Compliance Matrix
A compliance matrix is a tool used by universities to enhance compliance in a highly decentralized compliance environment. The matrix assigns responsibility for broad compliance areas to top level administrative units, and designates content experts to act as “compliance owners” and compliance partners for specific regulatory issues that guide the operations of the university.
At USU fourteen areas have been identified, with several specific compliance requirements assigned within each topic area. The matrix is designed to connect personnel throughout the university in order to coordinate compliance activities. It provides users with points of contact for each of the more than 200 regulatory requirement for which USU is responsible. It also helps ensure that the individuals that have responsibility for each compliance area have the working knowledge to identify risk that, if not addressed, could result in significant harm to USU.
USU’s Chief Compliance Officer maintains the matrix and works with administrators and compliance content experts throughout the USU community to meet USU’s compliance obligations.
| Regulatory Focus | Owner | Partner | Resources | Topic | Functional Area (Responsible Executive) |
|---|---|---|---|---|---|
| Fringe Benefits, 26 USC 132 | Controller | Tax Law | Accounting, Finance & Operations (VP for Business & Finance) | ||
| Independent Contractors, 26 USC 3401-3406 | Controller | Tax Law | Accounting, Finance & Operations (VP for Business & Finance) | ||
| Foreign Account Tax Compliance Act, IRS TD 9706 | Controller | Tax Law | Accounting, Finance & Operations (VP for Business & Finance) | ||
| Federal Unemployment Tax Act, 26 CFR 31.6011(b)-2 | Controller | Manager, Payroll | Tax Law | Accounting, Finance & Operations (VP for Business & Finance) | |
| Unrelated Business Income Tax, 26 CFR 1.511-1, 1.513-4 | Controller | Tax Law | Accounting, Finance & Operations (VP for Business & Finance) | ||
| IRC, Sections 141, & 145 - Protection of non-profit status based on business uses of bonded buildings | Controller | Tax Law | Accounting, Finance & Operations (VP for Business & Finance) | ||
| Social Security Act, 20 CFR 404.1028 Federal Insurance Contribution Act, 26 CFR 31 | Controller | Manager, Payroll | Tax Law | Accounting, Finance & Operations (VP for Business & Finance) | |
| Foundations and Private Corporations, Board of Regents R271 | Controller | Tax Law | Accounting, Finance & Operations (VP for Business & Finance) | ||
| Form W8-BEN, Certificate of Foreign Status of Beneficial Owner for U.S. Tax Withholding | Director, Global Engagement | Controller | Tax Law | Accounting, Finance & Operations (VP for Business & Finance) | |
| Consumer Credit Protection Act - Garnishments | Controller | Manager, Payroll Associate Vice President, Human Resources |
Tax Law | Accounting, Finance & Operations (VP for Business & Finance) | |
| Generally Accepted Accounting Principles (GAAP), Governmental Accounting Standards Board |
Controller | Fiscal Management | Accounting, Finance & Operations (VP for Business & Finance) | ||
| Accounting and Financial Controls, Board of Regents R561 | Controller | Fiscal Management | Accounting, Finance & Operations (VP for Business & Finance) | ||
| Anti-Terrorist Financing Guidelines | Controller | Director, Purchasing & Contract Services | Fiscal Management | Accounting, Finance & Operations (VP for Business & Finance) | |
| Uniform Guidance (2 CFR 200) | Controller | Fiscal Management | Accounting, Finance & Operations (VP for Business & Finance) | ||
| Uniform Guidance (2 CFR 200) | Controller | Director, Sponsored Programs Accounting; Director, Sponsored Programs; Director, Corporate Relations & Foundations | Grants Management/Post-award | Accounting, Finance & Operations (VP for Business & Finance) | |
| Department of Education General Administrative Regulations (EDGAR), 34 CFR75-79, 81-86, 97-99 | Director, Sponsored Programs Accounting | Director, Sponsored Programs | Grants Management/Post-award | Accounting, Finance & Operations (VP for Business & Finance) | |
| Financial Value Transparency and Gainful Employment 34 CFR 600, 34 CFR 668, 88 FR 32300 |
Gainful Employment Web Center | Consumer Information | Student Financial Support | ||
| Health & Human Services Grant Policy Statement | Director, Sponsored Programs | Director, Sponsored Programs Accounting | Grants Management/Post-award | Accounting, Finance & Operations (VP for Business & Finance) | |
| False Claims Act (including Anti-Kickback Statute actions), and Fraud Enforcement and Recovery Act (used to bring qui tam suits against institutions that are not compliant with federal requirements) | Director, Sponsored Programs Accounting | Director, Sponsored Programs; General Counsel | Grants Management/Post-award | Accounting, Finance & Operations (VP for Business & Finance) | |
| Federal Awardee Performance and Integrity Information System (FAPIIS), and Federal Funding Accoutability & Transparency Act (FFATA) | Controller | Director, Sponsored Programs Accounting | Grants Management/Post-award | Accounting, Finance & Operations (VP for Business & Finance) | |
