Any activity undertaken by the University or by an employee of the University 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 University property, fraudulent claims, fraud, coercion, conversion, malicious prosecution, misuse of University property and facilities, or willful omission to perform duty, or (2) is economically wasteful, or involves gross misconduct, gross incompetence, or gross inefficiency.  In general, these actions are referred to as “improper governmental activities.”

Oral or written reports may be directed to any of the following:

Campus Locally Designated Official (LDO)

Ron Cortez
Administrative Services
4129 Cheadle Hall
(805) 893-8291  

Whistleblower Coordinator (805) 893-4080; or

Investigative units (e.g. Academic Personnel, Audit and Advisory Services, Human Resources, Office of Research,  Sexual Harassment Complaint/Title IX Officer and UCSB Police); or

Other appropriate administrators (e.g. Vice Chancellors and Deans); or

An immediate supervisor or other appropriate administrator or supervisor within the operating unit (such as the unit head); or

Off-Campus

UC Whistleblower Hotline 800-403-4744 (oral only)

Note: This service, operated independently of the University and the campus, assures anonymity, assigns a case number to each caller, and acts as an intermediary for the institution.  Anonymous callers may receive information about the disposition of their report by making subsequent hotline inquiries using the assigned case number.

State Auditor or State Auditor Hotline 800-952-5665

Investigations:  Bureau of State Audits
555 Capitol Mall, Suite 300
Sacramento, CA 95814

Note: Under the law, the State Auditor is prohibited from disclosing the identity of a whistleblower unless he or she obtains the whistleblower’s permission to do so, or when the disclosure is to a law enforcement agency that is conducting a criminal investigation.

Reports are encouraged to be made in writing to assure a clear understanding of the issues raised, however they may be made orally.  Such reports should be factual rather than speculative or conclusory, and contain as much specific information as possible to allow for proper assessment of the nature, extent and urgency of preliminary investigative procedures.
Providing the following information regarding each allegation is most useful; however, answers to all these questions are not required to file a whistleblower report. 

1. WHAT?  What is the alleged improper activity? Do any documents exist that would provide evidence of the improper activities?  Where are the documents located?  Who controls them?
2. WHO?  Who are the subjects of the allegation? Who else do you believe is involved -- complete names and work location?  If you believe an organization is involved, who are the contact people?  Do the subjects of the complaint know about this report? Can anyone else corroborate the improper activities being reported and how can they be contacted?
3. WHERE?  Where is the alleged improper activity occurring?
4. WHEN?  When did the alleged improper activity occur?  Is it ongoing?  How frequently has it occurred?
5. HOW?  How did you become aware of the alleged improper activity?  How did the subject carry out the activity? 

Whistleblower reports may be made anonymously.  Anonymous whistleblowers must provide sufficient corroborating evidence to justify the commencement of an investigation.  Because of the inability of investigators to interview anonymous whistleblowers, it may be more difficult to evaluate the allegations and, therefore, less likely to cause an investigation to be initiated. Anonymous reports can be made by phone to the following:

UC Whistleblower Hotline 800-403-4744 (oral only)

Note: This service, operated independently of the University and the campus, assures anonymity, assigns a case number to each caller, and acts as an intermediary for the institution.  Anonymous callers may receive information about the disposition of their report by making subsequent hotline inquiries using the assigned case number.

State Auditor or State Auditor Hotline 800-952-5665

Investigations:  Bureau of State Audits
555 Capitol Mall, Suite 300
Sacramento, CA 95814

Note: Under the law, the State Auditor is prohibited from disclosing the identity of a whistleblower unless he or she obtains the whistleblower’s permission to do so, or when the disclosure is to a law enforcement agency that is conducting a criminal investigation.