SCIP, CPR, 1st Aid, or
                 AMAP certification in good standing may be suspended from the residence/day
                 hab if their license/certification is suspended/revoked/expired. Employees will be
                 offered the opportunity to work in other programs that do not require a
                 license/certification.

        c.       Shift Coverage
                 In the event a shift is unable to be covered, the manager of the residence may
                 mandate a staff member currently working to remain in the residence to cover the
                 shift.

        d.       Sick Call Policy (Day/Afternoon/Evening Shift)
                 Residential staff must call the Residential Office and speak to a supervisor by
                 12:00 noon if unable to work their scheduled hours for shifts Monday through
                 Friday. For hours scheduled on Saturday, Sunday or holidays, staff must contact
                 the residence at least 4 hours prior to their shift and speak to a supervisor.

        e.       Sick Call Policy (Overnight Shift)
                 Overnight staff are always required to call their supervisor by 12:00 noon if
                 unable to work their shift.

        f.       Residential Closings
                 Residences are closed when all clients are on home visits. In the event a
                 residential facility is closed, residential staff may be assigned work in another
                 residence, Res Hab or Respite Programs, or other assignments.

        g.       PTO for Residential Staff
                 Residential staff are entitled to be compensated for time off for the number of
                 hours they are scheduled for any given shift. Staff may request to be
                 compensated for less PTO hours than they are scheduled.

        h.       Holiday Coverage
                 If a staff member is scheduled to work on a holiday and requests the day off,
                 management will make every attempt to find a qualified staff member to cover
                 the shift. If a qualified staff member cannot be found, the staff member is
                 mandated to work his/her shift.

        i.       Holiday Double Time
                 Certain holidays designated by the Executive Director are deemed to be “double
                 time”. Double time is above and beyond the holiday hours paid. The following
                 holidays are paid at the double time rate:

                       Independence Day                     7/4              12pm-10pm
                       Thanksgiving Day                                      10am-8pm
                       Christmas Day                        12/25            8am-10pm
                       New Years Eve                        12/31            7pm-10am



**DISCLAIMER: If any material in this policy manual contradicts policies in the Collective Bargaining Agreement,
then the policies of the QSAC EMPLOYEE POLICY MANUAL are superseded for Collective Bargaining Unit
employees by the policies in the Collective Bargaining Agreement.
                                                        59
       THIS PAGE LAST UPDATED:              January 2009      SUPERSEDES ALL PREVIOUS POLICIES
2. PRESCHOOL ADDENDUM

        a. Policy Regarding Time Off
        • Preschool/School staff are required to follow the school calendar which consists of a
           minimum of 210 teaching days.
        • Preschool/School staff will work at least an additional 10 days throughout the year
           which include staff development days, beginning of the year preparation, end of year
           clean up, etc.
        • Preschool/School staff will earn 12 sick days a year, one per month (July 1 – June
           30). This time does not carry over but can be sold back at 100% of salary if
           employed until June 30.
        • Preschool/School staff will receive approximately 30 vacation days as a result of the
           typical school recesses/vacation breaks. This time is accrued on a per payroll basis.
           Staff must work an entire school year to receive all standard vacations. If a staff
           person resigns any vacation they have received but have not accrued will be
           recouped in their last paycheck.
        • Preschool/School staff receive 12 agency holidays in accordance with the Union
           Contract and Personnel Policy.
        • If the QSAC Preschool/School closes due to inclement weather, etc. and QSAC
           office remains open, all Preschool/School staff may be required to come to work.
           You will be instructed to go to the Preschool/School site or the QSAC office. If you
           opt not to come to work, you can use a sick day.


        b. School Year Breakdown

        •   210 (min.) School days (students in attendance)

        •   10 (approx) Staff Development/preparation days (no students)

        •   12           Sick Days

        •   11           Holidays

        •   30           Approximate days off (recesses, vacation days)
        •   53 -         TOTAL DAYS OFF (approximate)




**DISCLAIMER: If any material in this policy manual contradicts policies in the Collective Bargaining Agreement,
then the policies of the QSAC EMPLOYEE POLICY MANUAL are superseded for Collective Bargaining Unit
employees by the policies in the Collective Bargaining Agreement.
                                                        60
       THIS PAGE LAST UPDATED:              January 2009      SUPERSEDES ALL PREVIOUS POLICIES
                        XIV. QSAC WHISTLE BLOWER POLICY

QSAC is committed to observing the highest standards of business and personal ethics. As
employees and representatives of the Agency, we must practice honesty and integrity in fulfilling
our responsibilities and complying with all applicable laws and regulations.

It is the responsibility of employees and volunteers to report violations or suspected violations of
fraud, theft, embezzlement, bribery, kickbacks misuse of QSAC assets or suspected regulatory,
compliance or ethics related issues concerns or violations. Theft includes taking money or
property of the agency including food, theft from consumers or staff. Fraud could include filing
false disability, workers comp or insurance claims.

Staff members who file a valid complaint or a complaint which leads to the correction of an
ethical or legal problem will be eligible for compensation of up to $300, depending upon the
situation.

No employee who in good faith reports a violation shall suffer in any way. An employee who
retaliates against someone who has reported a violation in good faith is subject to discipline up to
and including termination of employment. This Whistleblower Policy is intended to encourage
and enable employees and others to raise serious concerns within our Agency.
Questions, concerns, suggestions or complaints regarding the ethical and legal standards noted
above should be addressed directly to the QSAC Executive Director at 212 244 5560 x 2020 or
QSAC Executive Director, 253 W 35th St, 16th flr, NY, NY 10001 or thru the Executive Director
Hotline @ (718) 728-8476, extension 1040. If the complaint involves the Executive Director, the
report should be addressed to the President of the Board of Directors. Reports or complaints
can be submitted anonymously but, in such event, no compensation can be granted.
Anyone filing a complaint concerning a violation or suspected violation of the ethical and legal
standards noted above must act in good faith and have reasonable grounds for believing the
information disclosed may indicate a violation of such standards. Any allegations that prove to
have been made maliciously or knowingly to be false will be viewed as a serious disciplinary
offense.
Any discipline of a bargaining union member under this policy is subject to the grievance
procedure of the collective bargaining agreement.

FALSE CLAIMS
CORPORATE COMPLIANCE POLICY AS IT RELATES TO THE FEDERAL DEFICIT
REDUCTION ACT OF 2005 AND THE NEW YORK STATE SOCIAL SERVICES LAW SECTION
363-D

Policy:
It is the policy of QSAC that all employees, including management, and contractors and agents
representing QSAC are educated and trained in matters of compliance and the applicable laws
**DISCLAIMER: If any material in this policy manual contradicts policies in the Collective Bargaining Agreement,
then the policies of the QSAC EMPLOYEE POLICY MANUAL are superseded for Collective Bargaining Unit
employees by the policies in the Collective Bargaining Agreement.
                                                        61
       THIS PAGE LAST UPDATED:              January 2009      SUPERSEDES ALL PREVIOUS POLICIES
as it relates to the Federal Deficit Reduction Act of 2005 and the New York State Social Services
Law Section 363-d, and the roles of these laws in preventing and detecting fraud, waste and
abuse in federal health care programs.

QSAC Policy also requires that there is periodic auditing, monitoring and oversight of compliance
as it relates to the Federal Deficit Reduction Act of 2005 and the New York State Social Services
Law Section 363-d.
QSAC strives to create an atmosphere that encourages and enables the reporting of non-
compliance without fear of retribution.
Responsibility for compliance will not be delegated to persons with a propensity to act in a non-
compliant manner, and this policy ensures that mechanisms exist to investigate, discipline and
correct non-compliance.
Purpose:
The purpose of this policy is to comply with the requirements of the Deficit Reduction Act of 2005
and the New York State Social Services Law Section 363-d as it relates to federal and state
False Claims laws.


Definition:
For the purposes of the False Claims Act laws, a “claim” includes, but is not limited to, any
request or demand for money or property that is submitted to the U.S. Government or to a
contractor, grantee, or other recipient, if any portion of the request is to be funded or reimbursed
by the government.

APPLICABLE FEDERAL LAWS
Federal False Claims Act, 31 U.S.C. §§ 3729 - 3733: The federal False Claims Act ("FCA") helps
the federal government combat fraud and recover damages resulting from fraud in a federally
funded program, purchases, or contracts. The act establishes significant liability for any person
or entity that knowingly presents or causes to be presented, a false or fraudulent claim to the
U.S. Government for payment.

The term “knowingly” is defined to mean that a person, with respect to information:
• Has actual knowledge of falsity of information in the claim
• Acts in deliberate ignorance of the truth or falsity of the information in a claim, or
• Acts in reckless disregard of the truth or falsity of the information in a claim.
• The act does not require proof of a specific intent to defraud the U.S. government for the act.

Actions that violate the FCA include, among other things:
1) knowingly submitting a false claim for payment,
2) knowingly making or using a false record or statement to obtain payment for a false claim,
3) conspiring to make a false claim or get one paid or
4) knowingly making or using a false record to avoid payments owed to the U.S. Government.


**DISCLAIMER: If any material in this policy manual contradicts policies in the Collective Bargaining Agreement,
then the policies of the QSAC EMPLOYEE POLICY MANUAL are superseded for Collective Bargaining Unit
employees by the policies in the Collective Bargaining Agreement.
                                                        62
       THIS PAGE LAST UPDATED:              January 2009      SUPERSEDES ALL PREVIOUS POLICIES
The United States Attorney General may bring civil actions for violations of the FCA. As with
most civil actions, the government must establish its case by presenting a preponderance of the
evidence rather than by meeting the higher burden of proof that applies in criminal cases. Proof
of intent is not a requirement to determine whether an act is a violation of the FCA.

Private or Qui Tam Actions/Whistleblower Provisions: An individual (or qui tam plaintiff) can file a
civil suit for himself and for the government for violations of the FCA. Individuals who report
fraud may be awarded a percentage by the courts depending upon a number of circumstances,
including, whether the government prosecutes the case, the factual bases, and/or the
whistleblower’s involvement in the act.

Under federal law, an employee who has been discharged, demoted, suspended, threatened,
harassed, or in any way discriminated or retaliated against by his employer because of
involvement in a FCA disclosure is entitled to reinstatement of status, back pay and
compensation for any special damages sustained because of the discrimination or retaliation.

APPLICABLE NEW YORK STATE LAWS
New York’s false claims laws fall into two categories: civil and administrative; and criminal laws.
Some apply to recipient false claims and some apply to provider false claims, and while most
are specific to healthcare or Medicaid, some of the “common law” crimes apply to areas of
interaction with the government.

Civil and Administrative Laws

NY False Claims Act (State Finance Law, §§187-194): The NY False Claims Act closely tracts
the federal False Claims Act. It imposes penalties and fines on individuals and entities that file
false or fraudulent claims for payment from any state or local government, including health care
programs such as Medicaid. The penalty for filing a false claim is $6,000 -$12,000 per claim and
the recoverable damages are between two and three times the value of the amount falsely
received. In addition, the false claim filer may have to pay the government’s legal fees. The Act
allows private individuals to file lawsuits in state court, just as if they were state or local
government parties. If the suit eventually concludes with payments back to the government, the
person who started the case can recover 25-30% of the proceeds if the government did not
participate in the suit of 15-25% if the government did participate in the suit.

