KINNEY & ASSOCIATES, INC.

Kinney Management Services, LLC

Kinney Management Services, LLC

EMPLOYEE HANDBOOK

Original Issue Date: JANUARY 16, 1995

Major Revision and Re-Issuance: September 2004, January, 2007, October, 2009


Revised May 20, 2010       

 

Original Issue Date: JANUARY 16, 1995

Major Revision and Re-Issuance: September 2004, January, 2007, October, 2009, May 2010


Welcome New Employee!

40 Introductory Statement

50 Employee Acknowledgment Form

101 Nature of Employment

102 Employee Relations

103 Equal Employment Opportunity

105 Hiring of Relatives

107 Immigration Law Compliance

108 Conflicts of Interest

110 Outside Employment

112 Non-Disclosure

113 Security

201 Employment Categories

202 Access to Personnel Files

203 Employment Reference Checks

204 Personnel Data Changes

205 Introductory Period

208 Employment Applications

209 Performance Evaluation

301 Employee Benefits

303 Vacation Benefits

304 Child Care

305 Holidays

306 Worker’s Compensation Insurance

307 Sick Leave Benefits

309 Bereavement Leave

311 Jury Duty

312 Witness Duty

313 Benefits Continuation (Cobra)

380 Insurance Benefits

390 401(k) Plan

401 Timekeeping

403 Paydays

405 Employment Termination

408 Pay Advances

409 Administrative Pay Corrections

410 Pay Deductions

502 Work Schedules

504 Use of Telephones

505 Smoking

507 Overtime

512 Business Travel Expenses

513 Travel Arrangements

Air Travel

Lodging

Meals

Car Rentals & Other Transportation

514 Expense Policies

Air Travel

Auto Mileage Allowance

Auto Rental

Evenings, Saturdays, Sundays, Holidays

Tax, Limousine

Telephone

Tips

Tolls, Parking Fees

Trade Associations & Other Professional Societies

515 Charging Expenses to Clients

516 Expenses Incurrence & Reporting

517 Travel & Subsistence Expense

518 Business Expenses

519 Receipts

521 Required Documentation

601 Medical Leave

602 Family Leave

603 Personal Leave

605 Military Leave

607 Pregnancy-Related Absences

607A Maternity Leave

701 Employee Conduct & Work Rules

702 Drug & Alcohol Use

703 Sexual & Other Unlawful Harassment

704 Attendance & Punctuality

705 Personal Appearance

706 Return of Property

708 Resignation

800 Life-Threatening Illness in the Workplace

900 Health care Fraud Compliance Plan - Medicaid Compliance Plan

Welcome new employee!

On behalf of your colleagues, we welcome you to Kinney Management Services, LLC. (KINNEY) and wish you every success here.

We believe that each employee contributes directly to KINNEY'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 KINNEY.

As with all of our efforts, we need your help with ongoing development of the personality of our company. Therefore, as we grow together, always feel free to discuss and suggest to us any changes that you believe will make us better.

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

Sincerely,

Diane Kinney, Member

Sandra Steinhardt, Member

Joe Kinney, Colorado, Member

Scott Steinhardt, Member

Joe Kinney, New York, Member

40 INTRODUCTORY STATEMENT

This handbook is designed to acquaint you with KINNEY and provide you with information about working conditions, employee benefits, and some of the policies affecting your employment. You should read, understand, and comply with all provisions of the handbook. It describes many of your responsibilities as an employee and outlines the programs developed by KINNEY to benefit employees. One of our objectives is to provide a work environment that is conducive to both personal and professional growth.

No employee handbook can anticipate every circumstance or question about policy. As KINNEY continues to grow, the need may arise and KINNEY reserves the right to revise, supplement, or rescind any policies or portion of the handbook from time to time as it deems appropriate, in its sole and absolute discretion. The only exception to any changes is our employment-at-will policy permitting you or KINNEY to end our relationship for any reason at any time. Employees will, of course, be notified of such changes to the handbook as they occur.

EMPLOYEE ACKNOWLEDGMENT FORM

The employee handbook describes important information about KINNEY, and I understand that I should consult the President regarding any questions not answered in the handbook. I have entered into my employment relationship with KINNEY voluntarily and acknowledge that there is no specified length of employment. Accordingly, either KINNEY or I can terminate the relationship at will, with or without cause, at any time, so long as there is no violation of applicable federal or state law.

Since the information, policies, and benefits described here are necessarily subject to change, I acknowledge that revisions to the handbook may occur, except to KINNEY's policy of employment-at-will. All such changes will be communicated through official notices, and I understand that revised information may supersede, modify, or eliminate existing policies. Only the Board of Managing Members the ability to adopt any revisions to the policies in this handbook.

Furthermore, I acknowledge that this handbook is neither a contract of employment nor a legal document. I have received the handbook, and I understand that it is my responsibility to read and comply with the policies contained in this handbook and any revisions made to it.

NON-disclosure NON-compete

I understand all information at Kinney Management Services, LLC is confidential and protected by various STATES and federal statutes including the Health insurance portability and accountability act and the federal education rights to privacy act and I will not disclose it to unauthorized parties. I further understand any unauthorized disclosure to outside parties may result in my immediate termination.

I also understand that all information pertaining the business operations of KINNEY is the property of KINNEY and I will not disclose it outside of KINNEY. additionally, I UNDERSTAND THAT I may not compete against KINNEY for two YEARS from the date my employment with KINNEY ends.

___________________________________ ________________

Signature Date

___________________________________

Employee's Name (Typed Or Printed)

101 NATURE OF EMPLOYMENT

Employment with KINNEY is voluntarily entered into, and the employee is free to resign at will at any time, with or without cause. Similarly, KINNEY may terminate the employment relationship at will at any time, with or without notice or cause, so long as there is no violation of applicable federal or state law.

Policies set forth in this handbook are not intended to create a contract, nor are they to be construed to constitute contractual obligations of any kind or a contract of employment between KINNEY and any of its employees. The provisions of the handbook have been developed at the discretion of the Board of Directors and, except for its policy of employment-at-will, may be amended or canceled at any time, at KINNEY's sole discretion.

These provisions supersede all existing policies and practices and may not be amended or added to without the express written approval of the Managing Member of KINNEY, Diane KINNEY.

102 EMPLOYEE RELATIONS

KINNEY believes that the work conditions, wages, and benefits it offers to its employees are competitive with those offered by other employers in this area and in this industry. If employees have concerns about work conditions or compensation, they are strongly encouraged to voice these concerns openly and directly to Diane KINNEY, Sandy KINNEY Steinhardt, or Joseph Kinney.

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

103 EQUAL EMPLOYMENT OPPORTUNITY

In order to provide equal employment and advancement opportunities to all individuals, employment decisions at KINNEY will be based on merit, qualifications, and abilities. KINNEY does not discriminate in employment opportunities or practices on the basis of race, color, religion, sex, national origin, age, disability, or any other characteristic protected by law.

KINNEY will make reasonable accommodations for qualified individuals with known disabilities unless doing so would result in an undue hardship. This policy governs all aspects of employment, including selection, job assignment, compensation, discipline, termination, and access to benefits and training.

Employees with questions or concerns about any type of discrimination in the workplace are encouraged to bring these issues to the attention of their immediate supervisor. Employees can raise concerns and make reports without fear of reprisal. Anyone found to be engaging in any type of unlawful discrimination will be subject to disciplinary action, up to and including termination of employment.

105 HIRING OF RELATIVES

The employment of relatives in the same area of an organization may cause serious conflicts and problems with favoritism and employee morale. In addition to claims of partiality in treatment at work, personal conflicts from outside the work environment can be carried into day-to-day working relationships.

Although KINNEY has no prohibition against hiring relatives of existing employees, we are committed to monitoring situations in which relatives work in the same area. In case of actual or potential problems, KINNEY will take prompt action. This can include reassignment or, if necessary, termination of employment for one or both of the individuals involved.

For the purposes of this policy, a relative is any person who is related by blood or marriage, or whose relationship with the employee is similar to that of persons who are related by blood or marriage.

107 IMMIGRATION LAW COMPLIANCE

KINNEY is committed to employing only United States citizens and aliens who are authorized to work in the United States and does not unlawfully discriminate on the basis of citizenship or national origin.

In compliance with the Immigration Reform and Control Act of 1986, each new employee, as a condition of employment, must complete the Employment Eligibility Verification Form I-9 and present documentation establishing identity and employment eligibility. Former employees who are rehired must also complete the form if they have not completed an I-9 with KINNEY within the past three years, or if their previous I-9 is no longer retained or valid.

Employees with questions or seeking more information on immigration law issues are encouraged to contact the Managing Member. Employees may raise questions or complaints about immigration law compliance without fear of reprisal.

.

108 CONFLICTS OF INTEREST

Employees have an obligation to conduct business within guidelines that prohibit actual or potential conflicts of interest. This policy establishes only the framework within which KINNEY wishes the business to operate. The purpose of these guidelines is to provide general direction so that employees can seek further clarification on issues related to the subject of acceptable standards of operation. Contact the President for more information or questions about conflicts of interest.

Transactions with outside firms must be conducted within a framework established and controlled by the executive level of KINNEY. Business dealings with outside firms should not result in unusual gains for those firms. Unusual gain refers to bribes, product bonuses, special fringe benefits, unusual price breaks, and other windfalls designed to ultimately benefit the employer, the employee, or both. Promotional plans that could be interpreted to involve unusual gain require specific executive-level approval.

An actual or potential conflict of interest 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 relative as a result of KINNEY's business dealings. For the purposes of this policy, a relative is any person who is related by blood or marriage, or whose relationship with the employee is similar to that of persons who are related by blood or marriage.

No "presumption of guilt" is created by the mere existence of a relationship with outside firms. However, if employees have any influence on transactions involving purchases, contracts, or leases, it is imperative that they disclose to a Member of KINNEY 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 relative has a significant ownership in a firm with which KINNEY does business, but also when an employee or relative receives any kickback, bribe, substantial gift, or special consideration as a result of any transaction or business dealings involving KINNEY.

110 OUTSIDE EMPLOYMENT

Employees may hold outside jobs as long as they meet the performance standards of their job with KINNEY. All employees will be judged by the same performance standards and will be subject to KINNEY's scheduling demands, regardless of any existing outside work requirements.

If KINNEY determines that an employee's outside work interferes with performance or the ability to meet the requirements of KINNEY as they are modified from time to time, the employee may be asked to terminate the outside employment if he or she wishes to remain with KINNEY.

Outside employment that constitutes a conflict of interest is prohibited. Employees may not receive any income or material gain from individuals outside KINNEY for materials produced or services rendered while performing their jobs.

112 NON-DISCLOSURES

The protection of confidential business information and trade secrets is vital to the interests and the success of KINNEY. Such confidential information includes, but is not limited to, the following examples:

  • Compensation data
  • Customer lists
  • Customer preferences
  • Financial information
  • Labor relations strategies
  • Marketing strategies
  • New materials research
  • Pending projects and proposals
  • Proprietary production processes
  • Research and development strategies
  • Scientific data
  • Scientific formulae
  • Scientific prototypes
  • Software
  • Technological data
  • Technological prototypes

All employees must sign a non-disclosure agreement as a condition of employment. Employees who improperly use or disclose trade secrets or confidential business information will be subject to disciplinary action, up to and including termination of employment and legal action, even if they do not actually benefit from the disclosed information.

  1. SECURITY - Release of information

It is the responsibility of every employee to protect the security and confidentiality of all KINNEY and KINNEY client information. This is particularly important when work requirements cause information to be in the employees possession outside of the office.

All information processed by KINNEY is protected under various State and federal laws. Two of the most important are the Health Insurance Portability and Accountability Act of 1996 and the Federal Education Rights to Privacy Act. As a result all employees must follow company rules regarding the handling, processing and disclosure of any information. Under no circumstances should any information, of any type, be disclosed to an outside party unless the employee is certain that they have a right to it. Information may only be disclosed to persons known to the employee to be entitled to it. If there is a question about their right to the information, approval for the release must be sought from a supervisor. Information held at an employee's home must be secure from disclosure to anyone in the employee's home.

Intentional disclosure, or disclosure due to disregarding security procedure, will result in immediate termination. ADDITIONALLY, REFERRALS MAY BE MADE TO STATE AND/OR FEDERAL OFFICIALS FOR POSSIBLE PROSECUTION AND CIVIL ACTION.

SECURITY – NETWORK, email, etc.

Each employee is responsible for protecting KINNEY from outside technological threats. This means that no one should be using the network for non-work related purposes. Emails must be limited to work related purposes only and no internet site should be visited unless it is for work related purposes and the user is sure it is not adding spy ware, or other malicious programs, to KINNEY’s system. No email from outside sources should be opened unless the employee is sure who the sender is and that the email itself is safe. No email attachments should be opened unless the employee is sure they are safe.

Any failure to follow this policy RESULTING IN a security breach, DAMAGE to KINNEY DATA, systems, etc. may result in termination and other punitive actions. ADDITIONALLY, REFERRALS MAY BE MADE TO STATE AND/OR FEDERAL OFFICIALS FOR POSSIBLE PROSECUTION AND CIVIL ACTION.

201 EMPLOYMENT CATEGORIES

It is the intent of KINNEY to clarify the definitions of employment classifications so that employees understand their employment status and benefit eligibility. These classifications do not guarantee employment for any specified period of time. Accordingly, the right to terminate the employment relationship at will at any time is retained by both the employee and KINNEY.

Each employee is designated as either NONEXEMPT or EXEMPT from federal and state wage and hour laws. NONEXEMPT employees are entitled to overtime pay under the specific provisions of federal and state laws. EXEMPT employees are excluded from specific provisions of federal and state wage and hour laws. An employee's EXEMPT or NONEXEMPT classification may be changed only upon written notification by KINNEY management.

In addition to the above categories, each employee will belong to one other employment category:

REGULAR FULL-TIME employees are those who are not in a temporary or introductory status and who are regularly scheduled to work KINNEY's full-time schedule. Generally, they are eligible for KINNEY's benefit package, subject to the terms, conditions, and limitations of each benefit program.

REGULAR PART-TIME employees are those who are not assigned to a temporary or introductory status and who are regularly scheduled to work less than the full-time work schedule, but at least 30 hours per week. Regular part-time employees are eligible for some benefits sponsored by KINNEY, subject to the terms, conditions, and limitations of each benefit program.

PART-TIME- employees are those who are not assigned to a temporary or introductory status and who are regularly scheduled to work less than 30 hours per week. While they do receive all legally mandated benefits (such as Social Security and workers' compensation insurance), they are ineligible for all of KINNEY's other benefit programs.

INTRODUCTORY employees are those whose performance is being evaluated to determine whether further employment in a specific position or with KINNEY is appropriate. Employees who satisfactorily complete the introductory period will be notified of their new employment classification.

TEMPORARY employees are those who are hired as interim replacements, to temporarily supplement the work force, or to assist in the completion of a specific project. Employment assignments in this category are of a limited duration. Employment beyond any initially stated period does not in any way imply a change in employment status. Temporary employees retain that status unless and until notified of a change. While temporary employees receive all legally mandated benefits (such as workers' compensation insurance and Social Security), they are ineligible for all of KINNEY's other benefit programs.

PER DIEM employees are those who routinely work either a full- time or a part-time schedule and who accept additional compensation in lieu of participation in all but legally mandated benefit programs. KINNEY offers this category in limited classifications and to limited numbers of employees. Individuals participating in this program must sign waivers of their rights to participate in the benefit programs applicable to regular employees. Service in this category cannot be credited in any way toward any benefit program, even if the employee is later assigned to a benefit-eligible category. A change to or from this category can be accomplished only with the written consent of KINNEY.

202 ACCESS TO PERSONNEL FILES

KINNEY maintains a personnel file on each employee. The personnel file includes such information as the employee's job application, resume, records of training, documentation of performance appraisals and salary increases, and other employment records.

Personnel files are the property of KINNEY, and access to the information they contain is restricted. Generally, only supervisors and management personnel of KINNEY who have a legitimate reason to review information in a file are allowed to do so.

Employees who wish to review their own file should contact the Managing Member. With reasonable advance notice, employees may review their own personnel files in KINNEY's offices and in the presence of an individual appointed by KINNEY to maintain the files.

203 EMPLOYMENT REFERENCE CHECKS

To ensure that individuals who join KINNEY are well qualified and have a strong potential to be productive and successful, it is the policy of KINNEY to check the employment references of all applicants.

Kinney will respond in writing only to those reference check inquiries that are submitted in writing. Responses to such inquiries will confirm only dates of employment and position(s) held. No employment data will be released without a written authorization and release signed by the individual who is the subject of the inquiry.

204 PERSONNEL DATA CHANGES

It is the responsibility of each employee to promptly notify KINNEY of any changes in personnel data. Personal mailing addresses, telephone numbers, number and names of dependents, individuals to be contacted in the event of an emergency, educational accomplishments, and other such status reports should be accurate and current at all times. If any personnel data has changed notify, by mail:

Diane Kinney

3 TallowWood Drive

Suite G

Clifton Park, New York 12065

518-371-0176

205 INTRODUCTORY PERIOD

The introductory period is intended to give new employees the opportunity to demonstrate their ability to achieve a satisfactory level of performance and to determine whether the new position meets their expectations. KINNEY uses this period to evaluate employee capabilities, work habits, and overall performance. Either the employee or KINNEY may end the employment relationship at will at any time during or after the introductory period, with or without cause or advance notice.

