- (631) 351-1111 (Suffolk)
- (516) 777-8777 (Nassau)
- (718) 626-6161 (All 5 boroughs of NYC)
- (914) 668-1313 (Westchester)
- (631) 351-1111 – Ext. 125 (for BehavAble – Throughout NY State)
Fax (for all counties):
- (516) 777-3293
Teresa Gutierrez, MS ext. 125
Lisa Zelli ext. 116
Compliance Officer – Rosanne Saltzman, LCSW ext. 117
ABA & Autism Services
New York City Early Intervention
Early Intervention Services
Early Intervention Evaluations
CPSE - Committee for Preschool Education
Code of Conduct - Medicaid & Sexual Harassment
CODE of CONDUCT for the UP WEE GROW MEDICAID COMPLIANCE PROGRAM
Up Wee Grow (“the Agency”) acknowledges that:
New York State healthcare organizations for which Medicaid constitutes $1 million or more of the provider’s annual business operations (considered “substantial” and defined as ordering, providing, billing or claiming $1 million or more from Medicaid in a twelve-month period), must have an “effective” compliance program and certify on an annual basis that the compliance program meets related statutory requirements. The effective compliance program requirement is also applicable to any New York State provider subject to the provisions of Articles 28 or 36 of the New York Public Health Law or Articles 16 or 31 of the New York Mental Hygiene Law, regardless of the amount of Medicaid business
Whereas, every Provider of services has an obligation to exercise diligence, care, and integrity when submitting Medicaid claims for payment for services rendered. Honest, fair, and accurate billing practices shall be maintained. Employees, non-employees and contractors involved in the provision of, or claiming Federal Medicaid financial compensation or reimbursement for, school and preschool supportive health services are required to conform to the governing Federal and State statutes and regulations. Failure to do so may result in adverse consequences to them. Up Wee Grow strives to meet this obligation.
UP WEE GROW’S STATEMENTS OF PRINCIPLES AND VALUES
Up Wee Grow states that:
- Medicaid claims shall be submitted only for necessary services provided, as supported by appropriate documentation.
- Billings will not be duplicated to create overpayment.
- Proper and timely documentation of services provided must be maintained. Claims will be considered only when such documentation is maintained and available for review.
- Compensation for any employee or service provider shall not include any financial incentive to make claims. No employee or service provider will knowingly and willfully offer, pay, solicit or receive anything of value (remuneration), directly or indirectly, in return for referrals or to induce referrals, or to arrange for or recommend goods, facilities, services or items for which payment may be made under the Medicaid program.
- Services will not be billed unless the provider has certified that the services were medically necessary, ordered and provided by qualified individuals, and supported by appropriate documentation completed in compliance with Federal and State laws, regulations, and County/School district guidelines.
- When a provider submits such certification, the provider is certifying that there is documentation to support the claim and that: (1) all services reported were personally provided or personally supervised; (2) such services were necessary and appropriate; and (3) the rendering of such services, the coding or charging for these services, and the documentation of such services have all been performed in accordance with Federal and State laws and regulations and County/School District guidelines.
- Services will be provided by a person licensed and otherwise qualified and credentialed to provide such services. For example, Speech services may not be billed unless those services are provided by a licensed speech pathologist or provided under the direct supervision of a qualified speech pathologist for Preschool.
- Up Wee Grow, Inc will ensure that all claims for services are accurate, properly documented, and correctly identify the services performed or provided;
- up wee grow, iNC., will strive to provide all services in accordance with the highest clinical and ethical standards and in compliance with all laws, regulations, policies, and other legal requirements.
As elements of its effective compliance program, Up Wee Grow has:
- Designated a Compliance Officer responsible for the operations of the Compliance Program;
- Established a Compliance Committee
- Developed this Code of Conduct and written compliance policies and procedures that apply to all employees, board members and contractors;
- Implemented an effective role-specific training and education program;
- Established an auditing and monitoring program;
- Created open lines of Communication for Reporting Concerns;
- Developed a system to investigate and respond to allegations of improper or illegal activities;
- Established disciplinary policies;
- Implemented measures to protect individuals from harassment, intimidation or retaliation for reporting Concerns or for taking certain actions to detect, prevent or resolve Concerns.
