Table of Contents-Listed Numerically Table of Contents-Listed Alphabetically Links to Helpful Websites What's New in the Current Year Search for Policies and Procedures PPM Index by Subject

Section: 200-14
Effective: 9/16/96
Supersedes: 9/1/94
Issuing Office: Human Resources/Employee & Labor Relations

PPM 100-5 Policy [pdf format]


PROTECTION AGAINST RETALIATION FOR REPORTING IMPROPER
ACTIVITIES, UCSD IMPLEMENTING PROCEDURE


  1. REFERENCES

    1.  Policy and Procedures for Reporting Improper Governmental Activities and Protection Against Retaliation for Reporting Improper Activities

    2.  UCSD Policy and Procedure Manual (PPM)

      460-5 Misuse of University Resources

    3.  Systemwide Business and Finance Bulletin Manual (BFB)

      G-29 Procedures for Investigating Misuse of University Resources

  2. PROCEDURES

    1. Filing

      To file a complaint alleging retaliation for reporting improper activities, the employee or applicant for employment must present the complaint in writing, together with a sworn statement that the contents of the written complaint are true or are believed by the complainant to be true under penalty of perjury, to the Director, Employee and Labor Relations or his/her designee on a form provided by the Office of Labor Relations.

      10280 N. Torrey Pines Road
      Suite 265-A
      La Jolla, CA 92093-0921

    2. Scope of Complaint Procedure

      The Director, Employee and Labor Relations shall determine if:

      1. The complaint is within the scope of Section II. of the Policy and Procedures for Reporting Improper Governmental Activities and Protection Against Retaliation for Reporting Improper Activities;

      2. The complaint is timely filed within the meaning of applicable University personnel policies or collective bargaining agreements;

      3. The complaint is within the scope of any University grievance or complaint resolution procedures available to the employee under applicable University personnel policies or collective bargaining agreements;

      4. The complaint is filed within 12 months of the alleged act(s) of reprisal or intimidation.

    3. Processing - Formal Review

      1. Upon acceptance of a formally filed request for review, the Director, Employee and Labor Relations shall transmit a copy of the complaint to the appropriate University official for review under applicable University personnel policies or collective bargaining agreements or directly with the Retaliation Complaint Officer (RCO).

      2. The Director, Employee and Labor Relations shall transmit the complaint, including the identity of the employee or applicant for employment to the accused.

    4. Factfinding Investigation

      1. The Chancellor shall select and appoint a panel of RCO's for such terms of office as the Chancellor deems appropriate.

      2. The Director, Employee and Labor Relations shall designate a member of the panel referred to above who shall investigate the alleged act(s) or threat of interference or retaliation.

      3. The Director, Employee and Labor Relations shall provide the accused the opportunity to respond to the allegations and to file a written statement.

      4. The Director, Employee and Labor Relations shall coordinate the time and place of the factfinding investigation among the parties, their representatives, and the RCO.

      5. Procedures for Conducting Factfinding Investigation

        1. The RCO shall review the written statements of the parties, investigate the facts, interview witnesses and other concerned parties individually, solicit and review relevant documents, and submit a written report.

        2. The RCO shall provide the parties the opportunity to offer rebuttal information on all documents which were received by the RCO in making the findings.

        3. If for any reason the factfinding investigation is terminated before findings are sent to the reviewing authority, the Director, Employee and Labor Relations shall seal the records.

      6. RCO's Report

        The RCO's report shall contain the following information:

        1. A statement of the issues under review;

        2. The positions of the parties;

        3. A summary of the information received; and

        4. Findings of fact.

        The report shall not contain any recommendations or remedies. However, the report shall provide a sufficient record of the facts so that the reviewing authority can use it as a basis for a decision and for determining any appropriate remedies.

        The report and all documentation which were received by the RCO in making the findings shall be transmitted to the Director, Employee and Labor Relations within forty-five (45) days of the close of the review. The Director, Employee and Labor Relations shall:

        1. Transmit the report to the appropriate reviewing authority; and

        2. Distribute the decision and the report to the parties.

    5. Time Limits

      The Director, Employee and Labor Relations may extend time limits established in this procedure and the Policy and Procedures for Reporting Improper Governmental Activities and Protection Against Retaliation for Reporting Improper Activities.

    6. Representation and Pay Status for Time Spent in Complaint Resolution

      1. When an employee or applicant for employment decides to be represented, he/she shall furnish in writing the name, business address and telephone number of the representative to the Director, Employee and Labor Relations. Changes in representation shall also be made in writing to the Director, Employee and Labor Relations.

      2. Supervisors shall not participate in the handling of complaints on behalf of nonsupervisory employees. Nonsupervisory employees shall not participate in the handling of complaints on behalf of supervisory employees.

      3. Time spent by an employee and/or the employee representative in preparing a case (other than interviewing otherwise unavailable employee witnesses) shall normally be during non-working hours and without pay. The department head shall approve requests by an employee and/or the employee representative for reasonable amounts of paid time off to resolve, investigate, or present a complaint. Time spent by the employee in investigatory meetings convened by the University outside of the employee's regularly scheduled hours of work is considered as time worked and shall be compensated in accordance with pay policies governing that employee's position.

    7. Settlement Agreements

      The terms of settlement of complaints shall be reviewed in advance by the Director, Employee and Labor Relations or his/her designee. Such settlement agreements normally shall be reduced to writing and shall be filed with the records of the complaint.

    8. Appeal of the Decision

      The decision of the reviewing authority may be appealed in writing to the Director, Employee and Labor Relations within fifteen (15) calendar days of the date the decision was issued. The written appeal shall state the reasons why the employee or applicant for employment believes the decision should be rejected or modified. The Director, Employee and Labor Relations shall transmit the appeal to the Office of the President, for final determination.