Beyond Recruitment:
How to Ensure the Safety
of Your Volunteers, Your
Clients, and Your Program
N4A,
July 14, 2014
Speakers
Ginny Paulson, SMP Resource Center
Director, Northeast Iowa Area Agency
on Aging
Jason Echols, Illinois SMP, Health Care
Consumer Protection Coordinator,
AgeOptions
Senior Medicare Patrol (SMP)
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An education and Medicare fraud prevention program
aimed at educating beneficiaries on preventing,
identifying, and reporting fraud
Provides a direct link from Medicare Beneficiaries to
Fraud Investigators
Funded by the U.S. Administration for Community
Living (ACL)
 Grants to all 50 states, Puerto Rico, Guam, DC, and U.S. Virgin
Islands
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Supported by the national SMP Resource Center:
www.smpresource.org
SMP Volunteers
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SMP engages a network of more
than 5,000 volunteers each year
What SMP Volunteers do:
 Conduct educational presentations
 Provide one-on-one fraud prevention
counseling
 Assist with complaints of suspected
Medicare fraud, errors, and abuse
 Assist with making referrals to
investigators
SMP Volunteer Risk and Program
Management
• A national SMP volunteer risk and program
management (VRPM) initiative is underway, which
began in 2010
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Policies
Resource, training, materials
Visit www.smpresource.org
“It’s not that we don’t trust volunteers! It’s that the
work they do is so important that we absolutely must
oversee that work closely.”
- Linda Graff
Volunteer Involvement Cycle
Who Benefits and Why?
• Program Clients
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Are served by well-trained, supported, and screened
persons
• Volunteers
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Are well trained, supported, recognized, and protected
…So they want to stay!
• Programs
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Because problems are prevented in the first place
Because a well-structured volunteer program exhibits a
good faith effort in protecting clients and volunteers
 Beneficial and also protective, if problems occur
In Your Volunteer Program…
Do you have difficulty
recruiting volunteers?
Do you have difficulty
retaining the volunteers you
recruit?
Quick Exercise
Can you think of an incident
when a volunteer, even if
acting on good faith, caused
any harm or came to any
harm?
You’ve Identified Some Risks:
Now What?
• Undertake an assessment
of your program’s risks, then
mitigate risks through such
as activities as role design
and determining screening
standards.
• SMP risks have been
assessed nationally and
locally
Risk Assessment
• Convene a team
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Coordinator/s of volunteers
Agency leaders
Significant agency partners (if applicable)
Experienced volunteer/s
• Assess risks associates with:
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People
Management System
Environment
• Rate the magnitude of risks
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Likelihood of occurrence
Degree of harm
• Determine how you will mitigate risks
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Address volunteer role design, at a minimum
Senior Medicare Patrol: Local
Perspective
Jason Echols - AgeOptions
SMP in Illinois
• Illinois SMP at AgeOptions
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AgeOptions is Suburban Cook County Area Agency on Aging
(AAA)
• Statewide Partners (including all 13 AAAs)
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Volunteers at these host agencies
• SMP staff support volunteers
Implement Volunteer Policies:
How we did it
• Communication
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With partners/volunteer host sites
• Shared Responsibility
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Taking some burden off host sites
Dedicated SMP staff to screen and train volunteers
• Volunteer Roles
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Defining roles = Defining policies for each role
Road Blocks
• Balancing communication
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Too little information vs. Too much information
• Resistance is good (not futile)
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May raise important concerns
How will we address the issue?
Risk Example
• SMP volunteers give presentations to Medicare
beneficiaries at various community sites, including
senior buildings.
Ask Risk Assessment Questions
• What could go wrong?
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Participant has a medical emergency
• How bad would it be if this happened?
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Pretty bad – Someone could be injured or die
• How likely is it to happen?
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Somewhat rare (Hasn’t happened yet!)
• Can we live with it?
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No, we want to address it and prepare our volunteers if it
happens
Address the Risk
• Address the issue with policies, trainings, forms,
etc.
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Require staff person from building to be present or
readily available during the event
Instruct volunteers to cancel if there is not a staff person
easily available
Incident report – A form that allows volunteers to report
any incidents to SMP
How the Illinois SMP Has Benefited
• Good volunteers like it and want it
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Like to know what is expected of them
Want to have structure and be protected
• Interaction after training
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Supervision for excellence
Annual check-in and review process (“Evaluation”)
• A more engaged volunteer
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Higher average work hour per volunteer
• Volunteers want to stay (Retention)
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Investing in the program because we invest in them
Pay as Much Attention to What’s Right
in Your Program
A Safe Program
+ Rewarding
Volunteer Work
+ Volunteer
Recognition
Retention!
The Value of Informal Recognition
The most effective volunteer
recognition occurs in the day-today interchange between the
volunteer and your organization
through the staff expressing
sincere appreciation and
thanks for the work being done
by the volunteer.
Resources Available from the SMPs:
www.smpresource.org > Resources for SMPs >
VRPM Implementation
Volunteer Program Management Manual
Risk Assessment Policy Companion Guide
80 sample forms, checklists, templates
• Some of which are in your handouts today
Thank you for participating in our
session today!
