Compliance Roles
Locally Designated Official (LDO)
- Brian Smith
- Receives reports of allegations of suspected improper governmental activities under the University’s Whistleblower Policy
- Receives retaliation complaints and implements procedures under the University’s Whistleblower Protection Policy
Retaliation Complaint Officer (RCO)
- Eric Press
- Oversees investigations of complaints under the University’s Whistleblower Protection Policy
Research Integrity Officer (RIO)
- Brian Smith
- Receives and assesses allegations of research misconduct
- Determines when an allegation of research misconduct warrants an inquiry &/or investigation
- Oversees research misconduct inquiries & investigations
- Reports on research misconduct proceedings to appropriate funding agencies & others as required
Title IX Officer
- Tracey Tsugawa
- Receives reports of prohibited conduct under the University’s Sexual Violence and Sexual Harassment Policy
- Oversees resolution process under the University’s Sexual Violence and Sexual Harassment Policy
Compliance Offices and Units
(additional compliance functions may be carried out at the Schools)
Human Resources (HR)
- Owns and implements University’s HR policies
- UCSF representative in labor/management interactions
- Assists with resolution of workplace problems
- Ensures compliance with University’s collective bargaining agreement
Information Technology (IT) Security
- IT Security risk management and compliance
- Security incident response and investigation
Innovation Ventures
- Owns the process for disclosures, reviews and management of conflicts of interest related to licensing technology
- Establishes and maintains licensing and strategic partnerships
- Ensures compliance related to UCSF patents
Investigations Unit (IU)
within Office of Ethics & Compliance
- Independent (neutral) body to investigate complaints of alleged violations of University policies
Medical Center Risk Management
- Address and/or triage patient rights concerns
- Authority on clinical care consent requirements
- Authority on minors’ rights to consent for sensitive services and third-party consent for minors
- Responsible for law enforcement interactions involving patient privacy
Office of Diversity and Outreach (ODO)
- Owns and implements University policy prohibiting discrimination & harassment
- Receives and processes complaints of alleged discrimination, harassment &/or related retaliation
- Prepares annual Affirmative Action Plan and program
Office of Ethics & Compliance (OEC)
- Provides overall compliance oversight
- Owns following compliance functions and operations: Investigations Unit; Conflicts of Interest in Research; FDA Regulatory Support; Export Control; Research Misconduct
- Central point of coordination of all investigations
- Responsible for coordination of policies and procedures for prevention of foreign influence
- Coordinates investigations involving foreign influence
Office of Faculty and Academic Affairs (OFAA)
- Responsible for case administration of faculty misconduct investigations
- Ensures compliance with Academic Personnel Manual
Office of Healthcare Compliance & Privacy (OHCP)
- Provides overall compliance oversight for UCSF Health
- Owns following compliance functions and operations: Revenue Cycle Compliance; Privacy
Office of Legal Affairs (OLA)
- Provides legal advice on applicable laws, regulations, University policies
- Partners with compliance leaders, committees and managers in decision making & problem solving
Office of Research
- Compliance functions and operations for: protection of human and animal research subjects; compliance with sponsored projects requirements; environment, health and safety
Risk Management and Insurance Services (RMIS)
- Owns and implements insurance and self-insurance policies
- Performs risk assessment related to insurance and contractual indemnification
- Responsible for insurance allocation, insurance premiums and settlement of claims
- Manages clinical trials insurance and compensation for subject injury
Supply Chain Management (SCM)
- Responsible for identification and management of conflicts of interest involving employee-supplier relationships
UCSF Health Office of Regulatory Affairs
- Responsible for Joint Commission Accreditation, California Department of Public Health licenses, West Bay laboratory accreditation and CLIA certifications
University of California Office of the President (UCOP) Ethics, Compliance and Audit Services (ECAS)
- Provides direction, education & oversight of UCOP policies & processes
- Provides investigatory services, auditing & monitoring
- Provides ethics & compliance related guidance and resources