These features of Up Wee Grow’s Compliance Program are described in greater detail in Up Wee Grow’s Compliance Plan and its Compliance Policies and Procedures. This Code of Conduct describes the general obligations and role of Up Wee Grow employees, officers, directors, managers, supervisors, contractors and service providers (collectively “Covered Individuals”) in Up Wee Grow’s Medicaid Compliance Program.
All Covered Individuals are expected to comply with applicable law, this Code of Conduct, and the compliance policies and procedures of Up Wee Grow, Inc.
REPORTING CONCERNS TO THE UP WEE GROW COMPLIANCE OFFICER
All Covered Individuals are required to report suspected fraud or abuse or other potential compliance problems practice or concern the person believes may violate any law, regulation, or program requirement, or may raise a quality of patient care or workplace safety issue (collectively, a “Concern”). Failure to report suspected Concerns, assisting or participating in fraud, abuse or other non-compliant behavior, or encouraging, directing, permitting or facilitating such activities whether actively or passively will result in disciplinary action.
Suspected fraud, abuse or other non-compliance problems must be reported to the Designated Compliance Officer for
Up Wee Grow, Inc.
20 Broadhollow Road, Suite 3011
Melville, NY 11747
Compliance Officer: Rosanne Edelsack Saltzman, LCSW (631) 351-1111 ext. 117
Those who submit reports are encouraged to include their name office and work location in the report so that the Compliance Officer can obtain additional information from the reporting individual and respond to the reporting individual. However, reports may also be submitted anonymously. Regardless of how Concerns are reported, the Compliance Officer will use all reasonable efforts to protect the identity of the person making the report.
If the suspected violation is on an organization-wide level, the report can be sent directly to the state compliance officer: Medicaid State Compliance Officer, New York State Department of Health, Office of General Counsel, 90 Church Street, 4th Floor, New York, NY 10007. All individuals, acting in good faith, who report Concerns are protected from retaliation for reporting potential compliance concerns. (See Whistleblower Protections below).
The duties of the Compliance Officer shall include, but not be limited to:
- overseeing and monitoring compliance activities;
- establishing procedures to improve efficiency and to reduce vulnerability to fraud, abuse and waste;
- ensuring that the Compliance Program is implemented and evaluated periodically;
- developing, coordinating, and participating in a multifaceted educational and training program that focuses on elements of the Compliance Program, and seeks to ensure that all appropriate employees and service providers are knowledgeable of, and compliant with, pertinent Federal and State requirements;
- educational and training programs shall occur periodically and shall be made a part of the orientation for any new employee, service provider, or administrator.
- coordinating internal and external auditing of all compliance requirements on a periodic basis;
- establishing and administering a reporting system that is available to report any suspected illegal conduct or other conduct that violates applicable law, regulation, or Agency guidelines;
- developing and publishing notices that encourage the reporting of all suspected fraud and other improprieties without fear of retaliation;
- investigating any report or allegation concerning possible unethical or improper business practices and monitoring subsequent action and compliance;
- monitoring any and all fraud alerts and other compliance guidance issued by the Office of the Medicaid Inspector General;
- monitoring the website of the Office of the Medicaid Inspector General for Compliance Program guidelines, including any Compliance Program template, and revising the Agency’s Compliance Program if necessary; and
- Ensuring that Up Wee Go, Inc. annually attests, through the Certification Statement for Provider Billing Medicaid (or such process as may be specified from time to time by the Office of the Medicaid Inspector General), that an effective compliance program meeting the requirements of the Office of the Medicaid Inspector General’s regulations is in place.
