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Our MISSION AND VISION - SEHA

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Letter to Employees<br />

Dear Colleagues,<br />

Emiri Decree No. 10 of 2007, which established<br />

Abu Dhabi Health Services Company PJSC<br />

(<strong>SEHA</strong>), set out a number of goals and<br />

responsibilities of the new organization.<br />

Implied in these responsibilities is a duty of<br />

<strong>SEHA</strong> and its employees to always do the<br />

right thing when it comes to taking care of<br />

our customers and communities whom we<br />

serve.<br />

That is what these Standards of Conduct are about:<br />

knowing what the right thing is and then doing the right thing.<br />

As a healthcare worker, we know you take pride in what you do every day.<br />

You make a difference in people’s lives. There is great satisfaction in our work<br />

and we know you feel the same.<br />

You also know that our patients rely on us and their families entrust their loved<br />

ones to us and look to us to care for them in the same way they would if they<br />

had your skills and knowledge. The healthcare community is unique in this<br />

regard. We choose to apply the healing arts to serve others. It is a commitment<br />

to caring and our compassion that binds us together as colleagues and unites<br />

us in purpose.<br />

<strong>Our</strong> commitment to our patients means we have other obligations – to each<br />

other, to our partners, vendors and other parties who do business with us<br />

and our professional and other colleagues from other organizations and<br />

institutions who work in our corporate office and hospitals – and they to us. It<br />

also means that we must support one another as we render care, celebrate<br />

when we achieve a goal and at the same time make corrections or alert<br />

someone immediately when we have or become aware of a problem or an<br />

error. We cannot allow any of us to fail in our duty to our patients, as doing<br />

so may put them at risk and erode the trust which they have placed in us and<br />

which we have worked hard to earn. This will reflect poorly on our reputation,<br />

character and values and harm the pride we have in our organization and<br />

ourselves.<br />

behavioral rules we must apply every day in order to win the trust of those<br />

who have an interest in our company. Without exception, the Standards apply<br />

to every <strong>SEHA</strong> employee as well as all others who may work on behalf of or<br />

for the benefit of <strong>SEHA</strong> such as our vendors, suppliers, consultants, trainees,<br />

volunteers and our corporate board of directors. The Standards are a formula<br />

of necessary behavior to protect our patients and customers, their families,<br />

each other and each of our stakeholders. Unless we follow these Standards<br />

of Conduct we believe we cannot reach our mission of providing world-class<br />

healthcare.<br />

That is why we need to support each other in maintaining the Standards of<br />

Conduct. Never assume that something is someone else’s responsibility or<br />

that your manager or someone in a more senior position is aware of every<br />

situation you find concerning. We must all embrace the Standards and see<br />

that we each live up to its tenets. When in doubt, apply the following test:<br />

if you were to take an action that was questionable, would you like to see<br />

your picture and name in the newspaper the next day describing what you<br />

did Would the article praise your action or describe it as illegal, unethical or<br />

harmful to a patient, customer, a fellow employee or our stakeholders When<br />

in doubt, ask for guidance. We are all together in our mission and we succeed<br />

and fail as one. <strong>Our</strong> patients are relying on all of us.<br />

<strong>Our</strong> spirit as an organization comes from within each of us. I am proud to be<br />

a <strong>SEHA</strong> employee as I hope you are. We ask that you study these Standards<br />

of Conduct and make it part of your every-day work life.<br />

Sincerely,<br />

H.E. Saif Bader Haji Al Qubaisi<br />

Chairman<br />

Carl Vincent Stanifer<br />

Chief Executive Officer<br />

That is why we must exercise appropriate and ethical decision-making at all<br />

times and constantly focus on doing what is right and what is required of us.<br />

The Standards of Conduct outlined in the following pages describe the set of


Contents<br />

Purpose of our Standards of Conduct<br />

<strong>Our</strong> Mission and Vision<br />

Leadership Responsibilities<br />

Patient Care and Medical Treatment<br />

Outsourced Management of Hospitals and Services<br />

Medical Staff Rights and Obligations<br />

Patient Rights<br />

Conflicts of Interest<br />

Patient Information<br />

Work-Place Conduct<br />

Accurate Billing<br />

Medical Research<br />

Fraud and Misconduct<br />

Organisational Information and Property<br />

Accreditation and Regulatory Compliance<br />

Financial Accounts and Reporting<br />

Marketing and Advertising<br />

Regulatory Risk Management and Compliance Program<br />

Acknowledgment<br />

1<br />

3<br />

5<br />

7<br />

11<br />

15<br />

19<br />

23<br />

27<br />

29<br />

33<br />

37<br />

41<br />

45<br />

49<br />

53<br />

55<br />

57<br />

59


PURPOSE OF OUR<br />

ST<strong>AND</strong>ARDS OF CONDUCT<br />

PURPOSE OF OUR ST<strong>AND</strong>ARDS OF CONDUCT<br />

Commitment and Common Purpose<br />

<strong>SEHA</strong> is committed to its employees, patients and shareholder, the Government<br />

of Abu Dhabi. As an organisation <strong>SEHA</strong> is made up of individuals bound by a<br />

common purpose and sharing a set of values and goals. The purpose of the<br />

Standards of Conduct is to identify and express on behalf of its employees<br />

those values and goals. It is what binds us together as colleagues, co-workers<br />

and individuals who wish always to do the right thing and as such build and<br />

maintain an organisation committed to the interests of its stakeholders.<br />

Guideline Relevant to our Work<br />

However, we believe that it is not enough to simply state general principles of<br />

how we must act. We must translate these general principles into guidelines<br />

that are relevant to our areas of work and responsibilities. We understand<br />

that every individual even when wanting to do the appropriate thing faces<br />

a multitude of conflicting choices in his or her work and the goal of these<br />

Standards of Conduct, along with the policies referred to herein, is to help<br />

guide us as to the proper actions which will be consistent with our agreed<br />

ethical standards, <strong>SEHA</strong> values and policies, strategic objectives and goals<br />

and the laws and regulations to which we are subject.<br />

Shared Responsiblity<br />

We also recognize that we have a shared interest in ensuring that our fellow<br />

colleagues and our partners with whom we contract to assist us in carrying out<br />

our functions act in accordance with these Standards. It is therefore necessary<br />

that in addition to helping us understand what we are supposed to do, we<br />

receive the proper amount and type of training and education, tell someone<br />

when we observe someone who is not following our shared Standards (or<br />

systems which might encourage others not to follow the Standards), take an<br />

action when we see something that is wrong and determine why and how we<br />

can continually improve our consistency with the Standards.<br />

Condition of Employment and Association<br />

Because we believe that these Standards of Conduct are critical to achieving<br />

our mission and vision, they are a condition of employment and association<br />

with <strong>SEHA</strong> and each of us, whether a director, officer, employee or contracting<br />

partner must sign an Acknowledgment that we have read, understand and<br />

will reflect these Standards in our daily work and services to <strong>SEHA</strong> and our<br />

patients.<br />

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Abu Dhabi Health Services Company PJSC ( <strong>SEHA</strong> ), Standards of Conduct<br />

Abu Dhabi Health Services Company PJSC ( <strong>SEHA</strong> ), Standards of Conduct<br />

2


<strong>Our</strong><br />

<strong>MISSION</strong> <strong>AND</strong> <strong>VISION</strong><br />

OUR <strong>MISSION</strong> <strong>AND</strong> <strong>VISION</strong><br />

<strong>SEHA</strong> was formed by the Government of Abu Dhabi in 2007 after it made<br />

a transformational decision to provide world-class healthcare to the citizens,<br />

residents and visitors of Abu Dhabi and the Middle East region.<br />

The creation of <strong>SEHA</strong> (along with Health Authority – Abu Dhabi, the health<br />

regulatory framework, the National Insurance Company - Daman and the<br />

health insurance laws) was one of the key steps in this plan. This therefore<br />

is <strong>SEHA</strong>’s mission: to continuously improve customer care to recognized<br />

international standards.<br />

In order to realise our mission, we must believe in and demonstrate the<br />

following values, which are at the core of our Standards of Conduct:<br />

• <strong>SEHA</strong> is an ethical organisation, meaning that before we take any action we<br />

ask ourselves “is this the right thing to do”<br />

• <strong>SEHA</strong> is a patient-centered organisation, meaning that before we take any<br />

action we ask ourselves “is this what is best for the patient (or our patients<br />

in general)”<br />

• <strong>SEHA</strong> is an innovative organisation, meaning that before we take any action<br />

we ask ourselves “is there a better way of doing things”<br />

Where we are required to take an action or make a decision in our work which<br />

is not referred to in the Standards, we may use these values to guide us as to<br />

the proper action or decision.<br />

While each of our <strong>SEHA</strong> corporate office and healthcare facilities or business<br />

entities (including Ambulatory Healthcare Services Division, Al Ain Hospital,<br />

Al Gharbia Regional Hospital, Al Rahba Hospital, Corniche Hospital, Mafraq<br />

Hospital, <strong>SEHA</strong> Dialysis Services, <strong>SEHA</strong> Revenue Cycle Management Services,<br />

