for UVM Faculty, Administrators, Students, and Staff
Submit questions which are not listed below to general.counsel@uvm.edu
What is the legal status of UVM?
The University is a tax-exempt entity under section 501(c)(3) of the Internal Revenue Code, a nonprofit corporation registered in Vermont, and an instrumentality of the State of Vermont utilized for the purpose of providing higher education. The governing body is the Board of Trustees which, under the University Bylaws, has responsibility for the “entire management and control of the property and affairs of the University”, subject to the authority the Board delegates to the President and the faculty through its Senate. The formal name of the University is “The University of Vermont and State Agricultural College”.
Does the public have a legal right of access to University meetings?
UVM is subject to the state Open Meeting Law. This means that the public has a right of notice regarding, and access to, meetings of the Board of Trustees and its Committees, as well as those of public bodies that are components of the University as defined by state law. Questions regarding the Open Meeting Law should be directed to the Office of the General Counsel.
What should I do if I am asked for copies of University records or documents?
The state Public Records Act applies to UVM, which must respond to records and document requests in accordance with the statute. The Office of the General Counsel should be promptly contacted for assistance in understanding the institution's obligations. Records and document requests may also be subject to labor law requirements and collective bargaining agreement provisions, and this office or the Office of Human Resources should be contacted if a request is made by a union or a union-represented employee. As to student records, see “What is FERPA?” below. If you receive a request for a University record or document and you are not otherwise expressly authorized to release the record or document (such as the authorization vested in the Registrar's Office), please contact the Office of the General Counsel immediately for assistance. General UVM policies and procedures regarding records and document requests are found at http://www.uvm.edu/~uvmppg/ppg/general_html/record_request.pdf.
In my role as a University official, how do I determine what documents or records must be retained, for how long, and by whom?
University officials are generally responsible for knowing the recordkeeping requirements associated with their office records. They should also be familiar with the UVM Interim Records Retention policy, found at http://www.uvm.edu/~uvmppg/ppg/general_html/records_retention.pdf. You may contact the Office of the Associate Vice President for Institutional Risk Assessment and Audit Services for assistance with questions related to the retention policy. In addition, the Office of the General Counsel is available to advise administrators regarding specific statutory or regulatory requirements.
"FERPA", also known as the Buckley Amendment, is the acronym for
the Family Educational Rights and Privacy Act, a federal law that establishes
rules regarding access to and disclosure of student education records. A summary
of the requirements are found in UVM's policy statement on FERPA rights found
at http://www.uvm.edu/academics/catalogue2006-07.
You may also wish to visit the Family Policy Compliance Office website of the
U.S. Department of Education, which has enforcement responsibility for FERPA;
see http://www.ed.gov/policy/gen/guid/fpco/index.html
How should I respond to a request
from a student’s parent for information about the student?
FERPA generally prohibits the release of student education records, including
certain information found in those records, to parents and other persons in
the absence of express written consent by the student or an express exception
to the consent requirement as stated in the statute or its regulations. The
parent should be politely referred to the Office of the Dean of Students or,
in the case of requests for transcripts, to the Office of the Registrar, which
will respond on your behalf.
What is UVM's policy with respect to use of Social Security numbers?
Use of Social Security numbers is governed by numerous state and federal laws. In general, for tax purposes, the University is required to obtain and maintain the Social Security numbers of its employees and enrolled students; however, the University is permitted to release social security numbers only under specific circumstances. All campus personnel who have access to Social Security numbers in the course of their University duties must take the utmost care to ensure that those numbers are not inappropriately shared or disclosed, whether through inadvertence or otherwise.
These requirements are found in the University's Contract Approval and Signatory Authority Policy.
What do I need to do to take students on a field trip?
You will wish first to ensure that you have programmitic approval and then to review Risk Management Department guidelines on field trips; see http://www.uvm.edu/~riskmgmt/?Page=guidelines/fieldtrip.html.
What happens if I receive a subpoena or search warrant while I am at work?
