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ETHICS AND COMPLIANCE OVERSIGHT RESOURCES 

A description of ethics and compliance oversight resources of the University of California systemwide, of the University of California, Irvine campus, of the UC Irvine Health Sciences and School of Medicine, and of the UC Irvine Medical Center is provided by the Ad Hoc Ethics Committee of the UC Irvine Health Sciences Academic Senate.  It is intended to assist faculty, staff, and students of the UC Irvine Health Sciences with problems or concerns on a variety of ethical or compliance matters to decide which resource they might best consult for additional information and assistance in analyzing and resolving a problem or concern.

This brief listing of resources is supplemented by a more detailed description of resources. For the the long version of the Ethics and Compliance Oversight document>>


UC SYSTEMWIDE RESOURCES

Faculty Code of Conduct (APM 015) and Administration of Discipline (APM  016):  Website>>

History and Context:  A brief review of the substantial development of additional ethics and compliance resources in the past decade.

UC Campus Ethics and Compliance Risk Committee: This resource primarily provides information, but can be consulted (Whistleblower Hotline 800.403.4744 or ) for concerns if assistance were judged necessary beyond that provided by the UCI Campus Ethics and Compliance Risk Committee.

UC IRVINE CAMPUS ETHICS AND COMPLIANCE OVERSIGHT RESOURCES

UC Irvine Campus Ethics and Compliance Risk Committee: The CECRC is chaired by the Vice Chancellor of Planning and Budget (949.824.4923; 949.824.7023; 949.824.0576); Office of Planning and Budget website) assisted by the Assistant to the Vice Chancellor (949.824.7677) and by the Associate Vice Chancellor of Administrative and Business Services (949.824.5108; Administrative and Business Services. This program overseas investigations of complaints of improper governmental activity and assures UCI's compliance with federal and state whistleblower laws.

Research Ethics: The phone number of the Office of Research Administration is 949.824.4768.  There are additional offices to contact for research compliance and administration (949.824.5677), research integrity (Director of Administration and Research Policy; 949.824.2898), research conflict of interest (Conflict of Interest and Gift Administrator; 949.824.7218); human research protections (949.824.1558), and clinical research and trials (714.456.5153 or 8708). There are multiple Institutional Review Boards (IRBs 949.824.5746), a Human Stem Cell Research Oversight Committee (HSCRO; 949.824.7218), an Institutional Animal Care and Use Committee (IACUC; 949.824.8664), an Institutional Biosafety Committee (IBC; 949.824.6200), an Office of Public Records (949.824.2312), and an Office of Technology Alliances ( 949.824.7186). University ethics resources>>

UC Irvine Conflict of Interest Oversight Committee: (COIOC; 949.824.7218) works to ensure that researchers' personal interests in, or commitments to, entities outside the university do not compromise or appear to compromise their objectivity in performing research.

Office of the Ombudsman: This office facilitates confidential, impartial, and informal resolution of problems, concerns, and complaints of students, faculty, staff, or administrators of the campus or the medical center. Presently there are offices at the campus (949.824.7256) and at the medical center (714.456.5605). 

Office of Equal Opportunity and Diversity: The OEOD coordinates the university's compliance with state and federal laws and University policies and procedures related to discrimination and sexual harassment.  Campus contact: 949.824.5594 or oeod@uci.edu; UC Irvine Medical Center contact: 714.456.7469 or oeod@uci.edu.

UC Irvine Campus Assault Resources and Education: (CARE) This resource (949.824.7273) provides "consultation for issues related to sexual assault, relationship dynamics, and gender issues.

Advance Program for Faculty Gender Equity and Diversity: The Advance Program (949.824.2798) is committed to faculty equity and diversity.

Internal Audit Services: The UC Irvine IAS (949.824.7543) has wide-ranging and unrestricted responsibility for:  auditing business systems of a department or service; consultation when requested by a department or service; and investigation to ascertain whether whistleblower or other allegations of fraud or policy violation are substantiated.