| NSF Notification Requirement Regarding Harassment | Director, Sponsored Programs (or AOR) | Title IX Coordinator | Grants Management/Post-award | Accounting, Finance & Operations (VP for Business & Finance) | |
| International Code Council (building & energy codes) National Fire Protection Association requirements, Utah Division of Construction & Management requirements | Director, Facilities Planning, Design & Construction | USU Fire Marshal | Facilities Management & Building Code Compliance | Accounting, Finance & Operations (VP for Business & Finance) | |
| Byrd Amendment, 32 CFR 28, 34 CFR 82.100 | Controller | Director, Purchasing & Contract Services; Director, Sponsored Programs | Contracts & Procurement, Transactions | Accounting, Finance & Operations (VP for Business & Finance) | |
| Contract Disputes Act | Controller | Director, Purchasing & Contract Services; Director, Sponsored Programs | Contracts & Procurement, Transactions | Accounting, Finance & Operations (VP for Business & Finance) | |
| Acceptance and Approval of Contracts & Grants, Board of Regents R532 | Controller | Director, Purchasing & Contract Services; Director, Sponsored Programs | Contracts & Procurement, Transactions | Accounting, Finance & Operations (VP for Business & Finance) | |
| Purchasing, Board of Regents R571 | Controller | Director, Purchasing & Contract Services | Contracts & Procurement, Transactions | Accounting, Finance & Operations (VP for Business & Finance) | |
| Providing Facilities, Goods and Services in Competition with Private Enterprise, Board of Regents R555 | Controller | Director, Purchasing & Contract Services; General Counsel | Contracts & Procurement, Transactions | Accounting, Finance & Operations (VP for Business & Finance) | |
| Payment Card Industry Data Security Standards | Controller | Manager, Security & Systems Engineering | Contracts & Procurement, Transactions | Accounting, Finance & Operations (VP for Business & Finance) | |
| Identity Theft Rules, 16 CFR 681 (Red Flag Rules) (See Information Privacy & Security) | PCI Compliance Officer (supports the Data Protection Officer) | Contracts & Procurement, Transactions | Accounting, Finance & Operations (VP for Business & Finance) | ||
| See Foreign Assets Control Regulations 31 CFR 500 (Foreign Travel and Transaction Restrictions) in Other Issues Category | Controller (Risk Management is lead for Foreign Assets Control Regulations) | Contracts & Procurement, Transactions | Accounting, Finance & Operations (VP for Business & Finance) | ||
| Higher Education Opportunities Act (HEOA), 20 USC 1092(a)(1)(J), disclosure of information on accreditation | Director, Analysis, Assessment and Accreditation (providing accreditation information) | University Registrar | Disclosures for Prospective & Current Students | Academics, Admissions & Financial Aid (VP for Academic & Instructional Services; Provost, for visas and foreign national relations) | |
| HEOA, 20 USC 1092(a)(1)(E) disclosures of costs and net price calculator | Associate Director, Operations & Compliance | University Registrar | Net Price Calculator | Disclosures for Prospective & Current Students | Academics, Admissions & Financial Aid (VP for Academic & Instructional Services; Provost, for visas and foreign national relations) |
| HEOA, 20 USC 1092(a)(1)(A), (B) & (C) financial assistance programs, methods of distribution of financial aid and application requirements | Associate Director, Operations & Compliance | University Registrar | USU Financial Aid; Federal Grants; Federal Loans; Federal Work Study; Application equirements; | Disclosures for Prospective & Current Students | Academics, Admissions & Financial Aid (VP for Academic & Instructional Services; Provost, for visas and foreign national relations) |
| Veterans Health Care and Benefits Inprovement Act of 2020, PL 116-315, Section 1018, Notifications to participants in VA educational assistance programs related to the University's participation in the GI Bill. | Program Coordinator, Veterans Resource Office | Director, Operations & Compliance; University Registrar | Disclosures for Prospective & Current Students | Academics, Admissions & Financial Aid (VP for Academic & Instructional Services; Provost, for visas and foreign national relations) | |
| Student Right to Know Act 34 CFR 668.41, 45, and 48 Students' financial aid rights and responsibilities | Associate Director, Operations & Compliance | University Registrar | Student's Rights and Responsibilities | Disclosures for Prospective & Current Students | Academics, Admissions & Financial Aid (VP for Academic & Instructional Services; Provost, for visas and foreign national relations) |
| HEOA, 20 USC 1092(a)(1)(K) Disclosures of admissions criteria, and standards for sufficient progress | Director, Admissions | USU Registrar | Disclosures for Prospective & Current Students | Academics, Admissions & Financial Aid (VP for Academic & Instructional Services; Provost, for visas and foreign national relations) | |
| HEOA, 20 USC 1092(a)(1)(K), Course information and changes to academic programs | USU Registrar | Disclosures for Prospective & Current Students | Academics, Admissions & Financial Aid (VP for Academic & Instructional Services; Provost, for visas and foreign national relations) | ||