Social Services Law §145-b False Statements: It is a violation to knowingly obtain or attempt to
obtain payment for items or services furnished under any Social Services program, including
Medicaid, by use of a false statement, deliberate concealment or other fraudulent scheme or
device. The State or the local Social Services district may recover three times the amount
incorrectly paid. In addition, the Department of Health may impose a civil penalty of up to $2,000
per violation. If repeat violations occur within 5 years, a penalty up to $7,500 per violation may
be imposed if they involve more serious violations of Medicaid rules, billing for services not
rendered or providing excessive services.



**DISCLAIMER: If any material in this policy manual contradicts policies in the Collective Bargaining Agreement,
then the policies of the QSAC EMPLOYEE POLICY MANUAL are superseded for Collective Bargaining Unit
employees by the policies in the Collective Bargaining Agreement.
                                                        63
       THIS PAGE LAST UPDATED:              January 2009      SUPERSEDES ALL PREVIOUS POLICIES
Social Services Law §145-c Sanctions: If any person applies for or receives public assistance,
including Medicaid, by intentionally making a false or misleading statement, or intending to do
so, the person’s, the person’s family’s needs are not taken into account for 6 months if a first
offense, 12 months if a second (or once if benefits received are over $3,900) and live years for 4
or more offenses.

Criminal Laws

Social Services Law §145 Penalties: Any person who submits false statements or deliberately
conceals material information in order to receive public assistance, including Medicaid, is guilty
of a misdemeanor).

Social Services Law § 366-b, Penalties for Fraudulent Practices:
a. Any person who obtains or attempts to obtain, for himself or others, medical assistance by
means of a false statement, concealment of material facts, impersonation or other fraudulent
means is guilty of a Class A misdemeanor).
b. Any person who, with intent to defraud, presents for payment and false or fraudulent claim for
furnishing services, knowingly submits false information to obtain greater Medicaid compensation
or knowingly submits false information in order to obtain authorization to provide items or
services is guilty of a Class A misdemeanor).

Penal Law Article 155, Larceny; The crime of larceny applies to a person who, with intent to
deprive another of his property, obtains, takes or withholds the property by means of trick,
embezzlement, false pretense, false promise, including a scheme to defraud, or other similar
behavior. It has been applied to Medicaid fraud cases.
a. Fourth degree grand larceny involves property valued over $1,000 (Class E felony).
b. Third degree grand larceny involves property valued over $3,000 (Class D felony).
c. Second degree grand larceny involves property valued over $50,000 (Class C felony).
d. First degree grand larceny involves property valued over $1 million (Class B felony).

Penal Law Article 175, False Written Statements: Four crimes in this Article relate to filing
false information or claims and have been applied in Medicaid fraud prosecutions:
a. §175.05, Falsifying business records involves entering false information, omitting
material information or altering an enterprise’s business records with the intent to
defraud (Class A misdemeanor).
b. § 175.10, Falsifying business records in the first degree includes the elements of the §175.05
offense and includes the intent to commit another crime or conceal its commission (Class E
felony).
c. §175.30, Offering a false instrument for filing in the second degree involves presenting a
written instrument (including a claim for payment) to a public office knowing that it contains false
information (Class A misdemeanor).
d. §175.35, Offering a false instrument for filing in the first degree includes the elements of the
second degree offense and must include an intent to defraud the state or a political subdivision
(Class E felony).


**DISCLAIMER: If any material in this policy manual contradicts policies in the Collective Bargaining Agreement,
then the policies of the QSAC EMPLOYEE POLICY MANUAL are superseded for Collective Bargaining Unit
employees by the policies in the Collective Bargaining Agreement.
                                                        64
       THIS PAGE LAST UPDATED:              January 2009      SUPERSEDES ALL PREVIOUS POLICIES
Penal Law Article 176, Insurance Fraud: Applies to claims for insurance payment, including
Medicaid or other health insurance and contains six crimes.
a.Insurance Fraud in the 5th degree involves intentionally filing a health insurance claim knowing
that it is false. (Class A misdemeanor).
b.Insurance fraud in the 4th degree is filing a false insurance claim for over $1,000 (Class E
felony).
c. Insurance fraud in the 3rd degree is filing a false insurance claim for over $3,000 (Class D
felony).
d.Insurance fraud in the 2nd degree is filing a false insurance claim for over $50,000 (Class C
felony).
e.Insurance fraud in the 1st degree is filing a false insurance claim for over $1 million (Class
B felony).
f. Aggravated insurance fraud is committing insurance fraud more than once (Class D felony).

Penal Law Article 177, Health Care Fraud: Applies to claims for health insurance payment,
including Medicaid, and contains five crimes:
a. Health care fraud in the 5th degree is knowingly filing, with intent to defraud, a claim for
payment that intentionally has false information or omissions (Class A misdemeanor).
b. Health cam fraud in the 4th degree is filing false claims and annually receiving over
$3,000 in aggregate (Class E felony).
c. Health care fraud in the 3rd degree is filing false claims and annually receiving over $10,000 in
the aggregate (Class D felony).
d. Health care fraud in the 2nd degree is filing false claims and annually receiving over $50,000
in the aggregate (Class C felony).
e. Health care fraud in the 1st degree is filing false claims and annually receiving over $1 million
in the aggregate (Class B felony).

WHISTLEBLOWER PROTECTION

Federal False Claims Act (31 U.S.C. §3730(h)): The FCA provides protection to qui tam relators
who are discharged, demoted, suspended, threatened, harassed, or in any other manner
discriminated against in the terms and conditions of their employment as a result of their
furtherance of an action under the FCA. 31 U.S.C. 3730(h). Remedies include reinstatement
with comparable seniority as the qui tam relator would have had but for the discrimination, two
times the amount of any back pay, interest on any back pay, and compensation for any special
damages sustained as a result of the discrimination, including litigation costs and reasonable
attorneys’ fees.

NY False Claim Act (State Finance Law §191): The False Claim Act also provides protection to
qui tam relators who are discharged, demoted, suspended, threatened, harassed, or in any
other manner discriminated against in the terms and conditions of their employment as a result of
their furtherance of an action under the Act. Remedies include reinstatement with comparable
seniority as the qui tam relator would have had but for the discrimination, two times the amount
of any back pay, interest on any back pay, and compensation for any special damages


**DISCLAIMER: If any material in this policy manual contradicts policies in the Collective Bargaining Agreement,
then the policies of the QSAC EMPLOYEE POLICY MANUAL are superseded for Collective Bargaining Unit
employees by the policies in the Collective Bargaining Agreement.
                                                        65
       THIS PAGE LAST UPDATED:              January 2009      SUPERSEDES ALL PREVIOUS POLICIES
sustained as a result of the discrimination, including litigation costs and reasonable attorneys’
fees.

New York Labor Law §740: An employer may not take any retaliatory action against an
employee if the employee discloses information about the employer’s policies, practices or
activities to a regulatory, law enforcement or other similar agency or public official. Protected
disclosures are those that assert that the employer is in violation of a law that creates a
substantial and specific danger to the public health and safety or which constitutes health care
fraud under Penal Law §177 (knowingly filing, with intent to defraud, a claim for payment that
intentionally has false information or omissions). The employee’s disclosure is protected only if
the employee first brought up the matter with a supervisor and gave the employer a reasonable
opportunity to correct the alleged violation. If an employer takes a retaliatory action against the
employee, the employee may sue in state court for reinstatement to the same, or an equivalent
position, any lost back wages and benefits and attorneys’ fees. If the employer is a health
provider and the court finds that the employer’s retaliatory action was in bad faith, it may impose
a civil penalty of $10,000 on the employer.

New York Labor Law §741: A health care employer may not take any retaliatory action against
an employee if the employee discloses certain information about the employer’s policies,
practices or activities to a regulatory, law enforcement or other similar agency or public official.
Protected disclosures are those that assert that, in good faith, the employee believes constitute
improper quality of consumer care. The employee’s disclosure is protected only if the employee
first brought up the matter with a supervisor and gave the employer a reasonable opportunity to
correct the alleged violation, unless the danger is imminent to the public or consumer and the
employee believes in good faith that reporting to a supervisor would not result in corrective
action. If an employer takes a retaliatory action against the employee, the employee may sue in
state court for reinstatement to the same, or an equivalent position, any lost back wages and
benefits and attorneys’ fees. If the employer is a health provider and the court finds that the
employer’s retaliatory action was in bad faith, it may impose a civil penalty of $10,000 on the
employer.

Background: The QSAC Compliance Program was developed in response to the Federal Deficit
Reduction Act of 2005 and the New York State Social Services Law Section 363-d. The Program
establishes standards of conduct and policies as well as a system for monitoring adherence to
those policies and sanctioning noncompliance. The Program also educates and trains QSAC
personnel, contractors and agents representing QSAC in their responsibilities. The goal of the
Program is to ensure that each employee, contractor and/or agent performs their duties ethically,
legally and responsibly.

This Program is an integral part of QSAC's ongoing efforts to achieve compliance as it relates to
billing Medicaid, the Federal Deficit Reduction Act of 2005 and the New York State Social
Services Law Section 363-d. The Program creates a comprehensive and centralized system of
oversight for bill coding, education, chart review, reporting and discipline.



**DISCLAIMER: If any material in this policy manual contradicts policies in the Collective Bargaining Agreement,
then the policies of the QSAC EMPLOYEE POLICY MANUAL are superseded for Collective Bargaining Unit
employees by the policies in the Collective Bargaining Agreement.
                                                        66
       THIS PAGE LAST UPDATED:              January 2009      SUPERSEDES ALL PREVIOUS POLICIES
This Program provides for the existence of a Compliance Officer who has ultimate responsibility
and accountability for compliance matters. However, each individual employee or agent of QSAC
remains responsible and accountable for his or her own compliance with applicable laws.
Confirmed acts of non-compliance will be disciplined ("Discipline," as used throughout this policy
shall include all steps described in the Employee Policy Manual, up to and including termination
of employment).

Although the intent is to encourage compliance through a centralized audit system, it remains
the responsibility of each individual, including but not limited to direct care staff, clinical staff and
administrative staff, involved with the billing process to comply with the law. The purpose of this
Program is to ensure that services are documented correctly and properly coded bills are
submitted for actual services provided. Billing will be done in compliance with all applicable state
and federal laws and regulations. Specifically, no bill will be issued for a service unless it was
actually performed and documented by the staff.

When claiming payment for services, QSAC has an obligation to its consumers, third party
payers, and the state and federal governments to exercise diligence, care and integrity. The
right to bill Medicaid programs, conferred through the award of provider or supplier number,
carries a responsibility that may not be abused. QSAC is committed to maintaining the accuracy
of every claim it processes and submits. Many people, throughout QSAC, have responsibility for
entering charges and codes for services. Each of these individuals is expected to monitor
compliance with applicable billing rules. Any false, inaccurate, or questionable claims should be
reported immediately to a supervisor or to the Compliance Officer.

