Reporting and Investigating Allegations of Suspected Improper Governmental Activities

I. REFERENCES

A. University of CaliforniaPolicy on Reporting and Investigating Allegations of SuspectedImproper Governmental Activities (Whistleblower Policy) https://policy.ucop.edu/doc/1100171/Whistleblower

B. University of CaliforniaWhistleblower Protection Policy https://policy.ucop.edu/doc/1100563/WPP

C. UC San Diego Policy andProcedure Manual (PPM) 200-14 Protection of Whistleblowers from Retaliation UCSan Diego Implementing Procedure

https://adminrecords.ucsd.edu/ppm/docs/200-14.html

II. INTRODUCTION

This is the local implementingprocedure for the UC Policy for Reporting and Investigating Allegations ofSuspected Improper Governmental Activities (UC Whistleblower Policy). Ifany provision contradicts the UC Whistleblower Policy, the UC policy controls.

Rights and protections ofUniversity employees and applicants for employment when making protecteddisclosures are addressed in the UC Whistleblower Protection Policy (UCWPP). UC San Diego&s responsibilities and procedures under thesystemwide UC WPP are established in UC San Diego Implementing Procedure PPM200-14: Whistleblower Retaliation Complaint Resolution.

In allinstances, UC San Diego retains the prerogative to determine whencircumstances warrant or do not warrant an investigation and the appropriate timing, scope, and manner of any investigation initiated under this local implementing procedure.

III. REPORTING ALLEGATIONS OFSUSPECTED IMPROPER GOVERNMENTAL ACTIVITIES

Reporting parties should provide aclear and concise statement of the alleged improperact, why they believe it is improper, and what evidence exists to confirm theallegation. They should also provide names of witnesses and submit copies ofdocuments that support the allegation. Reports of alleged Improper GovernmentalActivities must be factual and not speculative or conclusory.

Reports of suspected ImproperGovernmental Activities may be made to:

UC Whistleblower Hotline at800-403-4744

or www.universityofcalifornia.edu/hotline

or by emailing LDO@ucsd.edu.

Employees may also report Improper GovernmentalActivities to their supervisor or other appropriate administrator.

The UC Whistleblower Hotline service,operated independently of the University and the campus, offers anonymity,assigns a case number to each caller, and acts as a contractual intermediaryfor the institution. Anonymous callers may receive information about thedisposition of their reported matters by making subsequent hotline inquiriesusing the assigned case number.

Allegations reported withoutadequate and specific information could result in an inability to investigate.If allegations are reported anonymously, the campus will have no way to followup with the reporter for additional information, unless the reporter makessubsequent contact.

IV. INVESTIGATING ALLEGATIONSOF IMPROPER GOVERNMENTAL ACTIVITIES

A. Locally Designated Official(LDO)

The LDO is responsible for implementationof the UC Whistleblower Policy for the campus. The LDO is responsible for usingtheir judgment and discretion with respect to:

assessing allegations under the UC Whistleblower Policy;

conducting or assigning investigations under the UC WhistleblowerPolicy;

determining whether, when, and how investigations should occur;

making findings on whether violations of the UC WhistleblowerPolicy have been established; and

forwarding findings of violations to appropriate offices forappropriate follow-up, which could include, without limitation, correctiveactions and/or discipline, as allowed by and in accordance with Universitypolicy as determined by such other offices.

B. Campus Review Units

The LDO may, in their discretion,assign preliminary assessments or investigations to a Campus Review Unit asdefined below, to others at UC San Diego, or to outside investigators.

Campus Review Units and their generalareas of expertise include the following:

AcademicAffairs:

¢ Academic personnel matters andcomplaints of possible violationsof the Faculty Code of Conduct.

Audit & Management AdvisoryServices:

¢ Misuse of University resources, including fraud,financial irregularities, significant weaknesses in internal controls, and thefinancial consequences of other mattersunder investigation.

Campus Police:

¢ Investigations of known or suspected criminal actswithin its jurisdiction.

¢ Communications with law enforcement agencies and reportingresults of criminal investigations to the District Attorney or otherappropriate law enforcement agencies.

Campus Human Resources:

¢ Campus staff personnel matters.

Health Sciences Human Resources:

¢ Health Sciences and Health System staffpersonnel matters.

Vice Chancellor Research:

¢ Research misconduct.

Health Sciences Compliance Officer:

¢ Clinical billing issues.

Office for Prevention of Harassment& Discrimination:

¢ Allegations of discriminationand/or harassment.

When any office at UC San Diego isinvestigating an alleged Improper Governmental Activity, the office must notifythe LDO at the beginning of the investigation, provide status reports duringthe investigation, and provide a copy of the final investigation report to theLDO.

V. CONFLICTS

If anallegation pertains to the Chancellor of UC San Diego or to the LDO, the LDOshall report the matter to the Locally Designated Official of the UC Office ofthe President, and the campus LDO shall not act further on the matter, except pursuant to the direction of the UC Officeof the President&s LDO. It shall not be considered a conflict of interest forthe campus LDO to process allegations regarding persons reporting to the LDO;provided, however, the campus LDO, in the LDO&s discretion, may recuse themselffrom any matter by providing written notice to the Chancellor and the UC Officeof the President&s LDO. In cases of recusal of the campus LDO, another LDO willbe appointed to serve as LDO for that specific matter.

VI. REVISION HISTORY

2019-08-14 Titleand reference updates.

2024-04-05 Policyrevised and reissued.