Ginny Paulson
SMP Resource Center
Jason Echols
AgeOptions
Email:
[email protected]
Phone:
Toll free: 877-808-2468
Direct: 319-358-9402
Website:
www.smpresource.org
Email:
[email protected]
Phone:
Toll free: 800-699-9043
Direct: 708-383-0258
Website:
www.illinoissmp.org
238/5/2014
Sample Risk Assessment Planning Flowchart
Risk Assessment Step
1. Assemble a Risk Assessment
Team:
Convene team with a range of
skills & knowledge…
-Volunteer program staff
-Volunteers
-Other agency staff
-Legal advisor
-Partner staff
-Outside experts
Person(s) Responsible
Complete by Date
Comments
2. Decide on Your Focus:
-Program Area
-Geography (urban, rural, etc.)
-Volunteer Roles
-Partners
3. Identify Risks:
Focus on…
-Physical abilities needed to
perform tasks
-Attitude needed to perform work
safely
-Worksite & equipment
-Skills needed to perform work
-Characteristics of clientele
-Procedures & protocols
1
Risk Assessment Step
4. Evaluate Risks:
Prioritize risks in terms of…
-Likelihood of occurrence
-Degree of Harm, Impact
Person(s) Responsible
Complete by Date
Tools Available
5. Control Risks:
For each identified risk, decide to…
-Stop the Activity
-Eliminate the Risk
-Minimize the Harm
-Transfer the Liability
6. Review and Update Risks &
Procedures:
Make additions or changes, e.g.,
to…
-Screening techniques
-Orientation & Training
-Supervision & oversight
-Partner Agreements/MOUs
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Sample Risk Assessment Worksheet
Instructions
Section 1 – Risks Associated with People
Identify and assess risks connected with volunteer roles and activities. Consider especially any unique roles that differ materially from the standard
SMP roles. Are there additional risks arising from any role that should be addressed? Consider any changes in responsibilities and working conditions
that may give rise to new or increased risk. Next, identify and assess risks connected with the program’s clients in their interactions with SMP
volunteers.
Section 2 – Risks Associated with Management Systems
Identify and assess risks connected with volunteer training and qualification procedures (e.g., screening, orientation), volunteer performance
management and evaluation procedures and practice (e.g., annual performance reviews, discipline), and volunteer program management processes
and activities (e.g., supervision, support, etc.)
Section 3 - Risks Associated with the Volunteers’ Work Environment
Identify and assess the risks connected with the places where volunteers perform their duties such as presentation sites, work stations, and meeting
places. These risks may involve dangerous conditions in the physical plant, the security of sensitive information and data, computer use, etc.
All Sections
Rate the chance or likelihood of the risk happening from 1 to 5, with one as a low likelihood and 5 as high likelihood. Next, rate the degree or
magnitude of harm from 1 to 5, with one as low magnitude and 5 as high magnitude. Prioritize the risks starting with those that are highly likely to
occur and have a high chance of occurring.
Printing Tip
If you plan to work from paper copies, print multiple copies of each table below, to accommodate more than three identified risks per topic.
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Section 1: Risks Associated with People
SMP Volunteers: Roles and Activities
Risk
ID #
Describe the Risk
Likelihood of
Occurrence
Degree of Harm,
Impact
Can Live With
It? Yes/No
Controls already in place? Additional steps to
control risks?
2
Section 1: Risks Associated with People
Clients and Beneficiaries
Risk
ID #
Describe the Risk
Likelihood of
Occurrence
Degree of Harm,
Impact
Can Live With
It? Yes/No
Controls already in place? Additional steps to
control risks?
3
Section 2: Risks Associated with Management Systems
Risk
ID #
Describe the Risk
Likelihood of
Occurrence
Degree of Harm,
Impact
Can Live With
It? Yes/No
Controls already in place? Additional steps to
control risks?
4
Section 3: Risks Associated with the Volunteers’ Work Environment
Risk
ID #
Describe the Risk
Likelihood of
Occurrence
Degree of Harm,
Impact
Can Live With
It? Yes/No
Controls already in place? Additional steps to
control risks?
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Sample Risk Identification
Worksheet – Sample role risk
assessment
Use this worksheet to brainstorm possible areas of risk related to a volunteer role. Consider
possible risks or problems that might arise in each of the categories below:
Physical Ability:
1.
2.
3.
4.
5.
6.
Skills:
1.
2.
3.
4.
5.
6.
Attitude, Maturity:
1.
2.
3.
4
5.
6.
Insert date
Equipment Use:
1.
2.
3.
4.
5.
6.
Worksite:
1.
2.
3.
4.
5.
6.
Clientele:
1.
2.
3.
4.
5.
6.
Failure to Follow Procedures:
1.
2.
3.
4.
Insert date
Sample Tips for Volunteer Recognition
1. Send a hand-written thank you note.
2. Mention them by name in a newsletter or other publication.
3. Seek their opinions and feedback.
4. Cite their work as an example for others.
5. Offer them extra responsibility, like helping in the interview process or by mentoring a
new volunteer.
