Here is a sampling of compliance issues.
General Compliance
Americans with Disabilities Act (ADA)
Body
Responsible Official: President
Operational Department: Office of Equal Opportunity
Additional Information: ADA and Universal Design
Donor Gift Restrictions
Body
Responsible Official: Vice President for Finance and Administration
Operational Department: Controllers Office
Additional Information: Gifts Policy
EEOC/Affirmative Action
Body
Responsible Official: President
Operational Department: Director, Office of Equal Opportunity
Additional Information: Office of Equal Opportunity
Environmental Health and Safety
Body
Responsible Official: Chief Safety and Compliance Officer
Operational Department: Director of Environmental Health and Safety
Additional Information: Environmental Health and Safety
Facilities/Construction: State and Local Regulations
Body
Responsible Official: Vice President for Finance and Administration
Operational Department: Planning, Design and Construction
Additional Information: Facilities Management
HIPAA (hybrid entity)
Body
Responsible Official: Component HIPAA Privacy Officers
Operational Department: Individual Covered Components
Additional Information: HIPAA Information
Human Resources
Body
Responsible Official: Chief Human Resource Officer
Operational Department: Human Resources
Additional Information: Employment Compliance Issues (see Affirmative Action and Employment Compliance)
Immigration
Body
Responsible Official: Senior Vice President and Provost
Operational Department: Director International Education
Additional Information: International Education Office
Intellectual Property/Technology Transfer
Body
Responsible Official: Vice President for Research
Operational Department: Director of UVM Innovations
Additional Information: UVM Innovations
NCAA/Athletics/Equity in Athletics
Body
Responsible Official: President
Operational Department: Director of Athletics
Additional Information: Athletics Compliance Office, Equity in Athletics
Public Safety
Body
Responsible Official: Chief Safety and Compliance Officer
Operational Department: Chief of Police
Additional Information: Police Services
Records Retention
Body
Responsible Official: Chief Privacy Officer
Operational Department: Office of Privacy Services
Additional Information: Record Retention Presentation (PDF)
Research Policy and Administration
Body
Responsible Official: Vice President for Research
Operational Department: Assoc Vice President Research Administration
Additional Information: Research Integrity
Sexual Harassment
Body
Responsible Official: Senior Vice President and Provost
Operational Department: Director Office of Equal Opportunity
Additional Information: Office of Equal Opportunity
Student Financial Aid
Body
Responsible Official: Vice Provost for Enrollment Management
Operational Department: Director Student Financial Services
Additional Information: Student Financial Services
Student Records (FERPA)
Body
Responsible Official: Senior Vice President and Provost
Operational Department: Registrar
Additional Information: FERPA Rights Policy
Tax Related
Body
Responsible Official: Vice President for Finance and Administration
Operational Department: Controllers Office
Additional Information: Tax Information
Equal Opportunity and Employment Compliance
Accessibility
Body
Compliance Requirement/Statute
Operational Department/Contact
- Equal Employment Opportunity
- Nicholas Stanton (nicholas.stanton@uvm.edu), Equal Opportunity Director
Available Training/Resources/Information
University Policy/Operating Procedure
Equal Opportunity
Body
Compliance Requirement/Statute
- EEOC (Equal Employment Opportunity Act of 1972) Affirmative Action [42 CFR sec. 483.75 (1989)
Operational Department/Contact
- Equal Employment Opportunity
- Nicholas Stanton (nicholas.stanton@uvm.edu), Director, UVM Office of Affirmative Action and Equal Opportunity
Available Training/Resources/Information
University Policy/Operating Procedure
Alcohol and Other Drugs in the Workplace
Body
Compliance Requirement/Statute
- Drug Free Workplace Act of 1988 [45 CFR (76 subpart f)] Criminal Drug Offense Reporting [41 USCS § 701]
- Drug Free Schools and Communities Act Amendments of 1989 [Public Law 101-226]
Operational Department/Contact
- Human Resources Services
- HR Partners (HRPartners@uvm.edu)
University Policy/Operating Procedure
Commercial Drivers Testing
Body
Compliance Requirement/Statute
- Omnibus Transportation Employee Testing Act of 1991 Drug and Alcohol Testing 49 CFR Part 40
Operational Department/Contact
Available Training/Resources/Information
University Policy/Operating Procedure
Compensation
Body
Compliance Requirement/Statute
- Fair Labor Standards Act (FLSA)- [29 usc sec. 201-219; 251-262] Minimum Wage and Overtime
Operational Department/Contact
- Human Resources Services
- Greg Paradiso (Greg.Paradiso@uvm.edu), Director of Benefits, Compensation and HRIS
Available Training/Resources/Information
University Policy/Operating Procedure
Employment of Foreign Nationals
Body
Compliance Requirement/Statute
- Employment of Foreign Nationals Immigration Reform and Control Act of 1986 Part A[8 USC 1324a](Visas and I-9s) Immigration and Nationality Act (8 USC 1101 et seq.)
