Code of Conduct and Compliance Manual

PART 1:

COMPLIANCE WITH REQUIREMENTS OF GOVERNMENT CONTRACTS

A. Compliance with Contract Performance Requirements.

B. Accurate Time Charging, Cost Recording, and Recordkeeping.

C. Proposal Preparation.

1. Truth in Negotiations Act

D.  Some Special Contracting Rules.

E. Political Contributions from Arrive Health are Prohibited. 

F. Government Property and Equipment. 

G. Protecting the Environment. 

H. Drug and Alcohol Use. 

I. International Work and the Foreign Corrupt Practices Act 

J. False Claims and False Statements Act. 

1. Do not make False Statements to the Government. 
2. Do not submit False Claims to the Government.

PART 2.

SPECIAL RULES REGARDING GIVING AND RECEIVING GIFTS, GRATUITIES, AND OFFERS OF EMPLOYMENT TO GOVERNMENT EMPLOYEES. 

A. Gifts to Government Personnel are generally prohibited. 

1. General Prohibition on gifts to Government Personnel. 

B. Bribery and Gratuity Statutes. 

C. Kickbacks to Employees, Suppliers and United States Government Officials Are Prohibited.

D. Discussing Employment Opportunities with Current and Former Government Officials Is Prohibited. 

PART 3:

COMPETING FOR AND RECEIVING CONTRACTS FAIRLY 

A. Personal and Organizational Conflicts of Interest 

1. Personal Conflicts
2. Organizational Conflicts

B. The Procurement Integrity Act 

PART 4:

AUDITS, INVESTIGATIONS, AND OTHER REVIEWS

PART 5:

REPORTING SUSPECTED VIOLATIONS AND WHERE TO GO FOR HELP. 

A. Arrive Health’s Employee Ethics and Compliance Hotline. 

B. Disciplinary Actions. 

C. Non-Retaliation Policy 

D. Contact Information and Where to Go for Help. 

PART 6:

COMPLIANCE IN HEALTHCARE AND GENERAL ETHICAL CONDUCT 

A. HIPAA 

B. Research 

C. Anti-kickback. 

D. Compliance with federal health programs (Medicare, Medicaid, etc.). 

E. Accuracy in records, coding and billing. 

F. Conflicts of interest. 

G. Gifts, gratuities and entertainment. 

H. Getting help and reporting violations. 

I. How to report a concern. 

J. Accessing health system policies. 

K. Compliance Program. The Compliance Department exists to support Arrive Health’s commitment to ethics and compliance. The Compliance Program is implemented and enforced by the Compliance Officer, Privacy Officer and the General Counsel. 

L. Generally Accepted Accounting Principles 

M. Moral and Ethical Standards 

N. Loyalty 

O. Employee Privacy 

P. Computer Resources, Email and Internet 

Q. Safety and the Environment 

R. Anti-Trust 

S. Timeliness Receipt and Acknowledgement 

PART 1:

COMPLIANCE WITH REQUIREMENTS OF GOVERNMENT CONTRACTS

A. Compliance with Contract Performance Requirements.

When Arrive Health is awarded a government contract or subcontract, the company has a responsibility to comply with all of the requirements of the contract. Changes to a contract’s requirements are not permitted unless they are made in accordance with government procedure and approved by the General Counsel in writing. Deviating from stated contract requirements without an appropriate written change in place could be a breach of contract, and potentially even criminal in nature. This may be so even if a government official requested the change and even if the government arguably received a better product or service because of the deviation.

Examples of impermissible deviations include: 

– Failing to deliver materials the government has paid for under a contract 

– Substituting lower quality materials than required by the contract 

– Substituting different products than required by the contract 

– Not performing testing, inspection, or other quality control procedures required by the contract 

– Certifying that required testing, inspection, or other quality control procedures have been performed when they have not 

– Using foreign-sourced materials or products where the contract requires domestic materials or products Arrive Health employees are expected to be familiar with all contract terms and requirements and to adhere to those requirements without exception. 

Arrive Health employees are prohibited from engaging in any unauthorized contract deviation, including but not limited to those above. If you become aware of any such deviation, report it immediately to your supervisor, the General Counsel, Human Resources, the Board of Directors, or to the Employee Ethics and Compliance Hotline toll-free at 1-800-360-4965 (Ext. 5) or via email to compliance@arrivehealth.com. If you have questions about what any contract requires, consult the General Counsel. 

B. Accurate Time Charging, Cost Recording, and Recordkeeping.

All Arrive Health employees are responsible for accurately charging material, labor, and other costs on contracts with the government. Sufficient care must be taken to ensure proper recording and charging of all costs and labor hours to the appropriate account, regardless of the status of the budget for that account. Unless expressly required under a contract, all costs not associated with a specific contract or subcontract, such as general administrative expenses, shall not be charged to the contract or subcontract. Unassociated costs shall be charged to appropriate overhead accounts. Deliberately mischarging time and other costs is a violation of Arrive Health policy and can be a criminal offense. The government applies strict oversight and enforcement in this area and ofen investigates, indicts, suspends, and debars government contractors for directly or indirectly charging unallowable, unallocable, or false costs. Arrive Health strictly forbids the deliberate mischarging of costs or the alteration of completed timecards. This includes mischarges for labor time, materials, or other costs. 

C. Proposal Preparation.

Personnel involved in the negotiation of government contracts shall ensure that all statements, communications, and representations made to third parties (such as representatives of the government or other parties to the contract) are as accurate and truthful as possible. 