6. Serve refreshments when they gather for a meeting or come to the office to visit.
7. Call to ask, “How’s it going?”
8. Invite them to work with you on a special project.
9. Take them to lunch.
10. Ask them to represent your program at a meeting or on an advisory board.
11. Ask your organization’s director to send a hand-written thank you note.
12. Find training and skills building opportunities for them.
13. Nominate them for local community service awards.
14. Nominate them for national recognition by the AoA.
15. Ask a volunteer to participate with you in media interviews and/or photo opportunities.
16. Celebrate birthdays.
17. Give certificates of appreciation.
18. Use their quotes in brochures and other promotional materials.
19. Celebrate their anniversary date or years of service with the SMP program.
20. Give them SMP promotional items, like baseball caps and coffee mugs.
21. Send a get well or sympathy card as appropriate.
22. Hold a volunteer appreciation day event, like a lunch or picnic.
23. Invite a reporter to write a feature article about the volunteers in your program.
SMP Volunteer Involvement Cycle
The volunteer involvement cycle is a multi-step process, starting with a needs assessment and proceeding clockwise through the
additional processes, as shown below. The entire process is repeated as needed throughout the life of the volunteer program.
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About the Steps:
1. Assess needs and plan
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•
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Set strategic goals
Conduct risk assessment
Assess community resources
Review volunteer program infrastructure
2. Design Roles
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Keep staff and program needs in mind
Develop role descriptions
Set standards of performance for each role
3. Recruit
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Target to specific audiences
Use key messages
Have a recruitment methodology
Ensure a smooth connection process
4. Match (volunteers to work)
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Interview
Screen and verify references
Exclude unsuitable candidates
Place volunteers in appropriate roles
6. Supervise
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Communicate
Provide feedback
Update volunteer assignments
7. Manage (performance)
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Mentor
Coach
Conduct corrective action
Release from service
8. Retain
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Provide daily reinforcement
Recognize
Reward
Promote
9. Evaluate (program)
•
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Measure overall program success using key
indicators
Seek input from staff and volunteers
Provide feedback to management
5. Orient and train
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•
•
•
Orient
Conduct role training
Conduct behavior and standards training
Confirm role suitability
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Position of Trust Analysis Worksheet
This worksheet is based upon the information contained in the Risk Assessment Policy Companion Guide found at
www.smpresource.org. The purpose of this worksheet is to help you analyze newly created volunteer roles for their level of risk. If
you choose to create additional volunteer roles for your SMP, use this worksheet to help you assess the planned tasks,
responsibilities, and working conditions to determine if the new role or roles should be considered “positions of trust” (see VRPM
Policy 1.8). The six standard SMP roles outlined in VRPM Policy 1.7 have already been analyzed this way. Four of the standard roles
are positions of trust and two are not.
If you answer “yes” to any of the assessment questions below, the new volunteer role would qualify as a “position of trust.”
[The questions below are derived from Pages 16 - 18 of the Risk Assessment Policy Companion Guide]
Proposed Position/Role Name: _________________________________________________________________________
1. Does the role involve direct contact with clients/beneficiaries and access to their personal information?
Yes
No
2. Does the role involve an ongoing relationship with a client/beneficiary?
Yes
No
3. Does the role involve direct contact with clients who are vulnerable due to frailty, incapacity, or isolation?
Yes
No
4. Does the role involve access to personal or confidential information?
Yes
No
5. Does the role involve access to money or other valuable items?
Yes
No
6. Does the role place the volunteer in a position of authority in relation to the client/beneficiary?
Yes
No
7. Is the role likely to create a dependent or reliant relationship between the volunteer and client?
Yes
No
8. Will volunteers in their new role be required to exceed normal role boundaries or exercise greater
degrees of discretion?
Yes
No
Position of Trust Analysis Worksheet
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Here are some additional references from the Risk Assessment Policy Companion Guide to keep in mind as you analyze new roles
regarding positions of trust:
 Section 2.1.3, The source of risks, Definition of a position of trust (P. 5):
“A position of trust exists when someone is placed in a position of power and authority over another person in an ongoing
relationship. Positions of trust create unequal relationships between the parties, creating greater vulnerability. Individuals in
positions of trust may include, but not be limited to, family members, friends, caregivers, volunteers, and employees. The degree
of trust depends on the nature of the relationship and, in particular, on the degree of authority, reliance, and/or dependence
created in the position. Positions of trust are also created when persons are granted access to financial or other material
resources, or sensitive or confidential information.”
 Section 2.3, Meeting increasing community standards (P. 8):
“The riskier and/or more responsible the activities undertaken by volunteers, the higher the standard of care required of the
organization. For our purposes, many SMP volunteers are in positions of trust undertaking work that is inherently risky. That
would suggest that, if put to the test, the standard of care expected around the coordination of SMP volunteer efforts would be
relatively high.”
 Section 2.4.4, The connection to effective volunteer program management (P. 10):
“Risk management and volunteer program management are intertwined. For example, screening volunteers thoroughly for a
position of trust is good volunteer program management while at the same time being a prime example of good risk
management.”
Position of Trust Analysis Worksheet
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