Alpha Index : Table of Contents : Official University Policies & Procedures : Questions : UC Irvine

UC IRVINE ADMINISTRATIVE POLICIES & PROCEDURES

BUSINESS AND FINANCIAL AFFAIRS
General Administration
Sec. 700-06: Guidelines for Reporting Improper Activities and for Filing Complaints of Retaliation for Reporting Improper Activities

Responsible Administrator: Associate Executive Vice Chancellor
Revised: December 2007

References / Resources

California Government Code

Section 8547 Reporting of Improper Governmental Activities

University of California

Whistleblower Policy - Policy on Reporting and Investigating Allegations of Suspected Improper Governmental Activities
Whistleblower Protection Policy - Policy for Protection of Whistleblowers from Retaliation and Guidelines for Reviewing Retaliation Complaints

UC Business and Finance Bulletins

RMP-8, Legal Requirements on Privacy of and Access to Information

Personnel Policies for UC Staff Members

Policy 61, Release of Casual and Probationary Employees
Policy 62, Corrective Action--Professional and Support Staff
Policy 63, Investigatory Leave
Policy 64,Termination of Career Employees--Professional and Support Staff
Policy 65, Termination of Career Employees--Managers and Senior Professionals

Local and Systemwide Labor Contracts

Academic Personnel Policies

Academic Personnel Manual, Section 015, The Faculty Conduct of Conduct

Research Administration

Integrity in Research: Regulations, Policies and Procedures

UCI Administrative Policies & Procedures

Section 700-09 Policies on Gifts, Gratuities and Conflict of Interest
Section 711 Guidelines on University Property, General Liability

UCI Report of Improper Governmental Activity Form

UCI Whistleblower Retaliation Complaint Form

How to Blow the Whistle on Suspected Improper Activities (en Español)

Contact: UCOP Whistleblower Hotline at (800) 403-4744

A. Background

On December 18, 1989, the Office of the President issued the University of California Policy for Reporting Improper Governmental Activities and Protection Against Retaliation for Reporting Improper Activities. The policy, which became effective January 1, 1990, enforces the University's responsibility to seek out and correct abuses regarding improper activities by encouraging its employees and other persons to disclose improper activities as defined in California Government Code 8547, Reporting of Improper Governmental Activities, known as the "California Whistleblower Protection Act." The policy also provides protection for those employees or applicants for employment who allege acts of reprisal or intimidation by University officials due to disclosure of Improper Governmental Activities, provided there was no complicity on the part of those employees or applicants in the matters that are the subject of the allegations or an ensuing investigation. This policy was revised October 4, 2002, to conform to changes in the law and has been republished as two related policies:

Whistleblower Policy - University of California Policy on Reporting and Investigating Allegations of Suspected Improper Governmental Activities
Whistleblower Protection Policy - University of California Policy for Protection of Whistleblowers from Retaliation and Guidelines for Reviewing Retaliation Complaints

B. Purpose

This procedure provides local implementing guidelines for the Whistleblower Policy and Whistleblower Protection Policy, including procedures for reporting alleged Improper Governmental Activity, and procedures for protection against alleged retaliation resulting from reporting of alleged improper activity. Activities related to misappropriation of funds may be reported under this procedure but are investigated according to other relevant University policies. Activities related to misconduct in research may be reported under this procedure but are investigated according to Integrity in Research: Regulations, Policies and Procedures.

The information or procedures described in this document provide local guidance for implementing the University’s Whistleblower Policy on this campus. It is intended to supplement the University’s systemwide Whistleblower Policy and Whistleblower Protection Policy. If any provision contradicts the University’s systemwide Whistleblower Policy or the Whistleblower Protection Policy, the systemwide policy controls.

C. Responsibilities

Locally Designated Official (LDO) - While the Chancellor is responsible for implementing the UC Whistleblower and Whistleblower Protection Policies at the local level, overall coordination and implementation of these policies on campus is delegated to the LDO. The LDO manages all implementing procedures and ensures that UCI effectively responds to these issues. UCI's LDO is the Assistant Executive Vice Chancellor.
The LDO has the primary responsibility for receiving reports of allegations of suspected improper governmental activities. The LDO also accepts and reviews all retaliation complaints and administers local processes related to investigation and resolution of retaliation complaints. Where appropriate, the LDO refers matters according to existing grievance procedures and reviews conclusions, and remedies, for cases heard through existing grievance procedures. The LDO may also refer a complaint to a designated Retaliation Complaint Officer for fact-finding where a grievance process is not appropriate. In such cases, the LDO receives and acts on fact-finding reports submitted by retaliation complaint investigations.
Investigations Workgroup - UCI has established an Investigations Workgroup to ensure coordination and proper reporting of investigations. The LDO will chair the Workgroup. Membership includes the Director, Internal Audit; Director, Internal Controls; Chief Campus Counsel; Campus Counsel; Assistant Vice Chancellor, Research; Assistant Vice Chancellor, Human Resources; Assistant Vice Chancellor, Academic Personnel; Medical Center Chief Operating Officer; Associate Dean, Corporate Compliance Officer; Chief of Police; Director, Office of Equal Opportunity and Diversity. In addition, specialized expertise may be required on an ad hoc basis for investigation of certain matters.

