Compliance Matrix


The Office of Compliance and Enterprise Risk Management has developed Compliance Matrices which outlines the compliance areas relevant to the individual entities within the organization. The matrices are to serve as a tool so that matters may be directed to the appropriate Responsible Senior Administrators or Responsible Functional Offices identified with each topic.

These are living documents and will be constantly updated timely as more compliance areas are identified and as our organization continues to grow and change. Please forward request(s) to add or amend information should be submitted to Angelica Hardison in the Office of Compliance and Enterprise Risk Management.

Compliance Areas

Responsible Senior Administrator

Responsible Functional Office/Officer

Campus Safety & Security EVP Admin & Finance/CBO
Tony Wagner
Director of Public Safety
James Lyon
Child Care EVP Admin & Finance/CBO
Tony Wagner
Director Auxiliary Administration
Karl Munschy
Comprehensive Loss Control

EVP/General Counsel
Chris Melcher

EVP Admin & Finance/CBO
Tony Wagner

Senior Legal Advisor
Greg Bryan

Sr Manager Purchasing, Contracts UM
Gregory Woodlief

Conflicts of Interest:  Faculty/Staff EVP/General Counsel
Chris Melcher
Chief Integrity Officer
Jim Rush
Contracts and Agreements EVP/General Counsel
Chris Melcher
Respective Signatory Authority or Designee
Cooperative Organizations (MCGHI, Foundations, etc.) Interim President
Brooks Keel
EVP/General Counsel
Chris Melcher
Disaster Preparedness/Emergency Management EVP Admin & Finance/CBO
Tony Wagner
Director, CEP&R
Jasper Cooke
Discrimination - Employees (sexual harassment, ADA, EEOC/AA, etc.) Exec VP Academic Affairs & Provost
Gretchen Caughman
Director, Employment Equity
Glenn Powell
Discrimination - Students (sexual harassment, ADA, EEOC/AA, etc.) Exec VP Academic Affairs & Provost
Gretchen Caughman
VP Enrollment & Student Affairs
Mark Poisel
Export Control Associate VP Research Administration
Sarah White

Ast VP, International Initiative
LD Newman

Sr Coordinator International Services
Beverly Tarver

Enterprise VP, Human Resources
Susan Norton

Biological Safety Officer
Laura Meyer Chapman

Director, Pre-Award Services
Sheree Wright

Associate VP Innovation CommercializationChristopher McKinney

Sr Legal Advisor
Lee Little

Sr Manager Purchasing, Contracts & UM
Gregory Woodlief

Chief Info Security Officer
Walter Ray

VP for Finance
Lee Fruitticher

Registrar
Heather Metress

EVP Admin & Finance/CBO
Tony Wagner

Facilities EVP Admin & Finance/CBO
Tony Wagner
VP for Facilities Services
Philip Howard
Financial Operations
(including IRS and GA Tax)
EVP Admin & Finance/CBO
Tony Wagner

VP for Finance
Lee Fruitticher

Director, Budget Operations
Jeanne Ricketson

VP Government Relations & Chief Advocacy Officer
Michael Shaffer

HIPAA and Other Clinical Related Issues Dean, MCG & Interim EVP Clinical Affairs
Peter Buckley
Enterprise Privacy Officer
Christine Adams
Human Subject Research Sr Associate VP for Clinical Research Affairs
Tony Mulloy
Director Human Protections Administrator
Ivy Tillman
Immigration and International Exec VP Academic Affairs & Provost
Gretchen Caughman

Post Docs/Faculty
Ast VP, International Initiative
LD Newman

Students
Sr Coordinator International Services
Beverly Tarver

Staff
Enterprise VP for Human Resources
Susan Norton

Information Technology & Security VP Information Services/CIO
Charles Enicks
Chief Information Security Officer
Walter Ray
Laboratory Animal Associate VP Research Administration
Sarah White
Director, Veterinarian Services
Patricia Charlton
Materials Management EVP Admin & Finance/CBO
Tony Wagner
Sr Manager Purchasing, Contracts & UM
Gregory Woodlief
Occupational & Environmental Health EVP Admin & Finance/CBO
Tony Wagner
Associate VP for Environmental Health & Safety
Walter Loring
Personnel - Faculty Exec VP Academic Affairs & Provost
Gretchen Caughman
Enterprise VP for Human Resources
Susan Norton
Personnel - Non Faculty EVP Admin & Finance/CBO
Tony Wagner
Enterprise VP for Human Resources
Susan Norton
Records Retention & Disclosure
(exclude student records)
EVP/General Counsel
Chris Melcher
EVP/General Counsel
Chris Melcher
Residents & Fellows (excluding Post Docs)
Dean, MCG & Interim EVP Clinical Affairs
Peter Buckley
Sr Associate Dean, Graduate Medical Education & VA Affairs
Walter Moore
Dean, DCG
Carol Lefebvre
DCG-Associate Dean for Academic Affairs & Advanced Education
Philip Hanes
Scientific (Research) Misconduct Dean, MCG & Interim EVP Clinical Affairs
Peter Buckley

Sr Associate VP for Clinical Research Affairs
Tony Mulloy

Associate VP Research Administration
Sarah White

Sponsored Programs Exec VP Academic Affairs & Provost
Gretchen Caughman
Associate VP Research Administration
Sarah White
Student Affairs
(privacy, records, etc.)
VP Academic & Faculty Affairs
Carol Rychly
Registrar
Heather Metress

Director for Financial Aid/Academic Admissions
Student Financial Aid VP Academic & Faculty Affairs
Carol Rychly
Director for Financial Aid/Academic Admissions
Technology Transfer/Intellectual Property Sr VP for Research
Michael Diamond
Associate VP Innovation Commercialization
Christopher McKinney

 

Augusta University has a commitment to institutional compliance with all external and internal laws, rules, regulations and policies. Primary responsibility for compliance is vested in each individual, commensurate with that individual’s specific job title and responsibilities.

Roles and Responsibilities

Responsible Senior Administrator:
Responsibility for specific compliance duties will be assigned to the president, respective vice president and/or dean who may in turn delegate functional responsibility to an individual (office and officer) who reports to them.  Each senior administrator is charged with coordinating compliance activities within the units reporting to him/her and for bringing any compliance concerns to the attention of the Compliance Oversight Council (COC).  Delegation of functional responsibility does not relieve an administrator of his/her obligation to ensure compliance.

Responsible Functional Office and Officer:
Each responsible functional office/officer shall take reasonable steps to ensure that all employees in the unit are familiar with any applicable rules, policies, regulations and laws and are in compliance. When applicable, it is also the functional officer’s responsibility to ensure that other individuals (employees, contractors, etc.) working/conducting Augusta University business are also familiar and in compliance with the rules, policies, regulations, and laws that fall under their governance.  It is also the functional officer’s responsibility to address non-compliance issues when discovered.  At least annually, the functional officer will be requested by the COC to submit compliance information that will be used to compile a campus-wide compliance report.  If compliance issues arise that need immediate attention by the COC, the functional officer will direct their concerns through the responsible senior administrator, who will bring the issue to the chair of the COC.