1. Appendix D: Required Slides for Customized Briefing Locations can customize the General Compliance Briefing to meet the method used for conveying the training. The COIR Briefing cannot be modified and is disseminated electronically to the campuses via the LMS. The scenarios can be changed to be more applicable to each campus culture, but should cover the following topics to meet the requirements: Conflict of Interest (if replacing the “ Andrei ’ s Printer Problem ” scenario) Reporting Violations (if replacing the “ Shell Game ” scenario) Respect for Others (if replacing the “ Surly Sue ” scenario) The following slides must be included in the customized briefing to meet the mandated training requirements: 53

2. University of California Ethical Values & Conduct General Compliance Briefing Course Content © 2012 Copyright The Regents of the University of California - All Rights Reserved. Some graphics copyright © 2012 Microsoft Corporation. 54

3. Introduction Dear Colleagues: Supporting the University's mission of teaching, research, and public service requires a dedication to the highest ethical standards. All UC employees are expected to conduct University work in accordance with the University of California Statement of Ethical VaIues and Standards of EthicaI Conduct. In support of this expectation, we require that all University of California employees complete training in this area on a biennial basis. This training exists to remind each of us that the University of California acts from the values of honesty and integrity in all we do. Laws, rules, and regulations change frequently and, particularly in the current environment, there are increasing pressures to do more with less and to make decisions quickly. The training is intended as a reminder of the parameters within which we all must operate as stewards of a public institution. We encourage you to discuss this training with colleagues, to provide feedback, and to incorporate the Statement of Ethical Values and Standards of Ethical Conduct into your daily work culture. Our pledge is to support you in these efforts. Thank you for your steadfast commitment and service to the University of California, and for your important role in making the University of California an organization of which we can all be proud. Sincerely, Mark G. Yudof President Sheryl Vacca Senior Vice President Chief Compliance & Audit Officer 55

4. Briefing Objectives By the end of this briefing, you will have learned : About expectations and obligations with respect to your University employment How the University’s ethical values and standards of ethical conduct apply to your work life How to report potential instances of non-compliance and fraud About the UC Whistleblower Protection Policy This briefing includes fictional scenarios which demonstrate the value of ethical awareness and compliance while helping you evaluate appropriate responses to situations similar to those you may experience while working at the University. The content of this briefing is intended for all members of the University community and should take approximately 20-30 minutes to complete. 56

5. Statement of Ethical Values Adopted by The Regents of the University of California, May, 2005 Members of the University of California community are committed to the highest ethical standards in furtherance of our mission of teaching, research and public service. We recognize that we hold the University in trust for the people of the State of California. Our policies, procedures, and standards provide guidance for application of the ethical values stated below in our daily life and work as members of this community. We are committed to: Integrity We will conduct ourselves with integrity in our dealings with and on behalf of the University. Excellence We will conscientiously strive for excellence in our work. Accountability We will be accountable as individuals and as members of this community for our ethical conduct and for compliance with applicable laws and University policies and directives. Respect We will respect the rights and dignity of others. Additional Reading: Statement of Ethical Values (213k PDF) 57

6. Standards of Ethical Conduct Adopted by The Regents of the University of California, May, 2005 All members of the University community, including The Regents, Officers of The Regents, faculty and other academic personnel, staff, students, volunteers, contractors, agents and others associated with the University are expected to abide by these Standards of Ethical Conduct: 1.Fair DealingFair Dealing 2.Individual Responsibility and AccountabilityIndividual Responsibility and Accountability 3.Respect for OthersRespect for Others 4.Compliance with Applicable Laws and RegulationsCompliance with Applicable Laws and Regulations 5.Compliance with Applicable University Policies, Procedures and Other Forms of GuidanceCompliance with Applicable University Policies, Procedures and Other Forms of Guidance 6.Conflicts of Interest or CommitmentConflicts of Interest or Commitment 7.Ethical Conduct of ResearchEthical Conduct of Research 8.Records: Confidentiality/Privacy and AccessRecords: Confidentiality/Privacy and Access 9.Internal ControlsInternal Controls 10.Use of University ResourcesUse of University Resources 11.Financial ReportingFinancial Reporting 12.Reporting Violations and Protection from RetaliationReporting Violations and Protection from Retaliation Pursuit of the University of California mission of teaching, research and public service requires a commitment to ethical conduct by all. The Standards of Ethical Conduct reflect our belief in ethical, legal and professional behavior in all of our dealings inside and outside the University. Additional Reading: Standards of Ethical Conduct 58

7. Your Employment Obligations As an employee of the University of California, it is important that you:  Know the applicable laws, regulations and policies that affect your employment responsibilities  Understand the Statement of Ethical Values and Standards of Ethical Conduct and University policies and procedures related to your employment responsibilities  Ensure your actions are consistent with the Statement of Ethical Values and Standards of Ethical Conduct  Report potential instances of non-compliance and fraud  Understand your rights and responsibilities under the UC Whistleblower Protection Policy 59