1. Truth in Negotiations Act

Some of the government contracts that Arrive Health bids on, and is awarded, may be subject to the Truth in Negotiations Act (“TINA”). TINA is a tool for the negotiation of fair and reasonable prices for the products the federal government acquires. In the circumstances where TINA applies, it requires Arrive Health personnel to provide clear, accurate, complete, and current statements, documents, and communications to the government concerning cost and pricing data. The cost or pricing data covered by TINA includes factual information such as subcontractor costs, indirect expenses, direct labor hours and costs, vendor quotations, and other data upon which proposal estimates are based such as historical data or management assumptions. 

Arrive Health personnel who prepare contract proposals and negotiate contracts with the government are required to ensure the company complies with the requirements of TINA. The responsibilities of those employees include: ensuring cost and pricing data are current, accurate, and complete; correcting information provided to the government that is not current, accurate, and complete; and immediately submitting updated information if it is received before the parties agree on the price of the contract or a modification. If you have any questions about whether TINA applies to a contract, or the requirements of TINA, consult the General Counsel. 

D. Some Special Contracting Rules.

The U.S. government imposes many special rules on government contractors, which may not directly relate to the underlying performance required under the contract but are no less important. This section addresses a few of those requirements in detail. 

E. Political Contributions from Arrive Health are Prohibited.

No Arrive Health funds or assets, including the work time of any employee, will be contributed, loaned, or made available directly or indirectly to any political party or the campaign of any candidate for a federal, state, or local office. Employees may volunteer the use of their skills and time to political parties, candidates, or charitable organizations, but this must be done on personal time and at your own expense. When employees and Arrive Health representatives, consultants, or supplier’s express opinions on public issues, they must be made clear that these views are personal and not Arrive Health’s. 

F. Government Property and Equipment.

Arrive Health employees must exercise appropriate care and control of government property and equipment. It is the responsibility of every Arrive Health employee to properly account for and handle any property or equipment furnished by the government. Employees should immediately report to the Compliance Officer known or suspected mishandling or abuse of such property. 

G. Protecting the Environment.

Arrive Health is committed to complying with all environmental laws and regulations – federal, state, and local. including providing accurate and truthful information to government permitting authorities. It is important for all Arrive Health employees to conduct all business in a way that prevents deterioration of the environment and minimizes the environmental impact of our operations. Any existing or potential violation of federal, state, or local environmental protection laws which is not promptly corrected after being brought to the attention of the appropriate manager should be reported immediately to the Arrive Health Compliance Hotline. 

H. Drug and Alcohol Use.

Arrive Health strives to provide a safe, drug-free work environment. Although our companies respect your right to privacy, the use of illegal drugs, abuse of legal drugs, and the use of alcohol at the workplace are unsafe and counterproductive. Your conduct while you are at work affects your performance, our relationship with customers, and your co-workers. Management expects its employees to report to work in a condition that will allow them to perform their duties in a safe, effective, and efficient manner that meets job requirements. To this end, consumption of alcoholic beverages is prohibited during work hours. The consumption, possession, or distribution of illegal drugs on company property or company facilities is strictly prohibited at all times, unless otherwise permitted by applicable law or approved by the General Counsel. 

Definitions: 

Legal drugs – Prescribed drugs and over-the-counter drugs that have been legally obtained (based on applicable state and federal law) and are being used in the manner prescribed and for the purpose for which they were prescribed or manufactured. 

Illegal drugs – Any drugs, including over-the-counter and prescription medications: that are not legally obtainable; that may be legally obtainable but have not been legally obtained; or that are being used in a manner or for a purpose other than as prescribed. 

As a condition of employment, Arrive Health expects its employees to avoid activities prohibited by this policy, to provide the required notifications, and to submit to substance abuse testing as required by this policy. Violation may be grounds for immediate termination or other disciplinary action as deemed appropriate by management. 

Testing: Arrive Health reserves the right to have its employees tested, screened, and searched for drugs and alcohol as it deems necessary, where consistent with applicable laws. This includes: 

– Pre-employment as a condition of hire for safety sensitive positions 

– at random times, if required by law, contract or if the employee fills a safety-sensitive position – when an employee is involved in an accident on the job or an employee sustains a reportable on-the-job injury 

– when management possesses a reasonable suspicion that an employee is under the influence of drugs or alcohol. 

Prohibited Activities: The unlawful manufacture, distribution, dispensing, possession, or use of a controlled substance as defined in the Controlled Substances Act or the Code of Federal Regulations (such as marijuana, cocaine, opiates, amphetamines, or other mind altering substances) by any employee is prohibited while working on the premises at any Arrive Health location and on work-related business assignments. 

No employee shall perform work for or operate a company vehicle or equipment while under the influence of alcohol, controlled substances or any other drug (such as prescription or over the counter medications). “Under the influence” is defined as the presence in one’s system of any amount of a drug Arrive Health, or alcohol which, in management’s judgment, could impair or affect an employee’s alertness, thinking, coordination, or ability to perform work properly and safely. Alcohol use in the workplace is prohibited during work hours. 

Alcohol use is also prohibited immediately before your workday commences and during any break periods in the workday. Employees shall report to their immediate supervisor the use of any prescription or non-prescription drugs that may impair or affect their alertness, coordination, or ability to perform work properly and safely. The supervisor shall review the situation with a human resources representative. 

Employees must provide written notice of any criminal drug statute conviction for a violation occurring in the workplace within five days of such conviction. Appropriate personnel action shall be taken within 30 days of the receipt of conviction notice. 

