logoNorth Los Angeles County Regional Center

Whistleblower Policy

REGIONAL CENTER WHISTLEBLOWER POLICY FOR VENDORS, CONTRACTORS AND OTHERS

This policy is adopted to comply with the Department of Developmental Services (DDS) Regional Center or Vendor/Contractor Whistleblower Complaint Process Filing and Contact Information guidelines. Accordingly, NLACRC has adopted this policy for complaints by vendors, contractors and others.


1. Definition of Regional Center or Vendor, Contractor, and Others Whistleblower Complaints

This policy confirms that both NLACRC and DDS permit and will investigate complaints filed not only by regional center employees and regional center 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 regional center or vendor/contractor activity.”

2. DDS Complaint Processes Available for Use

DDS has a 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 https://www.dds.ca.gov/general/appeals-complaints-comments for list). Each of these complaint and appeal processes has separate and distinct procedures for resolution. This policy relates only to the regional center or vendor/contractor Whistleblower complaints as described above.

3. Confidentiality

Both NLACRC and DDS will do everything possible to maintain the confidentiality of a complainant making a whistleblower complaint. However, in the rare circumstances where DDS is unable to maintain confidentiality due to its statutory responsibilities(including ensuring the health and safety of consumers and regional center contract compliance), the Department 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

NLACRC 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 regional center 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, NLACRC 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 Services Division
Phone: (916) 651-6309
Fax: (916) 654- 3641
1215 O Street, MS 8-20
Sacramento, CA 95814

5.2 North Los Angeles County Regional Center

A Complaint may be filed with NLACRC by filing it with the Human Resources Director, the Executive Director or the Board of Trustees President. The contact information is as follows:

Human Resources Director
Phone: (818) 756-6125
Fax: (818) 756-6440
Email: whistleblower@nlacrc.org
9200 Oakdale Avenue, Suite 100
Chatsworth, CA 91311

Executive Director
Phone: (818) 756-6360
Fax: (818) 756-6140
9200 Oakdale Avenue, Suite 100
Chatsworth, CA 91311

Board of Trustees President
Phone: (818) 756-6118
Fax: (818) 756-6140
Email: boardsupport@nlacrc.org
9200 Oakdale Avenue, Suite 100
Chatsworth, CA 91311

6. Policy When Complaints Are Filed With NLACRC

6.1 For this policy, the NLACRC Compliance Officer is the Human Resources Director. The Executive Director will serve as the Compliance Officer in the event the alleged or suspected improper activity involves the Human Resources Director. Also, as a separate option, a complaint maybe made directly to the Board of Trustees President.

6.2 The center encourages vendors/contractors, agencies, facilities, parents, and consumers, as well as NLACRC employees and trustees to notify the Compliance Officer in good faith1 when they have reason to believe that any “improper vendor/contractor activity” or “improper regional center 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 hereunder 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 NLACRC, to permit NLACRC to address the concerns prior to seeking resolution outside the center.

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 NLACRC 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 Trustee’s 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 the regional center to be available to accept complaints. More specifically, the Compliance Officer is the Human Resources Director, except that if the complaint involves the Human Resources Director, 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, the regional center will not retaliate against any complainant.

7.4 Follow the regional center 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 the regional center and the State’s Whistleblower policy within thirty (30) days of the effective date of the regional center’s policy and annually thereafter. In addition, the NLACRC will ensure that this Whistleblower Policy will be posted on the regional center’s website withing thirty (30) days after being adopted.