campus in the eveningHere is a sampling of compliance issues.

Affirmative Action and Employment Compliance

SPECIFIC COMPLIANCE ISSUE COMPLIANCE REQUIREMENT/ STATUTE OPERATIONAL DEPARTMENT/ CONTACT AVAILABLE TRAINING/ RESOURCES/ INFORMATION UNIVERSITY 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, ADA/504 Coordinator

ADA & Universal Design


Recruitment Resources

Disability Certification, Accommodation and Support Students

Disability Accommodation for Employees and Applicants for Employment

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

Affirmative Action/Equal Employment Opportunity

Nick Stanton, Title IX Coordinator

Recruitment Resources

Equal Employment Opportunity/ Affirmative Action Policy Statement


Equal Opportunity in Educational Programs and Activities and Non-Harassment

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, Director of Labor Relations & Employment Services

 

Faculty and Staff Alcohol, Cannabis and Other Drug Use Policy


Alcohol Policy - Employees


Student Alcohol, Cannabis and Other Drug Use Policy

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, Director for Risk Management & Safety

Driver Training Commercial Driver and Coast Guard Employee Testing for Alcohol and Controlled Substances
Compensation Fair Labor Standards Act (FLSA)- [29 usc sec. 201-219; 251-262] Minimum Wage and Overtime

Human Resources Services

 

Greg Paradiso, Director of Benefits, Compensation and HRIS

Exempt vs. NonExempt Positions Compensation Policies and Practices
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, Director of the Office of International Education

Immigration Services Manual Payments to Foreign Nationals and Entities
Labor Practices – Unions Fair Labor Practices - Unionized Employees
SELRA State Employees Labor Relations Act
Vermont Labor Relations Board

Human Resources Services

Mary Brodsky, Director of Labor Relations & Employment Services

  Collective Bargaining Agreements
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, Director of Benefits, Compensation and HRIS

Staff Handbook - Leaves and Time Off Military Leave Policy
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 Pratices
21 V.S.A. 495-496

Affirmative Action/Equal Employment Opportunity

Nick Stanton, Title IX Coordinator

Recruitment Resources

 

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

Affirmative Action/Equal Employment Opportunity

Nick Stanton, Title IX Coordinator

Sexual Conduct Education and Resources


Employee Trainings Available through Professional Development and Training

Sexual Harassment & Misconduct
Veteran Status U.S. Department of Veterans Affairs G.I. Bill

UVM Student Veteran Services

 

David Carlson, Coordinator of Student Veteran Services

Student Veteran Services Tuition Billing for Members of the Armed Forces, Veterans, and their Families

 

Privacy & Information Security

SPECIFIC COMPLIANCE ISSUE COMPLIANCE REQUIREMENT/ STATUTE OPERATIONAL DEPARTMENT/ CONTACT AVAILABLE TRAINING/ RESOURCES/ INFORMATION UNIVERSITY POLICY/ OPERATING PROCEDURE
 
Data Breach Notification

9 V.S.A. § 2435, Notice of Security Breaches

 

HIPAA

Office of Compliance Services

Tessa Lucey, Director of Compliance Services and Chief Privacy Officer

 
FERPA/Student Records Family Educational Rights and Privacy Act (FERPA)

Registrar

Veronika Carter, Registrar

FERPA FAQ - Department of Education

FERPA Guide for Colleges and Universities

HIPAA/Protected Health Information HIPAA Covered Component Privacy Officers

HIPAA at UVM

Information Security  

Enterprise Technology Services (ETS)

Mark Ackerly, Information Security Officer

Information Security at UVM
Library Records USA PATRIOT Act, Public Law 107-56
Vermont Public Records Act (1 V.S.A. §317)

Univeristy Libraries

Mara Saule, Dean of University Libraries

 
Privacy Program   Office of Compliance Services


Tessa Lucey, Director of Compliance Services and Chief Privacy Officer

 
Public Records Requests Vermont Public Records Act (1 V.S.A. §§315-320) General Counsel  
Records Retention Various Office of Compliance Services


Tessa Lucey, Director of Compliance Services and Chief Privacy Officer

Record Retention Schedule

Record Retention Presentation

Red Flag Rules Federal Trade Commission Notice

Studnet Financial Services

Jill King, Associate Director of Student Financial Services

See Program/Policy

 

Conflict of Interest & Commitment

SPECIFIC COMPLIANCE ISSUE COMPLIANCE REQUIREMENT/ STATUTE OPERATIONAL DEPARTMENT/ CONTACT AVAILABLE TRAINING/ RESOURCES/ INFORMATION UNIVERSITY POLICY/ OPERATING PROCEDURE
Conflicts of Interest and Commitment  

