Good Morning Ladies,



Vermont

State Health Insurance Assistance Program (SHIP)

Volunteer Risk and Program Management Policies

INTRODUCTION

The Administration for Community Living (ACL) requires each SHIP program to implement its Volunteer Risk and Program Management system (VRPM), a lengthy series of over 100 policies and procedures relating to the management of SHIP volunteers. These policies and procedures are written to comply with the mandatory VRPM.

The Vermont Area Agencies on Aging (AAAs), through their contracts with the Vermont Association of Area Agencies on Aging (V4A) to administer the SHIP program, strive to recruit volunteers and to administer their volunteer programs to mirror the diversity of their community, and to provide productive, safe, effective and rewarding volunteer programs. Volunteers are a key component of the SHIP Program. Volunteer positions are open to adults regardless of race, religion, color, national origin, gender, gender identity, sexual orientation, ancestry, mental or physical disability, or age. Recruitment and advertising for volunteers is done broadly and through a variety of methods to encourage a diversity of volunteers.

These policies apply to all the AAA SHIP programs. They also apply to any SHIP volunteers V4A may have.

The AAAs ensure SHIP volunteers are given these policies and procedures upon acceptance as a SHIP volunteer. SHIP volunteers are expected to comply with these policies and procedures as a condition of continued involvement with SHIP. Volunteers are responsible for seeking clarification about policies and procedures as needed. Not understanding a policy or procedure is not acceptable grounds for failure to comply.

APPLICATION PROCESS

• Prospective SHIP volunteers must submit an application to the AAA where they want to volunteer or to the SHIP Director at V4A.

• Applications and inquiries about volunteering for SHIP must be responded to promptly and without undue delay.

• The volunteer applicant must be informed of the timeframe within which screening will be done and when they should expect to receive a response about their application.

• Prospective volunteers will be informed of the outcome of their application as expeditiously as possible.

SCREENING

• All volunteers are screened for acceptance as a SHIP volunteer by an authorized AAA staff person. Acceptance is not automatic. The screening process varies according to the nature and degree of responsibility for the position, access to confidential and personal information, and access to beneficiaries. Volunteers who will have access to confidential and personal information are subject to significantly more screening. Screening for any specific role is performed the same way for all applicants for that role. Screening policies are updated as best practices require and roles change.

• Applicants are informed about the range of screening inquiries that will be used prior to screening and no screening is done without the permission of the applicant. Applicants have the right to refuse permission for any line of screening. The AAA has the right to terminate the application process if the applicant refuses necessary screening.

• All prospective volunteers are interviewed to ascertain their suitability for, and interest in, volunteer roles.

• Existing SHIP volunteers are subject to all provisions of these policies and must meet screening standards relevant to their volunteer roles, with the exception that interviews and reference checks do not need to be repeated.

• The AAAs will repeat criminal record and drivers records checks for volunteers every three years.

• Volunteers who apply to transfer to a new role must meet the screening suitable to the new role. Failure to meet the screening criteria for the new role may mean denial of the new role.

• Reacceptance of previous volunteers is based on past performance and any updated or additional screening required by these policies relevant to the volunteer role they are seeking.

• Screening documentation will be held in the volunteer’s personnel file. The AAAs have policies that determine how long the documentation is retained after the volunteer’s involvement ends.

• For applicants not accepted into volunteer service, screening documentation is retained for a minimum of six months after the volunteer has been notified of the non-acceptance as a volunteer.

• Providing false information, including material omission or misrepresentation, at any point during the screening process or after acceptance is grounds for immediate disqualification or dismissal.

• The confidentiality of information collected during volunteer screening is carefully protected. It may be shared with the AAA screening/hiring authorities as needed in the determination of volunteer suitability.

BACKGROUND AND CRIMINAL RECORDS CHECKS

• Required background checks vary according to the volunteer role. (See Volunteer Roles section)

• A nationally required reference and criminal background check is required for current and prospective volunteers applying for a role that is considered a position of trust.