Failure to consent to a test for illegal drug use or a test for contemporaneous use of alcohol required by the corporation is a violation of this policy and is grounds for disciplinary action, up to and including suspension without pay, or termination. Test results that come back positive on any of the controlled substances tested for will be grounds for disciplinary action, up to and including, suspension without pay or termination. 

Any employee in a safety-sensitive position who tests positive for controlled substances will in all circumstances be immediately removed from that position until a decision regarding disciplinary action is made. Authority to order testing for illegal drugs and/or alcohol rests with senior management and the board of directors of Arrive Health. 

I. International Work and the Foreign Corrupt Practices Act

It is important that international business be conducted in accordance with all applicable laws of both the United States and any foreign countries in which Arrive Health operates. One of the U.S. laws applicable to doing business internationally is the Foreign Corrupt Practices Act. This Act, in general, prohibits giving money or things of value to a foreign official for the purpose of influencing a foreign government. Arrive Health personnel may not offer or give anything of value to any foreign official, foreign political party, or foreign candidate for government office. Arrive Health personnel must also strictly comply with the laws of any foreign country in which Arrive Health operates, as well as all laws of the United States. 

Other U. S. and foreign laws applicable to employees who do business outside the United States include laws concerning: 

– Sanctions and Boycotts 

– International Traffic in Arms Regulations (ITAR) 

– Export Controls 

– Antiterrorism 

– Customs 

– Human Rights 

– Labor and Employment 

– Disputes Settlement and International Arbitration 

– Investment and Trade 

Before commencing business in any foreign country, Arrive Health personnel must consult with the General Counsel. 

J. False Claims and False Statements Act.

1. Do not make False Statements to the Government. 

The False Statements Act, 18 U.S.C. §1001, criminalizes the knowing and willful making of a false statement concerning a matter within the jurisdiction of any department or agency of the United States. This law also criminalizes the falsifying or concealment of material fact that the contractor has a duty to disclose. Many of the records Arrive Health keeps, and which you may be called upon to develop, form the basis for our representations, invoices, and other statements to the United States Government. These records include, but are not limited to, timecards, quality control documents, and inspection documents. Just as any direct statement to the Government must be truthful, complete, and accurate, so must any of the documents Arrive Health requires upon to develop its submissions to the Government. Therefore, it is essential that you use great care in preparing all company records, including any submissions to the Government, to ensure that they are truthful, complete, and accurate. 

2. Do not submit False Claims to the Government. 

United States Government prosecutors have in their arsenal two false claims acts: the Criminal False Claims Act and the Civil False Claims Act. A violation of the Criminal False Claims Act occurs whenever anyone makes or presents a claim for payment to the United States, or its contractors, agencies or departments, with knowledge that the claim is false, fictitious, or fraudulent. The case law makes clear that a contractor runs afoul of this statute whenever the contractor seeks money from the government (including through a United States Government prime contractor) under false pretenses. The Civil False Claims Act is violated whenever one of the following happens: 

– A person knowingly presents, or causes to be presented, to a United States Government official, a false or fraudulent claim for payment or approval; 

– A person knowingly makes, uses, or causes to be made or used, a false record or statement to get a false or fraudulent claim paid or approved; 

– A person conspires to defraud the United States Government by getting a false or fraudulent claim allowed or paid; or 

– A person knowingly makes, uses, or causes to be made or used, a false record or statement to conceal, avoid, or decrease an obligation to pay, or transmit money or property to the United States government. 

In the civil false claims context, “knowing” includes reckless disregard and deliberate ignorance of the truth. Arrive Health employees must be truthful and forthcoming in all of their dealings with the federal government, verbally and in writing. Any and all written submissions to the government must be truthful, accurate, and complete. Both the company and individual employees can be found civilly and/or criminally liable for making false statements and/or claims to the government under either the False Claims Act or False Statements Act. 

PART 2. 

SPECIAL RULES REGARDING GIVING AND RECEIVING GIFTS, GRATUITIES, AND OFFERS OF EMPLOYMENT TO GOVERNMENT EMPLOYEES. 

The sales of Arrive Health’s goods and services should always be free from even the inference or perception that favorable treatment was sought, received, or given on the basis of employees receiving or giving a personal benefit, including gifts, entertainment, favors, hospitality, or other gratuities. Similarly, purchases of products and services from vendors, suppliers, and subcontractors must be accomplished in a manner that preserves the integrity of a procurement process based on quality and performance. This is especially so when our customer is the US government.

Arrive Health specifically prohibits offering, giving, soliciting, or receiving any form of bribe or kickback to/from Government personnel. These are criminal acts. All approved expenditures for meals, refreshments, entertainment, and the like must be fully documented and recorded in strict accordance with established policies and procedures. 

The following guidelines should be observed in relations with both our customers and supplier and subcontractor personnel. Therefore, Arrive Health expects all of its employees with government contracting responsibility to understand and abide by these rules, without exception.

A. Gifts to Government Personnel are generally prohibited.

1. General Prohibition on Gifts to Government Personnel. 

In general, an employee of the United States Government (or employees of state or local governments, as well as any elected officials) (collectively “Government Employee(s)”) may not solicit or accept a gift from a “prohibited source” that is given because of an employee’s official position. A “prohibited source” is any person or company who is doing business with or seeks to do business with the United States Government, state or local governments, as well as any elected officials. Arrive Health, as a Government contractor or subcontractor, is a “prohibited source” and therefore these significant limitations apply to Arrive Health and our employees as well. 

