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The University of California

SCCEHigher Education Compliance

Conference

What Happens After the Whistle Blows‐‐‐How to Handle 

Whistleblower ComplaintsJohn Lohse

Wendi DelmendoJudith Rosenberg

The University of California

University of California Personnel Overview

189,100 Employees

• 58,200 Academic Personnel• 130,900 Administrative Staff• 3,900 Department of Energy Staff

222,000 Students

As of April 2011

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The University of California

University of California Structure

10 Campuses5 Medical CentersOffice of the President1 Department of Energy National Laboratory16 Health Professional Schools4 Law SchoolsCalifornia’s only public Veterinary SchoolAgriculture & Natural Resources ProgramStatewide Presence & Impact

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The University of California

Policy on Reporting & InvestigatingAllegations of Suspected Improper 

Governmental ActivitiesCalifornia Government Code §8547

University of California Whistleblower Policy

University of California Whistleblower Protection Policy

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The University of California

Policy ObjectiveTo adhere to the spirit of the state whistleblower statutes by creating

1. an environment in which suspected improprieties are brought forward without fear of retaliation 

and 

2. mechanisms that ensure an appropriate institutional response to all suspected improprieties (not just whistleblower reports).  5

The University of California

DefinitionsImproper Governmental Activity:

Any activity by a state agency or by an employee that is undertaken in the performance of the employee’s official duties, …. whether or not that action is within the scope of his or her employment, and that:(1)   is in violation of any state or federal law or regulation 

including, but not limited to, corruption, malfeasance, bribery, theft of government property, fraudulent claims, fraud, coercion, conversion, malicious prosecution, misuse of government property, or willful omission to perform duty ….

or (2) is economically wasteful, involves gross misconduct, 

incompetence, or inefficiency.(3) May also include a serious violation of University policy.

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The University of California

DefinitionsProtected Disclosure:

any good faith communication that discloses or demonstrates an intention to disclose information that may evidence

1. an improper actor 

2. any condition that may significantly threaten the health or safetyof employees or the public 

if the disclosure or intention to disclose was made for the purpose of remedying that condition.

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The University of California

Key Concepts

•Can be oral•Can be made to line management OR to a University official with implied authority to act•Malicious intent does not nullify the potential validity of allegations•Frivolous complaints may themselves be IGAs•Confidentiality

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The University of CaliforniaAllegations by Type (7/1/11‐3/31/12)

Allegations by Category (System-wide) Total

Campus Climate Issues 112

Conflict of Interest/Commitment 37

Discrimination/Harassment 54

Economic Waste/Misuse of Resources 55

Fraud, Theft or Embezzlement 55

Inquiry/Concern 76

Other Allegations 9

Privacy Violations/Computer Security 20

Public/Environmental Health & Safety 13

Research/Academic Misconduct 26

Retaliation or Retribution 42

Workplace Misconduct 135

Grand Total 634

The University of California

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Campus Climate Issue11218%Conflict of

Interest/Commitment376%

Discrimination/Harassment

548%

Economic Waste/Misuse of Resources

559%

Fraud, Theft or Embezzlement

579%

Inquiry/Concern76

12%

Privacy Violations/Computer

Security203%

Public/Environmental Health & Safety

132%

Research/Academic Misconduct

264%

Retaliation or Retribution

427%

Workplace Misconduct14222%

Allegations by Type (7/1/11‐3/31/12)

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The University of California

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Allegations by Type (7/1/11‐3/31/12)

0

20

40

60

80

100

120

140

160

51

1321 25

37 32

9 312

36

57

61

24

33 3020

44

1110

14

6

85

Anonymous

Identified

The University of California

Processing Whistleblower Complaints

Key Players in the Whistleblower Process• Whistleblower • Respondent• Locally Designated Official (LDO)• Investigations Work Group (I Group)

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The University of California

Who Performs Investigations?

•Academic Personnel•Animal Research Office •Disability Coordinator•Environmental Health & Safety•Health Sciences Compliance Officer•Human Resources

• Labor Relations• Employee Relations

•EEO/AA•Risk Management•Student Judicial Affairs•UCOP Investigators

•Institutional Review Board•Internal Audit•Management, overseeing ad hoc external processes•Medical Staff•NCAA Compliance Officer•Office of the General Counsel•Privilege & Tenure Committee•Research Administration•Retaliation Complaint Officer•Title IX Officer•University Police

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The University of California

Processing Whistleblower Reports 

UC Davis Investigations Workgroup– Standing committee charged by Provost/EVC– Committee composition– Monthly meetings– Other consultation

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The University of California

Processing Whistleblower Reports

• Factors to consider:– If the allegations were true, would it constitute an improper governmental activity (IGA)? 

– Do the allegations provide a sufficient basis to investigate?  

• Requesting additional information from the Whistleblower in order to make this determination– But what if it was an anonymous report?

