Whistleblower Reporting
The UC Whistleblower Policy is meant to encourage timely, safe, and honest reporting of improper governmental activity and ensure consistent and timely responses to reports. A whistleblower is anyone who makes a good faith effort to disclose an improper governmental activity. Whistleblowers are often faculty, staff, or students, but they can also be applicants for employment, vendors, contractors, and members of the general public.
The UC Whistleblower Policy applies to reports of suspected improper governmental activity that includes:
- Violations of laws or regulations
- Significant violations of UC policy (that typically also violate the law)
- Gross misconduct, gross incompetence, gross inefficiency, or economic waste
- Any condition that may significantly threaten the health or safety of employees or the public
An improper governmental activity must directly involve the University as either the victim of the improper activity or the perpetrator of the improper activity via the action of an employee.
Making a Whistleblower Report
If you suspect or witness improper governmental activity, report it to the UC Whistleblower Hotline:
- Online: universityofcalifornia.edu/hotline
- Phone: (800) 403-4744
The hotline is independently operated to ensure confidential reporting. A written report is preferred over a phone report. Include as much specific factual information as possible.
You may also report anonymously via the UC Whistleblower Hotline. If you report anonymously, note the "report key" and password so you can follow up and answer questions we may have.
Alternatively, you can also:
- Report via email to the Locally Designated Official (LDO): ucmldo@ucmerced.edu
- Talk with your supervisor, manager, or Department Head
- Report to the California State Auditor:
- Online: auditor.ca.gov/hotline
- Phone: (800) 952-5665
Supervisor Reporting Responsibilities
Supervisors, managers, and administrators are required by the UC Whistleblower Policy to report improper governmental activity to the LDO when any of the following conditions are met:
- The matter is the result of a significant internal control or policy deficiency that is likely to exist in other units within the campus or across the University system
- The matter is likely to receive media or other public attention
- The matter involves the misuse of University resources or creates exposure to a liability in potentially significant amounts
- The matter involves allegations or events that have a significant possibility of being the result of a criminal activity (such as disappearance of cash)
- The matter involves a significant threat to the health and safety of employees and/or members of the public
- The matter is judged to be significant or sensitive for other reasons
When in doubt, report suspected improper governmental activity to the LDO.
Whistleblower Process
The whistleblower process is:
- An important means for the campus to detect and remedy illegal acts and mitigate risks to the campus
- Designed to ensure unbiased review of reports of suspected improper governmental activity
The whistleblower process is not:
- A disciplinary process
- A way to escalate a report that is handled by another campus office
- A way to address common workplace disputes or disagreements
- A means to communicate general dissatisfaction with your supervisor or co-workers
- A right to an investigation
The Locally Designated Official (LDO) for the campus is responsible for reviewing and addressing whistleblower reports.
Whistleblower Protection
The UC Whistleblower Protection Policy provides a process for whistleblowers to report retaliation for having made a Protected Disclosure of a suspected improper governmental activity. The UC Merced Whistleblower Protection Policy Implementation Procedures describe how a retaliation report is made.
Filing a Whistleblower Retaliation Complaint
Under the UC Whistleblower Protection Policy, retaliation for having filed good faith a whistleblower report requires a written Sworn Statement that includes three required allegations:
- Protected Disclosure OR Refusal to Obey an Illegal Order – The Whistleblower reporter (Complainant) must have made good faith protected disclosure of suspected improper governmental activity OR refused to obey an illegal order
- Adverse Personnel Action – The Complainant must have experienced a personnel action taken by management that adversely affected the Complainant’s terms and conditions of employment in a material and negative way
- Nexus – There must be a basis for the Complainant’s belief that the Protected Disclosure or Refusal to Obey an Illegal Order was a contributing factor in the Adverse Personnel Action.
Whistleblower Protection Process
The whistleblower protection process is:
- Designed to remedy certain instances of retaliation, specifically Adverse Personnel Actions taken against someone for making a Protected Disclosure or refusing to obey an Illegal Order.
- Available to employees, applicants for employment, and former employees who experienced retaliation (as defined in the WPP) while they were employees.
- A process employees can pursue even if they have initiated another complaint or grievance process.
The whistleblower protection process is not:
- A general or “catch-all” grievance or retaliation procedure. There are strict requirements for complaints to be eligible for processing under the WPP.
- Protection from disciplinary action or other personnel action justified by legitimate, non-retaliatory reasons.
Other Types of Retaliation Complaints
Note that not all claims of retaliation are reviewed by the LDO under the UC Whistleblower Protection Policy. Various UC policies include retaliation complaint processes that determine which campus office receives and reviews retaliation complaints. For example:
- Office for the Prevention of Harassment & Discrimination (OPHD) - Addresses retaliation complaints that arise from complaints made to OPHD releted to UC Sexual Harassment & Sexual Violence and UC Anti-Discrimination Policies. See the OPHD website for additional information.
- HR Employee & Labor Relations (HR-ELR) - Addresses retaliation complaints that arise from complaints made to HR-ELR related to the Abusive Conduct in the Workplace Policy (staff employees). See the HR-ELR website for additional information.
- Academic Personnel Office (APO) - Addresses retaliation complaints that arise from complaints made to HR-ELR related to the Abusive Conduct in the Workplace Policy (academic employees). See the APO website for additional information.
Resources
UC Merced's Locally Designated Official (LDO) responsible for reviewing whistleblower reports is:
- Viola Kinsman, Chief Ethics and Compliance Officer (CECO)
Policies & Procedures
- UC Whistleblower Policy
- UC Whistleblower Protection Policy
- UC Merced Whistleblower Protection Policy Implementation Procedures
Whistleblower Posters / Brochures
- UC Merced Whistleblower Poster
- California State Auditor
Additional Resources