Sheikh Khalifa Medical City and Tawam Hospital) may have its own identifiable<br />

mission and vision and expression of ethical principles, these must all be<br />

consistent with and support the principles expressed above. In this way we<br />

can ensure that through our collective efforts we will achieve our goal to<br />

become a world-class healthcare organisation.<br />

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Abu Dhabi Health Services Company PJSC ( <strong>SEHA</strong> ), Standards of Conduct<br />

4


LEADERSHIP RESPONSIBILITIES<br />

LEADERSHIP RESPONSIBILITIES<br />

The Standards of Conduct apply to every <strong>SEHA</strong> employee. However, because<br />

of their special position within the organisation, <strong>SEHA</strong> leadership consisting of<br />

directors, officers, department heads, supervisors and managers must lead<br />

by example and demonstrate every day and in every action consistency with<br />

not only the letter but the spirit and intent of the Standards.<br />

Leadership Standards<br />

Managers must, in fulfilling this obligation, ensure that those under their<br />

responsibility:<br />

• Comply with the Standards of Conduct<br />

• Have the necessary resources, training and information to be able to<br />

perform their tasks in accordance with the Standards<br />

• Feel able to come to their manager to discuss any issues regarding the<br />

Standards, including potential non-compliances by the employee or another<br />

person<br />

• Create and encourage an environment in which proper ethical and legal<br />

conduct exhibited by the Standards is the standard way of conducting their<br />

everyday activities<br />

Management of <strong>Our</strong> Valued Staff<br />

In managing their team and carrying out the work of their department,<br />

managers must always ensure that their team has the necessary information<br />

to make decisions, seeks advice and information from other departments on<br />

a timely basis, practices transparency in decisions and the information on<br />

which such decisions are based and demonstrates teamwork both within and<br />

across departments.<br />

Managers must treat their employees with respect, courtesy and with a view to<br />

the professional and personal development of employees. The success of <strong>SEHA</strong><br />

depends on allowing each employee to utilize his or her talents within their job<br />

scope to the fullest extent possible along with the appropriate freedom and<br />

responsibility to act within such job scope. <strong>SEHA</strong> human resources maintains<br />

policies regarding performance management and career development and<br />

managers must understand and apply these policies in respect of employees<br />

they manage.<br />

5<br />

Special training and educational programs for managers of the corporate<br />

office are provided by the Human Resources Department to ensure that our<br />

managers have excellent leadership skills and have the tools and guidance to<br />

be able to achieve these requirements. Leadership training is also provided to<br />

the managers of our <strong>SEHA</strong> healthcare facilities through their respective Human<br />

Resources Departments. Any manager who feels that he or she needs or would<br />

benefit from additional training, advice or assistance in relation to managing<br />

staff are encouraged to contact their Human Resources Department to discuss<br />

with one of our human resources professionals the resources available to<br />

them.<br />

Abu Dhabi Health Services Company PJSC ( <strong>SEHA</strong> ), Standards of Conduct Abu Dhabi Health Services Company PJSC ( <strong>SEHA</strong> ), Standards of Conduct 6


PATIENT CARE<br />

<strong>AND</strong> MEDICAL TREATMENT<br />

PATIENT CARE <strong>AND</strong> MEDICAL TREATMENT<br />

<strong>SEHA</strong> is committed to providing quality and predictable outcomes of care to<br />

each of its patients in a compassionate, respectful and culturally sensitive<br />

manner.<br />

Joint Commission International and Accreditation Standards<br />

<strong>SEHA</strong> has committed to have its facilities accredited by Joint Commission<br />

International, an international healthcare accrediting organisation. Each<br />

employee of an accredited facility must act in accordance with current Joint<br />

Commission International accreditation standards.<br />

In carrying out its commitment to its patients, each <strong>SEHA</strong> healthcare facility<br />

has a quality department whose job it is to ensure consistency of treatment<br />

and care among its patients. Each medical department and service also has<br />

standard operating procedures and policies which are designed to incorporate<br />

the appropriate procedures into the actions and activities of the individuals in<br />

the department. These include policies implementing the International Patient<br />

Safety Goals developed by Joint Commission International, which help the<br />

facility to:<br />

• Identify patients correctly<br />

• Improve effective communication<br />

• Improve the safety of high-alert medications<br />

• Eliminate wrong-site, wrong-patient, wrong-procedure surgery<br />

• Reduce the risk of health-acquired infections<br />

• Reduce the risk of patient harm from falls<br />

Standard Procedures and Guidelines<br />

Each department will utilise and follow standard operating procedures and are<br />

expected to share best practices standard operating procedures among other<br />

hospitals and physicians within the <strong>SEHA</strong> healthcare system through the <strong>SEHA</strong><br />

corporate office or directly with others. It is also the responsibility of the <strong>SEHA</strong><br />

corporate office (through its clinical affairs and operations divisions) to facilitate<br />

and ensure that such best practices are being practiced and shared.<br />

<strong>SEHA</strong> has adopted the use of clinical guidelines and protocols which are<br />

intended to ensure consistency of treatment and predictability of clinical<br />

outcomes. Clinical guidelines are implemented after a prescribed process<br />

set forth in the <strong>SEHA</strong> clinical guidelines policy to ensure they reflect current<br />

best evidence-based practices. According to the policy, any deviation from<br />

the guidelines must be based on documented reasons and included in the<br />

patient’s medical record.<br />

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Abu Dhabi Health Services Company PJSC ( <strong>SEHA</strong> ), Standards of Conduct<br />

Adverse Medical Events<br />

Medical treatment is not a risk free endeavour and in the unfortunate event<br />

that an unanticipated adverse event occurs in treatment, our medical staff will<br />

remain open, honest and keep the patients’ and their families interest as the<br />

Abu Dhabi Health Services Company PJSC ( <strong>SEHA</strong> ), Standards of Conduct 8


primary concern and focus. <strong>Our</strong> hospitals have policies for communicating<br />

with patients in such circumstances and these policies must be followed by<br />

all employees.<br />

All <strong>SEHA</strong> healthcare facilities must comply with a sentinel events policy which<br />

requires them to report to <strong>SEHA</strong> corporate office and to the health regulator<br />

in accordance with applicable health regulation unexpected occurrences<br />

involving death or serious physical or psychological injury (including loss of<br />

limb or organ function) or the risk thereof (i.e. where injury did not occur but<br />

nonetheless a recurrence of the processes would carry a significant chance of<br />

a serious adverse outcome the next time).<br />

Each hospital must fully and fairly conduct a root cause analysis intended<br />

to identify causes and contributing factors to the sentinel event and every<br />

employee participating in the root cause analysis must provide all assistance<br />

as necessary in an open, honest and forthright manner to ensure learning from<br />

the event and to prevent a similar occurrence in the future. A <strong>SEHA</strong> corporate<br />

office Sentinel Events Committee comprising a multifunctional team reviews<br />

all sentinel events and root cause analyses to ensure consistency in approach<br />

and quality and to act as a central knowledge base to facilitate sharing of best<br />

clinical practices.<br />

Systems Reviews<br />

<strong>SEHA</strong> corporate office (through its Clinical Affairs Division) implements clinical<br />

system reviews which are scheduled according to an annual plan based<br />

on clinical priorities or conducted on an immediate basis when there is an<br />

indication of need for improvement in a particular clinical program or service.<br />

In addition to assisting in identifying areas for improvement, clinical system<br />

reviews also indicate areas of excellent practice which can be shared across<br />

<strong>SEHA</strong> healthcare facilities. Medical staff and management of <strong>SEHA</strong> healthcare<br />

facilities must cooperate fully with those conducting system reviews to ensure<br />

that the benefits of such reviews are realised.<br />

Any <strong>SEHA</strong> colleague who believes that the patient and quality standards set<br />

forth above are not being met has a duty to notify the appropriate persons<br />

(including their manager, quality supervisor) and follow up with regard to their<br />

concern until it has been satisfactorily addressed.<br />

<strong>SEHA</strong> has implemented University HealthSystem Consortium Patient Safety<br />

Net (UHC PSN®) for recording, assessing and remediating clinical and other<br />

adverse patient incidents (including medication errors). <strong>SEHA</strong> colleagues must<br />

report and follow-up on all patient incidents in accordance with the incident<br />

reporting and management policy.<br />

Clinical Data<br />

All <strong>SEHA</strong> medical facilities have implemented clinical dashboards. This display<br />

tool provides clinicians and decision makers within <strong>SEHA</strong> with relevant and<br />

timely information to inform daily decisions that improve the quality of patient<br />

care.<br />

<strong>SEHA</strong> has implemented or is in the process of implementing quality improvement<br />

initiaitves in order to collect and assess clinical outcomes, including American<br />

College of Surgeons National Surgical Quality Improvement Program (ACS<br />

NSQIP®), American College of Cardiology National Cardiovascular Data<br />

Registry Program (NCDR®) and The Society of Thoracic Surgeons (STS) National<br />

Database Medical and other staff are obligated to ensure that all information<br />

which is included in the dashboard (much of which is automatically captured<br />

electronically from the Health Information Management System) is reliable<br />

and accurate.<br />

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Abu Dhabi Health Services Company PJSC ( <strong>SEHA</strong> ), Standards of Conduct 10


