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Disciplinary Action Policy for Compliance Misconduct


University of the Pacific is dedicated and committed to maintaining compliance with all applicable laws, regulations, and University policies regarding its academic, clinical and administrative operations. This commitment and dedication are essential to the University meeting its stated values. 

The University is also committed to maintaining an environment of fairness and equal treatment.  This policy outlines the fair, efficient and equitable solutions for problems arising when employees do not adhere to required compliance policies.  Compliance violations include, but are not limited to: violations of state or federal law or regulations; forming or operating any academic program in violation of regional or specialized accreditation standards;  fraud in the operations of government programs; misappropriation of federal, state, or university resources; acts that endanger the health or safety of the public or employees; mismanagement of programs, funds and/or abuses of authority.


This policy applies to all employees whose conduct results in a compliance violation(s) which leads to a decision to impose discipline.  This policy does not apply to university disciplinary processes which are not related to compliance or which are addressed by another university policy or contract (e.g. job performance, faculty handbook, collective bargaining agreements).


SanctionsPenalty for disobeying a law or rule
WhistleblowerA person who informs on a person or organization engaged in an illicit activity.


Policy Statement

  1. Requisite Standards of Conduct 

    Each employee's position carries with its certain standards of conduct associated with the compliance obligations of their particular job. These standards are defined in job descriptions, university rules, procedures, standards, and federal and state laws and regulations.  An employee who does not meet the standards of conduct for their position will be subject to disciplinary action as set forth in this policy. 

    Violations of standards of conduct will be assessed by the employee's supervisor's evaluation of the non-compliance in accordance with university policy.  The supervisor in cooperation with Human Resources will be required to take appropriate disciplinary action.
  2. Investigations 

    1.   All incidents of non-compliance that involve the potential for disciplinary action shall be investigated by the employee's supervisor or other administrative officials as governed by the Compliance Standards Policy for University Investigations.

    2.   If the investigation results in a finding that the employee engaged in conduct which warrants disciplinary action, the supervisor, with guidance from Human Resources, shall follow the proposed disciplinary sanctions in accordance with the Disciplinary Action Matrix (Appendix A). If further guidance is needed, the supervisor and/or HR can consult with the Compliance Lead and/or the Chief Compliance Officer.
  3. Implementing Discipline 

    Upon approval of the appropriate department/division head or administrative equivalent, the supervisor shall inform the employee in writing of the following:
    1. Reference to the relevant rule, regulation or policy
    2. The finding of the investigation
    3. The type of discipline to be imposed
    4. The terms of discipline
  4. Reporting Misconduct 

    All employees are expected to report any good-faith concern of misconduct.   In addition, employees are required to report any known compliance violation immediately.  Although reporting concerns within the employee's department is the recommended first step, employees can report their concerns to other departments as identified in the Procedures to this policy.  All reports of non-compliance will be reviewed in accordance with this Policy.
  5. No Retaliation for Reporting Compliance Violations  

    The University prohibits retaliation against any individual who files a good faith complaint of misconduct in accordance with the University Whistleblower and Non-Retaliation Policy. 

    Any employee found to discriminate or retaliate against another employee as a result of their protected actions described here will be subject to disciplinary sanctions in accordance with this the Disciplinary Action Matrix (Appendix A).
  6. Disciplinary Sanctions and Equitable Considerations 

    The University seeks to ensure the equitable application of sanctions for acts of non-compliance. While considering Disciplinary Sanctions, supervisors and others will consider mitigating and aggravating factors as set forth in the Disciplinary Action Matrix. Ignorance of a compliance requirement in or related standard of conduct in an employee's area of responsibility is considered negligence, since all employees are required to stay abreast of the current compliance issues within their scope of responsibilities.  

    To support the fair and consistent application of discipline for compliance violations, Human Resources will maintain an ongoing log of disciplinary action as applied under Section II above.  The Compliance Office will periodically (no less than once a year) conduct a review of sanctions imposed to ensure consistency across campuses, divisions, and departments. 

Contact Information    University Compliance Officer 209.932.7597

Related Information



Disciplinary Action Policy for Compliance Misconduct Procedures

Whistleblower Policy: Reporting Suspected Wrongdoing and Protection from Retaliation

[Compliance Policies]

Standards for University Investigations Policy


About This Policy
Last Updated
Original Issue Date

Responsible Department

​Standards Policy for University Investigations

Whistleblower Policy: Reporting Suspected Wondoing and Protection from Retaliation