The term “gifts” is very broad and it includes any gratuity, favor, discount, entertainment, hospitality, loan, forbearance, or other item having monetary value. It includes services as well as gifts of training, transportation, local travel, lodging and meals, whether provided in-kind, by purchase of a ticket, payment in advance or reimbursement after the expense has been incurred. 

There are certain limited exceptions to this rule against accepting gifts, including those listed immediately below. Even if an exception applies, however, a Government Employee may not accept a gift in return for being influenced or where a gift is solicited or accepted so frequently that it appears that the United States Government Employee is being influenced.

Because of the complexities in these rules, the most prudent course is to avoid entirely, gift-giving to Government Employees. Therefore, it is Arrive Health’s policy to prohibit entirely, gifts to Government Employees, absent advance approve from Arrive Health’s legal and/or compliance representative(s).

B. Bribery and Gratuity Statutes.

In addition to the general prohibition on gifts described above, offering or giving a gif or any other thing of value to a Government Employee in exchange for an official act or favorable treatment is a crime under federal bribery and gratuity laws. Even if the gif is not accepted by the Government Employee, the mere offering of something of value in exchange for official actions or favorable treatment can violate these statutes. Under these related statutes both the contractor and Government Employees involved may face personal criminal liability, including significant fines and imprisonment for violations of the bribery or gratuity statutes. Of course, Arrive Health itself may be subject to criminal, civil, and administrative penalties for such violations as well. Because of these laws it is essential that no Arrive Health employee offer or provide an improper gif to any Government Employee, and in no event should a Arrive Health employee create even the appearance that an otherwise permissible gif is being offered to a Government Employee for an improper purpose. 

C. Kickbacks to Employees, Suppliers and United States Government Officials Are Prohibited.

Federal laws prohibit a government contractor and its employees from soliciting or receiving certain gifts as well. When a prime contractor or a prime contractor’s employee asks for, or a subcontractor or a subcontractor’s employee offers something of value in exchange for favorable treatment in connection with a Federal contract, the offering and receiving parties are in violation of the Anti-Kickback statute. Specifically, the Anti-Kickback Act of 1986 defines a kickback as follows: 

“Any money, fee, commission, credit, gif, gratuity, thing of value, or compensation of any kind which is provided, directly or indirectly, to any prime contractor employee, subcontractor, or subcontractor employee for the purpose of improperly obtaining or rewarding favorable treatment in connection with a prime contract or in connection with a subcontract relating to a prime contract.” 

An attempted kickback violates the Act just as an executed kickback does. 

Criminal sanctions apply to individuals as well as to companies. One who knowingly or willfully violates the Anti-Kickback Act may be subject to significant criminal and civil fines, as well as, imprisonment. A prime contractor can also be penalized for the actions of its subcontractors. 

• Prime contract. The term “prime contract” means a contract or contractual action entered into by the Federal Government to obtain supplies, materials, equipment, or services of any kind. 
• Prime contractor. The term “prime contractor” means a person that has entered into a prime contract with the Federal Government. 
• Prime contractor employee. The term “prime contractor employee” means an officer, partner, employee, or agent of a prime contractor. 
• Subcontract. The term “subcontract” means a contract or contractual action entered into by a prime contractor or subcontractor to obtain supplies, materials, equipment, or services of any kind under a prime contract. 
• Subcontractor. The term “subcontractor” 

(A) means a person, other than the prime contractor, that offers to furnish or furnishes supplies, materials, equipment, or services of any kind under a prime contract or a subcontract entered into in connection with the prime contract; and 

(B) includes a person that offers to furnish or furnishes general supplies to the prime contractor or a higher tier subcontractor. 

• Subcontractor employee. The term “subcontractor employee” means an officer, partner, employee, or agent of a subcontractor. 

41 U.S. Code §8701 

D. Discussing Employment Opportunities with Current and Former Government Officials Is Prohibited. 

United States law (18 USC 207 and 208) prohibits certain activities by former United States Government Employees including, in general, the representation of a contractor before the United States government in relation to any contract or other matter involving specific parties or issues on which the former employee participated personally and substantially while employed by the United States government. Based upon the former Government Employee’s level of involvement with that matter or contract, such employee may be restricted from participation in the private sector for one year, two years, or for life. As a result, if you are a former Government Employee, prior to representing Arrive Health on a particular matter before the Government agency for whom you worked or any related government agency, you must obtain the written approval of the company President and/or the General Counsel. 

There are detailed and complex rules regarding the employment of current or former Government officials. As a result, only when prior written approval is received from the company President and/or the General Counsel may a Arrive Health employee initiate employment discussions with a current or former Government official. If a current or former Government official expresses an interest to a Arrive Health employee in working for Arrive Health, the Arrive Health employee contacted by that individual must promptly inform the company President and/or the General Counsel and may not conduct substantive discussions concerning this subject without the prior written approval of the company President and/or General Counsel. 

PART 3: 

COMPETING FOR AND RECEIVING CONTRACTS FAIRLY 

A. Personal and Organizational Conflicts of Interest

All employees, consultants, and representatives of the Company have a duty to avoid financial, business, or other relationships which might conflict with the interests of Arrive Health or might cause a conflict in the performance of their duties. Every employee should conduct themselves in a manner that avoids even the appearance of conflict between personal and corporate interests. 

