campus in the eveningHere is a sampling of compliance issues.

Affirmative Action and Employment Compliance

Accessibility

Affirmative Action/Equal Opportunity

Compliance Requirement/Statute

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

Operational Department/Contact

Available Training/Resources/Information

University Policy/Operating Procedure

Alcohol and Other Drugs in the Workplace

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


University Policy/Operating Procedure

Commercial Drivers Testing

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

Compliance Requirement/Statute

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

Operational Department/Contact

Available Training/Resources/Information

University Policy/Operating Procedure

Employment of Foreign Nationals

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

Available Training/Resources/Information

  • Immigration Services Manual

University Policy/Operating Procedure

Labor Practices – Unions

Compliance Requirement/Statute

  • Fair Labor Practices - Unionized Employees
  • SELRA State Employees Labor Relations Act
  • Vermont Labor Relations Board

Operational Department/Contact


University Policy/Operating Procedure

Leaves of Absence

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

Available Training/Resources/Information

University Policy/Operating Procedure

Other Nondiscrimination Requirements

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

Available Training/Resources/Information

University Policy/Operating Procedure

Sexual Harassment and Misconduct

Veteran Status

Compliance Requirement/Statute

Operational Department/Contact

Available Training/Resources/Information

University Policy/Operating Procedure

View in table format

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

Data Breach Notification

Compliance Requirement/Statute

Operational Department/Contact

University Policy/Operating Procedure

FERPA/Student Records

Compliance Requirement/Statute

Operational Department/Contact

Available Training/Resources/Information

University Policy/Operating Procedure

HIPAA/Protected Health Information

Compliance Requirement/Statute

Operational Department/Contact

  • Covered Component Privacy Officers

Available Training/Resources/Information

University Policy/Operating Procedure

Information Security

Operational Department/Contact

Available Training/Resources/Information

University Policy/Operating Procedure

Library Records

Compliance Requirement/Statute

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

Operational Department/Contact

University Policy/Operating Procedure

Privacy Program

Operational Department/Contact

University Policy/Operating Procedure

Public Records Requests

Compliance Requirement/Statute

  • Vermont Public Records Act (1 V.S.A. §§315-320)

Operational Department/Contact

University Policy/Operating Procedure

Records Retention

Compliance Requirement/Statute

  • Various

Operational Department/Contact

Available Training/Resources/Information

University Policy/Operating Procedure

Red Flag Rules

Compliance Requirement/Statute

Operational Department/Contact

Available Training/Resources/Information

  • See Program/Policy

University Policy/Operating Procedure

View in table format

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)

Sam Hooker (email link), Information Security Officer

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

University 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

Student Financial Services

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

  • See Program/Policy

 

Conflict of Interest & Commitment

Conflicts of Interest and Commitment

Operational Department/Contact

University Policy/Operating Procedure

Financial Conflict of Interest in Research

View in table format

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 for Operations and Public Safety

 
Financial Conflict of Interest in Research

Research Support and Integrity

Victoria Jones (email link), Research Compliance Officer

 

 

General Compliance

Americans with Disabilities Act (ADA)

Responsible Official

  • President

Operational Department

  • Office of Affirmative Action and Equal Opportunity

Additional Information

Donor Gift Restrictions

Responsible Official

  • Vice President for Finance and Administration

Operational Department

  • Controllers Office

Additional Information

EEOC/Affirmative Action

Responsible Official

  • President

Operational Department

  • Director Office of Affirmative Action and Equal Opportunity

Additional Information

Environmental Health and Safety

Responsible Official

  • Vice President for Operations and Public Safety

Operational Department

  • Director Risk Management and Safety

Additional Information

Facilities/Construction: State and Local Regulations

Responsible Official

  • Vice President for Finance and Administration

Operational Department

  • Planning, Design and Construction

Additional Information

HIPAA (hybrid entity)

Responsible Official

  • Component HIPAA Privacy Officers

Operational Department

  • Individual Covered Components

Additional Information

Human Resources

Responsible Official

  • Vice President for Finance and Administration

Operational Department

  • Director Human Resources

Additional Information

  • Employment Compliance Issues (see Affirmative Action and Employment Compliance)