All new and rehired employees work on an introductory basis for the first 180 calendar days after their date of hire. Any significant absence will automatically extend an introductory period by the length of the absence. If KINNEY determines that the designated introductory period does not allow sufficient time to thoroughly evaluate the employee's performance, the introductory period may be extended for a specified period.

Upon satisfactory completion of the introductory period, employees enter the "regular" employment classification.

During the introductory period, new employees are eligible for those benefits that are required by law, such as workers' compensation insurance and Social Security. After becoming regular employees, they may also be eligible for other KINNEY-provided benefits, subject to the terms and conditions of each benefits program. Employees should read the information for each specific benefits program for the details on eligibility requirements.

208 EMPLOYMENT APPLICATIONS

KINNEY relies upon the accuracy of information contained in the employment application, as well as the accuracy of other data presented throughout the hiring process and employment. Any misrepresentations, falsifications, or material omissions in any of this information or data may result in KINNEY's exclusion of the individual from further consideration for employment or, if the person has been hired, termination of employment.

209 PERFORMANCE EVALUATIONS

Supervisors and employees are strongly encouraged to discuss job performance and goals on an informal, day-to-day basis. A formal written performance evaluation will be conducted at the end of an employee's initial period of hire, known as the introductory period. Additional formal performance evaluations are conducted to provide both supervisors and employees the opportunity to discuss job tasks, identify and correct weaknesses, encourage and recognize strengths, and discuss positive, purposeful approaches for meeting goals.

Performance evaluations are scheduled at 3 months, 6 months, one year, and then every 12 months, coinciding generally with the anniversary of the employee's original date of hire.

Merit-based pay adjustments are awarded by KINNEY in an effort to recognize truly superior employee performance. The decision to award such an adjustment is dependent upon numerous factors, including the information documented by this formal performance evaluation process.

301 EMPLOYEE BENEFITS

Eligible employees at KINNEY are provided a wide range of benefits. A number of the programs (such as Social Security, workers’ compensation, state disability, and unemployment insurance) cover all employees in the manner prescribed by law.

Benefits eligibility is dependent upon a variety of factors, including employee classification. Your supervisor can identify the programs for which you are eligible. Details of many of these programs can be found elsewhere in the employee handbook.

The following benefit programs are available to eligible employees:

  • Auto Mileage
  • Benefit Conversion at Termination
  • Bereavement Leave
  • Dental Insurance
  • Educational Leave
  • Employee Health Program
  • Family Leave
  • Holidays
  • Jury Duty Leave
  • Medical Insurance
  • Meal Allowances
  • Medical Leave
  • Membership Dues
  • Military Leave
  • Pay Advances
  • Profit Sharing
  • Sick Leave At Discretion of Management
  • Travel Allowances
  • Vacation Benefits
  • Witness Duty Leave
  • 401(k) Plan

Some benefit programs require contributions from employees, but most are fully paid by KINNEY. The benefit package for regular full-time employees represents an additional cost to KINNEY of approximately 40 percent of wages.

303 VACATION BENEFITS

Vacation time off with pay is available to eligible employees to provide opportunities for rest, relaxation, and personal pursuits. Employees in the following employment

Classification(s) are eligible to earn and use vacation time as described in this policy:

Regular full-time employees

An employee becomes a regular full time employee after they successfully complete the mandatory 180-day introductory period. See 205 - introductory period for details

The amount of paid vacation time employees receive each year increases with the length of their employment as shown in the following schedule.

Vacation Eligibility Schedule for regular full time employees

Years   Vacation Days Yearly

Accrued on Anniversary Date

Upon becoming a Regular Full-Time Employee. (The later of 180 days or the end of Introductory Period.)   5 days (40 hrs. )
After 1 year of service.   5 days (40 hrs)
After 2 years of service.   10 days (80 hrs.)
After 3 years of service.   15 days (120 hrs.)
After 5 years of service.   20 days (160 hrs.)

The length of eligible service is calculated on the basis of a "benefit year." This is the 12-month period that begins when the employee starts to earn vacation time. An employee's benefit year may be extended for any significant leave of absence except military leave of absence. Military leave has no effect on this calculation. (See individual leave of absence policies for more information.)

Once employees enter an eligible employment classification, they begin to earn paid vacation time according to the schedule.

Paid vacation time can be used in minimum increments of one day. To take vacation, employees should request time 3 months in advance from their supervisors. Requests will be reviewed based on a number of factors, including business needs and staffing requirements.

Vacation time off is paid at the employee's base pay rate at the time of vacation. It does not include overtime or any special forms of compensation such as incentives, commissions, bonuses, or shift differentials.

As stated above, employees are encouraged to use available paid vacation time for rest, relaxation, and personal pursuits. In the event that available vacation is not used by the end of the benefit year, employees may carry unused time forward to the next benefit year. If the total amount of unused vacation time reaches a "cap" equal to two times the annual vacation amount to a maximum of 4 weeks, further vacation accrual will stop. When the employee uses paid vacation time and brings the available amount below the cap, vacation accrual will begin again on anniversary date.

Upon termination of employment, regular full time employees will be paid for unused vacation time that has been earned through the last day of work. It will be paid at normal pay cycles.

304 CHILD CARE BENEFITS

KINNEY provides childcare assistance to all eligible employees as a benefit of employment. Eligible employee classifications are:

Regular full-time employees

Given below is a brief description of childcare assistance that may be provided when feasible. For more detailed information, please contact the President.

TELECOMMUTING: Employees who receive advance approval to do so may work out of their homes on certain days to accommodate their childcare arrangements.

305 HOLIDAYS

KINNEY will grant holiday time off to all employees on the holidays listed below.

  • New Year's Day (January 1)
  • Memorial Day (last Monday in May)
  • Independence Day (July 4)
  • Labor Day (first Monday in September)
  • Columbus Day (second Monday in October)
  • Thanksgiving (fourth Thursday in November)
  • Day after Thanksgiving
  • Christmas Eve (December 24)
  • Christmas (December 25)

KINNEY will grant paid holiday time off to all full time employees. Holiday pay will be calculated based on the employee's straight-time pay rate (as of the date of the holiday) times the number of hours the employee would otherwise have worked on that day. Eligible employee classification(s):

Regular full-time employees

To be eligible for holiday pay, employees must work the last scheduled day immediately proceeding and the first scheduled day immediately following the holiday.

A recognized holiday that falls on a Saturday will be observed on the preceding Friday. A recognized holiday that falls on a Sunday will be observed on the following Monday.

If a recognized holiday falls during an eligible employee's paid absence (such as vacation or sick leave), additional holiday pay will not be provided instead of the paid time off. If it is a scheduled vacation the employee does not have to use vacation time for the Holiday. For employee on approved paid sick leave, the Holiday will be treated as if they had worked the day before and after. Employees on approved unpaid leave will not be paid for the Holiday.

If eligible nonexempt employees work on a recognized holiday, they will receive holiday pay plus wages at their straight-time rate for the hours worked on the holiday.

306 WORKERS’ COMPENSATION INSURANCE

KINNEY provides a comprehensive workers' compensation insurance program at no cost to employees. This program covers any injury or illness sustained in the course of employment that requires medical, surgical, or hospital treatment. Subject to applicable legal requirements, workers' compensation insurance provides benefits after a short waiting period or, if the employee is hospitalized, immediately.

Employees who sustain work-related injuries or illnesses should inform their supervisor immediately. No matter how minor an on- the-job injury may appear, it is important that it be reported immediately. This will enable an eligible employee to qualify for coverage as quickly as possible.

Neither KINNEY nor the insurance carrier will be liable for the payment of workers' compensation benefits for injuries that occur during an employee's voluntary participation in any off-duty recreational, social, or athletic activity sponsored by KINNEY.

.

307 SICK LEAVE BENEFITS

Full time employees, at the discretion of management and within reason, will be paid for sick time when they are ill.

When necessary, work schedule may be adjusted to allow for necessary medical appointments. When this happens, the employee must still work their two-week work hours. If an employee can not work the full complement of hours scheduled for a pay period, vacation time must be used for the difference.

For extended sick leave vacation time will be used for part of the time if deemed necessary by management.

309 BEREAVEMENT LEAVE

Employees who wish to take time off due to the death of an immediate family member should notify their supervisor immediately.

Up to five days of paid bereavement leave will be provided to eligible employees in the following classification(s):

Regular full-time employees

KINNEY defines "immediate family" as the employee's spouse, parent, child, sibling; the employee's spouse's parent, child, or sibling, the employee's child's spouse, sibling, grandparents or grandchildren. Special consideration will also be given to any other person whose association with the employee was similar to any of the above relationships. Employees may, with their supervisor’s approval, use any vacation time for any additional days taken.

311 JURY DUTY

KINNEY encourages employees to fulfill their civic responsibilities by serving jury duty when required. Employees in an eligible classification may request up to one week of paid jury duty leave over any five-year period.

Jury duty pay will be calculated on the employee's base pay rate times the number of hours the employee would otherwise have worked on the day of absence. Employee classifications that qualify for paid jury duty leave are:

Regular full-time employees

If employees are required to serve jury duty beyond the period of paid jury duty leave, they may use any available paid time off (for example, vacation benefits) or may request an unpaid jury duty leave of absence.

Employees must show the jury duty summons to their supervisor as soon as possible so that the supervisor may make arrangements to accommodate their absence. Of course, employees are expected to report for work whenever the court schedule permits.

Either KINNEY or the employee may request an excuse from jury duty if, in KINNEY's judgment, the employee's absence would create serious operational difficulties.

KINNEY will continue to provide health insurance benefits for the full term of the jury duty absence.

Vacation, sick leave, and holiday benefits, will continue to accrue during unpaid jury duty leave.

312 WITNESS DUTIES

KINNEY encourages employees to appear in court for witness duty when subpoenaed to do so.

If employees have been subpoenaed or otherwise requested to testify as witnesses by KINNEY, they will receive paid time off for the entire period of witness duty.

Employees will be granted unpaid time off to appear in court as a witness when requested by a party other than KINNEY. Employees are free to use any available vacation time to receive compensation for the period of this absence.

The subpoena should be shown to the employee's supervisor immediately after it is received so that operating requirements can be adjusted, where necessary, to accommodate the employee's absence. The employee is expected to report for work whenever the court schedule permits.

313 BENEFITS CONTINUATION (COBRA)

The federal Consolidated Omnibus Budget Reconciliation Act (COBRA) gives employees and their qualified beneficiaries the opportunity to continue health insurance coverage under KINNEY's health plan when a "qualifying event" would normally result in the loss of eligibility. Some common qualifying events are resignation, termination of employment, or death of an employee; a reduction in an employee's hours or a leave of absence; an employee's divorce or legal separation; and dependent child no longer meeting eligibility requirements.

Under COBRA, the employee or beneficiary pays the full cost of coverage at KINNEY's group rates plus an administration fee. KINNEY provides each eligible employee with a written notice describing rights granted under COBRA when the employee becomes eligible for coverage under KINNEY's health insurance plan. The notice contains important information about the employee's rights and obligations.

380 INSURANCE BENEFITS

KINNEY offers the following insurance plans to all Regular Full-time employees.

Guardian Dental Insurance

Single coverage: KINNEY pays 100% single coverage.

Employees requesting Family Plan coverage will have 100% paid by KINNEY & Associates, Inc for the employee. The employee will be responsible for the remaining cost of premiums, which is deducted from each paycheck.

Capital District Physician's Health Plan (CDPHP) - This is offered to employees who reside in the Capital District Area. All other eligible employees will be compensated for comparable insurance coverage.

All employees requesting Single Plan coverage will have 80% of the cost premiums paid by KINNEY. The employee is responsible for the remaining 20%, which is deducted from each paycheck.

All employees requesting Family Plan coverage will have 50% of the cost premiums paid by KINNEY the employee is responsible for the remaining 50%, which is deducted from each paycheck.

390 401(k) PLAN

KINNEY offers a 401(k) Plan through Transamerica. For enrollment information, including plans, etc. see one of the following Members - Diane Kinney , Sandy Steinhardt or Joe Kinney.

401 TIMEKEEPING

Accurately recording time worked is the responsibility of every nonexempt employee. Federal and state laws require KINNEY to keep an accurate record of time worked in order to calculate employee pay and benefits. Time worked is all the time actually spent on the job performing assigned duties.

Nonexempt employees should accurately record the time they begin and end their work, as well as the beginning and ending time of each meal period. They should also record the beginning and ending time of any split shift or departure from work for personal reasons. Overtime work must always be approved before it is performed.

Altering, falsifying, tampering with time records, or recording time on another employee's time record may result in disciplinary action, up to and including termination of employment.

403 PAYDAYS

All employees are paid biweekly on every other Friday at 4 o’clock. Employees are not allowed to leave the office to make deposits during their normal work hours.

We are on a 2 week pay lag, each paycheck will include earnings for all work performed through the end of the payroll period.

In the event that a regularly scheduled payday falls on a day off such as a weekend or holiday, employees will receive pay on the last day of work before the regularly scheduled payday or checks will be mailed to them on payday unless other arrangements are made.

405 EMPLOYMENT TERMINATIONS

Termination of employment is an inevitable part of personnel activity within any organization, and many of the reasons for termination are routine. Below are examples of some of the most common circumstances under which employment is terminated:

RESIGNATION - voluntary employment termination initiated by an employee.

DISCHARGE - involuntary employment termination initiated by the organization.

LAYOFF - involuntary employment termination initiated by the organization for non-disciplinary reasons.

RETIREMENT - voluntary employment termination initiated by the employee meeting age, length of service, and any other criteria for retirement from the organization.

KINNEY will generally schedule exit interviews at the time of employment termination. The exit interview will afford an opportunity to discuss such issues as employee benefits, conversion privileges, repayment of outstanding debts to KINNEY, or return of KINNEY-owned property. Suggestions, complaints, and questions can also be voiced.

Since employment with KINNEY is based on mutual consent, both the employee and KINNEY have the right to terminate employment at will, with or without cause, at any time. Employees will receive their final pay in accordance with applicable state law.

Employee benefits will be affected by employment termination in the following manner. All accrued, vested benefits that are due and payable at termination will be paid on the normal payroll schedule. Accumulated vacation will be paid at a rate of 40 hours per week on the normal pay schedule until the accumulated balance is paid. Some benefits may be continued at the employee's expense if the employee so chooses. The employee will be notified in writing of the benefits that may be continued and of the terms, conditions, and limitations of such continuance.

408 PAY ADVANCES

KINNEY does not provide pay advances on unearned wages to employees.

409 ADMINISTRATIVE PAY CORRECTIONS

KINNEY takes all reasonable steps to ensure that employees receive the correct amount of pay in each paycheck and that employees are paid promptly on the scheduled payday.

In the unlikely event that there is an error in the amount of pay, the employee should promptly bring the discrepancy to the attention of Sandy Steinhardt or Diane Kinney so that corrections can be made as quickly as possible.

410 PAY DEDUCTIONS

The law requires that KINNEY make certain deductions from every employee's compensation. Among these are applicable federal, state, and local income taxes. KINNEY also must deduct Social Security taxes on each employee's earnings up to a specified limit that is called the Social Security "wage base." KINNEY matches the amount of Social Security taxes paid by each employee.

KINNEY offers programs and benefits beyond those required by law. Eligible employees may voluntarily authorize deductions from their paychecks to cover the costs of participation in these programs.

If you have questions concerning why deductions were made from your paycheck or how they were calculated, ask Sandy KINNEY Steinhardt or Diane KINNEY

502 WORK SCHEDULES

Work schedules for employees vary throughout our organization. Supervisors will advise employees of their individual work schedules. Staffing needs and operational demands may necessitate variations in starting and ending times, as well as variations in the total hours that may be scheduled each day and week.

504 USES OF TELEPHONES

Personal use of telephones for outgoing calls, including local calls, is not permitted. Employees may be required to reimburse KINNEY for any charges resulting from their personal use of the telephone. Personal use of email or instant messaging is not permitted.

To ensure effective telephone communications, employees should always use the approved greeting and speak in a courteous and professional manner. Please confirm information received from the caller, and hang up only after the caller has done so.

505 SMOKING

In keeping with KINNEY's intent to provide a safe and healthful work environment, and New York State law, smoking is prohibited throughout the workplace.

507 OVERTIME

When operating requirements or other needs cannot be met during regular working hours, employees may be scheduled to work overtime hours. When possible, advance notification of these mandatory assignments will be provided. All overtime work must receive the supervisor's prior authorization. Overtime assignments will be distributed as equitably as practical to all employees qualified to perform the required work.

Overtime compensation is paid to all nonexempt employees in accordance with federal and state wage and hour restrictions. Overtime pay is based on actual hours worked. Time off on sick leave, vacation leave, or any leave of absence will not be considered hours worked for purposes of performing overtime calculations.