8. Ethics and compliance are not new to the University of California. Many University locations, divisions and the faculty already have longstanding ethical codes of their own, as well as "Principles of Community" addressing our shared commitment to respect each others’ roles, diverse backgrounds and personal responsibilities. Ethical and compliant practices are core to the University and its mission of teaching, research and public service. The purpose of this briefing is to raise continued awareness of University’s Statement of Ethical Values and Standards of Ethical Conduct and to convey University employment obligations with respect to ethical and compliant behavior. The purpose is not to teach University policy but to familiarize University employees with important ethics and compliance information, issues and resources. Ethics and Compliance at the University: Principles & Practices 60

9. University of California’s Fraud Risk Management Program Being an employee of the University of California invests us as stewards of the public trust. We have a unique mission of research, education and public service to the citizens of California, and during these difficult financial times we must be vigilant to assure that resources are protected and used wisely. Fraud can be defined as any intentional act or omission designed to deceive others, resulting in the victim suffering a loss and/or the perpetrator achieving a gain. Understanding what fraud is and what types of programs are in place at UC to prevent or detect fraud is a key element of everyone’s job description. Proactively, UC leadership has decided to establish fraud risk management programs at each location. Typically the program includes policies, procedures, increased education and training, awareness campaigns, and audit and monitoring activities, and may be integrated within the campus or laboratory’s internal audit, ethics and compliance risk, or risk services programs. However, oversight of the program should remain at the highest level – typically at the campus or laboratory’s ethics and compliance risk committee. The following scenarios provide an insight into fraud awareness and establish a foundation for fraud management. Utilizing the confidential and anonymous Whistleblower Hotline to report potential instances of fraud, waste and abuse is a key step in preserving UC’s resources. 61

10. The “Wall Street Journal Test” While the previous case studies demonstrate specific violations of the Standards of Ethical Conduct, not all situations are as clear-cut. There are some activities that, while legal and not explicitly prohibited by University policy, may not pass what is known as the “Wall Street Journal Test”. That is, if what you are doing were to appear on the front page of the newspaper, would you feel proud of your actions? The easiest way to stay out of a trouble spot is to ask yourself in these situations, "Would I want to read about this in the newspaper or online?" Other questions you might ask include: How would I explain what I'm doing to my family? What would my supervisor or colleagues think about what I’m doing? Would talking about this at a non-University social event make me feel embarrassed or uncomfortable? Am I uneasy when I hear about colleagues doing this? 62

11. Illegal activities and significant policy violations should always be reported in accordance with applicable laws and policies. The University is committed to responsible evaluation of all reports of violations of the Standards of Ethical Conduct and/or alleged improper activities on the part of members of the University community. The University has established processes for reporting and investigating any suspected wrongdoing, including an anonymous hotline people are encouraged to use if they don't feel comfortable bringing the matter forward openly. An individual who is made aware of an improper act should consult with someone at a higher level of authority or with the Locally Designated Official (LDO) to determine how to handle the matter. Reporting Improper Activities UC Whistleblower Hotline (anonymous/confidential) (800) 403-4744 or http://universityofcalifornia.edu/hotlinehttp://universityofcalifornia.edu/hotline 63

12. Decision-Tree for Reporting Compliance Concerns 64

13. Reporting Contact Info Locally Designated Officials (LDO) http://ucwhistleblower.ucop.edu/campusldo.htmlhttp://ucwhistleblower.ucop.edu/campusldo.html Campus Ethics and Compliance Officers (CECO) http://www.universityofcalifornia.edu/compaudit/campuscontacts.htmlhttp://www.universityofcalifornia.edu/compaudit/campuscontacts.html Campus Counsel http://www.ucop.edu/ogc/campuscounsel.html http://www.ucop.edu/ogc/campuscounsel.html Chief Compliance and Audit Officer Sheryl Vacca 510-987-9090 or http://www.universityofcalifornia.edu/compaudit/sherylvacca.html http://www.universityofcalifornia.edu/compaudit/sherylvacca.html UC Whistleblower Hotline (anonymous/confidential) (800) 403-4744 or http://universityofcalifornia.edu/hotlinehttp://universityofcalifornia.edu/hotline UC Campus Climate Reporting https://ucsystems.ethicspointvp.com/custom/ucs_ccc/default.asp 65

14. Reminder: Your Employment Obligations As this briefing has shown, it is critical that all members of the University community: Know the applicable laws, regulations and policies that affect your employment responsibilities Understand the Statement of Ethical Values and Standards of Ethical Conduct and University policies and procedures related to your employment responsibilities Ensure your actions are consistent with the University Statement of Ethical Values and Standards of Ethical Conduct Report potential instances of non-compliance and fraud Understand your rights and responsibilities under the UC Whistleblower Protection Policy 66

15. University of California Ethical Values & Conduct Compliance Briefing Although no single course can adequately address all potential ethical and compliance dilemmas you might face as an important member of the University community, we hope that the information provided in this briefing will better equip you to make the right decisions and to act in an ethical and compliant manner. Thank you for your participation. 67