Tracking Compliance Issue 1 April 2026

Newsletter and Resource Guide

Welcome to the first issue of Tracking Compliance, a Newsletter & Resource Guide published by the UC Merced Ethics & Compliance Office to share helpful information, essential guidance, and timely updates with UC Merced employees.

We want to hear from you! Complete this brief survey to provide your feedback on this Newsletter & Resource Guide. Your feedback will help guide future issues.

This inaugural issue includes:

On the Trail: Resources to Keep You on Track

Digital Accessibility Matters at UC

Looking for tips, tricks, and best practices around digital accessibility? UC Tech News recently published an article as part of their Accessibility Matters series on the Top Five Common Issues employees encounter around digital accessibility. The article includes helpful information about correcting these common issues:

  • Untagged PDF Documents
  • Images without Alt Text
  • Missing Headings and Skipped Heading Levels
  • Insufficient Color Contrast
  • Not Adding Descriptive Link Text

Read the Top Five Common Issues article for ideas on how to fix these issues and make your documents more accessible.

Bobcat Brief: Staying Sharp on Compliance

The Bobcat Brief features topics that highlight UC Merced employees’ shared responsibility to uphold the highest standards of ethics and compliance with laws, policies, and procedures. When we commit to ethical practices, we build a culture of accountability and trust, which strengthens both individual and institutional success.

In this inaugural issue, we kick off a series on employee obligations to report misconduct. We begin with an overview of why it is important for all employees to report conduct that may violate the law or University policy. Then we do a deep dive into whistleblower reporting. We cover who should report, what to report, and how to report suspected improper governmental activity.

Employee Reporting Series

Look for these reporting topics in future issues:

  • Abusive Conduct
  • Campus Hazing
  • Child Abuse & Neglect
  • Clery Reportable Crimes
  • Discrimination Claims
  • Sexual Violence & Sexual Harassment Complaints
  • Workplace Violence

General Reporting Responsibilities

As a UC Merced employee, you have certain obligations to report what you learn about incidents of misconduct, violence, abuse, neglect, discrimination, harassment, sexual violence, sexual harassment, and other conduct that could be a violation of the law or University policy. Reporting this type of conduct enables the University to address and prevent harm so our campus community can work and learn in a safe environment. It is important to report any disclosed, witnessed, or suspected misconduct, even if you are unsure whether you are required to report it.

Whistleblower Reporting

Blowing the whistle means making a good-faith report of suspected improper governmental activity. Whistleblower reporting is an important means for the campus to detect and remedy illegal acts.

Who Should Report

All employees should report concerns about suspected improper governmental activity to the Locally Designated Official (LDO). If you are a supervisor or manager, you may receive whistleblower reports from your immediate staff or other employees. If the report alleges an improper governmental activity, the report should be shared with the LDO as outlined in the Whistleblower Reporting for Supervisors section below.

What to Report

Report improper governmental activity (IGA), which is a violation of federal, state, and local laws and regulations that result from an action of a UC employee. Matters that should be reported to the LDO include:

  • Illegal acts, such as corruption, bribery, or misuse or theft of University property or time
  • Coercion, willful omission to perform duty, or economic waste
  • Fraud or fraudulent claims
  • Gross misconduct, incompetence, or inefficiency
  • Abuse or misuse of authority
  • Serious or substantial violations of University Policy
  • Any condition that may significantly threaten the health or safety of employees or the public

For more information and FAQs, visit the Whistleblower Reporting webpage.

How to Report

If you suspect or witness improper governmental activity, report it to the LDO via the UC Whistleblower Hotline:

Online: UC Whistleblower Hotline

Phone: (800) 403-4744

Email: ucmldo@ucmerced.edu

Supervisor Den: Lead the Pack and Stay on Track

Supervisor Den features guidance to support supervisors’ critical role in shaping the ethical culture of our campus. Employees look to their leaders for guidance–not just in job performance, but in navigating challenging situations with integrity. By modeling ethical behavior, supporting open communication, and responding appropriately to concerns, supervisors help create a workplace where trust, accountability, and compliance are embedded in our daily work. This section highlights the supervisory responsibilities that help supervisors lead their teams in line with our community's values.

Supervisor Responsibilities for Reporting Misconduct

As a manager or supervisor at UC Merced, you have additional responsibilities for reporting misconduct. Responding appropriately when employees bring concerns to you builds trust with your team and provides an opportunity to address potential problems before they escalate into major issues.

In this inaugural issue, we begin with additional reporting responsibilities under the UC Whistleblower Policy. In future issues, we’ll cover additional reporting responsibilities you have under other UC policies.

Whistleblower Reporting for Supervisors

As covered in the Whistleblower Reporting section above, all employees are expected to bring forward concerns about suspected improper governmental activity. Supervisors, managers, and administrators have additional responsibilities under the UC Whistleblower Policy.

Managers, administrators, and employees in supervisory roles who receive a report alleging improper governmental activity must promptly share the report with their supervisor, an appropriate University manager, or the LDO. Supervisors and managers who receive such reports are responsible for exercising appropriate judgment in determining whether the reported matter is an improper governmental activity that must be referred to the LDO (see below for specific criteria).

Reports made to the LDO are often complex and may require review by or referral to another central office. Managers and supervisors are urged to err on the side of caution and consult with the LDO in any circumstance where an improper governmental activity is being alleged.