Overtime wages will not be paid to any regular full time employee.

512 BUSINESS TRAVEL EXPENSES

KINNEY's General Policy is to reimburse all personnel for reasonable actual expenses incurred on company business based on a full accounting for those expenses by the individual. The per diem allowance for meals for staff members and the mileage allowance are exceptions to this policy, but the allowances are set at levels, which should approximate reasonable actual cost.

513 TRAVEL ARRANGEMENTS

AIR TRAVEL

  • Lowest available coach fare
  • Time window. You should allow at least two hours, plus or minus, for your arrival and departure times. The more flexibility you allow, the better the opportunity for reduced fares.
  • Restricted discounted fares. You should always consider discounted fares as they offer considerable savings over coach fares. When they are only offered with penalties, the probability of cancellation or change should be compared to the amount of savings and the size of the penalty.
  • Alternate airports. Whenever practical, consider alternate airports for arrivals and departures.

i.e., Los Angeles / Long Beach, JFK / LaGuardia / Newark, O'Hare / Midway, etc.

Frequent Traveler programs - Mileage awards earned in frequent flyer programs may be retained by the individual for personal use. Under no circumstances should any individual turn down a lower fare on another carrier to increase their mileage in any specific frequent flyer program.

Transfers - When traveling to and from air/rail terminals, you should use public transportation (bus, taxi or hotel shuttle), car service or private automobile, whichever is most economical. You will be reimbursed for mileage, tolls and parking (long term for extended trips) when you use your private automobile.

LODGING

Lodging – The lowest price for reasonable stays are the responsibility of the traveler. All rooms should be guaranteed for later arrival. Travelers must cancel guaranteed room reservations prior to 6 pm on the day of arrival to avoid a no show charge.

MEALS

Overnight Stays - All staff may charge up to the following maximum amounts/day, including gratuities without receipts for meals, incidentals:

NYC, Nassau/Suffolk/Rockland/Westchester Counties: $50

Albany, Buffalo, Rochester, Syracuse: $40

All other NYS locations: $35

Out of State: $50

Day Trips - All staff may charge up to the following maximum amount including gratuities without receipt, if showing 11 hours - $20.00 daily subsistence. If showing less than 11 hours, you are reimbursed for lunch only at $7.00.

CAR RENTALS & OTHER TRANSPORTATION

Your supervisor, prior to rental, must approve all car rentals. Car rentals should be made at the lowest rates available.

All optional insurance should be declined or considered a personal expense. In most cases, an intermediate sized car should be sufficient when traveling on company business. Your supervisor prior to rental should approve any larger car rentals. Prior to returning the rental car, you should attempt to refuel it as car rental vendors routinely charge as much as double the average gas cost.

Employees who are involved in an accident while traveling on business must promptly report the incident to their immediate supervisor. Vehicles owned, leased, or rented by KINNEY may not be used for personal use without prior approval.

With prior approval, a family member or friend may accompany employees on business travel, when the presence of a companion will not interfere with successful completion of business objectives. Generally, employees are also permitted to combine personal travel with business travel, as long as time away from work is approved. Additional expenses arising from such non-business travel are the responsibility of the employee.

Abuse of this business travel expenses policy, including falsifying expense reports to reflect costs not incurred by the employee, can be grounds for disciplinary action, up to and including termination of employment and possible prosecution.

514 EXPENSE POLICIES

Air Travel - When traveling with client assignments, the air travel policy of the client should be followed. When traveling on Company business not related to a client engagement, or when traveling without client personnel on client assignments, the lowest coach or economy fare available at the desired travel time will be obtained.

Where discount fares are available only with penalties for cancellation or charge, the probability of canceling or changing should be compared with the amount of the discount and the size of the penalty

All airline tickets should be purchased with your corporate credit card.

Auto Mileage Allowance - Our auto mileage allowance is intended to reimburse staff for the use of their privately owned automobile on company business. It is intended to cover gas, oil, maintenance, depreciation, etc. The mileage rate will be based on the current IRS rate.

Company car must be used whenever possible.

All mileage charges if using own car must be explained showing the town and miles used in the computation. The expenses charged will not be paid until this information is provided.

Auto Rental - Normally, staff personnel will not use rental cars. However, in situations where public transportation is very inconvenient and costly in time, a rental car may be appropriate. Prior approval for car rentals should be obtained from your supervisor.

Taxi, Limousine - When a taxi or a limousine is more economical then using your own car or a rent-a-car and other public transportation is not available, you will be reimbursed for such and expense.

Telephone - Actual charges for telephone expense incurred from home will be allowed when incurred for business purposes. Telephone company bills with business calls identified must be submitted with appropriate receipts attached.

Equipment / Installment cost for cellular phones will not be reimbursed.

Hotel bill with telephone charges for business may be reported on the Travel and Subsistence report Form III

Business Phones / Faxes / Car Phones - All allowable expenses reported onto Business Expense Form 107. Cost of actual call plus appropriated taxes charged to Project Code. Monthly service fee charged to 901, General and Administrative.

Home Phone - The actual cost of business call plus appropriated taxes.

Tips - Normal and necessary gratuities, other than meals, are to be listed on the expense report.

Tips relating to meals are not listed separately on the expense report; an allowance for gratuities has been included in the standard subsistence rates.

Tolls, Parking Fees - Tolls and Parking Fees (when a client does not provide parking) are reimbursable to you when used for a business purpose.

Trade Associations & Other Professional Societies Membership dues and fees must be approved in advance by the manager in charge of the job.

Actual meal cost incurred in attending meetings will be reimbursed.

515 CHARGING EXPENSES TO CLIENTS

It is the policy of KINNEY & Associates to charge, whenever possible, to charge clients all expenses in connection with client engagements. Chargeable expenses include:

Travel and subsistence (including supper money and week-end expenses)

Mail, messenger and express delivery

Identifiable telephone charges

Identifiable and special purchase office supplies, stationery and publications

Fees for sub-contractors or other professionals

Other expenses incurred in connection with the engagement business lunches and client entertainment.

This does not apply to monthly fee contracts. In these instances we expect all additional expenses to be held to the minimum.

516 EXPENSES INCURRENCE AND REPORTING

Expenses are processed through the "Quick Expense" system or by direct voucher submission through the "Quick Expense" system

517 TRAVEL & SUBSISTENCE EXPENSE

Report by date and category, all travel and subsistence expenses you have incurred and should be reimbursed for including:

  • Airfare
  • Car Rentals
  • Auto Mileage
  • Parking, Tolls, etc
  • Other fares (train, bus, taxi, limo. etc.)
  • Tips
  • Hotel Room and Room taxes
  • Incidentals
  • Telephone Calls (business related)
  • In-town meals for 11 hours or more
  • Out-of-town meals/daily subsistence

An expense for out-of-town meals for anyone other than you is a business meal.

Hotel bills must be expensed by category, i.e., hotel room plus taxes separately from telephone, parking and transfers.

Incidental allowances cover laundry and personal telephone calls should not be expensed in excess of the $5.00 allowance.

Movies (one movie per night) not included in incidentals. You will be reimbursed for total charge with, original receipt submitted with Travel and Subsistence report.

518 BUSINESS EXPENSES

Report other business expenses you have incurred and should be reimbursed for including:

  • Client entertainment (meals or other social events) Staff/Administrative entertainment (meals, etc.)
  • Club dues
  • Professional society and trade association dues
  • License fees
  • Counseling entertainment
  • Recruiting entertainment
  • Practice development entertainment
  • Meeting costs, including meetings of professional societies and trade associations
  • Telephone Charges
  • Other Business Expenses

For each expenditure, indicate the date, location, business purpose and who was in attendance or other appropriate explanations.

Attach to the report an original receipt for each item in excess of IRS Ruling.

For business expenses chargeable to clients, enter the date, the amount of the expense, and the name of the vendor and a description of the expense.

519 RECEIPTS

Original receipts are required for any expense over $25.00 (except for telephone calls and actual meals which require receipts for any amount).

Receipts are not required for out-of-town meals if you are claiming daily subsistence allowances. An expense for an out-of- town meal for anyone other than yourself is considered a business meal.

Credit card slip must be submitted for meal/entertainment expenses of $25.00 or more.

If you have lost an original receipt you may submit an original credit card charge or statement with a written explanation

Original passenger receipts (no itineraries) must be submitted for airfare expenses.

Any invoice submitted as a receipt, must include proof of payment- a receipt.

Original hotel bills and your credit card slip must be submitted for lodging expenses. Hotel bill mush show balanced zeroed out. Be careful of "express checkouts;" balance is many times not zeroed out.

Original or copy of you home phone bill or car phone bill (not just summary page) must be submitted for phone expenses incurred at home or with your credit card.

521 REQUIRED DOCUMENTATION

KINNEY

Required Documentation

To Accompany Expense Report

  1. Air - original passenger coupon
  2. Hotel - original folio plus proof of payment
  3. Car - original rental agreement
  4. Meals & Entertainment - original card member charge/credit card receipt for all charges for $25.00 or more
  5. Meals (excluding daily subsistence) - original receipts for actual meal expense
  6. All other receipts - any expense of $25.00 or more

IRS REQUIREMENTS

The following information is required by the IRS and should be recorded on the appropriate expense report:

  1. A receipt for any expense of $25.00 or more
  2. Name of individuals entertained, their titles and company name
  3. The name and location of the establishment where the meal or event took place
  4. The exact amount and date of expense
  5. In the case of entertainment events, the specific time the business discussion took place (i.e., before, during, or after the event)

601 MEDICAL LEAVE

KINNEY provides medical leaves of absence without pay to eligible employees who are temporarily unable to work due to a serious health condition or disability. For purposes of this policy, serious health conditions or disabilities include inpatient care in a hospital, hospice, or residential medical care facility; continuing treatment by a health care provider; and temporary disabilities associated with pregnancy, childbirth, and related medical conditions.

Employees in the following employment classifications are eligible to request medical leave as described in this policy:

Regular full-time employees

Eligible employees may request medical leave only after having completed 365 calendar days of service. Exceptions to the service requirement will be considered to accommodate disabilities.

Eligible employees should make requests for medical leave to their supervisors at least 30 days in advance of foreseeable events and as soon as possible for unforeseeable events.

A health care provider's statement must be submitted verifying the need for medical leave and its beginning and expected ending dates. Any changes in this information should be promptly reported to KINNEY. Employees returning from medical leave must submit a health care provider's verification of their fitness to return to work.

Eligible employees are normally granted leave for the period of the disability, up to a maximum of 12 weeks within any 12-month period. Any combination of medical leave and family leave may not exceed this maximum limit. If the initial period of approved absence proves insufficient, consideration will be given to a request for an extension. Employees will be required to first use any accrued paid leave time before taking unpaid medical leave.

Employees who sustain work-related injuries are eligible for a medical leave of absence for the period of disability in accordance with all applicable laws covering occupational disabilities.

Subject to the terms, conditions, and limitations of the applicable plans, health insurance benefits will be provided by KINNEY until the end of the month in which the medical leave begins. At that time, employees will become responsible for the full costs of these benefits if they wish coverage to continue. When the employee returns from medical leave, benefits will again be provided by KINNEY according to the applicable plans.

Benefit accruals, such as vacation or holiday benefits, will be suspended during the leave and will resume upon return to active employment.

So that an employee's return to work can be properly scheduled, an employee on medical leave is requested to provide KINNEY with at least two weeks advance notice of the date the employee intends to return to work. When a medical leave ends, the employee will be reinstated to the same position, if it is available, or to an equivalent position for which the employee is qualified.

If an employee fails to report to work promptly at the end of the medical leave, KINNEY will assume that the employee has resigned.

602 FAMILY LEAVE

KINNEY provides family leaves of absence without pay to eligible employees who wish to take time off from work duties to fulfill family obligations relating directly to childbirth, adoption, or placement of a foster child; or to care for a child, spouse, or parent with a serious health condition. A serious health condition means an illness, injury, impairment, or physical or mental condition that involves inpatient care in a hospital, hospice, or residential medical care facility; or continuing treatment by a health care provider.

Employees in the following employment classifications are eligible to request family leave as described in this policy:

Regular full-time employees

Eligible employees may request family leave only after having completed 365 calendar days of service. Eligible employees should make requests for family leave to their supervisors at least 30 days in advance of foreseeable events and as soon as possible for unforeseeable events.

Employees requesting family leave related to the serious health condition of a child, spouse, or parent may be required to submit a health care provider's statement verifying the need for a family leave to provide care, its beginning and expected ending dates, and the estimated time required.

Eligible employees may request up to a maximum of 12 weeks of family leave within any 12-month period. Any combination of family leave and medical leave may not exceed this maximum limit. If this initial period of absence proves insufficient, consideration will be given to a written request for a single extension of no more than 30 calendar days. Employees will be required to first use any accrued paid leave time before taking unpaid family leave. Married employee couples may be restricted to a combined total of 12 weeks leave within any 12-month period for childbirth, adoption, or placement of a foster child or to care for a parent with a serious health condition.

Subject to the terms, conditions, and limitations of the applicable plans, health insurance benefits will be provided by KINNEY until the end of the month in which the approved family leave begins. At that time, employees will become responsible for the full costs of these benefits if they wish coverage to continue. When the employee returns from family leave, benefits will again be provided by KINNEY according to the applicable plans.

Benefit accruals, such as vacation or holiday benefits, will be suspended during the leave and will resume upon return to active employment.

So that an employee's return to work can be properly scheduled, an employee on family leave is requested to provide KINNEY with at least two weeks advance notice of the date the employee intends to return to work. When a family leave ends, the employee will be reinstated to the same position, if it is available, or to an equivalent position for which the employee is qualified.

If an employee fails to report to work promptly at the end of the approved leave period, KINNEY will assume that the employee has resigned.

603 PERSONAL LEAVE

KINNEY provides leaves of absence without pay to eligible employees who wish to take time off from work duties to fulfill personal obligations. Employees in the following employment classification(s) are eligible to request personal leave as described in this policy:

Regular full-time employees

As soon as eligible employees become aware of the need for a personal leave of absence, they should request a leave from their supervisor.

Personal leave may be granted for a period of up to five calendar days. With the supervisor's approval, an employee may take any available vacation leave as part of the approved period of leave.

Requests for personal leave will be evaluated based on a number of factors, including anticipated workload requirements and staffing considerations during the proposed period of absence.

Subject to the terms, conditions, and limitations of the applicable plans, KINNEY will continue to provide health insurance benefits for the full period of the approved personal leave.

Vacation and holiday benefits will continue to accrue during the approved personal leave period.

When a personal leave ends, every reasonable effort will be made to return the employee to the same position, if it is available, or to a similar available position for which the employee is qualified. However, KINNEY cannot guarantee reinstatement in all cases.

If an employee fails to report to work promptly at the expiration of the approved leave period, KINNEY will assume the employee has resigned.

605 MILITARY LEAVE

A military leave of absence will be granted to employees, except those occupying temporary positions, to attend scheduled drills or training or if called to active duty with the U.S. armed services.

The leave will be unpaid. However, employees may use any available paid time off for the absence.

Subject to the terms, conditions and limitations of the applicable plans for which the employee is otherwise eligible, health insurance benefits will be provided by KINNEY for the full term of the military leave of absence with the employee being the full cost.

Vacation and holiday benefits will not continue to accrue during a military leave of absence.

Employees on two-week active duty training assignments or inactive duty training drills are required to return to work for the first regularly scheduled shift after the end of training, allowing reasonable travel time. Employees on longer military leave must apply for reinstatement in accordance with all applicable state and federal laws.

Every reasonable effort will be made to return eligible employees to their previous position or a comparable one. They will be treated as though they were continuously employed for purposes of determining benefits based on length of service, such as the rate of vacation accrual and job seniority rights.

607 PREGNANCY-RELATED ABSENCES

KINNEY will not discriminate against any employee who requests an excused absence for medical disabilities associated with pregnancy. Such leave requests will be evaluated according to the medical leave policy provisions outlined in this handbook and all applicable federal and state laws.

Requests for time off associated with pregnancy and/or childbirth, such as bonding and child care, not related to medical disabilities for those conditions will be considered in the same manner as other requests for unpaid family or personal leave.

607A MATERNITY LEAVE

It is our policy to provide maternity leave for our employees. Maximum maternity leave will consist of six (6) weeks. Maternity leave will begin on the date the employee’s Doctor feels she can no longer work and will end six (6) weeks from that date.

The employee’s salary during the 6-week maternity leave is paid by Disability. KINNEY does not pay the additional money for salary.

KINNEY will continue to pay 50% of family medical insurance during the six (6) week maternity leave. The employee is responsible for paying the remaining 50% since there is no payroll deduction during the leave.

If an employee on maternity leave does not plan on returning to her job at the end of six (6) weeks, it is necessary for written notice to be given at least 2 weeks before the leave has ended.

701 EMPLOYEE CONDUCT AND WORK RULES

To ensure orderly operations and provide the best possible work environment, KINNEY expects employees to follow rules of conduct that will protect the interests and safety of all employees and the organization.