The Workgroup is responsible for ensuring that:
1. Proper investigative channels are used according to appropriate expertise and jurisdiction, and that the plan to address the reported improper governmental activities is appropriate to the circumstances.
2. All appropriate UCI officials are apprised of the allegations as necessary.
3. Appropriate reporting is made to the Office of the President, funding and regulatory agencies, whistleblowers, and others as appropriate.
4. Appropriate resources and expertise are utilized to ensure the timely and thorough review of reports of whistleblower complaints.
5. There are no conflicts of interest on the part of any party involved in specific investigations.
6. Communications occur across investigative channels, as necessary to ensure coordinated and comprehensive attention to all facets of the matter.
7. Steps are taken to monitor significant elements and progress of investigations to ensure that allegations are timely and thoroughly addressed.
8. Coordinated, timely advice is provided on the corrective and remedial action that may be needed to address investigative findings.

Retaliation Complaint Officers (RCO's) - Under the direction of the LDO, designated Retaliation Complaint Officers (RCO's) ensure that a competent investigation is conducted on the allegation of retaliation or interference. The RCO works with the LDO to ensure the following:

Existing grievance procedures, where applicable, allow for adequate investigation and report of RCO findings on the allegations; or,
Hearing officers or arbitrators, where applicable, adequately cover the allegations; or,
A competent and timely fact-finding is conducted on allegations that are not appropriately handled by existing grievance processes.

The RCO will present findings of fact to the LDO within 120 days unless an extension is granted by the LDO.

For	Designated RCO
Staff employees on campus	Manager, Consulting & Labor Relations
Staff employees at UC Irvine Medical Center	Medical Center Executive Director, Human Resources and Customer Service
Academic employees, including faculty	Associate Executive Vice Chancellor, Academic Personnel
Undergraduate students	Dean of Students
Graduate students	Dean, Graduate Studies

Managers - Managers shall report any allegations of suspected improper governmental activities to the LDO - whether reported as protected disclosures, by their subordinates, or discovered in the course of performing their duties. The manager should document oral reports with a written transcription of the oral report; internal communications regarding allegations of improper governmental activities should normally be in writing. If managers are not certain that an issue reported or discovered is appropriate for referral or reporting, they should consult with the LDO to make that determination.
Employees - All employees of the University have a duty to cooperate with investigations initiated under this procedure and to refrain from retaliation against or interference with a whistleblower. Consistent with applicable personnel policies or Memoranda of Understanding, an employee may be placed on an administrative leave or an investigatory leave, as appropriate, when it is determined by the University that such a leave would serve the best interests of the employee, the University, or both. Such a leave is not to be interpreted as discipline, an accusation, or a conclusion of guilt or innocence of any individual including the person on leave. The appropriate Academic Personnel or Human Resources Office will be consulted regarding any plan to place an employee on such a leave.