False billing is a serious offense. Medicaid rules prohibit knowingly and willfully making or
causing to be made any false statement or representation of a material fact in an application for
benefits or payment. It is also unlawful to conceal or fail to disclose the occurrence of an event
affecting the right to payment with the intent to secure payment that is not due. Examples of
false claims include:

Claiming reimbursement for services that have not been rendered
Filing duplicate claims
"Upcoding" to a different service than were actually performed including inappropriate or
inaccurate costs on reports
Falsely indicating that a particular staff provided the service or that services were otherwise
rendered in a manner they were not
Billing for a length of hours beyond what was provided
Billing for services that were not provided
Failing to provide services or items
Billing excessive charges

QSAC employees and agents who prepare, submit or review timesheets or other billing
documents should be alert for these and other errors.



**DISCLAIMER: If any material in this policy manual contradicts policies in the Collective Bargaining Agreement,
then the policies of the QSAC EMPLOYEE POLICY MANUAL are superseded for Collective Bargaining Unit
employees by the policies in the Collective Bargaining Agreement.
                                                        67
       THIS PAGE LAST UPDATED:              January 2009      SUPERSEDES ALL PREVIOUS POLICIES
In compliance with federal law, QSAC does not permit charging for any Medicaid service at a
rate higher than that approved by the state or accepting any payment as a precondition of
admitting a Medicaid consumer to QSAC.

QSAC carefully follows the Medicaid rules on assignment and reassignment of billing rights. If
there is any question whether QSAC may bill for a particular service, either on behalf of a
provider or on its own behalf, the question should be directed to the Compliance Officer for
review. QSAC employees should not submit claims for other entities or claims prepared by other
entities, including outside consultants, without approval from the Compliance Officer. Special
care should be taken in reviewing these claims, and QSAC personnel should request
documentation from outside entities if necessary to verify the accuracy of the claims. In addition
to the criminal penalties, the Federal False Claims Act permits substantial civil monetary
penalties against any person who submits false claims. The Act provides a penalty of triple
damages as well as fines up to $10,000 for each false claim submitted. The person (as well as
QSAC) may be excluded from participating in the Medicaid program.

Numerous other federal laws prohibit false statements or inadequate disclosure to the
government and mandate exclusion from Medicaid programs. It is illegal to make any false
statement to the federal government, including statements on Medicaid claim forms. It is illegal to
use the U.S. mail to scheme to defraud the government. Any agreement between two or more
people to submit false claims may be prosecuted as a conspiracy to defraud the government.

QSAC promotes full compliance with each of the relevant laws by maintaining a strict policy of
ethics, integrity, and accuracy in all its financial dealings. Each employee and professional,
including outside consultants, who are involved in submitting charges, preparing claims, billing,
and documenting services are expected to maintain the highest standards of personal,
professional, and institutional responsibility.

CORPORATE COMPLIANCE PROCEDURES AS IT RELATES TO THE FEDERAL DEFICIT
REDUCTION ACT OF 2005 AND THE NEW YORK STATE SOCIAL SERVICES LAW SECTION
363-D

Procedures: A Compliance Officer has been appointed at QSAC and reports to the Executive
Director. To avoid any issues related to a conflict of interest regarding legal or financial matters
associated with compliance, the Compliance Officer has direct access to the QSAC Board of
Directors.

The Compliance Officer oversees the education of personnel regarding proper compliance, the
auditing and monitoring of the status of compliance, and the reporting, investigation, discipline
and corrective action related to non-compliance. It is also his/her responsibility to ensure
programs are in place to guarantee that significant discretionary authority is not delegated to
persons with a demonstrated or suspected propensity for improper or unlawful conduct.

The Compliance Officer’s functions include: (1) review of guidelines for documentation and
coding of services, (2) development and/or delivery of general and specialty-specific in-service

**DISCLAIMER: If any material in this policy manual contradicts policies in the Collective Bargaining Agreement,
then the policies of the QSAC EMPLOYEE POLICY MANUAL are superseded for Collective Bargaining Unit
employees by the policies in the Collective Bargaining Agreement.
                                                        68
       THIS PAGE LAST UPDATED:              January 2009      SUPERSEDES ALL PREVIOUS POLICIES
training of billing staff on coding and proper documentation of services, and (3) coordination of
agency-wide, department-specific audits of consumer records on an ongoing basis. Following
any audit, results are discussed with the staff involved. The Compliance Officer also
communicates to staff, via newsletter or other written communication, changes to the laws and
regulations regarding billing.

The Compliance Officer reports on QSAC's adherence to this policy on a quarterly basis to the
Executive Director and on an annual basis to the QSAC Board of Directors. The report includes
but is not limited to: (1) the level of compliance or non-compliance found as a result of
monitoring and auditing, (2) the success of efforts to improve compliance, including training and
education, (3) and corrective or disciplinary action taken with respect to those found to be non-
compliant. The Compliance Officer has full access to all personnel and relevant documentation
deemed necessary to perform his/her oversight and reporting duties.

It is not expected that the Compliance Officer will have the knowledge or expertise necessary to
ensure compliance with all laws and regulations that affect the various departments of QSAC.
He/she is responsible, however, for the overall Policy and must ensure that qualified,
knowledgeable personnel within individual divisions or departments of QSAC assist in
monitoring and educational functions.

The Compliance Officer may appoint such staff as deemed necessary to assist in the
performance of the responsibilities outlined above. Any members of the Compliance Officer's
staff will be treated as the Compliance Officer for purposes of cooperation with his/her efforts to
perform his/her duties.

Reporting: All employees have the responsibility to comply with applicable laws and regulations
and to report any acts of non-compliance and to ensure that others do, as well. Employees must
report non-compliance to their supervisors, the Compliance Officer or the Compliance Hotline
(See Compliance Hotline).

A written record of every report received will be kept for a period of six years. Every effort will be
made to preserve the confidentiality of reports of non-compliance (although calls made
anonymously will always preserve the anonymity of the caller). All employees must understand,
however, that circumstances may arise in which it is necessary or appropriate to disclose
information. In such cases disclosures will be on a "need to know" basis only.

Supervisors are required to report these issues through established channels in Human
Resources and/ or with the Compliance Officer. Calls may be made anonymously, although
QSAC encourages employees to provide their name and telephone number so that reports may
be more effectively investigated.

All employees are required to report acts of non-compliance. Any employee found to have known
of such acts but who failed to report them will be subject to discipline. Employees uncertain
about whether some conduct constitutes non-compliance should contact the Compliance
Hotline (See Compliance Hotline).

**DISCLAIMER: If any material in this policy manual contradicts policies in the Collective Bargaining Agreement,
then the policies of the QSAC EMPLOYEE POLICY MANUAL are superseded for Collective Bargaining Unit
employees by the policies in the Collective Bargaining Agreement.
                                                        69
       THIS PAGE LAST UPDATED:              January 2009      SUPERSEDES ALL PREVIOUS POLICIES
Personnel who staff the Hotline are instructed to report the information they receive immediately
to the Compliance Officer or his/her designee.

Investigation: The Compliance Officer or their designee(s) will investigate every report of non-
compliance (and retaliation), whether reported through the Hotline (see Compliance Hotline) or
otherwise. Investigations will be done promptly and will consist of interviewing personnel,
examining documents, and consulting with legal counsel, if necessary. All employees must
cooperate with those investigating such matters and non-cooperation may result in discipline, up
to and including termination of employment.

The Compliance Officer or their designee(s) have full authority to interview any employee and
review any document he or she deems necessary to complete the investigation.

Once the Compliance Officer completes an investigation, he/she will make a report to the
Executive Director. The report will be the basis for the Compliance Officer's Program or
recommendation of corrective action or discipline. Reports will be retained for six years.
Sanctions for non-compliance may be imposed (See Sanctions).

A written record of each investigation will be created and maintained by the Compliance Officer.
He/ she will make every effort to preserve the confidentiality of such records and will make any
necessary disclosures on a "need to know" basis only.

Compliance Hotline: Any employee or professional associated with QSAC can report suspected
ethical or legal violations to the Compliance Hotline, 718-728-8476, EXT. 1020. Reports may be
made anonymously, if desired, although all reasonable attempts will be made to preserve the
confidentiality of those who give their names when reporting. The Compliance Hotline will be
answered by a voice mail system that will be check daily.

All calls are taken seriously and investigated by the Compliance Officer. Where feasible, the
investigation results will be conveyed to the person who reported the violation.

Purpose of the Compliance Hotline affords callers easy access to report any improper or
unethical behavior that may jeopardize the integrity of the institution or any noncompliance with
federal or state regulations. Reports of suspected violations may be made confidentially and
anonymously, if you prefer. The Hotline is accessible 24 hours a day.

Any concerns regarding improper or unethical activity such as violations of professional
standards of practice or business ethics, breach of consumer privacy or confidentiality,
information system security breach, inaccurate billing, conflicts of interest or research fraud can
be reported on this hotline. The hotline augments other reporting channels, including an
individual's supervisor. For more information regarding compliance, send email to
compliance@qsac.com.

Non-Retaliation: It is the policy of QSAC that no person shall retaliate, in any form, against a
person who reports in good faith an act or suspected act of non-compliance (although

**DISCLAIMER: If any material in this policy manual contradicts policies in the Collective Bargaining Agreement,
then the policies of the QSAC EMPLOYEE POLICY MANUAL are superseded for Collective Bargaining Unit
employees by the policies in the Collective Bargaining Agreement.
                                                        70
       THIS PAGE LAST UPDATED:              January 2009      SUPERSEDES ALL PREVIOUS POLICIES
employees may be disciplined for making intentionally false reports of non-compliance, up to and
including termination of employment).

QSAC will not tolerate retaliation against employees and professional staff who report
suspected violations in good faith. No employee of QSAC shall in any way retaliate against
another employee for reporting an act of non-compliance. Acts of retaliation should also be
reported to the Hotline and will be investigated by the Compliance Officer or his/her designee.
Any confirmed act of retaliation shall result in discipline, up to and including termination of
employment.

In addition, the Federal False Claims Act and the New York State Labor Law provide certain
protections to individuals who are discharged, demoted, suspended or threatened, harassed or
discriminated against by their employer in retaliation for assisting in the investigation, initiation
or prosecution of a False Claims Act violation or which constitutes health care fraud under the
New York State Penal Law. The protections may include reinstatement, return of lost back pay
plus interest. Any person who attempts to retaliate will be subject to discipline, up to and
including termination.

Sanctions - Corrective Action or Discipline: Every confirmed act of non-compliance may result in
sanctions which may include corrective action, a requirement to follow a certain process or
procedure in the future, restitution, and/or discipline, up to and including termination. The
sanction for a single act of non-compliance will be decided by the Executive Director.