It is not possible to list all the forms of behavior that are considered unacceptable in the workplace. The following are examples of infractions of rules of conduct that may result in disciplinary action, up to and including termination of employment:

  • Theft or inappropriate removal or possession of property
  • Falsification of timekeeping records
  • Working under the influence of alcohol or illegal drugs
  • Possession, distribution, sale, transfer, or use of alcohol or illegal drugs in the workplace, while on duty, or while operating employer-owned vehicles or equipment
  • Fighting or threatening violence in the workplace
  • Boisterous or disruptive activity in the workplace
  • Negligence or improper conduct leading to damage of employer-owned or customer owned property
  • Insubordination or other disrespectful conduct
  • Violation of safety or health rules
  • Sexual or other unlawful or unwelcome harassment, including the use of the Internet to visit objectionable web sites.
  • Possession of dangerous or unauthorized materials, such as explosives or firearms,
  • in the workplace
  • Excessive absenteeism or any absence without notice
  • Unauthorized absence from work station during the workday
  • Unauthorized use of telephones, mail system, or other employer-owned equipment
  • Unauthorized disclosure of business "secrets" or confidential information
  • Violation of personnel policies
  • Unsatisfactory performance or conduct

Employment with KINNEY is at the mutual consent of KINNEY and the employee, and either party may terminate that relationship at any time, with or without cause, and with or without advance notice.

702 DRUGS AND ALCOHOL USE

It is KINNEY's desire to provide a drug-free, healthful, and safe workplace. To promote this goal, employees are required to report to work in appropriate mental and physical condition to perform their jobs in a satisfactory manner.

While on KINNEY premises and while conducting business-related activities off KINNEY premises, no employee may use, possess, distribute, sell, or be under the influence of alcohol or illegal drugs. The legal use of prescribed drugs is permitted on the job only if it does not impair an employee's ability to perform the essential functions of the job effectively and in a safe manner that does not endanger other individuals in the workplace.

Violations of this policy may lead to disciplinary action, up to and including immediate termination of employment, and/or required participation in a substance abuse rehabilitation or treatment program. Such violations may also have legal consequences.

Employees with drug or alcohol problems that have not resulted in, and are not the immediate subject of, disciplinary action may request approval to take unpaid time off to participate in a rehabilitation or treatment program. Leave may be granted if the employee agrees to abstain from use of the problem substance; abides by all KINNEY policies, rules, and prohibitions relating to conduct in the workplace; and if granting the leave will not cause KINNEY any undue hardship.

Under the Drug-Free Workplace Act, an employee who performs work for a government contract or grant must notify KINNEY of a criminal conviction for drug-related activity occurring in the workplace. The report must be made within five days of the conviction.

Employees with questions on this policy or issues related to drug or alcohol use in the workplace should raise their concerns with their supervisor or the President without fear of reprisal.

703 SEXUAL AND OTHER UNLAWFUL HARASSMENT

KINNEY is committed to providing a work environment that is free of discrimination and unlawful harassment. Actions, words, jokes, or comments based on an individual's sex, race, ethnicity, age, religion, or any other legally protected characteristic will not be tolerated. As an example, sexual harassment (both overt and subtle) is a form of employee misconduct that is demeaning to another person, undermines the integrity of the employment relationship, and is strictly prohibited.

Any employee who wants to report an incident of sexual or other unlawful harassment should promptly report the matter to Diane Kinney, Joe Kinney, or Sandy Steinhardt. Employees can raise concerns and make reports without fear of reprisal.

Anyone engaging in sexual or other unlawful harassment will be subject to disciplinary action, up to and including termination of employment.

704 ATTENDANCE AND PUNCTUALITY

To maintain a safe and productive work environment, KINNEY expects employees to be reliable and to be punctual in reporting for scheduled work. Absenteeism and tardiness place a burden on other employees and on KINNEY. In the rare instances when employees cannot avoid being late to work or are unable to work as scheduled, they should notify their supervisor as soon as possible in advance of the anticipated tardiness or absence.

Poor attendance and excessive tardiness are disruptive. Either may lead to disciplinary action, up to and including termination of employment.

705 PERSONAL APPEARANCE

Dress, grooming, and personal cleanliness standards contribute to the morale of all employees and affect the business image KINNEY presents to clients and visitors.

During business hours, employees are expected to present a clean and neat appearance and to dress according to the requirements of their positions.

During a client visit employees are expected to dress appropriately in business dress.

Consult your supervisor or department head if you have questions as to what constitutes appropriate attire.

706 RETURN OF PROPERTY

Employees are responsible for all property, materials, or written information issued to them or in their possession or control. Employees must return all KINNEY property immediately upon request or upon termination of employment. Where permitted by applicable laws, KINNEY may withhold from the employee's check or final paycheck the cost of any items that are not returned when required. KINNEY may also take all action deemed appropriate to recover or protect its property.

708 RESIGNATION

Resignation is a voluntary act initiated by the employee to terminate employment with KINNEY. Although advance notice is not required, KINNEY requests at least two weeks' written resignation notice from all employees.

Prior to an employee's departure, an exit interview will be scheduled to discuss the reasons for resignation and the effect of the resignation on benefits.

800 LIFE-THREATENING ILLNESSES IN THE WORKPLACE

Employees with life-threatening illnesses, such as cancer, heart disease, and AIDS, often wish to continue their normal pursuits, including work, to the extent allowed by their condition. KINNEY supports these endeavors as long as employees are able to meet acceptable performance standards. As in the case of other disabilities, KINNEY will make reasonable accommodations in accordance with all legal requirements, to allow qualified employees with life-threatening illnesses to perform the essential functions of their jobs.

Medical information on individual employees is treated confidentially. KINNEY will take reasonable precautions to protect such information from inappropriate disclosure. Managers and other employees have a responsibility to respect and maintain the confidentiality of employee medical information. Anyone inappropriately disclosing such information is subject to disciplinary action, up to and including termination of employment. It may also be subject to legal actions under the HIPAA.

900 Health care Fraud Compliance Plan - Medicaid Compliance Plan

KINNEY & Associates, Inc. KINNEY Management Services, LLC

Title: Duty to Report Wrongdoing; Whistleblower Protection

Purpose: To advise employees, contractors, and volunteers when and how to report wrong doing and of their protection against reprisal or retaliation for reporting.

Policy: Any person who has knowledge of or, in good faith, suspects any wrongdoing in the documenting, coding, or billing for services, equipment, or supplies, in either our practices or those of our clients, or violation of the Standards of Conduct should report it internally so that an investigation can be conducted and appropriate action taken. Retaliation or reprisal against anyone for such a report is strictly prohibited.

Definitions:

Wrongdoing: In addition to a violation of Federal or state law, wrongdoing includes violation and the impermissible billing practices such as:

    • billing for services not performed at all or not performed as described;
    • submission of claims for unnecessary or undocumented services, equipment, or supplies;
    • double billing;
    • upcoding;
    • unbundling;
    • misuse of coding modifiers;
    • false cost reports;
    • billing for services by an unlicensed or excluded provider;
    • paying or accepting money, gifts, or favors in return for referrals.

Implementation:

1. Anyone who becomes aware of or in good faith suspects wrongdoing by another employee, a board member, a client, a vendor, a contractor, or any other person should report it to their supervisor as well as Joe (Compliance Officer or Diane KINNEY or Sandra Steinhardt.

2. The individual making the report may do so by reporting the concern in writing or by using any anonymous method such as leaving a note on one of the above person desk, etc. Anyone making an anonymous report must realize that the Compliance Officer will not be able to ask additional questions of the person reporting nor advise the person of the outcome.

We will attempt to maintain the confidentiality of the person reporting the concern.

3. Self-reporting is also encouraged. Anyone who self-reports wrongdoing or a

violation of law will be given due consideration in mitigation of any disciplinary

action that may be taken.

4. Upon a report of wrongdoing, the Compliance Officer will then conduct an

investigation into the allegations to determine the nature, scope, and duration of

wrongdoing, if any, and shall follow the steps set to remedy the situation. These steps are likely to include contacting appropriate state or federal officials when the allegation is confirmed.

6. Retaliation or reprisal in any form against anyone who makes a report of

wrongdoing, cooperates in an investigation, or participates in the compliance

program is strictly prohibited. If an employee or a contractor believes that an

adverse action in the form of reprisal or retaliation has been taken against him or her as the result of making a report or cooperating in an investigation pursuant to this or any other compliance policy, he or she should report it to the Compliance

Officer immediately.

7. The Compliance Officer shall maintain a confidential log in a secure place of all reports of compliance concerns and shall update management as often as necessary.

8. Anyone who makes a report of wrongdoing maliciously, frivolously, or in bad faith will be subject to disciplinary action up to and including termination.

9. We seek to investigate all nonfrivolous claims of wrongdoing internally

so that corrective action can be instituted. KINNEY encourages the reporting so that appropriate corrective action can be instituted. However, any person who discovers wrongdoing that is a false claim or statement may report that information to the Department of Justice or the U.S. Attorney by filing a complaint under seal in the court pursuant to the False Claims Act (described in the Appendix). They may also report to the appropriate state’s Medicaid Fraud Control Unit, Medicaid Inspector General, local prosecutors and other law enforcement authorities. If assistance is needed in identifying the appropriate official please contact one of the individuals identifies above.

Appendix 1

Billing and Coding Standards; Liability for False Claims Policy

Title: Billing and Coding Standards; Liability for False Claims

Purpose: To set forth the standards that are applicable to reimbursement for medical services, supplies and equipment in order to comply with KINNEY’s Standards of Conduct and Federal and state law.

Policy: Each employee, contractor, or vendor involved with providing or obtaining reimbursement for medical services, supplies, or equipment from or on behalf of our clients is responsible for submitting honest and accurate bills to Medicaid, Medicare, and other Federal and state health care programs. In addition to complying with KINNEY's Standards of Conduct, all employees, contractors, and vendors are expected to comply with Federal and state laws and administrative remedies designed to prevent fraud, abuse, and waste in Federal and state health care programs.

Implementation:

  1. Medically Necessary Services
  • All services, equipment and supplies billed for will be reasonable and fully documented.
  • All bills will be for services provided by providers who are properly credentialed and licensed and provide services within their scope of practice.
  1. Completeness and Accuracy in Medical Records and Billing
  • Documentation will be in sufficient detail so that an accurate bill can be submitted for each treatment or procedure performed.
  • Provider numbers will be accurate and will not be shared.
  • Services performed by therapist who require supervision will be billed only in compliance with Federal and state laws and regulations including the presence of a supervising licensed professional.
  • Bills submitted for services performed shall describe the services in sufficient detail, be based on proper documentation in Ksystems (HER), or on paper, not duplicate bills for the same services, be accurate, be based on the correct provider number, and be in compliance with Federal and state law, as well as the payer's contracts.
  • Billing and Coding staff will comply with CMS and state program instructions and policies.
  1. Impermissible Billing Practices

The following practices are not permitted:

  • Billing for services that were not performed at all or not performed as described,
  • Submitting claims for medical equipment, supplies, or services that were not necessary,
  • Double billing,
  • Upcoding or assigning a code that secures a higher reimbursement, rather than the code that matches the services performed,
  • Unbundling or billing the parts of a global fee separately,
  • Knowingly misusing provider numbers,
  • Failing to use coding modifiers accurately or appropriately,
  • Preparing or submitting false cost reports,
  • Billing for services performed by an unlicensed provider or one who has been excluded from a Federal health care program,
  1. Compliance with Federal Law
  • All employees, contractors and board members will comply with Federal and state law and regulations concerning fraud and abuse in federal health care programs, especially the Federal False Claims Act and administrative remedies associated with their enforcement (see Appendix to this Policy).
  • No employee and/or contractor is permitted to give cash, gifts, favors, payment, services, entertainment, tips or any other items of value to anyone in exchange for their signing a contract or reporting services to be billed to Medicaid, Medicare or any other government or private health care program.
  1. Government Reporting
  • All reports required to be submitted to state or Federal health care programs must be truthful and accurate. No member, manager, officer, or employee shall attest to the accuracy of a submitted report unless he or she has been able to satisfy himself or herself that the data submitted or the representations made are truthful and accurate.
  • If it is determined that a clients has been overpaid by a government program or third party payer KINNEY will promptly adjust the payment in the future billing to the proper party. If our contractual relationship with client has ended we will notify the former client of their need to return the over payment.
  • All cost report data, schedules and worksheets must be truthful, accurate, and complete.
  • No employee or contractor will attempt to improperly influence the actions or decisions made by government bodies, officials, employees, or contractors.
  • KINNEY will cooperate and be truthful in responding to government inquiries, requests, and investigations, including audits, surveys, and certifications reviews.

APPENDIX 2

FEDERAL AND STATE LAWS

Civil False Claims Act (31 U.S.C. ' 3729 et seq.):

The False Claims Act is a statute that imposes civil liability (between $5,500 and $11,000 a claim and three times the total damages) on any person or entity who;

    • knowingly submits a false claim to the Federal government for payment
    • knowingly makes or uses a false record or statement to obtain payment or approval of a claim by the Federal government
    • uses a false statement to decrease an obligation to the government.
    • Knowingly:
    • actual knowledge of the truth or falsity of a claim or statement
    • acting recklessly, or
    • acting with deliberate ignorance of the truth or falsity of the claim. Claim: The definition of claim includes a claim submitted to Medicaid, Medicare or Tricare.

Bringing an Action under the False Claims Act:

A private person can bring an action under the False Claims Act in the name of the United States.

    • The person can file a complaint "under seal" or confidentially on the court docket. "Under seal" means that the records are kept secret on the docket of the court.
    • The U.S. Attorney has sixty days, or more if an extension is requested of the court, to review the complaint and consider the allegations and whether the U.S., through the Department of Justice, will join in and take over the complaint.
    • The Department of Justice then investigates the allegations of violations of the False Claims Act and may involve the FBI or the Office of the Inspector General of the Department of Health and Human Services and may issue subpoenas for documents or electronic records, may interview witnesses, and may compel testimony from certain individuals within the organization.
    • After the investigation is complete, the Department of Justice decides whether it will intervene in the action filed by the employee, decline to intervene, or dismiss the complaint.
    • If the action is pursued and is successful, the employee is entitled to part of the recovery, from 15 to 30%, depending on whether the Justice Department, becomes involved in the case.

Civil Monetary Penalties:

These statutes provide administrative remedies and penalties against

those who submit false claims or make false statements to Federal agencies.

    • The Program Fraud and Civil Remedies Act ("PFCRA") (31 U.S.C. 3801-3812) is another tool the Federal government can use to penalize false claims involving Federal agencies and is designed to provide them with an administrative remedy for losses resulting from false claims. The PFCRA provides for civil penalties of $5,000 per claim for each false claim submitted to a Federal agency and an assessment of twice the amount of the claim against anyone who submits a false, fictitious or fraudulent claim, includes a false statement of material fact or omits a material fact, or makes claims for property or services that were not provided as claimed.
    • The Civil Monetary Penalties Law "CMPL" (42 U.S.C. Sec. 1320a-7a) provides for penalties against anyone who presents a claim to a Federal or state officer, employee or agency he knows or should know was not provided as claimed or is based on upcoding. CMPL can also be assessed against a provider who:
    • -- submits a bill for the services of someone who is not licensed or is excluded from Federal or state health care programs or
    • violates the anti-kickback statute or
    • is in violation of the Stark self-referral law.
    • Criminal Penalties for Acts Involving Federal Health Care Programs (42 U.S.C. ' 1320a-7b): Anyone who makes a false statement in any application for a benefit or payment under a federal or state health care program or solicits or receives any payment for referring someone for a service or item reimbursable by a Federal or state health care program can be fined up to $25,000 and imprisoned.
    • Anti-kickback Statute: The Federal anti-kickback statute was passed to prevent fraud and abuse in Federal health care programs by making it a crime for anyone to knowingly and willfully receive or pay anything of value to influence the referral of Federal health care program business, such as Medicare and Medicaid.
    • Since it is a criminal law, the intent of the wrongdoer to violate the law has to be shown.
    • The punishment for violations of the law is up to five years in jail, criminal fines up to $25,000, administrative civil monetary penalties up to $50,000, and exclusion from Federal health care programs.
    • There are 23 anti-kickback safe harbors that provide protection from prosecution for certain payment and business practices implicated by the anti-kickback statute.
    • Safe harbors include personal services and management contracts, lease agreements for space or equipment, joint ventures in and recruitment to medically underserved areas, but anyone who is trying to fit within a safe harbor should consult with an attorney.
    • Stark Law (I and II): The Stark law prohibits a physician from referring Medicare and Medicaid health care program patients for certain "designated health services" to an entity with which the physician or an immediate family member has a financial relationship.
    • New York State False Claims Act can be found at http://www.ag.ny.gov/bureaus/whistle_blowers/false_claims_act.html. The penalties include a civil penalty of not less than six thousand dollars and not more than twelve thousand dollars, plus three times the amount of damages which the state sustains because of the act of that person; and (ii) to any local government for three times the amount of damages sustained by such local government because of the act of that person.
    • Wisconsin False Claims Act can be found at http://nxt.legis.state.wi.us/nxt/gateway.dll?f=templates&fn=default.htm&d=stats&jd=20.931.
    • Onondaga County's Compliance Plan can be found at http://www.kinneyassoc.com/nycomplianceplan/refmaterial/838-FalseClaimsFraudPreventionDetection100209.pdf
    • We will update our web site with additional plans as we receive them.

