Council of the Southern Mountains

 

COUNCIL OF THE SOUTHERN MOUNTAINS
CODE OF CONDUCT FOR STAFF, BOARD OF DIRECTORS AND VOLUNTEERS
Section 100
Date of Issue: May 13, 2008
Revision Date:
OUR GOALS
• Provide consumers with the services they want and need.
• Provide our employees with opportunities for professional growth and recognition.
• Set a standard of conduct which reflects positively on the organization.
• Protect the agency against financial loss in order to maintain our community mission.
• Preserve a climate of trust with our consumers.
OUR VALUES
• Comply strictly with all laws and regulations.
• Strive to uphold the highest ethical standards.
• Provide prompt, courteous and helpful consumer service.
• Continue to enjoy the trust of our consumers and communities.
• Improve on what we do each day.
BOARD OF DIRECTORS VALUE STATEMENT
• The agency's directors and employees shall endeavor to act in the best interest of the organization, its staff, volunteers, consumers and all stakeholders.
Introduction

The Council of the Southern Mountains is committed to the highest standards of ethical conduct in the fulfillment of our Goals and Values. Our reputation for integrity and honesty must be preserved and strengthened as we grow into new programs and services. Our reputation is a one of a positive organization that provides meaningful services in a nondiscriminatory, effective manner to all those that seek our help.
This Code of Conduct ("Code") provides guidance on how you, as an officer or employee, uphold these ethical standards.
In this Code we:
• Establish general rules for acceptable conduct.
• Define and prohibit conflicts of interest.
• Provide for a system of compliance.
The Code consists of an outline of policies regarding conduct. It also consists of specific information and guidance that is provided in agency-wide policies and procedures to which you agree as a requirement of your employment with the Council. You are responsible for reviewing the Code and all agency policies applicable to you and for acting in compliance with the Code in your daily activities.
The Code is not comprehensive. It provides guidance for carrying out your responsibilities on behalf of the agency and observing the highest standards of ethical conduct. The Code does not address every possible situation that may arise and you are responsible for exercising good judgment, applying ethical principles, and raising questions when in doubt.
General Corporate and Personal Standards of Conduct

As a corporate entity and as individual employees we have a responsibility to act in a manner in which we earn the public's trust and confidence. Our conduct is guided by our values, which are to:
• Comply strictly with all laws and regulations.
• Strive to uphold the highest ethical standards.
• Provide prompt, courteous and helpful consumer service.
• Continue to enjoy the trust of our consumers and communities.
• Improve on what we do each day.
Corporate Conduct

The following general principles guide our corporate conduct:
• We will act in accordance with applicable laws and regulations and will not tolerate behavior that is otherwise.
• We will make public disclosures as required by law and regulation and as deemed appropriate to enable reasonable evaluation of the Company.
• We will provide services designed to help consumers achieve their life goals.
• We will conduct business in a fair, ethical manner with our consumer outcomes considered foremost.
• We will provide employment and advancement opportunities to attract and retain diverse employees.
• We will support the communities in which we operate.
Individual Conduct

The following general principles guide your individual conduct:
• You will not take any action that will violate any applicable law or regulation.
• You will adhere to the highest standards of ethical conduct.
• You will maintain the confidentiality of all information you obtain in the course of your employment.
• You will raise issues which you reasonably believe may place the agency at risk, and report any behavior you reasonably believe is wrong.
• You will not abuse or take the agency's assets or use them for your personal gain.
• You will not engage in any activities that create a conflict of interest between you and the agency.
• You will deal fairly with consumers, fellow employees and others with whom the agency has relations.
• You may not conduct any internal business in which you or an immediate family member has a personal financial interest.
• You will comply with this Code.
REPORTING OF ILLEGAL OR UNETHICAL BEHAVIOR