| Higher Education Act (HEA), Financial Aid Code of Conduct, 34 CFR 668.14 | Associate Director, Operations & Compliance | Code of Conduct | Disclosures for Prospective & Current Students | Academics, Admissions & Financial Aid (VP for Academic & Instructional Services; Provost, for visas and foreign national relations) | |
| HEOA, 20 USC 1092(a)(1)(V), disclosure of USU's vaccination policies | Executive Director, Student Health & Psychological Services | USU Registrar | Disclosures for Prospective & Current Students | Academics, Admissions & Financial Aid (VP for Academic & Instructional Services; Provost, for visas and foreign national relations) | |
| HEA, Penalties for Drug Violations,34 CFR 668.40 | Director, Student Conduct & Community Standards | USU Registrar | Disclosures for Prospective & Current Students | Academics, Admissions & Financial Aid (VP for Academic & Instructional Services; Provost, for visas and foreign national relations) | |
| HEOA, 20 USC 1092(a)(1)(L) and (R) & 1092(a)(3), disclosure of graduation completion rates and graduate placement in employment | Associate Vice President, AIS | Director, Career Services; USU Registrar | Disclosures for Prospective & Current Students | Academics, Admissions & Financial Aid (VP for Academic & Instructional Services; Provost, for visas and foreign national relations) | |
| HEOA, 20 USC 1092(a)(1)(U), Retention rates for students | Associate Vice President, AIS | Director, Academic Belonging & Learning Excellence; USU Registrar | Disclosures for Prospective & Current Students | Academics, Admissions & Financial Aid (VP for Academic & Instructional Services; Provost, for visas and foreign national relations) | |
| HEOA, 20 USC 1092(a)(1)(Q), Student body diversity statistics | USU Registrar | Disclosures for Prospective & Current Students | Academics, Admissions & Financial Aid (VP for Academic & Instructional Services; Provost, for visas and foreign national relations) | ||
| HEOA, 20 USC 1092(h)(1), Transfer policies & articulation agreements | USU Registrar | Disclosures for Prospective & Current Students | Academics, Admissions & Financial Aid (VP for Academic & Instructional Services; Provost, for visas and foreign national relations) | ||
| Truth in Lending Act, 12 CFR 1026 (Regulation Z) | Controller (Bursar's Office) | Disclosures for Prospective & Current Students | Academics, Admissions & Financial Aid (VP for Academic & Instructional Services; Provost, for visas and foreign national relations) | ||
| Tax Liens to Collect Student Loans, Board of Regents, R681 | Controller (Bursar's Office) | Disclosures for Prospective & Current Students | Academics, Admissions & Financial Aid (VP for Academic & Instructional Services; Provost, for visas and foreign national relations) | ||
| HEOA, 26 USC 6050S, qualified tuition and student loan interest reporting | USU Registrar | Disclosures for Prospective & Current Students | Academics, Admissions & Financial Aid (VP for Academic & Instructional Services; Provost, for visas and foreign national relations) | ||
| Board of Regents R511, Tuition Disclosures and Consultation | USU Registrar | Associate Director, Operations & Compliance |
Disclosures for Prospective & Current Students | Academics, Admissions & Financial Aid (VP for Academic & Instructional Services; Provost, for visas and foreign national relations) | |
| Board of Regents R514, Refunds of Tuition, Fees, and Other Student Charges | USU Registrar; Controller (Bursar's Office) | Associate Director, Operations & Compliance |
Disclosures for Prospective & Current Students | Academics, Admissions & Financial Aid (VP for Academic & Instructional Services; Provost, for visas and foreign national relations) | |
| Board of Regents R465, Course Material Affordability | Disclosures for Prospective & Current Students | Academics, Admissions & Financial Aid (VP for Academic & Instructional Services; Provost, for visas and foreign national relations) | |||
| Higher Education Act (HEA), 34 CFR 600.2 Credit Hour definition for work in laboratories, practicum, or other non-classroom related activities | Associate Director, Operations & Compliance | Program Integrity Rules | Academics, Admissions & Financial Aid (VP for Academic & Instructional Services; Provost, for visas and foreign national relations) | ||
| HEA - Incentive Compensation Prohibition, 34 CFR 668.14(b)(22) | Director, Admissions | Executive Director, Human Resources | Program Integrity Rules | Academics, Admissions & Financial Aid (VP for Academic & Instructional Services; Provost, for visas and foreign national relations) | |
| HEA - State Authorization, 34 CFR 600.9 | Executive Director, AIS | Program Integrity Rules | Academics, Admissions & Financial Aid (VP for Academic & Instructional Services; Provost, for visas and foreign national relations) | ||
| HEOA - Financial Value Transparency/Gainful Employment, 34 CFR 668.408FSA-SAIG |
Associate Director, Operations & Compliance |
Program Integrity Rules | Academics, Admissions & Financial Aid (VP for Academic & Instructional Services | ||