Subject: Responding to Detected Offenses and Developing Appropriate Corrective Action

Issued By: Kinney Management Services, LLC and Kinney & Associates, Inc.

Prepared By: Joseph Kinney - Compliance Officer

Approved By: Sandra Steinhardt, Diane Kinney, Joseph Kinney ( Colorado), Scott Steinhardt

Effective Date: January 1, 2007 last update November, 2009

Purpose: To outline our response to a report regarding a compliance concern.

Policy: The purpose of this policy is to set forth the procedures used to respond to information received by the Compliance Officer that a Board member, member officer, employee, consultant or vendor is engaging in activity that may be contrary to applicable Federal or State law or the requirements KINNEY’s compliance program.

Implementation:

  1. Investigation - Purpose of Investigation.

The purpose of an investigation is to:

    • identify situations in which applicable Federal or State laws, including the laws, regulations and standards of the Medicare and Medicaid programs, or the requirements of our compliance program may not have been followed,
    • to identify individuals or clients who may have knowingly or inadvertently violated the law or compliance program requirements,
    • to facilitate the correction of any violations or misconduct,
    • to implement procedures necessary to ensure future compliance,
    • To protect our clients, and KINNEY, in the event of civil or criminal enforcement actions.
  1. Control of Investigations.

    All reports of alleged non-compliance must be forwarded to the Compliance Officer. Serious or otherwise sensitive matters for investigations should be conducted under the direction of our Compliance Officer. If the involvement of legal counsel is warranted, the Compliance Officer is responsible for determining the extent of their involvement. Regardless the Compliance Officer will (1) initiate an investigation of the conduct in question, (2) report findings to the executives, and (3) recommend the appropriate actions to be taken by the KINNEY. At all times relevant to the investigation, anyone assisting in the investigation, will function under the direction and control of the Compliance Officer.

  2. Investigative Process.

Upon receipt of information concerning alleged misconduct, the Compliance Officer/Contact will, at a minimum, take the following actions:

  • Complete a compliance report email report that includes, if known, the name of the employee who made the report, the date of the report, and a detailed narrative of the employee’s concern. Anonymity of the individual who made the report (if requested) and confidentiality will be maintained.
  • Notify the members of the nature of the alleged improper conduct and, if the involvement of legal counsel is warranted, obtain a memorandum from senior management authorizing legal counsel to initiate an investigation.
  • Ensure that the investigation is initiated as soon as reasonably possible but in any event not more than [three (3)] business days following receipt of the information. The investigation shall include, as applicable, but need not be limited to:
      1. Interviews of all persons who may have knowledge of the alleged conduct and a review of the applicable laws, regulations and standards to determine whether or not a violation has occurred.
      2. Identification and review of relevant documentation, including, where applicable, representative bills or claims submitted to the Medicare/Medicaid programs, to determine the specific nature and scope of the violation and its frequency, duration and potential financial magnitude.
      3. Interviews of persons who appeared to play a role in the suspected activity or conduct. The purpose of the interviews is to determine the facts surround the conduct, and may include, but shall not be limited to:
      1. The person’s understanding of the applicable laws,rules and standards;
      2. Identification of relevant supervisors or managers;
      3. Training that the person received;
      4. The extent to which the person may have acted knowingly or with reckless disregard or intentional indifference of applicable laws;
      5. Preparation of a summary report that (1) defines the nature of the alleged misconduct, (2) summarizes the investigation process, (3) identifies any person who is believed to have acted deliberately or with reckless disregard or intentional indifference of applicable laws, (4) assesses the nature and extent of potential civil or criminal liability, and (5) where applicable, estimates the extent of any resulting overpayment by the government.
      1. For all investigations ensure that significant developments are promptly reported to the Compliance Officer.
      2. Ensure that the investigation is completed in a reasonable and timely fashion and that the appropriate disciplinary or corrective action is taken, if warranted.
  1. Organizational Response.

Non-Compliance/Suspected Criminal Activity.

  • In the event the investigation identifies employee misconduct or suspected criminal activity, KINNEY will undertake the following steps.
    • As quickly as possible, cease the offending practice.
    • If the conduct involves the improper submission of claims for payment, we will immediately cease all billing potentially affected by the offending practice and or client.
    • Consult with legal counsel, if necessary, to determine whether voluntary reporting of the identified misconduct to the appropriate governmental authority is warranted.
    • If applicable, calculate and process adjustments for any improper payments made by a Federal or State government program as a result of the misconduct.
    • Initiate appropriate disciplinary action, which may include, but is not limited to, reprimand, demotion, suspension and/or termination. If the offense involves the action of an employee of a client we will immediately report the instance to the appropriate executive at the client.
    • If the investigation uncovers what appears to be criminal conduct on the part of an employee or client, appropriate disciplinary action against the employee or employees who authorized, engaged in or otherwise participated in the offending practice will include, at a minimum, the removal of the person from any position of oversight and may include, in addition, suspension, demotion, and termination. In the case of possible criminal conduct by an employee of a client, referral to the appropriate government official will be made.
    • Promptly undertake appropriate training and education to prevent a recurrence of the misconduct.
    • Conduct a review of policies and procedures to determine whether revisions or the development of new policies and/or procedures are needed to minimize future risk of noncompliance.
    • Conduct, as appropriate, follow-up monitoring and auditing to ensure effective resolution of the offending practice.

This policy and procedure shall be periodically reviewed and updated consistent with the requirements and standards established by the management, Federal and State law and regulations, and review organizations.

Last Update:.

11/11/2009

 

 

 

 

 

 

Previous version

Welcome New Employee!

40 Introductory Statement

50 Employee Acknowledgment Form

101 Nature of Employment

102 Employee Relations

103 Equal Employment Opportunity

105 Hiring of Relatives

107 Immigration Law Compliance

108 Conflicts of Interest

110 Outside Employment

112 Non-Disclosure

113 Security

201 Employment Categories

202 Access to Personnel Files

203 Employment Reference Checks

204 Personnel Data Changes

205 Introductory Period

208 Employment Applications

209 Performance Evaluation

301 Employee Benefits

303 Vacation Benefits

304 Child Care

305 Holidays

306 Worker’s Compensation Insurance

307 Sick Leave Benefits

309 Bereavement Leave

311 Jury Duty

312 Witness Duty

313 Benefits Continuation (Cobra)

380 Insurance Benefits

390 401(k) Plan

401 Timekeeping

403 Paydays

405 Employment Termination

408 Pay Advances

409 Administrative Pay Corrections

410 Pay Deductions

502 Work Schedules

504 Use of Telephones

505 Smoking

507 Overtime

512 Business Travel Expenses

513 Travel Arrangements

  • Air Travel
  • Lodging
  • Meals
  • Car Rentals & Other Transportation

514 Expense Policies

  • Air Travel
  • Auto Mileage Allowance
  • Auto Rental
  • Evenings, Saturdays, Sundays, Holidays
  • Tax, Limousine
  • Telephone
  • Tips
  • Tolls, Parking Fees
  • Trade Associations & Other Professional Societies

515 Charging Expenses to Clients

516 Expenses Incurrence & Reporting

517 Travel & Subsistence Expense

518 Business Expenses

519 Receipts

521 Required Documentation

601 Medical Leave

602 Family Leave

603 Personal Leave

605 Military Leave

607 Pregnancy-Related Absences

607A Maternity Leave

701 Employee Conduct & Work Rules

702 Drug & Alcohol Use

703 Sexual & Other Unlawful Harassment

704 Attendance & Punctuality

705 Personal Appearance

706 Return of Property

708 Resignation

800 Life-Threatening Illness in the Workplace

900 Health care Fraud Compliance Plan - Medicaid Compliance Plan

 

Welcome new employee!

On behalf of your colleagues, we welcome you to Kinney Management Services, LLC. (KINNEY) and wish you every success here.

We believe that each employee contributes directly to KINNEY'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 KINNEY.

As with all of our efforts, we need your help with ongoing development of the personality of our company. Therefore, as we grow together, always feel free to discuss and suggest to us any changes that you believe will make us better.

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

 

Sincerely,

Diane Kinney, Member

Sandra Steinhardt, Member

Joe Kinney, Colorado, Member

Scott Steinhardt, Member

Joe Kinney, New York, Member

 

 

40 INTRODUCTORY STATEMENT

This handbook is designed to acquaint you with KINNEY and provide you with information about working conditions, employee benefits, and some of the policies affecting your employment. You should read, understand, and comply with all provisions of the handbook. It describes many of your responsibilities as an employee and outlines the programs developed by KINNEY to benefit employees. One of our objectives is to provide a work environment that is conducive to both personal and professional growth.

No employee handbook can anticipate every circumstance or question about policy. As KINNEY continues to grow, the need may arise and KINNEY reserves the right to revise, supplement, or rescind any policies or portion of the handbook from time to time as it deems appropriate, in its sole and absolute discretion. The only exception to any changes is our employment-at-will policy permitting you or KINNEY to end our relationship for any reason at any time. Employees will, of course, be notified of such changes to the handbook as they occur.

EMPLOYEE ACKNOWLEDGMENT FORM

The employee handbook describes important information about KINNEY, and I understand that I should consult the President regarding any questions not answered in the handbook. I have entered into my employment relationship with KINNEY voluntarily and acknowledge that there is no specified length of employment. Accordingly, either KINNEY or I can terminate the relationship at will, with or without cause, at any time, so long as there is no violation of applicable federal or state law.

Since the information, policies, and benefits described here are necessarily subject to change, I acknowledge that revisions to the handbook may occur, except to KINNEY's policy of employment-at-will. All such changes will be communicated through official notices, and I understand that revised information may supersede, modify, or eliminate existing policies. Only the Board of Managing Members the ability to adopt any revisions to the policies in this handbook.

Furthermore, I acknowledge that this handbook is neither a contract of employment nor a legal document. I have received the handbook, and I understand that it is my responsibility to read and comply with the policies contained in this handbook and any revisions made to it.

NON-disclosure NON-compete

I understand all information at Kinney Management Services, LLC is confidential and protected by various STATES and federal statutes including the Health insurance portability and accountability act and the federal education rights to privacy act and I will not disclose it to unauthorized parties. I further understand any unauthorized disclosure to outside parties may result in my immediate termination.

I also understand that all information pertaining the business operations of KINNEY is the property of KINNEY and I will not disclose it outside of KINNEY. additionally, I UNDERSTAND THAT I may not compete against KINNEY for two YEARS from the date my employment with KINNEY ends.

 

 

___________________________________ ________________

Signature Date

___________________________________

Employee's Name (Typed Or Printed)

101 NATURE OF EMPLOYMENT

Employment with KINNEY is voluntarily entered into, and the employee is free to resign at will at any time, with or without cause. Similarly, KINNEY may terminate the employment relationship at will at any time, with or without notice or cause, so long as there is no violation of applicable federal or state law.

Policies set forth in this handbook are not intended to create a contract, nor are they to be construed to constitute contractual obligations of any kind or a contract of employment between KINNEY and any of its employees. The provisions of the handbook have been developed at the discretion of the Board of Directors and, except for its policy of employment-at-will, may be amended or canceled at any time, at KINNEY's sole discretion.

These provisions supersede all existing policies and practices and may not be amended or added to without the express written approval of the chief executive officer of KINNEY, Diane KINNEY.

 

102 EMPLOYEE RELATIONS

KINNEY believes that the work conditions, wages, and benefits it offers to its employees are competitive with those offered by other employers in this area and in this industry. If employees have concerns about work conditions or compensation, they are strongly encouraged to voice these concerns openly and directly to Diane KINNEY, Sandy KINNEY Steinhardt, or Joseph Kinney.

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

 

 

103 EQUAL EMPLOYMENT OPPORTUNITY

In order to provide equal employment and advancement opportunities to all individuals, employment decisions at KINNEY will be based on merit, qualifications, and abilities. KINNEY does not discriminate in employment opportunities or practices on the basis of race, color, religion, sex, national origin, age, disability, or any other characteristic protected by law.

KINNEY will make reasonable accommodations for qualified individuals with known disabilities unless doing so would result in an undue hardship. This policy governs all aspects of employment, including selection, job assignment, compensation, discipline, termination, and access to benefits and training.

Employees with questions or concerns about any type of discrimination in the workplace are encouraged to bring these issues to the attention of their immediate supervisor. Employees can raise concerns and make reports without fear of reprisal. Anyone found to be engaging in any type of unlawful discrimination will be subject to disciplinary action, up to and including termination of employment.

 

105 HIRING OF RELATIVES

The employment of relatives in the same area of an organization may cause serious conflicts and problems with favoritism and employee morale. In addition to claims of partiality in treatment at work, personal conflicts from outside the work environment can be carried into day-to-day working relationships.

Although KINNEY has no prohibition against hiring relatives of existing employees, we are committed to monitoring situations in which relatives work in the same area. In case of actual or potential problems, KINNEY will take prompt action. This can include reassignment or, if necessary, termination of employment for one or both of the individuals involved.

For the purposes of this policy, a relative is any person who is related by blood or marriage, or whose relationship with the employee is similar to that of persons who are related by blood or marriage.

107 IMMIGRATION LAW COMPLIANCE

KINNEY is committed to employing only United States citizens and aliens who are authorized to work in the United States and does not unlawfully discriminate on the basis of citizenship or national origin.

In compliance with the Immigration Reform and Control Act of 1986, each new employee, as a condition of employment, must complete the Employment Eligibility Verification Form I-9 and present documentation establishing identity and employment eligibility. Former employees who are rehired must also complete the form if they have not completed an I-9 with KINNEY within the past three years, or if their previous I-9 is no longer retained or valid.

Employees with questions or seeking more information on immigration law issues are encouraged to contact the President. Employees may raise questions or complaints about immigration law compliance without fear of reprisal.

.

108 CONFLICTS OF INTEREST

Employees have an obligation to conduct business within guidelines that prohibit actual or potential conflicts of interest. This policy establishes only the framework within which KINNEY wishes the business to operate. The purpose of these guidelines is to provide general direction so that employees can seek further clarification on issues related to the subject of acceptable standards of operation. Contact the President for more information or questions about conflicts of interest.

Transactions with outside firms must be conducted within a framework established and controlled by the executive level of KINNEY. Business dealings with outside firms should not result in unusual gains for those firms. Unusual gain refers to bribes, product bonuses, special fringe benefits, unusual price breaks, and other windfalls designed to ultimately benefit the employer, the employee, or both. Promotional plans that could be interpreted to involve unusual gain require specific executive-level approval.

An actual or potential conflict of interest 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 relative as a result of KINNEY's business dealings. For the purposes of this policy, a relative is any person who is related by blood or marriage, or whose relationship with the employee is similar to that of persons who are related by blood or marriage.

No "presumption of guilt" is created by the mere existence of a relationship with outside firms. However, if employees have any influence on transactions involving purchases, contracts, or leases, it is imperative that they disclose to an officer of KINNEY 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 relative has a significant ownership in a firm with which KINNEY does business, but also when an employee or relative receives any kickback, bribe, substantial gift, or special consideration as a result of any transaction or business dealings involving KINNEY.

110 OUTSIDE EMPLOYMENT

Employees may hold outside jobs as long as they meet the performance standards of their job with KINNEY. All employees will be judged by the same performance standards and will be subject to KINNEY's scheduling demands, regardless of any existing outside work requirements.

If KINNEY determines that an employee's outside work interferes with performance or the ability to meet the requirements of KINNEY as they are modified from time to time, the employee may be asked to terminate the outside employment if he or she wishes to remain with KINNEY.

Outside employment that constitutes a conflict of interest is prohibited. Employees may not receive any income or material gain from individuals outside KINNEY for materials produced or services rendered while performing their jobs.

112 NON-DISCLOSURES

The protection of confidential business information and trade secrets is vital to the interests and the success of KINNEY. Such confidential information includes, but is not limited to, the following examples:

All employees must sign a non-disclosure agreement as a condition of employment. Employees who improperly use or disclose trade secrets or confidential business information will be subject to disciplinary action, up to and including termination of employment and legal action, even if they do not actually benefit from the disclosed information.

 

 

  1. SECURITY - Release of information

It is the responsibility of every employee to protect the security and confidentiality of all KINNEY and KINNEY client information. This is particularly important when work requirements cause information to be in the employees possession outside of the office.

All information processed by KINNEY is protected under various State and federal laws. Two of the most important are the Health Insurance Portability and Accountability Act of 1996 and the Federal Education Rights to Privacy Act. As a result all employees must follow company rules regarding the handling, processing and disclosure of any information. Under no circumstances should any information, of any type, be disclosed to an outside party unless the employee is certain that they have a right to it. Information may only be disclosed to persons known to the employee to be entitled to it. If there is a question about their right to the information, approval for the release must be sought from a supervisor. Information held at an employee's home must be secure from disclosure to anyone in the employee's home.

