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INSTITUTIONAL COMPLIANCE PROGRAM

Directory of Responsible Officers, Offices and Compliance Coordinators and Contact Information

 

Compliance Risk Area

Responsible Senior Officer(s)

Functionally Responsible Office(s)

Functionally Responsible Compliance Coordinator(s)

 Representative Compliance Issues

Academic Integrity

Applicable Dean

Applicable Dean’s Office

Applicable Dean

Student Honor Code
Student Plagiarism
Academic cheating

Accreditations

Chancellor for Health Affairs and Applicable Dean

Chancellor for Health Affairs and Applicable Dean’s Office

Chancellor for Health Affairs and Applicable Dean

Middle States Accreditation
Council on Education and Public Health accreditation
LCME

Asset Management / Endowment

Stephen Piccolo

CFO’s Office

George Nestler

Compliance with state laws on not-for-profit organizations

Comparative Medicine

Dean, School of Medicine

Department of Comparative Medicine

Sulli Popilskis

Animal welfare
IACUC
Federal and state laws and regulations

Conflict of Interest and Commitment

Chancellor for Health Affairs

Chancellor for Health Affairs' Office

Chancellor for Health Affairs or his designee

Institutional conflicts
Indemnification and reporting
Oversight and monitoring
Required record keeping
Consulting
Outside employment
Outside activities
Political activities and donations
Use of University resources
Nepotism and personal relationships
Solicitation
Gifts and gratuities

Contracts

Waldemar A. Comas

Office of General Counsel

Dana H. Lee

Negotiation of contract terms
Review of contract language
Processing and execution of contracts

Gift Restrictions

Larissa Reece

Office of University Development

Larissa Reece or her designee

Requirements relating to use of donor funds
Statutory or regulatory limits on donor gifts
Tax treatment

Employment discrimination / Sexual or racial harassment / Disabilities

As applicable, Chancellor for Health Affairs or respective Dean,  

Human Resource Department and the Office of General Counsel

Theresa Haviland and  Dana H. Lee 

Unfair treatment or harassment on the basis of a protected classification, such as sex, religion, race, ethnicity, disabilities

Environmental Health & Safety

Michael Rogovin

EHS Department

Sarah Cottet

OSHA
Fire safety & inspections
Building Safety
Construction and housing codes
Asbestos
Chemical and oil spills
Biosafety
Electrical safety
Energy plant

Faculty Practice Plans (at New York City Health and Hospital Corporation (NYCHHC))

Stephen Piccolo

Senior Vice President for Administration and Finance and Chief Financial Officer and the Affiliation Office for NYCHHC

Percival Liongson, and Phy-CARE’s Compliance Officer

Agreements
Doctors Council
Hospital Affiliations

Fiscal

Stephen Piccolo

Controller’s Office

George Nestler

Cash draws
Disbursements
Allowability of expenses
Accounts receivables
Purchasing
Record security
Accounts payable
Property (Inventory, Tracking, Reporting)
Financial reporting
System controls
Debt management

Human Resources

Michael Rogovin

Human Resources Department

Theresa Haviland

Recruiting and hiring
Employment Immigration and VISA status for employees
Termination and departure
Compensation
Benefits
Leaves
Performance management
Overtime/Overload
Labor relations
EEOC / Affirmative Action
Americans with Disability Act
Workers Compensation

Human Subjects Research

Dean, School of Medicine

Office of Research Administration

Charles Hathaway

Required training
Protocol review
IRB operations
Documentation
Approvals and certification
Adverse event & other reporting
Subject recruiting and informed consent
Federal and state laws and regulations

Immigration (for students, faculty, researchers)

Applicable Dean

Office of International Students and Scholars

Elizabeth Ward

Documents and reporting for international students, faculty, researchers

Information Technology

Stephen Piccolo

Information Services

Sandra Shivers

Use of College computer and communications equipment
Improper use of College email, voicemail and internet service
Data privacy
(See also Data Retention above)

Intellectual Property / Technology Licensing

Dean, School of Medicine

Office of Research Administration and Office of General Counsel

Charles Hathaway

Disclosure of inventions
Patent prosecutions
Commercialization and licensing of College-owned patents
Copyright protections

Payroll

Stephen Piccolo

Controller’s Office

Alex Kajdi

Payroll

Privacy: FERPA / Student Records

Dean, School of Medicine

Registrar

Jennifer Simmons

Requests and subpoenas for student record information
Protection against unauthorized access to and disclosure of covered information of students

Privacy: HIPAA

Waldemar A. Comas

Office of General Counsel

Charles Hathaway for research; Theresa Haviland for employees

Requests and subpoenas for health information
Protection of covered health information
Privacy notices
HIPAA security rule

Radiation Safety

Michael Rogovin

EHS Department

Sarah Cottet

Radiation safety

Real Property & Land Use

Stephen Piccolo

CFO’s Office

Stephen Piccolo

Leases on College buildings from County of Westchester
Purchase and sale of properties
Leasing or subleasing property to outside entities
Compliance with building codes (See also Environmental, Health & Safety above)
Renovation and deferred maintenance

Research Administration

Dean, School of Medicine

Office of Research Administration

Charles Hathaway

Research policy
Grants applications and management
Reporting
Principal Investigators (PIs)

Scientific Misconduct

Dean, School of Medicine

Office of Research Administration

Charles Hathaway

Fabrication, falsification or plagiarism
Investigation of allegations of scientific misconduct
Reporting to appropriate federal and/or state agencies

Security / Campus Safety

Michael Rogovin

Security

William Allison

Campus crime
Workplace violence
Reporting of campus crime statistics
Security preparedness
Emergency/Disaster preparedness and response

Student Financial Aid

Dean, School of Medicine and Stephen Piccolo

Office of Student Financial Planning and Bursar’s Office

Anthony Sozzo and Diane Alexander

Federal student loans
Private student loans
Grants and scholarships
Compliance with federal, state and local laws and regulations

Tax

Stephen Piccolo

Controller’s Office

George Nestler

Compliance with federal, state and local tax codes and regulations

Page Updated: February 18, 2015


 


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