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Policy and Procedure ManualChapter 380, Personnel--General Responsible Department: Offices of the Chancellor and
Provost Exhibit
A, Improper Activities Report Form The University of California Policy on Reporting and Investigating Allegations of Suspected Improper Governmental Activities (Whistleblower Policy), together with the Policy for Protection of Whistleblowers from Retaliation and Guidelines for Reviewing Retaliation Complaints (Whistleblower Protection Policy), represents the University’s implementing policies for the California Whistleblower Protection Act (Government Code sections 8547-8547.12). 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. Both of these policies should be read in conjunction with this section. Reports of activity characterized as misuse of University resources, formerly addressed by Section 330-95, Misuse of University Resources, are now covered by these procedures as well. A. Improper Governmental Activities--Any activity by a state agency or by an employee that is undertaken in the performance of the employee's official duties, whether or not that action is within the scope of his or her employment, and that: 1. is in violation of any state or federal laws or regulation, including but not limited to corruption, malfeasance, bribery, theft of government property, fraudulent claims, fraud, coercion, conversion, malicious prosecution, misuse of government property, or willful omission to perform duty, or 2. is economically wasteful, or involves gross misconduct, incompetency, or inefficiency. B. Locally Designated Official (LDO)--At UC Davis, the LDO for the purposes of the UC Whistleblower and Whistleblower Protection Policies is the Assistant Executive Vice Chancellor. C. Retaliation Complaint Officer (RCO)--At UC Davis, the RCO for the purposes of the UC Whistleblower Protection Policy is the Senior Associate Vice Chancellor for Human Resources. A. The University is responsible for investigating alleged improper activities as defined in UC policies and the laws and regulation to which the University is subject, and correcting those activities through procedures defined by UC policies. The University does this in part by maintaining internal controls and operating procedures to detect and prevent improper activities. B. The University's Whistleblower Policy encourages its employees and other persons to disclose improper activities as defined in the California Whistleblower Protection Act, California Government Code sections 8547-8547.12. The University's Whistleblower Protection Policy provides protection for employees or applicants for employment who allege acts of retaliation or interference by University officials due to having made, or attempted to make, a protected disclosure or refused to obey an illegal order. A. Chancellor The Chancellor renders a final decision in the review of whistleblower retaliation complaints, as specified in the UC Whistleblower Protection Policy. If the complaint is against the Chancellor, the Provost and Executive Vice Chancellor, or the LDO, the final decision will be made at the Office of the President. B. Provost and Executive Vice Chancellor With the exception of rendering the final decision in whistleblower retaliation complaints, the Provost and Executive Vice Chancellor is responsible for implementing the UC Whistleblower Policy and Whistleblower Retaliation Policy, including, but not limited to appointment of the LDO and appointment of the standing members of the Investigations Coordination Workgroup. C. Reporting responsibilities of managers, administrators, and employees in supervisory roles 1. Whistleblower complaints. Managers, administrators and employees in supervisory roles who receive verbal or written reports of alleged improper governmental activity must forward those complaints to the LDO as soon as is practicably possible. A supervisor or other campus official should normally document oral reports for reporting to the LDO. Other internal communications regarding allegations of improper governmental activity should normally be in writing as well. 2. Whistleblower retaliation complaints. Managers, administrators, and employees in supervisory roles who receive reports of whistleblower retaliation or interference must, as soon as practicably feasible, provide the LDO with a copy of the retaliation complaint including the complainant's sworn statement if available, or a written transcription if the complaint was provided orally. D. Investigations Coordination Workgroup The Investigation Coordination Workgroup provides coordination and oversight of investigative activities, ensures the proper reporting of investigations, and facilitates communications among appropriate parties. The LDO