General Compliance

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UC San Diego Health Compliance Advisory services is dedicated to providing support and guidance to members of our community. The healthcare industry can be high-risk in nature, which makes remaining compliant with internal and external regulations especially important. Having an effective compliance program is essential to keeping operations running smoothly in order to provide high-quality and safe patient care. 


Seven Elements of an Effective Compliance Program 

The following guidelines have been outlined by the U.S. Department of Health and Human Services. Compliance Advisory Services has built our program around these fundamental building blocks. 

  1. Written Policies, Procedures and Standards of Conduct
  2. Compliance Officer, Compliance Committee and High Level Oversight
  3. Effective Training and Education
  4. Effective Lines of Communication 
  5. Well Publicized Disciplinary Standards
  6. Effective System of Routine Monitoring, Auditing, and Identification of Compliance Risks
  7. Procedures and Systems for Prompt Response to Compliance Issues

Under University policy, a Conflict of Commitment occurs when a commitment to external activities, whether professional or non-professional, compensated or uncompensated, interferes with the successful performance of the faculty member's University obligations. Where an outside activity has the potential to interfere with the primary professional obligation every eligible faculty member owes to the University, and thus create a Conflict of Commitment, there are certain steps that must be taken to ensure appropriate disclosure and approval.

The UC San Diego Conflict of Interest Office provides comprehensive and confidential assistance to all faculty, staff, non-senate academics, and postdoctoral trainees to review and advise on situations in which a personal or financial interest may compromise or appear to compromise the judgment of the employee with respect to the administration of their job responsibilities at the University. 

For detailed information on the services that the COI Office provides and a list of resources and general guidance on conflicts of interest, please visit the COI Office's website on Blink or contact them at (858) 534-6465. 

UC San Diego Health has a committee, Compliance Advisory Group (CAG), which is comprised of senior leadership across Health Sciences and Campus who reviews and advises on all matters relating to conflict of commitment. In addition to this function, CAG also reviews, investigates, and advises on all matters relating to compliance with University policy and state and/or federal regulations. Any individual may submit an inquiry for review to CAG for formal assessment, and we encourage all our physicians and employees to make use of CAG as an available resource on compliance issues. To inquire about submitting an item for review, please contact Xuan Yen Nguyen at xynguyen@ucsd.edu or (858) 657-6784.

In addition to issues relating to conflict of commitment, outside activities may also present issues related to conflicts of interest. UCSD has a separate office specifically for reviewing and managing conflicts of interest. Please refer to the Conflicts of Interest tab for additional information. 

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