| Higher Education Act (HEA), Aid Application Verification, 34 CFR 668.53 | Associate Director, Operations & Compliance | Internal Policy | Financial Aid Operations | Academics, Admissions & Financial Aid (VP for Academic & Instructional Services; Provost, for visas and foreign national relations) | |
| HEA, Audits, 34 CFR 668.23 (regular audits carried out by state auditors on Title IV funds and financial statements) | Associate Director, Operations & Compliance; Controller | General Details; Internal Policy | Financial Aid Operations | Academics, Admissions & Financial Aid (VP for Academic & Instructional Services; Provost, for visas and foreign national relations) | |
| HEA, Cash Management (Title IV funds), 34 CFR 668.161-167 | Associate Director, Operations & Compliance; Controller | General Details; Internal Policy | Financial Aid Operations | Academics, Admissions & Financial Aid (VP for Academic & Instructional Services; Provost, for visas and foreign national relations) | |
| HEA, Cohort Default Rate, 34 CFR 668 subpart N | Associate Director, Operations & Compliance | General Details; Internal Policy | Financial Aid Operations | Academics, Admissions & Financial Aid (VP for Academic & Instructional Services; Provost, for visas and foreign national relations) | |
| HEA, Eligibility & Certification Maintenance, 34 CFR 668.13 | Associate Director, Operations & Compliance | Director, Sponsored Programs | Internal Policy | Financial Aid Operations | Academics, Admissions & Financial Aid (VP for Academic & Instructional Services; Provost, for visas and foreign national relations) |
| HEA, 20 USC 1092(b), Exit Counseling | Associate Director, Operations & Compliance | Controller | Internal Policy | Financial Aid Operations | Academics, Admissions & Financial Aid (VP for Academic & Instructional Services; Provost, for visas and foreign national relations) |
| HEA, TRIO grants & programs, 34 CFR 646 | Project Director, Student Support; Services Grant Program | Financial Aid Operations | Academics, Admissions & Financial Aid (VP for Academic & Instructional Services; Provost, for visas and foreign national relations) | ||
| HEA, Federal Supplemental Educational Opportunities Grant Program, 34 CFR 676.19 | Associate Director, Operations & Compliance | General Details; About FSEOG at USU; Internal Policy | Financial Aid Operations | Academics, Admissions & Financial Aid (VP for Academic & Instructional Services; Provost, for visas and foreign national relations) | |
| HEA, Federal Work Study, 34 CFR 675 | Associate Director, Operations & Compliance; Career Services | General Details; Internal Policy | Financial Aid Operations | Academics, Admissions & Financial Aid (VP for Academic & Instructional Services; Provost, for visas and foreign national relations) | |
| HEA, Perkins Loans, 34 CFR 674.19 | Controller (Bursar's Office) | Associate Director, Operations & Compliance | General Details; Internal Policy | Financial Aid Operations | Academics, Admissions & Financial Aid (VP for Academic & Instructional Services; Provost, for visas and foreign national relations) |
| HEA, PLUS Loans, 34 CFR 682 | Associate Director, Operations & Compliance | General Details; Internal Policy | Financial Aid Operations | Academics, Admissions & Financial Aid (VP for Academic & Instructional Services; Provost, for visas and foreign national relations) | |
| HEA, Program Participation Agreement maintenance, 34 CFR 668.14 | Associate Director, Operations & Compliance | Internal Policy | Financial Aid Operations | Academics, Admissions & Financial Aid (VP for Academic & Instructional Services; Provost, for visas and foreign national relations) | |
| HEA, Standard of Conduct, 34 CFR 668.82 | Associate Director, Operations & Compliance | Code of Conduct | Financial Aid Operations | Academics, Admissions & Financial Aid (VP for Academic & Instructional Services; Provost, for visas and foreign national relations) | |
| Student Loan Default Prevention Initiative Act of 1990, 34 CFR 675, 676 | Associate Director, Operations & Compliance | Student Affairs Office | Internal Policy | Financial Aid Operations | Academics, Admissions & Financial Aid (VP for Academic & Instructional Services; Provost, for visas and foreign national relations) |
| HEA - Preferred Lenders, 34 CFR 601.10 | Associate Director, Operations & Compliance | Director, Campus Stores | Private Lenders Historical List | Financial Aid Operations | Academics, Admissions & Financial Aid (VP for Academic & Instructional Services; Provost, for visas and foreign national relations) |
| International Scholarships and HB118 Waivers, Mutual Education and Cultural Exchange Act | Director, Global Engagement | Associate Director, Operations & Compliance | Financial Aid Operations | Academics, Admissions & Financial Aid (VP for Academic & Instructional Services; Provost, for visas and foreign national relations) | |
| HEOA, Notification of Financial Aid Penalties for Drug Violation through FAFSA self-reporting (34 CFR 668) | Associate Director, Operations & Compliance | Financial Aid Operations | Academics, Admissions & Financial Aid (VP for Academic & Instructional Services; Provost, for visas and foreign national relations) | ||
