The following frequently asked questions were developed to help guide potential reporters, subject employees, and supervisors who receive reports.

General Questions

What is the University’s Whistleblower Policy?

The Whistleblower Policy provides the University’s implementing procedures for the California Whistleblower Protection Act. It describes how you can file a report of “improper governmental activities,” and provides the procedures the University follows in addressing whistleblower reports.

What is the University’s Whistleblower Retaliation Policy?

The Whistleblower Protection Policy describes the protections available to employees and applicants who have filed a whistleblower complaint, and how to file a complaint of retaliation. This policy applies specifically to individuals who believe they have been retaliated against because they are whistleblowers. You must have made a “protected disclosure” and suffered an “adverse personnel action” as a result for your complaint to be eligible for review under the Whistleblower Protection Policy.

Who can help me understand the policies and procedures?

We know the policies and processes for filing can be intimidating or confusing. For more information, you can or send an email to ecas@ucop.edu to ask for assistance. We encourage all individuals who are aware of misconduct to report what they know, and we will do what we can to make the process as simple as possible.

Whistleblowers/Reporters

What does it mean to be a “whistleblower?”

A whistleblower is someone who reports either of the following:

  • An improper governmental activity
  • A condition that may significantly threaten the health or safety of employees or the public, if the disclosure was made for the purpose of remedying the condition
  • A serious or substantial violation of a University policy

You do not have to be affiliated with the University to make a whistleblower report. However, the actions you are reporting must be attributable to a University affiliate for us to address the report.

What is an improper governmental activity?

Examples include corruption, bribery, theft or misuse of University property, fraudulent claims, fraud, coercion, willful omission to perform duty, economic waste, gross misconduct, gross incompetence, gross inefficiency.

How do I file a Whistleblower report?

You can make a Whistleblower report in any of the following ways:

  • Online through the Whistleblower Hotline (available 24/7)
  • Calling the Whistleblower Hotline (available 24/7)
  • In writing or verbally to your location’s Locally Designated Official (LDO)
  • In writing or verbally to your supervisor, or other appropriate administrator or supervisor at your location

Please be prepared to provide as much detail as you have regarding the misconduct you are reporting. Include information about what you believe happened, when it happened, and who you believe is responsible.

Can I make a report anonymously?

Yes, you can make a report anonymously. If you report through the Whistleblower Hotline, we can communicate with you through the web portal without you needing to provide contact information. You can report anonymously to the LDO or a supervisor as well, but if we cannot contact you with questions, we may not be able to fully address your report.

Is my report confidential?

We maintain your confidentiality within the limits of the law, University policy, and the legitimate needs of any investigation. It is possible that, even if we maintain your confidentiality, a participant in an investigation may make assumptions about your identity based on the information you have provided. However, we have strict policies regarding retaliation and will respond to reports of retaliation to the extent possible.

We may need to release your identity if we receive a subpoena or in other circumstances where we are required by law to release information.

If you self-disclose your identity, the University is no longer obligated to maintain that confidence.

What happens after I file my report?

You will receive acknowledgement that we received your report. Once we review the report, we will let you know if we have any additional questions for you. If you have filed your report anonymously, it is important that you regularly review your case through the web portal, using the case key and the password you created, to see if we have asked for information. If we do not receive adequate information, we may not be able to fully address the situation.

How can I help investigate?

While we appreciate you providing all of the information you have, it is not your role to investigate. Do not seek out any additional documents or speak to potential witnesses as that could constitute interference or impact the evidence.

Will I be informed of the outcome?

You generally have the right to be informed of how we handled your report, but not necessarily the outcome of the process. As a whistleblower, you are a reporter, not a party to the investigation. In limited cases, you may be informed of the outcome if necessary to implement specific actions as a result of the investigation.

Why wasn’t my report investigated?

While an investigation is one process we utilize to address whistleblower reports, it is not the only process we use. Some reports are better addressed by referral to another department or to management. Other concerns may be better solved by referral to the Ombud’s office or through mediation. And as noted above, if we are not able to ask questions or get clarifications from you as the reporter, we may not have enough information to initiate an investigation.

No matter how your report is addressed, we can assure you that your concerns were reviewed and discussed to determine the most effective response.

Retaliation

What is considered retaliation?

Under the Whistleblower Protection Policy, retaliation occurs when management takes an adverse personnel action against you for having made a protected disclosure.

In other words, if you make a whistleblower report alleging that another individual has committed some sort of misconduct, and then a manager takes action that negatively and materially impacts the terms and conditions of your employment because you made the whistleblower report, that would be considered retaliation.

It is important to understand that for an action to be considered retaliation, it must have occurred because of the whistleblower report. If you are already being counseled for your performance, filing a whistleblower report does not stop your manager from continuing to manage your performance.

How am I protected from retaliation?

The Whistleblower Protection Policy prohibits retaliation against individuals for making a good faith whistleblower report. The policy also provides information about how to file a report if you believe you have experienced retaliation.

While we cannot guarantee that an individual won’t act in a retaliatory matter, we do take reports of retaliation seriously and will review the concerns you bring forward. We understand that it can be difficult to bring forward concerns about misconduct, especially against individuals who may have authority over your position. Uncovering misconduct starts with you reporting what you know, and we will do everything we can to provide a safe environment for you to make these reports and participate in any necessary investigations.

How do I report retaliation?

You can report retaliation through the Whistleblower hotline (online or phone), directly to the location’s Locally Designated Official (LDO), or directly to your supervisor.

A retaliation report must include the following:

  • Information about your protected disclosure, including who you made the report to and the date you made the report;
  • Information about the adverse personnel action, including who was responsible for the adverse personnel action and how it impacted your employment in a negative and material way;
  • Information about why you believe the adverse personnel action was the result of your protected disclosure; and
  • A signed sworn statement verifying the information you provided is true.