Plans of corrective action and discipline may include but are not limited to: (1) a requirement to
undergo training; (2) a period of required supervision; (3) expanded auditing, internal or external,
for some period of time until compliance improves; and (4) in egregious cases, discipline, up to
and including termination of employment.

Education and Training: The Compliance Officer will monitor the education of employees
concerning the existence of the compliance program, the contents of this Program, and the
need to abide by the specific laws and regulations affecting individual departments and
employees of QSAC. The Compliance Officer will ensure that QSAC employees receive a copy
of this policy. He/she or members of the Compliance Officer’s staff will inform employees of
changes in the laws or regulations periodically and systematically through written
communications and/or in-service training.

The Compliance Officer's responsibility is to ensure that every employee involved with the billing
process is educated about the applicable laws and regulations governing provider billing and
documentation. The Compliance Officer will work with individual departments to acquire
information specific to their specialties that will make the training more concrete, specific, and
therefore, more effective. The Compliance Officer supervises staff who develop, oversee and/or
provide in-service training on billing and documentation requirements. The Compliance Officer
oversees a system that tracks staff attendance at the in-service trainings, and he/she has the
authority to discipline staff for non-attendance. The Compliance Officer shall also maintain,
through his/her designee, a record of each employee's attendance.

**DISCLAIMER: If any material in this policy manual contradicts policies in the Collective Bargaining Agreement,
then the policies of the QSAC EMPLOYEE POLICY MANUAL are superseded for Collective Bargaining Unit
employees by the policies in the Collective Bargaining Agreement.
                                                        71
       THIS PAGE LAST UPDATED:              January 2009      SUPERSEDES ALL PREVIOUS POLICIES
All current and new QSAC employees will have access to this Program. Reference to its
existence and how to secure a copy will appear in QSAC’s Employee Policy Manual and the
QSAC web site at http:// www.qsac.com.

Coding: Bills are coded according to the complexity of a procedure or service, as measured by
established components. The Healthcare Financing Administration (HCFA), a division of the U.S.
Department of Health and Human Services responsible for administering the Medicaid program,
has developed guidelines which identify proper coding for bills submitted to Medicaid for
payment.

Monitoring: The Compliance Officer will be responsible for monitoring employees' compliance
with applicable laws and regulations. He/she will ensure that the level of compliance in each
division or department is audited periodically. He/she will arrange as well for external auditing as
deemed necessary. If the Compliance Officer discovers that a department's or individual's level
of compliance is unacceptable, he/she may impose corrective actions, which may include future
monitoring of an individual or department on a more frequent basis. Corrective actions and
sanctions for acts of non-compliance will be managed as outlined previously (See Sanctions).

Auditing/Review: Monitoring of compliance with billing rules is a central feature of this Program.
The Compliance Officer must be able to ensure compliance through an understanding of current
regulations and overall levels of compliance throughout QSAC at any given time.

Under this Program, there will be both internal and external (i.e. by QSAC’s independent
auditor) auditing of proper coding and chart documentation. Internal auditing is done by the
professional staff of the Quality Assurance department, who will conduct periodic reviews. Bills
for services in QSAC will be subject to annual reviews for proper documentation and coding.
The Compliance Office analysts will communicate the results of their reviews to the Compliance
Officer. If the level of compliance is found to be low, the Compliance Officer will implement a
Program of correction and/or education (See Sanctions).

The Compliance Officer may engage an external auditing firm as deemed necessary to assess
QSAC's overall compliance. All employees must cooperate fully with this effort, by making
themselves and/or any pertinent documents available, and may be disciplined for not doing so.
The external auditor will report to the Compliance Officer concerning the results of its
investigation. The Compliance Officer will report, in turn, to the Executive Director.

Ongoing Assessments: The Compliance Officer will make an annual assessment of the success
of the Billing Compliance Program. That assessment will be based on the examination of results
of internal audits and investigations, reports of any outside audits that may have been
conducted and on his/her own personal experience with the functioning of the Program over the
previous year. The report will be submitted to the Executive Director and the QSAC Board of
Directors.

Code of Conduct: It is the policy of QSAC that all employees and affiliated professional staff will
comply fully with all state and federal laws and will conduct themselves in accord with the

**DISCLAIMER: If any material in this policy manual contradicts policies in the Collective Bargaining Agreement,
then the policies of the QSAC EMPLOYEE POLICY MANUAL are superseded for Collective Bargaining Unit
employees by the policies in the Collective Bargaining Agreement.
                                                        72
       THIS PAGE LAST UPDATED:              January 2009      SUPERSEDES ALL PREVIOUS POLICIES
highest ethical standards. The QSAC Code of Conduct is an important part of our compliance
program. It does not replace any policy or procedure, but rather, furnishes a framework for how
we deliver services to our consumers. QSAC offers this Policy in conjunction with the
Professional Conduct Section of the Employee Policy Manual to help its personnel understand
some specific laws they are bound to obey. The Compliance web site contains all compliance
Programs and policies. It is available at http:// www.qsac.com.

QSAC policy is to provide services to consumers professionally, ethically and legally. QSAC
personnel that fail to do so will be subject to discipline, which may include termination of
employment. Any person who learns of or suspects that someone has violated a state or federal
law, or has acted unethically or improperly, should report that information to their supervisor or the
Compliance Officer. Supervisors also are charged with the responsibility of ensuring compliance
by their staff.

If you are uncomfortable discussing your concerns with a supervisor or feel those concerns are
being ignored, call the Hotline to report information about unethical or illegal conduct. You do not
have to leave your name, although you may if you wish. The Hotline number is 718-728-8476,
ext. 1020.

Confidentiality Standards: All consumer information (including medical records) must be kept
strictly confidential and not released to anyone outside the provider without written consumer
consent or lawful court order (See HIPAA policy). All personnel must avoid discussing
confidential information with outsiders, or where others, including family, can overhear them.
Internal access to medical records is not appropriate unless there is a legitimate, work-related
need to see the information.

Cooperation with Law Enforcement: Federal and State agencies, as well as Medicaid carriers
and intermediaries, have broad rights to investigate matters involving consumer care and billing.
QSAC policy is to cooperate with law enforcement investigations and activities. Anyone who is
contacted, orally or in writing, at home or at work, by a person stating that he or she is
investigating on behalf of the government or an insurer, may refer that person to the Compliance
Officer. The Compliance Officer will coordinate the disclosure of documentation.

Billing: It is against the law and QSAC policy to knowingly submit false claims for payment.
Submitting a false claim might be using the wrong billing codes, falsifying the medical record, or
billing for services that are not provided. Violations of these laws can be punished by fines,
prison, or both. Providers can also be excluded from the Medicaid program for submitting false
claims. QSAC policy is to bill accurately and only for services that are provided and documented.
Any subcontractors that perform billing services for QSAC must ensure compliance with billing
requirements as well.

Referrals: It is against QSAC policy for employees to refer consumers to providers (such as labs
or occupational therapy) in which he or she (or a family member) has a financial interest or
relationship.


**DISCLAIMER: If any material in this policy manual contradicts policies in the Collective Bargaining Agreement,
then the policies of the QSAC EMPLOYEE POLICY MANUAL are superseded for Collective Bargaining Unit
employees by the policies in the Collective Bargaining Agreement.
                                                        73
       THIS PAGE LAST UPDATED:              January 2009      SUPERSEDES ALL PREVIOUS POLICIES
                         XV. CORPORATE COMPLIANCE PLAN
    Introduction


        QSAC is a non-profit organization dedicated to providing services to persons with autism
        spectrum disorder throughout New York City and Long Island.

        QSAC is a leader in the provision of services to persons with autism and their families. QSAC’s
        services range from Early Intervention and Preschool Programs for young children to In-Home
        Services and Schools, to Day Programs and Residential Services for adults. QSAC also provides
        educational and support services to family members and caregivers of persons with autism. All of
        the services provided are geared towards providing individuals with a more independent,
        productive and fulfilled life.

        We are dedicated to managing and operating QSAC programs in keeping with the highest of
        business, ethical and moral principals.         Each employee, agent, member of the Board of
        Directors, consultant, and volunteer contributes to achieving these principals by conducting
        business activities for the agency with integrity and high ethical standards.

        QSAC will transact its business in compliance with local, state and federal laws. As a non-profit
        agency, QSAC will conduct business in compliance with all IRS regulations governing tax-exempt
        organizations.

        For QSAC, the essence of Corporate Compliance lies in the prevention, detection and reporting
        of Medicaid fraud, abuse and waste. To achieve Corporate Compliance, QSAC has enhanced its
        policies and procedures to address all possible contingencies and remedies wherein funds
        received from Medicaid might be misused, where billing might not be accurate or where errors
        might not be detected due to inadequate monitoring systems. This requirement extends QSAC’s
        responsibility to implement systems that assure that the policies and procedures pertaining to
        Corporate Compliance are put into practice, and that agency staff are well trained in
        implementation. The policies developed annunciate methods for reporting Medicaid fraud, waste
        and abuse in a manner that assures anonymity and non-retaliation. The policies also designate a
        QSAC Corporate Compliance Officer and a Corporate Compliance/Audit Committee of the Board
        of Directors, the purpose of which is to assure abidance with the Agency’s Corporate Compliance
        Policies and Procedures.

Mission Statement

        The mission of QSAC, Quality Services for the Autism Community, is to help individuals with an
        autism spectrum disorder to live meaningful and fulfilled lives in our society. To accomplish this
        goal QSAC develops and provides educational, habilitation, residential, support, and recreational
        programs to meet the needs of persons with autism and their families.

        QSAC aims to help foster and develop a personal sense of worth and dignity for all of our
        consumers. Accordingly, QSAC provides and maintains the highest level of professional services
        that utilize the most innovative therapeutic techniques.

        QSAC continually strives to develop a better public understanding of the needs of individuals with
        autism, and to foster a feeling of responsibility among the public for the well being of the autism
        community. QSAC is committed to assisting our consumers in becoming independent and
        productive members of their communities.


**DISCLAIMER: If any material in this policy manual contradicts policies in the Collective Bargaining Agreement,
then the policies of the QSAC EMPLOYEE POLICY MANUAL are superseded for Collective Bargaining Unit
employees by the policies in the Collective Bargaining Agreement.
                                                        74
       THIS PAGE LAST UPDATED:              January 2009      SUPERSEDES ALL PREVIOUS POLICIES
The Corporate Compliance Officer

        The Compliance Officer (CO) is responsible for ensuring that the Corporate Compliance Plan,
        Policies and Procedures are implemented. A CO has direct lines of communication to the Chief
        Executive Officer and the Board of Directors.

        The CO is directly obligated to serve the best interests of QSAC, its consumers and employees.
        Responsibilities of the CO include, but are not limited to:

                     •   Developing and implementing compliance policies and procedures

                     •   Overseeing and monitoring the implementation of the compliance program.

                     •   Directing Agency internal audits established to monitor effectiveness of
                         compliance standards.

                     •   Provides feedback on the results of auditing and monitoring activities nature of
                         corrective action plans implemented in response to identified problems and
                         results of follow up audits to appropriate department personnel and Senior
                         Management.