Intentional disclosure, or disclosure due to disregarding security procedure, will result in immediate termination. ADDITIONALLY, REFERRALS MAY BE MADE TO STATE AND/OR FEDERAL OFFICIALS FOR POSSIBLE PROSECUTION AND CIVIL ACTION.

SECURITY – NETWORK, email, etc.

Each employee is responsible for protecting KINNEY from outside technological threats. This means that no one should be using the network for non-work related purposes. Emails must be limited to work related purposes only and no internet site should be visited unless it is for work related purposes and the user is sure it is not adding spy ware, or other malicious programs, to KINNEY’s system. No email from outside sources should be opened unless the employee is sure who the sender is and that the email itself is safe. No email attachments should be opened unless the employee is sure they are safe.

Any failure to follow this policy RESULTING IN a security breach, DAMAGE to KINNEY DATA, systems, etc. may result in termination and other punitive actions. ADDITIONALLY, REFERRALS MAY BE MADE TO STATE AND/OR FEDERAL OFFICIALS FOR POSSIBLE PROSECUTION AND CIVIL ACTION.

201 EMPLOYMENT CATEGORIES

It is the intent of KINNEY to clarify the definitions of employment classifications so that employees understand their employment status and benefit eligibility. These classifications do not guarantee employment for any specified period of time. Accordingly, the right to terminate the employment relationship at will at any time is retained by both the employee and KINNEY.

Each employee is designated as either NONEXEMPT or EXEMPT from federal and state wage and hour laws. NONEXEMPT employees are entitled to overtime pay under the specific provisions of federal and state laws. EXEMPT employees are excluded from specific provisions of federal and state wage and hour laws. An employee's EXEMPT or NONEXEMPT classification may be changed only upon written notification by KINNEY management.

In addition to the above categories, each employee will belong to one other employment category:

REGULAR FULL-TIME employees are those who are not in a temporary or introductory status and who are regularly scheduled to work KINNEY's full-time schedule. Generally, they are eligible for KINNEY's benefit package, subject to the terms, conditions, and limitations of each benefit program.

REGULAR PART-TIME employees are those who are not assigned to a temporary or introductory status and who are regularly scheduled to work less than the full-time work schedule, but at least 30 hours per week. Regular part-time employees are eligible for some benefits sponsored by KINNEY, subject to the terms, conditions, and limitations of each benefit program.

PART-TIME- employees are those who are not assigned to a temporary or introductory status and who are regularly scheduled to work less than 30 hours per week. While they do receive all legally mandated benefits (such as Social Security and workers' compensation insurance), they are ineligible for all of KINNEY's other benefit programs.

INTRODUCTORY employees are those whose performance is being evaluated to determine whether further employment in a specific position or with KINNEY is appropriate. Employees who satisfactorily complete the introductory period will be notified of their new employment classification.

TEMPORARY employees are those who are hired as interim replacements, to temporarily supplement the work force, or to assist in the completion of a specific project. Employment assignments in this category are of a limited duration. Employment beyond any initially stated period does not in any way imply a change in employment status. Temporary employees retain that status unless and until notified of a change. While temporary employees receive all legally mandated benefits (such as workers' compensation insurance and Social Security), they are ineligible for all of KINNEY's other benefit programs.

PER DIEM employees are those who routinely work either a full- time or a part-time schedule and who accept additional compensation in lieu of participation in all but legally mandated benefit programs. KINNEY offers this category in limited classifications and to limited numbers of employees. Individuals participating in this program must sign waivers of their rights to participate in the benefit programs applicable to regular employees. Service in this category cannot be credited in any way toward any benefit program, even if the employee is later assigned to a benefit-eligible category. A change to or from this category can be accomplished only with the written consent of KINNEY.

202 ACCESS TO PERSONNEL FILES

KINNEY maintains a personnel file on each employee. The personnel file includes such information as the employee's job application, resume, records of training, documentation of performance appraisals and salary increases, and other employment records.

Personnel files are the property of KINNEY, and access to the information they contain is restricted. Generally, only supervisors and management personnel of KINNEY who have a legitimate reason to review information in a file are allowed to do so.

Employees who wish to review their own file should contact the Managing Member. With reasonable advance notice, employees may review their own personnel files in KINNEY's offices and in the presence of an individual appointed by KINNEY to maintain the files.

203 EMPLOYMENT REFERENCE CHECKS

To ensure that individuals who join KINNEY are well qualified and have a strong potential to be productive and successful, it is the policy of KINNEY to check the employment references of all applicants.

Kinney will respond in writing only to those reference check inquiries that are submitted in writing. Responses to such inquiries will confirm only dates of employment and position(s) held. No employment data will be released without a written authorization and release signed by the individual who is the subject of the inquiry.

 

204 PERSONNEL DATA CHANGES

It is the responsibility of each employee to promptly notify KINNEY of any changes in personnel data. Personal mailing addresses, telephone numbers, number and names of dependents, individuals to be contacted in the event of an emergency, educational accomplishments, and other such status reports should be accurate and current at all times. If any personnel data has changed notify, by mail:

 

Diane Kinney

PO Box 1047

Clifton Park, New York 12065

518-371-0176

 

205 INTRODUCTORY PERIOD

The introductory period is intended to give new employees the opportunity to demonstrate their ability to achieve a satisfactory level of performance and to determine whether the new position meets their expectations. KINNEY uses this period to evaluate employee capabilities, work habits, and overall performance. Either the employee or KINNEY may end the employment relationship at will at any time during or after the introductory period, with or without cause or advance notice.

All new and rehired employees work on an introductory basis for the first 180 calendar days after their date of hire. Any significant absence will automatically extend an introductory period by the length of the absence. If KINNEY determines that the designated introductory period does not allow sufficient time to thoroughly evaluate the employee's performance, the introductory period may be extended for a specified period.

Upon satisfactory completion of the introductory period, employees enter the "regular" employment classification.

During the introductory period, new employees are eligible for those benefits that are required by law, such as workers' compensation insurance and Social Security. After becoming regular employees, they may also be eligible for other KINNEY-provided benefits, subject to the terms and conditions of each benefits program. Employees should read the information for each specific benefits program for the details on eligibility requirements.

 

208 EMPLOYMENT APPLICATIONS

KINNEY relies upon the accuracy of information contained in the employment application, as well as the accuracy of other data presented throughout the hiring process and employment. Any misrepresentations, falsifications, or material omissions in any of this information or data may result in KINNEY's exclusion of the individual from further consideration for employment or, if the person has been hired, termination of employment.

209 PERFORMANCE EVALUATIONS

Supervisors and employees are strongly encouraged to discuss job performance and goals on an informal, day-to-day basis. A formal written performance evaluation will be conducted at the end of an employee's initial period of hire, known as the introductory period. Additional formal performance evaluations are conducted to provide both supervisors and employees the opportunity to discuss job tasks, identify and correct weaknesses, encourage and recognize strengths, and discuss positive, purposeful approaches for meeting goals.

Performance evaluations are scheduled at 3 months, 6 months, one year, and then every 12 months, coinciding generally with the anniversary of the employee's original date of hire.

Merit-based pay adjustments are awarded by KINNEY in an effort to recognize truly superior employee performance. The decision to award such an adjustment is dependent upon numerous factors, including the information documented by this formal performance evaluation process.

301 EMPLOYEE BENEFITS

Eligible employees at KINNEY are provided a wide range of benefits. A number of the programs (such as Social Security, workers’ compensation, state disability, and unemployment insurance) cover all employees in the manner prescribed by law.

Benefits eligibility is dependent upon a variety of factors, including employee classification. Your supervisor can identify the programs for which you are eligible. Details of many of these programs can be found elsewhere in the employee handbook.

The following benefit programs are available to eligible employees:

Some benefit programs require contributions from employees, but most are fully paid by KINNEY. The benefit package for regular full-time employees represents an additional cost to KINNEY of approximately 40 percent of wages.

303 VACATION BENEFITS

Vacation time off with pay is available to eligible employees to provide opportunities for rest, relaxation, and personal pursuits. Employees in the following employment

Classification(s) are eligible to earn and use vacation time as described in this policy:

Regular full-time employees

An employee becomes a regular full time employee after they successfully complete the mandatory 180-day introductory period. See 205 - introductory period for details

The amount of paid vacation time employees receive each year increases with the length of their employment as shown in the following schedule.

Vacation Eligibility Schedule for regular full time employees

Years   Vacation Days Yearly

Accrued on Anniversary Date

Upon becoming a Regular Full-Time Employee. (The later of 180 days or the end of Introductory Period.)   5 days (40 hrs. )
After 1 year of service.   5 days (40 hrs)
After 2 years of service.   10 days (80 hrs.)
After 3 years of service.   15 days (120 hrs.)
After 5 years of service.   20 days (160 hrs.)

 

The length of eligible service is calculated on the basis of a "benefit year." This is the 12-month period that begins when the employee starts to earn vacation time. An employee's benefit year may be extended for any significant leave of absence except military leave of absence. Military leave has no effect on this calculation. (See individual leave of absence policies for more information.)

Once employees enter an eligible employment classification, they begin to earn paid vacation time according to the schedule.

Paid vacation time can be used in minimum increments of one day. To take vacation, employees should request time 3 months in advance from their supervisors. Requests will be reviewed based on a number of factors, including business needs and staffing requirements.

Vacation time off is paid at the employee's base pay rate at the time of vacation. It does not include overtime or any special forms of compensation such as incentives, commissions, bonuses, or shift differentials.

As stated above, employees are encouraged to use available paid vacation time for rest, relaxation, and personal pursuits. In the event that available vacation is not used by the end of the benefit year, employees may carry unused time forward to the next benefit year. If the total amount of unused vacation time reaches a "cap" equal to two times the annual vacation amount to a maximum of 4 weeks, further vacation accrual will stop. When the employee uses paid vacation time and brings the available amount below the cap, vacation accrual will begin again on anniversary date.

Upon termination of employment, regular full time employees will be paid for unused vacation time that has been earned through the last day of work. It will be paid at normal pay cycles.

 

304 CHILD CARE BENEFITS

KINNEY provides childcare assistance to all eligible employees as a benefit of employment. Eligible employee classifications are:

Regular full-time employees

Given below is a brief description of childcare assistance that may be provided when feasible. For more detailed information, please contact the President.

TELECOMMUTING: Employees who receive advance approval to do so may work out of their homes on certain days to accommodate their childcare arrangements.

305 HOLIDAYS

KINNEY will grant holiday time off to all employees on the holidays listed below.

KINNEY will grant paid holiday time off to all full time employees. Holiday pay will be calculated based on the employee's straight-time pay rate (as of the date of the holiday) times the number of hours the employee would otherwise have worked on that day. Eligible employee classification(s):

Regular full-time employees

To be eligible for holiday pay, employees must work the last scheduled day immediately proceeding and the first scheduled day immediately following the holiday.

A recognized holiday that falls on a Saturday will be observed on the preceding Friday. A recognized holiday that falls on a Sunday will be observed on the following Monday.

If a recognized holiday falls during an eligible employee's paid absence (such as vacation or sick leave), additional holiday pay will not be provided instead of the paid time off. I fit is a schedule vacation the employee does not have to use vacation time for the Holiday. For employee on approved paid sick leave, the Holiday will be treated as if they had worked the day before and after. Employees on approved unpaid leave will not be paid for the Holiday.

If eligible nonexempt employees work on a recognized holiday, they will receive holiday pay plus wages at their straight-time rate for the hours worked on the holiday.

 

306 WORKERS’ COMPENSATION INSURANCE

KINNEY provides a comprehensive workers' compensation insurance program at no cost to employees. This program covers any injury or illness sustained in the course of employment that requires medical, surgical, or hospital treatment. Subject to applicable legal requirements, workers' compensation insurance provides benefits after a short waiting period or, if the employee is hospitalized, immediately.

Employees who sustain work-related injuries or illnesses should inform their supervisor immediately. No matter how minor an on- the-job injury may appear, it is important that it be reported immediately. This will enable an eligible employee to qualify for coverage as quickly as possible.

Neither KINNEY nor the insurance carrier will be liable for the payment of workers' compensation benefits for injuries that occur during an employee's voluntary participation in any off-duty recreational, social, or athletic activity sponsored by KINNEY.

.

307 SICK LEAVE BENEFITS

Full time employees, at the discretion of management and within reason, will be paid for sick time when they are ill.

When necessary, work schedule may be adjusted to allow for necessary medical appointments. When this happens, the employee must still work their two-week work hours. If an employee can not work the full complement of hours scheduled for a pay period, vacation time must be used for the difference.

For extended sick leave vacation time will be used for part of the time if deemed necessary by management.

 

 

309 BEREAVEMENT LEAVE

Employees who wish to take time off due to the death of an immediate family member should notify their supervisor immediately.

Up to five days of paid bereavement leave will be provided to eligible employees in the following classification(s):

Regular full-time employees

KINNEY defines "immediate family" as the employee's spouse, parent, child, sibling; the employee's spouse's parent, child, or sibling, the employee's child's spouse, sibling, grandparents or grandchildren. Special consideration will also be given to any other person whose association with the employee was similar to any of the above relationships. Employees may, with their supervisor’s approval, use any vacation time for any additional days taken.

311 JURY DUTY

KINNEY encourages employees to fulfill their civic responsibilities by serving jury duty when required. Employees in an eligible classification may request up to one week of paid jury duty leave over any five-year period.

Jury duty pay will be calculated on the employee's base pay rate times the number of hours the employee would otherwise have worked on the day of absence. Employee classifications that qualify for paid jury duty leave are:

Regular full-time employees

If employees are required to serve jury duty beyond the period of paid jury duty leave, they may use any available paid time off (for example, vacation benefits) or may request an unpaid jury duty leave of absence.

Employees must show the jury duty summons to their supervisor as soon as possible so that the supervisor may make arrangements to accommodate their absence. Of course, employees are expected to report for work whenever the court schedule permits.

Either KINNEY or the employee may request an excuse from jury duty if, in KINNEY's judgment, the employee's absence would create serious operational difficulties.

KINNEY will continue to provide health insurance benefits for the full term of the jury duty absence.

Vacation, sick leave, and holiday benefits, will continue to accrue during unpaid jury duty leave.

312 WITNESS DUTIES

KINNEY encourages employees to appear in court for witness duty when subpoenaed to do so.

If employees have been subpoenaed or otherwise requested to testify as witnesses by KINNEY, they will receive paid time off for the entire period of witness duty.

Employees will be granted unpaid time off to appear in court as a witness when requested by a party other than KINNEY. Employees are free to use any available vacation time to receive compensation for the period of this absence.

The subpoena should be shown to the employee's supervisor immediately after it is received so that operating requirements can be adjusted, where necessary, to accommodate the employee's absence. The employee is expected to report for work whenever the court schedule permits.

313 BENEFITS CONTINUATION (COBRA)

The federal Consolidated Omnibus Budget Reconciliation Act (COBRA) gives employees and their qualified beneficiaries the opportunity to continue health insurance coverage under KINNEY's health plan when a "qualifying event" would normally result in the loss of eligibility. Some common qualifying events are resignation, termination of employment, or death of an employee; a reduction in an employee's hours or a leave of absence; an employee's divorce or legal separation; and dependent child no longer meeting eligibility requirements.

Under COBRA, the employee or beneficiary pays the full cost of coverage at KINNEY's group rates plus an administration fee. KINNEY provides each eligible employee with a written notice describing rights granted under COBRA when the employee becomes eligible for coverage under KINNEY's health insurance plan. The notice contains important information about the employee's rights and obligations.

380 INSURANCE BENEFITS

KINNEY offers the following insurance plans to all Regular Full-time employees.

 

Guardian Dental Insurance

Single coverage: KINNEY pays 100% single coverage.

Employees requesting Family Plan coverage will have 100% paid by KINNEY & Associates, Inc for the employee. The employee will be responsible for the remaining cost of premiums, which is deducted from each paycheck.

Capital District Physician's Health Plan (CDPHP) - This is offered to employees who reside in the Capital District Area. All other eligible employees will be compensated for comparable insurance coverage.

All employees requesting Single Plan coverage will have 80% of the cost premiums paid by KINNEY. The employee is responsible for the remaining 20%, which is deducted from each paycheck.

All employees requesting Family Plan coverage will have 50% of the cost premiums paid by KINNEY the employee is responsible for the remaining 50%, which is deducted from each paycheck.

 

 

390 401(k) PLAN

KINNEY offers a 401(k) Plan through Transamerica. Employees are eligible to participate after one year of full time permanent employment. For enrollment information, included plans, etc. see one of the following corporate officers - Diane Kinney   , Sandy Steinhardt or Joe Kinney.

401 TIMEKEEPING

Accurately recording time worked is the responsibility of every nonexempt employee. Federal and state laws require KINNEY to keep an accurate record of time worked in order to calculate employee pay and benefits. Time worked is all the time actually spent on the job performing assigned duties.

Nonexempt employees should accurately record the time they begin and end their work, as well as the beginning and ending time of each meal period. They should also record the beginning and ending time of any split shift or departure from work for personal reasons. Overtime work must always be approved before it is performed.