| Student Exchange and Visitor Information System (SEVIS), 22 CFR 62.15 | Director, Global Engagement | Executive Director, Public Safety | Visas, Foreign National Restrictions | Academics, Admissions & Financial Aid (VP for Academic & Instructional Services; Provost, for visas and foreign national relations) | |
| Executive Order 13780 -REVOKED, Protecting the Nation from Foreign Terrorist Entry including Presidential Proclamations 9645, 9723 and 9983 banning entry into the US by persons from specified nations | Director, Global Engagement | Executive Director, Public Safety | Visas, Foreign National Restrictions | Academics, Admissions & Financial Aid (VP for Academic & Instructional Services; Provost, for visas and foreign national relations) | |
| HEOA - Veterans Readmission Requirements, 34 CFR 668.18 | Director, Admissions; Registrar | Program Coordinator, Veterans Resource Office | Admissions Operations | Academics, Admissions & Financial Aid (VP for Academic & Instructional Services; Provost, for visas and foreign national relations) | |
| Americans with Disabilities Act - Disability-related accommodations for employees, students and guests. | Director, Disability Resource Center | ADA Coordinator, Human Resources; Director, Planning & Design; Director, Parking | Disabled/Medical Parking Information; Policy 323: Employees with Disabilities; Policy 357: Disability Insurances; Getting Started with the Disability Resource Center | Accessibility, Facilities | Accessibility & Diversity (Vice President, Academic & Instructional Services) |
| Fair Housing Act - Disability-related accommodations necessary to afford persons with disabilities an equal opportunity to use and enjoy a dwelling and public and common use areas. | Director, Disability Resource Center | Executive Director, Housing | Accomodations in USU Housing | Accessibility, Facilities | Accessibility & Diversity (Vice President, Academic & Instructional Services) |
| Section 504 of the Rehabilitation Act - Student rights to accessibility in academic settings. | Director, Disability Resource Center | Provost (for syllabus statements) | Syllabus Statement: Students with Disabilities | Accessibility, Facilities | Accessibility & Diversity (Vice President, Academic & Instructional Services) |
| Americans with Disabilities Act, 42 USC 12101-122113 - Accessibility of electronic resources (e.g., websites, course materials, applications, videos) for employees students and guests. | Electronics and Information Technology Accessibility Coordinator | Policy 559: Electronic and Information Technology Accessibility; USU Accessibility Website | Accessibility, Information Technology (IT) | Accessibility & Diversity (Vice President, Academic & Instructional Services) | |
| Section 504 of the Rehabilitation Act, 29 USC 701 (Prohibits discrimination on the basis of disability in any electronic campus resource). | Electronics and Information Technology Accessibility Coordinator | Policy 559: Electronic and Information Technology Accessibility; USU Accessibility Website | Accessibility, Information Technology (IT) | Accessibility & Diversity (Vice President, Academic & Instructional Services) | |
| NCAA requirements - Including report auditing | Senior Associate Athletic Director (AD), Compliance & Academics | Associate AD, Academic Services Registrar (Eligibility) | NCAA & Conference Compliance | Athletics (Senior Associate Athletic Director, Compliance and Academics) | |
| Conference guidlines as appropriate | Senior Associate Athletic Director (AD), Compliance & Academics | NCAA & Conference Compliance | Athletics (Senior Associate Athletic Director, Compliance and Academics) | ||
| Title IX of the Education Amendment of 1972, 34 CFR 106 | Senior Woman Administrator | Title IX Coordinator | Student Athlete Equity & Privacy | Athletics (Senior Associate Athletic Director, Compliance and Academics) | |
| Equity in Athletics Disclosure Act of 1994, 34 CFR 668.41 & 47 | Senior Woman Administrator | Senior Associate AD, Compliance & Academics; Associate AD, Business Services | Student Athlete Equity & Privacy | Athletics (Senior Associate Athletic Director, Compliance and Academics) | |
| FERPA (use and disclosure of restricted information) | Registrar; Senior Associate AD, Compliance & Academics | Executive Director, Student Health & Psychological Services; Director, Research Integrity & Compliance (for research uses); Senior Associate Athletic Director, Academics & Compliance; Associate Athletic Director, Student-Athlete Academic Services; Data Privacy Officer (for programmatic uses) | Student Athlete Equity & Privacy; Student Health & Wellness; Student Athlete Equity & Privacy; Student Records Protections | Student Affairs (Vice President, Student Affairs); Athletics (Senior Associate Athletic Director, Compliance and Academics); Information Privacy & Security (Vice President, Legal Affairs) | |
| State of Utah Criminal Code, Title 72 UCA | Executive Director, Public Safety | Law Enforcement | Campus Safety (Director, Public Safety) | ||
