Job Summary:
Involves oversight of the key compliance related activities affecting the ongoing establishment and maintenance of a culture of compliance. Includes participation in compliance governance, development and implementation of policies and procedures, training and education, communication and reporting, internal monitoring, and auditing. Recommends response, prevention, and disciplinary standards for compliance issues. Ensures alignment with applicable laws, regulations, policies and ethical standards of the organization. Activities include the coordination and triage of complaints of potential allegations of improper behavior, "whistleblowing," and improper governmental activities.
Under the supervision of the Investigations Unit Manager, this individual works closely with the Investigations Unit to:
Under the supervision of the Investigations Unit Manager, this individual works closely with the Investigations Unit to:
Coordinate, triage, and process complaints received by UCSF's Whistleblower Program in accordance with Investigations Unit's Standard Operating Procedures
Identify and analyze allegations, make assessments and recommend assignment and/or referral of complaint allegations
Maintain a case management system for investigators and other UCSF stakeholders, including ensuring accurate reporting and system administration.
Follow-up with investigators and UCSF stakeholders to ensure accurate recordkeeping of assigned matters
Assist Manager with data analytics and reporting of complaint data
Promote understanding and awareness of the UCSF Whistleblower Program
When workload permits, conduct investigations of allegations of improper governmental activities, including but not limited to fraud, retaliation, abusive conduct and other policy violations
Respond to requests for information
Perform other duties as assigned
Department Description:
The Office of Ethics and Compliance (OEC) collaborates with the UCSF community and senior leadership to provide oversight and guidance to compliance functions across the enterprise. Our mission is to foster a culture of compliance, which leads to compliant and ethical behavior across all university functions and activities. The OEC organization includes the following units: Investigations; Conflict of Interest; Export Control; Regulatory Support; and Research Integrity.
About UCSF
The University of California, San Francisco (UCSF) is a leading university dedicated to promoting health worldwide through advanced biomedical research, graduate-level education in the life sciences and health professions, and excellence in patient care. It is the only campus in the 10-campus UC system dedicated exclusively to the health sciences. We bring together the world's leading experts in nearly every area of health. We are home to five Nobel laureates who have advanced the understanding of cancer, neurodegenerative diseases, aging and stem cells.
Pride Values
UCSF is a diverse community made of people with many skills and talents. We seek candidates whose work experience or community service has prepared them to contribute to our commitment to professionalism, respect, integrity, diversity and excellence - also known as our PRIDE values.
In addition to our PRIDE values, UCSF is committed to equity - both in how we deliver care as well as our workforce. We are committed to building a broadly diverse community, nurturing a culture that is welcoming and supportive, and engaging diverse ideas for the provision of culturally competent education, discovery, and patient care. Additional information about UCSF is available here.
Join us to find a rewarding career contributing to improving healthcare worldwide.
Equal Employment Opportunity
The University of California is an Equal Opportunity Employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, age, protected veteran status, or other protected status under state or federal law.
Salary Information
The final salary and offer components are subject to additional approvals based on UC policy.
Your placement within the salary range is dependent on a number of factors including your work experience and internal equity within this position classification at UCSF. For positions that are represented by a labor union, placement within the salary range will be guided by the rules in the collective bargaining agreement.
To learn more about the benefits of working at UCSF, including total compensation, please visit: https://ucnet.universityofcalifornia.edu/compensation-and-benefits/index.html
Required Qualifications:
- Bachelor''s degree in related area and / or equivalent experience / training
- Minimum three years' experience working in the ethics and compliance profession
- Minimum 3+ years of related experience
- Advanced knowledge of ethics and compliance profession, theories and systems of internal control, and professional compliance and investigations standards
- Broad knowledge of University ethics and compliance policies, procedures and programs, applicable state and federal employment laws
- Experience issue spotting, analyzing information, identifying issues or concerns in fact patterns
- Experience applying laws and policy standards in investigation or fact-finding processes
- Ability to define problems, collect data, ascertain facts, and draw valid conclusions based on evidence
- Ability to extract, verify, compile and develop recommendations related to ethics and compliance programs, issues, policies and procedures
- Excellent analytical, legal writing, and/or technical writing skills resulting in soundly-reasoned, accurate, useful reports and/or summaries
- Ability to present complex information in a clear and concise manner both in writing and verbally for presentation to or review by leadership.
- Ability to interview and elicit cooperation and confidence of interviewees to obtain relevant information, interpret responses, and determine relevant facts
- Excellent interpersonal (i.e. verbal and written communications) and problem solving skills and ability to work collaboratively with diverse groups, including all levels of University personnel, including management and faculty, and to facilitate agreement on issues and corrective actions
- Demonstrated experience in critical decision making and reasoning ability
- Demonstrated ability to handle extremely difficult, sensitive and/or volatile situations/individuals effectively
- Strong project management skills including planning, overseeing progress to ensure timely completion, and communicating progress with stakeholders
- Computer Skills: Proficient in MS Office Suite
Preferred Qualifications:
- Professional certification(s) applicable to job responsibilities, including, but not limited to AWI-CH and/or Certified Fraud Examiner
- Knowledge/Experience operating or being an administrator of an information database
- Demonstrated experience with complaint triage, coordination, and assessment.
- 3+ years of experience with direct responsibility conducting workplace investigations
- Work experience to include assessing complaint allegations and conducting investigations in the public sector, higher education, and/or health care settings as well as responding to complaints filed with external agencies.