	Section: Effective: 04/05/2024 Supersedes: 04/02/2013 Next Review Date: 04/05/2027 Issuance Date: 04/05/2024 Issuing Office: Chancellor’s Office Reporting and Investigating Allegations of Suspected Improper Governmental Activities
	I. REFERENCES A. University of CaliforniaPolicy on Reporting and Investigating Allegations of SuspectedImproper Governmental Activities (Whistleblower Policy) https://policy.ucop.edu/doc/1100171/Whistleblower B. University of CaliforniaWhistleblower Protection Policy https://policy.ucop.edu/doc/1100563/WPP C. UC San Diego Policy andProcedure Manual (PPM) 200-14 Protection of Whistleblowers from Retaliation UCSan Diego Implementing Procedure https://adminrecords.ucsd.edu/ppm/docs/200-14.html II. INTRODUCTION This is the local implementingprocedure for the UC Policy for Reporting and Investigating Allegations ofSuspected Improper Governmental Activities (UC Whistleblower Policy). Ifany provision contradicts the UC Whistleblower Policy, the UC policy controls. Rights and protections ofUniversity employees and applicants for employment when making protecteddisclosures are addressed in the UC Whistleblower Protection Policy (UCWPP). UC San Diego&s responsibilities and procedures under thesystemwide UC WPP are established in UC San Diego Implementing Procedure PPM200-14: Whistleblower Retaliation Complaint Resolution. In allinstances, UC San Diego retains the prerogative to determine whencircumstances warrant or do not warrant an investigation and the appropriate timing, scope, and manner of any investigation initiated under this local implementing procedure. III. REPORTING ALLEGATIONS OFSUSPECTED IMPROPER GOVERNMENTAL ACTIVITIES Reporting parties should provide aclear and concise statement of the alleged improperact, why they believe it is improper, and what evidence exists to confirm theallegation. They should also provide names of witnesses and submit copies ofdocuments that support the allegation. Reports of alleged Improper GovernmentalActivities must be factual and not speculative or conclusory. Reports of suspected ImproperGovernmental Activities may be made to: UC Whistleblower Hotline at800-403-4744 or www.universityofcalifornia.edu/hotline or by emailing LDO@ucsd.edu. Employees may also report Improper GovernmentalActivities to their supervisor or other appropriate administrator. The UC Whistleblower Hotline service,operated independently of the University and the campus, offers anonymity,assigns a case number to each caller, and acts as a contractual intermediaryfor the institution. Anonymous callers may receive information about thedisposition of their reported matters by making subsequent hotline inquiriesusing the assigned case number. Allegations reported withoutadequate and specific information could result in an inability to investigate.If allegations are reported anonymously, the campus will have no way to followup with the reporter for additional information, unless the reporter makessubsequent contact. IV. INVESTIGATING ALLEGATIONSOF IMPROPER GOVERNMENTAL ACTIVITIES A. Locally Designated Official(LDO) The LDO is responsible for implementationof the UC Whistleblower Policy for the campus. The LDO is responsible for usingtheir judgment and discretion with respect to: assessing allegations under the UC Whistleblower Policy; conducting or assigning investigations under the UC WhistleblowerPolicy; determining whether, when, and how investigations should occur; making findings on whether violations of the UC WhistleblowerPolicy have been established; and forwarding findings of violations to appropriate offices forappropriate follow-up, which could include, without limitation, correctiveactions and/or discipline, as allowed by and in accordance with Universitypolicy as determined by such other offices. B. Campus Review Units The LDO may, in their discretion,assign preliminary assessments or investigations to a Campus Review Unit asdefined below, to others at UC San Diego, or to outside investigators. Campus Review Units and their generalareas of expertise include the following: AcademicAffairs: ¢ Academic personnel matters andcomplaints of possible violationsof the Faculty Code of Conduct. Audit & Management AdvisoryServices: ¢ Misuse of University resources, including fraud,financial irregularities, significant weaknesses in internal controls, and thefinancial consequences of other mattersunder investigation. Campus Police: ¢ Investigations of known or suspected criminal actswithin its jurisdiction. ¢ Communications with law enforcement agencies and reportingresults of criminal investigations to the District Attorney or otherappropriate law enforcement agencies. Campus Human Resources: ¢ Campus staff personnel matters. Health Sciences Human Resources: ¢ Health Sciences and Health System staffpersonnel matters. Vice Chancellor Research: ¢ Research misconduct. Health Sciences Compliance Officer: ¢ Clinical billing issues. Office for Prevention of Harassment& Discrimination: ¢ Allegations of discriminationand/or harassment. When any office at UC San Diego isinvestigating an alleged Improper Governmental Activity, the office must notifythe LDO at the beginning of the investigation, provide status reports duringthe investigation, and provide a copy of the final investigation report to theLDO. V. CONFLICTS If anallegation pertains to the Chancellor of UC San Diego or to the LDO, the LDOshall report the matter to the Locally Designated Official of the UC Office ofthe President, and the campus LDO shall not act further on the matter, except pursuant to the direction of the UC Officeof the President&s LDO. It shall not be considered a conflict of interest forthe campus LDO to process allegations regarding persons reporting to the LDO;provided, however, the campus LDO, in the LDO&s discretion, may recuse themselffrom any matter by providing written notice to the Chancellor and the UC Officeof the President&s LDO. In cases of recusal of the campus LDO, another LDO willbe appointed to serve as LDO for that specific matter. VI. REVISION HISTORY 2019-08-14 Titleand reference updates. 2024-04-05 Policyrevised and reissued.