Washington State University
BUSINESS POLICIES AND PROCEDURES MANUAL

ORGANIZATION
10.20
Revised 2-09
Internal Auditor
335-2001

Improper Governmental Actions (Whistleblower Act)

PDF link

OVERVIEW

This section provides a brief summary of the Washington State Whistleblower Program, and its applicability at Washington State University.

DEFINITIONS

Whistleblower Program

The Whistleblower Act, enacted by the Washington State Legislature in 1982 and amended in 1999 and 2008, provides an avenue for state employees to report suspected improper governmental actions, under RCW Chapter 42.40.

The Legislative intent is to encourage state employees to report improper governmental actions. The law makes retaliation against people who file whistleblower assertions unlawful and authorizes remedies should it occur. The Washington State Auditor's Office investigates and reports on assertions of improper governmental actions. The Human Rights Commission has sole responsibility for investigating asserted retaliatory actions.

State employees may report improper governmental actions to the Washington State Auditor's Office or any state employee designated as a "public official." (See the definition of a public official below.)

Improper Governmental Action

An improper governmental action is defined as any action by an employee undertaken in the performance of an employee's official duties which:

Improper governmental actions do not include personnel actions for which other remedies exist, e.g., appointments, promotions, transfers, assignments, reassignments, performance evaluations, employee grievances, and other personnel related complaints.

Public Official

A "public official" is defined as:

WSU Public Officials

The following positions are designated as "public officials" for Washington State University:

Whistleblower

A "Whistleblower" is an employee who:

Any current Washington state employee may report a suspected improper governmental action through the Whistleblower Program. This includes temporary employees, classified employees (civil service and collective bargaining unit), exempt employees (administrative professional and faculty), and elected officials.

Good Faith

Whistleblowers must file assertions in "good faith." In order to report in good faith, an employee may not knowingly report false, malicious, or frivolous information, recklessly disregard the truth, or omit relevant information. The identity of any person who, in good faith, provides information in a whistleblower investigation is kept confidential.

An employee must make a reasonable attempt to ascertain the correctness of the information furnished. Knowingly furnishing false information may make an employee subject to disciplinary actions.

STATUTE OF LIMITATIONS

A state employee must report the asserted action within a year of occurrence.

RETALIATION/INTERFERENCE

To encourage the reporting of improper governmental actions, employees are protected from retaliation by the provisions of state law. (RCW 42.40) See "Retaliatory Actions" below.

Employees may not use, or attempt to use, their official authority or influence to interfere with the right of an individual to disclose information to the State Auditor or other public official. "Use of official authority or influence" is defined as recommending, processing, or approving any personnel action such as an appointment, promotion, transfer reassignment, re-employment, performance evaluation, or other adverse action.

SUBMITTING A WHISTLEBLOWER ASSERTION REPORT

Directions for submitting a report of improper governmental action may be found at:

https://www.sao.wa.gov/EN/Audits/Whistleblower/Pages/Whistleblower.aspx

Employees may file reports of improper governmental action by one of the methods listed below:

Submit to Public Official

Submit a written report of assertion to the designated "public official" at the agency, who forwards the written report to the State Auditor's Office within 15 calendar days of receipt. See above for a list of WSU public officials.

Submit to State Auditor's Office

Submit a written report of assertion directly to the State Auditor's Office by:

• FAX: 360-586-3519
• E-mail: whistleblower@sao.wa.gov
• Web: https://www.sao.wa.gov/EN/Audits/Whistleblower/Pages/default.aspx
• Mail:



Washington State Auditor's Office
ATTN: State Employee Whistleblower Program
P.O. Box 40031
Olympia, WA 98504-0031

Written Report Requirements

Include the following information in the written assertion report:

Employees may submit whistleblower reports anonymously.

The State Auditor's Office sends acknowledgment to the whistleblower within fifteen working days of receipt of the report. The acknowledgement states whether or not a preliminary investigation will be conducted.

State Auditor's Office Hotline

State employees may also utilize the State Auditor's Office Hotline to report government waste, inefficiency, and abuse. The Hotline is open to all citizens and government employees as a method to recommend ways to improve efficiency and report outstanding achievement and efficiency in government. The Hotline may be accessed by toll free number at 1-866-902-3900.

