campus in the eveningHere is a sampling of compliance issues.

Affirmative Action and Employment Compliance

SPECIFIC COMPLIANCE ISSUECOMPLIANCE REQUIREMENT/ STATUTEOPERATIONAL DEPARTMENT/ CONTACTAVAILABLE TRAINING/ RESOURCES/ INFORMATIONUNIVERSITY POLICY/ OPERATING PROCEDURE
 
Accessibility

ADA (Americans with Disabilities Act of 1990) [42 USC sec. 12101; 29 CFR sec. 1630]

Affirmative Action/Equal Employment Opportunity

Amber Fulcher (email link), ADA/504 Coordinator

ADA & Universal Design


Recruitment Resources

Affirmative Action/Equal OpportunityEEOC (Equal Employment Opportunity Act of 1972)
Affirmative Action [42 CFR sec. 483.75 (1989)

Affirmative Action/Equal Employment Opportunity

Nick Stanton (email link), Title IX Coordinator

Recruitment Resources
Alcohol and Other Drugs in the Workplace
  • 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]

Human Resources Services

Mary Brodsky (email link), Director of Labor Relations & Employment Services

 
Commercial Drivers Testing

Omnibus Transportation Employee Testing Act of 1991 Drug and Alcohol Testing 49 CFR Part 40

Department of Risk Management & Safety

Mary Dewey (email link), Director for Risk Management & Safety

Driver Training
CompensationFair Labor Standards Act (FLSA)- [29 usc sec. 201-219; 251-262] Minimum Wage and Overtime

Human Resources Services

 

Greg Paradiso (email link), Director of Benefits, Compensation and HRIS

Exempt vs. NonExempt Positions
Employment of Foreign Nationals

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.)

Office of International Education

Kim Howard (email link), Director of the Office of International Education

Immigration Services Manual
Labor Practices – UnionsFair Labor Practices - Unionized Employees
SELRA State Employees Labor Relations Act
Vermont Labor Relations Board

Human Resources Services

Mary Brodsky (email link), Director of Labor Relations & Employment Services

 
Leaves of Absence
  • Family and Medical Leave Act (FMLA), [29 USC sec 2601],
  • VT Parental and Family Leave Act
  • Uniformed Services Employment and Reemployment Act (USERRA)

Human Resources Services

 

Greg Paradiso (email link), Director of Benefits, Compensation and HRIS

Staff Handbook - Leaves and Time Off
Other Nondiscrimination Requirements
  • 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

 

Nick Stanton (email link), Title IX Coordinator

Recruitment Resources

 

Sexual Harassment and MisconductTitle IX of the Education Amendment of 1972 20 U.S.C. 1681-1688

Affirmative Action/Equal Employment Opportunity

Nick Stanton (email link), Title IX Coordinator

Sexual Conduct Education and Resources


Employee Trainings Available through Professional Development and Training

Veteran StatusU.S. Department of Veterans Affairs G.I. Bill

UVM Student Veteran Services

 

David Carlson (email link), Coordinator of Student Veteran Services

Student Veteran Services

 

Privacy & Information Security

SPECIFIC COMPLIANCE ISSUECOMPLIANCE REQUIREMENT/ STATUTEOPERATIONAL DEPARTMENT/ CONTACTAVAILABLE TRAINING/ RESOURCES/ INFORMATIONUNIVERSITY POLICY/ OPERATING PROCEDURE
 
Data Breach Notification

Office of Compliance Services

Tessa Lucey (email link), Director of Compliance Services and Chief Privacy Officer

 
FERPA/Student RecordsFamily Educational Rights and Privacy Act (FERPA)

Registrar

Veronika Carter (email link), Registrar

HIPAA/Protected Health InformationHIPAACovered Component Privacy Officers
Information Security 

Enterprise Technology Services (ETS)

Information Security Officer

Library RecordsUSA PATRIOT Act, Public Law 107-56
Vermont Public Records Act (1 V.S.A. §317)

Univeristy Libraries

Bryn Geffert (email link), Dean of University Libraries

 
Privacy Program Office of Compliance Services


Tessa Lucey (email link), Director of Compliance Services and Chief Privacy Officer

 
Public Records RequestsVermont Public Records Act (1 V.S.A. §§315-320)General Counsel (email link) 
Records RetentionVariousOffice of Compliance Services


Tessa Lucey (email link), Director of Compliance Services and Chief Privacy Officer

Red Flag RulesFederal Trade Commission Notice

Studnet Financial Services

Jill King (email link), Associate Director of Student Financial Services

  • See Program/Policy

 

Conflict of Interest & Commitment

SPECIFIC COMPLIANCE ISSUECOMPLIANCE REQUIREMENT/ STATUTEOPERATIONAL DEPARTMENT/ CONTACTAVAILABLE TRAINING/ RESOURCES/ INFORMATIONUNIVERSITY POLICY/ OPERATING PROCEDURE
Conflicts of Interest and Commitment 

Office of the President


Gary Derr (email link), Vice President of Executive Operations

 
Financial Conflict of Interest in Research

Research Support and Integrity

Victoria Jones (email link), Research Compliance Officer

 

 

