PG22 Whistleblower Complaints

Introduction

Albuquerque Public Schools provides employees and the public with a safe and confidential way to report suspected unlawful or unethical governmental actions. In alignment with the New Mexico Whistleblower Protection Act, APS will protect individuals who raise concerns in good faith from retaliation. This procedure describes how APS receives, reviews, investigates, and resolves whistleblower complaints, and how the district ensures complaints are addressed promptly, fairly, and without fear of reprisal.

Definitions

Allowable Complaint: A complaint may be filed under this procedure if it alleges an unlawful or unethical governmental action and meets all other requirements of the directive.

A complaint is not allowable if it is found to be frivolous, knowingly false, or made with reckless disregard for the truth.

Audit: A formal examination of an individual’s or department’s records, finances, and compliance with required standards.

Business Day: Hours when APS administrative/district offices are open for business.

Civil Rights Violation: An action or failure to act that unlawfully denies a person equal treatment, access, or protection based on characteristics protected by federal or state law, such as race, color, national origin, sex, disability, religion, or age. A civil rights violation may include discrimination, harassment, retaliation, or the denial of services, benefits, or opportunities guaranteed under civil rights laws.

Confidential Records: Records that are confidential or closed to public inspection under any law, including advisory or draft materials created before a final decision is made. Confidential records do not include purely factual information that does not reveal the names of complainants or witnesses.

Criminal Complaint: A report alleging that an individual or group has engaged in conduct that may violate federal, state, or local criminal laws, including felonies or misdemeanors. A criminal complaint may involve actions such as theft, assault, fraud, or any other behavior that could result in criminal charges. Nothing in this procedure prohibits an employee from reporting suspected criminal activity to law enforcement.

Employee: Any classified or unclassified individual appointed by the district who receives salary compensation. The term does not include elected officials of the district.

Frivolous Complaint: A complaint, or part of a complaint, that lacks any factual basis, does not relate to an improper governmental action, or is made for purposes unrelated to reporting wrongdoing, such as retaliation or harassment. The protections in this procedure do not apply to any individual who files a frivolous complaint, knowingly provides false information, or acts with reckless disregard for the truth.

Gross Waste of Public Funds: The unnecessary or unauthorized use of a significant amount of public money, whether through a single large expenditure or repeated smaller expenditures that add up to a substantial amount.

Improper Governmental Action: Any action by a district employee or board member, taken while performing their duties, that violates federal, state, or local law; constitutes an abuse of authority; creates a substantial and specific danger to public health or safety; or results in a gross waste of public funds. An action may be considered an improper governmental action even if it falls outside the individual’s regular job duties.

Improper Governmental Actions do not include personnel matters such as:

employee grievance
complaints
appointments
promotions
transfers or reassignments
reinstatements
performance evaluations
reductions in pay
dismissals
suspensions
demotions
reprimands or
issues related to collective bargaining agreements.

Investigation: A formal, detailed examination of a matter or audit conducted in response to an allowable complaint.

Inquiry: A search for information and understanding about a matter.

Program Evaluation: A review of how well a district project or service is meeting its objectives, following laws and regulations, using resources responsibly, and operating with effective processes and internal controls.

Retaliation or Retaliatory Action: Any disciplinary or adverse action taken because an employee filed an allowable complaint, disclosed information lawfully, or testified, assisted, or is scheduled to assist in an investigation or proceeding related to such a disclosure

Whistleblower: A person who reports suspected wrongdoing or misconduct within the district through the district’s designated reporting service.

Filing and Processing Whistleblower Complaints

APS maintains an anonymous whistleblower service for reporting improper governmental action. Complaints submitted through this service or directly to the Executive Director of the Student, Parent, Employee Service Center (hereinafter the Service Center Executive Director) will be reviewed and referred to the appropriate APS department for inquiry.

If resolution requires information or assistance from another APS department, the Service Center Executive Director will work directly with the appropriate personnel. Only information necessary for an accurate and thorough inquiry will be shared. Confidential information will be kept confidential to the extent possible and not disclosed when doing so would compromise a complainant’s anonymity, create a risk of retaliation, violate law, or present a conflict of interest. Some matters may require disclosure of a complainant’s or witness’s identity related to civil rights complaints or criminal violations.

Complaints involving suspected criminal activity will be referred to APS Police or another law enforcement agency. APS Police will notify the Service Center Executive Director when a criminal investigation begins.
Civil rights complaints will be forwarded to the Office of Equal Opportunity Services. Civil rights complaints will be processed in accordance with EOS-related policies and procedures.
Complaints involving personnel matters will be referred to the Human Resources Department for review and appropriate action.

Investigations

When a complaint meets the definitions provided in this procedure and requires a formal investigation, the Service Center Executive Director or their designee will oversee the process and may assign portions of the work to individuals or departments with relevant expertise.

Complaints that do not meet the definition of an improper governmental action should be redirected to the district’s customer service platform.

All APS employees and Board members must cooperate fully, including providing records or statements when requested. Interviews will be scheduled with reasonable notice, conducted outside the presence of supervisors, and employees may have a representative present. Interview notes and related materials will remain confidential until a final report is issued or disclosure is legally required.