OUTSOURCED MANAGEMENT<br />

OF HOSPITALS <strong>AND</strong> SERVICES<br />

OUTSOURCED MANAGEMENT OF HOSPITALS <strong>AND</strong> SERVICES<br />

Certain <strong>SEHA</strong> hospitals and medical and administrative services are<br />

managed on behalf of <strong>SEHA</strong> by international healthcare and business<br />

management services companies through management services agreements<br />

with <strong>SEHA</strong>.<br />

Under these management arrangements the senior management of such<br />

hospitals and services, referred to as key personnel (such as the Chief Executive<br />

Officer, Chief Operating Officer, Chief Medical Officer, Chief Nursing Officer and<br />

Chief Information Technology Officer), are employees of the management<br />

services company.<br />

Needs of Patients and Hospitals<br />

These individual managers of such hospitals or services and the management<br />

services companies must at all times put the needs of the hospital or service<br />

and <strong>SEHA</strong> patients first. This means that they must always:<br />

• Be forthcoming with information when requested by authorised <strong>SEHA</strong><br />

personnel<br />

• Utilize the resources of <strong>SEHA</strong>, the hospital or other business entity with care<br />

and efficiency<br />

• Manage the employees of the hospital or other business entity on an equal<br />

basis whether or not management company employees<br />

• Avoid conflicts of interest between their obligations as managers of the<br />

hospital or service and their employment with or actions on behalf of the<br />

management services company and in cases where conflict cannot be<br />

avoided, prefer the interests of patients and the hospital or other business<br />

entity.<br />

We recognize the detailed terms of the contractual relationship and believe<br />

this obligation and the foregoing principles to be consistent with such terms.<br />

Required Standards of Key Personnel<br />

Each such key personnel must read, understand and comply with the terms<br />

of the management services agreement, including the standards of care<br />

set forth therein. These standards are set forth in detail in the contracts, and<br />

require that their actions conform to the law, <strong>SEHA</strong> policy, Joint Commission<br />

International or other applicable accreditation standards (if accredited<br />

thereunder), applicable hospital contractual requirements and good healthcare<br />

(or other managed services) practice defined with reference to standards of<br />

world-class healthcare and those of the manager’s other owned or managed<br />

facilities (in certain cases) or otherwise a highly skilled efficient and leading<br />

provider of such services.<br />

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OUTSOURCED MANAGEMENT OF HOSPITALS <strong>AND</strong> SERVICES<br />

Transparency<br />

The key personnel must in the performance of their duties to <strong>SEHA</strong> act at all<br />

times with transparency. This means that all decisions and actions taken by<br />

such personnel and the reasons for taking such decisions and actions must be<br />

open, made on a reasonable basis and be able to be disclosed upon request,<br />

including keeping or making proper records to support the foregoing.<br />

Steering Committee<br />

Each hospital or service managed by a management services company has a<br />

steering committee made up of representatives of <strong>SEHA</strong> and the management<br />

services company with the rights and responsibilities set forth in the agreement.<br />

The steering committee is the highest governing body representing the hospital<br />

or other business entity and is considered to be the steward of the hospital<br />

or business entity. As such, each representative of the steering committee is<br />

required to act in the best interests of the hospital or other business entity and<br />

acknowledges their fiduciary duties to the hospital or business entity in this<br />

regard.<br />

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Abu Dhabi Health Services Company PJSC ( <strong>SEHA</strong> ), Standards of Conduct 14


MEDICAL STAFF RIGHTS<br />

<strong>AND</strong> OBLIGATIONS<br />

MEDICAL STAFF RIGHTS <strong>AND</strong> OBLIGATIONS<br />

<strong>Our</strong> medical staff are one of our most valuable resources. The importance of<br />

<strong>SEHA</strong>’s medical staff in achieving its vision of providing world-class healthcare<br />

requires that we place significant obligations upon and also provide important<br />

rights and protections to our medical staff.<br />

Medical Staff By-Laws<br />

All medical staff are subject to the provisions of medical staff by-laws<br />

implemented at their medical facility. These by-laws are standardized to a<br />

material extent across the <strong>SEHA</strong> health system. The medical staff by-laws<br />

provide procedures for the employment, credentialing and privileging of<br />

medical staff. These procedures must be carefully followed by hospital<br />

management to ensure that only the most qualified physicians are employed<br />

by <strong>SEHA</strong>.<br />

The medical staff by-laws also provide procedures for suspension, discipline<br />

and termination relating to medical care provided by medical staff. These<br />

include standard due process rights of peer review, hearings and appeals in a<br />

case where the physician’s right to practice may be affected.<br />

Legal Representation<br />

<strong>SEHA</strong> understands that from time to time patients will feel the need to seek<br />

legal recourse in relation to the outcome of their medical treatment (whether<br />

the treating physician was negligent in such treatment or not). <strong>SEHA</strong> has<br />

implemented detailed procedures for the legal protection and representation<br />

of medical staff who become involved in such legal proceedings. This<br />

includes the commitment of <strong>SEHA</strong>’s legal professionals to accompany medical<br />

professionals to investigations conducted by governmental authorities (such<br />

as the health regulator) and court proceedings. This policy requires <strong>SEHA</strong> to<br />

pay for legal costs and judicially awarded damages for medical malpractice<br />

on behalf of the medical professional except in cases of gross negligence or<br />

intentional act amounting to criminal misconduct.<br />

Treatment of Medical Staff<br />

<strong>SEHA</strong> does not tolerate physical or verbal harassment of our medical staff<br />

by patients or their families, other staff or visitors to the hospital. We require<br />

that all such persons treat our medical staff with respect and courtesy at all<br />

times, even in cases of stressful events and occurrences. Healthcare facilities<br />

are required to have a written policy and procedures for reporting of such<br />

incidents to their heads of security, legal advisor and/or other appropriate<br />

persons (for serious incidents on a twenty-four hour, seven days a week<br />

basis) and employees are required to report all cases of physical and verbal<br />

15 Abu Dhabi Health Services Company PJSC ( <strong>SEHA</strong> ), Standards of Conduct<br />

Abu Dhabi Health Services Company PJSC ( <strong>SEHA</strong> ), Standards of Conduct 16


MEDICAL STAFF RIGHTS <strong>AND</strong> OBLIGATIONS<br />

harassment to their supervisor immediately upon occurrence in accordance<br />

with such policy and procedures. <strong>SEHA</strong> commits to pursuing all legal remedies<br />

available against any person who commits criminal activities (such as assault)<br />

against our medical staff while performing their duties to <strong>SEHA</strong>.<br />

Medical Licenses and Privileges<br />

Medical staff who are required to maintain professional licenses, certifications<br />

or other credentials pursuant to health regulation or applicable law in order to<br />

practice are responsible for maintaining them in effect and must comply with<br />

all laws and regulations applicable to their professional practice at all times.<br />

Healthcare facilities must maintain effective processes and procedures for<br />

ensuring required licenses are in effect and appropriate privileges are granted<br />

and complied with.<br />

Providing Services in Non-<strong>SEHA</strong> Facilities<br />

All medical staff of <strong>SEHA</strong> (other than occasional visiting physicians and certain<br />

house staff such as interns and residents) are full-time employees of <strong>SEHA</strong><br />

and are expected to devote their full-time medical practices to <strong>SEHA</strong> and its<br />

patients. Exceptions may be made on a case-by-case basis for physicians<br />

who are UAE nationals and approved by <strong>SEHA</strong> corporate office in accordance<br />

with human resources policy (see the Conflicts of Interest section below).<br />

Any member of the medical staff who receives any notification that his or her<br />

license or other credentials has been suspended or that he or she is under<br />

investigation shall immediately notify the medical director/ chief medical<br />

officer or other member of facility management.<br />

Reporting to Police<br />

As a result of the nature of their duties, <strong>SEHA</strong> medical staff are occasionally<br />

required to treat individuals who have been involved in or who are victims of<br />

conduct which may be subject to criminal laws. All medical staff are required<br />

pursuant to <strong>SEHA</strong> policy on reporting to the Abu Dhabi police to report crimes<br />

or suspected crimes immediately upon becoming aware of them (or aware<br />

of facts which may indicate the occurrence of the foregoing) regardless of the<br />

identity of the patient. These include (but are not limited to) the following:<br />