Office of the President


Gary Derr, Vice President of Executive Operations

 
Financial Conflict of Interest in Research

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)]

Research Support and Integrity

Victoria Jones, Research Compliance Officer

 

 

General Compliance

Compliance Area Responsible Official Operational Department Additional Information
 
Americans with Disabilities Act (ADA) President Office of Affirmative Action and Equal Opportunity ADA & Universal Design
https://www.uvm.edu/aaeo/ada
Donor Gift Restrictions Vice President for Finance and University Treasurer Controllers Office Gifts Policy
http://www.uvm.edu/policies/advance/gifts.pdf
EEOC/ Affirmative Action President Director Office of Affirmative Action and Equal Opportunity EEOC/Affirmative Action Home Page
https://www.uvm.edu/aaeo
Environmental Health and Safety Vice President for University Relations and Administration Director Risk Management and Safety http://www.uvm.edu/safety/
Facilities/Construction: State and Local Regulations Vice President for Finance and Administration Capital Planning and Management http://www.uvm.edu/~cpm/
HIPAA (hybrid entity) Component HIPAA Privacy Officers Individual Covered Components HIPAA Information
https://www.uvm.edu/compliance/hipaa_information
Human Resources Vice President for Human Resources, Diversity and Multicultural Affairs Director Human Resources Employment Compliance Issues
https://www.uvm.edu/compliance/compliance_matrices
Immigration Vice President for Enrollment Management Director International Education International Education Office
https://www.uvm.edu/oie/immigration
Intellectual Property/Technology Transfer Vice President for Research Director Office of Technology Commercialization Office of Technology Commercialization
http://www.uvm.edu/uvminnovations/
NCAA/Athletics/Equity in Athletics President Director of Athletics Athletics Compliance Office
http://uvmathletics.com/sports/2010/6/27/GEN_0627100324.aspx?

Equity in Athletics
http://uvmathletics.com/sports/2010/11/6/GEN_1106105839.aspx
Public Safety Vice President for University Relations and Administration Chief of Police Police Services
https://www.uvm.edu/police
Records Retention Chief Privacy Officer Office of Chief Privacy Services Record Retention Presentation
https://www.uvm.edu/compliance/record_retention_presentation
Research Policy and Administration Vice President for Research Assoc Vice President Research Administration Research Compliance Issues
https://www.uvm.edu/compliance/compliance_matrices
Sexual Harassment Senior Vice President and Provost Director Office of Affirmative Action and Equal Opportunity EEOC/Affirmative Action Home Page
http://www.uvm.edu/aaeo
Student Financial Aid Vice President for Enrollment Management Director Student Financial Services Student Financial Services
https://www.uvm.edu/studentfinancialservices
Student Records (FERPA) Senior Vice President and Provost Registrar FERPA Rights Policy
http://www.uvm.edu/policies/student/ferpa.pdf
Tax Related Vice President for Finance and University Treasurer Controllers Office Tax Information
https://www.uvm.edu/finance/tax


 

Sponsored Program and Research Compliance

SPECIFIC COMPLIANCE ISSUE COMPLIANCE REQUIREMENT/ STATUTE OPERATIONAL DEPARTMENT/ CONTACT AVAILABLE TRAINING/ RESOURCES/ INFORMATION UNIVERSITY POLICY/ OPERATING PROCEDURE
 
Animal Care

Animal Welfare Act

Health Research Extension Act of 1985, Public Law 99-158, Sect. 495

Animal Care Management

Ruth Blauwiekel, University Veterinarian

Animal Care Education/Training

Manual for Vertebrate
Animal Research

Conflicts of Interest in Research

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)].

Research Support and Integrity

Victoria Jones, Research Compliance Officer

Sponsored Project Administration: Research COI Information

HHS: PHS COI FAQ

NSF Conflict of Interest Requirements

Financial Conflict of Interest in Sponsored Research
Controlled Substances

DOJ Drug Enforcement Administration(DEA)

Animal Care Management

Ruth Blauwiekel, University Veterinarian

UVM Controlled Substances in Research Guide

Training is also included in the required IACUC training for individual involved in IACUC protocols

UVM Controlled Substances in Research Guide
Effort Reporting

Uniform Guidance - Compensation Personal Services

Cost Accounting Services

Michael Meunier, Assistant Controller

Web based Effort Reporting Training

Effort Management
and Reporting on Sponsored Agreements
Export Controls

Export Administration Regulations (EAR) and International Traffic in Arms Control (ITAR)

