Internal Audit Services Internal Audit Services Berkeley Lab
 
 
 
 
 
 
Whom to Call
 
 
 
  Contacts
  Organizational Chart
  IAS Search
  Staff Only
  Lab Search Phone Book A-Z Index
  Privacy and
Security Notice
   
Ethics and Investigations

Whistleblowers

Any person may report allegations of suspected improper governmental activities. Such reports may be made anonymously and/or orally, but are encouraged to be made in writing to assure a clear understanding of the issues raised. The allegations should be factual rather than speculative. The role of the whistleblower is as a reporting party; whistleblowers are not investigators or finders of facts, nor do they determine the appropriate corrective or remedial action that may be warranted.

Individual employee grievances and complaints regarding terms and conditions of employment will continue to be reviewed under the applicable academic and staff personnel policies or collective bargaining agreements.

In all instances, the University retains the prerogative to determine when circumstances warrant an investigation and, in conformity with this policy and applicable laws and regulations, the appropriate investigative process to be employed.

Read more here:


Whistleblower Protection

The Whistleblower Protection Policy applies to complaints of retaliation or interference filed by employees or applicants for employment who have made or attempted to make a "protected disclosure" or refused to obey an illegal order.

A "protected disclosure" is any good faith communication that discloses or demonstrates an intention to disclose information that may evidence either (1) an improper governmental activity 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.

Read more here:


Reporting Improper Governmental Activities

When describing an improper governmental activity, please provide the following information, bearing in mind that formal investigations are not undertaken without adequate cause:

Who? - Who is involved? Who knows about the activities? Who can and would confirm?

What? - What happened? Are there laws or regulations governing what the suspect did? What kinds of documents would provide evidence? Where are the documents?

Where? - Which department, division, location?

When? - When did the activity occur? Is it ongoing? How often has it occurred?

Why? - How does the suspect benefit?

How? - How was the suspect able to accomplish the improper activity?


Improper Government Activities Defined

California Government Code Section 8547.2 defines improper governmental activities as:
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, incompetency, or inefficiency.

While the scope of the University's policy on reporting and investigating improper governmental activities is intended to be limited to the statutory definition, serious or substantial violation of University policy may constitute improper governmental activities, determined upon review or investigation.

Individual employee grievances and complaints regarding terms and conditions of employment will continue to be reviewed under the applicable academic and staff personnel policies or collective bargaining agreements.

In all instances, the University retains the prerogative to determine when circumstances warrant an investigation and, in conformity with this policy and applicable laws and regulations, the appropriate investigative process to be employed.

 

 

Top | Home | About IAS
Audit Committee | Audit Planning | Ethics & Investigations | External Audit Coordination | Advisory Services
Other Relevant Audit Links | Contacts | Organizational Chart | IAS Search | Staff Only