Operational Department/Contact
- Office of International Education
- Emma Swift (emma.swift@uvm.edu), Director of the Office of International Education
Available Training/Resources/Information
- Immigration Services Manual
University Policy/Operating Procedure
Labor Practices – Unions
Body
Compliance Requirement/Statute
- Fair Labor Practices - Unionized Employees
- SELRA State Employees Labor Relations Act
- Vermont Labor Relations Board
Operational Department/Contact
- Human Resources Services
- HR Partners (HRPartners@uvm.edu)
University Policy/Operating Procedure
Leaves of Absence
Body
Compliance Requirement/Statute
- Family and Medical Leave Act (FMLA), [29 USC sec 2601]
- VT Parental and Family Leave Act
- Uniformed Services Employment and Reemployment Act (USERRA)
Operational Department/Contact
- Human Resources Services
- Greg Paradiso (Greg.Paradiso@uvm.edu), Director of Benefits, Compensation and HRIS
Available Training/Resources/Information
University Policy/Operating Procedure
Other Nondiscrimination Requirements
Body
Compliance Requirement/Statute
- ADEA (Age Discrimination in Employment Act of 1967) [29 USC sec 621 et seq.]
- The Rehabilitation Act of 1973 [29 USC sec. 793 et seq.]
- The Rehabilitation Act of 1973 [29 USC sec. 793 et seq.]
- Pregnancy Discrimination Act (PDA)(42 USC 2000e(k))
- Vermont Law Fair Employment Practices 21 V.S.A. 495-496
Operational Department/Contact
- Nicholas Stanton (nicholas.stanton@uvm.edu), Director, UVM Office of Equal Opportunity
Available Training/Resources/Information
University Policy/Operating Procedure
Sexual Harassment and Misconduct
Body
Compliance Requirement/Statute
Operational Department/Contact
- Equal Employment Opportunity
- Nicholas Stanton (nicholas.stanton@uvm.edu), Director, UVM Office of Equal Opportunity
Available Training/Resources/Information
- Sexual Conduct Education and Resources
- Employee Trainings Available through Professional Development and Training
University Policy/Operating Procedure
Veteran Status
Body
Compliance Requirement/Statute
Operational Department/Contact
- UVM Student Veteran Services
- David Carlson (carlson@uvm.edu), Coordinator of Student Veteran Services
Available Training/Resources/Information
University Policy/Operating Procedure
Privacy and Information Security
Data Breach Notification
Body
Compliance Requirement/Statute
Operational Department/Contact
- Office of Compliance Services
- Tessa Lucey (tessa.lucey@uvm.edu), Director of Compliance Services and Chief Privacy Officer
University Policy/Operating Procedure
FERPA/Student Records
Body
Compliance Requirement/Statute
Operational Department/Contact
- Registrar
- Veronika Carter (vlcarter@uvm.edu), Registrar
Available Training/Resources/Information
University Policy/Operating Procedure
HIPAA/Protected Health Information
Body
Compliance Requirement/Statute
Operational Department/Contact
- Covered Component Privacy Officers
Available Training/Resources/Information
University Policy/Operating Procedure
Information Security
Body
Operational Department/Contact
- Enterprise Technology Services (ETS)
- iso@uvm.edu, Information Security Officer
Available Training/Resources/Information
University Policy/Operating Procedure
Library Records
Body
Compliance Requirement/Statute
- USA PATRIOT Act, Public Law 107-56 Vermont Public Records Act (1 V.S.A. §317)
Operational Department/Contact
- University Libraries
- Bryn Geffert (bryn.geffert@uvm.edu), Dean of University Libraries
University Policy/Operating Procedure
Privacy Program
Body
Operational Department/Contact
- Office of Compliance Services
- Tessa Lucey (tessa.lucey@uvm.edu), Director of Compliance Services and Chief Privacy Officer
University Policy/Operating Procedure
Public Records Requests
Body
Compliance Requirement/Statute
- Vermont Public Records Act (1 V.S.A. §§315-320)
Operational Department/Contact
- General Counsel (General.Counsel@uvm.edu)
University Policy/Operating Procedure
Records Retention
Body
Compliance Requirement/Statute
- Various
Operational Department/Contact
- Office of Compliance Services
- Tessa Lucey (tessa.lucey@uvm.edu), Director of Compliance Services and Chief Privacy Officer
Available Training/Resources/Information
University Policy/Operating Procedure
Red Flag Rules
Body
Compliance Requirement/Statute
Operational Department/Contact
- Student Financial Services
