The Administrative Policies Compliance Office Whistleblower by rzj57449


									The Administrative
        Policies &
Compliance Office:
                                         Leveraging Campus
      Reports and                        Resources to Effectively
                                         Manage Employment
       Complaints                        Practices Liability Risks

                                         May 12, 2009

Bill Cormier, Director, Administrative Policies & Compliance/LDO
   UC Whistleblower Policies

• Policy on Reporting and Investigating
  Allegations of Suspected Improper
  Governmental Activities (“Whistleblower
  Policy”) (WP)

• Policy for Protection of Whistleblowers
  from Retaliation and Guidelines for
  Reviewing Retaliation Complaints
  (“Whistleblower Protection Policy”)
                                            APC - 2
       Basic Concepts

• Improper Governmental Activity

• Protected Disclosure

• Whistleblower

• Investigations Workgroup and LDO

• Whistleblower Retaliation Complaint
                                        APC - 3
  Improper Governmental Activity
Any activity by a UC employee undertaken in the
  performance of the employee’s official duties,

• is a violation of any state or federal law or
  regulation, or
• is economically wasteful, or
• involves gross misconduct, gross
  incompetence, or gross inefficiency

                                                  APC - 4
   Protected Disclosure (PD)

Any good faith communication that discloses or
demonstrates an intent to disclose information
that may evidence

• an IGA, or

• any condition that may significantly threaten
  the health or safety of employees or the

                                                  APC - 5

• Any person who makes a “Protected
• Disclosure may be oral or written
• Could be a faculty or staff member, student,
  patient, vendor, or any member of the public
• The Whistleblower is a reporting party, they
  are not investigators or fact-finders
• The Whistleblower is not involved in any
  corrective or remedial action that may be
                                                 APC - 6
Whistleblower Policy Objectives

• Encourage timely and upward reporting of
  alleged wrongdoing

• Ensure consistent and timely institutional
  response to reported improprieties

• Establish responsibilities of the IWG and LDO

• Ensure appropriate oversight by OP and The
  Regents (they don’t like to be surprised!)

                                               APC - 7
Investigations Workgroup (IWG)

• Reviews allegations and coordinates investigation
• Alerts appropriate senior officials, funding agencies,
• Coordinates resources and expertise for timely and
  thorough review of allegations
• Does not supplant or replace normal investigative
• LDO chairs

                                                       APC - 8
       Required Reporting to UCOP

• Internal control or policy deficiency likely to exist
  elsewhere at UC
• Likelihood of media attention
• Misuse of resources or potential liability > $25K
• Significant threat to public health or safety

• Anything sensitive or significant for other reasons

                                                      APC - 9
 Whistleblower Protection Policy
• Incorporates standards of the CWPA
• Establishes affirmative duty not to retaliate
   • actions that adversely affect the terms or
     conditions of employment (“adverse
     employment actions”)
• Refers to “protection” for whistleblowers
• Sets out whistleblower retaliation complaint
  (WRC) procedures

                                                  APC - 10
 Distinguishing the Retaliation
• An employee can complain of any retaliation
   • Referral to HR, another compliance office,
     Ombuds office would be appropriate
   • May assert retaliation as defense to any
     employment action deemed adverse
• Special procedures of WPP are applicable
  only to Whistleblower Retaliation
   • Protected Disclosure, or
   • Refusal to obey illegal order

                                              APC - 11
Basic Complaint Requirements
• UC employee or applicant for employment
  may file a written complaint alleging actual or
  attempted acts of reprisal, retaliation, threats,
  coercion or similar improper acts for having
  made a “Protected Disclosure”

• Complaint must be filed within 12 months of
  the most recent act of reprisal

• Special evidentiary standards set out in WPP

                                                  APC - 12
   WRC Complaint Processes

• May complain under established dispute
  resolution procedure, e.g.,
   • APM-140 (academic personnel)
   • PPSM 70 (staff personnel)
   • Applicable collective bargaining agreement

• May submit separate WRC with LDO

• May do both

                                              APC - 13
           Elements of a WRC
• Protected Activity
   • employee has made, or has been intimidated from making a
     “Protected Disclosure”, or
   • employee has previously refused to obey an illegal order

• Adverse employment action

• (Protected Activity shown to be “contributing factor” in
  adverse action)

• Sworn statement as to the truth of the matters

                                                           APC - 14
 What Challenges for Administrators

• Recognizing Protected Disclosures

• Reporting improprieties to the appropriate

• Conducting timely and thorough inquiries

• Maintaining Confidentiality

• Ensuring fairness and due process

                                               APC - 15
     What do I need to know?
• Recognize protected disclosures (or any protected
   • Identify the problem or alleged impropriety early
   • As appropriate, refer upward and outward
   • When matter is referred to management, take timely and
     effective action
   • Document remedial action and any corrective action

• Recognize complaints of Whistleblower Retaliation
   • Refer complainant to appropriate complaint process
   • Ensure that there has been an appropriate IGA inquiry
   • Separate action on WRC from follow up on Protected

                                                              APC - 16
What Resources are Available?
•   UC/UCLA Compliance Hotline: 800-296-7188
•   State Auditor’s Hotline: 800-952-5665
•   Various campus compliance offices
•   CHR/APO for complaint procedures
•   Campus Counsel for advice on all matters

                                           APC - 17
      APC Office Functions

• Administrative Policies Manager
  Carole Zaima,

• Compliance Coordinator
  Chris Norlin,

• Director/LDO/RCO
  Bill Cormier,

                                           APC - 18

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