• Conviction of certain criminal offenses will disqualify a person from volunteer service with SHIP including: financial or health care fraud or abuse, elder or child abuse, violent crime, and identity theft.

• AAAs reserve the right to disqualify persons who have been convicted of lesser or multiple offenses.

DRIVING CHECKS/AUTO INSURANCE

A driving record check will be performed if a volunteer will be driving as part of their SHIP volunteer duties, including transporting other SHIP staff. Volunteers must provide proof of a valid driver’s license and car insurance, which must be verified annually and documented. The AAAs do not provide car insurance related to any volunteer duties.

ACCEPTANCE AS A SHIP VOLUNTEER

• The AAAs reserve the sole discretion to accept applicants based on a number of factors, including the interview and background and reference checks.

• A written offer of acceptance is provided to all new volunteers. There is no expectation or requirement of continued service or re-assignment at the end of the term.

• Volunteers will not begin work until they have been formally accepted.

• Volunteers may be offered the opportunity to attend an initial SHIP volunteer training while awaiting results of criminal records check, driver's record check, and other documentation and prior to formal acceptance into the program.

• Following acceptance, volunteers begin work as soon as practically possible.

• Volunteers may resign at any time and for any reason. They should try to give as much advance notice as possible and the reason for their resignation. At the time of resignation, volunteers must turn in all identification and property and materials belonging to the AAA.

• Volunteers may seek a different volunteer assignment within the AAA or may retire from volunteer service at any time.

• SHIP volunteers will not be able to provide service until all required screening, submission of necessary paperwork and required training has been satisfactorily completed.

• Volunteers are informed of the appeals procedures of corrective actions at the time of acceptance.

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PLACEMENT

The AAAs are attentive to the interests, capabilities and needs of its volunteers and the requirements of their volunteer roles. Placements are not made unless the requirements of the volunteer, the role, and the supervising staff can be met. Wherever possible, volunteer roles are adjusted to meet the interests and availability of volunteers. Volunteers are not placed in roles where paid staff are unsupportive. Volunteers can decline a suggested placement and/or request changes to their assignment at any point. Final placement decisions are made at the discretion of the AAA based on consideration of all relevant information gathered in the application and screening process.

• Requests from paid staff for volunteers should be communicated to the volunteer coordinator or supervisor for their agency.

• Volunteer resources do not displace the work of paid staff.

PROBATIONARY PERIOD

• All new volunteers are placed on probation for a period of three months after initial training is complete.

• If it is determined by either party during the probationary period that involvement with SHIP is not appropriate, termination can be immediate and without notice or reason provided by either party.

• The AAA staff supervisor will contact the volunteer at the end of the probationary period to finalize acceptance, or make alternate plans if a volunteer’s tenure is in question.

REFUSAL OF ASSIGNMENTS

• Volunteers have the right to refuse tasks or work assignments. Wherever possible, volunteers should provide advance notice of refusal to the coordinator of volunteers or their direct supervisor along with reasons for the refusal

• Volunteers are expected to refuse work assignments whenever an assignment exceeds the parameters of the volunteer role description or requires the volunteer to perform a function for which they have not been trained or are not qualified, or exceeds the limits of their capacity.

• Paid staff should not make unreasonable demands on volunteers or request that volunteers exceed the boundaries of the role description or the limits of their individual capacity.

VOLUNTEER ROLES

There are a number of possible roles for SHIP volunteers. Roles and role descriptions may vary among the AAAs, depending on individual agency needs. Roles which involve access to individual beneficiary information or access to confidential information are considered “positions of trust” and may be subject to stricter screening than other volunteer roles. Possible roles for SHIP volunteers and activities include: outreach and education, administrative support, data entry, assistance during Open Enrollment, and counseling beneficiaries.

CONFIDENTIALITY

• Volunteers are responsible for maintaining the confidentiality of all proprietary and privileged information, including personally identifiable information (PII) to which they are exposed while serving as a volunteer, whether this information involves a member of staff, a volunteer, a beneficiary or other person, or involves the overall business of the AAA. PII is information that can be used on its own or with other information to identify, contact, or locate a single person, or to identify an individual in context. PII includes name, date of birth, social security number, address, email address, phone number.