Office of Foreign Assets Control  (OFAC) administers and enforces trade embargos and sanctions

Research Support and Integrity

Victoria Jones, Research Compliance Officer

Export Controls Resource Page

Export Controls - Export License Decision Tree

Export Controls
Financial Management of Sponsored Projects

Uniform Guidance

Sponsored Project Administration

Brian Prindle, Executive Director for Research Administration and Integrity

Michael Meunier, Assistant Controller

Cost Principles

Cost Sharing (includes Salary Cap Cost-Sharing)

Subawards

Cost Transfers

Research Related Policies
Human Subject Research

HHS Policy for the Protection of Human Subjects

FDA Regulations related to Human Subjects and Clinical Trials

Research Protections Office

Donna Silver, Director of the Research Protections Office

Human Subjects Research Training

Institutional Review Board

Manual for Human
Subjects Research
Intellectual Property/Technology Transfer

Bayh-Dole Act of 1980 and related regulations [48 CFR parts 927, 952, 970]; Acquisition Regs and Technology Regs., 37 CFR Part 401

UVM Innovations

Kerry Swift, Technology Licensing Officer

  Intellectual Property Policy
Research Policy and Administration  

Office of the Vice President for Research

Dan Harvey, 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, Executive Director for Research Administration and Integrity

http://www.uvm.edu/spa/?Page=responsibleconduct_cititraining.html

Misconduct in Research and Other Scholarly Activities
Sponsored Project Compliance        


 

Environmental Health and Safety Compliance

SPECIFIC COMPLIANCE ISSUE COMPLIANCE REQUIREMENT/ STATUTE OPERATIONAL DEPARTMENT/ CONTACT AVAILABLE TRAINING/ RESOURCES/ INFORMATION UNIVERSITY POLICY/ OPERATING PROCEDURE
 
Alcohol and Drugs  

Human Resources Services

 

Mary Brodsky, Director of Labor Relations & Employment Services

 
Biosafety        
Bloodborne Pathogens

OSHA Bloodborne Pathogens, 29 C.F.R. 1910.1030

Environmental Health and Safety

 

Jeff LaBossiere, Biological Safety Officer

http://www.uvm.edu/safety/lab/safetytraining

Chemical Facilities

Chemical Facility Anti-Terrorism Standards 6CFR27

Environmental Health and Safety

Francis Churchill, 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, Director for Risk Management & Safety

 
Fire and Life Safety  

Department of Risk Management & Safety

 

John Marcus, University Fire Marshal

 
Incident Management System

Incident Management system 29 CFR 1910.120

Environmental Health and Safety

Francis Churchill, Assistant Director of Risk Management & Safety for Health and Safety

http://www.uvm.edu/safety/lab/safetytraining

University Emergency Response and Recovery Plan

Infectious Agents -NIH Oversight

Submission, Review and Monitoring of NIH-Funded Awards Involving Research with Infectious Agents or Select Agents

Oversight and Regulatory Authorities for NIH-Funded Awards Involving Research with Infectious Agents or Select Agents

Environmental Health and Safety


Jeff LaBossiere, Biological Safety Officer

http://www.uvm.edu/safety/lab/safetytraining

 
Laboratory Practices/Lab Safety

OSHA Occupational Exposure to Hazardous Chemicals in Laboratories-29 CFR  1910.1450

Environmental Health and Safety

Francis Churchill, Assistant Director of Risk Management & Safety for Health and Safety

http://www.uvm.edu/safety/lab/safetytraining

Radiation Safety   Department of Risk Management & Safety

Tom Kellogg, Radiation Safety Officer

   
Recombinant DNA -NIH Oversight

http://osp.od.nih.gov/office-biotechnology-activities/biosafety/nih-guidelines

Environmental Health and Safety


Jeff LaBossiere, Biological Safety Officer

http://www.uvm.edu/safety/lab/safetytraining

 
Select Agents - CDC Oversight

http://www.cdc.gov/od/sap/

Environmental Health and Safety


Jeff LaBossiere, Biological Safety Officer

   
Transportation of Hazardous Materials or Infectious Substances

DOT Rule HM-226 Transportation of Class 6.2 infectious substances Hazardous Materials Transportation Act of 1994; 49 USCS § 5108; 49 CFR § 107.608, 49 CFR 171.1(b)

Environmental Health and Safety


Jeff LaBossiere, Biological Safety Officer

 

 

Reporting & Non-Retaliation