It is Arrive Health’s intent that neither any employee, the Company as a whole, nor anyone dealing with the Company should be placed in a compromising position due to a conflict of interest. Conflicts of interest adversely affect the way confidential information is collected, used, and disseminated and impair the ability to make clear, objective, and unbiased judgments in carrying out assigned responsibilities. 

Actual and apparent conflicts of interest can arise easily. You should make full disclosure of any relationship or situation that may involve personal or organizational conflicts of interest. This should be done promptly and in writing. Anyone who feels that they may have a conflict situation, actual or potential, should report all pertinent details in a memorandum to their supervisor. The supervisor will be responsible for referring the matter for appropriate review and subsequent recommendations for actions which will minimize or eliminate the chance of conflict of interest interfering with the employee’s performance on the Arrive Health job. 

1. Personal Conflicts 

A conflict of interest can arise when a Arrive Health employee has a personal interest that could influence, or appear to influence, your objectivity in decisions concerning your job duties and responsibilities. Personal conflicts of interest may also arise from the actions of your family members. 

There are many situations which can give rise to a conflict of interest. Examples include: 

• Employment by or receiving compensation from a competitor, regardless of the nature of the employment, while employed by Arrive Health. 
• Acting as a consultant to an Arrive Health customer or supplier. 
• Placement of business with a firm owned or controlled by an employee or his or her family. 
• Ownership of, or substantial interest in, a company which is a competitor or a supplier. 
• Engaging in personal or non-Arrive Health business during work hours or with Arrive Health assets. 
• Acceptance of gifts, payments, or services from those seeking to do business with Arrive Health. 

Your primary concern should be to act in the best interest of Arrive Health at all times.

2. Organizational Conflicts 

The Federal Acquisition Regulations (FAR) at Subpart 9.5 contain specific provisions that are meant to prevent unfair competitive advantage and conflicting roles among government contractors. These regulations require affirmative and proactive action on the part of contractors and contracting officers to identify, avoid, or mitigate organizational conflicts of interest (“OCI”) in a manner which will allow the contractor to participate in a procurement. An “organizational conflict of interest” exists when work performed by a contractor on a federal contract may: (a) result in an unfair competitive advantage for the contractor; or (b) impair the contractor’s objectivity in performing federal contract work. OCI or the appearance of OCI must be avoided at all costs because OCI can lead to the contractor being excluded from a contract competition, having a contract terminated, or being suspended / debarred from performing future federal contract work. 

The three (3) main OCIs are: 

1. UNEQUAL ACCESS TO INFORMATION 

A situation where there is unequal access to information occurs when a contractor has access to non-public information that would give it a competitive advantage in a competition for a different government contract as part of its performance. For the information to be considered an OCI, it has to be real, non-public, completely useful, and substantial. The actions of a subcontractor (like Arrive Health) or other team member can also create an OCI. This ofen happens when a subcontractor or team member formerly worked for the government. In this type of case, it’s treated as if the contractor obtained the information under an official government contract. 

In situations where there is unequal access to information, the contractor can mitigate the situation by establishing a firewall, security measures, or procedures that effectively block the flow of information between the contractor and its personnel who have access to public competitive information and those contractors that prepare the proposal. The other option is to share the information with all competing offerors to level the playing field. 

2. IMPAIRED OBJECTIVITY 

When work under one government contract creates a situation where it benefits other government contracts, it creates an OCI due to impaired objectivity. Contractors that give subjective advice whereby its other business interests could be affected by their judgment or advice, it sets up a situation where its objectivity could be impaired. As an example, contractors that have an opportunity to assess themselves, affiliates, or competitors under a separate contract or evaluation of proposals could be considered an OCI due to impaired objectivity. It doesn’t matter if the contractor gave biased advice; it only matters if a reasonable person would believe that the contractor’s objectivity could be impaired. 

One way to mitigate impaired objectivity is to exclude the work of a certain subcontractor from the contract or to change the scope of the contract. The firewalled subcontractor or the government could also perform the work in question to avoid an OCI. Increasing government oversight and limiting the contractor’s role in giving independent judgment may also be a form of mitigation when impaired objectivity is called into question. 

3.BIASED GROUND RULES 

When a contractor has helped set the ground rules for procurement of another government contract and then submit a proposal for that contract, it’s an OCI because of biased ground rules. The government doesn’t allow situations that could sway competition in any firm’s direction, whether it was intentional or not. 

Organizational conflicts of interest may affect Arrive Health’s eligibility for future contract awards, so it is crucial that each Arrive Health employee be aware and knowledgeable of the regulations concerning such conflicts. If you have an indication that a potential organizational conflict of interest may be present, you must contact your supervisor and the company General Counsel immediately. 

B. The Procurement Integrity Act

The employees of Arrive Health must understand and comply with the requirements of the Procurement Integrity Act (41 USC 423). These regulations prohibit unethical conduct by both Arrive Health employees and government officials. The Act’s purpose is to encourage those doing business with the government to compete fairly. 

During the course of a federal procurement, Arrive Health employees are prohibited from: (1) obtaining and disclosing source selection information or contractor proprietary bid or proposal information; (2) offering or discussing employment or business opportunities with procurement officials; (3) offering or giving money, gratuities, or anything of value to a procurement official. It is important to know that information that falls under the provisions of this Act includes verbal information; it does not have to be in writing.

