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Supervisors - Frequently
Asked Questions
About the Whistleblower and Whistleblower Protection Policies
The University has a responsibility to conduct its affairs ethically
and in compliance with the law. UC has policies that can show employees how
to "blow the whistle" and can protect them from retaliation if the
need arises.
Whistleblower Policy Questions | Whistleblower
Protection Policy Questions
What is the University's Whistleblower Policy?
Does UCLA have procedures for reporting whistleblower
complaints?
Why did the University develop this policy?
On what kinds of "improper governmental activities"
can the whistle be blown?
What is my role as a supervisor under the Whistleblower Policy?
What do I do if an employee comes to me with what I am certain
is a whistleblower matter?
How do I document the oral report-what information do I include?
Is it considered a public record?
Once I receive a whistleblower report, what is the next step?
Can I investigate allegations myself?
What do I do if a whistleblower reports an activity and wants
to remain anonymous?
What is the Whistleblower Protection Policy?
Does UCLA have procedures for reporting whistleblower
retaliation complaints?
What is a "protected disclosure" and an "illegal
order"?
What happens if retaliation is found to have occurred?
WHISTLEBLOWER POLICY
What is the University's Whistleblower Policy?
UC's Whistleblower Policy encourages employees to use the guidance provided
in the policy to "blow the whistle" on "improper governmental
activities," and provides a procedure for filing and addressing whistleblower
complaints.
Does UCLA have procedures for reporting whistleblower
complaints?
Yes. UCLA
Procedure 620.1 describes how reports of suspected improper governmental
activities are handled.
Who is a "whistleblower"?
A whistleblower is someone who discloses or tries to disclose information that
may show a violation of law, economic waste, or gross misconduct, gross incompetence
or gross inefficiency.
Who can blow the whistle?
Employees (academic and staff), applicants for employment, students, patients,
vendors, contractors, and the general public can blow the whistle.
Why did the University develop this policy?
As a public institution, the University has a responsibility to the public,
the legislature, students, faculty, staff and donors to conduct its affairs
ethically and in compliance with laws and regulations. Part of how UC demonstrates
accountability for its conduct is having in place a mechanism for people to
let the University know if they become aware of concerns about how UC business
is conducted.
On what kinds of "improper governmental activities" can the whistle
be blown?
The whistle can be blown on the commission of unlawful acts such as corruption,
bribery, theft or misuse of University property, fraudulent claims, fraud, coercion,
willful omission to perform duty; or economic waste; or gross misconduct, gross
incompetence or gross inefficiency; or any condition that may significantly
threaten the health or safety of employees or the public. (An "improper
governmental activity" has to directly involve the University as either
the victim of the improper activity or the perpetrator of the improper activity
via the action of an employee.)
Who oversees this policy?
The Senior Vice President-Business and Finance oversees the Whistleblower Policy.
What is my role as a supervisor under the Whistleblower Policy?
You are one of the individuals who may receive whistleblower complaints from
your immediate staff or other employees.
What do I do if an employee comes to me with a situation that may possibly
be a whistleblower matter-but I'm not sure if it is?
Discuss the matter either with your supervisor, an appropriate University manager,
or the Locally Designated Official (the person who has whistleblower responsibilities
at your location). You are encouraged to consult with these individuals, and
when in doubt about a matter, you should report it to your immediate supervisor,
the Locally Designated Official, Internal Audit, or other appropriate party
who has responsibility for the matter.
What do I do if an employee comes to me with what I am certain is a whistleblower
matter?
You should encourage the employee to write up the concerns and include all relevant
information, such as the facts that led the employee to believe an improper
governmental activity had occurred. If the employee does not want to put it
in writing, you should document the oral report with a written transcription.
How do I document the oral report-what information do I include? Is it considered
a public record?
Include the facts that led the whistleblower to believe an improper governmentalactivity
had occurred. Don't speculate or draw conclusions. Include as much specific
information as possible to allow for proper assessment of the nature, extent,
and urgency of preliminary investigative procedures. Your documentation likely
will not be considered a public record until the matter has been resolved, either
by investigation or determination that no investigation is warranted.
Once I receive a whistleblower report, what is the next step?
You should determine if you can review and dispose of the matter or if it needs
to be referred to your supervisor, an appropriate manager and/or the Locally
Designated Official.