• Pregnancy of any woman who is not married or is a minor<br />

• Abortion or attempted abortion contrary to law (eg. procedure outside of a<br />

medical facility without a physician)<br />

• Drug abuse or addiction to an illegal narcotic<br />

• Assault, sexual assault with intent to commit rape or murder, manslaughter<br />

or battery, intentional act causing death<br />

• Motor vehicle accident<br />

• Injury caused by employment or otherwise related to work<br />

• Injury sustained in a physical assault or altercation or through the use of<br />

any weapon<br />

If an employee is unsure whether the facts of which they are aware constitute<br />

a crime, the facts should be reported accurately to hospital security and the<br />

facility legal department who can make a determination as to whether a crime<br />

has occurred or likely occurred and must be reported to police.<br />

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PATIENT RIGHTS<br />

PATIENT RIGHTS<br />

Non-Discrimination<br />

<strong>SEHA</strong> does not differentiate in the admissions or treatment of patients based<br />

upon gender, race, religion, national origin, disability or type or amount<br />

of insurance held by a patient. In particular, once a patient is admitted or<br />

registered clinical staff and other staff at a <strong>SEHA</strong> medical facility may not make<br />

any determination regarding the care or treatment of a patient based upon<br />

whether they are a self-pay patient, covered by basic insurance or any other<br />

type of insurance.<br />

Patient Basic Rights<br />

Each patient is provided with a statement of the patient’s rights upon admission<br />

to a <strong>SEHA</strong> healthcare facility. The expression of statement of rights differs<br />

among facilities however they provide for the following basic rights:<br />

• To be attended to on a timely and courteous basis upon entering the<br />

facility<br />

• To know the risks, benefits and alternatives to proposed treatments<br />

• To receive information in easy to understand terms that will allow for an<br />

informed consent or refusal of the proposed procedure or treatment,<br />

including medications<br />

• To be provided information about physicians or other clinicians who will be<br />

providing care to the patient<br />

• The right to a second opinion or to have their care transferred to another<br />

physician or healthcare facility if they are not satisfied with the care or<br />

medical opinion provided<br />

• To receive reasonable responses to reasonable requests for services<br />

• To leave the hospital against the advice of the attending physician<br />

• To examine and receive an explanation of the bill for services or consumables<br />

received<br />

• To receive a copy of their medical records<br />

• To have any complaint they may make acknowledged, fully investigated<br />

and be provided with a timely response<br />

• To be provided care at the end of their life which is respectful and<br />

compassionate<br />

Patients’ rights (other than in respect of care) also apply to persons who may<br />

have legal guardianship or responsibility for healthcare decisions on behalf of<br />

such patient.<br />

Patient Satisfaction and Complaints<br />

<strong>SEHA</strong> cares about its patients’ satisfaction with our services and we take their<br />

views and concerns seriously through monitoring patient satisfaction and<br />

responding to customer complaints.<br />

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Each year <strong>SEHA</strong> conducts a satisfaction survey of individuals who have<br />

attended a <strong>SEHA</strong> medical facility as an inpatient or outpatient, receiving their<br />

input and ratings on a number of important criteria. The survey approach and<br />

questions are consistent from year to year in order to allow <strong>SEHA</strong> to compare<br />

results over a long-term time frame and accurately monitor and respond to<br />

trends which may occur in our services.<br />

<strong>SEHA</strong> (through the facilities or otherwise) maintains a customer complaints<br />

department assigned to receive and respond to customer complaints. A<br />

customer complaints policy sets out the required procedures and actions<br />

employees and those assigned to respond to complaints must take. The policy<br />

requires that <strong>SEHA</strong> staff respond fully and accurately to all patient complaints<br />

and to elevate complaints which are not addressed to the satisfaction of the<br />

patient.<br />

In accordance with our approach to patient complaints, employees are<br />

expected to treat all patient complaints with the utmost care and attention<br />

in a constructive manner in order to alleviate concerns of patients which can<br />

be addressed immediately and to ensure that future occurrences of service<br />

failures can be minimised or avoided or to improve upon services to meet<br />

patient expectations.<br />

Emergency Treatment<br />

<strong>SEHA</strong> maintains policies regarding the provision, in accordance with health<br />

regulation and applicable law, of emergency medical treatment to those who<br />

enter a <strong>SEHA</strong> facility. <strong>SEHA</strong> medical staff must, regardless of whether such<br />

patient is covered by health insurance or the ability of such patient to pay<br />

for medical treatment, provide all such care and treatment as necessary to<br />

stabilize the patient and ensure that no loss of life or permanent damage<br />

occurs and to obtain the best possible medical outcome for the condition.<br />

In emergency cases, medical screening may not be delayed to inquire about<br />

the patient’s ability to pay including obtaining or verifying insurance information<br />

or advising the patient of his or her financial responsibility for payment of<br />

services rendered if he or she receives emergency treatment. <strong>SEHA</strong> contracts<br />

with health insurers are consistent with the requirement to provide emergency<br />

treatment to beneficiaries without requiring prior guarantee of payment from<br />

the insurer.<br />

PATIENT RIGHTS<br />

Under the bylaws of the Federal Law on Organ Transplant approved by the<br />

UAE Health Council of the Ministry of Health, physicians may follow a patient’s<br />

written directives in his or her will to donate organs following death. In certain<br />

circumstances such organs will be permitted to be donated upon the irreversible<br />

cessation of brain functioning due to injury or illness (considered death of a<br />

patient) which can only be determined by a committee of specialized physicians<br />

in accordance with the bylaws. The law and the <strong>SEHA</strong> policy implementing the<br />

law in this regard must be strictly adhered to by all medical staff.<br />

Obligation to Provide Public Medical Services<br />

As the public healthcare provider <strong>SEHA</strong> medical facilities must provide certain<br />

services regardless of whether they are able to make a profit or cover costs<br />

of such services. Examples of these services may include trauma, burn unit,<br />

emergency and VIP services. While it is anticipated that these services will<br />

be paid for by the Government of Abu Dhabi through a funded mandate all<br />

medical facilities and healthcare professionals must continue to provide such<br />

services to the same standards as other areas of care.<br />

Documentation of Medical Care and Treatment<br />

All care provided to patients must be properly documented and entered<br />

into the patient’s medical record as required by <strong>SEHA</strong> patient information<br />

confidentiality, management and security policy and professional standards<br />

(such as those of Joint Commission International).<br />

Registration and Discharge<br />

Optimal patient care as well as efficient utilization of hospital resources are<br />

required of each <strong>SEHA</strong> hospital. Achieving these requirements begins with<br />

proper patient admission and discharge procedures. Each <strong>SEHA</strong> facility has<br />

established policies for the admission, discharge and referral of all patients<br />

who present themselves for care. Admission staff must ensure that proper<br />

documentation in accordance with applicable law and facility policy is obtained<br />

and maintained regarding the medical condition, history and needs of each<br />

patient.<br />

End of Life and Organ Donation<br />

Currently under applicable law (consistent with Sharia law) medical staff are<br />

prohibited from ending a patient’s life for any reason, even if requested by the<br />

patient or his or her guardian or custodian on compassionate grounds. As<br />

such, advanced directives of a patient requesting non-resuscitation or other<br />

non-interventions will not be permitted to be acted upon by medical staff of a<br />

<strong>SEHA</strong> healthcare facility.<br />

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CONFLICTS OF INTEREST<br />

CONFLICTS OF INTEREST<br />

External Personal and Financial Interests<br />

Employees have an obligation in performing their work to put the interests of<br />

<strong>SEHA</strong> ahead of their own personal and financial interests. As such, employees<br />

must not have or maintain any personal interest or financial interest which is<br />

incompatible or may appear to be incompatible with the interests of <strong>SEHA</strong>.<br />

Although it is not possible to list the possible ways in which a conflict of interest<br />

may arise, it may derive from knowing someone personally, having access<br />

to certain information, serving in more than one capacity or being personally<br />

involved in something. Some simple examples may include:<br />

• Being a board member or executive of a company which supplies products<br />

or services to <strong>SEHA</strong><br />

• Having an interest in a personal or family business which competes with<br />

<strong>SEHA</strong><br />

Employees may also be considered to have a conflict of interest if their offwork<br />

activities or obligations hinder or distract the employee from carrying out<br />

his or her work obligations. Examples of this may include:<br />

• Owning or being a partner in a business which requires devotion of a<br />

material commitment<br />

• Providing teaching services which take a significant amount of time<br />

If an employee believes that he or she may have a conflict of interest in respect<br />

of any material decisions to be made on behalf of the company, he or she<br />

must in accordance with <strong>SEHA</strong>’s conflict of interest policy report the conflict of<br />

interest to their legal or compliance officer and remove themselves from the<br />

decision making capacity.<br />

An employee wishing to undertake any activity which may or which may be<br />

considered to be a conflict of interest must get the prior approval of <strong>SEHA</strong><br />

(through their legal or compliance officer who is required to keep a log of<br />

such requests and approvals). Approval of such activities will not excuse the<br />

expected level of performance of a staff in regard to their duties to <strong>SEHA</strong>.<br />

Employees who work in departments or functions which are at the greatest risk<br />

of conflicts of interest (such as procurement or others who interact regularly with<br />

vendors or make purchasing decisions) must complete an annual declaration<br />

disclosing any conflicts of interest in accordance with the company’s conflict<br />

of interest policy.<br />

Relationship with Contractors<br />

When conducting business with vendors or suppliers to <strong>SEHA</strong>, it is expected<br />

that employees will make decisions that are in the best interests of <strong>SEHA</strong>.<br />

Employees must maintain impartial relationships with <strong>SEHA</strong>’s vendors and<br />

other contracting parties and be motivated solely to acquire goods, purchase<br />

services and make other transactions on terms most favourable to <strong>SEHA</strong>.<br />

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Care must be taken to avoid even the appearance of favoritism on behalf of a<br />

vendor or supplier due to personal or professional relationships.<br />

Accepting Gifts and Other Items<br />

Employees are prohibited from soliciting tips, personal gratuities or gifts from<br />

patients and vendors. Occasionally medical and other staff will be offered<br />

gifts by patients or contractors (including potential contractors). In certain<br />

cases (particularly in VIP patient services) these gifts may be significant. <strong>SEHA</strong><br />

encourages the excellent service which may lead a patient or other party<br />

to express his or her gratitude by offering gifts. However, we must keep in<br />

mind the importance of not appearing to perform our medical services in the<br />

expectation of receiving any such gifts (other than the normal patient charges)<br />

or allowing any external rewards to affect the impartiality of our judgment.<br />