The Service Center Executive Director may decline to investigate a complaint, or any part of it, if the same allegations have already been investigated or adjudicated, or if the complaint duplicates another matter under review. Similar complaints may be consolidated into a single investigation.

If the Service Center Executive Director determines that a complaint was filed in bad faith, is frivolous, was intended to harass or retaliate, contains knowingly false information, or was submitted with reckless disregard for the truth, the finding will be documented in a written report provided to the complainant, the complainant’s department, and the Superintendent, placed in the complainant’s personnel file, and used by the Superintendent or designee to determine whether disciplinary action is appropriate.

After an investigation concludes, the Service Center Executive Director or designee will issue a final written report summarizing the findings and conclusions. The complainant will receive a summary of the findings, and APS departments may receive relevant portions of the report to address identified concerns. If improper governmental action is substantiated and corrective measures have not been taken or are insufficient, the report will be forwarded to the Superintendent for further action.

Resolution of Complaints

After an investigation concludes, the Service Center Executive Director or designee will issue a final written report summarizing the findings and conclusions, provide the complainant with a summary of those findings within 45 business days unless an extension is required for good cause, and share relevant portions of the report with APS departments as needed to address identified concerns. The complainant will be notified if additional time is needed. Summaries provided to complainants will not include personnel disciplinary information.

If improper governmental action is substantiated and corrective measures have not been taken or are insufficient, the report will be forwarded to the Superintendent for further action.

Employees who do not follow the reporting process outlined in this procedure are not eligible for whistleblower protections.

Complaints Involving the Superintendent

Complaints involving the APS Superintendent must be submitted to the President of the Board of Education. The Board President will assign an individual or department to conduct the inquiry. Findings and recommendations will be forwarded to the Service Center Executive Director for appropriate follow-up. The Service Center Executive Director will track such complaints for reporting to the Board of Education.

Complaints Involving the Board of Education

If a complaint involves a member of the APS Board of Education, the Service Center Executive Director will refer the matter to the appropriate state or local authorities, including the State Auditor or Attorney General, and will inform the Executive Director of Board Services.

Criminal Activity

If a complaint involves suspected criminal activity by an employee, student, or program, the APS Police Department will conduct the inquiry. Criminal activity may include substance abuse, threats, violence, theft, falsification of information, or destruction of property. Criminal activity that is both potentially criminal and a violation of Civil Rights, such as sexual violence or hate crimes, will be handled jointly by APS Police and Equal Opportunity Services.

If an APS department discovers suspected criminal activity during an inquiry, it must immediately notify APS Police and the Superintendent or designee.

The Service Center Executive Director will track complaints involving suspected criminal activity and report this information to the Superintendent, Deputy Chief of Operations, any superintendent designee, and the Executive Director of Board Services.

Locally Authorized Charter Schools

Locally authorized charter schools have access to APS’ whistleblower service. APS may conduct an investigation, audit, or program evaluation of a charter school when an allowable complaint is filed. The Superintendent or Board of Education will assign the investigation to the appropriate charter school employee and may assign the Service Center Executive Director or other APS personnel to oversee the review.

Tracking and Reporting

The Service Center Executive Director will track the number and type of whistleblower complaints and report this information to the Board of Education Audit Committee, on which the Superintendent serves, on an annual basis.

Confidentiality

The identity of a complainant will remain confidential until a final report is issued unless disclosure is necessary to conduct the investigation or required by law. Information may be shared with APS Police, the Office of Equal Opportunity Services, or other agencies when needed for review or action.

Retaliation

Retaliation against any employee for filing an allowable complaint, providing information, or participating in an inquiry or investigation is strictly prohibited. An employee may assert retaliation as a defense in a disciplinary action by demonstrating that their protected activity was the primary reason for the action. The district may rebut this defense by showing that it would have taken the same action regardless of the complaint and for legitimate business reasons.

Claims of retaliation that do not involve employee discipline must be submitted through the district’s grievance procedures. Retaliation may not be used as a defense if the original complaint was frivolous, filed in bad faith, or knowingly false.

When retaliation is substantiated, adverse materials related to the retaliatory action may be removed from the employee’s personnel file. A supervisor found to have retaliated may face corrective action, including placement of information in their personnel file, reprimand, suspension, demotion, or termination. When retaliation is not substantiated, the record of the claim may be placed, as deemed appropriate, in the personnel files of both the employee who made the claim and the supervisor who was accused.

Reservation of Authority

Nothing in this procedure limits the district’s authority to take appropriate action with respect to any employee for reasons unrelated to protected whistleblower activity.

Notice of Whistleblower Protection

APS will prepare and post notices informing employees of their rights and responsibilities under this procedure.

Administrative Position:

Chief Communications Officer

Department Director:

Executive Director of Student, Parent, Employee Service Center

References:

Legal Cross Ref.:

§22-8-12.3 NMSA 1978

Board Policy Cross Ref.

GB7 – Whistleblower Complaints
Administrative Procedure Cross Ref.:

NSBA/NEPN Classification: DIE

Revised: April 1996

Reviewed: April 1997
Revised: September 3, 2003
Reviewed: June 14, 2010
Reviewed: December 14, 2011
Reviewed: May 1, 2012
Revised: May 4, 2012
Reviewed: May 10, 2017
Revised: June 14, 2017

Reviewed and Revised: December 1, 2025