• Volunteers must take all necessary precautions to safeguard the confidentiality of all SHIP and beneficiary related information and to prevent personal information of beneficiaries from being disclosed to unauthorized persons.

• Work with individual beneficiaries takes place at AAA offices, unless a volunteer has explicit approval from their supervisor for off-site work. Alternate meeting arrangements must maintain beneficiary privacy.

• There is zero tolerance for breaches of confidentiality. Volunteers will use any information collected or obtained in their course of their SHIP work only for the purposes of assisting a beneficiary or otherwise fulfilling volunteer role responsibilities.

• Where one-to-one information is requested by an audience member at a public presentation, SHIP volunteers will provide general information only and explain how to request individual information.

• Volunteers are not placed in a position of direct service to members of their family who are receiving AAA services.

• Information obtained in the course of SHIP work will not be disclosed unless the appropriate AAA staff authorizes it.

• Volunteers will sign a Confidentiality Agreement (Appendix A) and remain in compliance with this agreement as a condition of continued involvement in SHIP volunteer service.

• If a beneficiary shares information alluding to physical or sexual abuse, the volunteer must inform

the beneficiary that this will be reported to their supervisor and other related authorities. The

volunteer must report the information to their supervisor, who will follow the AAA protocol.

SAFETY

The health and safety of all volunteers is a top priority of the AAAs. They maintain safe and appropriate worksites for its staff and volunteers. Worksites should include facilities, equipment, and space necessary for volunteers to safely, effectively, and comfortably perform their duties.

• Volunteers do not work alone in the AAA offices in the absence of at least one supervisor or paid staff.

• Home visits with a beneficiary must have explicit approval by the AAA supervisor and volunteers must follow the AAA safety protocols.

• Volunteers receive the same training and have the same responsibility as paid staff for the use of material and equipment in performance of their duties. Volunteers will be informed of foreseeable hazardous aspects, materials, equipment, or processes they may encounter while performing volunteer work and will be trained to handle identified risks.

• The AAAs have emergency contact information for each volunteer. They give volunteers direct contact information for their supervisor. Supervisors must respond to emergencies without delay.

• The AAAs will communicate with volunteers the plan for dealing with any natural disasters, including snow storms, floods, tornados, and earthquakes.

• A SHIP volunteer who is involved in or witnesses an accident, act of violence, misconduct, or another threatening event will contact emergency services (if appropriate) and then the assigned SHIP volunteer supervisor. Volunteers must follow the AAA protocol and complete any required reporting forms.

• SHIP volunteers who witness instances of physical, psychological, financial or verbal abuse of consumers while performing their assigned duties must report this to their supervisor and complete the AAA appropriate form so that appropriate follow-up can occur.

• Volunteers who violate safety standards, who cause hazardous or dangerous situations, or who fail to report such situations are subject to disciplinary action, including dismissal.

• Any accident or injury to or by a volunteer must be reported immediately to the volunteer’s supervisor. The volunteer must follow the AAA protocol. The supervisor ensures appropriate notification to relevant authorities and undertakes necessary steps to respond and resolve the incident.

• All SHIP volunteers should consult with their own insurance agents regarding the extension of their personal insurance to include community volunteer work. The AAAs maintain liability and accident insurance for all SHIP volunteers engaged in its business. However, volunteers are expected to use their own insurance coverage, including automobile insurance, in the event of a health issue, accident or injury.

ORIENTATION AND TRAINING

Volunteer orientation and training is essential to effective SHIP service delivery. Both SHIP and its volunteers have the right to ensure that training leads to satisfactory volunteer performance. Volunteers will receive on-the-job training specific to their volunteer assignment. The timing and methods of training will be appropriate to the complexity and demands of the volunteer role and the volunteer’s capabilities.

• Volunteers must be willing to participate in a program orientation and training provided by the AAA. At the discretion of the AAA, credit may be given for training received at another organization that overlaps training provided for the SHIP volunteer role. Volunteers are subject to the SHIP Certification and Recertification Guidelines and must meet certification guidelines when required.