In this spirit, non-monetary gifts such as baskets of edible items, flowers,<br />

or promotional materials with low monetary value may be accepted if they<br />

appear to be genuinely and voluntarily offered, are shared among all relevant<br />

staff in the department (to the extent capable of being shared) and would<br />

not influence, or reasonably appear to others to be capable of influencing,<br />

the employee’s business judgment in conducting affairs with the patient or<br />

vendor.<br />

If the value of the gift is substantial or there is any question regarding whether<br />

the gift meets the standards referred to above, the employee must seek prior<br />

approval from his or her supervisor and/or the legal or compliance officer or<br />

refuse the gift and promptly return the gift to the contracting party or patient.<br />

Offering Gifts<br />

The rules for offering gifts by employees to others are the same as acceptance<br />

of gifts. As such, employees may not give to any person or firm who is<br />

conducting business with or who seeks to conduct business with <strong>SEHA</strong> any<br />

item of value except for those items noted above.<br />

Meals and Entertainment<br />

Building and maintaining good business relationships based on appropriate<br />

factors is recognized by <strong>SEHA</strong> as a valuable aspect of doing business. In the<br />

course of such relationships employees may be offered or wish to offer to<br />

others entertainment and meals. These offers may be made or accepted<br />

provided that they are reasonable in monetary amount (for example, AED<br />

300 per person) and frequency (for example, every two months or less) and<br />

there is a reasonable expectation among the employee and other party<br />

of reciprocation. Any question as to the reasonableness of an expenditure<br />

or offered expenditure should be discussed before acceptance with the<br />

employee’s supervisor in consultation with their legal or compliance officer.<br />

Medical Staff Commissions<br />

No medical staff or other employee may receive anything of value in return<br />

CONFLICTS OF INTEREST<br />

for utilizing a product, equipment, medication or consumable in his or her<br />

practice or at the facility.<br />

Vendor Sponsorship<br />

Attendance at conferences in which travel costs, hotel costs or other perquisites<br />

from such companies are paid by any company is permissible in accordance<br />

with the requrements of <strong>SEHA</strong> conflicts of interest policy regarding relevance<br />

of event to a business need and reasonableness of expenses (including<br />

entertainment and number of nights lodging) following the approval of a staff<br />

member’s supervisor and management. All requests and approvals must be<br />

reported to the legal or compliance officer who is required to keep a log of<br />

such requests and approvals.<br />

Patient Referrals<br />

<strong>SEHA</strong> requires that its physicians, medical staff and management provide the<br />

best care to patients without financial or other inappropriate considerations<br />

affecting any patient care decisions. <strong>SEHA</strong> maintains strict policies regarding<br />

the referral of patients to or from <strong>SEHA</strong> facilities. <strong>SEHA</strong> and its employees may<br />

not:<br />

• Pay any other person a fee or offer anything of value for referring patients<br />

to it<br />

• Receive a fee or accept anything of value for referring any patient to another<br />

healthcare provider or facility<br />

• Refer a patient to any healthcare facility or service in which the referring<br />

physician or medical staff or any member of his or her immediate family has<br />

a financial or ownership relationship, including for any healthcare services,<br />

such as laboratory, radiology, physical therapy or inpatient or outpatient<br />

medical services<br />

Outside Employment<br />

Department heads and managers above such level may not be employed<br />

by any other healthcare entity, contractor or supplier of <strong>SEHA</strong> while employed<br />

by <strong>SEHA</strong>. During personal (non-working) time other employees may work for<br />

other companies, including healthcare entities, contractors or suppliers to <strong>SEHA</strong><br />

provided it does not interfere with or adversely affect their job responsibilities<br />

and performance with <strong>SEHA</strong> and is permitted by applicable law (including<br />

immigration laws). Currently, immigration law does not permit any person<br />

employed pursuant to a work visa to work outside of such person’s sponsorship<br />

including during time off or whether it is paid or unpaid (voluntary).<br />

Physicians employed by <strong>SEHA</strong> and who are UAE Nationals may in accordance<br />

with human resources policy practice in other medical facilities following their<br />

official <strong>SEHA</strong> working hours subject to approval by their <strong>SEHA</strong> medical facility<br />

and the Corporate Office (Clinical Affairs) and to the on-going conditions set<br />

out in the policy.<br />

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PATIENT INFORMATION<br />

PATIENT INFORMATION<br />

Confidentiality<br />

In attending and being treated at a <strong>SEHA</strong> medical facility either as an<br />

outpatient or inpatient, information about the patient’s medical condition,<br />

history, medication, family background, treatment and personal and insurance<br />

information is requested from or recorded about the patient. A necessary<br />

condition for proper treatment is effective and open communication with<br />

patients, which is only possible if patients are confident that such information<br />

will remain confidential and will be properly used.<br />

<strong>SEHA</strong> maintains a detailed patient information confidentiality, management<br />

and security policy which reflects applicable laws and health regulations and<br />

best international practices and provides requirements and procedures as to<br />

how to maintain the confidentiality of patient information, who is permitted<br />

to have access to such information and how and under what circumstances<br />

such information may be disclosed. The policy defines confidential information<br />

as not only the written (or electronic) medical record but also observations and<br />

verbal communications regarding the patient and which identifies the patient<br />

or which allows a person receiving the information to determine the patient’s<br />

identity.<br />

In accordance with the policy, employees may only use, obtain and disclose to<br />

others confidential patient information:<br />

• Which is strictly necessary for them to perform their work function and for the<br />

purposes of treatment, payment or healthcare operations<br />

• Necessary for business purposes, such as implementing information<br />

technology systems or outsourced services arrangements, pursuant to a<br />

written confidentiality and use agreement<br />

• Required by a regulatory authority or judicial authority such as the court or<br />

police in an investigation pursuant to an official written request<br />

• Which has been consented to in writing by the patient<br />

Granting access to <strong>SEHA</strong> data systems (including those accessible to <strong>SEHA</strong><br />

through the internet) by any means is prohibited except in accordance with<br />

the patient information confidentiality, management and security policy.<br />

Each facility has appointed a health information manager who is responsible<br />

for maintaining the procedures, documentation and systems relating to<br />

confidentiality and disclosure of patient information and ensuring the<br />

confidentiality of such information.<br />

Document Retention<br />

Patient records must be retained for periods set forth in the policy, depending<br />

upon the particular circumstances. This may be for a period of years or<br />

indefinitely (for example, in the case of United Arab Emirates Nationals).<br />

Employees should consult the patient information confidentiality, management<br />

and security policy before destroying any medical records.<br />

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WORK-PLACE CONDUCT<br />

WORK-PLACE CONDUCT<br />

Discrimination and Harassment<br />

All employees have the right to work in a safe and respectful environment<br />

free of discrimination and harassment based on gender, nationality, religion,<br />

race or ethnic origin or other characteristics. All colleagues must treat each<br />

other with courtesy, fairness and respect. Inappropriate jokes, comments and<br />

other behavior based on such characteristics are also not permitted. <strong>SEHA</strong><br />

will take all required action to fairly and objectively address complaints of<br />

discrimination, harassment or other forms of inappropriate behaviors.<br />

In addition, physicians, nurses or other hospital employees who observe or<br />

are otherwise made aware of disruptive behavior by a physician are required<br />

to document the behavior and report it to the facility human resources<br />

department, legal or compliance officer or a member of facility management,<br />

who must act on such report. Disruptive behavior is considered to be any<br />

conduct which disrupts the smooth operation of the hospital, poses a threat<br />

to patient care or exposes the hospital, <strong>SEHA</strong> or employees to liability or the<br />

potential for adverse effect on their reputation.<br />

Criminal and Dangerous Activities<br />

Criminal or dangerous activities are not permitted on <strong>SEHA</strong> or hospital property.<br />

All cases of such activity (including theft, assault and other violent behavior) and<br />

attempts at such activity must immediately be reported to the head of hospital<br />

security, facility human resources department, a legal or compliance officer or<br />

member of hospital management. No person is permitted to bring onto <strong>SEHA</strong><br />

or hospital property any dangerous, harmful or potentially harmful weapons,<br />

devices or materials and employees are required to report any violation of<br />

this policy immediately upon becoming aware of such to the aforementioned<br />

persons.<br />

Substance Use and Mental Acuity<br />

In addition to adhering to the religious requirements of the United Arab<br />

Emirates, to protect the interests of our employees and patients <strong>SEHA</strong> is<br />

committed to an alcohol and illegal drug free environment. Non-permitted<br />

substances include alcohol, illegal drugs or prescription medication intended<br />

for another person or for a purpose not medically necessary at the time of<br />

taking such medication.<br />

All employees while on the job or <strong>SEHA</strong> premises must be free of any such nonpermitted<br />

substance or any substance which may impair the job performance<br />

or endanger the safety of any other person.<br />

It is recognized that employees may take prescription or over-the-counter<br />

medications from time to time to alleviate temporary medical conditions<br />

or symptoms. Such medications could, taken in the prescribed dose or<br />

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excess dosage, affect or impair performance or skills required to do the job.<br />