Violations, or suspected violations, of law or unethical behavior must be reported to the Executive Director, who will conduct a confidential investigation and report the results to the Audit Committee/Finance Committee of the Board of Directors. Disciplinary action based on the result of that investigation will be decided promptly by the Executive Director. In the event the behavior involves the Executive Director, the report may be made to the President of the Board of Directors or Chairperson of the Audit/Finance Committee, the Board Treasurer.
ACCOUNTING COMPLAINTS

The agency's policy is to comply with all financial and accounting regulations applicable to the organization. Any concerns or complaints regarding questionable accounting, internal controls or auditing matters of the agency may be reported under our Whistleblower Policy, which provides for making anonymous complaints and prohibits recriminations against individuals on the basis of such complaints.
NO RETALIATION

The agency will not permit retaliation of any kind by or on behalf of the organization and its employees, officers and directors against good faith reports or complaints or violations of this Code or other illegal or unethical conduct.
CONFIDENTIAL INFORMATION/INFORMATION SECURITY
1. Confidential information of the agency, its consumers and suppliers acquired by you is to be used solely for agency purposes. In no case shall such information be communicated to persons outside the agency, or even to others within the organization who do not need to know such information to discharge their official duties.
2. The discussion of confidential Employee information obtained by you in the performance of Company-related activities are improper, except as it relates to the performance of agency duties.
3. Financial information regarding the agency shall not be released unless it has been published in reports to the public or otherwise made generally available to the public in accordance with applicable disclosure regulations. This information is public information, however, the data must be accurate and approved for release by the Board before any staff person takes it as a personal responsibility to release.
4. If you are served with process from a court that requires the you to disclose confidential information concerning the agency, you should notify the Executive Director, who shall arrange to seek the advice of legal counsel through the organization and advise you as to the appropriate course of action.
5. Any questions regarding the disclosure of confidential information should be reviewed with the Executive Director.
6. The agency’s E-Mail system and Internet access are business property and are not to be used in a manner that violates this Policy. The agency reserves the right to enter, search and monitor the E-Mail or computer files of any employee, without advance notice, for business purposes, including but not limited to investigation of theft, misappropriation of funds, disclosure of confidential business or proprietary information, personal abuse of the system, or for monitoring work flow or productivity.
7. Employees who utilize the agency's computers and facsimile machines are responsible for adhering to all policies, standards, and procedures to ensure that all data and business information are secure. To this end, all employees must adhere to the agency’s Confidentiality and Release of Information Policy.
8. The privacy and confidentiality of consumer information is of critical importance to the agency, from both legal and operational perspectives. Employees must adhere to any Privacy Policy of the agency as it may exist from time to time.
ACTIVITIES AND CONFLICTS OF INTEREST AFFECTING THE COMPANY

A conflict of interest exists when your personal interests interfere or appear to interfere with the agency's operating practices. Because it is impossible to list all of the possible circumstances that could create a conflict of interest, you must use good judgment in managing your personal and business affairs so as to avoid situations that might lead to a conflict between self-interest and duty to the agency. All staff and Board members must comply with the agency Conflict of Interest Policy on an annual basis or when a conflict, potential or even perceptual conflict develops.
OUTSIDE ACTIVITIES
1. Outside Activity
It is the policy of the agency that no Employee is to have an outside interest or activity (employment, consulting or volunteer) which will:
a. materially encroach on the time or attention which should be devoted to agency duties;
b. adversely affect the quality of work performed;
c. compete with the agency's activities;
d. involve any use of the agency's equipment, supplies or facilities unless prior approval is received from the Executive Director which may involve reimbursement at fair market values;
e. potentially have an adverse effect on the reputation of the agency.
2. Expert Witness Appearances
Employees may be asked to appear as expert witnesses in legal proceedings due to their expertise. No fee may be accepted if the controversy involves or relates to the agency. Expert witness appearances in other matters are considered outside activities subject to the Financial Interest or Outside Activity rules described above. In addition, because of the potential for conflict with agency matters, all expert witness engagements must be pre-cleared in writing with the Executive Director.
3. Accepting Gifts
The acceptance of gifts from consumers or suppliers of the Company may give rise to serious questions of ethics and, at certain levels, is illegal. The following activities are, therefore, prohibited: (a) Soliciting for themselves or a third party (other than the agency itself) anything of value from anyone in return for any business, service or confidential information of the agency; and (b) Accepting anything of value (other than bona fide salary, wages and fees) from anyone in connection with the services of the agency, either before or after a transaction is discussed or completed.
The agency realizes, however, and the law allows that a "reasonable" standard of conduct permits you to receive the normal amenities such special occasion gifts. Acceptance is also permissible where it is based on a family or personal relationship existing independent of the agency. Acceptance is also permissible where the benefit is available to the general public under the same conditions on which it is available to the Employee. Other circumstances where the acceptance of amenities by an Employee may be permissible include: (a) Acceptance of advertising or promotional material of reasonable value, such as pens, pencils, note pads, key chains, calendars and similar items; (b) Acceptance of discounts or rebates on merchandise or services that do not exceed those available to other customers; or (c) Acceptance of civic, charitable, educational, or religious organization awards for recognition of service and accomplishment.
Any gift of more than $50.00 in value must be reported to the Executive Director by email or in writing, with a full disclosure of all relevant facts and may be subject to the Executive Director's approval. If acceptance of the gift is not approved in writing, the gift must be returned or gifted to a charity with a letter explaining agency policy. A copy must be filed with the Executive Director.
BORROWING FROM CONSUMERS, BOARD MEMBERS, STAFF VOLUNTEERS OR ANY STAKEHOLDERS

