YIC WHISTLEBLOWER POLICY FOR YIC EMPLOYEES AND BOARD MEMBERS
This policy is adopted to comply with the Department of Developmental Services (DDS) Employee and Board Member Complaint Process Filing and Contact Information Guidelines. Accordingly, YIC has adopted this policy for complaints by Employees and Board Members.
1. General
This policy is to provide a guide and structure to assist any YIC employee or board member who wishes to report any perceived improper YIC activity and/or improper vendor/contractor activity and be protected from retaliation when doing so. As set forth herein, a whistleblower is an employee or a member of the Board of Trustees of YIC (hereinafter referred to as the “trustee”), who in good faith (1) reports any “improper YIC activity” and/or “improper vendor/contractor activity” committed by an employee, a trustee, or a vendor/contractor. Whistleblower complaints, for purposes of this policy, are defined as the reporting of an “improper YIC or vendor/contractor activity.”
(1) Here, the term “good faith” shall be deemed to contain the same meaning as California Labor Code §1102.5, which protects employees who disclose reasonably based suspicions of illegal activity
An “improper YIC activity” means an activity by YIC, or an employee, officer or board member of YIC, in the conduct of YIC business, that is a violation of state or federal law or regulation; violation of contract provisions; fraud or fiscal malfeasance; misuse of governmental property or constitutes gross misconduct, incompetency, or inefficiency.
An “improper vendor/contractor activity” means an activity by a vendor/contractor, or an employee, officer, or board member of a vendor/contractor, in the provision of State funded services, that is a violation of a state or federal law or regulation; violation of contract provisions; fraud or fiscal malfeasance; misuse of government property; or constitutes gross misconduct, incompetency, or inefficiency.
YIC’s Whistleblower policy protects employees and the trustees from any form of retaliation for the good faith reporting of perceived improper activity committed by employees, the trustees or any other person. In short no adverse action will be taken against the person filing the complaint simply because a complaint has been filed.
Employees and the trustees are expected to adhere to the highest standards of business and personal ethics in discharging their duties and responsibilities. As employees and representatives of YIC, we are obligated to comply with all applicable laws and regulations with honesty and integrity.
2. Persons Permitted to File Complaints
This policy applies reports of improper activity by all YIC trustees and YIC employees, including employees in the Santa Clarita Valley and Inglewood offices.
3. Responsibility and Obligation to Comply with Policy
It is the responsibility of all employees and all trustees to comply with this policy and to report perceived improper activity to YIC’s Compliance Officer.
4. Procedure For Filing A Complaint
4.1 To make a complaint, contact the Compliance Officer. The Compliance Officer is either the Director of Human Resources, or, if the complaint involves that Director of Human Resources, then the Executive Director. Also, as a separate option, a complaint may be made directly to DDS, the Board of Trustees or the Board’s Executive Committee. The Compliance Officer or the Board of Trustees Will notify the sender and acknowledge receipt of the complaint within five (5) business days. All reports will be promptly investigated and appropriate corrective action will be taken by YIC if warranted by the investigation.
1. Yes I Can Unity Through Music and Education, Inc.
An individual who wishes to file a complaint with Human Resources may contact:
Director of Human Resources
(800) 961-5844
25000 Avenue Stanford, Suite #163
Valencia, CA 91355
b. Board of Trustees, Executive Committee or Specific Officer of the Board
To make a complaint to the Board of Trustees, the Board’s Executive Committee, or to a specific officer of the board (President, Immediate Past President, 1st Vice-President, 2nd Vice President, Treasurer, or Secretary), the contact information is as follows:
Board of Trustees or Board of Trustees Executive Committee
(Please specify what officer of the Board of Trustees you wish
to send your complaint to, if applicable.)