If the subpoena or warrant is addressed to you as a private individual, such as those regarding family matters or an alleged violation of criminal laws, you will wish to consult your personal attorney immediately. If the subpoena directs you in your capacity as a UVM employee to serve as a witness in relation to a judicial or agency proceeding, or a subpoena or warrant relates to University records, documents or property, please contact the Office of the General Counsel immediately. See also Subpoenas, Complaints, Warrants and other legal documents Policy.
What happens if I get sued in connection with my job?
You should advise your supervisor promptly and contact the Office of the General Counsel immediately. With respect to personal liability, in general the University will defend and indemnify an employee who acts in good faith and within the scope of his or her job. For details, please refer to the Indemnification for Officers and Employees policy; see http://www.uvm.edu/~uvmppg/ppg/general_html/indem.pdf.
What should I do if I am involved in a vehicle accident while on UVM business?
Please immediately contact the UVM Department of Risk Management 802-656-3242.
May I directly retain outside counsel for a University matter?
No. Certain professional services must be obtained through a designated University official, and outside legal counsel must be retained through the University General Counsel. The UVM Office of the General Counsel is staffed by attorneys who generally have the relevant expertise to assist University personnel with legal matters. If the General Counsel determines that the expertise or services of outside counsel is necessary, she or he will retain counsel on behalf of the University and the official or unit requesting legal services.
What should I do if I am contacted by a non-UVM lawyer about a University matter?
You should politely decline to answer any questions and immediately refer the attorney to the UVM Office of the General Counsel. If the non-UVM lawyer has been retained by the University, a UVM Office of the General Counsel attorney will so advise you and ask you to assist the lawyer.
Supervisors are required, and non-supervisory employees are encouraged, to report instances of possible fraud. The reporting process is described in the Whistleblower Policy - Fraudulent or Dishonest Conduct.
May I report sexual harassment anonymously?
Yes. In this regard, the University is legally required to investigate, insofar as feasible, any possible violation of the policy prohibiting sexual harassment or any other unlawful type of discrimination against employees or students. This duty to investigate includes a reasonable investigation of anonymous reports of possible violations. The nature and quality of the report, however, will affect the ability of the investigating office to determine whether a violation occurred, and may also affect the extent of disciplinary action that can be taken against a violator. Anonymity and confidentiality issues are addressed in the Sexual Harassment policies; Sexual Harassment - Employees, Sexual Harassment - Students.
What do I need to know about bringing a candidate for political office to campus for an event?
There are legal considerations associated with tax-exempt organizations, such as UVM, sponsoring events featuring candidates for political office. You will first wish to review the UVM Political Activities: Tax Exempt Organization Restrictions policy, and you will also wish to read the UVM Campus Speakers policy.
How do I find out what immigration services are available to UVM employees or students?
The UVM Office of International Education maintains a detailed manual describing immigration services and policies; see http://www.uvm.edu/oie/pdf/IMMIGRATION_SERVICES_manual.pdf
How do I access general services relating to technology transfer?
UVM has an Office of Technology Transfer, whose services and contact information are described at http://www.uvm.edu/~techtran/
What should my department do if it receives a notice that it is a beneficiary under a will?
Please contact the Office of the General Counsel immediately; we will take the appropriate steps legally and assist in coordinating the administration of the gift with other UVM offices.
Where do I find University policies?
The University maintains a policy webpage. You may also wish to contact the University department that has responsibility for administering the program, activity, or operation, about which you wish to inquire, since the department may have additional guidelines. If you have questions regarding what constitutes the responsible department, please contact the Chief of Staff and Executive Assistant to the President and Provost at (802) 656-8937.
What should I do if I am called for jury duty and I do not want to participate?
You should promptly contact the clerk's office at the court from which the jury summons was sent, explain your circumstances, and ask what the procedures are for seeking to be excused. In general, courts are reluctant to excuse citizens from jury duty except for good cause. If you will be engaged in jury duty, you should advise your supervisor and consult applicable institutional policies regarding jury leave. The Human Resources Office can assist you in finding the leave policy that applies to you in view of your employee status.