                     •   Initiates corrective action plans to ensure resolution of problem areas identified
                         during an internal investigation or auditing/monitoring activity.

                     •   Provides guidance to management and individual departments regarding the
                         Compliance Plan and governmental laws, rules and regulations.

                     •   Updates, periodically, the Compliance Plan as changes occur within QSAC,
                         and/or in the law and regulations of governmental and third party payers.
                         Coordinate efforts with the Human Resources Department to communicate
                         awareness of the existence and contents of the Compliance Plan

                     •   Coordinates, developing and participating in the educational and training
                         program.

                     •   Ensuring independent contractors are aware of requirements of Agency’s
                         Compliance Plan.

                     •   Maintains a reporting system (hotline) and responding to concerns, complaints
                         and questions related to the Compliance Plan.

                     •   Investigates and acts on issues related to compliance

                     •   Enforces QSAC’s Corporate Compliance Plan as per OMIG regulations

                     •   Supervises and conducts internal investigations of allegations of corporate
                         compliance violations within the Agency.



**DISCLAIMER: If any material in this policy manual contradicts policies in the Collective Bargaining Agreement,
then the policies of the QSAC EMPLOYEE POLICY MANUAL are superseded for Collective Bargaining Unit
employees by the policies in the Collective Bargaining Agreement.
                                                        75
       THIS PAGE LAST UPDATED:              January 2009      SUPERSEDES ALL PREVIOUS POLICIES
        The Compliance Officer is responsible for auditing and monitoring the Agency’s abidance with the
        principles of Corporate Compliance and forwarding the results to the appropriate Senior
        Management personnel. Audit results will serve as the basis for corrective measures. The CO in
        collaboration with the Human Resources Department is also responsible for ensuring that all
        current staff are trained in QSAC’s Corporate Compliance Plan as well as all new staff upon hire.
        Ongoing training will be provided periodically thereafter.




Compliance Committee of the Board of Directors

The Corporate Compliance Committee of the Board of Directors is appointed by the Board to oversee
QSAC’s compliance with applicable legal and regulatory requirements, and the agencies code of conduct.
The Corporate Compliance Committee has been merged with the Audit Committee.

The Committee consists of a minimum of three directors appointed by the Board of Directors. The Board
of Directors shall appoint a member of the Committee to serve as its chairman, and the chairman shall
generally direct the business of the Committee. The Board shall have the authority at any time to change
the membership of the Committee and to fill vacancies on the Committee.

The Committee shall meet at least annually and more frequently as necessary to carry out its
responsibilities. Meetings may be called by the Chairman of the Committee or the Chief Executive
Officer. The Committee may ask the Chief Executive Officer, Corporate Compliance Officer, and any
other member of management or other outside party to attend meetings and provide relevant information.
All meetings of the Committee shall be held pursuant to the Bylaws of QSAC.

In exercising its authority and carrying out its responsibilities, the Committee shall:

    •   Review and make recommendations to the Board addressing the Company’s compliance
        practices. With the Corporate Compliance Officer, review the Company’s Corporate Compliance
        Program and code of conduct and make recommendations to the Board with respect to changes.

    •   Confer, as need, with QSAC’s Corporate Compliance Officer regarding QSAC’s Compliance
        Program, and any specific material compliance issues.

    •   Request that the Corporate Compliance Officer investigate matters relating to the Company’s
        legal compliance as the Committee may deem necessary.

    •   Report Committee actions to the full Board, with such recommendations as the Committee deems
        appropriate.

Assessing Risk

        On an annual basis, the CO will review the Agency’s performance regarding Corporate
        Compliance in the prior year and set forth future compliance efforts. In considering future
        compliance efforts, the CO will assess areas that present a risk for non-compliance and the
        assessment will be guided by the prior year’s experience and the results of audits performed by
        the CO and various internal and external department audits. Upon completion of the CO’s annual
        review, the CO will meet with Senior Management and the Board of Directors Corporate

**DISCLAIMER: If any material in this policy manual contradicts policies in the Collective Bargaining Agreement,
then the policies of the QSAC EMPLOYEE POLICY MANUAL are superseded for Collective Bargaining Unit
employees by the policies in the Collective Bargaining Agreement.
                                                        76
       THIS PAGE LAST UPDATED:              January 2009      SUPERSEDES ALL PREVIOUS POLICIES
        Compliance Committee and discuss the results of the CO’s review and decide upon the risk
        areas that will be incorporated into the Corporate Compliance efforts for the following year.


The Code of Business Conduct & Ethics

        The Code of Business Conduct & Ethics provides QSAC employees, agents, independent
        contractors, members of the Board of Directors, and volunteers with information necessary to
        adhere to the high ethical principles that guide the agency. QSAC is accountable for compliance
        not only with the Code of Business Conduct & Ethics, but also with all laws and regulations
        applicable to QSAC’s operations.

        QSAC ensures that all aspects of consumer care and business conduct are performed in
        compliance with our mission statement, policies and procedures, professional standards and
        applicable governmental laws, rules and regulations. QSAC expects that every person who
        provides services to consumers must adhere to the highest ethical standards and promote ethical
        behavior. Any person whose behavior is found to violate ethical standards will be disciplined
        appropriately. Similarly, any contractor that violates the standards of conduct places at risk their
        business relationship with QSAC.

        The Code of Conduct is applicable to all employees, agents, independent contractors, members
        of the Board of Directors and volunteers and everyone is required to review the Code of conduct
        and comply with the Corporate Compliance Program. QSAC will take disciplinary action for those
        who participate in non-compliant behavior, fail to report a suspected violation of the Corporate
        Compliance Program, encourage, direct, facilitate or permit non-compliant behavior and/or
        engage in retaliatory behaviors directed at those who report non-compliant behavior.



    Rules of Conduct

                 •   To work in accordance with applicable local, state and federal laws, regulations and
                     agency policies;

                 •   To report to a supervisor, the compliance officer, compliance hotline or Executive
                     Director any potential violation of applicable laws, regulations and policies, including
                     the Corporate Compliance Plan;




                 •   To maintain complete, accurate and contemporaneous records, which includes all
                     documents related to the provision of agency services that provides support for the
                     billing of services; To bill individuals and third party payers accurately; Records must
                     reflect the actual service provided; Billing activities are to be performed in a manner
                     consistent with Medicaid and other payers’ regulations and requirements.


                 •   Employees should never knowingly make or present improper, false, fictitious or
                     fraudulent claims to any government or private health care program, department or
                     agency.

                 •   To refrain from accepting kickbacks

**DISCLAIMER: If any material in this policy manual contradicts policies in the Collective Bargaining Agreement,
then the policies of the QSAC EMPLOYEE POLICY MANUAL are superseded for Collective Bargaining Unit
employees by the policies in the Collective Bargaining Agreement.
                                                        77
       THIS PAGE LAST UPDATED:              January 2009      SUPERSEDES ALL PREVIOUS POLICIES
                 •   To consult QSAC leadership when questions arise as to the conduct permitted under
                     applicable laws, regulations and policies, including the Corporate Compliance Plan.

                 •   To conserve resources of the agency by not engaging in wasteful behavior;

                 •   To avoid conflicts of interest;

                 •   To Comply with all labor and employment laws.

                 •   No employee or other agency representative shall solicit, receive, offer to pay, or pay
                     remuneration of any kind in return for referring an individual for items or services, or
                     purchasing, leasing, ordering, or arranging for goods, facilities, services or items
                     which payment may be made under federal, state or local health care programs

                 •   To refrain from unauthorized use of Agency assets

                 •   To maintain confidentiality of agency records

                 •   To adhere to regulations regarding the control of medications

                 •   To follow HIPPA regulations

                 •   To work cooperatively and respectfully with all employees, agents and contractors to
                     provide the highest quality of services;

                 •   To place the interests of the people we serve and their family members first and
                     foremost in all aspects of what we do;


                 •   To Maintain appropriate interactions with consumers

                 •   To adhere to the highest of standards of Quality of Care to obtain or maintain the
                     physical, mental and psychosocial well being of each individual served by QSAC.\

                 •   To Refrain from Abuse of consumers

                 •   To follow a consumer service plan

                 •   To represent QSAC positively in the community at large;

                 •   To conduct all activities in a fiscally responsible manner

                 •   To seek training and assistance in areas that would strengthen the ability to fulfill
                     responsibilities to consumers and QSAC;

                 •   To complete tasks in a timely manner and meet expectations for the quality of work
                     that QSAC strives to achieve;

        Each person subject to this Code of Business Conduct and Ethics shall ensure that all aspects of
        consumer care and business conduct are performed in compliance with QSAC’s mission
        statement, policies and procedures, professional standards, applicable governmental laws, rules
        and regulations, and other payor standards. QSAC expects every person who provides services
        to adhere to the highest ethical standards and to promote ethical behavior. Any person whose
**DISCLAIMER: If any material in this policy manual contradicts policies in the Collective Bargaining Agreement,
then the policies of the QSAC EMPLOYEE POLICY MANUAL are superseded for Collective Bargaining Unit
employees by the policies in the Collective Bargaining Agreement.
                                                        78
       THIS PAGE LAST UPDATED:              January 2009      SUPERSEDES ALL PREVIOUS POLICIES
        behavior is found to violate ethical standards will be disciplined appropriately, up to and including
        termination of employment.


PROFESSIONAL CONDUCT

    Rules and regulations regarding employee behavior are necessary for the efficient
    operation of the Agency, and for the benefit and safety of all its employees. These
    are to be interpreted within the context of the Agency’s mission of providing a
    supportive environment embracing and affirming the intrinsic human values of
    integrity, responsibility and trust. Conduct that interferes with operations, discredits
    the Agency, or is offensive to clients or fellow employees will not be tolerated.
        c.   All employees are expected to conduct themselves and behave in a manner which is
             conducive to the efficient operation of the Agency. Such conduct includes:
              5. refraining from behavior or conduct deemed offensive or undesirable, or which is
                 explicitly forbidden by these policies;


              6. performing assigned tasks efficiently and in accord with established
                 quality standards;

              7. reporting to management suspicious, unethical, or illegal conduct by fellow employees,
                 clients or suppliers;

              8. adhering to basic work standards as described in various sections of this
                 plan and QSAC’s personnel policy.

        d. The following conduct is prohibited and may constitute grounds for immediate discharge:
            14.        acts and/or threats of violence toward any client or group of clients or staff, or
               any altercation taking place on Agency premises;

              15.        reporting to the workplace under the influence of any illegal drug, or as a result of
                 the misuse of any prescribed and/or over-the-counter medications;

              16.        reporting to the workplace under the influence of alcohol or with alcohol on the
                 breath;

              17.        using, manufacturing, selling, possessing or dispensing illegal drugs;

              18.        possession of firearms or other weapons in any QSAC workplace.

