Director of Research Security

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Job Summary

Serving under the Associate Vice Provost for Research Policy and Compliance, directs the Research Security Program of the Institute to enable research at Caltech to be conducted in accordance with the highest standards of integrity and support open research while safeguarding the research enterprise. The Institute Research Security program includes oversight of research security transparency requirements, conflicts of interest and commitment, and export controls. The Director shall oversee the Institute's Conflict of Interest Program for researchers and Export Control Program to ensure compliance with all U.S. federal, California state, and local regulatory requirements. The Director will effectively interface with Institute administrative partners and researchers to facilitate compliance with current federal requirements. They will support the Associate Vice Provost for Research Policy and Compliance in the design, development, implementation, and monitoring of a robust Research Security Program, coordinating Institute-wide initiatives to identify and respond appropriately to federal regulations related to research security and other related sponsor requirements.

Essential Job Duties

Research Security:

• Directs, guides, and oversees the activities of the Research Security Program at the Institute to ensure compliance with federal regulatory and Institute requirements.
• Coordinates with the Associate Vice Provost for Research Policy and Compliance to develop, modify, and implement Institutional policies and procedures along with strategic plans and objectives that have Institute-wide impact over Research Security, particularly in the areas of researcher transparency, conflict management, foreign collaborations, travel, and cybersecurity.
• In coordination with the Associate Vice Provost for Research Policy and Compliance, the Offices of Sponsored Research, Research Compliance, General Counsel, and other Institutional stakeholders, ensures compliance with U.S. Research Security requirements, including travel, cybersecurity, and training.
• In coordination with the Associate Vice Provost for Research Policy and Compliance, establishes, communicates, and oversees an Institutional research training program and coordinates or conducts workshops and seminars regarding research security.

Conflict of Interest:

• Directs, guides, and oversees the activities of the Conflict of Interest Program at the Institute to ensure compliance with federal, state, local, and Institutional regulatory requirements.
• Oversees the research Financial Interest and Commitment Disclosure Program, including coordination of annual, periodic, and award disclosures and reviews, drafting Institute communications regarding disclosures, supporting system updates to disclosures and other support electronic applications, and providing Institutional response to the changing regulatory landscape.
• Works directly with Conflict of Interest Manager to interface with faculty and researchers to ensure that all financial conflicts of interest and conflicts of commitment are identified and appropriately managed, mitigated, or eliminated.
• In coordination with the Associate Vice Provost for Research Policy and Compliance, ensures a robust conflict of interest and commitment program, including policies, electronic resources and processes.
• Directs, guides, and oversees the activities of the Export Control Program at the Institute to ensure compliance with federal, state, and local regulatory requirements.
• Oversees the research Export Control Program, including compliance with complex federal export control regulations, including the International Traffic in Arms Regulations (ITAR), the Export Administration Regulations (EAR), and the regulations administered by the Treasury Department's Office of Foreign Assets Control (OFAC), providing day-to-day operational export and trade regulation guidance and support to program personnel for proposed exports, re-exports, deemed exports, management of controlled data, and other activities, including jurisdiction and classification determination, screening all parties to transactions, conducting licensing analysis, supporting licensing and conducting ongoing monitoring of monthly customs imports for proper classifications and request corrections as needed.
• In coordination with the Associate Vice Provost for Research Policy and Compliance, the Offices of Sponsored Research, Research Compliance, General Counsel, and other Institutional stakeholders, ensures compliance with U.S. Export Control regulations.
• In coordination with the Associate Vice Provost for Research Policy and Compliance, establishes, communicates, and oversees an Institutional research training program, and coordinates or conducts workshops and seminars regarding conflicts of interest, research security, and export control.

General:

• Responsible for providing broad direction and coordinating research regulatory activities on campus to ensure consistency and enable open research while safeguarding the research enterprise.
• Supervises the Research Security staff, the Export Compliance Manager, and Conflict of Interest Manager.
• Responsible for decisions on hiring, promotions, salary changes, training, and performance evaluations of subordinate staff.

Basic Qualifications

• Bachelor's degree.
• At least 8 years of relevant experience in a scientific, federal-funded organization.
• Advanced level of understanding of operational requirements related to the management and implementation of research security, export controls, and conflict of interest programs in the context of a university and open research environment.
• Advanced level of knowledge regarding U.S. federal and California state sponsor research regulations regarding conflicts of interest, research security, and export control.
• Must possess excellent communication and writing skills with the ability to exchange information and interface effectively with faculty, all levels of staff and researchers, government officials, and vendors.
• Advanced level of organizational skills and independent decision-making ability.
• Effective team player with the ability to work well with people.
• Ability to handle confidential matters with discretion and exercise good judgment.
• Ability to effectively supervise staff.

Preferred Qualifications

• Advanced degree.

Required Documents

• Resume
• Cover Letter