All Covered Individuals are expected to cooperate with and assist the Compliance Officer in carrying out her responsibilities on behalf of Up Wee Grow, Inc. as described above.
REPORTING CONCERNS TO THE STATE COMPLIANCE OFFICER
- Any Covered Individual who believes that any practice or billing procedure related to Medicaid reimbursement of school, or preschool supportive health services or Early Intervention is inappropriate, may also send information concerning such practice or billing procedure in writing to the State Compliance Officer by U.S. mail, courier service, e-mail or facsimile transmission. The address, phone numbers, and fax number of the State Compliance Officer: Medicaid State Compliance Officer, New York State Department of Health, Office of General Counsel, 90 Church Street, 4th Floor, New York, NY 10007, (212) 417-4393; Fax: (212) 417-4392. Disclosure may be made anonymously. Any verbal communication of any such allegation will not be sufficient to require any further action to be initiated under the Confidential Disclosure Policy procedures set forth below.
- The State Compliance Officer will send any disclosures to the relevant State agency and to the implicated party, if any. If the State Compliance Officer is aware of the reporter’s identity, it will not be revealed to any other person without the reporter’s written consent, provided by U.S. mail, courier service, e-mail or facsimile transmission.
- The relevant State agencies and Up Wee Grow, Inc shall undertake a review of the practice described in the disclosure without attempting to uncover the identity of the complaining employee or other Covered Individual and shall determine: (a) whether the allegations are credible, (b) whether any Federal or State statute, regulation or policy pertaining to any practice or billing procedure related to Medicaid reimbursement of school or preschool supportive health services has been violated, and (c) whether any such violation is systemic or was limited to one or a small number of cases.
- The relevant State agencies and the Agency shall address any violation found during the review, whether systemic or limited, in a manner designed to avoid a similar violation in the future and to remedy the effect of the violation in the cases in which it was found to have occurred. If the review determines the violation was systemic, the relevant State agencies and the Agency shall take all steps necessary to identify the cases in which the violation occurred and then to remedy the effect of the violation in those cases.
- Within 90 days of receiving notice from the State Compliance Officer of the information provided by an employee or other Covered Individual, the relevant State agencies and the Agency shall: (a) complete the review of such allegations and any remedial plan required as a result of such review and (b) provide to the State Compliance Officer a written description of the review, the remedial plan and all actions taken pursuant to such plan. In the event the relevant State agencies and the Agency determine the allegations are not credible, the written response shall describe the bases for such determination. The written document shall identify the individual(s) at the relevant State agencies and the Agency who were responsible for approving the review, the remedial plan and all action taken pursuant to such plan, including the name, job title, telephone number, mailing address, e-mail address and fax number of the person(s) who took such action.
- If the State Compliance Officer is not satisfied with the review, the remedial plan, or the actions taken pursuant to such plan, the State Compliance Officer may discuss the matter with the relevant State agencies and the Agency to resolve these concerns. In addition, the State Compliance Officer may request that the Audit Unit of Department of Health’s Division of Administration undertake an audit to determine: (a) whether a violation occurred; (b) whether any such violation has been remedied; and (c) whether the remedial action is sufficient to prevent similar violations in the future.
- In the event the employee or other Covered Individual’s identity becomes known to a State agency or the Agency, or to an employee of such agency, no adverse employment action of any type shall be taken against such employee or Covered Individual because information was provided to the State Compliance Officer or to a person conducting a review of the disclosure.
- The relevant State agencies and the Agency shall include in every training (a) a description of the Confidential Disclosure Policy procedures described above; (b) the name, mailing address, e-mail address and fax number of the State Compliance Officer and Agency Compliance Officer; and (c) an assurance that no adverse employment action of any type will be taken against an employee or other Covered Individual because information was provided to the State Compliance Officer and Agency or to a person conducting a review concerning alleged inappropriate practices or billing procedures related to Medicaid reimbursement of school, early intervention or preschool supportive health services.