| Higher Education Opportunities Act (HEOA) 20 USC 1092(i), Disclosures related to distribution of the Fire Safety Report | Executive Director, Public Safety | USU Fire Marshal | Notification of Security Threats | Campus Safety (Director, Public Safety) | |
| Campus Sex Crimes Prevention Act, 34 CFR 668 | Executive Director, Public Safety | Notification of Security Threats | Campus Safety (Director, Public Safety) | ||
| Crime Awareness and Campus Security Act, 20 USC 1092(f), Disclosure requirements of the Jeanne Clery Act | Executive Director, Public Safety | Sexual Misconduct Information and Outreach Coordinator | Notification of Security Threats | Campus Safety (Director, Public Safety) | |
| HEOA 20 USC 1092(j), Missing Persons Procedures | Executive Director, Public Safety | Notification of Security Threats | Campus Safety (Director, Public Safety) | ||
| Jeanne Clery Act, 34 CFR 668.46 | Executive Director, Public Safety | Crime Reporting | Campus Safety (Director, Public Safety) | ||
| HEOA - Jeanne Clery Act requirements for emergency procedures be included in the Annual Safety Report | Executive Director, Public Safety | Campus Emergency Preparedness | Campus Safety (Director, Public Safety) | ||
| HEA, Foreign Gift & Contract Support, 34 CFR 668, requires reporting of large donations or contracts from foreign sources | Sr. Director, Advancement Services | Director, Financial Aid; Controller | GAC 9.c | Donor Restrictions & Disclosures | Donors, Gifts & Endowments (Vice President, Advancement) |
| Disclosure of Foreign Donations to Higher Education Institutions, Board of Regents R545 | Sr. Director, Advancement Services | Controller | Donor Restrictions & Disclosures | Donors, Gifts & Endowments (Vice President, Advancement) | |
| Internal Revenue Code, Substantiation and Disclosure Provisions, substantiation of donations made to non-profits | Sr. Director, Advancement Services | Controller | GAC 4.n | Donor Restrictions & Disclosures | Donors, Gifts & Endowments (Vice President, Advancement) |
| IRA Charitable Rollover, IRC Section 408(d)(8) | Sr. Director, Advancement Services | Controller | Donor Restrictions & Disclosures | Donors, Gifts & Endowments (Vice President, Advancement) | |
| Philanthropy Protection Act of 1995 | Sr. Director, Planned Giving | Controller | GAC 4.w | Donor Restrictions & Disclosures | Donors, Gifts & Endowments (Vice President, Advancement) |
| Charitable Gift Annuity Antitrust Relief Act | Sr. Director, Planned Giving | Controller | GAC 4.w | Donor Restrictions & Disclosures | Donors, Gifts & Endowments (Vice President, Advancement) |
| Uniform Prudent Management of Institutional Funds Act (UPMIFA) | Controller; Investment Committee | Sr. Director, Advancement Services | Donor Restrictions & Disclosures | Donors, Gifts & Endowments (Vice President, Advancement) | |
| Donor restrictions (as per agreements with donors) | Controller; Investment Committee | Sr. Director, Advancement Services | GAC 11.t | Donor Restrictions & Disclosures | Donors, Gifts & Endowments (Vice President, Advancement) |
| CAN-SPAM Act of 2003, 16 CFR 316, controls electronic marketing communications, including to prospective donors | Sr. Director, Advancement Services | Data Privacy Officer | GAC 10.e | Donor Restrictions & Disclosures | Donors, Gifts & Endowments (Vice President, Advancement) |
| Charitable Solicitations Act, UCA 13-22-6 | Sr. Director, Advancement Services | General Counsel | Charitable Organization Permits | Donors, Gifts & Endowments (Vice President, Advancement) | |
| Charitable Gift Annuity Registration | Sr. Director, Advancement Services | General Counsel | Charitable Organization Permits | Donors, Gifts & Endowments (Vice President, Advancement) | |
| Money Management Act, UCA 51-7, (Report of Investments & Deposits and Investments Report) | Controller | Investment Accountant; Treasury Services Manager; Senior Director, Planned Giving | Utah Treasurer Report | Donors, Gifts & Endowments (Vice President, Advancement) | |
| Management and Reporting of Institutional Investments, Board of Regents R541 | Controller | Investment Accountant; Treasury Services Manager; Senior Director, Planned Giving | Utah Treasurer Report | Donors, Gifts & Endowments (Vice President, Advancement) | |
| Occupational Safety & Health Administrative Standards, 29 CFR 1910 & 1926 | Executive Director, Environmental Health & Safety; | EH&S Officer, Chemical Hygiene; EH&S Officer, Occupational Safety | UAC 34A-6-100 | Laboratory Safety | Environmental Health & Safety (Director, Environmental Health & Safety) |
| Nuclear Regulatory Commission, 10 CFR | Executive Director, Environmental Health & Safety; | UAC R313-12 | Laboratory Safety | Environmental Health & Safety (Director, Environmental Health & Safety) | |
| Food & Drug Administration, 21 CFR 1020 & 1040 (X-rays and lasers) | EH&S Officer, Radiation Safety Officer | UAC R313-15; ANSI Z136 | Laboratory Safety | Environmental Health & Safety (Director, Environmental Health & Safety) | |
| Select Agent Regulations, 7 CFR 331, 9 CFR 121, 42 CFR 73 | EH&S Officer, Biosafety | Laboratory Safety | Environmental Health & Safety (Director, Environmental Health & Safety) | ||