              19.        sexual contact with or physical or verbal abuse of clients or employees;

              20.        violation of the Agency’s nondiscrimination policy, including engaging in acts
                 involving sexual or any other form of harassment;

              21.        fighting or assault on a fellow employee or client;

              22.        theft, destruction, defacement or misuse of Agency property, client property or of
                 another employee’s property;


**DISCLAIMER: If any material in this policy manual contradicts policies in the Collective Bargaining Agreement,
then the policies of the QSAC EMPLOYEE POLICY MANUAL are superseded for Collective Bargaining Unit
employees by the policies in the Collective Bargaining Agreement.
                                                        79
       THIS PAGE LAST UPDATED:              January 2009      SUPERSEDES ALL PREVIOUS POLICIES
            23. insubordination or refusal by an employee to follow management’s instructions
                concerning a job related matter;

            24. borrowing money from clients or their relatives or from persons performing paid services
                for the Agency or from any other persons in a position to benefit from an action of an
                employee. (employees are required to report the offer of a gift to the Executive Director);

            25. intimate involvement with active clients and families services by QSAC


            26. falsifying any Agency records.

        c. The examples above are illustrative of the type of behavior that will not be
           permitted, and are not intended to be all-inclusive. Any questions in
           connection with this policy should be directed to the immediate supervisor,
           Corporate Compliance Officer or the Director of Human Resources.
Auditing and Reporting

        QSAC is committed to routinely conducting internal audits of concern that have regulatory or
        compliance implications. Appropriate individuals in key management positions will be responsible
        for engaging in self-monitoring processes conducted within specific departments. The Corporate
        Compliance officer will perform internal audits of all programs with a focus on both quality and
        regulatory requirements. The Corporate Compliance Officer will provide feedback on the results
        of auditing and monitoring activities and the corrective action plans developed in response to
        identified problems to appropriate department personnel and Senior Management.

        We believe that a combination of various compliance reviews will permit us to maintain a
        consistent conformity to relevant laws and regulations, while fulfilling a commitment to identify
        and share best practices.

        Each employee has a responsibility to report through our compliance processes any activity by
        any colleague, clinician or independent contractor that appears to violate applicable laws, rules,
        regulations and standards of the Corporate Compliance Plan. QSAC encourages a culture in
        which all employees feel free to report behaviors or actions which they believe should be
        reported. Therefore, the effectiveness of our Corporate Compliance Plan depends on the
        willingness and commitment of the employees in all parts and at all levels of the agency to step
        forward, in good faith with questions and concerns. Likewise, we are committed to making every
        effort to maintain, within the limits of the law, the confidentiality of the identity of any individual
        who reports a concern in good faith.

Whistleblower Policy

        QSAC is committed to observing the highest standards of business and personal ethics. As
        employees and representatives of the Agency, we must practice honesty and integrity in fulfilling
        our responsibilities and complying with all applicable laws and regulations.

        It is the responsibility of employees, agents, independent contractors, members of the Board of
        Directors,    and volunteers to report violations or suspected violations of fraud, theft,
        embezzlement, bribery, kickbacks misuse of QSAC assets or suspected regulatory, compliance
        or ethics related issues concerns or violations. Theft includes taking money or property of the
        agency including food, theft from consumers or staff. Fraud could include filing false disability,
        workers comp or insurance claims.
**DISCLAIMER: If any material in this policy manual contradicts policies in the Collective Bargaining Agreement,
then the policies of the QSAC EMPLOYEE POLICY MANUAL are superseded for Collective Bargaining Unit
employees by the policies in the Collective Bargaining Agreement.
                                                        80
       THIS PAGE LAST UPDATED:              January 2009      SUPERSEDES ALL PREVIOUS POLICIES
        Staff members who file a valid complaint or a complaint which leads to the correction of an ethical
        or legal problem will be eligible for compensation of up to $300, depending upon the situation.

        No employee who in good faith reports a violation shall suffer in any way. An employee who
        retaliates against someone who has reported a violation in good faith is subject to discipline up to
        and including termination of employment. This Whistleblower Policy is intended to encourage and
        enable employees and others to raise serious concerns within our Agency.

        Questions, concerns, suggestions or complaints regarding the ethical and legal standards noted
        above should be addressed directly to the QSAC Executive Director at 212.244.5560 ext. 2020 or
        QSAC Executive Director, 253 W 35th St, 16th flr, NY NY 10001 or thru the Anonymous
        Reporting Executive Director Hotline @ 718.728.8476, ext. 1040. If the complaint involves the
        Executive Director, the report should be addressed to the President of the Board of Directors.
        Reports or complaints can also be submitted to the Corporate Compliance Officer, Ms. Eileen
        Breen at 718.728.8476 ext. 1278 or anonymously by mail to QSAC, 25-09 Broadway, Astoria, NY
        11106, attention Ms. Eileen Breen, but, in such event, no compensation can be granted.

        Anyone filing a complaint concerning a violation or suspected violation of the ethical and legal
        standards noted above must act in good faith and have reasonable grounds for believing the
        information disclosed may indicate a violation of such standards. Any allegations that prove to
        have been made maliciously or knowingly to be false will be viewed as a serious disciplinary
        offense.

        Any discipline of a bargaining union member under this policy is subject to the grievance
        procedure of the collective bargaining agreement.


Investigations and Corrective Action

        QSAC is committed to fostering a culture of compliance through detecting, correcting and
        preventing non-compliant behaviors. Through the process of our corporate compliance reporting
        structure and the articulation of compliance-related roles and responsibilities at every level of the
        agency’s operations, detection and correction of problems is expedited.

        It is QSAC’s policy to respond to reports or reasonable indications of suspected non-compliance
        with rules and regulations of Medicaid by commencing a prompt and thorough investigation of the
        allegations to determine whether a violation has occurred. Any suspected violations will be
        directly investigated by or overseen by the Corporate Compliance Officer. All investigations will
        be treated confidentially to the extent consistent with corporate interests and legal obligations.
        Investigations into suspected violations will be documented and submitted to the Executive
        Director for review.

        If an internal investigation substantiates a reported violation, then it is our policy to engage in a
        two-fold process (1) to initiate corrective action, including, as appropriate, making prompt
        restitution of any overpayment amounts, notifying the appropriate governmental agency,
        instituting whatever disciplinary action is necessary; and (2) implementing systemic changes to
        prevent a similar violation from recurring in the future.

        Each agency representative is responsible for conducting him or herself according to legal and
        ethical standards. No one has the authority to make another person violate the agency Corporate
        Compliance Plan, and any attempt to direct or otherwise influence someone else to commit a
        violation is a violation in itself. Representatives who violate provisions outlined in this plan could
        be subject to appropriate disciplinary action, up to and including termination.
**DISCLAIMER: If any material in this policy manual contradicts policies in the Collective Bargaining Agreement,
then the policies of the QSAC EMPLOYEE POLICY MANUAL are superseded for Collective Bargaining Unit
employees by the policies in the Collective Bargaining Agreement.
                                                        81
       THIS PAGE LAST UPDATED:              January 2009      SUPERSEDES ALL PREVIOUS POLICIES
Reporting of Concerns Through Effective Lines of Communication and Open Access to the
Compliance Officer

        Any QSAC employee, contractor or agent who has any reason to believe that anyone is engaging
        in false billing practices or false documentation of services is expected to report the practice to
        the CO, Executive Director or Anonymous Reporting/Executive Director Hotline. To facilitate
        reporting any alleged Medicaid impropriety, procedures are established so that QSAC employees
        have direct and, as desired, anonymous communication with the CO and Executive Director. In
        all cases, the CO and Executive Director will protect the anonymity of the staff member, to the
        greatest extent possible and regardless to whom the alleged impropriety is reported, staff can
        report alleged improprieties without the fear of retribution.

        There are several methods through which the report of an alleged impropriety can occur. First
        and foremost is that the CO has an “open door” policy to all QSAC personnel. Through training,
        staff members are advised that any staff member can call or visit the CO. This is designed so
        that staff are encouraged to report alleged improprieties as soon as the staff member becomes
        concerned.

        QSAC recognizes that a critical aspect of its compliance program is the establishment of a culture
        that promotes prevention, detection and resolution of instances of conduct that do not conform to
        federal and state requirements, as well as the organization’s ethical and business policies. To
        promote this culture, QSAC has established a compliance reporting process and a strict non-
        retaliation policy to protect employees and others who report problems and concerns in good
        faith.

        All employees have an affirmative duty and responsibility for promptly reporting any known or
        suspected misconduct, including actual or potential violations of laws, regulations, policies and
        procedures, Agency’s Corporate Compliance Plan or the Agency’s Code of Conduct.
        QSAC also has an Anonymous Reporting/Executive Director Hotline. Employees may report
        their compliance concerns confidentially to the Compliance Officer or through use of the
        Anonymous Reporting Hotline. Any form of retaliation against any employee who reports a
        perceived problem or concern in good faith is strictly prohibited. Any employee who commits or
        condones any form of retaliation will be subject to discipline up to, and including termination.
        However, employees cannot exempt themselves from the consequences of their own misconduct
        by reporting the issue, although self-reporting may be taken into account in determining the
        appropriate course of action.

        Staff can report a suspected breech of conduct or false claim as follows, but in no preferential
        order,
                1.      To the CO, Ms. Eileen Breen at 25-09 Broadway, Astoria, NY 11106

                 2.      To the CO at 718.728.8476, ext. 1278

                 3.      To the QSAC Anonymous Reporting Hotline/Executive Director Hotline at
                         718.728.8476, ext. 1040

                 4.      To the Executive Director at 212.244.5560, ext. 2020

                 5.      To the Executive Director, 253 West 35th Street, 16th Floor, New York, NY 10001

        Procedures that apply to all employees:

**DISCLAIMER: If any material in this policy manual contradicts policies in the Collective Bargaining Agreement,
then the policies of the QSAC EMPLOYEE POLICY MANUAL are superseded for Collective Bargaining Unit
employees by the policies in the Collective Bargaining Agreement.
                                                        82
       THIS PAGE LAST UPDATED:              January 2009      SUPERSEDES ALL PREVIOUS POLICIES
    •   Knowledge of misconduct, including actual or potential violations of laws, regulations, policies,
        procedures or the organization’s Code of Conduct, must be immediately reported to
        management, the CO, Executive Director or Anonymous Reporting Hotline.

    •   Confidentiality will be maintained to the extent that is practical and allowable by law. Employees
        should be aware that QSAC is legally required to report certain types of crimes or potential crimes
        and infractions to external governmental agencies.


    •   If the caller wishes to make the report anonymously to the Hotline, no attempt will be made to
        trace the source of the call or identity of the person making the call.

    •   QSAC will not impose any disciplinary or other action in retaliation against individuals who make
        a report or complaint in good faith regarding a practice that the individual believes may violate the
        Agency’s Corporate Compliance Plan, Code of Conduct, QSAC Policies and Procedures, or any
        of the laws, rules or regulations by which the Agency is governed. “Good faith” means that the
        individual believes that the potential violation actually occurred as he or she is actually reporting.

    •   QSAC strictly prohibits its employees from engaging in any act, conduct or behavior which results
        in, or is intended to result in, retaliation against any employee for reporting his or her concerns
        relating to a possible violation of the Agency’s Corporate Compliance Plan, Code of Conduct,
        Policies and Procedures or any of the laws, rules or regulations by which the Agency is governed.

