Compliance Counts - Winter 2022

Office of Compliance and Privacy Services

Winter 2022

A Message About Your Compliance Program

As we begin a new semester, it is important that all employees (faculty and staff) 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. You can always reach out to 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

Our Common Ground

Whistleblower Policy: Reporting, Protections & Non-retaliation

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 should 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.

Protection of Minors

The University of Vermont hosts, sponsors, and provides various events and programs in which minors participate. The University has an obligation to provide an environment that is safe for those minors who participate in these programs. As such, UVM has established a Protection of Minors Policy that sets forth requirements related to programs involving minors. The primary requirements of this policy is that anyone working in the program who has access to minors 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 »

Conflict of Interest and Conflict of Commitment

According to UVM policy, 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) 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

The University has established technology controls, administrative controls, and physical controls that are designed to safeguard the various types of non-public protected data (NPPD) that we have been entrusted with. Whether the information is personal, sensitive, confidential, proprietary, or regulated, if we are collecting, accessing, using, disclosing, or storing it, we have an obligation to protected it. These controls and safeguards include those written in UVM’s Computer, Communication, and Network Technology Acceptable Use Policy, Privacy Policy and Information Security Policy and Procedure. 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 on UVM's privacy program, visit UVM's Privacy Program webpage. For more information on UVM's information security program, visit UVM's Information Security webpage.

Compliance in the
Headlines

Misuse of Institutional Resources:
• San Mateo community college vice chancellor charged in wide-ranging corruption case

Title IX:
• University of Michigan reaches $490 million settlement after sex abuse allegations against former UM doctor

Cybersecurity:
• Secure File Sharing Compromises University Security

Conflicts of Interest:
• Professor Pleads Guilty to Lying to Federal Agents About Patents in China

Need to Report a Concern?

Ethics and Compliance Reporting and HelpLine

Learn about What We
Can Do For You

What We Do

What is a Culture of Compliance?

Reporting Options