Reporting & Investigating Workplace Misconduct at the University of California

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1 SCCE Higher Education Compliance Conference Reporting & Investigating g Workplace Misconduct at the University of California John Lohse Director of Investigations, Office of the President 1

2 University of California Personnel Overview 187, 200 Employees 57,000 Academic Personnel 126,700 Administrative Staff 3,500 Department of Energy Staff 226, 000 Students 2 2

3 University of California Structure 10 Campuses 5 Medical Centers 1 Department of Energy National Laboratory 16 Health Professional Schools 4 Law Schools California s only public Veterinary School Agriculture & Natural Resources Program Statewide Presence & Impact 3 3

4 Policy on Reporting & Investigating Allegations of Suspected Improper Governmental Activities California GC 8547 University of California Whistleblower Policy University of California Whistleblower Protection Policy 4 4

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

6 Improper Governmental Activities (IGA) 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, or involves gross misconduct, incompetence, or inefficiency. 6 6

7 Protected Disclosure*: Definitions any good faith communication that discloses or demonstrates an intention to disclose information that may evidence 1. an improper act or 2. any condition that may significantly threaten the health or safety of employees or the public if the disclosure or intention to disclose was made for the purpose of remedying that condition. *Not restricted to whistleblowers. 7 7

8 Key Concepts Can be in a variety of forms, including oral Can be made to management OR any University official with implied authority to act If not recognized as an IGA when made, danger of re characterization as retaliation complaint Malicious intent does not nullify the potential validity of allegations Frivolous complaints may themselves be IGAs 8 8

9 Who Performs Investigations? Academic d Personnel Institutional l Review Board Animal Research Office Internal Audit Disability Coordinator Management, overseeing ad hoc Environmental Health & Safety external processes Health Sciences Compliance Medical Staff Officer NCAA Compliance Officer Human Resources Labor Relations Employee Relations EEO/AA Risk Management Student Judicial Affairs Office of the General Counsel Privilege & Tenure Committee Research Administration Retaliation Complaint Officer Title IX Officer University Police 9 9

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11 Procedural Overview Reporting Process = Funnel lto LDO Triage Process by LDO & I Group (Two pronged test If True & Sufficient Basis) Investigation within natural jurisdiction OR Referral to Management* Communications, Coordination & Monitoring by LDO Report to management, IGA source & others as appropriate * If the two criteria are not met If True test and Probable Cause Standard 11 11

12 universityofcalifornia/edu.hotline report in English or Spanish report in any language 12 12

13 Case Management Features Automatic notification of all new cases, by location & issue Restrict access of implicated parties Follow up with anonymous reporters Associate multiple li l issues to case Assign cases to investigators Relate cases Search cases by keywords Identify participants & outcomes Document issue dispositions Agency engagement information Attach files (textual, video, audio) Assign Tasks Set Reminders Analytics, Pivot Charts & Custom Ad Hoc Queries 13 13