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Campus Compliance Matrix

 

 

Compliance Risk Areas

Cognizant Policy Office

Cognizant Officer/ Key Contacts

1

Federal Grants & Contracts Management

  • Reporting (including proposal T&Cs and technical reports)
  • Cost Sharing
  • Cost Transfers (including labor distribution adjustments)

Research Administration

Richard Seligman,

Associate VP

Research Administration

  • Payroll Distribution Confirmations (including faculty and principal investigator effort)
  • NIH Salary Cap

Office of Sponsored Research

David Mayo,

Director

Office of Sponsored Research

  • Cost Allowability – Direct and Indirect
  • Administrative Cost on Federal Awards

Project Accounting

Rochelle Athey,

Senior Director

Post Award Administration

  • Export Controls (including interdivisional authorizations)

Export Compliance

Adilia Koch,

Director

Export Compliance

  • Service Centers

Cost Studies

Ginger Baker,

Senior Director

Cost Studies and Property Services

  • Subrecipient Monitoring

Procurement Services

Tina Lowenthal,

Director

Procurement Services

2

Gifts & Restricted Funds/Non-Federal Awards

  • Gifts and Restricted Funds

 

Development and Institute Relations

Brian Lee,

VP

Development and Institute Relations

Prospect Development and Analytics

Ashutosh Nandeshwar,

Director

Prospect Management and Analytics

Financial Services

Sharon Patterson,

Associate VP

Finance and Treasurer

Matt Brewer,

Controller

Investment Accounting

Ana Ulloa,

Associate Controller

Business & Accounting Services

3

Institute Finances

  • Financial Reports and Statements

Financial Services

Sharon Patterson,

Associate VP

Finance and Treasurer

Matt Brewer,

Controller

Budget & Planning Office

Michelle Gonzalez,

Budget Director

Business & Accounting Services

Karla Caprari,

Assistant Director

Financial Reporting

Business & Accounting Services

  • Tax Compliance

Tax Compliance

Jesus Ayala,

Assistant Director

Finance, FAAS & Tax Compliance

Business & Accounting Services

  • Debt Compliance

Treasury Services

Madeline Lee,

Assistant Treasurer

4

Investments (Endowment)

  • Investments

Investment Office

Scott Richland,

Chief Investment Officer

Kirk Kawasawa,

Director

Investment Operations

  • Insurance Risk Management

Darren Artura,

Director

Investments-Real Assets; Insurance Risk Management

5

Procurement Services

  • Procurement Services (including subcontracts, purchase orders, and small/minority business opportunities)

Financial Services

Sharon Patterson,

Associate VP

Finance and Treasurer

  • P-Cards

Procurement Services

Tina Lowenthal,

Director

Procurement Services

Monica Marquez,

Associate Director

Purchasing Services

Muriel Sandoval,

Manager

P-Card and Travel

6

Property

 

 

 

 

  • Property (including government and non-government property management and accounting)

Financial Services

Sharon Patterson,

Associate VP

Finance and Treasurer

Ginger Baker,

Senior Director

Cost Studies and Property Services

Property Services

Ted Lieu,

Director

Cost Studies and Property Services

7

Environmental Health and Safety

  • Environmental Compliance
  • Safety and Occupational Health
  • Emergency Preparedness
  • Biosafety
  • Controlled Substances

 

Facilities Management

James Cowell,

Associate VP

Facilities

Environment, Health and Safety

Casimir Scislowicz,

Director

Environmental, Health, and Safety

Office of the Provost

Grace Fisher-Adams,

Director

Research Compliance

Institutional Biosafety Committee (IBC)

Jared Leadbetter,

Chair

IBC

8

Animal Subjects

  • Animal Care and Use

 

Office of the Provost

Morteza Gharib,

Vice Provost

Research/Research Integrity Officer

Grace Fisher-Adams,

Director

Research Compliance

Institutional Animal Care and Use Committee (IACUC)

Henry Lester,

Chair

IACUC

Veterinarian

Janet Baer,

Director

Office of Laboratory Animal Resources

9

Human Subjects

  • Protection of Human Subjects

 

Office of the Provost

Morteza Gharib,

Vice Provost

Research/Research Integrity Officer

Grace Fisher-Adams,

Director

Research Compliance

Institutional Review Board Committee (IRB)

 

Ralph Adolphs,

Chair

IRB

Research Administration

Richard Seligman,

Associate VP

Research Administration

10

Student Affairs

 

  • Financial Aid

Student Affairs

Joseph Shepherd,

VP

Student Affairs

Dimitris Sakellariou,

Chief Business Administrator

Student Affairs

Financial Aid Office

Don Crewell,

Director

Financial Aid

  • Registrar

Office of the Registrar

Mary Neary Morley,

Registrar

  • Diversity

Caltech Center for Diversity

Eva Graham,

Director

Caltech Center for Diversity

  • Student Housing

Student Activities & Programs

Tom Mannion,

Senior Director

Student Activities and Programs

  • ·      Dining and Food Handling

Institute Housing and Dining

Maria Katsas,

Acting Director

Housing and Dining

  • ·      Substance Abuse – Students

Counseling Center

Kevin Austin,

Executive Director

Health and Counseling Services

  • Card Services

Student Affairs Administration

Ryan O’Connor,

Senior

Finance and Technology Manager

  • ·      Athletics, Physical Education and Recreation

Athletics, Physical Education, and Recreation

Betsy Mitchell,

Director

Athletics, Physical Education, & Recreation

Heather Semelmacher

Assistant Athletic Director of

Intercollegiate Teams

 