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The University of California

Duty to Investigate‐Formal Complaint is not Required

• Observations of workplace activity• Outside agency reports a complaint• Anonymous complaints• Unrelated investigation reveals new allegations of possible wrongdoing

• Complainant does not want an investigation or indicates will handle

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The University of California

Procedural Overview

Reporting Process = Funnel to LDO

Triage Process by LDO & I‐Group(Two pronged test—“If True” & Sufficient Basis)

Investigation within natural jurisdictionOR

Referral to Management

Communications, Coordination & Monitoring by LDO 

Report to management, IGA source & others as appropriate

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The University of California

universityofcalifornia/edu.hotline – report in English or Spanish800.403.4744 – report in any language

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The University of California

Case Management Features•Automatic notification of all new cases, by location & issue•Restrict access of implicated parties•Follow‐up with anonymous reporters•Associate multiple issues to case•Assign cases to investigators•Relate cases•Search cases by keywords•Identify participants & outcomes•Document issue dispositions•Agency engagement information 19

•Attach files (textual, video, audio)•Assign Tasks•Set Reminders•Analytics, Pivot Charts & Custom Ad Hoc Queries

The University of California

Investigation Reports• University of California Whistleblower Protection Policy

– Purpose ‐ to provide “sufficient detail to enable the Chancellor to make an independent determination as to whether a policy violation occurred.”

• University of California Whistleblower Policy– Purpose – To report results of fact finding and analysis related to cases of alleged Improper Governmental Activities (IGA).  

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The University of California

Necessary InformationAllows review of facts for independent analysis• Provides summary of factual issues based on all information investigator obtained

• Explanation of basis for factual determinations (credibility analysis, consistent  or inconsistent statements from witnesses or parties)

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The University of California

Necessary Information

Provides insight into interviews and additional information about witnesses and parties• Comments on demeanor• Discussion of possible bias and motives for statements (relationships, prior complaints) 

• Analysis of the reason witness, complainant or accused are more credible than others who provide conflicting information

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The University of California

Choice of Investigators

Internal• Cost effective• Organizational knowledge• Impartiality• Position in organization• Relationships with parties• Chain of command concerns

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The University of California

Outside Internal Investigators

• Ethics, Compliance and Audit Services• Another campus• Oversight by external organization

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The University of California

Choice of Investigators

External• Expense issues• Relationship between 

organization and investigator• Relationship between attorneys 

and investigators

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The University of California

Training, Experience and Credentials

• Background• Subject matter expertise• Investigations in similar organizations/similar complaints

• Credentials and licenses

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The University of California

Investigation Plan, Interviews and Report

• Witness list• Documents• Clear statement of complaint and purpose of investigation

• Admonitions re confidentiality and retaliation

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The University of California

Experience

• Number of investigations• Balanced work for management and employees

• Findings on prior investigations• Knowledge of critical steps

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The University of California

Witness List 

Presents information to demonstrate relationships between witnesses, complainant and accused• Names• Title• When interviewed• How interviewed (phone, in person)• Anyone else present during the interview

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The University of California

List of Documents 

Provides opportunity for independent review of documents

• Documents reviewed or relied on for conclusions

• Should be attached as exhibits

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The University of California

Witness Statements

Allows independent evaluation of information obtained and relied on

• Complete statements, not just summaries• Include any concerns witnesses raise about the interview or process

• Location of interview could be important to document confidentiality of interview if it becomes an issue

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The University of California

CredibilityProvides insight into interviews and additional information about witnesses and parties

• Comments on demeanor• Discussion of possible bias and motives for statements (relationships, prior complaints) 

• Analysis of the reason witness, complainant or accused are more credible than others who provide conflicting information

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The University of California

Findings of Fact

• Provides summary of factual issues based on all information investigator obtained‐ allows review of facts for independent analysis

• Explanation of basis for factual determinations (credibility analysis, consistent  or inconsistent statements from witnesses or parties)

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The University of California

Just How Good Is That Investigation—Practical Tips

• No two investigations are identical but the employer’s role should be the same:– Investigate allegations fully, promptly, fairly and take “prompt corrective action”.

– Failure to investigate properly can result in costly litigation and loss of workplace morale/effectiveness

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The University of California

Factors That Can Be Different in Every Investigation

• Scope of the investigation• Choice of investigator (Inside or External)• Investigation plan, interviews and report

– Number of witnesses interviewed– Records or electronic evidence – Resources involved‐multidisciplinary teams

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The University of California

Understand the Complaint‐What Policy is Potentially Violated

• Know what issues you are investigating• Result of not understanding the complaint

– Failure to conduct a proper investigation– Failure to investigate the right issue– Assignment of wrong investigator– Interviewing the wrong employees– Reaching an incorrect conclusion

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The University of California

Contact Information• John Lohse‐Director of Investigations‐Office of  the President at John.Lohse@ucop.edu

• Wendi Delmendo‐Chief Compliance Officer, UC Davis at wjdelmendo@ucdavis.edu

• Judith Rosenberg, Principal Investigator‐Office of the President at Judith.Rosenberg@ucop.edu

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