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Code of Conduct

A Message from Keith Hartman, Chief Executive Officer

Dear Comprehensive EyeCare Partners Associate:

Comprehensive EyeCare Partners is committed to conducting our business with integrity through honest and ethical behavior. We are a Physician-led organization dedicated to supporting practices with the resources they need to deliver clinical and operational excellence to the communities they serve. Above all else, we are committed to the care and improvement of human life. In pursuit of our mission, we believe the following value statements are essential and timeless:

  • We recognize and affirm the unique and intrinsic worth of each individual.
  • We treat all those we serve with respect, dignity, compassion and kindness.
  • We act with absolute honesty, integrity and fairness in the way we conduct our business.
  • We trust our colleagues as valuable members of our healthcare team and pledge to treat one another with loyalty, respect and dignity.

To assist in facilitating a strong compliance culture within our organization, the Company has adopted this Code of Conduct to serve as the guiding principles for our organization. The Code of Conduct is the foundation of our Compliance Program. These principles provide a framework for our business decisions and should be used as a guide to support our values and fundamental commitment to fostering an ethical work environment. Our commitment extends to our patients, colleagues, affiliated physicians, third-party payers, regulators, suppliers, volunteers, and the communities we serve. We will act fairly, respectfully, and with integrity in all of these relationships.

Compliance is an individual responsibility. Associates are required to familiarize themselves with and understand the Code of Conduct. Violations of the Code of Conduct may result in disciplinary action up to and including termination. For questions regarding this Code of Conduct or to report questionable activity, please contact your supervisor or the Compliance Department at compliance@comp-eyecare.com.

Thank you for your support and commitment to our organization.

Sincerely,

Keith Hartman

Chief Executive Officer, Comprehensive EyeCare Partners

Definitions

Associate: “Associate” refers to all active Company personnel, temporary employees, part-time employees, full-time employees, independent contractors, clinicians, officers, and directors.

Overview

The goal of Comprehensive EyeCare Partners (“Company”) is to promote ethical, legal, and compliant behavior within the organization that encourages prevention, detection, and mitigation of conduct that does not conform to our standards, federal law, state law, or federal healthcare program requirements. The Company has developed a Compliance Program based on guidance provided by the Department of Health and Human Services Office of the Inspector General.

This Code of Conduct is intended to provide guidance on the Company’s ethical and legal standards to all Associates. More complex matters may require additional guidance for Associates directly involved in (1) training and education, and (2) policies and procedures direction from managers, supervisors, and legal counsel. If you have any questions about a compliance-related issue not covered fully within this Code of Conduct, you may:

  • Speak to your Supervisor
  • Contact the Compliance Department at compliance@comp-eyecare.com

Compliance is a shared responsibility. All Associates are expected to observe high standards of business and personal ethics in performing their work. Adherence to the Company’s Compliance Program is a condition of employment. Disciplinary action for violations of the Compliance Program, this Code of Conduct, compliance policies/procedures, acts of noncompliance with state and federal laws/regulations, and federal healthcare program requirements will be enforced according to Company’s policies and procedures.

Company Associates are expected to treat fellow Associates, customers, suppliers, and other stakeholders with fairness, honesty, and respect. This includes refraining from gender bias, racial bias, and all forms of harassment. We treat each other in the way we would wish to be treated.

I. Equal Employment

Comprehensive EyeCare Partners believes in hiring, promoting, and compensating Associates without regard to race, color, national origin, age, gender, religious preference, marital status, sexual orientation, handicap, or disability. The Company is committed to equal employment practices and complying with all laws, regulations, and policies related to non-discrimination.

These regulations include, without limitation: Titles VI and VII of the Civil Rights Act of 1964, the Equal Employment Opportunity Act of 1972, the Age Discrimination in Employment Act of 1967, the Equal Pay Act of 1963, the National Labor Relations Act, the Fair Labor Standards Act, the Rehabilitation Act of 1973, and the Occupational Safety and Health Act of 1970.

II. Freedom from Harassment

Comprehensive EyeCare Partners prohibits any form of harassment, including harassment based on race, color, religion, gender, national origin, age, sexual orientation, disability, or any other basis protected by law. Associates are expected to report violations to their supervisor, Human Resources representative, Chief Compliance Officer, or the compliance inbox at compliance@comp-eyecare.com.

Harassment means different things to different people, so all Associates should refrain from any behavior which may be construed as offensive or inappropriate. Examples of inappropriate behavior include degrading jokes, intimidation, slurs, verbal harassment, and physical sexual harassment. Reports of harassment will be promptly investigated and Associates engaging in this behavior will receive disciplinary action up to termination.

III. A Safe Environment

All Associates are responsible for creating a safe working environment. Please use safety devices and report any potential or actual hazards to your supervisor. Hazards include security violations and/or criminal activity that take place on company premises. Please report any injuries or illnesses to your supervisor.