serves as chair of the committee and may appoint regular members in addition to the standing members appointed by the Provost & EVC, or ad hoc members as necessary to address specific issues. A. Filing a report of suspected improper governmental activities 1. A whistleblower may report allegations of improper governmental activities to the LDO by any of the methods outlined below. a. Phone--Speak to LDO in person at 530-752-6550. b. Mail--Download and complete the Improper Activities Report Form (Exhibit A) and mail to: Assistant Executive Vice Chancellor; Offices of the Chancellor and Provost; University of California, Davis; One Shields Avenue; Davis, CA 95616 c. Fax--Download and complete the Improper Activities Report Form (Exhibit A) and fax to: (530) 752-2400, ATTN: Assistant Executive Vice Chancellor d. Email--Send a written complaint to: rjloess@ucdavis.edu e. Campus Whistleblower Hotline, 877-384-4272; UC Office of the President Whistleblower Hotline, 800-403-4744; Bureau of State Audits, 800-942-5665. 2. A whistleblower may report allegations of improper governmental activity to his or her supervisor or other appropriate administrator (if an employee). 3. Allegations may be reported anonymously. However, whistleblowers who file a report by phone or email are encouraged to also file their report using the Improper Activities Report Form (Exhibit A). B. Filing a whistleblower retaliation complaint 1. In order to be covered by the retaliation provisions of the California Whistleblower Protection Act, the retaliation complaint (grievance, request for administrative review, or other statement of charges) must be accompanied by a sworn statement made under penalty of perjury that its contents are true or are believed to be true. A form that may be used for this purpose is provided in Exhibit B. The complaint must be filed within 12 months of the alleged act or threat of interference or retaliation. If a pattern of retaliation is alleged, the complaint must be filed within 12 months of the most recent act or threat of retaliation. 2. A retaliation complaint (grievance plus sworn statement) may be filed in one of the following three manners: a. A whistleblower retaliation complaint may be filed as part of a grievance or dispute resolution process provided by other University complaint resolution processes. Claims of retaliation can be made through the following formal grievance or dispute resolution processes to the designated officials indicated: 1) Staff Personnel Senior Managers, see PPSM II-70. Managers and Senior Professionals, Salary Grades VIII and IX, see PPSM 71. Managers and Senior Professionals (except Salary Grades VIII and IX) and Professionals and Support Staff, see PPSM 70. Exclusively Represented Staff Personnel, see the applicable collective bargaining agreement. Designated official to receive and answer questions about grievances, requests for administrative review, or other statements of charges in staff personnel matters: Director of Employee and Labor Relations 2) Academic Personnel Members of the Academic Senate, see Senate Bylaw 335. Non-Senate Academic Personnel, see APM 140. Exclusively Represented Academic Personnel, see the applicable collective bargaining agreement. Designated official to answer questions about and receive grievances, requests for administrative review, or other statements of charges in academic personnel matters: Assistant Vice Provost--Academic Personnel b. A whistleblower retaliation complaint may be filed with the LDO A complainant may file a whistleblower retaliation complaint with the LDO by any method listed in V.A.1, above. c. A whistleblower retaliation complaint may be filed with a supervisor If a complainant is a University employee, he or she may file a whistleblower retaliation complaint (Exhibit B) with his or her supervisor or another University administrator. C. Process for reviewing whistleblower retaliation complaints 1. Complaints filed as part of an applicable grievance or complaint resolution process a. The designated officials (see IV.B.2.a, above) shall provide the LDO with a copy of all retaliation complaints they receive. If the LDO, after consultation with the RCO, the appropriate designated official, and the Investigations Coordination Workgroup, determines that a complaint raises issues covered under the UC Whistleblower Protection Policy, the LDO shall initiate an investigation of the retaliation complaint to be conducted according to the processes outlined in the UC Whistleblower Protection Policy. b. If a retaliation complaint raises issues of retaliation covered under the UC Whistleblower Protection Policy, but is not accompanied by a sworn statement, the LDO shall advise the complainant of his or her rights to file a whistleblower retaliation or interference complaint and the timeframe for filing. c. If a retaliation complaint is not eligible for consideration under the grievance or complaint resolution process it was filed, it shall be referred to the LDO and evaluated as indicated in V.C.2, below. 