(800) 961-5844
25000 Avenue Stanford, Suite #163
Valencia, CA 91355
c. Department of Developmental Services (DDS)
A complaint may be filed with DDS by contacting:
Community Operations Division
(916) 654-1956
(916) 654-1987 Fax
1600 9th Street, Room 340, MS 3-24
Sacramento, CA 95814
4.2 YIC requires a clear and concise statement of the alleged improper activity and any evidence you have to support the allegation. YIC encourages employees and board members to notify the Compliance Officer in good faith when they have reason to believe that any “improper YIC activity” and/or “improper YIC vendor/contractor activity,” as those terms are defined in part 1 of this policy, has occurred. If you do not provide a name or other information (witnesses or documents) that clearly identifies the person you are alleging has engaged in improper activity, and the YIC office where that person works or is a board member, we may not have sufficient information to investigate.
Copies of documents, rather than originals, should be submitted as they cannot be returned. Although complaints may be filed anonymously, it is extremely difficult and often impossible to investigate if insufficient information is provided and we have no means to contact you to gather basic facts. In such cases, YIC may not be able to effectively investigate the allegations.
4.3 The Compliance Officer shall immediately notify the Executive Committee of any such complaint and work with the committee until the matter is resolved. The Executive Committee shall address all reported complaints of improper activity or suspected improper activity as outlined in the above policy.
4.4 The Executive Committee has the authority to seek an appropriate impartial party (such action should be coordinated with YIC’s corporate counsel), to investigate any suspected improper activity and to make recommendations to the Executive Committee relative to appropriate corrective action. For the purpose of this policy, an impartial party is defined to include an arbitrator, organizational ombudsman, investigator, or mediator.
5. Policy When Complaints Are Filed
5.1 For this policy, the Compliance Officer is the Director of Human Resources. The Executive Director will serve as the Compliance Officer in the event the alleged or suspected improper activity involves the Director of Human Resources. Also, as a separate option, a complaint may be made directly to the Board of Trustees or the Board’s Executive Committee.
5.2 YIC encourages employees and trustees to notify the Compliance Officer in good faith when they have reason to believe that any “improper YIC vendor/contractor activity” or “improper YIC activity,” as those terms are defined in part 1 of this Policy, has occurred.
5.3 No employee or trustee who in good faith reports improper activity shall suffer harassment, retaliation, or adverse employment consequence. In short no adverse action will be taken against a person filing a complaint, simply because a complaint has been filed.
This Whistleblower Policy is intended to encourage and enable employees and trustees to raise serious concerns with the YIC, to permit YIC to address the concerns prior to seeking resolution outside YIC.
5.4 Improper activity violations or suspected violations may be submitted on a confidential basis by the complainant or may be submitted anonymously. In accordance with Section 7 below, reports of violations or suspected violations will be kept confidential to the extent possible, consistent with the need to conduct an adequate investigation, or to comply with other laws and obligations.
5.5 The Compliance Officer responsible for investigating and resolving all reported whistleblower complaints, shall advise the Executive Director and the Board of Trustees’ Executive Committee of each complaint that is filed, and the ongoing progress of the investigation. The Compliance Officer is required to report to the Executive Committee at least annually on compliance activity. In addition, the Compliance Officer or the Board of Trustees will notify the sender and acknowledge receipt of the complaint within five (5) business days.
All reports will be promptly investigated and appropriate corrective action will be taken by YIC if warranted by the investigation. The Compliance Officer responsible for investigating and resolving all reported whistleblower complaints shall advise the Executive Director and Board of Trustees’ Executive Committee of each complaint that is filed, and ongoing progress of the investigation. The Compliance Officer is required to report to the Executive Committee at least annually on compliance activity.
6. This Policy is Consistent with the State’s Directive Entitled “Department of Developmental Services Whistleblower Complaint Process,” dated July 28, 2010.
To comply with the DDS Directive dated July 28, 2010, this policy will:
6.1 Allow for multiple employees within YIC to be available to accept complaints. More specifically, the Compliance Officer is the Director of Human Resources, except that if the complaint involves the Director of Human Resource, the Compliance Officer is the Executive
Director. Also, complaints may be made directly to the Board of Trustees President, or to DDS.
6.2 As noted in 6.1 above, allow direct access to the Board of Trustees President for the purpose of filing complaints.
6.3 Protect any person making a complaint from retaliation. More specifically, YIC will not retaliate against any complainant.
6.4 Follow the YIC procedure set forth in part 5 above to investigate and take appropriate action on complaints, including complaints of retaliation.
