Ethics, Compliance and Audit Services
2015 UC Compliance Symposium
Director of University Policy, Cornell University
Joshua Adams is the Director of the University Policy Office, as well as Director for Cornell's Finance Communications. He has been involved in Cornell's policy process since 1994. Joshua frequently consults with institutions around the world on higher education policy, and is a founding Director of the Association of College and University Policy Administrators (ACUPA). He has spoken throughout North America about centralized institutional policy.
Director of Research Compliance and Integrity, UC Davis
Craig Allison is the Director of Research Compliance and Integrity at UC Davis. His unit monitors federal and state regulatory developments and changes to university policy to ensure the campus operates in compliance with applicable regulations and assesses research compliance risks and opportunities. Craig is as a UC Davis-wide resource, serving on multiple campus compliance committees, and developing research compliance policies and procedures in response to the rapidly evolving state and federal laws and regulations. He is a senior leader with over twenty years of experience in internal investigations, and interpreting/applying complex federal and state statutes and regulations including the federal sentencing guidelines. He also has substantial experience in developing regulatory compliance programs for private companies. Prior to joining UC Davis, Craig worked in the private sector handling complex civil and criminal litigation, and compliance matters in the areas of environmental, health care, tax, securities, antitrust, and immigration. Craig also has a solid science background, having obtained an undergraduate degree in Biological Sciences (Entomology) and a Masters of Public Health from UC Berkeley. He obtained his Juris Doctor from King Hall here at UC Davis.
Vice President—Information Technology Services and Chief Information Officer, UC Office of the President
Tom Andriola joined the University of California as Vice President—Information Technology Services and Chief Information Officer in October 2013. He oversees the information technology (IT) function, helps guide system-wide technology initiatives, and provides leadership for the development of a long-term strategic vision for technology and digitalization at the UC System. In collaboration with campus and healthcare leadership, he plays a key role in exploring opportunities both for achieving system-wide efficiencies through shared services, and for developing technology innovations to support the UC missions of teaching, research, and patient care. Andriola brings over twenty years' of executive experience driving change and innovation through the use of technology. As an enterprise technology executive, he has helped organizations define their IT vision and implement a broad range of solutions to achieve competitive advantage. He has led change initiatives to achieve operational synergies and the adoption of shared services. He has also built software and IT services businesses in the healthcare sector.A champion of innovation in the global market, Andriola has run organizations across four continents, working for organizations such as Philips, Marconi PLC, Sapient, and Price Waterhouse Coopers.
Maria R. Anguiano
Vice Chancellor for Planning & Budget, UC Riverside
In her position as Vice Chancellor for Planning & Budget, Maria R. Anguiano oversees budget administration, campus operating funds, resource planning and management, financial policy, information systems support, statistical information management, institutional research, and capital, environmental, space, and strategic planning. The Vice Chancellor represents the campus with the UC Office of the President and all external agencies on financial matters. She holds an MBA degree from the Stanford Graduate School of Business and a BA from Claremont McKenna College.
Chief Compliance Officer, Health System and the David Geffen School of Medicine, UC Los Angeles
Marti Arvin has sixteen years of experience in healthcare compliance with academic medicine as her primary area of focus. In her current position as the Chief Compliance Officer for the UCLA Health System and David Geffen School of Medicine she is responsible for the compliance program for the hospitals, the faculty practice group and the School of Medicine, including privacy and information security compliance. She also currently acts as the Liaison on HIPAA Privacy Compliance issues for Ethics, Compliance & Audit Services at UCOP. Prior to her position with UCLA, she was the Chief Privacy Officer for the University of Louisville. She holds the CHC-F, CCEP-F, CHPC, CHRC, and the CPC certifications. She has written and lectured extensively on compliance and privacy issues.
Kathryn A. Atchison
Vice Provost, New Collaborative Initiatives; Professor, School of Dentistry and School of Public Health; UC Los Angeles
Kathryn A. Atchison is Vice Provost of New Collaborative Initiatives at UCLA. Previously, Dr. Atchison served as the Vice Provost of Intellectual Property and Industry Relations and led the transformation of the Office of Intellectual Property (OIP) by encouraging open communication with faculty, initiating a student internship program, and moving industry contracting into the OIP to enable better service to industry. She received her D.D.S. degree from the Marquette University Dental School in 1978 and M.P.H. degree from Boston University School of Public Health in 1982.
Chief Campus Counsel, UC Riverside
For the past two and half years, David Bergquist has served as Interim Chief Campus Counsel at UC Riverside. During the prior ten years David served as Senior Campus Counsel at UCSF and as Senior Counsel in the Office of General Counsel in Oakland, serving the UCR, UCSD, UCI, UCLA and UCSB campuses on a variety of matters. Prior to his tenure at the University of California, David was an equity partner in the San Diego office of McKenna, Long & Aldridge where he represented a number of the largest public and private entities in the region, on a wide variety of matters. David is a graduate of Gustavus Adolphus College in Minnesota and University of Minnesota Law School, where he served as Managing Editor of the Journal of Law & Inequality. David is a frequent author and lecturer for various local, state and national publications and trade organizations.