Employees must act responsibly when taking such medications and if they<br />

become aware that such medication may be affecting their performance or<br />

tasks, immediately notify their supervisor and cease such activities.<br />

WORK-PLACE CONDUCT<br />

Health and Safety<br />

The health and safety of employees relating to their working environment and<br />

practices are of prime concern to <strong>SEHA</strong>. As such, <strong>SEHA</strong> maintains policies and<br />

procedures which are compliant with applicable laws and regulations intended<br />

to minimise workplace accidents and ensure a safe working environment. All<br />

employees must:<br />

• Become familiar with and understand how these policies apply to their<br />

specific job responsibilities<br />

• Comply with these policies and applicable laws and regulation<br />

• Abide by safe operating procedures and workplace practices and be<br />

responsible for guarding their own and their co-workers’ workplace safety<br />

• Report to their supervisor or safety officer any workplace injury or condition<br />

or practice they perceive to be unsafe, unhealthy or hazardous to employees<br />

or patients<br />

The corporate office and all business entities are required to maintain a safety<br />

management program.<br />

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ACCURATE BILLING<br />

ACCURATE BILLING<br />

We make every effort to submit accurate and truthful bills for our services and<br />

we bill only for services that were actually provided and properly documented<br />

and coded.<br />

Accurate Coding and Billing<br />

We have implemented policies, procedures and systems to facilitate accurate<br />

coding and billing to insurance providers, government payers and individual<br />

patients. These policies are in accordance with healthcare regulation and the<br />

insurance law.<br />

All <strong>SEHA</strong> colleagues who are responsible for coding and billing for medical<br />

services provided by <strong>SEHA</strong> must adhere to these policies and procedures. We<br />

prohibit any employee from knowingly presenting or causing to be presented<br />

false or misleading claims for payment or approval or engaging or participating<br />

in intentional misrepresentation or deception intended to influence any<br />

entitlement or payment under any health insurance reimbursement agreement<br />

or scheme. Claims must reflect only the actual services ordered, documented<br />

and performed. Coding of diagnoses and procedures must be in accordance<br />

with applicable coding guidelines and procedures of health regulation.<br />

Management of healthcare facilities and revenue cycle management services<br />

are responsible for taking all necessary action to prevent coding and billing<br />

mistakes and duplication of claims.<br />

Discovery of Errors<br />

If an employee notices or becomes aware of an error on a bill, he or she is<br />

required to immediately notify a supervisor in their department or the billing<br />

department. An investigation is then performed and the bill is corrected. If<br />

the bill has already been submitted to the insurance provider, the insurance<br />

provider is notified and a refund is provided. If <strong>SEHA</strong> is notified by an insurer<br />

or other third party of an error in a bill, it will promptly investigate and correct<br />

such error.<br />

If the results of an investigation determine that an employee has negligently or<br />

dishonestly caused or contributed to a billing or reimbursement claims error,<br />

the employee will be subject to appropriate sanctions, including dismissal.<br />

On-going monitoring and auditing of billing procedures is required to be<br />

performed by the responsible managers at each facility and revenue cycle<br />

management services business entity (as applicable) and by internal audit<br />

in accordance with <strong>SEHA</strong>’s coding compliance program and accurate billing<br />

policies.<br />

Medical Records<br />

In support of our accurate billing, medical records must provide reliable<br />

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documentation of the services we render. It is important that all individuals who<br />

contribute to medical records provide and record accurate information and do<br />

not destroy any information considered part of the official medical record. This<br />

includes physicians who must accurately, clearly and completely document<br />

their treatment and services in a timely manner. Each <strong>SEHA</strong> facility is required<br />

to provide sufficient training to physicians and other medical staff regarding<br />

proper medical entries and recording of medical treatment information.<br />

ACCURATE BILLING<br />

Funded Mandates<br />

<strong>SEHA</strong> expects to receive reimbursement from the Government of Abu Dhabi<br />

through The National Insurance Company – Daman, Department of Finance or<br />

other governmental authorities for certain programs and activities which may<br />

not be profitable but are required to be provided by <strong>SEHA</strong> as part of its public<br />

healthcare obligations. These “funded mandates” are based on cost estimates<br />

and projections prepared by <strong>SEHA</strong> facilities with the oversight and assistance<br />

of the corporate office. <strong>SEHA</strong> requires that all employees and individuals<br />

involved in preparing such funded mandates report all costs accurately and<br />

based on good faith estimates and complete and reliable data.<br />

All requests for reimbursement must not duplicate other costs which are<br />

reimbursed by the Government under another funded mandate or program,<br />

by a health insurer or billed directly to a patient.<br />

<strong>SEHA</strong> healthcare facilities and the corporate office will continue to review<br />

profitability of services in relation to these funded mandates and a healthcare<br />

facility may not terminate or reduce any services which are subject to such<br />

mandates without the approval of the corporate office.<br />

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MEDICAL RESEARCH<br />

MEDICAL RESEARCH<br />

Ethical and Legal Standards<br />

<strong>SEHA</strong> hospitals and physicians sponsor and participate in medical research,<br />

investigation and clinical trials. The benefits of <strong>SEHA</strong>’s research program extend<br />

to patients and the field of medical research in Abu Dhabi, the United Arab<br />

Emirates and the Middle East. While we believe that it is important to obtain<br />

the benefits of such research, we also believe that it is equally important to<br />

conduct research in an ethical manner in accordance with all applicable<br />

health regulations and international ethical standards.<br />

Ethics and Research Committee<br />

<strong>SEHA</strong> maintains research policies which reflect the principles and requirements<br />

of ethical research and which protect the rights of patients and research<br />

subjects. Before any research is conducted which involves patients or other<br />

individuals as subjects, the sponsor of such research (the physician in charge<br />

of the research) must obtain approval of the hospital ethics and research<br />

committee or other committee designated to review and approve such<br />

research (sometimes also called the Institutional Review Board or IRB).<br />

Research Subject Rights<br />

The sponsor conducting the research must fully inform all individuals<br />

participating in research of their rights and important information regarding the<br />

research. These include the benefits, side effects, risks and discomforts which<br />

may result from the research, the alternatives to such treatment which may be<br />

available (in cases such as experimental drugs or treatments which may be<br />

the last resorted to option for certain patients), the right of the patient to receive<br />

timely information and updates regarding their current condition and the right<br />

to withdraw from research at any time. The individuals must be fully informed<br />

of the procedures to be followed during the research, particularly in cases<br />

of experimental research. Failure to participate or withdrawal from research<br />

may not prejudice or affect the right of the patient to continue to be treated by<br />

<strong>SEHA</strong> and its medical staff. Prior to conducting research, the individual must<br />

provide his or her written informed consent which must be retained pursuant<br />

to applicable <strong>SEHA</strong> policy and laws.<br />

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Conflicts of Interest<br />

Researchers must not be subject to any conflicts of interest in conducting<br />

research. This means that they may not have any personal or financial<br />

interest in the outcome of the research and must not accept any gifts, financial<br />

rewards or incentives or other items of value from medical companies who<br />

may sponsor such research.<br />

MEDICAL RESEARCH<br />

Financial support for research studies from private industry (such as<br />

pharmaceutical companies and medical device manufacturers) while<br />

permissible under certain circumstances is subject to strict rules and<br />

requirements under <strong>SEHA</strong>’s research policies.<br />

Information and Intellectual Property Rights<br />

The publication and dissemination of the results of the research are subject<br />

to strict <strong>SEHA</strong> policies. Such results must be accurate, not misleading and be<br />

based on the results of the research study.<br />

All ownership and intellectual property rights arising from the research will be<br />

the property of <strong>SEHA</strong>, unless otherwise agreed with the researcher or sponsor<br />

of the research and all researchers will be required to enter into an agreement<br />

with <strong>SEHA</strong> providing for such intellectual property rights.<br />

39 Abu Dhabi Health Services Company PJSC ( <strong>SEHA</strong> ), Standards of Conduct<br />

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FRAUD <strong>AND</strong> MISCONDUCT<br />

FRAUD <strong>AND</strong> MISCONDUCT<br />

Harmful Effects of Fraud and Misconduct<br />

<strong>SEHA</strong> and its employees recognise the importance of detecting and preventing<br />

inappropriate or improper financial losses, including loss of financial<br />

opportunity, through intentional, negligent, careless or unintentional acts or<br />

omissions.<br />

We understand that such losses and the actions which cause them can<br />

individually or over time have serious negative and damaging effects on our<br />

business, employees and stakeholders through financial losses, damage to<br />

the reputation of <strong>SEHA</strong> and employees and loss of trust of <strong>SEHA</strong>’s stakeholders<br />

and the community.<br />

Fraud and Misconduct Policy<br />

<strong>SEHA</strong> has therefore through its policies and expectations set a zero-tolerance<br />

policy for all conduct which might lead to improper financial or other economic<br />

loss to <strong>SEHA</strong> and is either intentional or negligent. In order to effectively carry<br />

out its expectations, <strong>SEHA</strong> has fraud and misconduct policies which define the<br />

type of conduct which is prohibited and encourages employees and others<br />

who interact with <strong>SEHA</strong> to report suspected violations of the policies. The intent<br />

of the policies is to detect, prevent and respond to instances of fraud and<br />

misconduct.<br />

The actions which are prohibited under the policy are:<br />

• Fraud and Theft - misrepresentation or deception with the intention<br />

of inducing a person to act to his or her financial detriment and acts of<br />

common theft, including taking or appropriating property which belongs to<br />

the company or to which the company is entitled<br />

• Corruption - giving an advantage to a third party in a way inconsistent with<br />

one’s official duties or the interests of <strong>SEHA</strong> in exchange for some personal<br />

benefit<br />

• Bribery – accepting or giving (or offering to accept or give) a private benefit<br />

in exchange for official, public action<br />

• Misconduct - a violation of law, regulation, <strong>SEHA</strong> policy or unethical business<br />

conduct which causes or may cause economic harm or loss, including<br />

waste, abuse and failing to act with accountability, independence and<br />

honesty and integrity<br />

• Waste - thoughtless or careless expenditure, consumption, mismanagement,<br />

use, or squandering of <strong>SEHA</strong> owned or operated resources to the detriment<br />

of <strong>SEHA</strong>, either by action or inaction (such as lost opportunity)<br />