D. Reporting Improper Governmental Activities

Responsible Individual	Actions
Whistleblower	Reports suspected activity to their immediate supervisor or other appropriate administrator or supervisor. Contacts any of the following offices for information on the policy and procedure for reporting suspected wrongdoing, or on how to complete the UCI Report of Improper Governmental Activity Form: Internal Audit (faculty, staff, students, general public) Academic Personnel (academic appointees, including non-Senate appointees) Dean, Graduate Studies (academic student employees) Campus Human Resources (campus staff employees and students in the course and scope of their staff appointments) Medical Center Human Resources (Medical Center staff employees and students in the course and scope of their staff appointments) Reports may be made to the UCOP Whistleblower Hotline (anonymous or not), (800) 403-4744, and to the State Auditor, (800) 942-5665.
Whistleblower Whistleblower's supervisor or other campus official receiving a UCI Report of Improper Governmental Activity	Files a completed UCI Report of Improper Governmental Activity Form with the LDO. If the Chancellor, LDO, or LDO's supervisor is alleged to have engaged in improper activity, the report is filed with the Senior Vice President - Business & Finance, Office of the President. Oral reports should normally be documented by a supervisor or other campus official, or by written transcript of oral report. Internal communications regarding allegations of improper governmental activity should normally be in writing.
Locally Designated Official (LDO)	1. Consultation Within 60 calendar days from receipt of a Report of Improper Governmental Activity, the LDO consults with the Investigations Workgroup, as appropriate, to determine whether the charges warrant an investigation. The LDO may request additional information from the whistleblower to make certain the Report: fits the definition of a Report of Improper Governmental Activity provides sufficient information to allow for an adequate investigation is not frivolous or without substance. If the report alleges misconduct in research, the LDO refers the report to the Vice Chancellor, Research for processing in accordance with Integrity in Research: Regulations, Policies and Procedures. If an investigation is not warranted, and if the identity of the Whistleblower is known, the LDO informs the Whistleblower of the reason. 2. Investigation If a determination is made that an investigation is warranted, the LDO authorizes the investigation and forwards the Report of Improper Governmental Activity to the appropriate University official(s) responsible for conducting investigations of the type of activity reported. Investigators may include, but are not limited to, the following officials or their designees: Director, Internal Audit Chief of Police Assistant Vice Chancellor, Human Resources Medical Center Chief Operating Officer Medical Center Executive Director, Human Resources and Customer Service Assistant Vice Chancellor, Academic Personnel Dean, Graduate Studies 3. Conclusion If the investigator's report concludes that no improper governmental activity took place, the LDO closes the investigation and sends the record of the investigation to Human Resources, Medical Center Human Resources, Graduate Studies or the Academic Personnel Office, as appropriate, where it will be retained for a minimum of three years. If the investigator's report concludes that improper governmental activity by an employee took place, the report is sent to the employee's department head with a request that appropriate action be taken in accordance with relevant personnel policies or collective bargaining agreements. A copy of the report is also sent to the appropriate campus official as follows: Executive Vice Chancellor (academic employees) Assistant Vice Chancellor, Human Resources (campus staff employees) Medical Center Chief Operating Officer (Medical Center staff employees) Dean, Graduate Studies (academic student employees) If the identity of the Whistleblower is known, informs the Whistleblower of the completion and result of the investigation unless there exists an overriding legal or public interest reason not to do so.
Investigator	When authorized by the LDO, conducts an investigation in accordance with applicable procedures. At the conclusion of an investigation, the investigator provides a written report of findings to the LDO and other University officials as applicable. The report will include a summary of the evidence gathered and a conclusion as to whether or not improper governmental activity occurred.
Investigation Subjects	Subjects will cooperate with the investigator. They may consult with a person, or persons, of their choice; and retain their own counsel to represent them with regard to the investigation. As provided in the UC Whistleblower Policy, subjects may consult with the Office of General Counsel; requests should be directed to that office. Subjects also may request that the University pay or reimburse their attorney's fees. Such requests must be submitted in writing to the LDO. The UC Whistleblower Policy does not create an entitlement to such payments or reimbursements.

E. Including a Retaliation Claim as Part of a Personnel Policy Complaint

Certain claims of "retaliation" by employees can be included in a formal grievance or other personnel dispute resolution process. Specifically, when a claim of retaliation is related to another claim being considered under either the Personnel Policies for UC Staff Members or the collective bargaining agreements, the retaliation claim should be evaluated as part of the dispute resolution proceeding to the extent permitted by the policy or agreement.

In addition to including a claim of retaliation in a personnel action, a complainant may also submit a separate Whistleblower Retaliation Complaint (WRC) provided the complaint is filed within 12 months of the alleged act of retaliation. When this occurs, the RCO will wait until proceedings related to the personnel action have concluded before acting on the complaint, and will act on the separately filed complaint only if the claim of retaliation was not adequately considered and resolved in the earlier proceeding.