Export Control Officer, UC Irvine
Marci Copeland is Export Control Officer, at the University of California, Irvine. Marci, in conjunction with the campus Export Control Advisory Committee, directs and advises the UCI campus community in regard to export control compliance. Marci has worked in the UCI Office of Research in training and export control compliance for seven years. She earned an MBA at Pepperdine University in 2002 and a Bachelor of Arts in History from UCI in 1997. She has been a speaker on export controls at the National Council of University Research Administrators (NCURA), SRA International and the UC Risk Summit.
Director and Locally Designated Official, Administrative Policies & Compliance Office, UC Los Angeles
Bill Cormier has been the Director of the UCLA Administrative Policies & Compliance Office since 1995. Concurrently, and since 1986, he has also been the Director of Administrative Services for the UCLA Capital Programs organization. He is also the Locally Designated Official (LDO) for Whistleblower Policy matters, the HIPAA Privacy Officer, and serves as UCLA’s representative on the Rose Bowl Operating Company Board of Directors. He has a B.A. and a J.D. from UCLA and is a member of the California State Bar Association. He is a Vietnam veteran (USMC).
Manager, Clinical Research Billing Compliance , UC Los Angeles
Shanley Curran is the Manager of Clinical Research Billing Compliance for the UCLA Health System and David Geffen School of Medicine, where she initiated and continues to oversee a robust CRB compliance program following the Effective Compliance Program format. She also Chairs the Inter-University Collaboration Call Subgroup for CRB. Prior to her compliance focus, Shanley spent several years negotiating contracts for nondisclosure agreements, study agreements, and other research-related agreements for animal and human subject research conducted at Cedars-Sinai Medical Center in Los Angeles, practiced civil and family law sitting second chair in Federal and State Court, taught as an Adjunct Law Professor, worked in the California Court of Appeal 2d District drafting bench opinions, and spent ten years as a Registered Nurse in the Pediatric Intensive Care Unit.
Chief Compliance Officer, UC Davis
Wendi Delmendo is Chief Compliance Officer for the University of California, Davis campus. In this role, she is responsible for establishing and implementing a comprehensive campus ethics and compliance oversight program and serves as the University’s implementing official for purposes of the University’s whistleblower program. She is responsible for ensuring the campus meets its legal obligations under Title IX, the ADA, state and federal discrimination and affirmative action laws, the Clery Act, privacy laws and the University’s whistleblower and whistleblower retaliation policies. Prior to joining UC Davis, Ms. Delmendo litigated labor and employment disputes. Ms. Delmendo holds a Juris Doctor from the University of Washington School of Law and a Bachelor of Science from UC Davis.
Assistant Vice Chancellor for Research, UC San Diego
Marianne Generales has been with the University of California, San Diego for over twenty years, serving as Assistant Vice Chancellor for Research since 2003. Marianne is Chief of Staff for the Vice Chancellor for Research organization, with primary responsibility for campus research compliance matters. Marianne also serves as chief strategist for the VCR and as a campus Financial Officer overseeing Resource Administration for the Vice Chancellor for Research and Organized Research Units. She was the inaugural chair of the UC San Diego Enterprise Risk Management Subcommittee for the Compliance, Audit, Risk and Ethics (CARE) Committee; and champions the development of Electronic Research Administration tools to enhance services, support and compliance for faculty and staff. Over the past several years, she has overseen the rollout of multiple electronic research-serving platforms including e-MTA, ePD, e-RSAS, and e-Disclosure with plans for several others underway.
Chancellor, UC Irvine
Howard Gillman, Ph.D., became UC Irvine’s sixth chancellor on Sept. 18, 2014. He had previously served as provost and executive vice chancellor since June 2013 and interim chancellor since July 1, 2014. An award-winning scholar and teacher, he has academic appointments in the departments of political science, history, law, and criminology, law & society. Prior to his appointment as provost and executive vice chancellor at UC Irvine, Dr. Gillman was a professor of political science, history, and law at the University of Southern California. From 2007 to 2012, he served as dean of the USC Dornsife College of Letters, Arts and Sciences. He earned bachelor's, master's, and doctoral degrees in political science at UCLA.
Charles E. Greer, Jr.
Senior Counsel, Environmental & Land Use, Office of General Counsel, UC Office of the President
Charles E. Greer, Jr. is the Associate Vice Chancellor for Research in the Research and Economic Development (RED) Office of UCR. In this capacity he oversees RED’s Sponsored Programs Administration (SPA), Research Integrity (IRB, IACUC, COI, SCRO, and IBC), and Campus Veterinarian services. He has over 25 years of experience in contract and grant management/research administration with the University of California as well as the Federal government and held positions as Assistant Vice Chancellor/CFAO, Assistant Director of SPA, Contracts Officer, Small Business Procurement Advisor/Program Manager, and Senior Contract Negotiator.