COMPLIANCE EDUCATION AND TRAINING
The Agency’s Compliance Program requires compliance and ethics training for all Covered Individuals associated with Medicaid services and claims. This training will emphasize the Agency’s commitment to compliance with all federal and State laws, regulations, and guidelines and will cover all topics required by Medicaid regulations. This training will be conducted on an annual basis to ensure all such Covered Individuals fully comprehend the implications of failing to comply with the Agency’s Compliance Program.
Mandatory training will include as appropriate to the individual’s role and responsibilities: healthcare compliance; healthcare ordering, billing documentation and payment; medical necessity; prevention of fraud and abuse; non-retaliation and whistleblower protections; ethical standards, confidentiality; mandatory reporting; and, conflicts of interest. All Covered Individuals must receive initial training at the start of their employment or contract and participate in ongoing, routine training sessions thereafter as required. As new developments or concerns arise, the Compliance Officer may require additional training sessions.
All compliance training must be documented. The Compliance Officer will maintain documentation of those attending any training session. Certificates of training will be forwarded to the HR department for inclusion in files. All Covered Individuals must sign an Acknowledgement Form at initial training, and thereafter when any updates of those documents are received.
Education and training will cover the Agency’s Compliance Program, and will reinforce the requirement that strict compliance with the Compliance Program is a condition of employment/contract. Covered Individuals will be informed that failure to comply with the Compliance Program may result in disciplinary action up to and including termination.
In addition to compliance and ethics training, the need for periodic continuing education, which may be required by law or regulations, will be provided for affected personnel. The Agency will post in common work areas and other prominent places a notice reminding all affected individuals of the Agency’s commitment to compliance with all federal and State laws and regulations regarding Medicaid claims and services.
COMMUNICATION – ACCESS TO COMPLIANCE OFFICER
An open line of communication between employees and the Compliance Officer is critical to the successful implementation and operation of the Compliance Program. Accordingly, there is an open door, confidential, complete anonymity, non-retribution assurance to all Covered Individuals to encourage good faith reporting of potential compliance issues.
Reports that suggest violations of the Compliance Program will be maintained by the Compliance Officer in a log and will be investigated promptly by the Compliance Officer to determine their validity. The Compliance Officer will report the findings to the Director of Pediatric Services for possible further investigation of and possible corrective action regarding each compliance issue. Identifying and reporting compliance issues may also be made directly to the New York State Department of Health or the Office of the Medicaid Inspector General.
Up Wee Grow, Inc. will not penalize, discriminate, or retaliate against anyone who, acting in good faith, reasonably (a) discloses a practice that the individual believes may violate any law, regulation, or program requirement, (b) initiates, cooperates or participates in an investigation, or (c) objects to or refuses to participate in any activity, policy or practice that the individual believes, in good faith violates any law, regulation, or program requirement, and will not tolerate any such discrimination retaliation by Agency supervisors, independent contractors or employees (See Whistleblower Protection below).
INVESTIGATING, REPORTING AND CORRECTING IDENTIFIED PROBLEMS
Any and all reports of violations of the Agency’s Compliance Program regarding Medicaid claims and services will be investigated. The Compliance Officer or designee will conduct an investigation. The investigation will be done promptly and will be conducted under advice of legal counsel as deemed necessary. The purpose of the investigation will be to determine if any violation has occurred.
If a violation has occurred, steps will be taken promptly and thoroughly to remedy the
Violation. The investigation may include interviews, review of relevant documents, and any other information deemed necessary to conduct a thorough investigation. Outside auditors or legal counsel may be retained to assist when deemed necessary. If, at the completion of the investigation, disciplinary action is required, discipline will be imposed in accordance with applicable law, regulation, and collective bargaining agreement. Law enforcement will also be informed if the conduct may have violated criminal law.
The Compliance Officer will direct that appropriate corrective action be taken to prevent similar violations of the Compliance Program from recurring. Any issue for which corrective action was taken shall be specifically targeted for monitoring and review in future audits.