%
of time
Essential Function (Yes/No)
Key Responsibilities
(To be completed by Supervisor)
70%
Yes
Complaint Assessment and Triage -
- Receives whistleblower complaints and performs policy analyses to assess complaints brought forth through the Whistleblower Program
- Makes recommendations for triaging complaints to the Locally Designated Official (LDO) with the support of Investigations Unit Manager.
- Liases with stakeholders in support of complaint triage and coordination.
- Conducts intake interviews and gathers preliminary evidence from parties and stakeholders to ensure appropriate assignment and/or referral of complaint allegations.
- Maintains and ensures accurate and appropriate documentation of assessments, triage, case assignments, dispositions, including closed cases that require corrective action by management on EthicsPoint and i-Group databases
- Trains, advises and assists others in the use and maintenance of the database.
- Administers the investigations case management system, including data analytics and reporting
10%
Yes
Investigations Workgroup (i-Group) Facilitation and Reporting -
- Coordinates, organizes and schedules i-Group meetings. Creates the agenda in coordination with i-Group members for key discussion points. Provides support to the Locally Designated Official.
- Prepares reports for dissemination to the i-Group and senior leadership
10%
Yes
Conducts Workplace Investigations -
- Responds to and investigates simple to moderately complex and highly sensitive UCSF complaints of violations of policies that include, but are not limited to, improper governmental activities and retaliation.
- Under the supervision of the Investigations Unit Manager:
- Works to effectively conduct assigned investigations (including but not limited to developing an investigative plan, contacting identified witnesses, documenting the investigative steps and maintaining detailed records).
- Assists in assessing complaint referrals and provides input in defining the scope of the investigation.
- Obtains legal opinions when appropriate to inform investigative activities.
- Prepares comprehensive and factually accurate internal investigative reports in accordance with university standards.
- Interacts with and provides UCSF stakeholders, management, staff and parties, as appropriate, investigation updates and finding.
- Refers non-policy violation issues identified during the course of an investigation to appropriate University officials.
5%
Yes
Process Improvement Activities -
- Oversees on-going development and improvement of data collection and reporting on cases and makes suggestions on how to improve complaint triage processes.
- Keeps abreast of best practices of whistleblower programs/hotlines and identifies and recommends process improvements.
- Participates in committees, task forces or meetings with management and other UCSF stakeholders regarding issues that are novel or with little precedence, requiring expedient and diplomatic action.
- Liases with investigators and whistleblower program administrators from other locations, including collaboration with the Office of the President and other location colleagues to address complex system-wide issues with significant impact.
- Keeps abreast of best practices of investigation techniques and utilizes this knowledge during each stage of the investigation process in alignment with University policy with assistance from Manager.
5%
YesOther Duties as Assigned
100%
%
of time
Essential Function (Yes/No)
Key Responsibilities
(To be completed by Supervisor)
70%
Yes
Complaint Assessment and Triage -
- Receives whistleblower complaints and performs policy analyses to assess complaints brought forth through the Whistleblower Program
- Makes recommendations for triaging complaints to the Locally Designated Official (LDO) with the support of Investigations Unit Manager.
- Liases with stakeholders in support of complaint triage and coordination.
- Conducts intake interviews and gathers preliminary evidence from parties and stakeholders to ensure appropriate assignment and/or referral of complaint allegations.
- Maintains and ensures accurate and appropriate documentation of assessments, triage, case assignments, dispositions, including closed cases that require corrective action by management on EthicsPoint and i-Group databases
- Trains, advises and assists others in the use and maintenance of the database.
- Administers the investigations case management system, including data analytics and reporting
10%
Yes
Investigations Workgroup (i-Group) Facilitation and Reporting -
- Coordinates, organizes and schedules i-Group meetings. Creates the agenda in coordination with i-Group members for key discussion points. Provides support to the Locally Designated Official.
- Prepares reports for dissemination to the i-Group and senior leadership
10%
Yes
Conducts Workplace Investigations -
- Responds to and investigates simple to moderately complex and highly sensitive UCSF complaints of violations of policies that include, but are not limited to, improper governmental activities and retaliation.
- Under the supervision of the Investigations Unit Manager:
- Works to effectively conduct assigned investigations (including but not limited to developing an investigative plan, contacting identified witnesses, documenting the investigative steps and maintaining detailed records).
- Assists in assessing complaint referrals and provides input in defining the scope of the investigation.
- Obtains legal opinions when appropriate to inform investigative activities.
- Prepares comprehensive and factually accurate internal investigative reports in accordance with university standards.
- Interacts with and provides UCSF stakeholders, management, staff and parties, as appropriate, investigation updates and finding.
- Refers non-policy violation issues identified during the course of an investigation to appropriate University officials.
5%
Yes
Process Improvement Activities -
- Oversees on-going development and improvement of data collection and reporting on cases and makes suggestions on how to improve complaint triage processes.
- Keeps abreast of best practices of whistleblower programs/hotlines and identifies and recommends process improvements.
- Participates in committees, task forces or meetings with management and other UCSF stakeholders regarding issues that are novel or with little precedence, requiring expedient and diplomatic action.
- Liases with investigators and whistleblower program administrators from other locations, including collaboration with the Office of the President and other location colleagues to address complex system-wide issues with significant impact.
- Keeps abreast of best practices of investigation techniques and utilizes this knowledge during each stage of the investigation process in alignment with University policy with assistance from Manager.
5%
YesOther Duties as Assigned
100%