Whistleblower Policy Overview
What is the Purpose of the UC Whistleblower Policy?
The UC Whistleblower Policy provides an avenue for employees to bring forward good faith reports of improper governmental activity. The Policy includes a definition of improper governmental activity and describes the process that will be followed to review, assess, and investigate such reports.
Why does UC have a Whistleblower Policy?
UC is committed to compliance with laws and regulations and promulgates University policies and procedures to interpret and apply these laws and regulations in our University setting. Laws, regulations, and policies such as the UC Whistleblower Policy strengthen and promote ethical practices at the University. Making reports of improper governmental activity is an important means for the campus to detect and remedy illegal acts so they may be addressed.
What is an improper governmental activity?
An improper governmental activity is a violation of federal, state, and local laws and regulations that result from an action of a UC employee. Improper governmental activity that should be reported include but are not limited to:
- 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
Not all instances of improper conduct will constitute an improper governmental activity. Reports are carefully reviewed to determine whether they constitute improper governmental activity.
What is a whistleblower?
The term "whistleblower" is used generally to refer to anyone who makes a good faith report of suspected improper governmental activity. Whistleblower reports can be made by employees, students, or members of the general public.
Reporting Improper Governmental Activity
Who should report suspected improper governmental activity?
All employees should report suspected improper governmental activity. If you are a supervisor or manager, you have additional responsibility for escalating whistleblower reports that you receive from your immediate staff, other employees, students, or members of the public. See the Supervisor Reporting Responsibilities section below for information about this responsibility.
When should I report suspected improper governmental activity?
If you witness or suspect an improper governmental activity, you should report it as soon as you become aware of the activity.
How should I report suspected improper governmental activity?
Make a report of suspected improper governmental activity to the UC Whistleblower Hotline at universityofcalifornia.edu/hotline or (800) 403-4744. The UC Whistleblower Hotline is independently operated to ensure confidentiality. The Hotline is staffed 24 hours per day, 365 days per year. The Hotline is managed by an independent third-party company that documents reports and forwards them to the University. Reporters have the option of providing their name or remaining anonymous. Reporters are given a unique report identification number that enables the reporter to go back into the Hotline to read follow-up questions and messages posted by the Locally Designated Official or view the outcome of their report.
What other options do I have for reporting suspected improper governmental activity?
In addition to the UC Whistleblower Hotline, suspected improper governmental activity can be reported to the Bureau of the State Auditor (800-952-5665) or to the California Attorney General (800-952-5225).
What should I include in a report of suspected improper governmental activity?
Reports need to provide enough information for the Locally Designated Official to assess the nature of the allegations and determine whether they fall within the purview of the UC Whistleblower Policy. The report should be factual rather than speculative or conclusory, and should contain specific, actionable information.
Provide as much of the following information regarding each allegation as possible:
- WHAT? What is the alleged improper governmental activity? Do any documents exist that provide evidence of the activity? Where are the documents located? Who controls them?
- WHO? Who are the subjects of the report who are responsible for the improper governmental activity? What are their full names and work locations? Do the subjects of the report know about this report? Was this already reported to another campus office or manager? If so, who was this reported to? Can anyone else corroborate the allegations being reported? If so, what are their full names and work locations?
- WHERE? Where is the alleged improper governmental activity occurring?
- WHEN? When did the alleged improper governmental activity occur? Is it ongoing? How frequently has it occurred?
- HOW? How did you become aware of the alleged improper governmental activity? How did the subject of your report carry out the activity?
Do not conduct any investigative procedure or obtain evidence that you do not already have. Conducting your own investigation or seeking evidence that is not part of your normal job responsibilities may constitute a violation of law or University policy.
Can I report improper governmental activity anonymously?
Yes. Reports of improper governmental activity can be made anonymously via the UC Whistleblower Hotline. Anonymous reports are often difficult to review if the reporter has not provided enough information.
The Locally Designated Official may have follow-up questions, so if you decide to file a report anonymously via the UC Whistleblower Hotline, please use the report identification number provided by the hotline to view questions and messages regarding your report.
Will my report of improper governmental activity be kept confidential?
Confidentiality is maintained within the limits of the law, University policy, and the legitimate needs of any review or investigation. It is possible that, even if your confidentiality is maintained by the Locally Designated Official, a participant in an investigation may make assumptions about your identity based on the information you provide. However, the University has strict policies regarding retaliation and will respond to reports of retaliation to the extent possible.
The University may need to release your identity if we receive a subpoena or in other circumstances where we are required by law to release information.
Supervisor Reporting Responsibilities
What should a supervisor do upon receiving a report of improper governmental activity?
If you are in a supervisory role and you receive an oral report from an employee that alleges improper governmental activity, 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 Locally Designated Official.