Corporate Vice President, Head of Global Compliance for Jabil Circuit, Inc.
Odell Guyton, JD, CCEP, CCEP-I, is the Corporate Vice President, Head of Global Compliance for Jabil Circuit, Inc., St. Petersburg, Florida, USA, a diversified manufacturing services company with over 200,000 employees in 33 countries. Mr. Guyton is a Society of Corporate Compliance and Ethics (SCCE) Co-Founder and Co-Chair. He is a recognized industry leader in designing, implementing, and managing effective corporate compliance programs for multi-national organizations. He has a significant track record of accomplishment in the legal field and the domestic (U.S.) and international compliance and ethics field. He studied bio-ethics at the University Of Pennsylvania School Of Medicine and received his Juris Doctor degree from the American University, Washington College of Law and earned his Bachelor of Arts degree from Moravian College, Bethlehem, Pennsylvania.
Director of Athletics, UC Los Angeles
Dan Guerrero is the Director of Athletics at UCLA, a position he has held since 2002. During his tenure, he has guided the athletic program to 26 national championships in 14 different sports, a national leader. UCLA stands as the No. 1 University in the nation for NCAA team championships won with 112. The program has also won 56 conference championships in 15 different sports and produced nearly 600 All-Americans. Guerrero joined UCLA after 10 years as the athletic director at UC Irvine. Prior to arriving at UC Irvine, Guerrero oversaw the athletic program at Cal State Dominguez Hills. Guerrero earned a Master’s degree in Public Administration in 1982 from Cal State Dominguez Hills and received his Bachelor’s degree from UCLA in 1974 while playing second base for the Bruin baseball team for four years.
Provost and Executive Vice Chancellor, Distinguished Professor of Classics and Comparative Literature, UC Davis
Brett Henrikson joined the Office of the General Counsel in October 2013 as Senior Counsel. Brett’s practice generally focuses on environmental, health and safety matters, including Cal/OSHA and other worker safety regulations. Prior to joining UC, Brett worked at Los Alamos National Laboratory, Chevron Corporation, and the law firm of Barg Coffin Lewis & Trapp. Brett received his undergraduate degree from Duke University and his law degree from Harvard Law School.
Michelle L. Hermas
Director, International Affairs UC Davis
Michelle Hermas joined the Office of International Affairs in 2006 and has served as Director for the past five years. Michelle oversees campus policy on international agreements (including MOUs), and is responsible for all matters related to these documents. She manages requests from representatives of universities and research institutions abroad who propose to visit UC San Diego for the purpose of collaboration building. Michelle also provides strategic planning and support for UC San Diego's engagement with the world outside the United States, serves as a resource for academic divisions, research units and professional schools on executing their international strategy, and works with University leadership on the effectiveness and efficiency of processes in support of global education and research. Prior to joining the Office of International Affairs, Michelle managed an HIV public health program for the County of San Diego, and taught English as a second language in Gotemba, Japan. She holds a Master of Arts in Applied Sociology from Northern Arizona University, and a Bachelor of Arts in Sociology from UC San Diego.
Ralph J. Hexter
Provost and Executive Vice Chancellor, Distinguished Professor of Classics and Comparative Literature, UC Davis
Ralph J. Hexter has been Provost and Executive Vice Chancellor at UC Davis since January 1, 2011. As Provost and Executive Vice Chancellor, he serves as the No. 2 person in the UC Davis administration, reporting directly to Chancellor Linda P.B. Katehi and representing the Chancellor in her absence. He is the campus’s chief academic officer and in that post, oversees the work of the deans and serves as the Chancellor's principal liaison to the Academic Senate. Provost/EVC Hexter is responsible for leading the development of academic priorities and strategies; recruiting and retaining adiverse and talented faculty; supporting strategic international initiatives and engagement; planning and implementing the 2020 Initiative, which will eventually grow the University's student body by about 5,000 students, and add a commensurate number of faculty; and in coordination with the Chancellor, leading the University's strategic planning process, allocating resources to advance strategic priorities, and managing the daily operation of the campus. He has degrees from Harvard, Oxford (Corpus Christi College) and Yale.
Campus Privacy Officer, UC Berkeley
Lisa Ho is the Campus Privacy Officer at UC Berkeley. Lisa joined UCB's Office of Ethics, Risk and Compliance in Oct 2014 to set up a privacy program that aims to align campus practices with the University's privacy values. Prior to this role, Lisa was IT Policy Manager at UC Berkeley and held a similar role at San Francisco State University.
President, Joseph & Edna Josephson Institute of Ethics
Michael Josephson, a former lawyer, law professor, and successful entrepreneur, is one of the nation’s most respected and sought-after speakers and consultants in the field of ethics and character, with a special expertise in the area of ethics and character in schools and the workplace. In 2009, he was named UCLA Alumnus of the Year, an honor given to only 60 of the 500,000 people who have earned degrees from UCLA. He has also received America’s Award for Integrity presented by former President Ronald Reagan. In 1987, after a distinguished 20-year career teaching law and as the CEO of a prominent legal education company, he resigned his professorship and sold his business to found the Joseph & Edna Josephson Institute of Ethics, a nonprofit organization named in honor of his parents. Mr. Josephson serves as the Institute’s president. Proceeds from his presentations and consultations go directly to the Institute.