Violence, intimidation, violent acts, and threats of violence have no place at the worksite and will not be tolerated.

Maintaining Confidentiality

Comprehensive EyeCare Partners honors the privacy of patients’ and Associates’ personal medical and non-medical information just as we expect our privacy to be protected. We promise to protect trade secrets and the confidential information that belongs to Comprehensive EyeCare Partners, otherwise known as “intellectual property,” and refrain from divulging information that could be harmful to the Company or that could provide an advantage to competitors.

I. Confidentiality

  1. Patient Health Information

Comprehensive EyeCare Partners is committed to preserving patients’ protected health information. Protected health information includes health information, diagnoses, treatments, personal data, billing, and contact information. More information is in the Company’s HIPAA Compliance Policies.

  1. Associate & Business Information

Comprehensive EyeCare Partners is committed to preserving the right to privacy for all Associates and protecting the Company’s interests. Associates must follow all applicable laws and company policies when using or sharing confidential information. The following information is classified as confidential:

  • Associate information, personnel files, evaluations, and disciplinary matters.
  • Business information including financial, marketing, and statistical data, competitive information, budgets, processes, techniques, mergers, acquisitions, significant reorganizations, bid proposals, contract negotiations, layoffs, research & development, business reports, and business summaries. This company-specific information is referred to as “intellectual property.”

Respecting Company Property

Associates must protect and preserve company property and refrain from using company property for personal gain.

I. Use of Resources

Comprehensive EyeCare Partners discourages inappropriate use of company property. Associates are trusted to act responsibly, reasonably, and maturely, as well as to use good judgment in the use of all company-related communications and computing devices, including:

  • The Internet
  • All forms of printed and electronic media
  • Copying devices (scanners, copy machines, and other devices/applications used for duplication)
  • Telephones and cell phones
  • Portable/wireless PDAs
  • Desktop and laptop computers
  • Remote access/dial-up hardware and software devices

Associates should not use a computer to transmit, store, or download materials that are threatening, maliciously false, or obscene. Facilities, equipment, technology, and resources are to be used only for business purposes in connection with job responsibilities.

Avoiding Conflicts of Interest

While employed at Comprehensive EyeCare Partners, Associates must refrain from any associations or activities that might conflict with the Company’s interests. Associates also avoid doing business with competitors and accepting or giving gifts to contractors or customers. Associates are prohibited from taking advantage of their Comprehensive EyeCare Partners association for personal gain.

I. Activities and Relationships Beyond Comprehensive EyeCare Partners

It is prohibited for Associates’ personal lives to conflict with work or to pose a hazard to the Company. Steps Associates should follow to determine whether a conflict of interest exists:

  • Avoid personal outside activities and associations that might influence your business decisions and business-related objectivity.
  • Avoid doing business with competitors or making significant personal financial investments in competitors, suppliers, or customers.

Examples of conflicts of interest could arise in the following situations:

  • Being employed (you or a close family member) by, or acting as a consultant to, a competitor or potential competitor, supplier, or contractor, regardless of the nature of the employment, while employed with Comprehensive EyeCare Partners.
  • Hiring or supervising family members or closely related persons.
  • Owning or having substantial interest in a competitor, supplier, or contractor.
  • Having a personal interest, financial interest, or potential gain in any Comprehensive EyeCare Partners transaction, other than a side-by-side investment.
  • Placing company business with a firm owned or controlled by a Comprehensive EyeCare Partners employee or his or her family.
  • Accepting more than nominal gifts, discounts, favors, or services from a customer/potential customer, competitor, or supplier.

If you are not sure whether an outside activity represents a conflict of interest, contact your supervisor, the Compliance Department, or the Compliance Helpline.

II. Entertainment, Gifts, and Gratuities

Some forms of business entertaining — including meals, social events or training, and educational activities — are accepted practices. The cost and scope of these activities should be reasonable and appropriate. Before accepting or extending such invitations, check with your supervisor.

Associates should refrain from giving or accepting excessive gifts to or from vendors, customers, or other Business Associates. The value of gifts received or given should not exceed an aggregate value of $500 per year unless prior approval has been given by a supervisor. Associates should never accept cash gifts from vendors, members, or customers.

Compliance with Laws and Regulations

I. Regulatory Obligations

Comprehensive EyeCare Partners operates in a heavily regulated industry, subjecting the Company and its Associates to federal, state, civil, and criminal laws and regulations and health plan requirements. The penalties for violation of these laws, regulations, and requirements are severe and can apply to both the Company and any Associates involved. Penalties include fines, other financial penalties, exclusion from participation in federally funded programs, loss of licensure, and potential imprisonment. The Compliance Program is designed to prevent such violations. All Associates must be aware of and comply with the regulatory requirements applicable to their respective positions and duties.