All Covered Individuals are required to cooperate with any investigations and to comply with any corrective actions implemented to prevent future violations.
Failure to comply with the Compliance Program may result in disciplinary action. Discipline may include:
- discipline of Covered Individuals who fail to report known non-compliant conduct;
- discipline of Covered Individuals involved in non-compliant conduct;
- discipline of Covered Individuals involved in encouraging, directing, facilitating, or permitting either actively or passively non-compliant behaviors;
- discipline of supervisors if the misconduct reflected poor supervision or lack of diligence;
- discipline of Covered Individuals who intentionally make false statements
- discipline of Covered Individuals who harass, intimidate or retaliate against anyone for reporting Concerns or for taking certain actions to detect, prevent or resolve Concerns (See Whistleblower Protections below).
Discipline shall generally be progressive. However, Up Wee Grow reserves the right to combine or skip steps depending on the facts of each situation and the nature and seriousness of the offense. Levels of discipline include:
- Coaching and counseling
- Verbal warning
- Written warning
- Termination of employment or contract.
Factors that will be considered in determining the level of discipline include:
- The seriousness of the offense including whether it was knowing or intentional;
- Whether the offense has been repeated despite prior counseling, warning, or training;
- Whether the individual self-reported the offense and cooperated in its resolution;
- The individual’s prior performance record; and,
- The impact of the offense upon Up Wee Grow’s clients, employees, service provider and federal health care programs.
AUDITING AND MONITORING
The Compliance Program requires a thorough monitoring of its implementation. Annual audits will be performed. Audits will be internal and, as appropriate, external. Audits will be designated and implemented to ensure compliance with the Compliance Program and all applicable Federal and State laws and regulations and county guidelines.
Zero tolerance of fraud and abuse is the main goal of the Compliance Program. In attempting to ensure this goal, compliance audits will include:
- internal reviews;
- interviews with personnel involved in Medicaid services and claims, management, operations, billing, and other related activities; and
- review of written materials and documentation utilized in Medicaid services and claims;
- identification of compliance risk areas specific to the provider type, self-evaluation of such risk areas, credentialing of providers and persons associated with providers, mandatory reporting, governance and quality of care of medical assistance program beneficiaries.
Formal audit reports will be prepared and submitted to the Compliance Officer, and the Director to ensure that the Agency is aware of the results and can take appropriate steps to correct problems and prevent them from recurring. The audit reports will specifically attempt to identify areas where corrective action is needed. Subsequent audits or studies will be used to ensure that the recommended corrective actions have been effectively implemented.
All Covered Individuals are expected to participate in and cooperate fully in these audits as directed by the Compliance Officer
No Covered Individual may retaliate against any person who, in good faith engages in any of these Protected Activities:
(1) reporting any fraud, waste or abuse, improper healthcare billing or payment, or any other practice or concern the person believes may violate any law, regulation, or program requirement, or may raise a quality of patient care or workplace safety issue (collectively, a “Concern”);
(2) initiating, cooperating, or participating in any self-evaluation, audit, investigation or remedial action;
(3) objecting to or refusing to participate in any activity, policy or practice the person believes may be a Concern;
No person may be retaliated against for reporting any harassment, intimidation or retaliation the person experiences related to any of the Protected Activity described in (1) to (3) above.
Prohibited retaliation includes: (1) actions or threats to discharge, suspend, or demote an employee or service provider; (2) actions or threats to adversely impact a former employee’s or former service provider’s current or future employment; and (3) threats to contact or contacting United States immigration authorities or to otherwise report or threaten to report an employee or service provider’s suspected citizenship or immigration status or the suspected citizenship or immigration status of a member of an employee or service provider’s family or household.
Protected disclosures include those made to a supervisor, regulatory agency, law enforcement agency, a public official, the news media or in a public social media forum.
