Research Compliance Matrix

Compliance Area	Responsible University Official	Administrative Contact
Extramural Support
Proposal preparation: Budgets: Clinical Trials Other Projects Response to RFA/RFP or development of unsolicited proposal: Review and Submission of proposal (budget, inclusion of appropriate indirect costs, PI eligibility, exclusion of restrictions that would preclude acceptance of an award): Gov’t./Non-profit Industry Contracts (except for Clinical Trials) Clinical Trials (Industry Sponsored)	Principal Investigators/Academic Units Principal Investigators/Academic Units Principal Investigators Roberto Peccei, VCR (x57943) Virginia Anders, Acting Director, OCGA (x42644) Lillian Smith, Interim Director, Industry-Sponsored Research, OIP-ISR (x40562) Helene Orescan, Director, DGSOM Dean’s Office Clinical Trials Contracting Unit, (x40173)	Virginia Anders (x42644), Lillian Smith (x40562) Virginia Anders (x42644), Lillian Smith (x40562) Virginia Anders (x42644) Lillian Smith (x40562) Helene Orescan (x40173)
Award Negotiation/Acceptance: Gov’t./Non-profit Industry Contracts (except for Clinical Trials) Clinical Trials (Industry Sponsored)	Roberto Peccei, VCR (x57943) Virginia Anders, Acting Director, OCGA (x42644) Lillian Smith, Director, Industry-Sponsored Research, OIP-ISR (x40562) Helene Orescan, Director, DGSOM Dean’s Office Clinical Trials Contracting Unit, (x40173)	Virginia Anders (x42644) Lillian Smith (x40562) Helene Orescan (x40173)
Financial Compliance
Adherence to Project Budgets Billing of standard of care to Medicare & Insurance under Clinical Trial Agreements Authorization of Expenditure of Funds (Personnel, Consultants, Equipment, Travel, Supplies, Subcontracts, etc.) Invoicing, Cash Draw Downs and Financial Reporting (including compliance with Cost Accounting Standards) Application of NIH Salary Cap Effort Reporting/Certification Acquisition of Equipment, Equipment Mgmt/Property Control	Principal Investigators/Academic Units Sheryl Vacca, Interim Chief Compliance Officer, UCLA Medical Center (x57166) Martha Arvin, Interim Chief Privacy Officer, UCLA Medical Center (x46763) Principal Investigators Susan Abeles, Assoc. VC/Controller-Corporate Financial Services (x48686) (Evelyn Balabis, Director, Extramural Fund Management (x42838) Evelyn Balabis, Director, Extramural Fund Management (x42838) Evelyn Balabis, Director, Extramural Fund Management (x42838) Susan Abeles, Assoc. VC/Controller-Corporate Financial Services (x48686) Craig Squire, Director, Corporate Accounting (x48777)	Evelyn Balabis (x42838) Sheryl Vacca (x57166) Martha Arvin (x46763) Evelyn Balabis (x42838) Evelyn Balabis (x42838) Evelyn Balabis (x42838) Evelyn Balabis (x42838) Craig Squire (x48777) Joe Andreu (x46005)
Research Subject Protection
Human Research Subjects: Institutional Review Board (IRB) General Clinical Research Center (GCRC)	Roberto Peccei, VCR (x57943) Sharon Friend, Director, Office of the Human Research Protection Program (OHRPP) (x55855) Stanley Korenman, Clinical Director (x41818) Laurie Shaker-Irwin, GCRC Research Subject Advocate (x47504)	Sharon Friend (x55855) Stanley Korenman (x41818) (Laurie Shaker-Irwin, x47504)
Animal Welfare: Chancellor’s Animal Research Committee Animal Care	Roberto Peccei, VCR (x57943) Kathy Wadsworth, Director, Office of Animal Research Oversight (OARO) (x55227) Marcelo Couto, Campus Veterinarian (x40286)	Kathy Wadsworth (x55227) Marcelo Couto (x40286)
Conduct of Research