You must file your report within 12 months of the alleged adverse personnel action. If you fail to provide any of the information listed above, the LDO will notify you of the missing information and provide 15 days for you to provide the missing information before closing your complaint.

How will my retaliation complaint be investigated?

The Locally Designated Official (LDO) will review your complaint to determine if the information you provided meets the requirements of the Whistleblower Protection Policy. If the LDO accepts all or a portion of your complaint, they will forward the information to the Retaliation Complaint Officer (RCO). The RCO will either conduct the investigation, or assign it to a trained, neutral investigator. You will receive notice regarding the allegations that were accepted for investigation and the name of the assigned investigator.

The investigator will contact you to conduct an interview and gather any additional evidence. The investigator will also interview the Respondent and relevant witnesses identified in the course of the investigation. The investigator will also seek out any other available evidence. Gathering all of this information can take time, but the investigator will strive to complete the investigation as promptly as possible while ensuring the investigation is thorough.

How will I be informed of the outcome?

At the conclusion of the investigation, the investigator will provide a written report to the Locally Designated Official (LDO), who will provide the report to the location’s Chancellor or designee for final decision. The decision-maker will notify you of the outcome of the investigation. The decision-maker will not include a copy of the investigation report, but will provide information about how you can request it from your location’s Information Practices office.

What if I don’t agree with the decision?

Once an investigation is complete and a decision is made, you do not have the right to appeal the decision.

If the LDO dismisses part or all of your complaint because it was untimely or lacked required allegations, you can appeal the dismissal to the Systemwide LDO. Your appeal must include all of the required documentation and be filed within 30 calendar days of the dismissal.

Subject Employees/Respondents

I was just informed I am being investigated. What should I expect next?

An investigation is a neutral process and will be conducted by an individual who is trained to conduct a fair, thorough, timely investigation. While the process can feel overwhelming and intimidating, the investigation is your opportunity to provide information about the allegations.

The investigator will contact you to schedule an interview and invite you to provide any documents or other evidence that is responsive to the allegations. You will also have an opportunity to provide names of witnesses you think have information that is directly relevant to the matter under investigation. Following the interview, you are welcome to provide any additional information you may have forgotten to provide.

We understand that the investigation can be stressful and do everything we can to complete a thorough investigation in a timely manner.

Will I have an opportunity to defend myself?

Yes, the purpose of the investigation is to talk to all of the parties and witnesses, and gather evidence to determine the facts regarding the allegations. While it can be difficult to know that someone has accused you of wrongdoing, the investigator is neutral in the process and wants to hear your side of things.

Can I bring someone to the interview with me, like an attorney or a union representative?

Yes, you have the right to consult with an attorney, or if you are represented, a union representative, and have them present at the interview with the investigator. Most investigators are willing to have you bring other individuals who can provide support to you as well, as long as they are not witnesses in the investigation.

It is important that whoever accompanies you to an interview understands that their role is to provide you with support. They are not there to answer questions or interfere with the interview. If the individual continues to interfere, the investigator may end the interview.

Will I be informed of the outcome of the investigation?

Yes, you will be notified of the outcome of any investigation in which you are a subject or respondent. The notice will generally tell you whether or not the allegations were substantiated and will inform you how to request a copy of the investigation report.

What happens if the allegations are not substantiated?

If the allegations are not substantiated, you will be notified of the outcome and the matter will generally be closed. Although the allegations were not substantiated, it is important that you take care not to engage in behavior that could be considered retaliatory against the reporter.

What happens if the allegations are substantiated?

If the allegations are substantiated, your supervisor will be informed of the outcome. Depending on the nature of the allegations, the matter might proceed to the disciplinary process. This is separate from the investigation and will follow the procedures described in the applicable personnel policy.

Supervisors

As a supervisor, what are my responsibilities under the Whistleblower Policy?

You are one of the people to whom an employee might bring their concerns. It is important to listen to your employees’ concerns and determine if it is something you should handle yourself, or if it is something that needs to be reported up. When in doubt, always report up.

In short, if an employee reports something to you that you think could possibly constitute an improper governmental activity, it is best to bring it to your location’s LDO.

How should I document a verbal report?

It is always best to take thorough notes of the conversation. Include only the facts of what the employee is reporting—do not speculate or draw your own conclusions about the matter. The more detailed information you can provide to the LDO, the easier it will be for the LDO to review and assess the report in a timely manner.

What do I do if my employee wants to make an anonymous report?

Anyone can make an anonymous report through the UC Whistleblower Hotline, either through an online form or phone call. The Hotline is managed by a third-party vendor that will gather relevant information and provide it to the LDO at the appropriate location. The reporter will be given a report key and password that allows them to log back in to the Hotline and communicate anonymously with the LDO.

While we welcome anonymous reports, our ability to fully investigate such reports can be limited if we do not have certain pieces of information.

It is also important to remember that once the employee has revealed a possible IGA to you, you have a responsibility to report it to the LDO.

How can I help to protect my employee who made a whistleblower report?

You are a key player in preventing retaliatory behavior in the workplace. If you see behavior in your unit that you believe is retaliatory, you should address it the same way you would address any other inappropriate behavior.

If an employee comes to you with specific concerns about retaliation, let them know that University policies exist prohibiting retaliation. They may file a complaint under the Whistleblower Protection Policy with the location’s LDO. They may also want to consult with Human Resources or the Academic Personnel Office as appropriate.

What should I do if my employee is being investigated?

Remember that the decision to launch an investigation does not mean that your employee necessarily violated policy. Your treatment of that employee should not change. If the investigation substantiates wrongdoing on the part of your employee, you will be notified of that outcome for the purpose of pursuing any appropriate disciplinary processes.