To establish the official policy of Unyeway, Inc. regarding the organization’s corporate compliance program.
Unyeway, Inc. is dedicated to the delivery of employment and training services and programs in an environment characterized by strict conformance with the highest standards of accountability for administration, services, marketing, and financial management. Unyeway’s leadership is fully committed to preventing and detecting fraud, fiscal mismanagement and misappropriation of funds and, therefore, to the development of a formal corporate compliance program to ensure ongoing monitoring and conformance with all legal and regulatory requirements, as well as ethical practices and services. Further, the organization is committed to the establishment, implementation and maintenance of a corporate compliance program that emphasizes (1) prevention of wrongdoing, whether intentional or unintentional; (2) immediate reporting and investigation of questionable activities and practices without consequences to the reporting party; and (3) timely correction of any situation which puts the organization, or its leadership, staff, funding sources or consumers at risk.
By formal resolution, the Board of Directors has delegated the Corporate Compliance Officer responsibilities to the Executive Director. The Executive Director will monitor the organization’s corporate compliance program and provide periodic and regular reports to the Board of Directors on matters pertaining to the program.
The Corporate Compliance Officer (CCO) shall serve as the organization’s primary point of contact for all corporate compliance issues, develop, implement, and monitor, on a regular and consistent basis, the organization’s corporate compliance program, including all internal and external monitoring, auditing, investigative and reporting processes, procedures and systems; as well as prepare, submit and present periodic reports to the Executive Director as may be required to provide clear communication to the organization’s leadership for corporate compliance oversight; and coordinate development of the organization’s formal corporate compliance program.
The CCO shall report compliance concerns to the Board of Directors. Annually the CCO will provide a formal written report to the Board of Directors that include at a minimum: (1) a summary of all allegations, investigations and/or complaints processed in the preceding 12 months in conjunction with the corporate compliance program; (2) a complete description of all corrective action(s) taken; and (3) any recommendations for changes to the organization’s policies and/or procedures.
In the performance of his or her duties, the CCO shall have direct and unimpeded access to the President of the Board of Directors and the organization’s accounting firm for matters pertaining to corporate compliance.
As part of corporate compliance program development, the CCO shall schedule, coordinate and monitor periodic reviews of risk areas by competent persons external to the organization. Such reviews will be conducted as a way to ensure ongoing conformance with billing, accounting and collection regulations imposed by the federal government and other “third party” funding sources. More critically, these reviews will augment the organization’s annual audit of its accounting system and provide an additional, internal measure to ensure conformance with billing and coding policies and practice that will withstand the scrutiny of any regulatory audit or examination.
WHEREAS, Unyeway is dedicated to the delivery of community employment and services, day program, and transportation services in an environment characterized by strict conformance with the highest standards of accountability for administrative, business, services, financial, and marketing management;
WHEREAS, the leadership of Unyeway, Inc. is aware of and fully committed to the need to prevent and detect fraud, waste, abuse, fiscal mismanagement and misappropriation of funds through the development and implementation of a formal “Corporate Compliance Program”; and
WHEREAS, Unyeway, Inc. is fully committed to the continuous development and implementation of comprehensive policies, procedures, and other corporate compliance measures to provide regular monitoring and conformance with all legal and regulatory requirements.
BE IT RESOLVED, that the Board of Directors of Unyeway, Inc. met and discussed the development of a corporate compliance plan for the organization on this date. The Board of Directors authorized the Executive Director to take all actions necessary to immediately and fully develop and implement the organization’s Corporate Compliance Program.
To Enhance and Enrich the Lives of People with Disabilities
by Employing and Empowering Them in Their Communities
Unyeway, Inc. believes that all people with disabilities have the right to a meaningful, quality life. We respect the dignity of all individuals and strive to positively support the physical, cognitive, vocational, ethical, psychological, social, cultural, and spiritual aspects of their lives.
Unyeway, Inc. has instituted an Unyeway, Inc. Compliance Program designed to promote high standards as employees of Unyeway, Inc. perform their duties and provide services in San Diego County. Unyeway, Inc. acknowledges its responsibility to conduct business in compliance with applicable laws and regulations and the Compliance Program provides methods to prevent fraud, waste and abuse; and criminal and unethical conduct. As an important part of the Compliance Program, Unyeway, Inc. has established a Code of Ethics for conducting its business. The Unyeway, Inc. Compliance Program has been adopted by the Board of Directors of Unyeway, Inc. and applies to all personnel, volunteers, and Board Members.
