Compliance Counts - March 15, 2024

THE OFFICE OF COMPLIANCE & PRIVACY SERVICES

Inside UVM - March 15, 2024

A Message About Your Compliance Program

As we begin a new semester, it is important that all employees (faculty, staff, temporary employees) and graduate students in teaching or research roles and those graduate students who are receiving stipends, be aware of UVM’s compliance program and of our shared responsibility to continually build upon and improve UVM’s culture of compliance. The cornerstone of your compliance program is the Code of Conduct and Ethical Standards (the Code). The intent of the Code is to communicate the principles and standards that have been identified as most relevant to the university's stated values, Our Common Ground.

Please review this information carefully and if you have any questions, reach out to the contact person listed in the policy. Alternatively, you can always email the Office of Compliance Services directly if you have additional questions.

Learn More

Compliance Program Important Links

More information regarding your compliance program can be found by clicking the “Learn More” button above. Important links related to your compliance program include:

Code of Conduct and Ethical Standards (PDF)

Our Common Ground

Whistleblower Policy: Reporting, Protections & Non-retaliation (PDF)

While the Code identifies those policies that are most relevant to Our Common Ground, UVM’s institutional policies and procedures extend beyond those identified in the Code. All members of the university community need to be familiar with those policies and procedures applicable to their roles. A full list of UVM’s policies and procedures can be found on the Institutional Policy Website.

Here are some policies that everyone should know about:

Conflict of Interest and Conflict of Commitment

According to UVM's Conflict of Interest and Conflict of Commitment Policy (pdf), all UVM employees, whether full-time or part-time, whether faculty, staff, administrators, or others, are required to disclose potential conflicts of interest/commitment as they arise. All faculty and exempt staff ("covered persons") are required to file an annual conflicts disclosure form. Non-covered staff (non-exempt employees) are still required to disclose, in writing, potential conflicts; however, the method of disclosure is at the discretion of the employment unit. Examples of potential conflicts and individual requirements are outlined in UVM's policy. Read More »

Safeguarding Personal and Protected Information

(Data Privacy and Information Security)

UVM has established controls to safeguard various types of non-public protected data (NPPD). If we are collecting, accessing, using, disclosing, or storing NPPD, we are obligated to protect it. Controls and safeguards include those in UVM’s Computer, Communication, and Network Technology Acceptable Use Policy (pdf), Privacy Policy (pdf) and Information Security Policy (pdf) and Information Security Procedures (pdf). All members of the university community who have access to UVM systems and data are responsible for the proper handling of this information. For more information, visit UVM's Privacy Program webpage and UVM's Information Security webpage.

Protection of Minors

The University of Vermont hosts, sponsors, and provides various events and programs in which minors participate. The university is obligated to provide a safe environment for minors who participate in these programs. As such, UVM has established a Protection of Minors Policy (pdf) that sets forth requirements related to programs involving minors. The primary requirement of this policy is that anyone working in the program who is responsible for the care and custody of at least one minor must undergo a background check and must complete training prior to their involvement in the program. In addition, there are contractual requirements and notification requirements. If your department, division, school, college, unit, or program interacts with minors, you must adhere to all the requirements under this policy. Read More »

Need to report a compliance or ethics concern?

Report workplace compliance, ethics, or policy violations with ease using the Ethics and Compliance Reporting and HelpLine.

For all other reports, visit UVM’s Campus Reporting Portal.

Policy Spotlight

Americans with Disabilities Act (ADA):

• Did you know that UVM now has an online form for reporting barriers? Go to UVM’s ADA webpage and click on “Report an ADA Barrier” to make a report.

Keys and Eletronic Access Systems:

• Transferring keys from one person to another is prohibited under university policy. If you are responsible for requesting keys in your unit, it is your responsibility to turn in keys TO the Lock Shop when someone leaves and to re-request them FROM the Lock Shop when the position is filled.

Compliance in the Headlines

Privacy & Cybersecurity:

• DePauw University Warns of Data Breach as Ransomware Attacks on Colleges Surge

• "Sextortion" Email Scam – Emails received that claim to have hacked into recipient’s computers and recorded them visiting adult websites

Compliance:

• Former ASU Employee Indicted on Theft, Fraud Charges for Embezzling Nearly $125,000