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Investigations & Complaint Resolution


Whistleblower Investigations

UCR's Chief Compliance Office oversees whistleblower investigations at UCR.  The Chief Compliance Officer is UCR's Locally Designated Official (LDO).  The Fact Finding Team conducts fair and thorough investigations of whistleblower reports and other matters.  

UCR has a number of ways for people to raise concerns or report misconduct.  This website provides information about reporting mechanisms.  You will also find information about complaint review and investigation processes.  

For information about reporting obligations--to learn about whether and why some matters need to be shared with a central office or reported externally--please visit UCR's Mandatory Reporter website.  

Complaint Resolution and Reporting Options

UCR has a number of grievance and complaint processes. Which process should be used? It depends on the type of issue/complaint and, sometimes, who you are or who you are complaining about or reporting.  It can be complicated, but we can help you explore your options. 

Quick options for filing a complaint or learning about options:

  • Visit for an interactive website that directs you to different campus offices depending on your identity or the nature of the problem.
  • Email us at (especially if your concern is relating to discrimination or harassment, including sexual violence) or at (for other concerns)
  • File a complaint online through Ethicspoint, the UC system’s anonymous hotline, and we will review and direct it as appropriate. 

More about complaint resolution processes:

The Chief Compliance unit includes the Office of Civil Rights (OCR) and the Whistleblower Office.  These offices work as a team to help make sure that UCR is a safe, equitable place for students, faculty and staff to live, learn and work, and that unethical conduct is addressed. 

OCR promotes equal opportunity and non-discrimination, and responds to reports of discrimination, harassment (including sexual violence) and discriminatory retaliation.  Anyone may file a complaint with OCR. Professional staff will review the report and determine the appropriate response, typically in consultation with the person allegedly discriminated against or harassed.  Complaint resolution options include alternative resolution or formal fact-finding investigations.  To learn more, visit the OCR website

The Whistleblower Office oversees the UC whistleblower policies. These policies can be used to address a variety of complaints, particularly complaints of illegal or improper activities by UCR employees (rather than students).  Complaints are carefully reviewed and appropriate action taken, which may involve a formal fact-finding investigation. 


Whistleblower Reports - Review and Resolution

These flowcharts help explain what happens after the LDO receives a whistleblower report.  

Whistleblower Policies


UC Whistleblower Policy


If you suspect that a UC employee is engaged in Improper Governmental Activities (IGA), you may file a report under the UC Whistleblower Policy.  Reports may be filed with

the Ethicspoint Hotline

The hotline allows intake by phone or online.  Reports may be made anonymously.

Or you may make a report to:

  • UCR's Locally Designated Official (
  • your supervisor or other appropriate administrator or supervisor
  • Audit & Advisory Services, Human Resources, or the Academic Personnel Office. 

For more specific information about local processes, see the local implementing procedures for the Whistleblower policy. All reports are treated confidentially, with information being shared only on a need-to-know basis, and employees who file a good-faith report of an IGA (or certain health and safety concerns) are protected from retaliation. 

UC's Whistleblower Protection Policy


UC's Whistleblower Protection Policy is a grievance resolution process available to employees (and applicants for employment) who believe they have been retaliated against for making a Protected Disclosure or refusing to obey an Illegal Order. 

The Whistleblower Protection Policy has specific filing requirements.  All reports are carefully reviewed by the Locally Designated Official to determine whether they are eligible for processing under the Whistleblower Protection Policy, following the campus local implementing procedure

To learn more about the Whistleblower Protection Policy, read the FAQs provided by the UC Office of the President.  To file a complaint, complete the Retaliation Complaint Form

Zero Tolerance for Retaliation


UCR prohibits retaliation against anyone who files a whistleblower report or engages in other protected activity.  To learn more, read UCR's FAQs on retaliation

Reporting Help

Confused about where to make a report?  Looking for resources, or information about options?  Visit

an interactive reporting portal for students, staff, and others who want help exploring options or making reports.

Do I Need to Report This?

Faculty and staff at UCR who receive certain types of information are required to share that information with other offices or entities, either by referring the matter, notifying the other office, or by making their own report.  This chart summarizes various reporting obligations, which arise under federal or state law or UC or campus policy.


The UC Whistleblower Policies establish the role of the Investigations Workgroup, which advises the LDO on the appropriate response to whistleblower reports and investigations coordination. UCR's Investigations Group is chaired by the LDO and staffed by members of CCC's Fact-Finding team.  Group members include the following individuals or their designees:

  • Vice Chancellor for Student Affairs
  • Vice Chancellor for Diversity, Equity & Inclusion
  • Associate Vice Chancellor for Human Resources and Director of Employee & Labor Relations
  • Director of Audit & Advisory Services
  • UCR Chief of Police
  • Vice Provost of Academic Personnel and other APO staff
  • Vice Provost for Administrative Resolution 
  • Director of Risk Management 
  • Associate Director, Title IX/EOAA
  • Controller
  • Associate Vice Chancellor Research Administration and Compliance 
  • Campus Counsel (Office of Legal Affairs).