PURPOSE OF THE UNYEWAY, INC. COMPLIANCE PROGRAM:
The purpose of the Compliance Program is to create an Unyeway, Inc. environment of mutual respect among employees, respect for the people we serve and for the laws, rules, and regulations under which we operate. In addition, the Unyeway, Inc. Compliance Program seeks to:
- Provide and enhance quality of service;
- Demonstrate sincere effort to comply with all applicable laws and regulations;
- Instill in all employees of Unyeway, Inc. their responsibility to comply with applicable laws and regulations and with Unyeway, Inc.’s Code of Ethics;
- Empower all responsible parties to prevent, detect, respond to, report, and resolve conduct that does not conform with laws and regulations and with Unyeway, Inc.’s Code of Ethics;
- Foster an environment in which employees feel safe to report concerns, abuses, orideas without the fear of retaliation or breaches of confidentiality.
Unyeway Inc.’s Personnel, Consultants, Volunteers, and Board Members shall:
- Treat consumers, other persons who work for Unyeway, families of persons served, volunteers, consultants, funding agents, other vendors, outside agencies, and any other person with whom they come into contact with as a function of employment with dignity and respect at all times.
- Provide quality services based on a person centered plan that addresses a consumer’s preferences, choices, input, and needs.
- Ensure that staff acknowledge and understand the influence of cultural histories, life experiences, language differences, beliefs, values, traditions, practices, and other personal, environmental, and spiritual influences on persons served and their families as well as personnel, consultants, volunteers, and Board Members.
- Engage in and promote honest and ethical conduct.
- Strive to avoid actual or the appearance of conflicts of interest.
- Comply with applicable laws, rules, and regulations.
- Adhere to architectural, environmental, attitudes, finances, employment, communication, and transportation accessibility.
- Consult with their supervisor and refer to the agency’s policy and procedures when responding to subpoenas or other legal requests such as search warrants.
- Act responsibly in the use and control of all assets, resources, possession, funds, and information of persons served by the agency, as well as the agency and its personnel/volunteers/consultants.
- Not engage in activities that fall into the categories of fraud, waste, abuse of fiscal mismanagement or other wrong doings
- Report abuse of any kind including: physical, sexual, verbal, fiduciary, fraud, waste, and other wrong doings.
- Report promptly any violations of the Code of Ethics.
MARKETING, COMMUNICATION, AND DEVELOPMENT ACTIVITIES:
Unyeway Inc.’s Personnel, Consultants, Volunteers, and Board Members shall:
- Practice honest, transparent, and timely communication to facilitate the transfer of essential information in the interest of our consumers and the agency.
- Ensure that all services are promoted in a manner that is respectful to the consumers we serve, the personnel we employ, and all other stakeholders (Board Members, consultants, funding agents, etc….).
- Protect confidential materials and information as well as the privacy of consumers served. Protect confidential materials, information and privacy of all personnel, and other stakeholders in compliance with all legal requirements.
- Disseminate accurate information and promptly correct or clarify erroneous communication for which we may be responsible.
- Ensure that marketing practices are contributing to the Mission and Values of the agency.
Unyeway Inc.’s Personnel, Consultants, Volunteers, and Board Members shall:
- Respect all unique characteristics of individuals such as gender, culture, ethnicity, spiritual believes, and sexual orientation, as well as the diverse ages, languages, and socioeconomic backgrounds of consumers, Unyeway personnel, families of persons served, volunteers, funding agents, other vendors, outside agencies, and other stakeholders.
- Not discriminate based on differences, including but not limited to: race, color, ethnicity, disability, religion, nation of origin, sexual orientation, gender, age, socioeconomic background, and the like.
- Ensure that consultants and contractors are certified, licensed, and insured for the services they provide, as necessary.
- Ensure that every employee for the agency has been trained on their mandated reporter duties and responsibilities. Ensure that witnessed or suspected abuse or neglect is reported to the proper authorities within the legal timeline stipulated by the State of California.
- Treat everyone with dignity and respect.
