SAMPLE POLICY WORK

1. Receipt of Report: Upon receiving a report of an ethical violation, the designated investigator (e.g., Compliance Officer, Ethics Committee member) will acknowledge receipt of the report and initiate an investigation. 2. Data Gathering: The investigator will gather information related to the report, including interviewing involved parties, reviewing relevant documents, and consulting with experts as needed. 3. Analysis and Conclusion: The investigator will analyze the information gathered and reach a conclusion regarding whether an ethical violation occurred. 4. Corrective Action: If an ethical violation is found to have occurred, the investigator will recommend appropriate corrective actions, which may include counseling, training, disciplinary action, or policy changes. 5. Documentation and Feedback: The investigator will document the investigation process and its findings. The reporting staff member and any individuals affected by the ethical violation will be informed of the outcome of the investigation and any corrective actions taken.

Regulatory Reference Materials:

• Professional codes of ethics for relevant disciplines (e.g., social work, nursing, counseling) • Ethical guidelines for healthcare organizations • State and federal regulations related to ethical conduct in healthcare

HERE ARE SOME EXAMPLES OF ETHICAL DILEMMAS AND REPORTING FORMS:

Examples of Ethical Dilemmas:

• A direct support professional suspects that a client is being financially exploited by a family member but fears retaliation if they report their concerns. • A care service director is asked to approve a service request that they believe is not medically necessary but is being pressured by executive leadership to approve it. • A staff member discovers that a colleague is falsifying documentation to meet productivity targets. Reporting Forms: (Note: Due to limitations, the following forms are presented in a simplified format. Actual forms should include detailed instructions, contact information, and signature lines.)

Ethical Violation Reporting Form

Date: ________________________________________________

Your Name (Optional):___________________________________

Description of Ethical Violation: ___________________________

Individuals Involved: ___________________________________