If you believe you have been retaliated against for whistle blowing, you may seek redress by contacting
Up Wee Grow, Inc.
20 Broadhollow Road Suite 3011
Melville, NY 11747
Compliance Officer: Rosanne Edelsack-Saltzman, LCSW (631) 351-1111 ext. 117
Medicaid Compliance Committee – Reporting Concerns Regarding Fraud , Waste, Abuse
Up Wee Grow, Inc. is committed to preventing and detecting Fraud, Waste and Abuse. In support of this commitment, Up Wee Grow, Inc. has established a Corporate Compliance Program. The purpose of the Corporate Compliance Program is to establish appropriate controls that will help ensure consistent compliance with the Federal and State laws which govern our activities, and to detect violations of the law by employees and others affiliated with Up Wee Grow, Inc. Up Wee Grow’s Compliance Plan includes a Code of Conduct which serves a guide to assist in identifying and addressing issues, as well as information which is provided to employees and others who do business with the company regarding the Federal Deficit Reduction Act.
Every Employee and Provider of services has an obligation to exercise diligence, care, and integrity when submitting claims for payment for services rendered. Honest, fair, and accurate billing practices shall be maintained. Employees, non-employees and contractors involved in the provision of, or claiming Federal Medicaid financial compensation or reimbursement for, school and preschool supportive health services are required to conform to the governing Federal and State statutes and regulations. Failure to do so may result in adverse consequences to them. An open line of communication between employees and the Compliance Officer is critical to the successful implementation and operation of the Compliance Program. Accordingly, there is an open door, confidential, complete anonymity, non-retribution assurance to all employees, service providers, administrators, and Agency members to encourage good faith reporting of potential compliance issues. The Agency will not penalize, discriminate, or retaliate against anyone who, acting in good faith, reasonably (a) discloses a practice that the individual believes may violate any law, regulation, or program requirement, (b) initiates, cooperates or participates in an investigation, or (c) objects to or refuses to participate in any activity, policy or practice that the individual believes, in good faith violates any law, regulation, or program requirement. Providers and Families are encouraged to report compliance concerns.
If you become aware of any compliance issues or have any questions regarding Fraud , Waste and Abuse, please contact Rosanne Edelsack Saltzman, LCSW, Up Wee Grow, Inc’s Corporate Compliance Officer, at (631) 351-1111, ext. 117 or via email (email@example.com). Anonymous reports can be made by calling the Up Wee Grow, Inc. Hotline at 631 351-1111 x 11, or by writing to the company at 20 Broadhollow Road, Suite 3011, Melville, NY 11747 Att: Medicaid Compliance Committee.
CODE of CONDUCT — SEXUAL OR OTHER UNLAWFUL HARASSMENT IN THE WORKPLACE
Up Wee Grow, Inc. is committed to preventing and detecting fraud, waste and abuse. In support of this commitment, Up Wee Grow, Inc. has established a Corporate Compliance Program. The purpose of the Corporate Compliance Program is to establish appropriate controls that will help ensure consistent compliance with the Federal and State laws which govern our activities, and to detect violations of the law by employees and others affiliated with Up Wee Grow, Inc. Up Wee Grow’s Compliance Plan includes a Code of Conduct which serves a guide to assist in identifying and addressing issues, as well as information which is provided to employees and others who do business with the company regarding the Federal Deficit Reduction Act.
Every Provider of services has an obligation to exercise diligence, care, and integrity when submitting claims for payment for services rendered. Honest, fair, and accurate billing practices shall be maintained. Employees, non-employees and contractors involved in the provision of, or claiming Federal Medicaid financial compensation or reimbursement for, school and preschool supportive health services are required to conform to the governing Federal and State statutes and regulations. Failure to do so may result in adverse consequences to them. Up Wee Grow strives to meet this obligation.