Adherence to protocols involving human and animal subjects: Reporting of Adverse Events Compliance with Ethical Standards Quality Assurance (QA): For the Jonsson Comprehensive Cancer Center For the General Clinical Research Center For Other Clinical Trials Audits of Human Subject Research & Post-Approval Management For-Cause Audits of Animal Research Protocols & Post-Approval Management	Principal Investigators Principal Investigators Judith Gasson, Director, JCCC (x55268) Laurie Shaker-Irwin, GCRC Research Subject Advocate (x47504) J. Thomas Rosenthal, Chief Medical Officer, UCLA Health Systems/Assoc. Vice Chancellor, DGSOM (x79310) Sharon Friend, Director, OHRPP (x55855) Kathy Wadsworth, Director, OARO (x55227)	Sharon Friend (x55855) Kathy Wadsworth (x55227) Sharon Friend (x55855) Kathy Wadsworth (x55227) Terra Hughes (x65775) Stanley Korenman (x41818) (Laurie Shaker-Irwin, x47504) School of Medicine Research QA Committee (Eric Kleerup, Chair, x46593) Marcia Malmet (x33150) Rosa Harmon (x31417)
Stem Cell Research (incl. Human Embryonic stem cells)	Roberto Peccei, VCR (x57943) Steven Peckman, Assoc. Dir., Broad Stem Cell Research Center (x44919)	William Quan, Quality Assurance Compliance Officer (x48628)
HIPAA/ Patient Confidentiality
For medical records (Medical Center) For medical records (Main Campus) For approval to access Personal Health Information for research For research records	Martha Arvin, Interim Chief Privacy Officer, UCLA Medical Center (x46763) William Cormier, Director, Administrative Policies & Compliance (x54010) Sharon Friend, Director, OHRPP (x55855) Claudia Modlin, Research Policy Compliance Coordinator (x42642)	Martha Arvin (x46763) William Cormier (x54010) Sharon Friend (x55855) Claudia Modlin (x42642
Conflicts of Commitment	Thomas Rice, Vice Chancellor – Academic Personnel (x69345) (Academic Deans)	Thomas Rice (x69345)
Conflicts of Interest Related to research Other	Roberto Peccei, VCR (x57943) Ann Pollack, Assistant VC – Research (x40387) Patricia Jasper, Campus Counsel (x54042)	Ann Pollack (x40387) Patricia Jasper (x54042)
Environmental Health and Safety
Biohazard/Biosafety Select Agents Radiation Safety Research involving recombinant DNA Research involving gene therapy	Roberto Peccei, VCR (x57943) James Gibson, Director, Environment, Health & Safety (x66544) Rowelle Enriquez, Biosafety Officer (x55689) Rowelle Enriquez, Biosafety Officer (x55689) Colin Dimock, Radiation Safety Officer (x68204) David Campbell, Chair, Institutional Biosafety Committee (x54195) Donald B. Kohn , Director (x41964) William Quan, Quality Assurance Compliance Officer (x48628)	Rowelle Enriquez (x55689) Rowelle Enriquez (x55689) Radiation Safety Division (x55689) Biological Safety Division (x53323) Donald B. Kohn (x41964) (William Quan, x48628)
Misconduct in Research	Roberto Peccei, VCR (x57943) Ann Pollack, Assistant VC – Research (x40387)	Ann Pollack (x40387)
Export Control ITAR and EAR U.S. Treasury, Office of Foreign Assets Control (OFAC) Licenses	Roberto Peccei, VCR (x57943) Claudia Modlin, Research Policy Compliance Coordinator (x42642) Ann Pollack, Assistant VC – Research (x40387) (Claudia Modlin, x42642)	Claudia Modlin (x42642) Ann Pollack (x40387)
Intellectual Property
Transfer of Materials (MTAs) Protection of Intellectual Property Licensing of University Intellectual Property Patents and Copyrights	Kathryn A. Atchison, Vice Provost (x40212) Lillian Smith, Director, Industry-Sponsored Research, OIP-ISR (x40562) Kathryn A. Atchison, Vice Provost (x40212) Kathryn A. Atchison, Vice Provost (x40212) Emily Loughran, Director of Licensing (x40602)	Lillian Smith (x40562) Kathryn Atchison (x40212) Kathryn Atchison (x40212) Emily Loughran (x40602)
Use of University Names:	Sam Morabito, Administrative Vice Chancellor (x46000) Patricia Jasper, Campus Counsel (x54042) Jane Boubelik, Chief Counsel, Health System (x43138)	Patricia Jasper (x54042) or Jane Boubelik (x43138)