Immigration

Responsible Official

  • Senior Vice President and Provost

Operational Department

  • Director International Education

Additional Information

Intellectual Property/Technology Transfer

Responsible Official

  • Vice President for Research

Operational Department

  • Director Office of Technology Commercialization

Additional Information

NCAA/Athletics/Equity in Athletics

Responsible Official

  • President

Operational Department

  • Director of Athletics

Additional Information

Public Safety

Responsible Official

  • Vice President for Operations and Public Safety

Operational Department

  • Chief of Police

Additional Information

Records Retention

Responsible Official

  • Chief Privacy Officer

Operational Department

Additional Information

Research Policy and Administration

Responsible Official

  • Vice President for Research

Operational Department

  • Assoc Vice President Research Administration

Additional Information

Sexual Harassment

Responsible Official

  • Senior Vice President and Provost

Operational Department

  • Director Office of Affirmative Action and Equal Opportunity

Additional Information

Student Financial Aid

Responsible Official

  • Vice Provost for Enrollment Management

Operational Department

  • Director Student Financial Services

Additional Information

Student Records (FERPA)

Responsible Official

  • Senior Vice President and Provost

Operational Department

  • Registrar

Additional Information

Tax Related

Responsible Official

  • Vice President for Finance and Administration

Operational Department

  • Controllers Office

Additional Information

View in table format

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 AdministrationControllers OfficeGifts Policy (PDF)
EEOC/ Affirmative ActionPresidentDirector Office of Affirmative Action and Equal OpportunityEEOC/Affirmative Action Home Page
Environmental Health and SafetyVice President for Operations and Public SafetyDirector Risk Management and SafetyRisk Management
Facilities/Construction: State and Local RegulationsVice President for Finance and AdministrationPlanning, Design and ConstructionPlanning, Design and Construction
HIPAA (hybrid entity)Component HIPAA Privacy OfficersIndividual Covered ComponentsHIPAA Information
Human ResourcesVice President for Finance and AdministrationDirector Human ResourcesEmployment Compliance Issues
ImmigrationSenior Vice President and ProvostDirector 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 Operations and Public SafetyChief of PolicePolice Services
Records RetentionChief Privacy OfficerOffice of 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 Provost 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 AdministrationControllers OfficeTax Information

 

Sponsored Program and Research Compliance

Animal Care

Compliance Requirement/Statute

Operational Department/Contact

Available Training/Resources/Information

University Policy/Operating Procedure

Conflicts of Interest in Research

Controlled Substances

Compliance Requirement/Statute

Operational Department/Contact

Available Training/Resources/Information

University Policy/Operating Procedure

Effort Reporting

Compliance Requirement/Statute

Operational Department/Contact

Available Training/Resources/Information

University Policy/Operating Procedure

Export Controls

Financial Management of Sponsored Projects

Compliance Requirement/Statute

Operational Department/Contact

Available Training/Resources/Information

University Policy/Operating Procedure

Human Subject Research

Compliance Requirement/Statute

Operational Department/Contact

Available Training/Resources/Information

University Policy/Operating Procedure

Intellectual Property/Technology Transfer

Research Policy and Administration

Operational Department/Contact

Scientific Misconduct

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

Available Training/Resources/Information

University Policy/Operating Procedure

View in table format

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

Alcohol and Drugs

Bloodborne Pathogens

Compliance Requirement/Statute

Operational Department/Contact

Available Training/Resources/Information

University Policy/Operating Procedure

Chemical Facilities

Compliance Requirement/Statute

Operational Department/Contact

Available Training/Resources/Information

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

Driver Safety

Fire and Life Safety

Operational Department/Contact

University Policy/Operating Procedure

Incident Management System

Compliance Requirement/Statute

Operational Department/Contact

Available Training/Resources/Information

University Policy/Operating Procedure

Infectious Agents - NIH Oversight

Laboratory Practices/Lab Safety

Compliance Requirement/Statute

Operational Department/Contact

Available Training/Resources/Information

University Policy/Operating Procedure

Radiation Safety

Operational Department/Contact

Recombinant DNA - NIH Oversight

Compliance Requirement/Statute

Operational Department/Contact

Available Training/Resources/Information

Select Agents - CDC Oversight

Compliance Requirement/Statute

Operational Department/Contact

Transportation of Hazardous Materials or Infectious Substances

View in table format

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

 

 

Reporting & Non-Retaliation

Non-Retaliation

Whistleblower Protection

 

View in table format

SPECIFIC COMPLIANCE ISSUECOMPLIANCE REQUIREMENT/ STATUTEOPERATIONAL DEPARTMENT/ CONTACTAVAILABLE TRAINING/ RESOURCES/ INFORMATIONUNIVERSITY POLICY/ OPERATING PROCEDURE
Non-RetaliationU.S. Equal Employment Opportunity Commission, Federal Laws

Office of Compliance Services

 

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

EEO Enforcement Guidance on Retaliation
Whistleblower ProtectionThe Whistleblower Protection Act of 1989, 5 U.S.C. 2302(b)(8)-(9), Pub.L. 101-12 as amended (PDF)

Office of Compliance Services

 

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

Whistleblower Protection Act Information