Ethics, Compliance and Audit Services

<!DOCTYPE html>  <html lang="en" class="no-js"> <html xmlns="http://www.w3.org/1999/xhtml" lang="en" xml:lang="en"> <head>  <meta content="" name="description"/> <meta content="" name="author"/> <title>Ethics, Compliance and Audit Services | UCOP</title> <meta content="27804f08803065536cf76647d3fbdd61" name="id"/>     <link href="/_common/files/css/main.css?v=1.2" media="screen" rel="stylesheet"/> <link href="/_common/files/css/print.css" media="print" rel="stylesheet"/>  <link href="/_common/files/img/ico/favicon.ico" rel="shortcut icon"/>   <link href="/_common/files/css/ff-old.css" rel="stylesheet"/> <script src="/_common/files/js/protection.js"></script> <![CDATA[]]> </head> <body> <div aria-label="skiplink" role="navigation"> <a class="skip-link" href="#content">Skip to Main Content</a> </div> <div id="bg-left"></div> <div id="bg-right"></div> <div id="wrapper"> <div class="container">  <div class="row mast" role="banner"> <div class="span4 logo"> <div id="logo"><a href="https://www.ucop.edu/index.html"><img alt="University of California Office of the President" height="64" src="/_common/files/img/wordmark.png" width="240"/></a></div> </div> <div class="span8 main-nav offset4"> <div class="navbar adjusted"> <div aria-labelledby="main-menu-mobile" class="navbar-inner" role="navigation"> <a class="btn btn-navbar" data-target=".nav-collapse" data-toggle="collapse" id="main-menu-mobile"> Main Menu <b class="caret">聽</b> </a> <div class="nav-collapse"> <ul class="nav pull-right" id="topmenu"> <li><a href="https://jobs.universityofcalifornia.edu">Jobs</a></li> <li><a href="https://ucop.edu/directory-search/index.php" title="Search the UCOP directory">People</a></li> <li><form action="/search" class="navbar-search" id="search-form" method="get"> <label class="skip-link" for="query-field">search</label> <input class="search-query" id="query-field" name="q" placeholder="Search" type="text"/></form></li> </ul>  </div> </div> </div> </div> </div> <div aria-label="breadcrumbs" class="row" role="navigation"> <div class="span12"> <ul class="breadcrumb"> <li> <a href="https://www.ucop.edu/index.html">UCOP</a> <span class="divider">></span> </li> <li> <a href="index.html">Ethics, Compliance and Audit Services</a> </li> </ul> </div> </div> <div aria-label="content" class="list-land" id="content" role="region">  <div class="row"> <div class="span12"> <h1 class="page-header">Ethics, Compliance and Audit Services</h1> </div> <nav aria-label="tabs" class="span12"> <ul class="nav nav-tabs sub-nav tab6"> <li class="active"> <a class="" href="index.html"> Overview <span class="sr-only">- current section</span> </a> </li> <li class=""> <a class="" href="staff/index.html"> Staff </a> </li> <li class=""> <a class="" href="compliance/index.html"> Compliance </a> </li> <li class=""> <a class="" href="audit/index.html"> Audit </a> </li> <li class=""> <a class="" href="investigations/index.html"> Investigations </a> </li> <li class=""> <a class="multiline" href="policy/index.html"> Universitywide Policy Office </a> </li> </ul> </nav> </div>  <div class="row-fluid"> <div class="span4 hero-unit"> <p>We provide tools and resources to our campuses to help fulfill the mission of the University in an ethical and compliant manner</p> </div> <div class="span4"><p>The Office of Ethics, Compliance and Audit Services provides direction, education, oversight for president policy process, investigatory services, auditing and monitoring, guidance and resources to the University to optimize ethical and compliant behavior, provide assurance, and improve operations through effective controls and processes. </p></div> <div class="span4"> <div class="row-fluid dotted-bottom"> <div class="span4 dept-head"> <img alt="Alexander Bustamante" src="_images/bustamante-uc.jpg"/></div> <div class="span8"> <p class="blue"> Alexander Bustamante </p> <p>Senior Vice President and Chief Compliance and Audit Officer</p> </div> </div> <div class="row-fluid"> <div class="span6"> <a class="icon staff" href="staff/index.html">Staff Directory</a></div> <div class="span6"> <a class="icon org" href="_files/orgchart.pdf">Org Chart</a></div> </div> </div> </div> <div class="row"> <div class="span4 blustripe"> <h2 class="allCaps"> Resources </h2> <ul class="dotted-list"> <li> <a href="_files/stmt-stds-ethics.pdf">Statement of Ethical Values & Standards of Ethical Conduct (pdf)</a> </li> <li> <a href="_files/compliance/ecs-dept-policies.pdf">Ethics and Compliance Services Program Policy</a> </li> <li> <a href="compliance/coronaviruscovid-19-compliance-resources.html">ECAS COVID-19 Compliance Resource Page</a> </li> <li> <a href="staff/contact-us.html">Contact Us</a> </li> </ul> </div> <div class="span4 blustripe"> <h2 class="allCaps"> <a href="compliance/training/index.html">Education and Training</a> </h2> <ul class="dotted-list"> <li> <a href="https://constitutionday.universityofcalifornia.edu/">Constitution Day at UC </a> </li> <li> 2024 Symposium Summaries and Key Takeaways </li> <li> <a href="https://na.eventscloud.com/website/59371/">2024 Ethics, Compliance and Audit Symposium </a> </li> <li> <a href="https://www.ucop.edu/ethics-compliance-audit-services/compliance/export-control/research-security-video-shorts.html">Research Security: Video Shorts</a> </li> <li> <a href="https://sp.ucop.edu/sites/ecas/webinars/Writing%20More%20Effective?d=wba8233e5193347f389412e8cd0e36b79">Webinar on Writing Effective Reports & Executive Summaries</a> </li> <li> <a href="_files/compliance/education/clery_pres.pdf">UC Clery Act Training for CSAs</a> </li> <li> <a href="compliance/training/compliance-alerts.html">ECAS Compliance Alerts</a> </li> </ul> </div> <div class="span4 blustripe"> <h2 class="allCaps"> Campus Resources </h2> <ul class="dotted-list"> <li> <a href="compliance/campus-ethics-and-compliance-officers.html">Campus Ethics and Compliance Officers (CECOs)</a> </li> <li> <a href="https://ucop.edu/uc-whistleblower/campus-resources/index.html">Locally Designated Officials (LDOs)</a> </li> <li> <a href="audit/index.html">Internal Audit Directors (IADs)</a> </li> <li> <a href="compliance/reporting-ucop-compliance-concerns.html">Reporting Compliance Concerns at UCOP</a> </li> <li> <a href="_files/audit/state-audit-guidelines.pdf">Guidelines on Audits Conducted by the California State Auditor (PDF)聽聽</a> </li> </ul> </div> </div> <div class="row less3 novrflw"> <div class="span4 grybx"> <h4>UC Whistleblower Hotline</h4> <p><a href="https://secure.ethicspoint.com/domain/media/en/gui/23531/index.html">File a Report</a></p> <p><span>(800) 403-4744</span><span><a href="http://www.universityofcalifornia.edu/hotline/"><img alt="UC Whistleblower hotline" height="55" src="_images/ucwbhotline.gif" style="display: block; margin-left: auto; margin-right: auto;" width="178"/></a></span></p> <p> </p> <p><span><a href="https://ucop.edu/uc-whistleblower/index.html">Investigations Resource Page</a><br/></span></p> </div> <div class="span4 grybx"> <h4>UC Policy Search</h4> <p>Access current UC system policies. Search and browse by subject matter, and subscribe to policy updates.</p> <p> </p> <p><a href="https://policy.ucop.edu/index.html">Start Policy Search</a></p> </div> <div class="span4 grybx"> <h4>Artificial Intelligence</h4> <p>The <a href="compliance/aicouncil/index.html">UC Presidential Working Group on Artificial Intelligence Standing Council (AI Council)</a> was established in May of 2022 and is developing training and tools for use across the UC system to assist in the implementation of the “UC Responsible AI Principles.”</p> </div> </div> </div>  </div>  </div>  <footer></footer>   <script src="//ajax.googleapis.com/ajax/libs/jquery/1.7.1/jquery.min.js"></script> <script>/*<![CDATA[*/window.jQuery || document.write('<script src="/_common/files/js/jquery.1.7.1.min.js"><\/script>')/* ]]>*/</script> <script src="//netdna.bootstrapcdn.com/twitter-bootstrap/2.0.4/js/bootstrap.min.js"></script> <script>/*<![CDATA[*/$.fn.modal || document.write('<script src="/_common/files/js/bootstrap.2.0.4.min.js"><\/script>')/* ]]>*/</script> <script src="/_common/files/js/modernizr.js"></script>  <script src="/_common/files/js/jquery-ui-1.12.1.js"></script> <script src="/_common/files/js/plugins.js"></script> <script src="/_common/files/js/main.js?v=1.2.2.1"></script> <script async="" src="/_common/files/js/ga.js"></script> <script async="" src="/_common/files/js/autotrack.js"></script> </body> </html>

CINXE.COM

Ethics, Compliance and Audit Services | UCOP