University of Washington
Administrative Policy Statements		 May 1, 2002 47.1

Table of Contents

1. Overview

2. Definitions

3. Notifying the State Auditor

4. Investigation

5. Whistleblower Protection

6. Assertion Against the State Auditor

7. Additional Information
      

Summary of the State Employee Whistleblower Act

(Approved by the Executive Vice President by authority of Executive Order No. 5)


1.   Overview

State employees may report improper governmental actions to the State Auditor's Office. To encourage the reporting of improper governmental actions, employees are protected from reprisal or retaliatory action by the provisions of state law (Chapter 42.40 RCW).

2.   Definitions

a.   Employee

An employee is any individual employed or holding office in any department or agency of state government.

b.   Improper Governmental Action

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

  • A gross waste of public funds or resources; or

  • In violation of federal or state law or rule, if the violation is not merely technical or of a minimum nature; or

  • Of substantial and specific danger to public health or safety.

Improper governmental action does not include personnel actions for which other remedies exist, such as employee grievances and related complaints.

c.   Gross Waste of Funds

A gross waste of funds means to spend or use funds or to allow funds to be used without valuable result in a manner grossly deviating from the standard of care or competence that a reasonable person would observe in the same situation.

d.   Substantial and Specific Danger

A substantial and specific danger means a risk of serious injury, illness, peril, or loss to which the exposure of the public is a gross deviation from the standard of care or competence that a reasonable person would observe in the same situation.

e.   Whistleblower

A "whistleblower" is an employee who:

  • In good faith reports alleged improper governmental action to the State Auditor, initiating an investigation; or

  • In good faith provides information to the State Auditor in connection with an investigation; or

  • Is believed to have reported asserted improper governmental action to the State Auditor or to have provided information to the State Auditor in connection with an investigation but who, in fact, has not reported such action or provided such information; or

  • In good faith identifies rules warranting review or provides information to the state Joint Administrative Rules Review Committee (JARRC); or

  • Is believed to have identified rules warranting review or provided information to the JARRC but who, in fact, has not done so.

f.   Good Faith

Good faith means a reasonable basis in fact for the communication. Good faith is lacking when the employee knows, or reasonably ought to know, that the report is malicious, false, or frivolous.

g.   Reprisal or Retaliatory Action

Reprisal or retaliatory action means, but is not limited to, any of the following:

  • Denial of adequate staff to perform duties;

  • Frequent staff changes;

  • Frequent and undesirable office changes;

  • Refusal to assign meaningful work;

  • Unwarranted and unsubstantiated letters of reprimand or unsatisfactory performance evaluations;

  • Demotion;

  • Reduction in pay;

  • Denial of promotion;

  • Suspension;

  • Dismissal;

  • Denial of employment;

  • A supervisor or superior encouraging coworkers to behave in a hostile manner toward the whistleblower; or

  • A change in the physical location of the employee's workplace or a change in the basic nature of the employee's job, if either are in opposition to the employee's expressed wish.

h.   Use of Official Authority or Influence

This includes taking, directing others to take, recommending, processing, or approving any personnel action such as an appointment, promotion, transfer, assignment, reassignment, reinstatement, restoration, reemployment, performance evaluation, or any adverse or disciplinary action.

3.   Notifying the State Auditor

Employees may not use or attempt to use their official authority or influence to interfere with the right of an individual to report a suspected improper governmental action to the State Auditor.

In order to be investigated, an assertion of improper governmental action must be provided to the State Auditor's Office within one year after the occurrence of the asserted improper governmental action.

An employee must make a reasonable attempt to ascertain the correctness of the information furnished, and may be subject to disciplinary actions, including but not limited to, suspension or termination, for knowingly furnishing false information as determined by the employee's appointing authority.

Assertions of improper governmental action may be filed anonymously. However, by providing a name and phone number, the whistleblower enables the State Auditor to gather additional information necessary for a thorough investigation.

The identity of the whistleblower is kept confidential at all times unless:

  • The whistleblower consents to disclosure by written waiver or by acknowledging his or her identity in a claim against the state for retaliation; or

  • The State Auditor determines that the information has been provided other than in good faith.

Assertions of improper governmental action must be filed in writing with the State Auditor's Office. Telephone calls are not accepted. Assertions can be reported using the Whistleblower Reporting Form or provided in a separate letter. In either case, the report should include:

  • A detailed description of the improper governmental action(s);

  • The name of the employee(s) involved;

  • The agency, division, and location where the action(s) occurred;

  • When the action(s) occurred;

  • Any other details that may be important for the investigation—other witnesses, documents, evidence, etc;

  • The specific state law or regulation that has been violated, if known; and

  • The whistleblower's name, address, and phone numbers.