• Some volunteer roles require update and/or recertification training. Volunteers who are not able to meet continuing education training requirements will be removed from their volunteer role.

• Orientation must include at the least the following: purpose and values of SHIP, nature and operation of the program, and the purpose, duties and requirements of the activity they will be performing,

• All volunteers will receive continuing on-site supervision, mentoring and training.

• Volunteers who are re-assigned receive all appropriate orientation and training before beginning their new role.

• Volunteers are not assigned their duties until they demonstrate minimum levels of comprehension and skill, and following the criteria process used by the AAA, and meet the certification and training requirements required for the volunteer role.

• Volunteers receive training for any work-related equipment and have the same responsibility as paid staff for use and maintenance of property and materials. Use is directly related to the requirements of their volunteer work.

PROGRAM STANDARDS

Each volunteer role has established standards of performance. They include the work to be done in that role, measurable indicators of whether the work was accomplished to the required standards, and if appropriate, time frames for accomplishment of the work.

Volunteers should know the standards of performance that apply to the work they will do. A copy of the relevant standards of performance is provided to all volunteers at the beginning of their assignment along with a copy of the role description.

• Volunteers, like staff, are representatives of SHIP. They are responsible for presenting a good image to beneficiaries and to the community.

• Volunteers are not spokespersons for the AAA or SHIP in any formal way and do not represent themselves as such.

• Volunteers are expected to conduct themselves as business professionals regarding all community and staff interactions with dignity and respect.

• Volunteers are expected to be reliable and punctual. They should inform their supervisor as far in advance as possible if they expect to be absent so that alternate arrangements may be made.

• Volunteers recognize and respect the limits of their roles as communicated by the AAA. If a volunteer is in doubt about the limitations of their role, they should take no action until they receive direction from their supervisor, volunteer coordinator or other authorized AAA staff person.

• Volunteers do not recommend or endorse specific services, providers or products to beneficiaries or make plan choices or decisions for beneficiaries. They do not use their SHIP affiliation in connection with partisan politics, religious matters, business dealings or community issues. They provide current and accurate information and see additional information or assistance when specialized knowledge or expertise is required.

• Volunteers do not engage in political activity during their SHIP volunteer hours, which includes publicly expressing their own political views, displaying or distributing political signs or materials, or soliciting or accepting political contributions.

• Volunteers provide services in a responsible and objective way, without regard to the background or characteristics of beneficiaries. Volunteers are trained in and demonstrate respect for the norms and cultures of the beneficiaries with whom they work and to be sensitive to their beliefs, traditions and lifestyles.

• Volunteer relationships with beneficiaries have the same boundaries as those between paid staff and beneficiaries. Volunteers are not allowed to enter into financial transactions with beneficiaries, their family members or caregivers.

• Volunteers are not authorized to re-assign their role to another program volunteer.

• Frequent absenteeism may result in a review of the volunteer’s work assignment or term of service.

• There is a zero tolerance of alcohol and drug use in the AAA work environment. Noncompliance is grounds for immediate dismissal. The possession or consumption of alcohol or illicit drugs or misuse of over the counter or prescribed drugs is prohibited. Volunteers do not use, possess, transfer, distribute, manufacture or sell alcohol or any drug on AAA property or while operating a vehicle in performance of SHIP duties.

• Volunteers do not accept gifts from beneficiaries, their families, caregivers or other representatives. Honoria offered to SHIP may be accepted by a volunteer on behalf of the AAA.

• Volunteers must accurately and timely submit required paperwork, including time sheets if relevant, information about contacts and other tasks.

• If a worksite is affected by a labor dispute, volunteers are free to choose whether or not to continue their volunteer activities. AAA management decides whether it is appropriate for volunteers to continue their work if they choose to do so.