More information on the State Auditor's Office Hotline may be accessed at:

http://www.sao.wa.gov

INVESTIGATION

Investigative Powers

At any stage of the investigation, the State Auditor's Office may require by subpoena the attendance and testimony of witnesses and the production of documentary or other evidence relating to the investigation at any designated place in the state. The auditor may issue subpoenas, administer oaths, examine witnesses, and receive evidence.

WSU Coordinating Office

The WSU Office of Internal Audit coordinates University whistleblower investigations with the State Auditor's Office and central administrators. The Office of Internal Audit forwards investigation information to central administrators as the investigation progresses. If the State Auditor's Office holds an entrance and/or exit meeting with unit personnel, a representative of the Office of Internal Audit attends the meeting.

Investigation by WSU

If WSU consents, the State Auditor's Office may forward an assertion of improper governmental actions to WSU for investigation. WSU must perform a preliminary investigation and respond to the State Auditor's Office no later than 60 working days after receipt of the allegations from the State Auditor's Office.

During Investigation

WSU officials and employees are to cooperate fully in the investigation and take any necessary action to preclude the destruction of evidence.

Preliminary Investigation

Within 60 days of receipt of an assertion, the State Auditor's Office must conduct a preliminary investigation of the matter as the auditor deems appropriate.

If it appears that the matter is unsubstantiated and no further action or investigation is warranted, one of the following actions is taken:

If further investigation is to occur, the state auditor must provide written notification of the nature of the assertions to the subjects and the agency head, i.e., the University's President.

Within 60 days after the preliminary investigation period, the auditor must complete the investigation and report the findings to the whistleblower, unless the state auditor furnishes written justification for the delay to the whistleblower, the President, and subjects of the investigation.

Obligation to Respond

Upon completion of investigation, the State Auditor's Office submits a written final draft report to WSU. Within 15 working days of receiving the report, WSU must submit a response to the State Auditor's Office, reporting any action taken regarding the allegations.

A representative of the Office of Internal Audit meets with unit personnel and verifies that the draft report is complete and accurate. The Office of Internal Audit gathers any additional information that may be pertinent to the investigation or to the response. The Office of Internal Audit prepares a draft response which is submitted to central administrators for review, comment, and/or approval. Upon approval, the Office of Internal Audit submits the formal response on behalf of the University to the State Auditor's Office. The State Auditor's Office's draft report may be revised based upon information provided by the University.

Final Report

The State Auditor's Office prepares a written final report that may include the WSU response. The final report is sent to the whistleblower, the President, and the subjects. The report is also available on the State Auditor's Office website at:

http://www.sao.wa.gov/

If the State Auditor's Office determines that there is reasonable cause to believe that an employee or employees engaged in improper governmental action, the State Auditor's Office forwards reports of such findings to the Governor, the Secretary of the Senate, and the Chief Clerk of the House of Representatives.

CONFIDENTIALITY

Although assertions of improper governmental action may be filed anonymously, providing a name and contact enables the auditor to contact the whistleblower for more information as needed in order to permit a thorough investigation.

Under state law, anyone who conducts a state employee whistleblower investigation must keep confidential at all times the identity and identifying characteristics of the whistleblower and any person who, in good faith, provides information for a whistleblower investigation, unless consent for disclosure is provided by written waiver.

PROTECTION

Whistleblowers, and employees who in good faith provide information in connection with an investigation, are entitled to protection from reprisal or retaliatory action as the result of their status as whistleblowers. If a whistleblower or an employee providing information for a whistleblower investigation believes he or she has been the subject of retaliatory actions as a result of filing a report of improper governmental action or providing information, the whistleblower or employee may file a claim with the Washington State Human Rights Commission. To access the online claim form, select the Complaint Process link on the Human Rights Commission website at:

http://www.hum.wa.gov

Retaliatory Actions

Reprisal or retaliatory action includes, but is not limited to:

NOTIFICATION OF PROCEDURES

Pursuant to RCW 42.40.070, WSU employees are notified each year of the procedures and protections under the Whistleblower Act. The annual notice includes a list of WSU public officials authorized to receive whistleblower reports. The Office of Internal Audit initiates the annual notice process.