    •   If an employee believes in good faith that he has been retaliated against for reporting a
        compliance complaint or concern or for participating in any investigation of such a report or
        complaint, the employee should immediately report the retaliation to the Compliance Officer,
        Executive Director or the Hotline. The report should include a thorough account of the
        incidents(s) and should include the names, dates and specific events, the names of any
        witnesses and the location or name of any document that supports the alleged retaliation.

Training & Education

        All new agency employees will be introduced to the Corporate Compliance Plan during new
        employee orientation, or as soon as practical if hired prior to the promulgation of this policy. This
        introduction will include the nature and scope of the Corporate Compliance Plan. On-going
        training will be provided periodically.

        All new members appointed to the Board of Directors will receive training as soon as practical
        upon being appointed to the Board, which will focus on federal and state regulations and the
        policies referenced in QSAC’s Corporate Compliance Plan.

        All current and new employees hired after the promulgation of this policy, vendors, independent
        contractors and members of the Board of Directors shall sign a statement which affirms such
        person or entity: (a) has read and understands the Corporate Compliance Plan, (b) has agreed to
        comply with the policy.




Employee and Contractor Exclusion and Credential Checks

        QSAC is committed to maintaining high quality care and service as well as integrity in its financial
        and business operations. Therefore, QSAC will conduct appropriate screening of employees,

**DISCLAIMER: If any material in this policy manual contradicts policies in the Collective Bargaining Agreement,
then the policies of the QSAC EMPLOYEE POLICY MANUAL are superseded for Collective Bargaining Unit
employees by the policies in the Collective Bargaining Agreement.
                                                        83
       THIS PAGE LAST UPDATED:              January 2009      SUPERSEDES ALL PREVIOUS POLICIES
        independent contractors and business vendors to ensure that they have not been sanctioned by a
        federal or state law enforcement, regulatory or licensing agency.

        It is the policy of QSAC not to employ, contract with, or conduct business with an individual or
        entity excluded from participation in federally sponsored health care programs, such as Medicaid.

        QSAC’s Human Resources Department will conduct exclusion (sanction) screening of all
        employees. The Fiscal Department will conduct exclusion screening for all independent
        clinical/program contractors and vendors. If the exclusion check indicates that any individual or
        entity has been excluded from federal healthcare programs, the individual or entity cannot be
        employed by or conduct business with QSAC.

        In addition to exclusion checks, the credentials of medical/healthcare professionals employed by
        QSAC, or with whom QSAC establishes a contractual business relationship, will be verified with
        the appropriate licensing and disciplining authorities. The process will include, but not be limited
        to, health care practitioners for which the license is required for the performance of their duties
        (i.e Nurses). The screening and verification will be conducted as part of the hiring process or
        prior to entering into a contractual agreement, and periodically thereafter.


The following websites will be utilized for the purpose of implementing this policy:
OMIG list: http://www.omig.state.ny.us/data/content/view/72/52/

OIG list: http://exclusions.oig.hhs.gov/

GSA list: http://www.epls.gov
           http://www.op.nysed.gov/


Retention of Records

        Consistent with various New York State and Federal regulations, all QSAC records that contain
        information regarding services to a consumer are complete, accurate and completed according to
        various time requirements, as well as retained safely and destroyed only after legal time limits.
        These records are kept confidential and released only to persons and entities that are on a “need
        to know” basis, or released by court order. In addition to maintaining appropriate and thorough
        consumer medical records, all records, documentation and audit data that support and explain
        cost reports and other financial activity, including any internal or external compliance monitoring
        activities, and all records necessary to demonstrate the integrity of the Agency’s compliance
        process and to confirm the effectiveness of the program, are also maintained as per regulations
        and good practice. All privacy policies and procedures are contained in the Health Insurance
        Portability and Accountability Act (HIPPA) manual.


False Claims Act and Whistleblower Provisions

        QSAC is committed to prompt, complete and accurate billing of all services provided to
        individuals. QSAC and its employees, contractors and agents shall not make or submit any false
        or misleading entries on any claim forms. No employee, contractor or agent shall engage in any
        arrangement or participate in such arrangement at the direction of another person, including any
        supervisor or manager, that results in the submission of a false or misleading entry on claims
        forms or documentation of services that result in the submission of a false claim.


**DISCLAIMER: If any material in this policy manual contradicts policies in the Collective Bargaining Agreement,
then the policies of the QSAC EMPLOYEE POLICY MANUAL are superseded for Collective Bargaining Unit
employees by the policies in the Collective Bargaining Agreement.
                                                        84
       THIS PAGE LAST UPDATED:              January 2009      SUPERSEDES ALL PREVIOUS POLICIES
        This policy sets forth the procedures QSAC has put into place to prevent any violations of federal
        or New York State laws regarding fraud or abuse in its programs.

        This policy applies to all employees, including management and volunteers. To ensure QSAC’s
        adherence to this policy:
        1. QSAC will provide training regarding the False Claims Act and Whistle Blowers Provisions to
        all current employees, volunteers and new employees hired after the promulgation of this policy.
        This training will be provided to all new employees as part of the new employee orientation.

       2. Contractors and agents will receive a copy of QSAC’s Corporate Compliance Policy on an
       annual basis, and shall sign a statement which affirms such person or entity: (a) has received a
       copy of the Corporate Compliance Plan, (b) has read and understands the policy and (c) has
       agreed to comply with the policy.

        3. QSAC will perform billing activities in a manner consistent with the regulations and
        requirements of third party payers, including Medicaid.

        4. QSAC will conduct regular auditing and monitoring procedures as part of its efforts to assure
        compliance with applicable laws and regulations.

        5. Any employee, contractor or agent who has any reason to believe that anyone is engaging in
        false billing practices or false documentation of services is expected to report the practice
        according to QSAC’s Reporting of Compliance Concerns and Non-Retaliation Policy.

        6. Any form of retaliation against any employee who reports a perceived problem or concern in
        good faith is strictly prohibited.

        7. Any employee who commits or condones any form of retaliation will be subject to discipline up
        to, and including, termination.

False Claims Act

Federal False Claim Act
The Federal False Claim Act is a Federal law that imposes liability on any person who submits a claim to
the Federal Government that he or she knows (or should know) is false. The False Claims Act also
imposes liability on an individual who may knowingly submit a false record in order to obtain payment
from the government.

New York State False Claims Act

New York’s false claims laws fall into two categories: civil and administrative; and criminal laws. Some
apply to recipient false claims and some apply to provider false claims. Most false claims are specific to
healthcare and Medicaid.


Civil and Administrative

Closely tracts the federal False Claims Act. It imposes penalties and fines on individuals and entities that
file false or fraudulent claims or payment from any state or local government, including healthcare
programs such as Medicaid.


Criminal:

**DISCLAIMER: If any material in this policy manual contradicts policies in the Collective Bargaining Agreement,
then the policies of the QSAC EMPLOYEE POLICY MANUAL are superseded for Collective Bargaining Unit
employees by the policies in the Collective Bargaining Agreement.
                                                        85
       THIS PAGE LAST UPDATED:              January 2009      SUPERSEDES ALL PREVIOUS POLICIES
Various laws, including Social Services Law and Penal Laws detail the penalties, sanctions, and fines
associated with submitting or causing to submit a false claim or statement.


Criminal Conspiracy

Participation in any scheme or combination to defraud any governmental healthcare benefit program.




Criminal False Statement Related to Healthcare

Making any false or fraudulent statement or representation regarding a material fact in connection with
the delivery or payment for healthcare benefit or services.


Criminal Wire and Mail Fraud

Employing the U.S. Postal Service, a private postal service, or telephone lines to perpetrate a fraud on
the federal government. Such actions are also often charged with the Criminal false Claims Act.


Healthcare Fraud

Knowingly and willfully executing or attempting to execute a scheme to:
           a. defraud any healthcare benefit program, public or private; or

            b. obtain by means of false pretense any money or property owned by or
               under the control of any healthcare program.


Obstruction of Criminal Investigations of Healthcare Offenses

Willfully preventing, obstructing, misleading, or delaying the communication of information or records
relating to a violation of a federal healthcare law to a criminal investigator.



ENFORCEMENT OF COMPLIANCE STANDARDS

QSAC is committed to conducting its business ethically and in conformance with all
federal and state laws, regulations, interpretations thereof, and the Agency’s Code of
Conduct. To support this commitment, QSAC will ensure the implementation of disciplinary actions for
violations of the Corporate Compliance Program and/or Code of Conduct by employees volunteers and/or
independent contractors.

Employees and independent contractors who, upon investigation, are found to have
committed violations of applicable laws and regulations, the Corporate Compliance Program, the Code of
Conduct, or the Agency’s policies and procedures will be subject to appropriate disciplinary action, up to
and including termination of employment or contract.



**DISCLAIMER: If any material in this policy manual contradicts policies in the Collective Bargaining Agreement,
then the policies of the QSAC EMPLOYEE POLICY MANUAL are superseded for Collective Bargaining Unit
employees by the policies in the Collective Bargaining Agreement.
                                                        86
       THIS PAGE LAST UPDATED:              January 2009      SUPERSEDES ALL PREVIOUS POLICIES
The following actions may result in disciplinary action:

1.       Authorization of or participation in actions that violate the law, regulations and
         Corporate Compliance Program, including the Code of Conduct, and all
         related policies and procedures;

2.       Failure to report a violation by a peer or subordinate;

3.       Failure to cooperate in an investigation;

4.       Retaliation against an individual for reporting a possible violation or
         participating in an investigation;

The Director of Human Resources is responsible for assuring that disciplinary action(s) taken as a result
of the violation(s) of QSAC’s Code of Conduct and/or Corporate Compliance Program is appropriately
documented and maintained in the staff member’s personnel file (or in the independent contractors file).

Discipline will be appropriately documented in the disciplined employee’s personnel file (or in the
independent contractor’s file). The Compliance Officer and Director of Human Resources will be
responsible for assuring that disciplinary actions related to non-compliance with the law, regulations and
Corporate Compliance Program, including the Code of Conduct, are consistent with actions taken in
similar instances of non-compliance.

The Corporate Compliance Officer, or designee, will conduct periodic audits in accordance with standards
set forth herein. So as to uncover any infraction, the Corporate Compliance Officer, or designee, shall
investigate all complaints of non-compliance. Based upon the results of audits and investigations, for any
uncovered infraction, progressive discipline will be implemented as decided by the Director of Human
Resources in concert with Senior Management, based upon input from the Corporate Compliance Officer
and/or other Agency administrative personnel.

When the determination is made that a compliance violation has occurred, the Compliance Officer will
notify Senior Management, and for independent contractors, the contractor’s representative.




