NKFS ETHICS AND EXCELLENCE COMPLIANCE PROGRAM

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NKFS ETHICS AND EXCELLENCE COMPLIANCE
PROGRAM
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What Is aCompliance Program?

• Ethical and proper way to do business
• Encouragement for problems to be reported and
  resolved
• A process with constant monitoring
• A process which prevents, detects or deters
  unethical or illegal behavior
• In the NKF, an initiative to promote excellence
  and ethics

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Why Is a Compliance Program Essential to NKF?

• Sarbanes Oxley
• Fiduciary responsibility
• Charity regulators
• Public trust
• Media scrutiny
• Good Governance practices
• Continue NKFs history of ethical behavior

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How Comprehensive Is NKFs Compliance Program?

• Employment and labor laws
• Health laws which pertain specifically to NKF
  programs
• Federal and/or State Laws for not-for-profit
  corporations
• Pharma industry regs
• NKFs Analysis of Exposure and Compliance

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What Does NKFs Compliance Program Provide?

• Education
• Adherence to policies and procedures Prevention
  of problems
• Early detection of concerns
• Resolution of reported problems
• Annual review and revision as needed

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What Benefits Does NKF Derive From a Compliance
Program?

• Demonstrates NKFs commitment to ethical
  corporate conduct
• Identifies and prevents criminal or unethical
  conduct
• Creates a centralized source of information on
  applicable regulations
• Develops a climate that encourages employees to
  report potential problems

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Benefits

• Develops procedures that allow the prompt,
  thorough investigation of alleged misconduct
• Initiates immediate and appropriate resolution
• Reduces the NKFs exposure to potential damages,
  penalties, sanctions and loss of good will
• Fosters an environment of ethical behavior and
  excellence in all aspects of our work

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Essential Elements of NKFs Compliance Program
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Elements

• Setting Policies and Procedures
• Overseeing
• Educating
• Monitoring and Auditing
• Reporting
• Resolving
• Annually Reviewing and Revising

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Setting Policies and Procedures

• Code of Ethics
• Tailored to the NKFs culture, services and
  not-for-profit industry environment
• Adopted by Board of Directors
• Policies and Procedures
• Substantive
• Not duplicative
• Adopted by Board of Directors

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Overseeing

• Compliance Officer
• Given appropriate authority
• Direct reporting line to the Board of Directors
• Audit Committee as oversight group
• Governance Committee as oversight for Board
  activities
• Board of Directors as final voice

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Educating

• Internal communication process
• Policies disseminated to staff as adopted
• KidneyNet (intranet) section on compliance
• External communication process
• Information posted as developed to www.kidney.org
• In-service training for staff

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Monitoring and Auditing

• Auditing is an independent, objective look for
  the purpose of reporting factual results
• Monitoring is a day to day look for the purposes
  of self- reviewing and assuring processes,
  systems, etc. are on track and compliant

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Reporting

• Anonymous
• NKF whistle-blower policy
• Confidential
• Reports can be made to supervisor, Compliance
  Officer, CEO, HR Department or Audit Committee
• Hotline developed for HQ and Division staff (ext.
  600)

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Resolving

• Conduct internal investigation
• Is it really a problem?
• How serious is it?
• Are there enough facts to investigate?
• Contact appropriate counsel
• Conduct interview
• Resolve appropriately

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One Aspect of ComplianceRisk Management and
Insurance
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Comprehensive Liability Insurance

• Essential to any business
• Provided to all Affiliates as part of services of
  the National Organization
• Divisions included as part of the whole
• Requires risk management and control by every NKF
  staff person and volunteer

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Are Your Events Covered?

• Review the Insurance Liability Handbook
• www.kidney.org on Affiliate Central
• Manage our exposure
• Know the exclusions
• Obtain a Certificate of Insurance for your events
• Request a Certificate of Insurance from your
  vendors
• Report incidents

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Know Where to Get Help

• NKF
• April Schafersman
• Director of Field Services
• 800.522.9559
• Aon Association Services
• Michelle Evans
• 800.453.5191 x.5398

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NKFs Current Ethics and Compliance Policies
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Policies

• Code of Ethics
• Compliance Policies/Procedures
• Disclosure Procedures for Scientific and Medical
  Activities
• Disclosure and Attestation Form for Staff and
  Volunteers Diversity Policy
• Incident Reporting Policy and Procedure
• Clinical Practice Guidelines Methodology

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Policies

• Staff Mission and Values Statement
• Policy on Animal Research
• Whistle-blower Policy
• Document Retention Policy
• Donor Privacy Policy
• Guiding Principles for Relationships with
  Corporate Partners
• Policy on Reserves
• Organizational Assessment Policy

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Periodic External Assessments

• NKF complies with all 40 National Health Council
  Standards for Excellence
• (Renewed April 2008)

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• NKF complies with all 21 Better Business Bureau
  Wise Giving Alliance standards, receiving
  charity seal (Renewed June 2008)

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• NKF complies with Charity Navigator standards,
  receiving 4-star rating (highest) (Current)

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Protecting the NKF

• NKF continues to be prudent and proactive in the
  matter of risk management, ethics and compliance.
  We possess an excellent track record of
  transparency, fiduciary care and ethical
  behavior.
• Any conflicts of interest which are disclosed or
  observed are handled carefully and with alacrity.
• NKFs compliance program is designed to protect
  the well-being of our constituents, the
  investments of our donors and the reputation of
  our organization.

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• Suzanne J Wyckoff
• Executive Vice President and
• Compliance Officer