Effective Date: 
Wed, 09/01/2004
Thu, 02/01/2018
Thu, 02/01/2018

To thoroughly evaluate allegations against a member of the licensed SHC medical or CAPS staff regarding unprofessional conduct.


1)      Concerns or allegations are immediately brought to the attention of the Medical Director or CAPS Director.  If there is a concern about the Medical Director or CAPS Director, then the Executive Director will be notified.   If there is concern about the Executive Director then the AVP for Student Success is notified.

2)      Upon receipt of an allegation, the Medical Director or CAPS Director may require staff members to disclose his/her knowledge of the case/event.  The case/event will be carefully investigated and reported to the Executive Director.

3)      Communications in response to the allegations are discretionary and are the responsibity of the Medical Director or CAPS Director.

a.       All written responses/communications are reviewed with the involved licensed professional

4)      Unresolved allegations of negligent care or requests for financial compensation are reported to Campus Risk Management and Chief Campus Counsel as appropriate.   Allegations of criminal behavior will be reported to appropriate police jurisdiction and allegations of sexual harassment will be reported to the UCSC Campus Sexual Harassment office as per University Policy.

5)      If the Medical Director or CAPS Director determines corrective action may be indicated, the process proceeds in accordance with Medical Staff by-laws, University Personnel Policies, California State license reporting requirements.  This may result in disciplinary action up to and including termination from University employment.

6)      The University Whistle Blower program is also an option if someone believes that there has been inadequate evaluation or response to alleged unprofessional conduct.  Staff making reports to the University Whistle Blower program are protected from retaliation by UC policy.


In the event of allegation or Concerns involving licensed providers  (examples:  impaired behavior suggestive of substance misuse, negligent reckless behavior,  suspected breach of privacy or confidentiality, corruption, stealing, bribery, forgery, altering of records, diversion of prescriptions or medicines, suspected sexual harassment) staff are to proceed through the following steps until the issue is properly addressed:

  • Medical Director/CAPS Director notified immediately of concern
  • Executive Director
  • AVP of Student Success
  • Risk Management Office:  Stefani Khaleel 831-459-3261 (
  • Campus Counsel Office:  831-459-1948
  • Title IX Office/Sexual Violence and Sexual Harassment Complaints: 831-459-2462
  • Whistle Blower Office:  800-403-4744 (