- Joey Catania (Joey.Catania@uvm.edu), Assistant Director of Compliance and Audit, Student Financial Services
Available Training/Resources/Information
- See Program/Policy
University Policy/Operating Procedure
Conflict of Interest and Commitment
Conflicts of Interest and Commitment
Body
Operational Department/Contact
University Policy/Operating Procedure
Financial Conflict of Interest in Research
Body
Compliance Requirement/Statute
- Public Health Service (PHS) policy [42 CFR Part 50, Subpart F
- National Science Foundation (NSF) policy [Federal Register: July 11, 1995 (vol.60 number 132)]
Operational Department/Contact
- Research Support and Integrity
- Victoria Jones (Victoria.Jones@uvm.edu), Research Compliance Officer
University Policy/Operating Procedure
Sponsored Program and Research Compliance
Animal Care
Body
Compliance Requirement/Statute
Operational Department/Contact
- Animal Care Management
- Ida Washington (Ida.Washington@uvm.edu), University Veterinarian
Available Training/Resources/Information
- Animal Care Education/Training
University Policy/Operating Procedure
Conflicts of Interest in Research
Body
Compliance Requirement/Statute
- Public Health Service (PHS) policy [42 CFR Part 50, Subpart F
- National Science Foundation (NSF) policy [Federal Register: July 11, 1995 (vol.60 number 132)].
Operational Department/Contact
- Research Support and Integrity
- Victoria Jones (Victoria.Jones@uvm.edu), Research Compliance Officer
Available Training/Resources/Information
- Sponsored Project Administration: Research COI Information
- HHS: PHS COI FAQ
- NSF Conflict of Interest Requirements
University Policy/Operating Procedure
Controlled Substances
Body
Compliance Requirement/Statute
Operational Department/Contact
- Animal Care Management
- Ida Washington (Ida.Washington@uvm.edu), University Veterinarian
Available Training/Resources/Information
- Research Protections Office – Controlled Substances
- Training is also included in the required IACUC training for individual involved in IACUC protocols
University Policy/Operating Procedure
Effort Reporting
Body
Compliance Requirement/Statute
Operational Department/Contact
- Financial and Cost Accounting Services
- Lindsey Donovan (lindsey.donovan@uvm.edu), Associate Controller
Available Training/Resources/Information
University Policy/Operating Procedure
Export Controls
Body
Compliance Requirement/Statute
- Export Administration Regulations (EAR) and International Traffic in Arms Control (ITAR)
- Office of Foreign Assets Control (OFAC) administers and enforces trade embargoes and sanctions
Operational Department/Contact
- Research Support and Integrity
- Victoria Jones (Victoria.Jones@uvm.edu), Research Compliance Officer
Available Training/Resources/Information
University Policy/Operating Procedure
Financial Management of Sponsored Projects
Body
Compliance Requirement/Statute
Operational Department/Contact
- Sponsored Project Administration
- Brian Prindle (Brian.Prindle@uvm.edu), Executive Director for Research Administration and Integrity
- Lindsey Donovan (lindsey.donovan@uvm.edu), Associate Controller
Available Training/Resources/Information
University Policy/Operating Procedure
Human Subject Research
Body
Compliance Requirement/Statute
- HHS Policy for the Protection of Human Subjects
- FDA Regulations related to Human Subjects and Clinical Trials
Operational Department/Contact
- Research Protections Office
- Donna Silver (Donna.Silver@uvm.edu), Director of the Research Protections Office
Available Training/Resources/Information
University Policy/Operating Procedure
Intellectual Property/Technology Transfer
Body
Compliance Requirement/Statute
- Bayh-Dole Act of 1980 and related regulations [48 CFR parts 927, 952, 970]; Acquisition Regs and Technology Regs., 37 CFR Part 401
Operational Department/Contact
- UVM Innovations
- Kerry Swift (kerry.swift@uvm.edu), Technology Licensing Officer
University Policy/Operating Procedure
Research Policy and Administration
Body
Operational Department/Contact
- Office of the Vice President for Research
- Dan Harvey (Dan.Harvey@uvm.edu), Director of Operations to the Vice President for Research
Scientific Misconduct
Body
Compliance Requirement/Statute
- NIH and NSF require institutions to adopt procedures that satisfy minimum standards. NIH requires annual update. Flowdown is required.