| Resource Conservation & Recovery Act, 40 CFR 239-282 | EH&S Technician, Hazardous Waste | Environmental Controls | Environmental Health & Safety (Director, Environmental Health & Safety) | ||
| Hazardous Materials Transportation Act, 49 CFR | EH&S Technician, Hazardous Waste | Environmental Controls | Environmental Health & Safety (Director, Environmental Health & Safety) | ||
| Toxic Substance Control Act, 15 USC 2601 (Asbestos, radon & lead-based paint) | EH&S Officer, Occupational Safety; EH&S Technician, Hazardous Waste | HAERA 40 CFR 763; NESHAP 40 CFR 61 | Environmental Controls | Environmental Health & Safety (Director, Environmental Health & Safety) | |
| Clean Air Act, Title V, Major Source, 42 CFR 7401 | Director of Utility Systems, Facilities | Environmental Controls | Environmental Health & Safety (Director, Environmental Health & Safety) | ||
| Clean Water Act, 33 USC 1251 | EH&S Officer, GIS/Emergency Response | Environmental Controls | Environmental Health & Safety (Director, Environmental Health & Safety) | ||
| Emergency Planning and Community Rights Act, 42 USC 116 | Emergency Coordinator, DPS | Director, Sponsored Programs; Executive Director, Human Resources | Environmental Controls | Environmental Health & Safety (Director, Environmental Health & Safety) | |
| Equal Opportunity, 48 CFR 52.222-26 (EO 11246) | Director, Office of Equity | Director, Sponsored Programs; Executive Director, Human Resources | Contract Compliance with Office of Federal Contract Compliance Programs | Equity & Inclusion (Office of the Provost) | |
| Equal Opportunities for Veterans, 48 CFR 52.222-35 | Director, Office of Equity | Director, Sponsored Programs; Executive Director, Human Resources; Program Coordinator, Veterans Resource Office | Contract Compliance with Office of Federal Contract Compliance Programs | Equity & Inclusion (Office of the Provost) | |
| Employment Reports on Veterans, 48 CFR 52.222-37 | Director, Office of Equity | Director, Sponsored Programs; Executive Director, Human Resources; Program Coordinator, Veterans Resource Office | Contract Compliance with Office of Federal Contract Compliance Programs | Equity & Inclusion (Office of the Provost) | |
| Equal Opportunities for Workers with Disabilities, 48 CFR 52.222-36 | Director, Office of Equity | Director, Sponsored Programs; Executive Director, Human Resources; Director, Disability Resource Center | Contract Compliance with Office of Federal Contract Compliance Programs | Equity & Inclusion (Office of the Provost) | |
| Civil Rights Act of 1964, Titles VI & VII, 28 CFR 42.101-112 (DOJ), 41 CFR 60-1.1-60.1.47 (DOL) | Director, Office of Equity | Office of General Counsel; Executive Director, Human Resources | Equal Opportunities & Nondiscrimination Protections | Equity & Inclusion (Office of the Provost) | |
| Age Discrimination in Employment Act of 1967 (employee non-discrimination), 29 CFR 1625-1627 | Director, Office of Equity | Office of General Counsel; Executive Director, Human Resources | Equal Opportunities & Nondiscrimination Protections | Equity & Inclusion (Office of the Provost) | |
| Equal Pay Act of 1963, 29 CFR 1604, 1620-1621 | Director, Office of Equity | Office of General Counsel; Executive Director, Human Resources | Equal Opportunities & Nondiscrimination Protections | Equity & Inclusion (Office of the Provost) | |
| Equal Employment Opportunity, 41 CFR 60-1.4 | Director, Office of Equity | Office of General Counsel; Executive Director, Human Resources | Equal Opportunities & Nondiscrimination Protections | Equity & Inclusion (Office of the Provost) | |
| Equal Opportunity, Diversity and Non-Discrimination, Board of Regents R801 | Director, Office of Equity | Office of General Counsel; Executive Director, Human Resources | Equal Opportunities & Nondiscrimination Protections | Equity & Inclusion (Office of the Provost) | |
| Gender, Race and Ethnicity Representation within the USHE Workforce Board of Regents R805 | Director, Office of Equity | Office of General Counsel; Executive Director, Human Resources | Equal Opportunities & Nondiscrimination Protections | Equity & Inclusion (Office of the Provost) | |
| Educational Amendment of 1972, Title IX, 29 CFR 1604 (EEOC), also 28 CFR 42.201-42.215 (DOJ), 34 CFR 106 (ED), 45 CFR 86 | Title IX Coordinator | Director, Office of Equity; Director, Student Conduct & Community Standards | Equal Opportunities & Nondiscrimination Protections | Equity & Inclusion (Office of the Provost) | |
| Age Discrimination Act of 1975 (student non-discrimination) | Director, Office of Equity | Office of General Counsel | Equal Opportunities & Nondiscrimination Protections | Equity & Inclusion (Office of the Provost) | |
| Fair Housing Act, 24 CFR 100(for student non-academic accommodations - student housing, club sports, transportation) | Director, Office of Equity | Director, Housing; Director, Disability Resource Center; Director, Residence Life | Equal Opportunities & Nondiscrimination Protections | Equity & Inclusion (Office of the Provost) | |
| Violence Against Women Act ,24 CFR 92.359 | Director, Office of Equity | Director, Housing; Office of General Counsel; Director, Student Conduct & Community Standards; Director, Residence Life | Equal Opportunities & Nondiscrimination Protections | Equity & Inclusion (Office of the Provost) | |
