Investigative Services

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.

IGA reports can describe the following activities:

  • Violations of University policy
  • Violations of state or federal law or regulations, such as:
    • Corruption
    • Coercion
    • Fraud
    • Theft or misuse of University property
    • Bribery
  • Willful omission to perform duty
  • Gross misconduct, gross incompetence or gross inefficiency
  • 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 each IGA report.

UCSF whistleblowers are covered by (1) the retaliation provisions of the Whistleblower Protection Act and (2) the procedures and processes for reporting of IGA-related retaliatory actions as provided in the UC Whistleblower Protection Policy.

Audit & Advisory Services' whistleblower role

A&AS is the coordinating and investigating office for the whistleblower program to ensure UCSF's effective response to whistleblower complaints. Complaints are received, reviewed and logged into the UC system-wide whistleblower database, Ethics Point, prior to triage by the Investigations Group (I-Group). Chaired by the Locally Designated Official (LDO), the I-Group comprises representatives from A&AS, Human Resources, the UCSF Police Department, Legal Affairs, Academic Affairs, the Office of Diversity and Outreach, and other areas of the UCSF community. The I-Group determines (1) the need for further investigation of IGAs and (2) the units that will perform it.

Each unit with investigative authority must perform investigative activities in accordance with appropriate laws and established procedures within its discipline, regulatory policies and guidelines.

A&AS is primarily assigned to investigate allegations of known or suspected misuse of University resources. Allegations include fraud and abuse, violation of sponsored research grant requirements, financial irregularities and the financial consequences of these issues. If criminal activity is suspected, A&AS will consult with UCPD to determine whether the police should take the lead or a separate investigation should be initiated.

The roles, responsibilities and rights of the parties involved in an investigation (i.e., the whistleblower, the subject of the investigation and other parties to it, such as witnesses) are identified in the UC Whistleblower Policy (Policy on Reporting and Investigating Allegations of Suspected Improper Governmental Activities).