General Compliance

Compliance AreaResponsible OfficialOperational DepartmentAdditional Information
 
Americans with Disabilities Act (ADA)PresidentOffice of Affirmative Action and Equal OpportunityADA & Universal Design
Donor Gift RestrictionsVice President for Finance and University TreasurerControllers OfficeGifts Policy (PDF)
EEOC/ Affirmative ActionPresidentDirector Office of Affirmative Action and Equal OpportunityEEOC/Affirmative Action Home Page
Environmental Health and SafetyVice President for University Relations and AdministrationDirector Risk Management and SafetyRisk Management
Facilities/Construction: State and Local RegulationsVice President for Finance and AdministrationCapital Planning and ManagementCapital Planning and Management
HIPAA (hybrid entity)Component HIPAA Privacy OfficersIndividual Covered ComponentsHIPAA Information
Human ResourcesVice President for Human Resources, Diversity and Multicultural AffairsDirector Human ResourcesEmployment Compliance Issues
ImmigrationVice President for Enrollment ManagementDirector International EducationInternational Education Office
Intellectual Property/Technology TransferVice President for ResearchDirector Office of Technology CommercializationOffice of Technology Commercialization
NCAA/Athletics/Equity in AthleticsPresidentDirector of AthleticsAthletics Compliance Office

Equity in Athletics
Public SafetyVice President for University Relations and AdministrationChief of PolicePolice Services
Records RetentionChief Privacy OfficerOffice of Chief Privacy ServicesRecord Retention Presentation
Research Policy and AdministrationVice President for ResearchAssoc Vice President Research AdministrationResearch Compliance Issues
Sexual HarassmentSenior Vice President and ProvostDirector Office of Affirmative Action and Equal OpportunityEEOC/Affirmative Action Home Page
Student Financial AidVice President for Enrollment ManagementDirector Student Financial ServicesStudent Financial Services
Student Records (FERPA)Senior Vice President and ProvostRegistrar

FERPA Rights Policy (PDF)

Tax RelatedVice President for Finance and University TreasurerControllers OfficeTax Information


 

Sponsored Program and Research Compliance

SPECIFIC COMPLIANCE ISSUECOMPLIANCE REQUIREMENT/ STATUTEOPERATIONAL DEPARTMENT/ CONTACTAVAILABLE TRAINING/ RESOURCES/ INFORMATIONUNIVERSITY POLICY/ OPERATING PROCEDURE
 
Animal Care

Animal Care Management

Ida Washington (email link), University Veterinarian

Manual for Vertebrate
Animal Research

Conflicts of Interest in Research

Research Support and Integrity

Victoria Jones (email link), Research Compliance Officer

Financial Conflict of Interest in Sponsored Research (PDF)
Controlled Substances

Animal Care Management

Ida Washington (email link), University Veterinarian

UVM Controlled Substances in Research Guide (PDF)
Effort Reporting

Cost Accounting Services

Michael Meunier (email link), Assistant Controller

Effort Management
and Reporting on Sponsored Agreements (PDF)
Export Controls

Research Support and Integrity

Victoria Jones (email link), Research Compliance Officer

Export Controls (PDF)
Financial Management of Sponsored Projects

Sponsored Project Administration

Brian Prindle (email link), Executive Director for Research Administration and Integrity

Michael Meunier (email link), Assistant Controller
Research Related Policies
Human Subject Research

Research Protections Office

Donna Silver (email link), Director of the Research Protections Office

Manual for Human
Subjects Research
Intellectual Property/Technology Transfer

UVM Innovations

Kerry Swift (email link), Technology Licensing Officer

 Intellectual Property Policy (PDF)
Research Policy and Administration 

Office of the Vice President for Research

Dan Harvey (email link), Director of Operations to the Vice President for Research

 

  
Responsible Conduct in Research    
Scientific Misconduct
  • NIH and NSF require institutions to adopt procedures that satisfy minimum standards.  NIH requires  annual  update.  Flowdown is required.

Sponsored Project Administration

Brian Prindle (email link), Executive Director for Research Administration and Integrity

Misconduct in Research (PDF)
Sponsored Project Compliance    


 

Environmental Health and Safety Compliance

SPECIFIC COMPLIANCE ISSUECOMPLIANCE REQUIREMENT/ STATUTEOPERATIONAL DEPARTMENT/ CONTACTAVAILABLE TRAINING/ RESOURCES/ INFORMATIONUNIVERSITY POLICY/ OPERATING PROCEDURE
 
Alcohol and Drugs 

Human Resources Services

 

Mary Brodsky (email link), Director of Labor Relations & Employment Services

 
Biosafety    
Bloodborne Pathogens

Environmental Health and Safety

 

Jeff LaBossiere (email link), Biological Safety Officer

Chemical Facilities

Environmental Health and Safety

Francis Churchill (email link), Assistant Director of Risk Management & Safety for Health and Safety

  • UVM's chemical inventory does not meet the quantity threshold that would require top screen status.
 
Driver Safety 

Department of Risk Management & Safety

 

Mary Dewey (email link), Director for Risk Management & Safety

 
Fire and Life Safety 

Department of Risk Management & Safety

 

John Marcus (email link), University Fire Marshal

 
Incident Management System

Environmental Health and Safety

 

Francis Churchill (email link), Assistant Director of Risk Management & Safety for Health and Safety

Infectious Agents -NIH OversightEnvironmental Health and Safety


Jeff LaBossiere (email link), Biological Safety Officer

 
Laboratory Practices/Lab Safety

Environmental Health and Safety

 

Francis Churchill (email link), Assistant Director of Risk Management & Safety for Health and Safety

Radiation Safety 

Department of Risk Management & Safety

 

Tom Kellogg (email link), Radiation Safety Officer

  
Recombinant DNA -NIH OversightEnvironmental Health and Safety


Jeff LaBossiere (email link), Biological Safety Officer

 
Select Agents - CDC OversightEnvironmental Health and Safety


Jeff LaBossiere (email link), Biological Safety Officer

  
Transportation of Hazardous Materials or Infectious SubstancesEnvironmental Health and Safety


Jeff LaBossiere (email link), Biological Safety Officer