Responsible Individual

Actions

Complainant

Contacts any of the following offices for information regarding procedures and deadlines for filing complaints:

Assistant Vice Chancellor, Academic Personnel (academic appointees, including non Senate appointees and applicants for academic positions)
Dean, Graduate Studies (academic student employees)
Medical Center Human Resources Office (Medical Center staff employees and applicants)
Human Resources (campus staff employees, applicants, and students acting in the course and scope of their staff appointments)

Files written grievance, request for administrative review, or other statement of charges, with a designated campus official appropriate to the complainant's status:

Assistant Vice Chancellor, Human Resources (campus staff employees)
Medical Center Executive Director, Human Resources and Customer Service (Medical Center staff employees)
Assistant Vice Chancellor - Academic Personnel (academic personnel)

Designated Campus Official

Determines whether the complaint can be accepted under the applicable procedure and ensures that all applicable procedures and time limits are followed. If the claim of retaliation cannot be accepted, advises the complainant to contact the LDO about filing a separate Whistleblower Retaliation Complaint.

If the complainant has concurrently submitted a separate Whistleblower Retaliation Complaint, the designated campus official will either:

Send a copy of the original complaint and final decision in the matter (whether by staff officer, hearing officer or arbitrator) to the LDO and the designated RCO, or

Inform the LDO and RCO of the reasons why the retaliation complaint was not evaluated in the personnel proceedings.

F. Submitting a Separate Whistleblower Retaliation Complaint

If the retaliation claim cannot be accepted under existing grievance or complaint resolution procedures, or, for any reason, is not evaluated under such procedures the complainant may submit the complaint on a UCI Whistleblower Retaliation Complaint Form to the LDO for further review and determination as to whether the complaint qualifies as a Whistleblower Retaliation Complaint. To be accepted as a Whistleblower Retaliation Complaint, the complaint must concern an act of retaliation as defined by University policy and must be filed within 12 months of the alleged act or threat of interference or retaliation. If appropriate, the LDO will designate an RCO to coordinate the processing of the complaint and function as an independent fact finder.

Responsible Individual	Actions
Complainant	Submits written complaint to LDO on the UCI Whistleblower Retaliation Complaint Form. The complainant may appeal a campus decision only when the complaint was determined ineligible because it was untimely filed and/or the complaint did not qualify for review under the scope of University policy. Appeals may be filed with: Senior Vice President - Business and Finance (complainant is a current employee in, or applicant for, a staff or management position) Provost and Senior Vice President - Academic Affairs (complainant is a current appointee in, or applicant for, an academic position)
Locally Designated Official (LDO) or Retaliation Complaint Officer (RCO)	Reviews the complaint to determine if it sufficiently meets the criteria to warrant an investigation as a Whistleblower Retaliation Complaint: fits the definition of a Report of Improper Governmental Activity provides sufficient information to allow for an adequate investigation is not frivolous or without substance. Conducts an initial inquiry to determine if a formal fact-finding proceeding is necessary to resolve the matter. If the claim of retaliation was the subject of a separate personnel action which has been concluded, determines whether the complaint was adequately evaluated in the earlier proceeding.
RCO or Designated Independent Fact-Finder	As warranted, conducts a fact-finding investigation which may include but is not limited to: conducting interviews with complainant and accused conducting interviews with witnesses as appropriate collecting written documentation as appropriate maintaining records of complaints, investigative reports, and the outcome of recommendations in conformance with privacy requirements. Before findings are reached, provides the respondent (one accused of the retaliation) with copies of all non-privileged documents on which the findings rely, to the extent permitted by law and University policy. Gives the respondent an opportunity to file a written response to the complaint within 15 calendar days, and includes the response in the fact-finding record. Reports results of the fact-finding investigation to the Chancellor with a copy to appropriate campus officials. The report should include sufficient findings of fact based on the evidence and factual conclusions. The report should be submitted within 120 days from the date on which the complaint was assigned to the RCO or designated independent fact-finder, unless an extension of time has been granted. If the complaint alleges that the Chancellor interfered with or took the retaliatory action, reports the findings to the President, who will take the actions described for the Chancellor below.
Chancellor	Reaches a decision based on findings, or reviews hearing decisions which are final and binding, and communicates the decision to the complainant, to the respondent, and to relevant University administrators. As appropriate, the decision may include relief for the complainant and refers the initiation of any disciplinary action against a University employee to the department head or appropriate administrator.
Department Head	Determines the appropriate disciplinary action, if any, to be initiated against a University employee found to have interfered or retaliated against a complainant: For a member of the staff, disciplinary actions are taken after consultation with the Assistant Vice Chancellor, Human Resources or the Medical Center Executive Director, Human Resources and Customer Service , and in accordance with personnel policies and collective bargaining agreements. For a member of the faculty, disciplinary proceedings are in accordance with procedures established by the Academic Senate.

G. Status of Proceedings

Proceedings conducted under these Guidelines are official proceedings of the University entitled to appropriate protection under California law.

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