- Behave in a trustworthy manner with persons served, other personnel, volunteers, visitors, and other stakeholders.
- Complete all documentation and record keeping requirements in an accurate, thorough and professional manner.
- Provide a safe, clean, and healthy environment free of any accessibility barriers.
- Ensure that confidential information and materials are safe guarded.
- Advocate for persons served and protect the person served against unethical and hypocritical practices.
Unyeway Inc.’s Personnel, Consultants, Volunteers, and Board Members shall:
- Treat persons served by the program as well as personnel, consultants, volunteers, and Board Members with dignity and respect at all times.
- Strive for the highest quality of services at all times.
- Ensure that they are using the “people first” concept in service provision.
- Understand and honor the rights of person’s served by the agency and the duty to act as a mandated reporter at all times.
- Prohibit the exchange of gifts, money, possessions, and gratuities between personnel, board members, volunteers, consultants, the persons we serve, their family members, funding agents, other vendors, outside agencies (including: CCL, DOR, SDRC, AIS, CARF and other oversight agencies). This prohibition does not include the donations to support special events or items donated and pre-approved by the Executive Director for the benefit of consumers or the agency as a whole. The special event or items can never be for the benefit of an individual or specific individuals or for the services provided by Unyeway Inc. The Board of Directors as an entity can approve wage or monetary increases, or benefits based on laws, merit, or similar compensation for business reasons. All such compensations must be disclosed fully and recorded.
- Follow Unyeway, Inc.’s Non-Fraternization Policy AP-26
- Maintain the confidentiality of the persons served as required by law. Personnel, Board Members, consultants, and volunteers will not discuss confidential company matters, personnel matters, products or customers’ materials, or information regarding consumers unless specifically necessary and related to the performance of his or her duties within the agency.
- All personnel and consultants are responsible for the fair and ethical treatment and the supervision of persons served by the agency, therefore nonprofessional relationships between personnel or consultants with consumers is prohibited. In cases where consumers have familial ties to personnel or consultants the related personnel or consultant may not provide supervision to the consumer during business hours.
- Ensure the safeguarding and safety of all consumer and agency property. Report any loss, theft, breakage, or other damage to consumer or agency property to the program director and complete the proper forms i.e. damage report.
- Strive to avoid any real or perceived conflicts of interest.
- Report any potential or actual conflicts of interests to the Director of Human Resources, Executive Director, or the President of the Board of Directors.
- Prohibit solicitations or fund raising in the workplace, with the exception of the United Way Campaign.
- Prohibit the bringing of personal property by personnel/volunteers/Board Members to the workplace.
- Prohibit the display of items or expression of a religious, political, or potentially/actually offensive materials including through digital means.
- Encourage and protect the reporting of abuse, fraud, waste, theft, and other wrong doing. Ensure the confidentiality and protection from retaliation of the reporter as is possible.
Unyeway Inc.’s Director of Human Resources and Program Directors shall:
- Strive to provide trainings to the agency’s personnel, volunteers, and when applicable consultants to ensure these persons are well trained on procedures, safety practices, laws/regulations, specific requirements of oversight agencies and specific needs of individual consumers.
- Strive to always emphasize a person centered approach to planning and training for consumers and their needs.
- Be committed to a diverse and culturally appropriate work and program environment as well as culturally competent, trained personnel.
- Ensure a safe, drug-free, and healthy work environment that supports our Mission and Values.
- Ensure that licensed professionals practice within the scope of their licenses and that practices that require licensure are performed only by a licensed professional.
- Personnel and as necessary volunteers and consultants are educated and follow policies and procedures.
PROHIBITION OF WASTE, FRAUD, ABUSE, AND WRONGDOINGS:
Unyeway, Inc. personnel, consultants, volunteers, and other stakeholders may not participate in fraud, abuse, waste of resources or other wrong doing. Ethical violations or legal but unethical wrongdoings including but not limited to fraud, waste or abuse are subject to disciplinary action up to and including termination. Employees are encouraged to report any suspicion or evidence of waste, fraud, abuse, or other wrongdoings. There will be no reprisals or retaliation permitted or accepted if any personnel, consultants, volunteers, or other stakeholders report suspicion or evidence of waste, fraud, abuse, or wrong doings.