Each assertion should be noted separately and supported with as much specific information as possible. The Whistleblower Reporting Form is designed to assist in supplying the needed information.

4.   Investigation

a.   Intake

The State Auditor shall, within five workdays of receipt of the information, mail written acknowledgment to the whistleblower at the address provided stating whether a preliminary investigation will be conducted.

The State Auditor has the authority to determine whether to investigate any assertions received. In determining whether to conduct an investigation, the State Auditor shall consider factors including, but not limited to:

  • The nature and quality of evidence;

  • Existence of relevant laws and rules;

  • Whether the action was isolated or systemic;

  • The history of previous assertions regarding the same subject(s) or subject matter;

  • Whether other avenues are available for addressing the matter;

  • Whether the matter has already been investigated or is in litigation;

  • The seriousness or significance of the asserted improper governmental action; and

  • The cost and benefit of an investigation.

b.   Preliminary Investigation

For a period not to exceed 30 days, the State Auditor will conduct a preliminary investigation. With the University's consent, the State Auditor may forward the assertions to an appropriate agency to investigate and report back to the State Auditor no later than 60 workdays after the assertions are received from the State Auditor.

If the State Auditor determines that the assertions are unsubstantiated, the State Auditor shall provide to the whistleblower written notification containing a summary of the information received and the results of the preliminary investigation for each assertion of improper governmental action.

If the State Auditor determines that further investigation is warranted, the State Auditor shall notify the whistleblower, the subject(s) of the investigation, and the agency head.

During the preliminary investigation period and after the State Auditor determines that further investigation is to occur, the State Auditor shall provide a written notification of the nature of the assertions to the subject(s) of the investigation and to the agency head. The notification shall include the relevant facts and laws known at the time, information obtained during the investigation, and the procedure to be followed by the subject(s) and the agency head to respond to the assertions.

If the preliminary investigation resulted from an anonymous assertion, a decision to conduct further investigation shall be subject to a review by a three-person panel convened as necessary by the State Auditor prior to the commencement of any additional investigation. The panel shall include a State Auditor representative who is knowledgeable of the subject agency operations, a citizen volunteer, and a representative of the Attorney General's Office. The panel shall make a recommendation to the State Auditor regarding the need for further investigation of the assertion.

c.   Completion of Investigation

Within 60 days after the 30-day preliminary investigation period, the State Auditor is required to complete the investigation and report the findings to the whistleblower unless written justification for the delay is furnished to the whistleblower, agency head, and subject(s) of the investigation. In all such cases, the report of the State Auditor's investigation and findings must be provided to the whistleblower within one year after the report was filed by the whistleblower.

If the State Auditor determines there is a reasonable cause to believe an employee has engaged in improper governmental action, the State Auditor shall report the nature and details of the activity to:

  • The subject(s) of the investigation;
  • The head of the employing agency; and
  • The Attorney General or other such authority, if appropriate.

d.   Obligation to Respond

The subject(s) of the investigation and the agency head are given 15 workdays to respond to the assertions prior to the issuance of the final report. The agency is required to send its corrective action plan to the State Auditor and is encouraged to consult with the subject(s) of the investigation in establishing the plan.

The State Auditor may require periodic reports of agency action until all resolution has occurred. If the State Auditor determines that appropriate action has not been taken, the State Auditor shall report the determination to the Governor and to the Legislature, and may include this determination in the agency audit.

Once the State Auditor concludes that appropriate action has been taken, the State Auditor shall provide notification to the whistleblower, the agency head, and the subject(s) of the investigation.

e.   Investigative Powers

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

5.   Whistleblower Protection

Whistleblowers are entitled to protection from reprisal or retaliatory action. Any whistleblower subjected to workplace reprisal or retaliation action is presumed to have established a cause of action for remedies administered by the state Human Rights Commission. The whistleblower's employing agency may rebut the presumption with a preponderance of evidence that the action(s) were justified by reasons unrelated to the employee's whistleblower status.

If a whistleblower believes he or she has been the subject of such reprisal or retaliatory action, the whistleblower may contact the Seattle office of the Washington Human Rights Commission at 206–464–6500 or 1–800–233–3247.

6.   Assertion Against the State Auditor

Assertions of improper governmental action against the State Auditor or an employee of that office can be reported to the Attorney General, who shall act in place of the State Auditor in investigating and reporting the matter.

7.   Additional Information

Additional information pertaining to the Whistleblower Program may be obtained by contacting the Washington State Auditor's Office at (360) 902-0377 or by accessing the Washington State Auditor's Office Web site:

The completed Whistleblower Reporting Form should be sent to:

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

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