Assistant Provost, UC Riverside
Since 2009 Bill Kidder has served as UC Riverside’s Assistant Provost, a wide-ranging position that includes policy and investigative work in faculty discipline and grievance matters. He also serves as UCR’s LDO for whistleblower and whistleblower retaliation complaints. Previously he worked at the UC Office of the President and at UC Davis. As a side interest, Bill has authored a number of works over the years related to diversity and higher education access. He was cited in Justice Sotomayor’s dissenting opinion in last year’s Schuette v. Coalition Supreme Court case. His articles on affirmative action have been published in the Journal of College & University Law, Stanford Law Review, Texas Law Review and elsewhere. Bill earned J.D. and B.A. degrees from UC Berkeley and he serves on the board of Asian Pacific Americans in Higher Education (APAHE).
Vice Chancellor - Business and Administrative Services, UC Santa Cruz
Sarah Latham has been with UC Santa Cruz since 2012. In her capacity as Vice Chancellor, she oversees all business and administrative functions for the campus. Her division portfolio includes physical planning, plant operations, real estate, financial affairs, human resources, risk services, residence life, and auxiliary services. Prior to her tenure at UC Santa Cruz, she spent a decade at Samford University in Birmingham, Alabama where she served as Vice President for Operations and Planning. Sarah holds a B.S. from the University of Alabama at Birmingham and an M.S. and PhD from Florida State University.
Principal Investigator, Ethics, Compliance & Audit Services, UC Office of the President
Irene Levintov is a Principal Investigator in the Office of Ethics and Compliance. Her main responsibility is working on UCOP and campus investigations of employee misconduct, fraud, harassment/discrimination, retaliation and other whistleblower matters. Irene is a CPA certified in California and holds a CCEP certification. Prior to coming to UC in 2010, Irene worked in public accounting and has 15+ years of experience in consulting, financial and operational audits.
Director, Internal Audit, UC Santa Cruz
Barry Long is the director of Internal Audit and Advisory Services at the University of California, Santa Cruz (UCSC). In this role, Barry is responsible for carrying out the UC Regents approved internal audit program at UCSC by providing independent and objective assurance and consulting services designed to add value and improve operations. His office conducts an annual integrated risk assessment and audit program planning exercise designed to improve campus risk intelligence and prioritize the deployment of resources. Barry has spent his professional career auditing in the public sector: in healthcare with the State of California and County of Santa Clara; in federal contracting at the Lawrence Livermore National Laboratory; and most recently in higher education at UCSC. Barry is a graduate of San Diego State University, with a B.S. in Business Administration; and is a Certified Public Accountant.
Administrative & Finance Manager/MSO, Global Health Sciences/AIDS Research Institute/Department of Epidemiology & Biostatistics, UC San Francisco
Georgina Lopez is the Director of Finance and Administration for the AIDS Research Institute (ARI), Global Health Sciences (GHS) and the Department of Epidemiology and Biostatistics (DEB) at the University of California San Francisco. GHS is a campus-wide organization that works to coordinate international activities being conducted on campus by UCSF investigators. Ms. Lopez oversees and manages all financial and administrative matters for the ARI, GHS and DEB. She manages all pre- and post-award functions which includes awards from a wide range of funding agencies, including private, federal, state, local, and international governmental and international private organizations for all research projects of faculty and academic staff at GHS/DEB. She oversees operations at multiple off-campus locations including several local and international sites.
Director - Public Records Office, UC Irvine
Tawny Luu has served as the Director of the UC Irvine Public Records Office since 2008, and was more recently appointed as the campus Privacy Official. She serves as the campus expert on the California Public Records Act and the Information Practices Act, and has working knowledge of FERPA and HIPAA. Tawny is an alumna of UC Irvine and holds a J.D. from Loyola Law School, Los Angeles.
Senior Director of Research Compliance, UC San Francisco
Eric Mah was appointed Senior Director of Research Compliance at UCSF in 2011. Eric provides guidance and direction regarding research compliance regulations, policies, and procedures. He also serves as the Research Integrity Officer and Program Director of Regulatory Knowledge and Support in UCSF’s Clinical & Translational Science Institute. His area of expertise is in the responsible conduct of research, conflicts of interest, and human research protection, and is a regular speaker at national conferences. In 2010, he was appointed to a consumer protection board for the state of California by the Speaker of the Assembly. Eric has also held leadership positions in research administration and compliance at UC Davis and UCLA, his alma mater where he earned a bachelors in arts in philosophy (ethics). Eric earned his master’s degree from the Johns Hopkins School of Public Health.