Corporate responsibility is encouraged at all levels of the organization. Corporate responsibility demonstrates that our organization stands for ethical practices, values, and the agency’s mission. Corporate responsibility assists in advocating for the persons served; promoting ethical business practices, developing efficient and organized efforts; and considering the impact of the organizational activities on persons served, personnel, other stakeholders, and the community as a whole.
FINANCIAL REPORTING AND BUSINESS MANAGEMENT PRACTICES
We recognize that financial reporting and an integrated system of internal controls are key responsibilities of our Board President, Executive Director, and Chief Financial Officer. We believe that periodic review of our financial status by our Board of Directors is essential and an integral part of their duties. We further recognize that an annual independent examination and assessment of our finances under the supervision of our Audit Committee is a key element in maintaining our credibility and ensuring the safeguarding of our assets.
Advocacy: Unyeway, Inc. advocates for persons served, personnel, and other stakeholders. Advocacy efforts include conducting and participating in public education or activities that promote the elimination of discrimination towards people with disabilities. Unyeway, Inc. promotes a people first concept. Advocacy includes speaking with and in support of the community as a whole as well as specific individuals. Advocacy is reflected in the person centered concept and the team approach to planning persons served vision of his or her desired future and outcomes.
Board of Directors: The Board of Directors of Unyeway, Inc. will provide leadership in its example of ethical governance of the corporation. Board members commit to the highest standards of professional ethics, responsibility, integrity, and lawfulness. On an annual basis Unyeway, Inc.’s Board of Directors and key staff will individually review and adopt the Board conflict of interest policy (AP-23a) and the individual statement disclosing any actual or potential conflict of interest. On an annual basis Unyeway, Inc.’s Board of Directors will review and adopt the Corporate Responsibility and Code of Ethics policy. It is the responsibility of each Director to disclose any conflicts of interest to the entire Board whenever a conflict arises or any business matter which may be brought to the Board of Directors for discussion or action. Any allegation of violation of the Code of Ethics by a Board Member will be reported in writing to the Board’s President or in the case of a violation by the Board President the violation will be reported to the Board’s Vice President within 10 working days. A final disposition will be recorded within 15 working days.
Financial Statements: We reaffirm our responsibility to report the financial position, results of operations, and cash flow of the organization in accordance with generally accepted accounting principles through financial statements to our Audit Committee and Board of Directors at least quarterly.
Internal Controls:We have an integrated system of internal control, designed to provide reasonable assurances that we will attain the following:
- Effectiveness and efficiency of operation, including the safeguarding of assets
- Reliable financial statements
- Compliance with applicable laws and regulations
- We provide an annual assessment of the internal control system to our Audit Committee and Board of Directors.
Annual Audit: We will engage an independent accounting firm to conduct an examination of our financial statements. The independent accounting firm will conduct its audit in accordance with generally accepted accounting and auditing principles (GAAP). The financial statements of the Corporation shall be audited annually by a firm of independent certified public accountants who shall be chosen by the Board of Directors. To avoid conflict of interest, the Board President, Executive Director, and Chief Financial Officer, or any other member of the Board cannot have worked for the auditing firm at least one year preceding the audit. The auditors will examine our financial statements and internal control assessment then report on their examination and recommendations for changes in the financial statements, reporting practices, or internal controls. This report will be provided directly to our Audit Committee and Board of Directors.
Audit Committee: This committee shall be comprised of at least two members of the Board
of Directors who are confirmed by the Board. All members of the Audit Committee will be independent from management, financially literate, and at least one member will have accounting or related financial management expertise. It shall be the duty of this Committee to:
- provide oversight and generally monitor the fiscal condition and solvency of the Corporation and effective use of the Corporation’s resources;
- Examine the budget prepared by the Executive Director prior to its submission to the Board of Directors;
- Safeguard the assets of the Corporation through the procurement of insurance with appropriate levels of coverage; and
- Oversight responsibilities relating to the auditing, accounting, and reporting practices of the Corporation, the adequacy of the Corporation’s systems of internal controls, and the Corporation’s legal and financial compliance with applicable laws and regulatory requirements.