• Source Selection Data is information related to the decision making process (including the decision itself) for an award of a contract to industry. 
• Contractor bid or proposal information means any of the following information submitted to a Federal agency as part of, or in connection with, a bid or proposal to enter into a Federal agency procurement contract, if that information previously has not been made available to the public or disclosed publicly: 

(A) Cost or pricing data (as defined in section 2306a(h) of title 10 with respect to procurements subject to that section and section 3501(a) of this title with respect to procurements subject to that section). 

(B) Indirect costs and direct labor rates. 

(C) Proprietary information about manufacturing processes, operations, or techniques marked by the contractor in accordance with applicable law or regulation. 

(D) Information marked by the contractor as “contractor bid or proposal information”, in accordance with applicable law or regulation.

Proprietary information is information owned by another company that would cause the company business injury if it is disclosed to others outside of the company. Source selection information includes any information used by the government during the procurement process that is from the commencement of the procurement effort through contract award that would jeopardize the integrity of the procurement if released. If you or any Arrive Health employee improperly possesses proprietary data of a competitor or any source selection information, you are violating the Procurement Integrity Act. 

The penalties for violations of this Act include administrative, civil, and criminal sanctions and fines. If you have any knowledge of an actual or potential violation of this Act, you must immediately report this knowledge to your supervisor or legal counsel. 

PART 4: 

AUDITS, INVESTIGATIONS, AND OTHER REVIEWS 

Arrive Health’s contracts with certain entities that contract with the United States government give the government agencies and officials’ specific audit and investigation rights as a routine part of doing business. Arrive Health and its employees are committed to full cooperation with any audit or investigation undertaken by the government. We will be truthful and accurate in all statements made and information given to government officials. 

As an employee of the company, if you receive notice of or request for an audit, investigation, or other review from a government official or agency, you must immediately notify your supervisor and the General Counsel. Although the decision whether or not to cooperate with government officials is yours to make, we request that you not respond to a government official or agency without first contacting either the Arrive Health President or General Counsel. 

All information requested by a government official must be approved and will be provided to the government by Arrive Health’s management team and/or General Counsel. The purpose for this policy is to allow Arrive Health to take appropriate steps to ensure a truthful, complete, and accurate response to the government. An improperly handled government audit or investigation could result in liability for Arrive Health and individual employees. In order to assist the company in providing accurate and truthful information, Arrive Health employees shall not: (1) edit, remove, delete, or destroy any documents in the face of an audit; (2) attempt to influence the statements or testimony of any other person; (3) attempt to dissuade or discourage someone from providing information in response to an audit; (4) omit or conceal intentionally any material fact in your response to an audit; or (5) provide false information or document in connection with the audit. 

PART 5: 

REPORTING SUSPECTED VIOLATIONS AND WHERE TO GO FOR HELP. 

Any employee having information which causes the employee to know or to believe that a Arrive Health employee or another person has violated this Manual or applicable laws and regulations, should promptly bring the matter to the attention of the company General Counsel or submit a confidential message through Arrive Health’s Compliance Hotline as described below. 

Failure to report known or observed violations of this Manual may also constitute a violation. An employee who intentionally fails to disclose, hides, or covers-up a known or observed violation may be subject to the disciplinary actions specified below, even when such employee was not a violator or a participant. 

Upon receiving a report of suspected violations of this Manual or applicable laws and regulations, the General Counsel shall immediately conduct or direct an investigation of the incident. If the reporting employee so requests, and to the extent possible, the name of the reporting employee shall be held in confidence by the General Counsel or any third party retained by the General Counsel and shall not be disclosed to other corporate employees; provided, however, that the General Counsel may provide the name of the employee to the proper authorities or outside counsel retained by the Company to conduct an investigation. The confidentiality of the source of the report shall be maintained to the maximum extent possible. 

A. Arrive Health’s Employee Ethics and Compliance Hotline. 

Arrive Health employees are required to report any violation or reasonably suspected violation of this Manual, any law or regulation, or any other policy through Arrive Health’s anonymous Compliance Hotline via either via email at compliance@arrivehealth.com or toll-free at 1-800-360-4965 (Ext. 5). Arrive Health employees may also provide written documentation of the suspected violation to the Compliance Officer. 

B. Disciplinary Actions.

Arrive Health is committed to adhere to the principles outlined in this Manual and the employee handbook. Employees who violate this Manual and/or the employee handbook are subject to disciplinary action. Disciplinary action also will be taken against employees who authorize, or participate directly in, actions which are in violation of this Manual, as well as against those who have deliberately failed to disclose or withheld information concerning a violation. 

If it becomes necessary to initiate disciplinary action against an employee for a violation of this Manual or the employee handbook, the employee will be given an opportunity to submit, in person, in writing, or through a representative, information to the company representative concerning the facts and circumstances of the employee’s actions, including any mitigating factors. The company representative will present findings to the appropriate corporate officials. On the basis of adequate evidence, and considering the seriousness of the acts or omissions, disciplinary actions may range from a documented oral/verbal or written reprimand, to termination of employment, a civil lawsuit, and referral of the matter to the appropriate federal or state prosecutors or other government officials. This general description of the review process is for informational purposes only, and it may be changed or modified from case to case, as the exigencies of the situation warrant. 

C. Non-Retaliation Policy

Arrive Health strongly encourages its employees to report any known or suspected violations of this Code or any law or regulation. Every effort will be made to hold all such reports in strict confidence, and employees making such reports shall not be subject to retribution, disciplinary action, or any other adverse administrative action for such reporting. Additionally, disciplinary action will be taken against any employee, supervisor, or manager who retaliates against an employee who reports a violation, or who may have been responsible for a violation due to inadequate supervision. 

