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monitoring and investigating activities. E. Enforcement and Discipline • Support compliance and ethics as a component of performance appraisal at all levels; • Require a timely response and aggressive follow-through when misconduct is detected; • Support disciplinary actions taken by Human Resources and/or Compliance Committee; • Support all applicable discipline policies and procedures; and • Support FHCP’s policy of non-retaliation. F. Response to Violations • Actively support corrective action plans implemented by the Compliance Officer and Compliance Committee; • Support self-disclosure when appropriate; • Help create an environment where we learn from our mistakes and where vulnerabilities are viewed as opportunities for improvement; • Insist on periodic review of the Plan to ensure it is up-to-date and continuously improving; and • Support root-cause analysis and corrective action planning at all levels of management. Compliance Plan 2 - 6 Revised December 12, 2018 VI. Role of Downstream and Related Entities of FHCP Entities that enter into contracts with FHCP to provide services to or on behalf of the organization (“Downstream Entities”) and entities that are related to FHCP by common ownership or control (“Related Entities”) and (i) performs some of the organization’s management functions under contract or delegation, (ii) furnishes services to members under an oral or written agreement, or (iii) has ownership/control over FHCP and leases real property or sells materials to the organization at a cost of more than $2,500 per contract year, are expected to support the organization’s compliance activities. Specific efforts and activities of such Downstream and Related Entities include the following: • Performance of all contracted services in compliance with all applicable laws, regulations and other requirements. • Establishment and maintenance of a compliance program that is appropriate to the size of the Downstream or Related Entity and scope of the services being provided to FHCP that includes the seven elements of a compliance plan, as described by the OIG; • Certification as to the accuracy, completeness and truthfulness of all data submitted to FHCP; • Prior to engagement and monthly thereafter, ensure that the entity and all individuals performing activities for or on behalf of FHCP’s federally-funded health products are not included on the HHS OIG/GSA exclusions lists for participation in any government health care program; and • Cooperation in all FHCP compliance activities, including monitoring activities, audits, investigations and corrective actions. Compliance Plan 3 - 1 Revised December 12, 2018 EDUCATION AND TRAINING I. Purpose FHCP has developed a training plan for all of its employees so that all employees are familiar with the Corporate Compliance Plan and understand all FHCP policies and procedures, including the Code of Conduct. II. New Employees As part of initial orientation, all new employees shall receive classroom style training that discusses the goals and objectives of the Corporate Compliance Plan and familiarizes new employees generally with the Corporate Compliance Plan. Within fifteen days of the orientation session, new employees will be asked to sign and return to the Compliance Department an acknowledgment that they are aware of, understand, and will abide by the Corporate Compliance Plan and Code of Conduct. All attendees shall receive a copy of this Compliance Plan that includes a detailed explanation of FHCP’s Disciplinary Guidelines (see Section 8). III. Incumbent Employees As part of the implementation plan, all existing employees will participate in a classroom style training session on this Corporate Compliance Plan and Code of Conduct. Within fifteen days of the training session, all incumbent employees will be asked to sign and return to the Compliance Department an acknowledgment that they are aware of, understand, and will abide by the Corporate Compliance Plan and Code of Conduct. All attendees shall receive a copy of this Compliance Plan that includes a detailed explanation of FHCP’s Disciplinary Guidelines (see Section 8). IV. Downstream and Related Entities of FHCP As a first tier entity, FHCP must comply with all applicable MAPD requirements. FHCP requires its Downstream Entities and Related Entities, including but not limited to those with responsibilities relating to the organization’s activities under the Medicare Advantage and Part D Programs, to include in their respective compliance plans, a component that addresses education and training. All Downstream and Related Entities shall provide to FHCP upon request, certification that all employees providing services to, or on behalf of, FHCP have completed that entity’s education and training within 90 days of hire or contracting. Downstream and related entities who have met the fraud, waste, and abuse certification requirements through enrollment into the Medicare program are deemed to have met the training and education requirements for fraud, waste, and abuse. In the event that it is unreasonable for such entity to conduct its own compliance education and training, FHCP shall make its training opportunities available to the employees of the entity performing activities to, or on behalf of, FHCP. Compliance Plan 3 - 2 Revised December 12, 2018 V. Recurring Annual Testing All employees will receive annual testing with respect to the Our Values In Action program binder as well as the HIPAA Privacy Rule. This testing will focus on key elements within the Corporate Compliance Plan, Code of Conduct, Anti-Fraud Plan and FHCP HIPAA Privacy policies. The testing will also focus upon changes in federal laws and regulations that affect FHCP, including CMS guidance and instructions relating to the Medicare Advantage and Part D Programs and recent government enforcement actions. This testing will be conducted as part of each employee’s annual mandatory education located within FHCP’s online training module. VI. Other Education and Training At the direction of the Compliance Officer and/or Compliance Committee, supplemental training may be conducted as needed to address changes and/or key developments in the Corporate Compliance Program, federal laws and regulations or any other area of interest. Additional training may be conducted for specific employees who have responsibilities in areas of high risk for fraud and abuse, such as billing and claims processing, as well as employees responsible for activities relating to FHCP’s participation in government health care programs. In addition, if determined to be the most effective means of education, the Compliance Officer may direct specific employees to attend continuing education classes outside of FHCP. Additionally the Compliance Department will publish informational articles in FHCP’s employee, provider, and member newsletters. FHCP also offers department specific compliance training on a regular basis. VII. Monitoring of Education Employee participation in training activities is mandatory. The Compliance Officer shall be responsible for developing, coordinating, and monitoring all training related to the Corporate Compliance Program and Code of Conduct. The Compliance Officer shall keep a written record of all such training sessions. The Compliance Officer will also be responsible for tracking employee participation in such training activities. Examples of tracking include attendance logs and examination results. VIII. Training Content Employees shall be informed during the training session that strict