SUPERVISION

Every volunteer has an identified designated supervisor to provide day-to-day supervision and support. Supervisors are given orientation to working with volunteers. Supervision is constructive, positive and success oriented. Supervisors assign volunteer duties, involve volunteers in the communication flow of the agency, and provide constructive feedback to volunteers regarding their work. Volunteers must agree to accept supervision and support from their designated supervisor(s).

The AAA has the right and obligation to manage the work done by volunteers and the extent of supervision provided. Supervisors are responsible for ensuring that volunteers receive all necessary information relevant to the performance of their work assignments. They are included and have access to all appropriate information, memos, materials, meetings, and consumer records relevant to their work assignments.

Responsibility for volunteer supervision is reflected in the role requirements of paid staff who are volunteer supervisors, and their effectiveness as supervisors is monitored as part of their own routine performance assessment in the same way it is for supervision of paid staff. Paid staff do not make unreasonable demands on volunteers or request they exceed the boundaries of the role or limits of the individual volunteer.

The AAA has an informal as well as a formal system for providing feedback and recognizing the service of its volunteers, individually and collectively, on a regular and frequent basis.

Regional SHIP coordinators should consult with their agency supervisor and/or SHIP Director about any needs or concerns about a program volunteer.

CORRECTIVE ACTION/DISMISSAL

The AAAs establish grounds for corrective action and dismissal of volunteers. Supervisors and volunteer coordinators should use discretion and good judgement in the decisions.

The AAA has a written protocol for progressive corrective action if necessary that includes a wide range of intervention techniques that are positive, constructive and success oriented. The seriousness of the corrective action is matched to the nature of the performance issue, with the corrective action becoming increasingly more serious with the unacceptability of the issue or the volunteer’s repeated failure to improve the situation.

• Corrective action includes a range of interventions from the informal development of a performance improvement plan (involving, for example, additional training, coaching support from an experienced volunteer buddy, adjustment of volunteer duties, or re-assignment to a new role) to the more formal range of disciplinary techniques including warnings, suspension, or, in the absence of success through other methods, dismissal of the volunteer.

• Taking corrective action with a volunteer presumes the behavior is serious enough to warrant specific intervention and consequences. Continuation or repetition of the behavior is not acceptable and is communicated clearly to the volunteer. Some behaviors may be so unacceptable that they cannot be tolerated and may result in immediate dismissal.

• Volunteers who do not adhere to the rules, policies or procedures of the AAA or who repeatedly fail to perform an assignment satisfactorily despite supervisory support and other corrective interventions are subject to dismissal.

• The AAA may decide at any time to terminate the volunteer’s relationship with SHIP and the AAA or make changes in the nature of their volunteer assignment. A volunteer may at any time, for any reason, decide to end his/her volunteer tenure with SHIP.

INFORMATION TECHNOLOGY

Each AAA has a protocol that outlines its procedures to control volunteer access to and use of beneficiary information as well as access to their computers. The protocol should include:

• Appropriate and inappropriate use of computers

• Use of the internet, email, appropriate access to web sites

• Training for volunteers who use wireless devices to connect to the internet while performing SHIP work

• Appropriate use of personal computers

• Appropriate notification if data is misplaced or stolen

• Information security policies related to general computer and internet use apply to SHIP national data reporting software use

• Use of social media

LEAVE OF ABSENCE

• At the discretion of the supervising AAA staff, leaves of absence may be granted to volunteers.

PERFORMANCE EVALUATION

Volunteer supervisors maintain regular communication with management about the status of the volunteers they are supervising. They are responsible for the timely submission of necessary paperwork. The volunteer coordinator or direct supervisor is informed immediately of any change in the status of a volunteer and is consulted before any corrective action is taken.

• Volunteers receive an annual performance evaluation during which an assessment of the volunteer’s performance, on-the-job behavior, achievements, and areas for improvement are discussed. Feedback on volunteer performance is non-threatening, constructive, and supportive. It is an opportunity for mutual exchange and feedback. It includes formal acknowledgement of, and appreciation for, volunteer contributions.

• Volunteer evaluations are conducted in person by the volunteer’s immediate supervisor. Input may also be sought from other supervisory personnel who are in a position to observe volunteer performance.