6.5 Ensure complainant confidentiality as provided in Section 7 of this Policy, consistent with the State’s Whistleblower Policy, including consumer health and safety.
6.6 Provide for the notification of employees, board members, consumers/families, and vendors community of the existence of both YIC’s and the State’s Whistleblower policy within thirty (30) days of the effective date of YIC’s policy and annually thereafter. In addition, YIC will ensure that this Whistleblower Policy will be posted on YIC’s website within thirty (30) days after being adopted.
7. Confidentiality
YIC will do everything possible to maintain the confidentiality of a complainant making a whistleblower complaint. However, in the rare circumstances where YIC is unable to maintain confidentiality due to its statutory responsibilities (including ensuring the health and safety of consumers and YIC contract compliance), or due to its need to address the improper activity, YIC will attempt to inform the complainant of its need to disclose information prior to releasing identifying information. Additionally, the identity of the complainant may be revealed to appropriate law enforcement agencies conducting a criminal investigation.
8. Notification and Dissemination of Policy
YIC will provide for the notification of employees and board members, of the existence of this policy within 30 days of the effective date of the policy, and annually thereafter. In addition, YIC will ensure that YIC’s Whistleblower Policies are posted on YIC’s website within 30 days after being adopted.
YIC WHISTLEBLOWER POLICY FOR VENDORS, CONTRACTORS AND OTHERS
This policy is adopted to comply with the Department of Developmental Services (DDS) Vendor /Contractor Whistleblower Complaint Process Filing and Contact Information guidelines. Accordingly, YIC has adopted this policy for complaints by vendors, contractors and others.
Definition of YIC or Vendor, Contractor, and Others
Whistleblower Complaints: This policy confirms that YIC permit and will investigate complaints filed not only by YIC employees and YIC trustees, but also complaints filed by vendors, contractors, consumers, families, and others. Whistleblower complaints, for purposes of this policy, are defined as the reporting of an “improper YIC or vendor/contractor activity.”
An “improper YIC activity” means an activity by YIC, or an employee, officer, or board member of YIC, in the conduct of YIC business, that is a violation of a state or federal law or regulation; violation of contract provisions; fraud or fiscal malfeasance; misuse of governmental property or constitutes gross misconduct, incompetency, or inefficiency.
An “improper vendor/contractor activity” means an activity by a vendor/contractor, or an employee, officer, or board member of a vendor/contractor, that is a violation of a state or federal law or regulation; violation of contract provisions; fraud or fiscal malfeasance; misuse of government property; or constitutes gross misconduct, incompetency, or inefficiency.
2. DDS Complaint Processes Available for Use
DDS has variety of complaint appeal processes available to vendors/contractors, agencies, facilities, parents, and consumers. These include Consumer Rights Complaints; Early Start Complaints, Due Process Requests, and Mediation Conference Requests; Lanterman Act Fair Hearing Requests; Title 17 Complaints; Citizen Complaints and Comments 9 (see http://www.dds.ca.gov/Complaints/Homes.cfm for list). Each of these complaint and appeal processes has separate and distinct procedures for resolution. This policy relates only to the YIC or vendor/contractor Whistleblower complaints as described above.
3. Confidentiality
YIC will do everything possible to maintain the confidentiality of a complainant making a whistleblower complaint. However, in the rare circumstances where YIC is unable to maintain confidentiality due to its statutory responsibilities (including ensuring the health and safety of consumers and YIC contract compliance), YIC will attempt to inform the complainant of its need to disclose information prior to releasing identifying information. Additionally, the identity of the complainant may be revealed to appropriate law enforcement agencies conducting a criminal investigation.
4. About Filing a Complaint
YIC and DDS require a clear and concise statement of the improper activity and any evidence you have to support the allegation. If you do not provide a name or other information (witnesses or documents) that clearly identifies the person you are alleging has acted improperly, and the YIC or vendor/contractor where that person works, we may not have sufficient information to investigate. Copies of documents, rather than originals, should be submitted as they cannot be returned.