Internal Controls:  "Internal controls are the processes employed to help insure that the University's business is carried out in accordance with ... Standards [of Ethical Conduct], university policies and procedures, applicable laws and regulations and sound business practices." The UC Irvine Office of Internal Controls (949.824.8987) receives reports from the whistleblower protection policy, but can also be contacted directly for concerns of embezzlement or financial impropriety such as claims of excessive travel expenses.

Conflicts of Interest: The Vice Chancellor for Planning and Budget has overall responsibility for conflicts of interest. The Administrative Policies Coordinator (949.824.8713) in the administrative and business services oversees filing form 700 for recording personal assets and income, limits on gifts, and bans on honoraria. The conflict of interest coordinator for the campus in the Office of Research Administration (949.824.7218) oversees the Conflict of Interest Oversight Committee and is responsible for conflicts of interest in research and for advice regarding the filing of form 700-U .

Conflicts of Commitment: Commitments of faculty, staff, and students that contribute to one's profession, the community, and the public are encouraged, but those that interfere with obligations or responsibilities to UC Irvine may be disapproved or limited or require prior approval.  All such activities of faculty require annual reporting to the department chair, dean and executive vice chancellor.

Whistleblower Protection Program and Policy: Reporting is encouraged for corruption, malfeasance, bribery, theft, fraud, coercion, waste of money, gross misconduct, gross incompetence, or gross inefficiency as well as for activity that violates state or federal regulations". You may report suspected incidents anonymously, either through the Whistleblower Hotline (800.403.4744) or by submitting a web report at . Reporting parties are protected from retaliation.

Office of Technology Alliances: (OTA) deals with such matters as intellectual property, patenting, trademark, copyrights to increase research support from the private sector, faculty consultation with industry, conflicts of interest, material transfers, technology transfer and licensing, and startup companies. An Assistant Vice Chancellor (949.824.7186) oversees the Office of Technology Alliances.  The Patent and Licensing Officer for Biomedical Engineering comes to the School of Medicine monthly to answer questions about intellectual property and other matters dealt with by the OTA (949.824.3104).

UC IRVINE SCHOOL OF MEDICINE ETHICS AND COMPLIANCE OVERSIGHT RESOURCES

Medical Student Mistreatment: is verbal or physical abuse; threat of physical abuse; discrimination based upon age, gender, race or ethnicity, religion, disability or sexual orientation; sexual harassment; requiring students to perform personal services not related to their education; requiring students to perform menial tasks that are belittling or humiliating. The School Medicine policy can be found in the Student Handbook. For help, speak with the clerkship director, the associate dean for Student Affairs, or the Health Affairs ombudsperson. Office of the Ombudsman website>>

Corporate and Hospital Compliance Privacy Offices: Privacy violations or other concerns may be reported anonymously to the UC Irvine Health Affairs Compliance and Privacy Office Confidential Reporting Line (888.456.7006). For online privacy and security training (HS login required)>>

UC IRVINE HEALTHCARE ETHICS AND COMPLIANCE OVERSIGHT RESOURCES

UC Irvine Healthcare Medical Staff Medical Ethics Committee:  The Medical Ethics Committee's primary mission is to ensure optimal care of patients through education of the medical staff and other healthcare professionals. Requests for consultation can be made to the Medical Staff Office (714.456.5521) by the patient, patient's surrogate, patient's family, or any professional responsible for the care of the patient.

UC Irvine Healthcare Risk Management:  The goal of Risk Management is to minimize liability of the medical center and of its professionals and employees within the constraints of providing optimal patient care.  For assistance consult the Director of Risk Management (714.456.5676).

UC Irvine Healthcare Ombudsperson Office:  This office facilitates confidential, impartial, and informal resolution of problems, concerns, and complaints of faculty, staff, students, or administrators of the medical center (714.456.5605).  

UC Irvine Healthcare Patient Relations: Patient Relations exists for the patients and offers continuous support to all those who care for them. Patient Relations Service (714.456.7004)

 

 

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