BOARD OF DIRECTORS
CONFLICT OF INTEREST PROLICY & DISCLOSURE STATEMENT

     1. Purpose. The purpose of the conflict of interest policy is to protect the interest of QSAC (the
        “Corporation”) when it is contemplating entering into a transaction or arrangement that might
        benefit the private interest of an officer or director of the Corporation or might result in a possible
        excess benefit transaction. This policy is intended to supplement but not replace any applicable
        state and federal laws governing conflict of interest applicable to nonprofit and charitable
        organizations.



**DISCLAIMER: If any material in this policy manual contradicts policies in the Collective Bargaining Agreement,
then the policies of the QSAC EMPLOYEE POLICY MANUAL are superseded for Collective Bargaining Unit
employees by the policies in the Collective Bargaining Agreement.
                                                        87
       THIS PAGE LAST UPDATED:              January 2009      SUPERSEDES ALL PREVIOUS POLICIES
    2. Definition of “Interest”. Whether a Director has an Interest in an entity shall be determined by
       whether that Director would derive a significant individual economic benefit, either directly or
       indirectly, from any transaction or relationship involving such entity or any decision on a matter
       involving such entity by the Board or a committee. A Director has an Interest if the Director:

            a.       Serves as an officer or a director of any corporation, other than the Corporation;

            b.       Either directly or indirectly, through business, investment, or family, holds a 35% or
                     greater ownership or investment interest in any entity; or

            c.       Has a compensation arrangement with the corporation or with any entity or individual
                     with which the Corporation has a transaction or arrangement.

Compensation includes direct and indirect remuneration as well as gifts or favors that are not
insubstantial. The fact that an entity may take positions on legislative matters of general impact shall not
constitute and Interest or Conflict of Interest. An Interest may have a Conflict of Interest only if
appropriate governing board or committee decides that a conflict of interest exists.


    3. Disclosure.

          (a)      Prior to election to the Board, and thereafter on an annual basis, all directors shall
                   disclose in writing, to the best of their knowledge, all Interests (as defined in this
                   Policy), including, but not limited to, all Interests that the Director may have in any
                   corporation, organization, partnership or other entity which provides professional or
                   other goods or services to the Corporation for a fee or other compensation, and any
                   position or other material relationship such Director may have with any not-for-profit
                   corporation with which the Corporation with which the Corporation has a transaction or
                   arrangement or with which the Corporation is negotiating a transaction or arrangement
                   (a “Conflict of Interest”). A copy of each disclosure statement shall be available to any
                   Director of the Corporation on request.

          (b)      If at any time during his or her term of service, a Director acquires any Interest which
                   may pose a Conflict of Interest, that Interest and the material terms of the Conflict of
                   Interest shall be promptly disclosed in writing to the president of the Board.

          (c)      When any matter for decision or approval comes before the Board or any committee of
                   the Board in which a director has an Interest or other Conflict of Interest, such Director
                   shall immediately disclose the Interest or other Conflict of Interest to the Board or
                   committee, together with all material facts.


    4. Non-Participation and Voting.

          (a)      Procedure for all Conflict of Interest Transactions. Any Director who discloses an
                   Interest or a Conflict of Interest in a matter shall leave the room in which discussion is
                   carried on regarding whether a Conflict of Interest exists and whether to approve the
                   transaction or arrangement in question except as provided below. No Director shall
                   vote on any matter in which he or she has a Conflict of Interest.

          (b)       Circumstances in Which Comparability Data is Necessary.
                       (ii)  An interested person may make a presentation at the governing board or
                             committee meeting, but after the presentation, he/she shall leave the meeting

**DISCLAIMER: If any material in this policy manual contradicts policies in the Collective Bargaining Agreement,
then the policies of the QSAC EMPLOYEE POLICY MANUAL are superseded for Collective Bargaining Unit
employees by the policies in the Collective Bargaining Agreement.
                                                        88
       THIS PAGE LAST UPDATED:              January 2009      SUPERSEDES ALL PREVIOUS POLICIES
                               during the discussion of, and the vote on, the transaction or arrangement
                               involving the possible Conflict of Interest.

                       (iii)   If the transaction involves compensation for services of a member of the
                               Board of Directors, a senior executive, or other individual deemed to be a
                               disqualified person under the federal tax laws and regulations, or if the
                               transaction involves the transfer of property or other benefit to a Board
                               member, senior executive or other “disqualified person”, the disinterested
                               members of the Board or committee must determine that the value of the
                               economic benefit provided by the Corporation to the interest person or
                               persons does not exceed the value of the consideration received in
                               exchange by, obtaining and reviewing appropriate comparable data
                               (“Comparability Data”).

                       (iv)    When considering the comparability of compensation for example, the
                               relevant data which the governing board or committee may consider
                               includes, but is not limited to, the following: (1) compensation levels paid by
                               similarly situated organizations, both exempt and non-exempt; (2) the
                               availability of similar services within the same geographic area; (3) current
                               compensation surveys compiled by independent firms; and (4) written offers
                               from similar institutions competing for the dame person’s services. When the
                               transaction involves the transfer of real property as compensation, the
                               relevant factors include, but are not limited to, (1) current independent
                               appraisals of the property and (2) offers received in a competitive bidding
                               process.


                       (v)     Based on the Comparability Data, the governing board or committee shall
                               determine by a majority vote of the disinterested directors or committee
                               whether the transaction or arrangement is fair and reasonable to the
                               Corporation. In conformity with the above determination it shall make its
                               decision as to whether to enter into the transaction or arrangement.

                       (vi)    If such transaction or arrangement is approved by the governing board or
                               committee, such governing board or committee shall adequately document
                               such approval as provided in Section 9 below.

    6. Attempts to Influence. Directors shall not attempt to influence other Directors regarding matters in
       which they have Conflict of Interest, without disclosing that Conflict of Interest.

    7. Compensation

          (a)    A voting member of the Board of Directors who receives compensation, directly or
                 indirectly, from the Corporation for services is precluded from voting on matters
                 pertaining to that member’s compensation.

          (b)    A voting member of any committee whose jurisdiction includes compensation matters
                 and who receives compensation, directly or indirectly, from the Corporation for services is
                 precluded from voting on matters pertaining to that member’s compensation.




**DISCLAIMER: If any material in this policy manual contradicts policies in the Collective Bargaining Agreement,
then the policies of the QSAC EMPLOYEE POLICY MANUAL are superseded for Collective Bargaining Unit
employees by the policies in the Collective Bargaining Agreement.
                                                        89
       THIS PAGE LAST UPDATED:              January 2009      SUPERSEDES ALL PREVIOUS POLICIES
          (c)    No voting member of the governing board or any committee whose jurisdiction includes
                 compensation matters and who receives compensation, directly or indirectly, from the
                 Corporation, either individually or collectively, is prohibited from providing information to
                 any committee regarding compensation.

    8. Records of Proceedings. The minutes of the Board and all Committees with
       board delegated powers shall contain:

          (a) The names of the persons who disclosed or otherwise were found to have a Interest in
              connection with an actual or possible Conflict of Interest, the nature of the financial Interest,
              any action taken to determine whether a Conflict of Interest was present, and the Board’s
              or committee’s decision as to whether a Conflict of Interest in fact existed.

          (b) The names of the persons who were present for discussions and votes relating to the
              Interest Party Contract, including the fact that the interested Director or Directors left the
              room during any discussion, the content of the discussion, including any alternatives to the
              Interested Party Contract, and whether the Interested Party Contract was approved or not.

    9. Annual Statements. Each Director shall annually sign a statement which affirms
       such person: (a) has received a copy of the conflicts of interest policy, (b) has read               and
       understands the policy and (c) has agreed to comply with the policy.



EMPLOYEES CONFLICT OF INTEREST POLICY

The principles of corporate compliance and conflict of interest includes provisions which set forth
expected standards of conduct and requires all employees to disclose all interests which could result in a
conflict.

A conflict of interest is defined as: Any situation in which financial or other personal considerations may
compromise or appear to compromise (1) an employee’s business judgment; (2) delivery of services; or
(3) ability for an employee to do his or her job.

        "An actual or potential conflict of interest also occurs when an employee is in a position to
        influence a decision that may result in a personal gain for that employee or for a family member
        as a result of QSAC's business dealings. If employees have any influence on transactions
        involving purchases, contracts or leases, it is imperative that they disclose to the Executive
        Director (and/or to the President) as soon as possible the existence of any actual or potential
        conflict of interest so that safeguards can be established to protect all parties.

        Personal gain may result not only in cases where an employee or family member has a significant
        ownership in a firm with which QSAC does business, but also where an employee or relative
        receives any kickback, bribe, substantial gift or special consideration as a result of any
        transaction or business dealings involving QSAC."

    QSAC expects the primary interest of staff members to be the people QSAC serves.
    A conflict of interest occurs when the interests of a staffer actually or potentially
    affect QSAC in a negative way.


Outside Business Interests

**DISCLAIMER: If any material in this policy manual contradicts policies in the Collective Bargaining Agreement,
then the policies of the QSAC EMPLOYEE POLICY MANUAL are superseded for Collective Bargaining Unit
employees by the policies in the Collective Bargaining Agreement.
                                                        90
       THIS PAGE LAST UPDATED:              January 2009      SUPERSEDES ALL PREVIOUS POLICIES
    Staffers may have outside business interests and outside employment so long as
    these do not interfere with job performance, including attendance or assignments.
    Staffers may not engage in outside employment or business which directly results
    from affiliation with QSAC without the written consent of the Executive Director.


Gifts and Gratuities
    Staffers are not to accept gifts as an inducement to, or payment for, providing services. Gifts (as an
    expression of appreciation at holiday times) with a value of over $40 must be turned over to QSAC.


Personal Beliefs
    QSAC recognizes that its staffers may hold a wide range of personal beliefs, values and
    commitments. These beliefs, values and commitments are a conflict of interest if staffers attempt to
    use QSAC time and facilities for furthering them, or if staffers continue attempting to convince others
    of their personal beliefs after they have been asked to stop.


Medical Necessity

It is QSAC’s policy to ensure that individuals receiving services meet the admission eligibility criteria as
defined by the specific program funding source. All individuals receiving services from QSAC must have
a disability that warrants the service. Services must be appropriate to meet the needs of each individual
and authorization must be obtained from the funding source prior to the provision of service. Sufficient
justification indicating services are warranted must be reflected in the appropriate documents for each
consumer (i.e., Clinical Evaluations / Assessments, IEP, ISP, IFSP, Healthcare/Physician’s order or
Prescription).

Department Directors will meet the provisions of this policy by ensuring that documentation reflecting the
need for service is present in the consumers file.




**DISCLAIMER: If any material in this policy manual contradicts policies in the Collective Bargaining Agreement,
then the policies of the QSAC EMPLOYEE POLICY MANUAL are superseded for Collective Bargaining Unit
employees by the policies in the Collective Bargaining Agreement.
                                                        91
       THIS PAGE LAST UPDATED:              January 2009      SUPERSEDES ALL PREVIOUS POLICIES

				
DOCUMENT INFO
Shared By:
Categories:
Tags:
Stats:
views:127
posted:1/24/2011
language:English
pages:95
Description: Disclaimer Employee Acts document sample