D. Contact Information and Where to Go for Help.

As noted at the beginning of this Manual, the rules of Government procurement are complex and can be confusing. Also, as noted throughout this Manual, there are many occasions where Arrive Health employees are expected or required to report certain actions. The most important thing to take away from this Manual is: if you have any question about what to do in a particular circumstance – ASK FOR GUIDANCE AND GET THE ANSWER RIGHT. In addition, while you are required to read this Manual and the employee handbook once a year, Arrive Health expects you to keep these documents handy and to use them as a resource to answer questions and to guide your behavior throughout the year. 

For your convenience and reference, below is a summary of relevant contact information. 

Arrive Health Compliance Hotline number: 1-800-360-4965 (Ext. 5). 

Email Reporting: compliance@arrivehealth.com 

Compliance Hotline can also be found on the corporate website www.arrivehealth.com. 

The Designate for questions about our Compliance Hotline is:

Arrive Health, Inc. 
Attn: General Counsel / Compliance Officer 
3001 Brighton Blvd., Suite 103 Denver, CO 80216 
compliance@arrivehealth.com 
legal@arrivehealth.com 

PART 6: 

COMPLIANCE IN HEALTHCARE AND GENERAL ETHICAL CONDUCT 

A. HIPAA

Health Insurance Portability and Accountability Act of 1996 (HIPAA). HIPAA guides entities subject to it to protect patients’ rights to privacy and security of their health information. Arrive Health is a “Business Associate” under many of its engagements, and therefore, subject to certain aspects of HIPAA. Therefore, the Arrive Health workforce must implement certain safeguards to protect and PHI to which it has access or discloses to appropriate third parties. For more information, please review Arrive Health’s HIPAA Manual located at: https://arrivehealth.atlassian.net/l/c/chySctZP, or contact Arrive Health’s Privacy Officer at privacy@arrivehealth.com 

B. Research

All research, investigations and clinical trials conducted by Arrive Health are subject to high ethical standards and must comply with federal and state laws. Arrive Health does not tolerate research misconduct. Research misconduct includes fabrication or falsification of data, research procedures or data analysis; destruction of data for fraudulent purposes; plagiarism; abuse of confidentiality; or other fraudulent actions in proposing, performing, reviewing or reporting the results of research or other scholarly activities. Arrive Health protects all patients and respects their rights during research, investigations and clinical trials. All individuals asked to participate in a clinical trial or research project are given a full explanation of the risks, expected benefits and alternatives to volunteering for a clinical trial during their consent process. An individual’s refusal to participate in a research study will not compromise his/her access to services. Any person engaging in human subject research at an institution must obtain Institutional Review Board (IRB) approval and facility approval prior to the research taking place. Every researcher must follow federal regulations and Arrive Health policies related to research. 

C. Anti-kickback.

Arrive Health team members must never offer or take compensation of any kind (i.e. anything of independent value) in exchange for referrals of federal healthcare business. Anti-kickback and other fraud and abuse laws and regulations are very complicated. They often require interpretation by Compliance and/or Legal. If you face a situation that may violate these laws, contact the Compliance or Legal Department. 

D. Compliance with federal health programs (Medicare, Medicaid, etc.).

As is discussed above, Arrive Health provides services governed by federal, state and local laws and regulations. Practices prohibited by these laws and regulations include: filing of or facilitating filing of false claims, illegal patient referrals, providing medically unnecessary services, and many others. 

E. Accuracy in records, coding and billing.

We are committed to accurate record-keeping, coding, billing and claims submission. There are numerous laws and regulations that govern how we maintain records and bill for our services. 

The federal False Claims Act (31 USC § 3729-3733) makes it a crime to knowingly make a false record or file a false claim with the government for payment. “Knowingly” is defined as “deliberate or reckless ignorance of facts that make a claim false.” Arrive Health will engage in arrangements with parties that only provide or bill for medically necessary services. 

If a billing error is made during such an arrangement, we will work with the other party to correct the problem by taking one or more of the following steps: 

• Refund overpayments or payments made in error. 
• Resubmit claims. 
• Provide additional team training. 
• Contact government authorities. 
• Create new or revised policies and procedures. 
• Discipline staff. 

Federal penalties for violations of the False Claims Act (FCA) can be up to three times the value of the false claim, plus fines. Employees of Arrive Health who suspect any violations of this section should immediately report the issue to the Compliance Department. Employees who report suspected violations of the Act and/or possible false claims submitted are protected under the Act from being fired, demoted, threatened or harassed by their employers. Arrive Health will conduct ongoing reviews of billing practices of the parties to ensure accuracy in record-keeping, billing and claims submission. 

F. Conflicts of interest.

Arrive Health team members must avoid relationships and activities that could interfere with their ability to conduct business fairly. If you have outside activities or personal interests that influence or appear to influence your ability to make objective decisions on the job, a conflict of interest may exist. As a general rule, a supervisor should not directly or indirectly supervise, evaluate or be involved in the employment of any employee with whom they have a personal or business relationship. Any actual or potential conflict of interest must be disclosed as quickly as is reasonably practical to your supervisor or manager or to the Compliance Department. Using Arrive Health information, resources or company time for anything that brings personal or financial gain to you or your family may be a conflict of interest. If you have another job or plan on having one elsewhere, you should tell your supervisor or manager the name of your outside employer and the type of job to determine if a conflict exists. 

