The UC Whistleblower Policy provides a process for filing and addressing reports of Improper Governmental Activities (IGA). Employees and other persons are encouraged to use the reporting procedures in this policy if they have a good faith belief that an IGA has occurred or is continuing to occur.
Reports can be filed through the various sources identified in the policy and can include the following activities:
- Violations of University policy;
- Violations of state or federal law or regulations, such as;
- Theft or misuse of University property;
- Willful omission to perform duty;
- Gross misconduct, gross incompetence, or gross inefficiency, or
- Conditions that may significantly threaten the health and safety of employees or the public.
Appropriate investigative processes will be determined and assigned to investigative units based on the individual circumstances of an IGA report.
Whistleblowers are covered by the retaliation provisions of the Whistleblower Protection Act and procedures and processes for reporting of retaliatory actions (for having blown the whistle on IGAs) are provided in the UC Whistleblower Protection Policy.
Audit and Advisory Services (AAS) Role as Whistleblower Coordinator and Investigating Unit
AAS is the coordinating office for the Whistleblower program to ensure that UCSF effectively responds to whistleblower complaints. Complaints are received, reviewed and logged into Ethics Point the UC systemwide whistleblower database prior to triage by the Investigations Group (I-Group). The I-Group is chaired by the Locally Designated Official (LDO) and is comprised of representatives from AAS, Human Resources, UCSF Police Department, Legal Affairs, Academic Affairs, Office of Diversity & Outreach and other areas of the UCSF community. Determination of further investigation of IGAs and the unit that will perform the investigation is made by the I-Group. Each unit with investigative authority shall carry out investigative activities in accordance with appropriate laws and established procedures within its discipline, regulatory policies and guidelines.
AAS is primarily assigned to investigate allegations of known or suspected misuse of University resources, including fraud and abuse, violation of sponsored research grant requirements, financial irregularities and the financial consequences of these issues. If criminal activity is suspected, AAS will consult with UCPD to determine whether the police should take the lead, or initiate a separate investigation.
The roles, responsibilities and rights of the parties involved in an investigation (Whistleblower, investigation subject and other investigation parties, I.e., witnesses) are identified in the UC Whistleblower Policy (Policy on Reporting and Investigating Allegations of Suspected Improper Governmental Activities)