How do I decide if the matter should be referred to my supervisor, an appropriate
manager and/or the Locally Designated Official or if I should handle the matter
myself?
If you think an improper governmental activity is being alleged, the matter
shouldbe referred for investigation. If the matter is not an improper governmental
activity, it might require management review or other appropriate disposition.
If you have any questions about whether or not the matter should be referred,
you should call your Human Resources, Academic Personnel or Internal Audit Office,
or your Locally Designated Official.
However, the matter must be reported to the Locally Designated Official when any of the following conditions are met:
- The matter is the result of a significant internal control or policy deficiency that is likely to exist in other units within the institution or across the University system
- The matter is likely to receive media or other public attention
- The matter involves the misuse of University resources or creates exposure
to a liability in potentially significant amounts
- The matter involves allegations or events that have a significant possibility
of being the result of a criminal activity (such as disappearance of cash)
- The matter involves a significant threat to the health and safety of employees
and/or members of the public
- The matter is judged to be significant or sensitive for other reasons
Can I investigate allegations myself?
No, leave that to the investigators. Your responsibility is to exercise appropriate
judgement in determining which matters should be referred to a higher level
of management and/or the Locally Designated Official and which matters you can
review and dispose of. If you have any doubt about whether or not the matter
should be disclosed, you should err on the side of disclosure and consult your
Human Resources, Academic Personnel or Internal Audit Office, or your Locally
Designated Official.
What do I do if a whistleblower reports an activity and wants to remain
anonymous?
If the whistleblower wants to remain anonymous, he or she can call the local
whistleblower hotline (the Locally Designated Official or Internal Audit Office
can be contacted to find out if a hotline exists at your location). The whistleblower
can also call the State Auditor's hotline. However, the whistleblower should
be assured that the intent of the Whistleblower Policy is to keep his or her
identity confidential, and that his or her confidentiality will be maintained
to the extent possible within the limitations of law and policy and the need
to conduct a competent investigation.
The Whistleblower Policy is long and detailed and I want to properly handle
situations that arise or whistleblower reports that come to me. Where do I go
for help?
Consult your supervisor or other appropriate administrator, the Locally Designated
Official, or the Internal Audit, Academic Personnel, or Human Resources Office.
Additional information is available at the UCOP
Web site.
WHISTLEBLOWER PROTECTION POLICY QUESTIONS
What is the Whistleblower Protection Policy?
The Whistleblower Protection Policy protects employees and applicants for employment
from interference or retaliation by University officials for having made a "protected
disclosure" or for having refused an "illegal order." The policy
sets forth a procedure for filing and addressing complaints of retaliation for
whistleblowing.
Does UCLA have procedures for filing a whistleblower retaliation
complaint?
Yes. UCLA
Procedure 620.1 describes how complaints are handled when they allege retailiation
for making or atempting to make a protected disclosure.
What is a "protected disclosure" and an "illegal
order"?
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, or economic waste, or 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.
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 do I do when an employee complains to
me that his supervisor is harassing him because he's blown the whistle?
Let the employee know that there is a policy that protects him or her from retaliation
for whistleblowing. You can try to resolve the complaint informally and advise
the alleged retaliator of the University's prohibition against retaliation.
If the employee wants to pursue the matter formally, you should refer him or
her to the Human Resources or Academic Personnel Office to file a complaint
under the staff or academic personnel policies or collective bargaining agreement;
or you can also refer the employee directly to the Locally Designated Official.
If the employee has given you a written retaliation complaint, you must refer
the complaint to the Locally Designated Official.
What happens if retaliation is found to have occurred?
The Chancellor through the appropriate channel or, in the case of Academic Senate
members, the appropriate Senate Committee, determines the corrective action,
if any, which will be initiated against the University employee who is found
to have retaliated. The corrective action will be in accordance with the applicable
personnel policy or collective bargaining agreement. For a member of the Academic
Senate, disciplinary proceedings will be in accordance with procedures established
by the Academic Senate.
This policy is long and detailed and I want to properly handle
situations that arise and whistleblower retaliation complaints that come to
me. Where do I go for help?
Consult your supervisor or other appropriate administrator, the Locally Designated
Official, or the Academic Personnel or Human Resources Office. Additional information
is available at the UCOP
Web site.