Whistleblower Protection Policy
What is the UC Whistleblower Protection Policy?
The UC Whistleblower Protection Policy provides an avenue for employees to bring forward good faith complaints of whistleblower retaliation. The Policy describes the protections employees and applicants for employment have from interference or retaliation for having made a protected disclosure. The Policy includes a procedure for filing whistleblower retaliation complaints and describes the process that will be followed to review, assess, and investigate such complaints.
Why does UC have a Whistleblower Protection 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 Protection Policy strengthen and promote ethical practices and treatment of members of the University community. 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 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. Under the UC Whistleblower Protection Policy, only those who make good faith reports of suspected improper governmental activity are entitled to the special protections afforded to whistleblowers.
What is whistleblower retaliation?
Retaliation under the UC Whistleblower Protection Policy is an adverse personnel action that was taken against a whistleblower because they made a protected disclosure or refused an illegal order. For the complaint to be eligible for review under the policy, an employee must have made a protected disclosure and suffered an adverse personnel action as a result of the protected disclosure.
Reporting Whistleblower Retaliation
Who can file a whistleblower retaliation complaint?
Employees, former employees, or applicants for employment may file a whistleblower retaliation complaint if they believe they have been subjected to an adverse personnel action as a result of making a good faith report of a suspected improper governmental activity or refusing to obey an illegal order. See below for more information about the required allegations that must be included in the whistleblower retaliation complaint.
When should a whistleblower retaliation complaint be filed?
Whistleblower retaliation complaints must be filed in writing within 12 months of when the employee learned of the retaliation. The whistleblower retaliation complaint must be accompanied by a sworn statement made under penalty of perjury that its contents are true or are believed to be true.
How should whistleblower retaliation complaints be filed?
File a whistleblower retaliation complaint via 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.
Whistleblower retaliation complaints may not be made anonymously and must be accompanied by a sworn statement and contain the required allegations identified in Section III.C of the Policy. See the UC Merced Whistleblower Protection Policy Implementation Procedures for specific details about how to file a whistleblower retaliation complaint and what allegations are required to be included in the complaint.
The complaint must be filed with the Locally Designated Official or with your supervisor. A supervisor who receives a whistleblower retaliation complaint must refer it to the Locally Designated Official.
What are the basic requirements for submitting a whistleblower retaliation complaint?
A retaliation complaint filed under the UC Whistleblower Protection Policy must be accompanied by a sworn statement and contain the required allegations identified in Section III.C of the Policy. These required allegations are that:
- The Complainant engaged in a protected activity by either making a protected disclosure of suspected improper governmental activity or refusing to obey an illegal order;
- The Complainant suffered an adverse personnel action; and
- The protected activity was a contributing factor to the adverse personnel action.
These allegations are described in more detail below.
What is a protected disclosure?
A "protected disclosure" is any good faith communication that discloses or demonstrates an intention to disclose information that may evidence: an improper governmental activity (i.e., an unlawful act such as corruption, bribery, theft or misuse of university property, fraudulent claims, fraud, coercion, willful omission to perform duty, economic waste, gross misconduct, gross incompetence, or gross inefficiency); or any condition that may significantly threaten the health or safety of employees or the public if the disclosure or intention to disclose was made for the purpose of remedying that condition.
What is an illegal order?
An "illegal order" means any directive to violate or assist in violating an applicable federal, state or local law, rule or regulation or any order to work or cause others to work in conditions outside of their line of duty that would unreasonably threaten the health or safety of employees or the public.
What is an adverse personnel action?
An “adverse personnel action” is a management action that affects the Complainant’s existing terms and conditions of employment in a material and negative way, including, but not limited to, failure to hire, corrective action (including written warning, corrective salary decrease, demotion, suspension), and termination.
Supervisor Responsibilities
What should a supervisor, manager, or leader do upon receiving a whistleblower retaliation complaint?
Let the employee know that the UC Whistleblower Protection Policy describes how the University provides protection from retaliation for whistleblowing. Tell the employee they may file a retaliation complaint with the Locally Designated Official following the instructions outlined in the UC Merced Whistleblower Protection Procedure.
Reviewing Whistleblower Retaliation Complaints
Who reviews whistleblower retaliation complaints?
The Locally Designated Official preliminarily reviews the whistleblower retaliation complaint to determine whether it is eligible for processing as a whistleblower retaliation complaint.
What happens after a whistleblower retaliation complaint is made?
The Locally Designated Official conducts a preliminary review to determine whether the complaint was submitted timely and whether it includes the required allegations set forth in a signed sworn statement. If the complaint is not specific or fails to provide sufficient information, the Complainant will have an opportunity to amend the complaint to address the deficiencies.
When and how will the Locally Designated Official communicate with me about my complaint?
After the preliminary review, the Locally Designated Official will notify the Complainant in writing whether the complaint is accepted for investigation. If only parts of the complaint are accepted, the notice will indicate which parts of the complaint are accepted and reasons for the dismissal(s). A Complainant may appeal a decision dismissing a complaint, in whole or in part, on the grounds that it is untimely or lacked required allegations. The notice to the Complainant includes instructions for submitting such appeals.
General Questions about Whistleblower Retaliation Complaints
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.