• Abuse - excessive or improper use of <strong>SEHA</strong> assets, using <strong>SEHA</strong> assets for<br />

one’s own gain or use or abuse of one’s position or authority for personal<br />

gain<br />

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• Accountability – failing to make decisions or taking actions (a) in a transparent<br />

manner including with respect to the reasons for such decisions and actions,<br />

(b) on a basis which is supportable and reasonable and not arbitrary or for<br />

a purpose which is contrary to the best interests of <strong>SEHA</strong> and (c) on the basis<br />

of all information internally and externally reasonably required or available<br />

• Independence – failing to act in a manner which is independent (and with<br />

the appearance of independence) of <strong>SEHA</strong> contracting parties<br />

• Honesty and integrity – failing to act honestly, with integrity and otherwise<br />

in accordance with the Standards of Conduct in his or her work-related<br />

activities<br />

Reporting<br />

Employees and everyone working for or on behalf of <strong>SEHA</strong> are required to<br />

report any actual, suspected or potential occurrences of unethical actions,<br />

fraud and misconduct of which they become aware though any source of<br />

information.<br />

Employees and everyone working for or on behalf of <strong>SEHA</strong><br />

are also encouraged to report anything of which they become aware which<br />

may indicate weaknesses or potential problems in policies, procedures or<br />

systems relating to fraud controls or which could indicate fraud risks.<br />

FRAUD <strong>AND</strong> MISCONDUCT<br />

policies and fraud contorl policies will be carried out. If the investigation<br />

determines that fraud or misconduct has occurred, <strong>SEHA</strong> will take appropriate<br />

disciplinary actions against those who have committed or contributed to such<br />

acts.<br />

Use of Organisational Assets<br />

The assets of <strong>SEHA</strong> are to be used only for the benefit of the organisation.<br />

Each employee must ensure that organisational assets are used for proper<br />

purposes and not for the personal benefit of an employee. Assets include<br />

tangible assets such as physical plant, equipment, corporate funds, medicines,<br />

medical supplies, office supplies and intangible assets such as time, business<br />

information and strategies and financial data.<br />

Improper use or removal of any company assets, including transfer of any<br />

assets to another person for personal financial gain or otherwise than in the<br />

ordinary course of business, is considered to be a non-compliance with the<br />

Standards of Conduct.<br />

Use of telephones, printers, photocopies and internet during working hours for<br />

personal use must be kept to a reasonable minimum.<br />

Reports may be made by an employee to his or her direct supervisor or<br />

manager in his or her function or to the Corporate Compliance and Ethics<br />

Manager. Reports made to a supervisor or manager must promptly thereafter<br />

be reported to the Corporate Compliance and Ethics Manager.<br />

Reports by contractors and other third parties working for or on behalf of <strong>SEHA</strong><br />

must be made to the <strong>SEHA</strong> Corporate Compliance and Ethics Manager.<br />

Reporting may be made anonymously by employees or<br />

contractors such that the name and identity of the reporting person may not be<br />

known. All employees to whom occurrences are reported are required to take<br />

all reasonable measures to and must (unless required otherwise by senior<br />

management or pursuant to applicable law) maintain the confidentiality of<br />

the reporting person and must provide or assist in providing assurances to<br />

the employee that he or she will not be retaliated against for reporting their<br />

suspicion of wrongdoing.<br />

Investigation and Discipline<br />

Before any determination that an employee has committed any act of fraud or<br />

misconduct, an investigation in accordance with the rules of human resources<br />

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Abu Dhabi Health Services Company PJSC ( <strong>SEHA</strong> ), Standards of Conduct 44


ORGANISATIONAL INFORMATION<br />

<strong>AND</strong> PROPERTY<br />

ORGANISATIONAL INFORMATION <strong>AND</strong> PROPERTY<br />

While we are performing our employment duties at <strong>SEHA</strong> (whether in an<br />

administrative office, a clinical setting or elsewhere) we are given or gain<br />

access to information belonging to other employees or the company. There<br />

is an expectation that such information will not be disclosed outside of the<br />

capacity in which we have been provided access or used for any purpose<br />

detrimental to our colleagues or the company.<br />

Business Information<br />

Like any business or person, <strong>SEHA</strong> and its employees (and their predecessors)<br />

have worked hard to create and grow a company of value. Part of this value<br />

comes from the unique proprietary rights which <strong>SEHA</strong>, as an organisation,<br />

is able to use in its business. In order to protect these proprietary rights it<br />

is necessary that <strong>SEHA</strong> employees follow the policies which <strong>SEHA</strong> maintains<br />

in relation to business information and intellectual property, the principles of<br />

which are based on the law of the United Arab Emirates.<br />

<strong>SEHA</strong> business information, such as strategic plans and objectives, financial<br />

and operating data, performance of <strong>SEHA</strong> and its healthcare facilities,<br />

healthcare statistics, partnership information (such as our relationship with<br />

vendors, suppliers and hospital managers) and contract information are<br />

owned by <strong>SEHA</strong> and, until publicly disclosed in press announcements or<br />

annual reports to the general public, is non-public information. As such, the<br />

following is prohibited:<br />

• Use of <strong>SEHA</strong> information for personal gain<br />

• Disclosure of <strong>SEHA</strong> confidential information outside of the organisation<br />

• Sharing such information with colleagues except on a professional basis or<br />

whose jobs require such information<br />

We must not remove such business information (including on a personal<br />

computer or media storage device) from <strong>SEHA</strong> premises unless authorized to<br />

do so as part of our job duties and when doing so must take precautions to<br />

keep such information and devices on which information might be contained<br />

safe and secure. In addition, <strong>SEHA</strong> employees may not engage in any illegal<br />

or unethical acts in order to gain such information from <strong>SEHA</strong>’s competitors or<br />

hire any employee of a competitor with the purpose of obtaining confidential<br />

or proprietary business information. Competitors’ personnel, customers or<br />

suppliers should not be urged or coerced to disclose confidential information<br />

nor shall such information be sought from former employees of competitors<br />

hired by <strong>SEHA</strong>.<br />

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Abu Dhabi Health Services Company PJSC ( <strong>SEHA</strong> ), Standards of Conduct 46


Employee Information<br />

Employees have disclosed to the organisation personal information as part of<br />

the hiring and (in the case of medical employees) credentialing and privileging<br />

process, including nationality, birth date, marital status, details about<br />

dependents, educational qualifications and work experience and previous<br />

employers. In addition, during the course of working at <strong>SEHA</strong> additional<br />

employment information is created about employees such as salary and<br />

other compensation, performance reviews, disciplinary actions and warnings,<br />

leaves and sick leaves.<br />

ORGANISATIONAL INFORMATION <strong>AND</strong> PROPERTY<br />

All employee information is confidential and must not be used outside the<br />

human resources department (in accordance with its business requirements)<br />

without the express consent of the person about whom the information relates.<br />

We must therefore be very careful in discussions with our colleagues or others<br />

outside the office so that we do not intentionally or inadvertently disclose or<br />

refer to such information about others (including in conversations sometimes<br />

referred to as “gossip”) or in storing such information where it can be accessed<br />

by unauthorized persons. If we become aware of any information that we are<br />

not authorised to have or are unsure of how to handle a situation which may<br />

involve a privacy or confidentiality issue, we must talk to our human resources<br />

department or our manager in accordance with human resources policy.<br />

Use of Recording Devices<br />

As a healthcare provider, our environment is often sensitive and personal for<br />

our patients and colleagues who have an expectation of privacy within our<br />

premises. Recording devices such as phone cameras, webcams, and video<br />

cameras therefore may not be used in our work environment, unless prior<br />

authorisation has been given by the department manager and is for a proper<br />

purpose such as marketing, business or training.<br />

If an image has been captured unintentionally by any recording device, the<br />

image may not be distributed from the recording device.<br />

A <strong>SEHA</strong> employee who becomes aware of a breach of this policy must report<br />

it within twenty-four hours to his or her manager.<br />

Copying and Printing Documents<br />

When printing or copying documents containing confidential or sensitive<br />

information, <strong>SEHA</strong> colleagues must not leave such documents unattended<br />

and they should immediately be removed from the copying or printing area or<br />

discarded in a confidential manner.<br />

47 Abu Dhabi Health Services Company PJSC ( <strong>SEHA</strong> ), Standards of Conduct<br />

Abu Dhabi Health Services Company PJSC ( <strong>SEHA</strong> ), Standards of Conduct 48