Altering, falsifying, tampering with time records, or recording time on another employee's time record may result in disciplinary action, up to and including termination of employment.

403 PAYDAYS

All employees are paid biweekly on every other Friday at 4 o’clock. Employees are not allowed to leave the office to make deposits during their normal work hours.

We are on a 2 week pay lag, each paycheck will include earnings for all work performed through the end of the payroll period.

In the event that a regularly scheduled payday falls on a day off such as a weekend or holiday, employees will receive pay on the last day of work before the regularly scheduled payday or checks will be mailed to them on payday unless other arrangements are made.

405 EMPLOYMENT TERMINATIONS

Termination of employment is an inevitable part of personnel activity within any organization, and many of the reasons for termination are routine. Below are examples of some of the most common circumstances under which employment is terminated:

RESIGNATION - voluntary employment termination initiated by an employee.

DISCHARGE - involuntary employment termination initiated by the organization.

LAYOFF - involuntary employment termination initiated by the organization for non-disciplinary reasons.

RETIREMENT - voluntary employment termination initiated by the employee meeting age, length of service, and any other criteria for retirement from the organization.

 

KINNEY will generally schedule exit interviews at the time of employment termination. The exit interview will afford an opportunity to discuss such issues as employee benefits, conversion privileges, repayment of outstanding debts to KINNEY, or return of KINNEY-owned property. Suggestions, complaints, and questions can also be voiced.

Since employment with KINNEY is based on mutual consent, both the employee and KINNEY have the right to terminate employment at will, with or without cause, at any time. Employees will receive their final pay in accordance with applicable state law.

Employee benefits will be affected by employment termination in the following manner. All accrued, vested benefits that are due and payable at termination will be paid on the normal payroll schedule. Accumulated vacation will be paid at a rate of 40 hours per week on the normal pay schedule until the accumulated balance is paid. Some benefits may be continued at the employee's expense if the employee so chooses. The employee will be notified in writing of the benefits that may be continued and of the terms, conditions, and limitations of such continuance.

 

408 PAY ADVANCES

KINNEY does not provide pay advances on unearned wages to employees.

409 ADMINISTRATIVE PAY CORRECTIONS

KINNEY takes all reasonable steps to ensure that employees receive the correct amount of pay in each paycheck and that employees are paid promptly on the scheduled payday.

In the unlikely event that there is an error in the amount of pay, the employee should promptly bring the discrepancy to the attention of Sandy Steinhardt or Diane Kinney so that corrections can be made as quickly as possible.

 

410 PAY DEDUCTIONS

The law requires that KINNEY make certain deductions from every employee's compensation. Among these are applicable federal, state, and local income taxes. KINNEY also must deduct Social Security taxes on each employee's earnings up to a specified limit that is called the Social Security "wage base." KINNEY matches the amount of Social Security taxes paid by each employee.

KINNEY offers programs and benefits beyond those required by law. Eligible employees may voluntarily authorize deductions from their paychecks to cover the costs of participation in these programs.

If you have questions concerning why deductions were made from your paycheck or how they were calculated, ask Sandy KINNEY Steinhardt or Diane KINNEY

502 WORK SCHEDULES

Work schedules for employees vary throughout our organization. Supervisors will advise employees of their individual work schedules. Staffing needs and operational demands may necessitate variations in starting and ending times, as well as variations in the total hours that may be scheduled each day and week.

504 USES OF TELEPHONES

Personal use of telephones for outgoing calls, including local calls, is not permitted. Employees may be required to reimburse KINNEY for any charges resulting from their personal use of the telephone. Personal use of email or instant messaging is not permitted.

To ensure effective telephone communications, employees should always use the approved greeting and speak in a courteous and professional manner. Please confirm information received from the caller, and hang up only after the caller has done so.

505 SMOKING

In keeping with KINNEY's intent to provide a safe and healthful work environment, and New York State law, smoking is prohibited throughout the workplace.

 

507 OVERTIME

When operating requirements or other needs cannot be met during regular working hours, employees may be scheduled to work overtime hours. When possible, advance notification of these mandatory assignments will be provided. All overtime work must receive the supervisor's prior authorization. Overtime assignments will be distributed as equitably as practical to all employees qualified to perform the required work.

Overtime compensation is paid to all nonexempt employees in accordance with federal and state wage and hour restrictions. Overtime pay is based on actual hours worked. Time off on sick leave, vacation leave, or any leave of absence will not be considered hours worked for purposes of performing overtime calculations.

Overtime wages will not be paid to any regular full time employee.

512 BUSINESS TRAVEL EXPENSES

KINNEY's General Policy is to reimburse all personnel for reasonable actual expenses incurred on company business based on a full accounting for those expenses by the individual. The per diem allowance for meals for staff members and the mileage allowance are exceptions to this policy, but the allowances are set at levels, which should approximate reasonable actual cost.

513 TRAVEL ARRANGEMENTS

 

AIR TRAVEL

i.e., Los Angeles / Long Beach, JFK / LaGuardia / Newark, O'Hare / Midway, etc.

Frequent Traveler programs - Mileage awards earned in frequent flyer programs may be retained by the individual for personal use. Under no circumstances should any individual turn down a lower fare on another carrier to increase their mileage in any specific frequent flyer program.

Transfers - When traveling to and from air/rail terminals, you should use public transportation (bus, taxi or hotel shuttle), car service or private automobile, whichever is most economical. You will be reimbursed for mileage, tolls and parking (long term for extended trips) when you use your private automobile.

LODGING

Lodging – The lowest price for reasonable stays are the responsibility of the traveler. All rooms should be guaranteed for later arrival. Travelers must cancel guaranteed room reservations prior to 6 pm on the day of arrival to avoid a no show charge.

MEALS

Overnight Stays - All staff may charge up to the following maximum amounts, including gratuities without receipts: Breakfast $ 5.00

Lunch $ 7.00

Dinner $20.00

Total Daily $32.00

Day Trips - All staff may charge up to the following maximum amount including gratuities without receipt, if showing 11 hours - $20.00 daily subsistence. If showing less than 11 hours, you are reimbursed for lunch only at $7.00.

 

CAR RENTALS & OTHER TRANSPORTATION

Your supervisor, prior to rental, must approve all car rentals. Car rentals should be made at the lowest rates available.

All optional insurance should be declined or considered a personal expense. In most cases, an intermediate sized car should be sufficient when traveling on company business. Your supervisor prior to rental should approve any larger car rentals. Prior to returning the rental car, you should attempt to refuel it as car rental vendors routinely charge as much as double the average gas cost.

Employees who are involved in an accident while traveling on business must promptly report the incident to their immediate supervisor. Vehicles owned, leased, or rented by KINNEY may not be used for personal use without prior approval.

With prior approval, a family member or friend may accompany employees on business travel, when the presence of a companion will not interfere with successful completion of business objectives. Generally, employees are also permitted to combine personal travel with business travel, as long as time away from work is approved. Additional expenses arising from such non-business travel are the responsibility of the employee.

Abuse of this business travel expenses policy, including falsifying expense reports to reflect costs not incurred by the employee, can be grounds for disciplinary action, up to and including termination of employment and possible prosecution.

514 EXPENSE POLICIES

Air Travel - When traveling with client assignments, the air travel policy of the client should be followed. When traveling on Company business not related to a client engagement, or when traveling without client personnel on client assignments, the lowest coach or economy fare available at the desired travel time will be obtained.

Where discount fares are available only with penalties for cancellation or charge, the probability of canceling or changing should be compared with the amount of the discount and the size of the penalty

All airline tickets should be purchased with your corporate credit card.

Auto Mileage Allowance - Our auto mileage allowance is intended to reimburse staff for the use of their privately owned automobile on company business. It is intended to cover gas, oil, maintenance, depreciation, etc. The mileage rate will be based on the current IRS rate.

Company car must be used whenever possible.

All mileage charges if using own car must be explained showing the town and miles used in the computation. The expenses charged will not be paid until this information is provided.

Auto Rental - Normally, staff personnel will not use rental cars. However, in situations where public transportation is very inconvenient and costly in time, a rental car may be appropriate. Prior approval for car rentals should be obtained from your supervisor.

Taxi, Limousine - When a taxi or a limousine is more economical then using your own car or a rent-a-car and other public transportation is not available, you will be reimbursed for such and expense.

Telephone - Actual charges for telephone expense incurred from home will be allowed when incurred for business purposes. Telephone company bills with business calls identified must be submitted with appropriate receipts attached.

Equipment / Installment cost for cellular phones will not be reimbursed.

Hotel bill with telephone charges for business may be reported on the Travel and Subsistence report Form III

Business Phones / Faxes / Car Phones - All allowable expenses reported onto Business Expense Form 107. Cost of actual call plus appropriated taxes charged to Project Code. Monthly service fee charged to 901, General and Administrative.

Home Phone - The actual cost of business call plus appropriated taxes.

Tips - Normal and necessary gratuities, other than meals, are to be listed on the expense report.

Tips relating to meals are not listed separately on the expense report; an allowance for gratuities has been included in the standard subsistence rates.

Tolls, Parking Fees - Tolls and Parking Fees (when a client does not provide parking) are reimbursable to you when used for a business purpose.

Trade Associations & Other Professional Societies Membership dues and fees must be approved in advance by the manager in charge of the job.

Actual meal cost incurred in attending meetings will be reimbursed.

515 CHARGING EXPENSES TO CLIENTS

It is the policy of KINNEY & Associates to charge, whenever possible, to charge clients all expenses in connection with client engagements. Chargeable expenses include:

Travel and subsistence (including supper money and week-end expenses)

Mail, messenger and express delivery

Identifiable telephone charges

Identifiable and special purchase office supplies, stationery and publications

Fees for sub-contractors or other professionals

Other expenses incurred in connection with the engagement business lunches and client entertainment.

This does not apply to monthly fee contracts. In these instances we expect all additional expenses to be held to the minimum.

 

516 EXPENSES INCURRENCE AND REPORTING

Expenses are processed through the "Quick Expense" system or by direct voucher submission through the "Quick Expense" system

517 TRAVEL & SUBSISTENCE EXPENSE

Report by date and category, all travel and subsistence expenses you have incurred and should be reimbursed for including:

An expense for out-of-town meals for anyone other than you is a business meal.

Hotel bills must be expensed by category, i.e., hotel room plus taxes separately from telephone, parking and transfers.

Incidental allowances cover laundry and personal telephone calls should not be expensed in excess of the $5.00 allowance.

Movies (one movie per night) not included in incidentals. You will be reimbursed for total charge with, original receipt submitted with Travel and Subsistence report.

 

518 BUSINESS EXPENSES

Report other business expenses you have incurred and should be reimbursed for including:

For each expenditure, indicate the date, location, business purpose and who was in attendance or other appropriate explanations.

Attach to the report an original receipt for each item in excess of IRS Ruling.

For business expenses chargeable to clients, enter the date, the amount of the expense, and the name of the vendor and a description of the expense.

519 RECEIPTS

Original receipts are required for any expense over $25.00 (except for telephone calls and actual meals which require receipts for any amount).

Receipts are not required for out-of-town meals if you are claiming daily subsistence allowances. An expense for an out-of- town meal for anyone other than yourself is considered a business meal.

Credit card slip must be submitted for meal/entertainment expenses of $25.00 or more.

If you have lost an original receipt you may submit an original credit card charge or statement with a written explanation

Original passenger receipts (no itineraries) must be submitted for airfare expenses.

Any invoice submitted as a receipt, must include proof of payment- a receipt.

Original hotel bills and your credit card slip must be submitted for lodging expenses. Hotel bill mush show balanced zeroed out. Be careful of "express checkouts;" balance is many times not zeroed out.

Original or copy of you home phone bill or car phone bill (not just summary page) must be submitted for phone expenses incurred at home or with your credit card.

521 REQUIRED DOCUMENTATION

KINNEY

Required Documentation

To Accompany Expense Report

  1. Air - original passenger coupon
  2. Hotel - original folio plus proof of payment
  3. Car - original rental agreement
  4. Meals & Entertainment - original card member charge/credit card receipt for all charges for $25.00 or more
  5. Meals (excluding daily subsistence) - original receipts for actual meal expense
  6. All other receipts - any expense of $25.00 or more

 

IRS REQUIREMENTS

The following information is required by the IRS and should be recorded on the appropriate expense report:

  1. A receipt for any expense of $25.00 or more
  2. Name of individuals entertained, their titles and company name
  3. The name and location of the establishment where the meal or event took place
  4. The exact amount and date of expense
  5. In the case of entertainment events, the specific time the business discussion took place (i.e., before, during, or after the event)

601 MEDICAL LEAVE

KINNEY provides medical leaves of absence without pay to eligible employees who are temporarily unable to work due to a serious health condition or disability. For purposes of this policy, serious health conditions or disabilities include inpatient care in a hospital, hospice, or residential medical care facility; continuing treatment by a health care provider; and temporary disabilities associated with pregnancy, childbirth, and related medical conditions.

Employees in the following employment classifications are eligible to request medical leave as described in this policy:

Regular full-time employees

Eligible employees may request medical leave only after having completed 365 calendar days of service. Exceptions to the service requirement will be considered to accommodate disabilities.

Eligible employees should make requests for medical leave to their supervisors at least 30 days in advance of foreseeable events and as soon as possible for unforeseeable events.

A health care provider's statement must be submitted verifying the need for medical leave and its beginning and expected ending dates. Any changes in this information should be promptly reported to KINNEY. Employees returning from medical leave must submit a health care provider's verification of their fitness to return to work.

Eligible employees are normally granted leave for the period of the disability, up to a maximum of 12 weeks within any 12-month period. Any combination of medical leave and family leave may not exceed this maximum limit. If the initial period of approved absence proves insufficient, consideration will be given to a request for an extension. Employees will be required to first use any accrued paid leave time before taking unpaid medical leave.

Employees who sustain work-related injuries are eligible for a medical leave of absence for the period of disability in accordance with all applicable laws covering occupational disabilities.

Subject to the terms, conditions, and limitations of the applicable plans, health insurance benefits will be provided by KINNEY until the end of the month in which the medical leave begins. At that time, employees will become responsible for the full costs of these benefits if they wish coverage to continue. When the employee returns from medical leave, benefits will again be provided by KINNEY according to the applicable plans.

Benefit accruals, such as vacation or holiday benefits, will be suspended during the leave and will resume upon return to active employment.

So that an employee's return to work can be properly scheduled, an employee on medical leave is requested to provide KINNEY with at least two weeks advance notice of the date the employee intends to return to work. When a medical leave ends, the employee will be reinstated to the same position, if it is available, or to an equivalent position for which the employee is qualified.

If an employee fails to report to work promptly at the end of the medical leave, KINNEY will assume that the employee has resigned.

602 FAMILY LEAVE

KINNEY provides family leaves of absence without pay to eligible employees who wish to take time off from work duties to fulfill family obligations relating directly to childbirth, adoption, or placement of a foster child; or to care for a child, spouse, or parent with a serious health condition. A serious health condition means an illness, injury, impairment, or physical or mental condition that involves inpatient care in a hospital, hospice, or residential medical care facility; or continuing treatment by a health care provider.

Employees in the following employment classifications are eligible to request family leave as described in this policy:

Regular full-time employees

Eligible employees may request family leave only after having completed 365 calendar days of service. Eligible employees should make requests for family leave to their supervisors at least 30 days in advance of foreseeable events and as soon as possible for unforeseeable events.

Employees requesting family leave related to the serious health condition of a child, spouse, or parent may be required to submit a health care provider's statement verifying the need for a family leave to provide care, its beginning and expected ending dates, and the estimated time required.

Eligible employees may request up to a maximum of 12 weeks of family leave within any 12-month period. Any combination of family leave and medical leave may not exceed this maximum limit. If this initial period of absence proves insufficient, consideration will be given to a written request for a single extension of no more than 30 calendar days. Employees will be required to first use any accrued paid leave time before taking unpaid family leave. Married employee couples may be restricted to a combined total of 12 weeks leave within any 12-month period for childbirth, adoption, or placement of a foster child or to care for a parent with a serious health condition.

Subject to the terms, conditions, and limitations of the applicable plans, health insurance benefits will be provided by KINNEY until the end of the month in which the approved family leave begins. At that time, employees will become responsible for the full costs of these benefits if they wish coverage to continue. When the employee returns from family leave, benefits will again be provided by KINNEY according to the applicable plans.

Benefit accruals, such as vacation or holiday benefits, will be suspended during the leave and will resume upon return to active employment.

So that an employee's return to work can be properly scheduled, an employee on family leave is requested to provide KINNEY with at least two weeks advance notice of the date the employee intends to return to work. When a family leave ends, the employee will be reinstated to the same position, if it is available, or to an equivalent position for which the employee is qualified.

If an employee fails to report to work promptly at the end of the approved leave period, KINNEY will assume that the employee has resigned.

603 PERSONAL LEAVE

KINNEY provides leaves of absence without pay to eligible employees who wish to take time off from work duties to fulfill personal obligations. Employees in the following employment classification(s) are eligible to request personal leave as described in this policy:

Regular full-time employees

As soon as eligible employees become aware of the need for a personal leave of absence, they should request a leave from their supervisor.