11

Title IX

  • Title IX - Sexual Assault

Provost’s Office

Cindy Weinstein

Vice Provost

Student Affairs

Administration

Joseph Shepherd,

VP

Student Affairs

Felicia Hunt,

Asst VP for Equity, Accessibility, & Inclusion Initiatives, & Title IX Coordinator

 

  • Title IX – Diversity

Caltech Center for Diversity

Eva Graham,

Director

Caltech Center for Diversity

  • Title IX - Financial Aid

Financial Aid Office

Don Crewell,

Director

Financial Aid

  • Title IX – Athletics

Athletics, Physical Education, and Recreation

Betsy Mitchell,

Director

Athletics, Physical Education, & Recreation

  • Title IX - Reporting (also see Clery Act)

Human Resources

Susan Conner,

Director

Employee and Organizational Development & Deputy Title IX Coordinator

Campus Security

Gregg Henderson,

Chief

Campus Security and Parking Services

12

Human Resources

 

  • Information Privacy

Human Resources

Julia McCallin,

Associate VP

Human Resources

April White-Castaneda,

Executive Director

Human Resources

  • Employee Relations

Employee and Organizational Development (EOD)

Susan Conner,

Director

Employee and Organizational Development & Deputy Title IX Coordinator

  • Employment and Recruiting

Employment

Tara Kruckeberg,

Director

Employment and Recruiting Services

  • Benefits

Employee Benefits

Ofelia Velazquez-Perez,

Senior Director

Total Rewards

  • Compensation

Compensation

Michelle Jaross,

Director

Benefits and Compensation

  • Payroll

Payroll

Maggie Ory,

Payroll Services Manager

Rosa Robles,

Labor Distribution

  • Disability & Leave Administration

Disability and Leave Administration

Tracey Saruwatari,

Manager

Disability and Leave

  • Affirmative Action
  • Equal Employment Opportunity

Employee Relations

Susan Conner,

Director

Employee and Organizational Development & Deputy Title IX Coordinator

  • International Scholars, Staff, and Students

International Scholar Services

Ilana Smith,

Director

International Offices

Scholar and Staff Services

Angelica Santana,

Manager

Scholar and Staff Services

  • Substance Abuse - Staff

Employee and Organizational Development

Susan Conner,

Director

Employee and Organizational Development & Deputy Title IX Coordinator

Staff and Faculty Consultation Center

Linda Krippner,

Director

Staff and Faculty Consultation Center

13

Business Ethics & Conflicts of Interest

  • Research Misconduct
  • Conflict of Interest - Faculty

Office of the Provost

Edward Stolper,

Provost

Morteza Gharib,

Vice Provost

Research/Research Integrity Officer

Grace Fisher-Adams,

Director

Research Compliance

  • Conflict of Interest – Staff

Human Resources

Julia McCallin,

Associate VP

Human Resources

  • Caltech Hotline

Audit Services and Institute Compliance

Pamela Koyzis,

Executive Director & Institute Chief Compliance Officer

Audi Services and Institute Compliance

14

Physical Plant / Facilities

  • Design and Construction
  • Facilities Management
  • ·       Sustainability
    • Mail Services

Facilities Management

James Cowell,

Associate VP

Facilities

TBD,

Senior Director

Facilities Design and Construction

William Taylor,

Senior Director

Facilities Management

John Onderdonk,

Director

Sustainability Programs

Darrel Goudeau,

Manager

Mail Services

15

Technology Licensing & Transfer

  • Patent Compliance and Licensing

 

Office of Technology Transfer (OTT)

Fredric Farina,

Executive Director & Chief Innovation Officer

Office of Technology Transfer

Case Cortese,

Associate Director

Office of Technology Transfer

Hannah Dvorak-Carbone,

Associate Director

Office of Technology Transfer

16

Institute Security

  • Institute Security  (including student security and Campus crime reporting (Clery)) (Also See Title IXD)

Facilities Management

James Cowell,

Associate VP

Facilities

  • Rideshare Services

Campus Security

Gregg Henderson,

Chief

Campus Security and Parking Services

17

Information Technology

  • Privacy of Information

Information Management Systems and Services (IMSS)

Richard Fagen,

Chief Information Officer

IMSS

RuthAnne Bevier,

Chief Information Security Officer

IMSS

Robert Logan,

Senior Director

IMSS

IMSS Voice and Data Network

Dawn Boyd,

Director

Voice and Data Networks

  • Software Licensing

Communications and Software Licensing

Wenyee Lo,

Technical Communications &

Software Licensing

Last Updated 09/14/2015

 

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