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UnivCalifornia_ethicscompprogplan

UnivCalifornia_ethicscompprogplan - University of...

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University of California Ethics and Compliance Plan Report to the Compliance and Audit Committee of the Regents July 14, 2009
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INTRODUCTION The Ethics and Compliance Services (ECS) function of the Ethics, Compliance and Audit Services (ECAS) Office has been operating under the guidance of The Board of Regents’ approved Ethics and Compliance Program Plan since July, 2008. UC’s voluntary implementation of an ethics and compliance program continues to provide a foundation for UC to proactively demonstrate its adherence to its mission, as well as its commitment to ensure good stewardship of federal, state and private resources, especially during these challenging financial times. The following ECS Annual Plan for 2009-2010 has been developed based on compliance areas as identified by the Regents of the University of California (Compliance and Audit Committee), University of California Office of the President (UCOP), the ten campuses, Agriculture and Natural Resources (ANR) and Lawrence Berkeley National Laboratory (LBNL). In addition to the specific campus areas noted above, an overall review of industry higher education compliance risks and federal and state regulatory requirements that are the particular focus of government enforcement were identified, reviewed, prioritized and incorporated into the Plan. An integral part of this plan includes the “value- add” role that ECS plays in assisting UC locations in continuing to enhance their compliance efforts. The Plan includes a detailed work strategy that outlines key monitoring elements and project management by the ECS Office. ETHICS & COMPLIANCE PLAN I. Plan Objectives The 2009-2010 ECS Plan continues to integrate the UC Statement of Ethical Values and Standards of Ethical Conduct as a foundation for ensuring compliance with applicable rules and regulations that govern all aspects of UC operations. The Plan objectives include: 1. Providing a framework based on the Seven Elements of an Effective Compliance Program (Federal Sentencing Guidelines (FSG)) to proactively plan for the efficient use of limited resources to address prioritized potential compliance risks. a. ECS Office to effectively assist the Chief Ethics and Compliance Officers (CECOs) in their campus efforts to identify, prioritize, develop and evaluate work activities to address risks. 2. Outline at a high level the work steps necessary to effectively: a. Address the scope of the potential compliance risks; b. Document action plans to assist the campuses/UCOP/LBNL to mitigate those risks; Annual ECS Plan for 2009-2010 Page 2 of 4
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c. Validate/establish audit management controls to detect and/or prevent compliance risk; and d. Provide a formal mechanism to measure progress to achieve plan objectives and overall systemwide program goals.
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  • Spring '10
  • kest
  • compliance program, Compliance Structure and Compliance Officer, Compliance Program Workplan, Program Workplan FY

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