Personal leave may be granted for a period of up to five calendar days. With the supervisor's approval, an employee may take any available vacation leave as part of the approved period of leave.

Requests for personal leave will be evaluated based on a number of factors, including anticipated workload requirements and staffing considerations during the proposed period of absence.

Subject to the terms, conditions, and limitations of the applicable plans, KINNEY will continue to provide health insurance benefits for the full period of the approved personal leave.

Vacation and holiday benefits will continue to accrue during the approved personal leave period.

When a personal leave ends, every reasonable effort will be made to return the employee to the same position, if it is available, or to a similar available position for which the employee is qualified. However, KINNEY cannot guarantee reinstatement in all cases.

If an employee fails to report to work promptly at the expiration of the approved leave period, KINNEY will assume the employee has resigned.

605 MILITARY LEAVE

A military leave of absence will be granted to employees, except those occupying temporary positions, to attend scheduled drills or training or if called to active duty with the U.S. armed services.

The leave will be unpaid. However, employees may use any available paid time off for the absence.

Subject to the terms, conditions and limitations of the applicable plans for which the employee is otherwise eligible, health insurance benefits will be provided by KINNEY for the full term of the military leave of absence with the employee being the full cost.

Vacation and holiday benefits will not continue to accrue during a military leave of absence.

Employees on two-week active duty training assignments or inactive duty training drills are required to return to work for the first regularly scheduled shift after the end of training, allowing reasonable travel time. Employees on longer military leave must apply for reinstatement in accordance with all applicable state and federal laws.

Every reasonable effort will be made to return eligible employees to their previous position or a comparable one. They will be treated as though they were continuously employed for purposes of determining benefits based on length of service, such as the rate of vacation accrual and job seniority rights.

607 PREGNANCY-RELATED ABSENCES

KINNEY will not discriminate against any employee who requests an excused absence for medical disabilities associated with pregnancy. Such leave requests will be evaluated according to the medical leave policy provisions outlined in this handbook and all applicable federal and state laws.

Requests for time off associated with pregnancy and/or childbirth, such as bonding and child care, not related to medical disabilities for those conditions will be considered in the same manner as other requests for unpaid family or personal leave.

607A MATERNITY LEAVE

It is our policy to provide maternity leave for our employees. Maximum maternity leave will consist of six (6) weeks. Maternity leave will begin on the date the employee’s Doctor feels she can no longer work and will end six (6) weeks from that date.

The employee’s salary during the 6-week maternity leave is paid by Disability. KINNEY does not pay the additional money for salary.

KINNEY will continue to pay 50% of family medical insurance during the six (6) week maternity leave. The employee is responsible for paying the remaining 50% since there is no payroll deduction during the leave.

If an employee on maternity leave does not plan on returning to her job at the end of six (6) weeks, it is necessary for written notice to be given at least 2 weeks before the leave has ended.

 

 

 

701 EMPLOYEE CONDUCT AND WORK RULES

To ensure orderly operations and provide the best possible work environment, KINNEY expects employees to follow rules of conduct that will protect the interests and safety of all employees and the organization.

It is not possible to list all the forms of behavior that are considered unacceptable in the workplace. The following are examples of infractions of rules of conduct that may result in disciplinary action, up to and including termination of employment:

Employment with KINNEY is at the mutual consent of KINNEY and the employee, and either party may terminate that relationship at any time, with or without cause, and with or without advance notice.

702 DRUGS AND ALCOHOL USE

It is KINNEY's desire to provide a drug-free, healthful, and safe workplace. To promote this goal, employees are required to report to work in appropriate mental and physical condition to perform their jobs in a satisfactory manner.

While on KINNEY premises and while conducting business-related activities off KINNEY premises, no employee may use, possess, distribute, sell, or be under the influence of alcohol or illegal drugs. The legal use of prescribed drugs is permitted on the job only if it does not impair an employee's ability to perform the essential functions of the job effectively and in a safe manner that does not endanger other individuals in the workplace.

Violations of this policy may lead to disciplinary action, up to and including immediate termination of employment, and/or required participation in a substance abuse rehabilitation or treatment program. Such violations may also have legal consequences.

Employees with drug or alcohol problems that have not resulted in, and are not the immediate subject of, disciplinary action may request approval to take unpaid time off to participate in a rehabilitation or treatment program. Leave may be granted if the employee agrees to abstain from use of the problem substance; abides by all KINNEY policies, rules, and prohibitions relating to conduct in the workplace; and if granting the leave will not cause KINNEY any undue hardship.

Under the Drug-Free Workplace Act, an employee who performs work for a government contract or grant must notify KINNEY of a criminal conviction for drug-related activity occurring in the workplace. The report must be made within five days of the conviction.

Employees with questions on this policy or issues related to drug or alcohol use in the workplace should raise their concerns with their supervisor or the President without fear of reprisal.

703 SEXUAL AND OTHER UNLAWFUL HARASSMENT

KINNEY is committed to providing a work environment that is free of discrimination and unlawful harassment. Actions, words, jokes, or comments based on an individual's sex, race, ethnicity, age, religion, or any other legally protected characteristic will not be tolerated. As an example, sexual harassment (both overt and subtle) is a form of employee misconduct that is demeaning to another person, undermines the integrity of the employment relationship, and is strictly prohibited.

Any employee who wants to report an incident of sexual or other unlawful harassment should promptly report the matter to Diane Kinney, Joe Kinney, or Sandy Steinhardt. Employees can raise concerns and make reports without fear of reprisal.

Anyone engaging in sexual or other unlawful harassment will be subject to disciplinary action, up to and including termination of employment.

704 ATTENDANCE AND PUNCTUALITY

To maintain a safe and productive work environment, KINNEY expects employees to be reliable and to be punctual in reporting for scheduled work. Absenteeism and tardiness place a burden on other employees and on KINNEY. In the rare instances when employees cannot avoid being late to work or are unable to work as scheduled, they should notify their supervisor as soon as possible in advance of the anticipated tardiness or absence.

Poor attendance and excessive tardiness are disruptive. Either may lead to disciplinary action, up to and including termination of employment.

 

 

705 PERSONAL APPEARANCE

Dress, grooming, and personal cleanliness standards contribute to the morale of all employees and affect the business image KINNEY presents to clients and visitors.

During business hours, employees are expected to present a clean and neat appearance and to dress according to the requirements of their positions.

During a client visit employees are expected to dress appropriately in business dress.

Consult your supervisor or department head if you have questions as to what constitutes appropriate attire.

706 RETURN OF PROPERTY

Employees are responsible for all property, materials, or written information issued to them or in their possession or control. Employees must return all KINNEY property immediately upon request or upon termination of employment. Where permitted by applicable laws, KINNEY may withhold from the employee's check or final paycheck the cost of any items that are not returned when required. KINNEY may also take all action deemed appropriate to recover or protect its property.

708 RESIGNATION

Resignation is a voluntary act initiated by the employee to terminate employment with KINNEY. Although advance notice is not required, KINNEY requests at least two weeks' written resignation notice from all employees.

Prior to an employee's departure, an exit interview will be scheduled to discuss the reasons for resignation and the effect of the resignation on benefits.

800 LIFE-THREATENING ILLNESSES IN THE WORKPLACE

Employees with life-threatening illnesses, such as cancer, heart disease, and AIDS, often wish to continue their normal pursuits, including work, to the extent allowed by their condition. KINNEY supports these endeavors as long as employees are able to meet acceptable performance standards. As in the case of other disabilities, KINNEY will make reasonable accommodations in accordance with all legal requirements, to allow qualified employees with life-threatening illnesses to perform the essential functions of their jobs.

Medical information on individual employees is treated confidentially. KINNEY will take reasonable precautions to protect such information from inappropriate disclosure. Managers and other employees have a responsibility to respect and maintain the confidentiality of employee medical information. Anyone inappropriately disclosing such information is subject to disciplinary action, up to and including termination of employment. It may also be subject to legal actions under the HIPAA.

900 Health care Fraud Compliance Plan - Medicaid Compliance Plan

KINNEY & Associates, Inc. KINNEY Management Services, LLC

 

Title: Duty to Report Wrongdoing; Whistleblower Protection

Purpose: To advise employees, contractors, and volunteers when and how to report wrong doing and of their protection against reprisal or retaliation for reporting.

Policy: Any person who has knowledge of or, in good faith, suspects any wrongdoing in the documenting, coding, or billing for services, equipment, or supplies, in either our practices or those of our clients, or violation of the Standards of Conduct should report it internally so that an investigation can be conducted and appropriate action taken. Retaliation or reprisal against anyone for such a report is strictly prohibited.

Definitions:

Wrongdoing: In addition to a violation of Federal or state law, wrongdoing includes violation and the impermissible billing practices such as:

Implementation:

1. Anyone who becomes aware of or in good faith suspects wrongdoing by another employee, a board member, a client, a vendor, a contractor, or any other person should report it to their supervisor as well as Joe (Compliance Officer or Diane KINNEY or Sandra Steinhardt.

2. The individual making the report may do so by reporting the concern in writing or by using any anonymous method such as leaving a note on one of the above person desk, etc. Anyone making an anonymous report must realize that the Compliance Officer will not be able to ask additional questions of the person reporting nor advise the person of the outcome.

We will attempt to maintain the confidentiality of the person reporting the concern.

3. Self-reporting is also encouraged. Anyone who self-reports wrongdoing or a

violation of law will be given due consideration in mitigation of any disciplinary

action that may be taken.

4. Upon a report of wrongdoing, the Compliance Officer will then conduct an

investigation into the allegations to determine the nature, scope, and duration of

wrongdoing, if any, and shall follow the steps set to remedy the situation. These steps are likely to include contacting appropriate state or federal officials when the allegation is confirmed.

6. Retaliation or reprisal in any form against anyone who makes a report of

wrongdoing, cooperates in an investigation, or participates in the compliance

program is strictly prohibited. If an employee or a contractor believes that an

adverse action in the form of reprisal or retaliation has been taken against him or her as the result of making a report or cooperating in an investigation pursuant to this or any other compliance policy, he or she should report it to the Compliance

Officer immediately.

7. The Compliance Officer shall maintain a confidential log in a secure place of all reports of compliance concerns and shall update management as often as necessary.

8. Anyone who makes a report of wrongdoing maliciously, frivolously, or in bad faith will be subject to disciplinary action up to and including termination.

9. We seeks to investigate all nonfrivolous claims of wrongdoing internally

so that corrective action can be instituted. KINNEY encourages the reporting so that appropriate corrective action can be instituted. However, any person who discovers wrongdoing that is a false claim or statement may report that information to the Department of Justice or the U.S. Attorney by filing a complaint under seal in the court pursuant to the False Claims Act (described in the Appendix). They may also report to the appropriate state’s Medicaid Fraud Control Unit, Medicaid Inspector General, local prosecutors and other law enforcement authorities. If assistance is needed in identifying the appropriate official please contact one of the individuals identifies above.

Appendix 1

Billing and Coding Standards; Liability for False Claims Policy

Title: Billing and Coding Standards; Liability for False Claims

Purpose: To set forth the standards that are applicable to reimbursement for medical services, supplies and equipment in order to comply with KINNEY’s Standards of Conduct and Federal and state law.

Policy: Each employee, contractor, or vendor involved with providing or obtaining reimbursement for medical services, supplies, or equipment from or on behalf of our clients is responsible for submitting honest and accurate bills to Medicaid, Medicare, and other Federal and state health care programs. In addition to complying with KINNEY's Standards of Conduct, all employees, contractors, and vendors are expected to comply with Federal and state laws and administrative remedies designed to prevent fraud, abuse, and waste in Federal and state health care programs.

Implementation:

  1. Medically Necessary Services
  1. Completeness and Accuracy in Medical Records and Billing
  1. Impermissible Billing Practices

The following practices are not permitted:

  • Billing for services that were not performed at all or not performed as described,
  • Submitting claims for medical equipment, supplies, or services that were not necessary,
  • Double billing,
  • Upcoding or assigning a code that secures a higher reimbursement, rather than the code that matches the services performed,
  • Unbundling or billing the parts of a global fee separately,
  • Knowingly misusing provider numbers,
  • Failing to use coding modifiers accurately or appropriately,
  • Preparing or submitting false cost reports,
  • Billing for services performed by an unlicensed provider or one who has been excluded from a Federal health care program,
  1. Compliance with Federal Law
  1. Government Reporting

 

  • All reports required to be submitted to state or Federal health care programs must be truthful and accurate. No member, manager, officer, or employee shall attest to the accuracy of a submitted report unless he or she has been able to satisfy himself or herself that the data submitted or the representations made are truthful and accurate.
  • If it is determined that a clients has been overpaid by a government program or third party payer KINNEY will promptly adjust the payment in the future billing to the proper party. If our contractual relationship with client has ended we will notify the former client of their need to return the over payment.
  • All cost report data, schedules and worksheets must be truthful, accurate, and complete.
  • No employee or contractor will attempt to improperly influence the actions or decisions made by government bodies, officials, employees, or contractors.
  • KINNEY will cooperate and be truthful in responding to government inquiries, requests, and investigations, including audits, surveys, and certifications reviews.

APPENDIX 2

FEDERAL AND STATE LAWS

Civil False Claims Act (31 U.S.C. ' 3729 et seq.):

The False Claims Act is a statute that imposes civil liability (between $5,500 and $11,000 a claim and three times the total damages) on any person or entity who;

Bringing an Action under the False Claims Act:

A private person can bring an action under the False Claims Act in the name of the United States.

 

 

Civil Monetary Penalties:

These statutes provide administrative remedies and penalties against

those who submit false claims or make false statements to Federal agencies.

 

Subject: Responding to Detected Offenses and Developing Appropriate Corrective Action

Issued By: Kinney Management Services, LLC and Kinney & Associates, Inc.

 

Prepared By: Joseph Kinney - Compliance Officer

Approved By: Sandra Steinhardt,  Diane Kinney, Joseph Kinney ( Colorado), Scott Steinhardt

Effective Date: January 1, 2007 last update November, 2009

Purpose: To outline our response to a report regarding a compliance concern.

Policy: The purpose of this policy is to set forth the procedures used to respond to information received by the Compliance Officer that a Board member, member officer, employee, consultant or vendor is engaging in activity that may be contrary to applicable Federal or State law or the requirements KINNEY’s compliance program.

Implementation:

  1. Investigation - Purpose of Investigation.

The purpose of an investigation is to:

    • identify situations in which applicable Federal or State laws, including the laws, regulations and standards of the Medicare and Medicaid programs, or the requirements of our compliance program may not have been followed,
    • to identify individuals or clients who may have knowingly or inadvertently violated the law or compliance program requirements,
    • to facilitate the correction of any violations or misconduct,
    • to implement procedures necessary to ensure future compliance,
    • To protect our clients, and KINNEY, in the event of civil or criminal enforcement actions.
  1. Control of Investigations.

    All reports of alleged non-compliance must be forwarded to the Compliance Officer. Serious or otherwise sensitive matters for investigations should be conducted under the direction of our Compliance Officer. If the involvement of legal counsel is warranted, the Compliance Officer is responsible for determining the extent of their involvement. Regardless the Compliance Officer will (1) initiate an investigation of the conduct in question, (2) report findings to the executives, and (3) recommend the appropriate actions to be taken by the KINNEY. At all times relevant to the investigation, anyone assisting in the investigation, will function under the direction and control of the Compliance Officer.

  2. Investigative Process.

Upon receipt of information concerning alleged misconduct, the Compliance Officer/Contact will, at a minimum, take the following actions:

    1. Interviews of all persons who may have knowledge of the alleged conduct and a review of the applicable laws, regulations and standards to determine whether or not a violation has occurred.
    2. Identification and review of relevant documentation, including, where applicable, representative bills or claims submitted to the Medicare/Medicaid programs, to determine the specific nature and scope of the violation and its frequency, duration and potential financial magnitude.
    3. Interviews of persons who appeared to play a role in the suspected activity or conduct. The purpose of the interviews is to determine the facts surround the conduct, and may include, but shall not be limited to:
    1. The person’s understanding of the applicable laws,rules and standards;
    2. Identification of relevant supervisors or managers;
    3. Training that the person received;
    4. The extent to which the person may have acted knowingly or with reckless disregard or intentional indifference of applicable laws;
    5. Preparation of a summary report that (1) defines the nature of the alleged misconduct, (2) summarizes the investigation process, (3) identifies any person who is believed to have acted deliberately or with reckless disregard or intentional indifference of applicable laws, (4) assesses the nature and extent of potential civil or criminal liability, and (5) where applicable, estimates the extent of any resulting overpayment by the government.
    1. For all investigations ensure that significant developments are promptly reported to the Compliance Officer.
    2. Ensure that the investigation is completed in a reasonable and timely fashion and that the appropriate disciplinary or corrective action is taken, if warranted.
  1. Organizational Response.

Non-Compliance/Suspected Criminal Activity.

This policy and procedure shall be periodically reviewed and updated consistent with the requirements and standards established by the management, Federal and State law and regulations, and review organizations.

Last Update:.

05/20/2010