You may not borrow from customers or suppliers of the agency, other than recognized lending institutions. The term "borrow" does not include a purchase from a customer or supplier resulting in an extension of credit in the normal course of its business.
POLITICAL ACTIVITIES/HATCH ACT COMPLIANCE

CSM believes it is important for every citizen to take an active interest in our political and governmental process. Employees are encouraged to keep themselves well informed concerning political issues and candidates, and to take an active interest in all such matters. In all cases, you participate in political activities as individuals and not as representatives of the agency. To avoid any interpretation of agency sponsorship or endorsement, you should not use Council stationery in mailed material or fund collections, nor should the agency be identified in any advertisement or literature. Any employee desiring to run for an elective political office or to accept an appointment to a state or local government office should discuss the matter in advance with the Executive Director to ensure no conflict with the Hatch Act and to ensure the time away from the job will not conflict with the agency's expectations relative to the Employee's performance.

It is illegal for an individual representing the Company to make a gift, in cash or in kind, of the agency's resources to any public office holder or person running for office.

Donations of agency funds or services to elected officials or candidates for office made for the purpose of financing their election or running their political offices are prohibited.

Nothing in this Policy shall in any way interfere with, or preclude, an individual from donating funds within legal bounds to a political party or candidate. No such donations shall be reimbursable in any manner by the agency.
PROTECTION AND USE OF COMPANY ASSETS

You should protect the agency's assets and ensure their efficient use. Theft, carelessness and waste have a direct impact on the ability to fulfill our grant requirements and service provision assurances. All agency assets should be used only for legitimate purposes.
AMENDMENT, MODIFICATION AND WAIVER OF THE POLICY

This Policy shall be publicly available and may be amended, modified or waived by the Board of Directors.
COMPLIANCE

You are expected to read and understand the contents of this Code and to review it regularly in order to be alert to situations which could create a violation or a conflict of interest. Any questions regarding this Code may be discussed with the Executive Director. You are also expected to become familiar and comply with other policies of the agency as they are adopted from time to time, whether referenced in this Code or not.

You are required to complete an Annual Statement of Compliance with the Code of Conduct and Conflict of Interest for Employees and Board members. A record of your completion of the Annual Statement will be kept in your Personnel File. Any Employee should promptly report any violation of this Code to the Executive Director or if it involves that individual, to the Board of Directors. Violation of this Code may result in a reprimand, demotion or dismissal, depending on the seriousness of the offense.


I have read, understand and agree to comply with this Code of Ethics/Conduct.

_____________________________________________________
Signature Date