Contractual Relationships: Unyeway, Inc. will maintain its relationships with individuals and entities with whom it has established or is considering establishing a contractual relationship in a legal and ethical manner. Conflicts of interest with any entities must be declared. A copy of the Code of Ethics for Unyeway shall be provided to all consultants and they will be required to adhere to the Code of Ethics upon approval of their contract.
The Board President, Executive Director along with the Chief Financial Officer, are the only individuals who have authority to negotiate and sign contracts and contingencies for Unyeway, Inc. No other employee has the authority or right to negotiate or sign contracts unless specifically designated by the Board President and Executive Director.
Whistle Blower Protection: In accordance with laws governing nonprofit corporations, have a whistle blower policy and procedures, which will encourage employees to report any financial improprieties. Employee reports of improprieties will be taken seriously and investigated promptly. Employees bringing such reports will not be subject to retaliation or adverse action based on the disclosure of the complaint.Unyeway is committed to the establishment, implementation, and maintenance of a corporate compliance program to ensure ongoing monitoring and compliance with all legal and regulatory requirements. The program will emphasize:
- Prevention of wrong doing whether intentional or unintentional;
- Immediate reporting and investigation of questionable activities and practices without consequences to the reporting agency and;
- Timely correction of any situation that puts Unyeway, Inc., its leadership, personnel, funding sources, or persons served at risk.
Employees have the responsibility to report any wrongdoing to the Executive Director. Any employee may report issues of fraud, waste and/or abuse. The Executive Director will proceed as appropriate.
Conflict of Interest: We have a conflict of interest policy governing our Board Members, employees, and volunteers. We agree that a conflict of interest arises when a Board Member, consultant, volunteer, or employee is influenced by personal considerations, including but not limited to financial considerations, in the course of performing work for Unyeway, Inc. All board members, employees, consultants, and volunteers should disclose any activity or relationship which may be perceived as a conflict of interest and a record of that disclosure should be maintained.
Document Destruction: Unyeway, Inc. has a written document retention and destruction policy based on legal requirements. By law, certain documents, such as- financial records, contracts, real estate records, and employee records, must be archived according to specific guidelines. The policy also states it is illegal to alter, cover up, falsify, or destroy any document to prevent its use in an official proceeding such as a federal investigation. The policy will include guidelines for electronic mail and voice mail.
Certification of Form 990: Two people, either the Board President, Executive Director, and the Chief Financial Officer of Unyeway will sign Internal Revenue Service Form 990 to attest to the accuracy and completeness of its contents as well as to the accuracy of financial reports utilized during the year and in preparation of the Form 990. The Financial statements and Form 990 will not contain any untrue material statements for facts and will not be misleading in their presentation.
CONDUCT IN REGARD TO FISCAL MANAGEMENT
The conduct of all Board Members, personnel, and volunteers of Unyeway, Inc. has an impact on our ability to manage our financial resources and serve the community. In order to strengthen our ability to comply with the Code of Ethics, we will ask each member of the staff, Board, and volunteers agree to conduct himself or herself in a manner that promotes Unyeway’s corporate culture, values, and ethical behaviors that include:
- Operating in a manner that upholds the integrity of Unyeway, Inc. and ensures public trust.
- Upholding all applicable laws and regulations, and furthering the ability of Unyeway, Inc. to accomplish our mission.
- Being a responsible steward of the resources of Unyeway, Inc.
- Recognizing if you are being asked to do something that might be illegal, immoral, or unethical.
- Consulting others if you are presented with a dilemma on an issue.
- Deciding on a course of action, determining your responsibility, reviewing all relevant facts and information, and referring to all applicable Unyeway, Inc. policies, procedures, and standards.
- Considering whether an action goes against legal, ethical, moral, and professional standards.
Employee: Each employee will receive initial training on the Code of Ethics as part of his or her orientation process. Each employee will be encouraged to ask questions throughout the training to ensure that he/she understands the Code of Ethics. Each employee will complete and sign an acknowledgement that they have read the Unyeway Code of Ethics. A copy of which will be maintained in their personnel file. There will be an annual refresher training provided directly to employees, during which they will be encourage to ask questions and receive any necessary clarification.
Board: Each board member will be provided with a copy of the Code of Ethics policy at the time of their initial orientation to the board. A copy of the Code of Ethics will be maintained in the board manual. Each Board member will participate in a review of the Code of Ethics, receive a copy, and sign an acknowledgement at least annually.