2. Complaints filed with the LDO a. The LDO shall provide the appropriate designated official (see IV.B.2.a, above) with a copy of all retaliation complaints he or she receives to ensure the official's awareness of the complaints. Such an action, alone, does not constitute filing of a complaint by the complainant under applicable grievance or complaint process. The LDO, after consultation with the RCO, the appropriate designated official, and the Investigations Coordination Workgroup, shall determine whether the complaint is eligible for consideration under the UC Whistleblower Retaliation Policy, and if so initiate an investigation of the retaliation complaint to be conducted in a manner consistent with the processes outlined in the UC Whistleblower Protection Policy. b. If a whistleblower retaliation complaint received by the LDO is also eligible for consideration under an applicable grievance or complaint resolution process, the LDO shall advise the complainant of his or her eligibility to file under the applicable process. If a complainant elects to file under the applicable process, the review shall proceed under the applicable process and the LDO shall ensure that the RCO becomes involved in the process as specified in the UC Whistleblower Protection Policy. If the complainant elects not to file under the applicable process, and the complaint is eligible for consideration as a whistleblower retaliation complaint, the LDO shall assign the complaint to the RCO for investigation. c. If a retaliation complaint received by the LDO is not eligible for consideration under an applicable grievance or complaint resolution process, but is eligible for consideration under UC Whistleblower Policy, the LDO shall assign the complaint to the RCO for investigation. 3. Complaints filed with an employee's supervisor or other administrator or manager. The supervisor, manager, or administrator shall provide the LDO with a copy of the retaliation complaint, or a written transcription of an oral complaint. If the complaint is eligible for review under the UC Whistleblower Protection Policy, the LDO shall cause the complaint to be investigated as outlined in IV.D.2., above. If the retaliation complaint raises issues of retaliation covered under the UC Whistleblower Policy, but is not accompanied by a sworn statement, the LDO shall advise the complainant of his or her rights to file a whistleblower retaliation complaint and the timeframe for filing. D. Person accused of interference or retaliation--right to respond Regardless of how a retaliation or interference complaint is filed, University policy requires that, before findings are reached, the RCO (or factfinder, if the RCO has delegated conduct of the investigation) provide a copy of the complaint and any documents on which the RCO (or factfinder) intends to rely in reaching findings to the person accused of interference or retaliation. That person shall be provided the opportunity, within 10 working days, to respond to the complaint and to file a written statement which the RCO (or factfinder) will make part of the record submitted to the Chancellor. VI. References and Related Policies A. California Government Code Section 8547 Reporting of Improper Governmental Activities. B. UC Office of the President 3. Business and Finance Bulletins RMP-8, Legal Requirements on Privacy of and Access to Information. C. Personnel Policies for Staff Members: 2. Policy 62, Corrective Action--Professional and Support Staff. 3. Policy 63, Investigatory Leave. 4. Policy 64,Termination of Career Employees--Professional and Support Staff. 7. Policy 70, Complaint Resolution. 8. UC Appendix A-1, Policy for Protection Against Retaliation (Whistleblower Protection Policy). D. Local and Systemwide Labor Contracts. E. Academic Personnel Manual: 1. Section 015, The Faculty Code of Conduct. 2. Section UCD-015, Procedures for Faculty Misconduct Allegations. 3. Section 016, University Policy on Faculty Conduct and the Administration of Discipline. 4. Section UCD-016, Procedures for Faculty Discipline. 5. Section 140, Non-Senate Academic Appointees/Grievances. 6. Section UCD-140, Non-Senate Academic Appointees/Grievances. F. Academic Senate Bylaw 335, and Davis Division Bylaw 87. G. Bylaws and Regulations of the Faculty of the School of Medicine. H. UCD Policy & Procedure Manual Section 240-01, Integrity in Research. Copyright © 2006 The Regents of the
University of California, Davis Campus. All Rights Reserved. |
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