II. Illegal Activities

The Company and its Associates will not engage, directly or indirectly, in any corrupt business practices or other illegal activities. Such activities include, but are not limited to, fraud, embezzlement, kickback arrangements, and drug use.

The Company and its Associates will comply with all applicable federal, state, and local laws, including, without limitation, the federal Stark Law and regulations, the federal Medicare/Medicaid anti-fraud and abuse statutes and regulations, the Health Insurance Portability and Accountability Act of 1996 (“HIPAA”), and the Health Information Technology for Economic and Clinical Health Act (“HITECH”).

Fraud. Fraud includes actions such as falsifying timecards and expense reports. Healthcare fraud occurs when someone schemes to defraud any health benefit program. This includes using false pretenses, representations, or promises to obtain money or property owned by any healthcare program in connection with the delivery of, or payment for, benefits, goods, or services.

Kickbacks. A kickback arrangement involves accepting or offering bribes or payoffs intended to induce, influence, or reward favorable decisions of any person or entity in a position to benefit the Company. Such persons or entities include customers, contractors, vendors, and government personnel.

III. Antitrust and Unfair Competition

Antitrust laws ensure that competition between companies is fair. These laws also protect the public against business competitors who band together or “collude” to unfairly set prices. Associates could violate these laws by discussing with competitors pricing, terms and conditions of sales, or dealings with customers, suppliers, or other competitors. Our competitors include other managed care organizations, healthcare delivery companies, and insurance companies that operate in our markets.

Associates who participate in trade associations or other meetings where competitors are likely to be present must be especially cognizant of antitrust rules.

IV. Political Contributions

Comprehensive EyeCare Partners may contribute to various political candidates and campaigns in order to support policies that are in the interest of our industry. Federal and state laws dictate the amount and frequency of political contributions; Comprehensive EyeCare Partners strictly adheres to those guidelines. Any other use of Company assets for political reasons is prohibited.

V. Sales, Marketing, and Advertising Standards

We are committed to growing our business through well-trained, highly professional sales Associates. All sales Associates are committed to fair, forthright, and legally compliant sales and marketing practices. Comprehensive EyeCare Partners adheres to all state regulations that require sales representatives to be licensed.

Associates do not engage in corrupt marketing practices, including misrepresentation of covered services and “redlining,” which refers to the practice of avoiding sales in specific geographic areas or neighborhoods.

When advertising our products and services, Comprehensive EyeCare Partners and its Associates will present only truthful, non-deceptive information. Most advertising and marketing materials require approval from regulatory agencies prior to distribution. When required, Comprehensive EyeCare Partners will submit materials to agencies and ensure they are in full compliance with applicable regulations.

VI. Copyright Law

Comprehensive EyeCare Partners and Associates follow state, federal, and foreign laws pertaining to copyright protection, and laws that prohibit duplication of print materials, licensed computer software, and other copyright-protected works.

Responsibilities and Consequences

I. Associate Responsibilities

Comprehensive EyeCare Partners will provide all Associates with the training and education needed to be knowledgeable about our ethics and compliance initiatives. In return, Comprehensive EyeCare Partners relies on you to help ensure that those initiatives remain a priority. This involves upholding all the standards outlined in this Code of Conduct, as well as reporting any suspected violations of those standards.

If you observe potential violations of law or the Code of Conduct, you should not hesitate to report such issues. Failure to do so could pose a risk to the Company or, in the case of illegal activities or regulatory violations, a risk to you or your co-workers.

II. Reporting Suspected Violations

If you have a compliance concern to report, talk to your supervisor. If they are not available or are unable to assist you, contact the Compliance Department.

III. Resolution, Communication, and Non-Retaliation

Once a problem or suspected violation has been reported, the Company pledges to quickly investigate and resolve the problem. The Company will not retaliate against Associates for reporting compliance violations in good faith.

IV. Consequences of Violations

Comprehensive EyeCare Partners will be thorough and fair when investigating potential compliance violations. Associates who are deemed to have committed violations will be subject to disciplinary action up to termination.

Where to Find Answers to Your Questions

The Code of Conduct Guidelines are meant to provide an overview of Comprehensive EyeCare Partners’ policies on ethics, compliance, and conduct-related issues. This publication is a living document and is subject to change as Comprehensive EyeCare Partners refines its policies and procedures and as government agencies and regulators modify their rules.

If you need more information or if you have a compliance-related question or concern, talk with your supervisor or the Compliance Department. These are the best sources when you need help understanding the laws, regulations, and practices that affect your work. Calling the Compliance Helpline is also an option if you wish to seek information on a specific company policy or standard.

Associates are encouraged to explore the following resources:

  • Comprehensive EyeCare Partners’ Employee Handbook: The handbook covers various topics, including employment, benefits, performance reviews, wage & salary, and employee relations subjects such as dress code, workplace conduct, counseling, and health and safety issues.

References