Although complaints may be filed anonymously, it is extremely difficult and often impossible to investigate if insufficient information is provided and we have no means to contact you to gather basic facts. In such cases, YIC or DDS may not be able to effectively investigate the allegations.
5. How to File Whistleblower Complaint
5.1 Department of Developmental Services (DDS)
A complaint may be filed with DDS by contacting:
Community Operations Division
(916) 654-1958
(916) 654-1987 Fax
1600 9th Street, Room 320, MS 3-9
Sacramento, CA 95814
5.2 Yes I Can Unity Through Music and Education, Inc. (YIC)
A Complaint may be filed with YIC by filing it with the Director of Human Resources, the Executive Director, or the Board of Trustees President; the contact information is as follows:
Director of Human Resources
(800) 961-5844
25000 Avenue Stanford, Suite #163
Valencia, CA 91355
Executive Director
(800) 961-5844 *102
25000 Avenue Stanford, Suite #163
Valencia, CA 91355
Board of Trustees President
(800) 961-5844
25000 Avenue Stanford, Suite #163
Valencia, CA 91355
6. Policy When Complaints Are Filed With YIC
6.1 For this policy, the YIC Compliance Officer is the Director of Human Resources. The Executive Director will serve as the Compliance Officer in the event the alleged or suspected improper activity involves the Director of Human Resources. Also, as a separate option, a complaint may be made directly to the Board of Trustees President.
6.2 YIC encourages vendors/contractors, agencies, facilities, parents, and consumers, as well as YIC employees and trustees to notify the Compliance Officer in good faith (1) when they have reason to believe that any “improper vendor/contractor activity” or “improper YIC activity,” as those terms are defined in part 1 of this policy, has occurred.
6.3 No vendor, contractor, agency, facility, parent, and consumer, nor any employee or trustee who in good faith reports a complaint here under improper activity shall suffer harassment, retaliation, or adverse employment consequence. In short, no adverse action will be taken against the person filing a complaint simply because a complaint has been filed. This Whistleblower Policy is intended to encourage and enable vendors, contractors, agencies, facilities, parents, and consumers, as well as employees and trustees to raise serious concerns with the YIC, to permit YIC to address the concerns prior to seeking resolution outside YIC.
(1) Here, the term “good faith” shall be deemed to contain the same meaning as California Labor Code §1102.5, which protects employees who disclose reasonably based suspicions of illegal activity.
6.4 The Compliance Officer or the Board of Trustees President will notify the sender and acknowledge receipt of the complaint within five (5) business days. All reports will be promptly investigated and appropriate corrective action will be taken by YIC if warranted by the investigation.
The Compliance Officer responsible for investigating and resolving all reported whistleblower complaints shall advise the Executive Director and the Board of Trustees’ Executive Committee of each complaint that is filed, and the ongoing progress of the investigation. The Compliance Officer is required to report to the Executive Committee at least annually on compliance activity.
7. This Policy is Consistent with the State’s Directive Entitled “Department of Developmental Services Whistleblower Complaint Process,” dated July 28, 2010.
To comply with the DDS Directive dated July 28, 2010, this policy will:
7.1 Allow for multiple employees within YIC to be available to accept complaints. More specifically, the Compliance Officer is the Director of Human Resources, except that if the complaint involves the Director of Human Resource, the Compliance Officer is the Executive Director. Also, complaints may be made directly to the Board of Trustees President, or to DDS.
7.2 As noted in part 7.1 above, allow direct access to the Board of Trustees President for the purpose of filing complaints.
7.3 Protect any person making a complaint from retaliation. More Specifically, YIC will not retaliate against any complainant.
7.4 Follow YIC procedure set forth in part 6 above to investigate and take appropriate action on complaints, including complaints of retaliation.
7.5 Ensure complainant confidentiality as provided in Section 3 of this Policy, consistent with the State’s Whistleblower Policy, including consumer health and safety.
7.6 Provide for the notification of employees, board members, consumers/families, and vendor community of the existence of both YIC and the State’s Whistleblower policy within thirty (30) days of the effective date of YIC’s policy and annually thereafter. In addition, YIC will ensure that this Whistleblower Policy will be posted on YIC’s website within thirty (30) days after being adopted.