ACCREDITATION<br />

<strong>AND</strong> REGULATORY COMPLIANCE<br />

ACCREDITATION <strong>AND</strong> REGULATORY COMPLIANCE<br />

Accreditation<br />

The majority of <strong>SEHA</strong> healthcare facilities, including its medical clinics, are or<br />

are planned to become accredited by Joint Commission International. Other<br />

accreditations of <strong>SEHA</strong> healthcare services such as Laboratory Accreditation<br />

Program by the College of American Pathologists, AABB Blood Bank<br />

Accreditation, Society of Chest Pain Centers Accreditation and Accreditation<br />

Council for Graduate Medical Education (ACGME) are also achieved, planned<br />

or under review. Following the applicable accreditation periods the facility or<br />

service must become re-accredited in accordance with the accrediting body’s<br />

procedures in order to maintain accreditation status.<br />

During the accreditation and re-accreditation process, all employees<br />

are required to cooperate fully and forthrightly with all such accrediting<br />

organizations’ staff and all information requested must be accurate and not<br />

misleading (including providing all other information required to make the<br />

information provided understood and accurate). No action may be taken, either<br />

directly or indirectly, to mislead any surveyor or other staff of the accrediting<br />

body.<br />

Employees are required to comply with the accreditations standards of all<br />

applicable accrediting bodies necessary to maintain accreditation.<br />

Regulatory Compliance and Risk Management<br />

The provision of healthcare in the United Arab Emirates, like in all developed<br />

nations, is a highly regulated industry. Governmental bodies regulating<br />

healthcare in Abu Dhabi include the federal government of the United Arab<br />

Emirates, the government of the Emirate of Abu Dhabi, the Ministry of Health<br />

and the Health Authority – Abu Dhabi. In addition to healthcare regulation, there<br />

are laws, regulations and mandatory guidelines applicable to other business<br />

areas of <strong>SEHA</strong> including company laws, laws regulating environment and<br />

occupational health and safety, criminal and civil laws, building development<br />

and construction laws, billing and healthcare insurance laws and many<br />

others.<br />

<strong>SEHA</strong> corporate office, healthcare facilities and all employees must comply<br />

with all such applicable laws, regulations, guidelines and other mandatory<br />

rules of government authorities. Any employee who witnesses or suspects any<br />

non-compliance with any laws, regulations or other mandatory rules should<br />

report the non-compliance or suspected non-compliance to his or her direct<br />

supervisor or manager or the legal officer of the corporate office or healthcare<br />

facility in accordance with <strong>SEHA</strong>‘s reporting policy and systems.<br />

49 Abu Dhabi Health Services Company PJSC ( <strong>SEHA</strong> ), Standards of Conduct<br />

Abu Dhabi Health Services Company PJSC ( <strong>SEHA</strong> ), Standards of Conduct 50


Surveys and Investigations<br />

As part of the healthcare licensing process of healthcare facilities and health<br />

professionals, Health Authority – Abu Dhabi may conduct surveys, inspections<br />

and investigations of the healthcare facility or medical staff. Employees:<br />

• Must cooperate with inspectors conducting such inspections and provide<br />

information requested in accordance with <strong>SEHA</strong> policy relating to disclosure<br />

of information to regulatory authorities<br />

• May not destroy, conceal or alter any documents<br />

• May not make misleading or untrue statements to an inspector<br />

• Must not obstruct others from providing accurate information or mislead or<br />

delay the provision of records or information to the inspector<br />

ACCREDITATION <strong>AND</strong> REGULATORY COMPLIANCE<br />

If there is any question regarding any procedure which should be followed or<br />

a response to any request of an inspector by an employee, the employee may<br />

call their facility legal advisor or corporate office legal advisor, whose contact<br />

details are posted on the intranet.<br />

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Abu Dhabi Health Services Company PJSC ( <strong>SEHA</strong> ), Standards of Conduct 52


FINANCIAL ACCOUNTS<br />

<strong>AND</strong> REPORTING<br />

FINANCIAL ACCOUNTS <strong>AND</strong> REPORTING<br />

Employees responsible for recording or preparing accounting and financial<br />

transactions and accounts are required to do so with integrity, accuracy and<br />

care. The Chief Financial Officer and senior management are required to<br />

certify that <strong>SEHA</strong> financial statements represent fairly the financial position and<br />

results of <strong>SEHA</strong> in respect of the applicable accounting period and are free<br />

from material misstatements.<br />

Any employee certifying financial information or statements or providing<br />

information for the purposes of allowing such employees to provide such<br />

certification must ensure that the certification or information is true to the best<br />

of his or her knowledge (based on all necessary due diligence and information<br />

required to honestly and in good faith make such statement or allow such<br />

person to make such statement).<br />

53 Abu Dhabi Health Services Company PJSC ( <strong>SEHA</strong> ), Standards of Conduct<br />

Abu Dhabi Health Services Company PJSC ( <strong>SEHA</strong> ), Standards of Conduct 54


MARKETING <strong>AND</strong> ADVERTISING<br />

MARKETING<br />

<strong>SEHA</strong> operates in a competitive environment, providing our services to<br />

consumers and communities. We may use marketing and advertising<br />

activities to educate the public, provide information to the community, increase<br />

awareness of our services or the performance of our hospitals and clinical<br />

departments, to recruit colleagues and to communicate our image and<br />

positive reputation.<br />

We strive to present only truthful, fully informative and non-deceptive<br />

information in these materials and announcements. All marketing practices<br />

must be conducted in truth with accuracy and fairness. Any marketing<br />

information regarding available services, capabilities and treatment outcomes<br />

must be substantiated and straightforward. We never make result-oriented<br />

guarantees or other promises regarding treatments.<br />

In accordance with Ministry of Health guidelines and policy we must obtain<br />

pre-approval from the Ministry of Health for all advertisements relating to<br />

medical services and products.<br />

55 Abu Dhabi Health Services Company PJSC ( <strong>SEHA</strong> ), Standards of Conduct<br />

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REGULATORY RISK MANAGEMENT<br />

<strong>AND</strong> COMPLIANCE PROGRAM<br />

COMPLIANCE PROGRAM<br />

<strong>SEHA</strong> has initiated a regulatory risk management and compliance program<br />

which includes <strong>SEHA</strong> corporate office and all business entities and healthcare<br />

facilities. Its goal is to ensure compliance with all external laws, regulations,<br />

guidelines and policies (called regulatory sources) as well as internal<br />

policies which are applicable to <strong>SEHA</strong> and its employees (along with the<br />

regulatory sources called compliance sources). Compliance can only be<br />

attained through a culture of practice. <strong>Our</strong> regulatory risk management<br />

and compliance program will be implemented and maintained with the<br />

cooperation of many different institutions both within and outside of our<br />

organization.<br />

The elements of this program are:<br />

• Availability of all applicable compliance sources to employees on an online<br />

platform and on a continually monitored and updated basis<br />

• Useful summaries, guides and training material for the priority compliance<br />

sources available to employees<br />

• Assessment of the regulatory and compliance risks applicable to <strong>SEHA</strong><br />

which forms the basis of the allocation of compliance resources and the<br />

strategic and operational direction of the program<br />

• Development and updating of policies and procedures which reflect<br />

applicable compliance sources<br />

• Training and education designed to help employees understand and<br />

carry out their activities in a manner which is consistent with applicable<br />

compliance sources<br />

• Monitoring and enforcement of compliance sources and policies, including<br />

the Standards of Conduct (including disciplinary and remedial actions in<br />

respect of non-compliances)<br />

• Reporting and responding to non-compliances in accordance with the<br />

reporting policies and systems<br />

Reporting<br />

Employees and any third parties we deal with are required to report any<br />

actual, suspected or potential non-regulatory issues, breaches or violations to<br />

the Corporate Compliance and Ethics Manager. Issues and non-compliances<br />

related to regulatory sources are required to be reported to a legal officer of<br />

the corporate office or healthcare facility.<br />

Non-Compliance with the Standards of Conduct<br />

All inviduals who do not adhere to the Standards of Conduct will be subject<br />

to discplinary and remedial action appropriate in the circumstances. The<br />

discipline imposed will be determined in accordance with human resources<br />

and compliance policy and will consist of one or more of the following:<br />

• Oral or written warning<br />

• Written reprimand<br />

• Suspension<br />

• Termination<br />

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Abu Dhabi Health Services Company PJSC ( <strong>SEHA</strong> ), Standards of Conduct 58<br />

• Restitution


Acknowledgement<br />

Employees and third parties working for, or on behalf of <strong>SEHA</strong> and its healthcare<br />

facilities will be required to acknowledge (either electronically or manually)<br />

that they have read and understand the <strong>SEHA</strong> Standards of Conduct which<br />

summarizes mandatory policies of Abu Dhabi Health Services Company PJSC,<br />

and that they agree to abide by the Standards and all mandatory policies of<br />

the organization.<br />

59<br />

Abu Dhabi Health Services Company PJSC ( <strong>SEHA</strong> ), Standards of Conduct


Rev: May 2012

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