After the report is documented, you must promptly share the report with your supervisor, an appropriate University manager, or the Locally Designed Official. Supervisors and managers are required to report the matter to the Locally Designated Official 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
It is important to err on the side of caution and report any disclosed, witnessed, or suspected improper governmental activity to the Locally Designated Official, even if you are unsure whether you are required to report it. 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.
What additional reporting obligations do I have as a supervisor?
When you receive a report of an alleged improper governmental activity, you may have additional reporting responsibilities in addition to those described above. Review the report carefully to identify the issues raised so you can determine if there are additional reporting obligations to another campus office.
Reviewing Reports of Improper Governmental Activity
Who reviews reports of improper governmental activity?
The Locally Designated Official receives and reviews reports of improper governmental activity. Supervisors, managers, and administrators may also review reports that are not required to be reported to the Locally Designated Official as described above.
What happens after a report of suspected improper governmental activity is made?
When the Locally Designated Official receives a report of suspected improper governmental activity, she conducts an initial review of the report to determine whether it is in the purview of the UC Whistleblower Policy. This initial review assesses whether the report, on its face, plausibly alleges improper governmental activity. In some cases, data collection or a limited inquiry is necessary in order to determine whether the report alleges an improper governmental activity.
When and how will the Locally Designated Official communicate with me about my report?
When a report is first received, the Locally Designated Official responds by acknowledging receipt of the report. If the report is submitted anonymously via the Whistleblower Hotline or if the reporter does not include contact information in the report, the Locally Designated Official communicates with the reporter via the Whistleblower Hotline. If the reporter provides contact information with the report, the Locally Designated Official communicates via email.
If the Locally Designated Official needs additional information to determine whether the allegations constitute improper governmental activity, the Locally Designated Official may ask you to provide additional information.
What happens to my report if the Locally Designated Official makes a determination that the reported concerns are not in the purview of the UC Whistleblower Policy?
If the report does not allege improper governmental activity and there is no other campus office that has purview to review the allegations, the Locally Designated Official may close the matter or may generally bring the matter to the attention of management for awareness or follow-up action as may be warranted. The Locally Designated Official only refers matters to management when it is appropriate to do so and in a manner that does not reveal the identity of the reporter.
If the report alleges improper governmental activity but is required to be handled by another campus office through a formal complaint processing procedure, the Locally Designated Official will refer the matter to the appropriate campus office and let you know which campus office will review your report.
Will my report be investigated if the allegations rise to the level of improper governmental activity?
Not necessarily. If the report alleges improper governmental activity that is under the purview of another campus office, that office determines how the report will be addressed and whether an investigation is warranted.
If the report alleges improper governmental activity that is under the purview of the UC Whistleblower Policy, a formal investigation may not be warranted or feasible. There may be other ways to address internal control weaknesses or other issues presented by the report.
The decision to conduct an investigation is only made after preliminary consideration that establishes that the allegation is accompanied by specific enough information to be investigated or directly points to corroborating evidence that can be pursued. A formal investigation is typically only conducted when it is necessary to adequately inform an appropriate campus response. An investigation is most likely necessary where extensive evidence collection or formal fact-finding is required in order to stop or prevent recurrence of the improper governmental activity, to address internal control weaknesses, or to correct conditions that pose a threat to the health or safety of the campus community or members of the general public.
Will I be informed of the outcome of my report?
At the conclusion of the Locally Designated Official’s review of the matter, the Locally Designated Official shares the general outcome with the reporter unless there are compelling legal or public interest reasons why this information may not be shared. UC Merced does not disclose any actions taken against an employee who was the subject of a report as this is considered confidential personnel information.
UC Merced does not disclose any actions taken against an employee who was the subject of a report as this is considered confidential personnel information.
General Questions about Whistleblower Reporting
Who is the Locally Designated Official for UC Merced and how can I contact them?
At UC Merced, the Locally Designated Official is Viola Kinsman, who is also the Chief Ethics & Compliance Officer in the Chancellor’s Division. The Locally Designated Official is responsible for responding to reports of suspected improper governmental activity and for evaluating formal complaints made by individuals asserting that adverse personnel actions were taken against them in retaliation for having made a protected disclosure by reporting suspected improper governmental activity.
You can contact Viola Kinsman, the Locally Designated Official for UC Merced via email at ucmldo@ucmerced.edu or via phone at (209) 291-5150.
How are UC Merced employees notified about how to report suspected improper governmental activity?
California state law requires that every year, on or about July 1st, the University must send an email notice to all employees informing them of how to report suspected improper governmental activity. The UC Merced Locally Designated Official coordinates this annual message and publishes a poster entitled "How to Blow the Whistle on Suspected Improper Activities" that contains the same information. The posters are also distributed in campus buildings each year.
