Compliance Program

UC San Diego's compliance program was established in response to a 2008 UC Regents resolution that adopted a systemwide corporate compliance program for the University of California. The resolution provided a comprehensive ethics and compliance governance structure for the University, including the chartering of compliance governance committees and advisory groups, the establishment of reporting and communication structures, guidance on key compliance functions such as auditing and investigations, and the creation of the position of Chief Ethics and Compliance Officer for individual campuses. This resolution was reaffirmed in 2017.

Program Framework

The University's compliance program reflects the seven key elements of an effective ethics and compliance program as identified in the U.S. Sentencing Guidelines. These elements include:

• Implementing written standards of conduct, policies, and procedures.
• Designating a compliance officer and compliance committee.
• Conducting effective training and education.
• Developing effective lines of communication.
• Conducting internal monitoring and auditing.
• Enforcing standards through well-publicized disciplinary guidelines.
• Responding promptly to problems and undertaking corrective action.

The compliance program also must be subject to periodic risk assessments.

Learn more about specific aspects of UC San Diego's compliance program by visiting the links below:

• Compliance Governance
• Policies and Procedures
• Education and Training
• Ethics & Compliance Units