• The role description and related standards of performance form the basis of performance evaluation.

• The substance and outcomes of volunteer performance evaluations will be documented by the supervisor and placed in the volunteer’s personnel file.

• Volunteers are invited to provide input and suggestions regarding their work, SHIP services, and the volunteer’s relationship with SHIP.

• Necessary paperwork related to the volunteer’s tenure is updated, including the role description, personal contact information, conflicts of interest, and any licensure relevant to their duties (e.g., proof of valid driver’s license, proof of automobile insurance, etc.).

• The coordinator of volunteers provides periodic reports to appropriate senior leadership on current operations and future needs. These evaluations include feedback from both volunteers and paid staff along with community partners as appropriate.

CONFLICT OF INTEREST

A volunteer with a conflict of interest in connection with the work they will do as a SHIP volunteer that cannot be resolved, whether personal, philosophical, or financial, will not be able to serve as a volunteer. This includes, but is not limited to, insurance agents and brokers. All possible conflicts of interest are immediately reported by volunteers to their supervisor.

• AAA can attempt to resolve conflicts of interest through changes of volunteer duties or changes of the volunteer role.

• If a conflict of interest cannot be resolved, the volunteer may be relieved of duty.

• SHIP volunteers will not promote any personal or business interest while undertaking their assignment.

• SHIP volunteers will sign a conflict of interest statement and agree to immediately notify their designated supervisor if any potential conflict arises during performance of their duties.

MAINTENANCE OF RECORDS

The AAAs maintain records for each volunteer, including, but not necessarily limited to: the initial application and documentation, screening information, performance/evaluation records, dates of service, training and orientation, duties performed, performance evaluations, current contact information, etc.

• Volunteers and relevant staff submit all appropriate records and information to the coordinator of volunteers in a timely and accurate fashion.

• Volunteer personnel records are accorded the same confidentiality as staff personnel records.

• Volunteer records are kept in a secure location.

VOLUNTEER ACCESS TO PERSONNEL RECORD

• Upon reasonable notice volunteers may examine the contents of their own personnel file.

HARASSMENT

The AAAs are committed to providing a safe and respectful work environment for all personnel and beneficiaries, including volunteers. All complaints of harassment are treated seriously, whether made informally or formally. Action is taken quickly on all complaints following the AAA’s established procedures to ensure they are resolved quickly and confidentially.

COMPLAINT/GRIEVANCE PROCEDURES

Volunteers who have grievances or complaints with staff, other volunteers, supervisors, or beneficiaries should communicate these to their supervisor. If the complaint or grievance involves the supervisor, the volunteer should communicate their complaint to the next person in the supervisory chain. Concerns related supervisor to will be communicated to the AAA Executive Director/SHIP Director at V4A for resolution.

All complaints are treated as confidential.

In the event that concerns are not being properly addressed, a volunteer can submit a written complaint to the SHIP Director

The AAA/V4A investigates and resolves all complains beneficiaries and outside parties against volunteers.

PROGRAM EVALUATION

The SHIP Director, along with volunteer supervisors, SHIP coordinators, and relevant AAA staff, conducts regular evaluations and a risk assessment on the roles, work and activities of SHIP volunteers at least every three years. Areas assessed include training and qualification procedures, volunteer program management processes, activities and worksites. Risk management procedures are implemented as needed. Budgeting for the SHIP volunteer program is done within each AAA/V4A’s budget process as part of its SHIP funding.

• Annual program evaluations are an opportunity to ascertain the continued interest of volunteers and to gain feedback from all SHIP staff and volunteers about the SHIP volunteer program, program activities and function of the overall volunteer program in which they work.

• Program evaluation will be provided to all SHIP volunteers as an opportunity to enhance program effectiveness and to continue the development of SHIP service to its volunteers.

• Exit interviews should be conducted with volunteers leaving their roles if possible.

• Programmatic and volunteer evaluations outline future goals and plans for improvement in the use of volunteers by the SHIP.

8/6/18

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