Document the Report

If you receive an oral report from an employee, encourage the employee to document their concerns and include all relevant information, such as the facts that led the employee to believe an improper governmental activity occurred. If the employee does not want to put their concerns in writing, document the report yourself by a written transcript of the oral report. Include as much specific information as possible to allow for a proper assessment of the matter by the LDO.

Refer the Report to the LDO

Supervisors and managers are required to report the matter to the LDO when any of the following conditions are met:

  • Significant internal control or policy deficiencies that are likely to exist in other units within the campus or across the University system
  • Matters likely to receive media or other public attention
  • Misuse of University resources that creates exposure to a liability in potentially significant amounts
  • Allegations or events that have a significant possibility of being the result of a criminal activity (such as disappearance of cash)
  • Significant threats to the health and safety of employees and/or members of the public
  • Other significant or sensitive matters

Whistleblower Resources

Visit the Whistleblower Reporting webpage for more information. If you have questions or need assistance, contact the LDO’s Office at ucmldo@ucmerced.edu.

Ethics In Action: Statement of Ethical Values

The Statement of Ethical Values was adopted by the Regents in May 2005 and outlines the core principles and standards expected of all members of the UC community. These ethical values are essential for building a positive and ethical environment that fosters trust, collaboration, and success within our campus community. In your day-to-day work, consider ways that you can utilize these ethical values to guide interactions with your colleagues and decision-making processes. See the Statement below with suggestions on how you can contribute to an ethical culture at UC Merced.

“Members of the University of California Community are committed to the highest ethical standards in furtherance of our mission of teaching, research, and public service. We recognize that we hold the University in trust for the people of the State of California. Our policies, procedures, and standards provide guidance for application of the ethical values stated below in our daily life and work as members of this community.”

As members of the UC community, we are committed to the ethical values listed below.

Ethics In Action Series Roadmap

In this series, we will review the University of California Statement of Ethical Values and Standards of Ethical Conduct and identify actions each of us can take to contribute to an ethical workplace culture.

We begin with the Statement of Ethical Values, and in future newsletters, we will cover each of the twelve Standards of Ethical Conduct.

Integrity

“We will conduct ourselves with integrity in our dealings with and on behalf of the University”

  • Be Honest: Always provide accurate information.
  • Be Transparent: Communicate openly about your work, challenges, and outcomes.
  • Honor Commitments: Keep promises and meet deadlines whenever possible.

Excellence

“We will conscientiously strive for excellence in our work”

  • Strive for Quality: Take pride in your work and look for opportunities to improve.
  • Be Proactive: Keep up with new knowledge, skills, and trends in your field to improve your performance.
  • Collaborate for Success: Support colleagues and share your expertise to collectively achieve higher standards.

Accountability

“We will be accountable as individuals and as members of this community for our ethical conduct and for compliance with applicable laws, University policies, and directives”

  • Own Your Actions: If you make a mistake, learn from it and correct it promptly.
  • Follow Policies: Stay informed about the University’s policies and procedures. Embed compliance in your daily work.
  • Encourage Others: Encourage your colleagues to adhere to ethical standards.

Respect

“We will respect the rights and dignity of others”

  • Listen Actively: Pay attention when others are speaking and value their opinions, even if they differ from your own.
  • Treat Everyone Fairly: Show kindness and fairness in your interactions with colleagues, students, and others with which you interact.
  • Create an Inclusive Environment: Work toward building a space where diverse voices are heard and everyone feels safe and supported.

Policy Pawprint

The Policy Pawprint features news and information about systemwide and local policies and procedures. In this inaugural issue, we begin with an introduction to university policies.

The activities and operations of UC Merced are governed by various policies and procedures. Policies and procedures provide the foundation for how UC Merced community members treat one another, how we do our jobs, and how we conduct ourselves when representing the university. Policies and procedures promote consistent and fair business practices, improve organizational communication, reduce organizational risk and exposure, and generally help satisfy the university's overall compliance requirements.

University of California Policies & Procedures

UC has comprehensive, interrelated policies and guidelines that address the conduct of UC employees. This foundational structure supports the University’s mission of teaching, research, and public service. New UC Policies may result from Regent’ action, changes in law, or administrative initiatives within UC.

UC Systemwide policies apply to the entire University of California system and include:

UC Merced Policies & Procedures

UC Merced’s local policies and procedures typically have broad campuswide applicability and institutional impact. They are legal records that have been officially approved through established local processes. The campus Administrative Policy Office coordinates these processes and provides guidance to the campus community on policy development standards and best practices.

In coordination with the Policy Office, Policy Owners develop and maintain policies and procedures for their functional areas and inform the campus community of related requirements. Questions about the content of a policy should be directed to the Policy Contact identified in each policy.

In the next issue, we will explore the importance of understanding the policies and procedures that apply to your work and provide tips on how to locate them.

Policy Resources

About the Ethics & Compliance Office

Thank you for reading this first issue of the Tracking Compliance Newsletter & Resource Guide published by the UC Merced Ethics & Compliance Office. Ethics & Compliance reports to the Office of the Chancellor and partners with all campus divisions and compliance functions to review and evaluate compliance risks. Our office oversees the campus Ethics & Compliance Program, which convenes committees that address compliance risks and advises leadership on compliance matters. Our office also oversees the Administrative Policy Office and the Delegation of Authority programs, and responds to complaints under the UC Whistleblower and Whistleblower Protection policies.

Please visit the Ethics & Compliance website for additional information about how our work enhances an ethics and compliance-based environment for our campus community.