If you become aware of any compliance issues or have any questions regarding the information contained in this letter, please contact Rosanne Edelsack Saltzman, LCSW, Up Wee Grow, Inc’s Corporate Compliance Officer, at (631) 351-1111, ext. 117. Anonymous issues can be reported by calling the Up Wee Grow, Inc. Hotline at 631 351-1111 x 17, or by writing to the company at 20 Broadhollow Road, Suite 3011, Melville, NY 11747.
Up Wee Grow and the Bureau of Early Intervention has several mechanisms to identify fraud, including routine work with providers, ongoing data analysis of billing activity in the New York Early Intervention System (NYEIS), and investigation of reports from families, therapists, agencies, and others. Investigations can include interviews with families and therapists; analysis of claims; and collection and analysis of a variety of documents from agencies, such as session notes. Families who believe that they may have been affected by fraud, as well as providers who are aware of potentially fraudulent activity, should contact the NYC BEI Consumer Affairs Office at 347-396-6828.
SEXUAL OR OTHER UNLAWFUL HARASSMENT IN THE WORKPLACE
Please visit The State of New York – Combatting Sexual Harassment in the Workplace, which presents important information including Guide to Reporting, Training Materials, Training Videos, FAQs, Complaints, Finding Support, and Contacts.
Up Wee Grow. (“UWG”) is committed to maintaining a workplace free from all forms of harassment, including sexual harassment. UWG is also committed to maintaining a workplace free of retaliation against individuals for reporting harassment in good faith or for participating in the investigation and resolution of reported harassment.
Sexual harassment is a form of sex discrimination and is unlawful under federal, New York State and local law. Retaliation against a complainant, witness, or any other individual participating in the reporting or investigation of sexual harassment is also unlawful under federal, New York State and local law.
The United States Equal Employment Opportunity Commission (EEOC) enforces federal anti-discrimination laws, including Title VII of the 1964 federal Civil Rights Act (codified as 42 U.S.C. § 2000e et seq.) which prohibits discrimination on the basis of certain protected characteristics. The Human Rights Law (HRL), codified as N.Y. Executive Law, art. 15, § 290 et seq., which prohibits sexual harassment, applies to all employers in New York State. Additionally, many localities enforce laws protecting individuals from sexual harassment and discrimination.
UWG prohibits all forms of harassment against employees on the basis of race, color, national origin, religion, sex, age, disability and genetic information and other characteristics protected by law.
UWG prohibits all forms of sexual harassment against employees, applicants for employment, interns (paid or unpaid), contractors, and persons conducting business with UWG.
EXAMPLES OF PROHIBITED SEXUAL HARASSMENT
The following describes some of the types of acts that may be unlawful sexual harassment and are prohibited by this Policy:
- Physical assaults of a sexual nature, such as, Touching, pinching, patting, grabbing, brushing against another employee’s body or poking another employee’s body; Rape, sexual battery, molestation or attempts to commit these assaults.
- Unwanted sexual advances or propositions, such as: Requests for sexual favors accompanied by implied or overt threats concerning the victim’s job performance, evaluation, a promotion or other job benefits or detriments; Subtle or obvious pressure for unwelcome sexual activities.
- Sexually oriented gestures, noises, remarks, jokes or comments about a person’s sexuality or sexual experience, which create a hostile work environment.
- Sexual or discriminatory displays or publications anywhere in the workplace, such as:
- Displaying pictures, posters, calendars, graffiti, objects, promotional material, reading materials or other materials that are sexually demeaning or pornographic. This includes such sexual displays on clothing, workplace computers or cell phones, sexual displays as visible body art, and/or sharing sexual displays while in the workplace.
- Hostile actions taken against an individual because of that individual’s sex, sexual orientation, or gender identity, such as:
- Interfering with, destroying or damaging a person’s workstation, tools or equipment, or otherwise interfering with the individual’s ability to perform the job; Sabotaging an individual’s work; Bullying, yelling, name-calling.