Operational Department/Contact
- Sponsored Project Administration
- Brian Prindle (Brian.Prindle@uvm.edu), Executive Director for Research Administration and Integrity
Available Training/Resources/Information
University Policy/Operating Procedure
Environmental Health and Safety Compliance
Alcohol and Drugs
Body
Operational Department/Contact
- Human Resources Services
- HR Partners (HRPartners@uvm.edu)
University Policy/Operating Procedure
Biosafety
Body
Compliance Requirement/Statute
Operational Department/Contact
- Sonia Godoy-Tundidor (mgodoytu@uvm.edu), Biosafety Officer
Available Training/Resources/Information
University Policy/Operating Procedure
Bloodborne Pathogens
Body
Compliance Requirement/Statute
Operational Department/Contact
- Environmental Health and Safety
- Sonia Godoy-Tundidor (mgodoytu@uvm.edu), Biosafety Officer
Available Training/Resources/Information
University Policy/Operating Procedure
Chemical Facilities
Body
Compliance Requirement/Statute
Operational Department/Contact
- Environmental Health and Safety
- Francis Churchill (Francis.Churchill@uvm.edu), Director of Environmental Health and Safety
Available Training/Resources/Information
- UVM's chemical inventory does not meet the quantity threshold that would require top screen status.
University Policy/Operating Procedure
Driver Safety
Body
Operational Department/Contact
- Risk Management
- Katie Haining (katie.haining@uvm.edu), Director of Risk Management
Available Training/Resources/Information
University Policy/Operating Procedure
Fire and Life Safety
Body
Operational Department/Contact
- Emergency Management
- Barry Simays (firesafe@uvm.edu), University Fire Marshal
University Policy/Operating Procedure
Incident Management System
Body
Compliance Requirement/Statute
Operational Department/Contact
- Emergency Management
- John Marcus (jmarcus@uvm.edu), Emergency Management Director
Available Training/Resources/Information
University Policy/Operating Procedure
Infectious Agents - NIH Oversight
Body
Compliance Requirement/Statute
- Submission, Review and Monitoring of NIH-Funded Awards Involving Research with Infectious Agents or Select Agents (DOC)
- Oversight and Regulatory Authorities for NIH-Funded Awards Involving Research with Infectious Agents or Select Agents (DOC)
Operational Department/Contact
- Environmental Health and Safety
- Sonia Godoy-Tundidor (mgodoytu@uvm.edu), Biosafety Officer
Available Training/Resources/Information
Laboratory Practices/Lab Safety
Body
Compliance Requirement/Statute
Operational Department/Contact
- Environmental Health and Safety
- Francis Churchill (Francis.Churchill@uvm.edu), Director of Environmental Health and Safety
Available Training/Resources/Information
- Laboratory Environmental Management Plan
- Laboratory Safety and Chemical Hygiene Plan
- Risk Management and Safety training
- Safety in Laboratories
University Policy/Operating Procedure
Radiation Safety
Body
Operational Department/Contact
- Department of Risk Management
- Tom Kellogg (tkellogg@uvm.edu), Radiation Safety Officer
Available Training/Resources/Information
University Policy/Operating Procedure
Recombinant DNA - NIH Oversight
Body
Compliance Requirement/Statute
Operational Department/Contact
- Environmental Health and Safety
- Sonia Godoy-Tundidor (mgodoytu@uvm.edu), Biosafety Officer
Available Training/Resources/Information
Select Agents - CDC Oversight
Body
Compliance Requirement/Statute
Operational Department/Contact
- Environmental Health and Safety
- Sonia Godoy-Tundidor (mgodoytu@uvm.edu), Biosafety Officer
Available Training/Resources/Information
Transportation of Hazardous Materials or Infectious Substances
Body
Compliance Requirement/Statute
Operational Department/Contact
- Environmental Health and Safety
- UVM Print and Mail
- Shane Desautels (Shane.Desautels@uvm.edu), Director of Print and Mail
- Francis Churchill (Francis.Churchill@uvm.edu), Director of Environmental Health and Safety
Reporting and Non-Retaliation
Non-Retaliation
Body
Compliance Requirement/Statute
Operational Department/Contact
- Office of Compliance Services
- Tessa Lucey (tessa.lucey@uvm.edu), Director of Compliance Services and Chief Privacy Officer
Available Training/Resources/Information
University Policy/Operating Procedure
Whistleblower Protection
Body
Compliance Requirement/Statute
- The Whistleblower Protection Act of 1989 (PDF), 5 U.S.C. 2302(b)(8)-(9), Pub.L. 101-12 as amended (PDF)
Operational Department/Contact
- Office of Compliance Services
- Tessa Lucey (tessa.lucey@uvm.edu), Director of Compliance Services and Chief Privacy Officer