Public: A copy of the Code of Ethics will be posted on the agency web site.
PROCEDURES TO ADDRESS ALLEGATIONS OF A BREACH OF THE CODE OF ETHICS
General: The Unyeway, Inc. Code of Ethics requires personnel, consultants, volunteers and Board Members to observe high standards of business and personal ethics in the conduct of their duties and responsibilities. Personnel, consultants, volunteers or Board Members must practice honesty and integrity in fulfilling their responsibilities and comply with all applicable laws and regulations.
Reporting Responsibility: It is the responsibility of all personnel, consultants, volunteers and Board Members to comply with the Code of Ethics and to report violations or suspected violations in accordance with the Reporting Policy. Improper Unyeway, Inc. activity should be reported to the Corporate Compliance Officers.
No Retaliation: No personnel, consultants, volunteers or Board Members who in good faith reports a violation of the Code of Ethics shall suffer harassment, retaliation or adverse employment consequence. Any personnel, consultants, volunteers and Board Members who retaliates against someone who has reported a violation or suspected violation in good faith is subject to discipline action up to and including termination of employment. This reporting policy is intended to encourage and enable personnel, consultants, volunteers and Board Members to raise serious concerns and to seek resolution, if warranted.
Reporting Violations: Unyeway, Inc. has an open door policy and allows personnel, consultants, volunteers and Board Members to share their questions, concerns, suggestions, or complaints with someone who can address them properly. In most cases, an employee’s supervisor is in the best position to address an area of concern. However, if an employee is not comfortable speaking with his or her supervisor or is not satisfied with the supervisor’s response, the employee is encouraged to speak with the Director of Human Resources or the Executive Director. Supervisors and managers are required to report violations or suspected violations of the Code of Ethics to the Director of Human Resources or Executive Director, who have specific and exclusive responsibility to investigate all reported violations. For suspected fraud, waste, abuse or other such wrong doings personnel, consultants, volunteers and Board Members should immediately contact the Director of Human Resources or Executive Director.
Compliance Officer: The Compliance Officer for the reporting policy is the Executive Director. The Compliance Officer is responsible for ensuring the investigation and resolution of all reported complaints and allegations concerning violations of law or conduct and, at his or her discretion, shall advise the President of the Board of Directors. The Compliance Officer will annually report to the Board of Directors on compliance activity.
Accounting and Auditing Matters: The Compliance Officer will address all reported concerns or complaints regarding Unyeway, Inc. accounting practices, internal controls, or auditing. The Compliance Officer shall immediately notify the Board President of any such complaint and work until the matter is resolved.
Acting in Good Faith: Anyone filing a complaint concerning a violation or suspected violation of conduct or law must be acting in good faith and have reasonable grounds for believing the information disclosed indicates a violation of the Code of Ethics. Any allegations that prove not to be substantiated and which prove to have been made maliciously or knowingly to be false will be viewed as a serious disciplinary offense.
Confidentiality: Reports of violations or suspected violations may be submitted on a confidential basis by the complainant or may be submitted anonymously. Reports of violations or suspected violations will be kept confidential to the extent possible, consistent with the need to conduct an adequate investigation.
Processing Reported Violations: The Compliance Officer will notify the sender and acknowledge receipt of the reported violation or suspected violation within 5 business days and complete a final report of the investigation within 15 days. All reports will be promptly investigated and appropriate corrective action will be taken if warranted by the investigation.
Reports shall be sent by fax, letter, scan, or in person (by appointment) to:
Carrie Hancock, Executive Director;
or Sheila Staub, Director of Human Resources Unyeway, Inc.
2330 Main Street, Suite E
Ramona, CA 92065
Fax (760) 789-8156
For Reporting, to the Unyeway, Inc. Board of Directors:
Lisa Oertling, Board President Unyeway, Inc.
2330 Main Street, Suite E
Ramona CA 92065
The community and people we serve trust Unyeway, Inc. based on its long-established reputation and integrity. Any misdeed, illegal activity, or appearance of impropriety impacts negatively upon all of us. In order to maintain that trust, we agree to voluntarily comply with the guidelines and recommendations set forth in the document.