UWG prohibits retaliation against individuals who, in good faith, complain of any form of harassment on the basis of a protected characteristic including sexual harassment. No person covered by this policy shall be subject to adverse employment action including being discharged, disciplined, or discriminated against for reporting an incident of harassment, providing information, or otherwise assisting in any investigation of harassment, including any investigation of a sexual harassment complaint.
UWG will conduct a prompt, thorough investigation of all allegations of harassment and retaliation. Any person who is found to have engaged in any form of harassment or retaliation may be subject to corrective and/or disciplinary action, up to and including termination. Additionally, any supervisory or managerial personnel who knowingly allowed harassment or retaliation to occur may be subject to corrective and/or disciplinary action, up to and including termination.
Age-based harassment: Age-based harassment is harassment of an individual because she or he is 40 years old or older.
Color-based harassment: Color-based harassment is harassment based on an individual’s skin tone.
Disability-based harassment: Disability-based harassment is harassment based on an individual’s actual or perceived physical or mental disability. Disability-based harassment also includes harassment because of a request for or receipt of a reasonable accommodation.
Genetic information harassment: Genetic information harassment includes, but is not limited to, harassment based upon an individual’s (or the family member of an individual’s) genetic test, family medical history, requests for receipt of genetic services by an individual or a family member.
National origin harassment: National origin harassment is harassment based on an individual’s (or her or his ancestor’s) actual or perceived place of origin, ethnic or cultural characteristics, or linguistic characteristics.
Race-based harassment: Race-based harassment is harassment based on an individual’s actual or perceived race and/or specific race-linked traits.
Religious harassment: Religious harassment is harassment based on an individual’s religion, religious practices, or dress. Religious harassment also includes harassment because of a request for or receipt of a religious accommodation.
Sex-based harassment: Sex-based harassment is harassment based on an individual’s sex, including an individual’s sexual orientation, sex stereotypes, and gender. Sex-based harassment also includes harassment based on pregnancy, childbirth, lactation and related medical conditions.
Sexual Harassment Definitions
Sexual harassment: Sexual harassment means unwelcome sexual advances, requests for sexual favors, or other verbal or physical conduct of a sexual nature when: (1) submission to such conduct is made either explicitly or implicitly a term or condition of an individual’s employment; (2) submission to or rejection of such conduct by an individual is used as the basis for employment decisions affecting such individual; or (3) such conduct has the purpose or effect of interfering with an individual’s work performance or creating an intimidating, hostile, or offensive work environment.
Quid pro quo Sexual Harassment: Sexual harassment also occurs when a person of authority tries to trade job benefits for sexual favors. This can include hiring, promotion, continued employment or other terms, conditions or privileges of employment.
Protected Individual: For purposes of sexual harassment, “protected individual” shall include any employee, applicant for employment, intern, or other individual, paid or unpaid, involved in the operation of UWG, as well as contractors, vendors, or any employee of a contractor or vendor, or any consultant.
Instructions to File a Complaint of Harassment or Sexual Harassment
Protected Individuals who believe they have been subjected to any form of harassment are encouraged to attempt to resolve the matter informally by discussing the situation with the individual engaging in such conduct. The Protected Individual should make it known that the conduct is offensive and unwelcome. If the Protected Individual is in any way uncomfortable addressing the offender directly, or if the offending conduct continues, the Protected Individual is encouraged to follow the complaint procedure, as outlined in the Anti-Harassment Policy. For a copy of the Anti-Harassment policy, contact Human Resources.
- In addition to addressing perceived harassment with the offender, complaints of any type of harassment may be filed in writing or orally by any Protected Individual to any supervisor, managerial employee, Partner, or Human Resources representative. Complaints of sexual harassment may be made using the Complaint Form or orally.
- The Director of Human Resources or other managerial employee designated by the Director of Human Resources shall be the individual designated to investigate complaints of harassment for UWG.
- A copy of the Complaint Form can be obtained by contacting Human Resources or any member of the UWG management team.