Senior Counsel, Office of General Counsel, UC Office of the President
Rowena R. Manlapaz is a member of the Office of the General Counsel’s Business Transactions practice group. Before joining the University, Ms. Manlapaz was a Vice President and Associate Counsel at AMB Property Corporation, a real estate investment trust, where she oversaw legal matters for the company’s Latin American operations, and an associate attorney at the law firms of Coblentz, Patch, Duffy & Bass LLP and Morrison & Foerster LLP. She is a graduate of Cornell University (B.A. 1993) and the University of California, Berkeley, School of Law (Boalt Hall) (J.D. 1996). She also studied at Waseda University in Tokyo, Japan.
Coordinator, Research Policy & Compliance, UC Los Angeles
Roslyn Martorano is the Systemwide Privacy Manager for the University of California, where her duties include working with the campuses to develop and implement their privacy programs, as well as providing training and support to campus privacy officials. Roslyn holds a J.D. from Albany Law School and a B.S. from Arizona State University.
Privacy Official and Policy Coordinator, UC Santa Barbara
Tessa Mendez is the Privacy Official and Policy Coordinator at UC Santa Barbara. She graduated from the University of Denver, Sturm College of Law prior to joining UC.
Associate Professor, Chemistry & Biochemistry, UC Los Angeles
Professor Merlic directs a research group in the UCLA Department of Chemistry and Biochemistry focusing on applications of transition metal organometallic chemistry to organic synthesis and extends from catalysis to synthesis of new chemotherapeutic agents. He has also created award-winning online educational projects. Professor Merlic actively promotes chemical safety at UCLA and in the University of California system. He serves as chair of the Department of Chemistry and Biochemistry Safety Committee and chair of the campus-wide Chemical and Physical Safety Committee and is a member of the UCLA Safety Oversight Committee. At the University of California system-wide level, he is the Executive Director of the UC Center for Laboratory Safety. The Center has ongoing projects to improve laboratory safety policies, procedures, and training based on scientific studies. He also directed information technology groups creating safety software tools for use at all ten university campuses.
Coordinator, Research Policy & Compliance, UC Los Angeles
Claudia Modlin is the Coordinator of Research Policy & Compliance within the Office of the Vice Chancellor for Research at UCLA. She has a J.D. from the Loyola Law School, Los Angeles. She is a member of the State Bar of California.
Research Policy Analyst , UC Office of the President
Dragana Nikolajevic is a Research Policy Analyst with the Research Policy Analysis and Coordination office of UCOP (RPAC). A unit of the Office of Research and Graduate Studies (ORGS), RPAC provides systemwide coordination, guidance and assistance in the development, interpretation and implementation of policies and external rules in the conduct of extramurally funded research at the University of California. While Dragana’s focus is human and animal subject research, she is currently managing a UC system wide needs assessment project for international research and activities, looking at campus needs, resources and best practices related to international research. Prior to her policy work with RPAC, Dragana was involved in several UC global health programs and she managed several international research and non-profit initiatives across Central and Eastern Europe.
Chief Campus Counsel, UC San Diego
Daniel Park provides legal advice, works outside counsel, oversees litigation, reviews university policies, and works closely with other administrative offices to ensure legal compliance, implement effective legal risk management, and respond to disputes. In 2014, the San Diego Business General honored Dan as the General Counsel of the Year for Large Non-Profit Organizations. In 2012, Dan was elected to the American Law Institute, the nation’s leading independent organization producing scholarly work to clarify, modernize, and otherwise improve the law. In 2011, the San Diego Daily Transcript recognized Dan as one of the top in-house counsel in San Diego. In 2014, the San Diego Business Journal named Dan the General Counsel of the Year for Large Non-Profits in San Diego. Dan has published scholarly articles in different law journals and is the author of “The Legal Mind: How the Law Thinks,” an explanation of why and how the legal system works the way it does.
Export Compliance Officer, Oregon State University
Mark Peters joined OSU in October 2014 as Export Compliance Officer. Mark was hired to establish an institution wide export compliance program as part of the institutions far reaching compliance initiative. Previously, Mark established the export compliance program at Oregon Health & Science University starting in April of 2011 until joining Oregon State University. Mark started his trade career with the U.S. Department of Commerce and was the Director of the U.S. Export Assistance Center in Missoula, MT. As an International Trade Specialist with the U.S. Department of Commerce, Mark has held assignments in Missoula, Montana, Portland, Oregon; San Diego, California; Osaka, Japan; and Buenos Aires, Argentina.