G. Gifts, gratuities and entertainment.

Arrive Health team members will not give or accept business gifts or favors that represent, or could be thought to represent, unfair business incentives; violate laws, regulations or policies of Arrive Health; or could cause embarrassment to or reflect negatively upon the reputation of Arrive Health. Vendor-sponsored training or education, including travel and lodging, may only be offered to healthcare providers when the business value outweighs the entertainment value of the training event and the environment is conducive to a proper business discussion. In other words, Arrive Health nor its employees, should attempt to conduct a Arrive Health-sponsored “business discussion” at a sporting event or concert; rather such a discussion should be conducted in environments such as the healthcare provider’s office, a hotel conference room or the like. You must get the appropriate approvals from your Senior Manager and the Compliance Department before participating in such training or education. Arrive Health team members are prohibited from offering cash or cash equivalents (including gif certificates and lottery tickets) to patients, healthcare providers, or any referral sources, unless approved by the Compliance Department. Additionally, Arrive Health team members must never provide gifts, entertainment, meals or anything else of value to any employee of the federal government unless approved by the Compliance Department. 

H. Getting help and reporting violations.

When you have ethics or compliance questions or need more information, please contact your supervisor or manager, the Human Resources Department, the Legal Department or the Compliance Department. 

Ethics and compliance concerns will be kept confidential whenever possible, though there are instances such as an official investigation, patient or staff safety, etc., where we are not able to maintain confidentiality. Please use the Compliance Hotline included herein to report possible violations of this Code of Conduct, the Ethics and Compliance Program, Arrive Health policies and procedures and other laws and regulations. 

Every Arrive Health team member must report suspected violations of the Code of Conduct to their supervisor or manager, senior manager, the Compliance Department, the Legal Department or the Compliance Hotline. We will notify you if it becomes necessary to reveal your identity in an official investigation. Arrive Health protects all workforce members against retaliation for reporting Code of Conduct violations or participating in investigations. Penalties for retaliatory behavior can be severe. 

I. How to report a concern.

Arrive Health suggests following the established leadership chain when reporting issues or concerns. An open-door policy is the best policy to have when addressing concerns, therefore, as much as it is within your ability to do so, always first report concerns to your immediate supervisor or manager. When reporting, please attempt to follow the recommended reporting structure: 

• Immediate supervisor or manager 
• Department head 
• HR Director 
• General Counsel 

Disregarding the chain of command may affect the morale of staff and management and can create an atmosphere of distrust. If you are uncomfortable reporting your concern to any level in the chain, direct your concern to the next level of leadership. If you do not feel comfortable approaching the individuals above, one of the following resources may be contacted: 

• Compliance/Privacy Officer 
• Human Resources 

Compliance Hotline: 1-800-360-4965 (Ext. 5)—available 24/7; But responses may be limited to M-F, 9-5 MST. 

J. Accessing health system policies.

Arrive Health policies are available on Arrive Health’s intranet located at https://arrivehealth.atlassian.net/l/c/chySctZP/. Check with your supervisor or manager or Information Services for more information on accessing the intranet from your work area

K. Compliance Program.

The Compliance Department exists to support Arrive Health’s commitment to ethics and compliance. The Compliance Program is implemented and enforced by the Compliance Officer, Privacy Officer and the General Counsel. 

Compliance Department Email: compliance@arrivehealth.com 

L. Generally Accepted Accounting Principles

Generally Accepted Accounting Principles are accounting principles that are considered to have substantial authoritative support. Pronouncements made by the Financial Accounting Standards Board (FASB) are considered GAAP. All company records are to be in compliance with Generally Accepted Accounting Principles and Securities and Exchange Commission laws and regulations. 

Employees are expected to maintain accurate and reliable corporate records that comply with GAAP, the SEC, and Company policies and procedures. 

The Company CEO, Chief Financial Officer, and others identified by the CEO have specific legal obligations to ensure the Company provides full, fair, accurate, timely, and understandable financial reports and internal controls. 

M. Moral and Ethical Standards

All employees are expected to adhere to sound moral and ethical standards. 

N. Loyalty

All employees and Officers have a duty of loyalty to the Company and may not take personal advantage of any opportunity that properly belongs to the Company. 

O. Employee Privacy

The Company is committed to protecting the privacy of its employees. This includes employee data maintained by the company. Employee data will primarily be used to support Company operations, provide employee benefits, and comply with laws and regulations. The Company and all employees are expected to comply with all data protection laws, regulations, and Company policies. 

P. Computer Resources, Email and Internet

All Internet related services are intended to be used for company business. Unless prohibited by applicable law, all information on Company computer systems, including electronic mail, is the property of the Company. 

To ensure that computing resources are used in accordance with expectations, Management may inspect and disclose the contents of electronic messages if such inspection and disclosure is made for legitimate business purposes or as necessary to protect the rights and property of the Company. Use of computing resources to offend or harass others is not acceptable and prohibited. Employees, who use the Internet to access sites that contain offensive materials related to sex, race, or other protected categories, or who otherwise violate these prohibitions, will be subject to termination. 

Q. Safety and the Environment

The Company is committed to full compliance with all safety and environmental laws and regulations. All employees are expected to comply with these laws, regulations, and Company policies. 

R. Anti-Trust

Any planning or acting together with competitors about the nature, extent, or means of competition is a violation of Company policy and anti-trust laws. This includes, but is not limited to, price fixing, sales or production quotas, geographic competition, and boycotts. 

S. Timeliness

All employees are expected to carry out their assigned duties in a timely manner.