Luanna K. Putney
Associate Chancellor & Senior Advisor To The Chancellor, UC Merced
Luanna Putney is Associate Chancellor and Senior Advisor to the Chancellor at UC Merced. Luanna serves as the Campus Ethics and Compliance Officer responsible for the UC Merced Ethics & Compliance Program and the Locally Designated Official responsible for oversight of investigations into allegations of improper governmental activities and retaliation. She also has administrative oversight for Internal Audit, the Ombuds Office, Title IX/EEO/AA and the CARE Office for victims of sexual violence. Luanna additionally oversees the UC Merced Privacy Initiative, Policy Office, and the Employee Assistance Program. Before joinging UCM, she served as Executive Director of Ethics & Compliance at the UC Office of the President. Having worked in both scientific and administrative roles at UC, at both UC Davis and UC San Francisco, she has considerable higher education compliance experience in areas surrounding animal and human subjects protection, intellectual property, conflict of interest, start-up ventures, and regulatory compliance. She has a B.S. from California State University, Chico and Ph.D. from UC Davis.
Vice Chancellor, Legal Affairs, UC Los Angeles
As Vice Chancellor-Legal Affairs, Kevin S. Reed oversees UCLA’s provision of campus-wide legal services, counseling, advice, assistance and litigation. He also supervises the provision of ombuds services, the prevention of sexual harassment and compliance with Title IX. A civil rights lawyer by training, Reed joined UCLA in March 2008, after serving as general counsel of the Los Angeles Unified School District (LAUSD), the nation’s second largest school district. In nearly five years there, he directed LAUSD legal affairs, conducted litigation for the district and oversaw the work of 40 outside law firms and 40 in-house attorneys. Prior to joining LAUSD, Reed spent nearly 8 years in a boutique litigation firm, which followed six years as the managing attorney for the western regional office of the NAACP Legal Defense and Educational Fund, Inc., in Los Angeles. Reed received his J.D. degree, cum laude, from Harvard Law School and his B.A. with distinction, from the University of Virginia. He is a member of the California, New York and Massachusetts state bars.
Shara Merritt Reed
Deputy Compliance Officer, UC Davis Health System
Shara Reed currently serves as the Deputy Compliance Officer for the UC Davis Health System (UCDHS). In this role, she is responsible for overseeing the Compliance Department’s privacy, investigations, and research compliance programs. Prior to coming to UCDHS, Ms. Reed was employed as the Chief Compliance Officer, Privacy Officer and In-House Counsel for the Center for AIDS Research, Education and Services (CARES) in Sacramento. Other work experience includes serving as a Health Law Associate at the law firm of Augustine Kern and Levens, Ltd. in Chicago, Illinois and as a Law Clerk in of Office of Inspector General (“OIG”) at the U.S. Department of Health and Human Services (DHHS) in Washington, D.C. She received her BA and MPH degrees from the University of North Carolina, Chapel Hill and her Juris Doctorate from Loyola University, Chicago where she graduated with a specialization in Health Law studies. She also has a Certification in Health Care Compliance (CHC) from the Health Care Compliance Association (HCCA).
Chief Information Security Officer, UC Office of the President
David Rusting is the Chief Information Security Officer (CISO) at (UCOP), where he develops and implements information security strategy and collaborates system-wide on a variety of initiatives. He was previously the CISO at UCSF, and his experience covers multiple industry areas, including financial, healthcare, higher education, energy and related public sectors. Leveraging a unique blend of creativity, business acumen and technology expertise, he promotes a risk-based approach toward information security in collaboration with functional teams such as ethics and compliance, legal affairs, risk management and privacy. David is an alumnus of both UC Berkeley and the University of Michigan, Ann Arbor, and holds numerous certifications in the areas of information security, privacy, audit, IT governance, and business continuity.
Assistant Vice Chancellor, Research Administration and Compliance Office, UC Berkeley
In his role as Assistant Vice Chancellor, Patrick Schlesinger is responsible for facilitating and ensuring UCB compliance with federal, state, and university regulations pertaining to research administration, including policies governing research animal care and use, human research subjects protection, financial conflict of interest in research, export controls and grants and contracts administration. He has a B.A. from San Diego State University and a J.D. from George Washington University.
Senior Counsel - Governance & Compliance, UC Office of the President
Maria Shanle has been an attorney in the Office of the General Counsel since 2000. She is the lead attorney for OGC's Governance and Public Accountability group. Maria's primary areas of practice include issues relating to FERPA, the Information Practices Act and related privacy issues, the California Public Records Act, Open Meeting laws, Conflict of Interest and Governance.
Kelly Doyle Simmons
Analyst, Office of Ethics and Compliance, UC San Francisco
Kelly Doyle Simmons is a compliance and academic analyst at UCSF. Serving both the Office of Ethics and Compliance and the Office of the Vice Provost, Academic Affairs, Kelly provides wide-ranging analytic and forensic support to committees tasked with investigating allegations of research misconduct and faculty misconduct. Kelly earned a B.A. in journalism from the University of Wisconsin, Madison and a J.D. from the University of San Francisco School of Law. She joined UCSF in 2013.
Records Retention Schedules Project Lead, Information Technology Services, UC Office of the President
Laurie Sletten has more than thirty years of experience in records and archival management. She has worked in the fields of archives and records management in university settings at Oregon State University, the Oregon University System and Harvard University as well as in state and federal government environments. She has taught courses in archives and records management at the graduate and undergraduate level in the US and Australia. She has written articles and presented to various groups including the Association of Information Management Professionals and National Association of Government Archivists and Records Administrators. She has an M.A. from the University of Denver and is a Certified Records Manager and Certified Archivist.
Director of Environmental Health and Safety (interim), UC Office of the President
Ken Smith is the Interim Director of Environmental Health and Safety for the University of California. He currently works in the University of California Office of the President assisting all 10 UC campuses in their efforts to improve their laboratory safety programs. Ken has served the UC system for 24 years in the areas of Radiation Safety and Research Safety. Ken is an alumnus of UC Santa Cruz where he received his B.A. in Biochemistry and Molecular Biology. Ken holds board certifications in Industrial Hygiene, Laser Safety, and Health Physics. He is also a Nationally Registered Radiation Protection Technician.
Senior Director, Technology, Student Affairs, UC Riverside
Robert Smith, CISSP, PMP, is the senior director of technology for student affairs at UC Riverside. He has been with the university since 2011 and is the lead for IT security and compliance, software development, infrastructure, services and program management. During his 30 years in technology he has worked on projects in the FDA/HIPAA regulated, DoD, corporate and product development environments. Notably, he ran enterprise endpoint security product development and other smaller projects during his years at Symantec. He participates in UC-wide security initiatives, focused on shared services, PCI and HIPAA. He has written articles and short stories on security and IT for Journal of GxP Compliance. He speaks on IT and security topics.
Campus Information Security Officer, UC Irvine
Isaac Straley, CISSP, is the Campus Information Security Officer (CISO) for UC Irvine. He has been with the university since 2005 and is the lead for information security and privacy risk management, compliance, and breach incident response. He has been recognized for his work in information security, including receiving the Award for Excellence in Criminal Investigations from the International Associations of Chiefs of Police. He actively participates in UC-wide and EDU-wide security initiatives, especially focused on cloud computing and privacy.
John D. Stobo
Senior Vice President, Health Sciences and Services, UC Office of the President
John D. Stobo, MD, is senior vice president for health sciences and services for University of California. In this capacity he is responsible for systemwide coordination and communication among UC’s seventeen health professional schools and five medical centers, known collectively as UC Health. He coordinates policy development and oversees the development of mechanisms for monitoring and disseminating best practices that ensure quality and performance. He also oversees strategic planning and advocacy efforts as well as the development of systemwide initiatives designed to enable UC Health to successfully meet the challenges of the rapidly changing health care environment.
Samuel J. Traina
Vice Chancellor for Research and Economic Development, UC Merced
Sam Traina is Vice Chancellor for Research and Economic Development at University of California Merced. His responsibilities at UC Merced include research oversight, external funding for research, collaborative partnerships between faculty/staff/students/external constituents, and overall administration of the University’s research arm. He is also a professor in the Schools of Natural Sciences and Engineering. He received a B.S. in Soil Resource Management and a Ph.D. in Soil Science from the University of California, Berkeley, and conducted postdoctoral study at the University of California, Riverside. Dr. Traina’s research focuses on the fate and transport of contaminants in natural environments with an emphasis on surface- chemical reactions in soils and sediments. He served as a faculty member at Ohio State University from 1985-2002, receiving the Distinguished Multidisciplinary Team Research Award and the Distinguished Research Award from the Ohio Agricultural Research and Development Center, and he became a fellow of the Soil Science Society of America in 2001. Dr. Traina is also a fellow of the American Association for the Advancement of Science. He came to UC Merced in 2002 as the founding director of the Sierra Nevada Research Institute before becoming Vice Chancellor.
Systemwide Policy Coordinator, Ethics, Compliance & Audit Services, UC Office of the President
Andrei Trifonov is the Systemwide Policy Coordinator for the University of California, where his duties include developing a comprehensive review and approval process for Presidential Policies, maintaining the systemwide policy library and facilitating the Policy Advisory Committee. Andrei is tasked with developing the systemwide policy framework, providing support to campus policy managers and facilitating the review and approval of presidential policies. Andrei earned a J.D. from SUNY Buffalo School of Law and an M.B.A from SUNY Buffalo School of Management.
Senior Vice President and Chief Compliance & Audit Officer, UC Office of the President
Sheryl Vacca directs and oversees the University’s systemwide compliance and internal audit programs. She serves on editorial and professional association boards related to compliance and internal audit. She has also published and presented internationally on the subjects of compliance and/or internal audit. She has a M.S. from Texas Woman’s University and has received several awards for her individual contributions to the profession.
Founder and Director of, Califorensics
Don Vilfer specializes in general and complex investigative matters and leads the firm's computer forensics practice. He also is an experienced presenter, and media commentator, regularly giving presentations and Continuing Legal Education on aspects of computer forensics to professional groups and law firms. He previously served in the FBI as the Special Agent in charge of the White Collar Crime and Computer Crime Unit in Sacramento. Prior to this supervisory detail, he was assigned to the Washington D.C. Field Office, where he worked such major cases as the BCCI International bank fraud and the Broken Faith case involving public corruption in our Nation's capitol. He was later appointed a Supervisory Special Agent at FBI Headquarters in Washington D.C., leading a rapid-response major case management team at venues from The White House to the Oklahoma City Bombing. After his tenure in the FBI, he held the position of Senior Director of Litigation Support and Investigative Services for a large accounting firm in Sacramento. He has a J.D. from Ohio State University and is certified in computer forensics and phone forensics. He has provided testimony in over 80 cases involving digital forensics.
Research Compliance Officer and Director of the Office of Research Oversight, UC Irvine
Andrew Walton has been the Research Compliance Officer and Director of the Office of Research Oversight for the University of California, Irvine for the last 7 years. Previously to joining the Research Compliance Office, Andrew was the Associate Director of the Islet Transplant Program at UC Irvine. Before joining UC Irvine, Andrew oversaw one of the largest clinical stem cell transplant laboratories in the county at the City of Hope National Medical Center. Additionally, he has supervised Clinical Laboratories, Blood Banks, Transfusion Services and Blood Donor Departments at academic and community based medical and research centers. Andrew has over 25 years of experience as a regulatory specialist and inspector for several national regulatory organizations that accredit medical and research facilities by auditing their laboratory, clinical, and research operations. He is the current Chair of the AABB Cellular Therapy Accreditation Committee that provides technical documentation and guidance for the accreditation of cellular therapy programs and research laboratories in the United States and Internationally. Andrew is licensed by the State of California as a Clinical Laboratory Scientist. He is board certified by the American Society of Clinical Pathology as a Laboratory Scientist and has a specialist certification in Blood Banking/Transfusion Medicine.
Brian Mitchell Warshawsky
Systemwide Export Control Officer, Ethics, Compliance & Audit Services, UC Office of the President
Brian Mitchell Warshawsky serves as the Systemwide Export Control Officer for the University of California and has served on the AAU/COGR Troublesome Clauses Taskforce I and II, participated as a panelist and presenter for COGR, NCURA, NACUA, SRA and GUIRR programs on international contracting and export controls. He holds both a B.A. and J.D. from Michigan State University and is a Certified Compliance and Ethics Professional.
Nancy L. Wayne
Associate Vice Chancellor for Research and Professor of Physiology, UC Los Angeles
Dr. Nancy Wayne is Professor of Physiology at the David Geffen School of Medicine at UCLA and UCLA Associate Vice Chancellor for Research. She is the principal investigator of federally funded research in the area of reproductive neuroendocrinology. A basic science researcher, she investigates the biology of GnRH neurons in the central nervous system that control reproduction. Her laboratory studies mechanisms controlling GnRH neuron physiology in order to better predict clinical outcomes regarding reproductive maturation and fertility. As Associate Vice Chancellor for Research, Dr. Wayne’s portfolio is focused primarily on laboratory safety. She is responsible for communications with faculty with the objective of enhancing the effectiveness of laboratory safety programs and policies, in coordination with laboratory researchers in over 4000 labs on campus. She works closely with Environment, Health & Safety (EH&S) and other groups on campus in improving compliance with state- and federally-mandated safety regulations. As Chair of the Advisory Board of the UC Center for Laboratory Safety, she is working on a variety of lab safety research projects with the ultimate goal of improving lab safety policies and implementation of lab safety regulations based on empirically derived data.
Export Control Officer, UC San Diego
Brittany Whiting is the UC San Diego Export Control Officer and serves as the campus leader for designing, developing, and implementing an export control education, licensing, and compliance program. She has held positions in higher education at UC Santa Cruz for export control and dangerous goods shipping, and in industry with Advanced Micro Devices (AMD) a $5B semiconductor manufacturer with global operations. Having worked in more than 25 countries with leading international companies and organizations, Ms. Whiting is a recognized international trade consultant and trainer for organizations such as the United Nations Environment Programme training customs officers in around the world in import/export licensing systems. Ms. Whiting received her Bachelor’s Degree in International Affairs and Latin American Studies at George Washington University and holds a Master’s Degree in International Commerce and Policy from George Mason University.
Charlene Zettel is a Member of the University of California Board of Regents and was appointed in 2009 to a 12 year term. She is the Chief Executive Officer of Donate Life California, the state-authorized nonprofit administering the nation’s largest organ and tissue donor registry. Gubernatorial appointments included Director, San Diego Office of the Governor, Board Member, San Diego Regional Airport Authority, and Director, California Department of Consumer Affairs. She received a BSc from the USC School of Dentistry.
Data Manager, Ethics, Compliance & Audit Services, UC Office of the President
Manfred D. Zorn is Data Manager in the Ethics, Compliance and Audit Services Department at the University of California. His focus is turning data into useful information using modern data analysis and data visualization tools. He recently presented data visualizations at ACUA and the UC Risk Summit. He holds both a M.Sc. and Ph.D. in Biochemistry/Molecular Biology from the University of Vienna, Austria.