| Equal Employment of Veterans, 41 CFR 60-250.5 | Director, Office of Equity | Program Coordinator, Veterans Resource Office; Office of General Counsel | Equal Opportunities & Nondiscrimination Protections | Equity & Inclusion (Office of the Provost) | |
| Veteran's Readjustment Benefits Act, 41 CFR 61-250.10 | Director, Office of Equity | Program Coordinator, Veterans Resource Office; Office of General Counsel; Associate Vice President, Human Resources | Equal Opportunities & Nondiscrimination Protections | Equity & Inclusion (Office of the Provost) | |
| Affirmative Action & Nondiscrimination Obligations (Veterans), 41 CFR 60-300 (Office of Federal Contract Compliance Programs) | Director, Office of Equity | Program Coordinator, Veterans Resource Office; Office of General Counsel | Equal Opportunities & Nondiscrimination Protections | Equity & Inclusion (Office of the Provost) | |
| Vietnam Era Veterans Readjustment Assistance Act of 1974, 38 USC 4212 | Director, Office of Equity | Program Coordinator, Veterans Resource Office; Office of General Counsel; Associate Vice Prsident, Human Resources | Equal Opportunities & Nondiscrimination Protections | Equity & Inclusion (Office of the Provost) | |
| Pregnancy Discrimination Act, 29 CFR 1604 | Director, Office of Equity | Office of General Counsel; Executive Director, Human Resources; Director, Disability Resource Center | Equal Opportunities & Nondiscrimination Protections | Equity & Inclusion (Office of the Provost) | |
| Immigration & Nationality Act, 8 CFR 214, 274a, 20 CFR 655, 29 CFR 501 | Director, Office of Equity | Manager, Human Resources Solutions Center | Equal Opportunities & Nondiscrimination Protections | Equity & Inclusion (Office of the Provost) | |
| Educational Amendment of 1972, Title IX | Prevention Specialist, Title IX | Executive Director, Public Safety; Title IX Coordinator; Sexual Assault and Anti-Violence Information (Department of Sociology, Social Work & Anthropology) | Equal Opportunities & Nondiscrimination Protections | Equity & Inclusion (Office of the Provost) | |
| OMB Uniform Guidance, 2 CFR 200.315 related to the Shelby Amendment for disclosure, through FOIA, of certain research data derived from federally-funded grants | General Counsel | Controller | Records Management, Disclosure & Retention | Governance (Vice President, Legal Affairs) | |
| Utah Governmental Records Access and Management Act (GRAMA), UCA 63G-2 | General Counsel | Controller | Records Management, Disclosure & Retention | Governance (Vice President, Legal Affairs) | |
| Governmental Records Access an Management Act Guidelines State Board of Regents, R132 | General Counsel | Controller | Records Management, Disclosure & Retention | Governance (Vice President, Legal Affairs) | |
| State of Utah Records Retention Schedule GRS-2037, 2038, 2039, 2040, 2041, 2042 | General Counsel | Controller | Records Management, Disclosure & Retention | Governance (Vice President, Legal Affairs) | |
| Higher Education Act, Record Retention, 34 CFR 668.24 | General Counsel | Controller | Records Management, Disclosure & Retention | Governance (Vice President, Legal Affairs) | |
| OMB Uniform Guidance 2 CFR 200 | Executive Director, Human Resources | Director, Sponsored Programs | Institutional Conflicts of Interest | Governance (Vice President, Legal Affairs) | |
| Association for the Accreditation of Human Research Protection Programs, accreditation standard I-6 | Executive Director, Human Resources | Director, Sponsored Programs | Institutional Conflicts of Interest | Governance (Vice President, Legal Affairs) | |
| OMB Uniform Guidance, 2 CFR 200.303 | Chief Compliance Officer | Compliance Framework | Governance (Vice President, Legal Affairs) | ||
| COSO Internal Control – Integrated Framework, 2017 | Chief Compliance Officer | Compliance Framework | Governance (Vice President, Legal Affairs) | ||
| US Federal Sentencing Guidelines, 2016 Guideline Manual | Chief Compliance Officer | Compliance Framework | Governance (Vice President, Legal Affairs) | ||
| Honest Leadership and Open Government Act of, 1995, amended 2007, Pub L 110-81 | Federal & State Relations Office | Office of General Counsel | Government Relations | Governance (Vice President, Legal Affairs) | |
| Honest Leadership and Open Government Act of, 1995, amended 2007, Pub L 110-81 | Federal & State Relations Office | Office of General Counsel | Government Relations | Governance (Vice President, Legal Affairs) | |
| Lobbying Disclosure Act, 2 USC 26.1602 | Federal & State Relations Office | Office of General Counsel | Government Relations | Governance (Vice President, Legal Affairs) | |
| House and Senate Gift Ban and Ethics Rules | Federal & State Relations Office | Government Relations | Governance (Vice President, Legal Affairs) | ||
| Prohibition of Political Activities in Internal Revenue Code 501(c)(3) | Federal & State Relations Office | Government Relations | Governance (Vice President, Legal Affairs) | ||
| Prohibition of Political Activities in Internal Revenue Code 501(c)(3) | Data Privacy Officer | Manager, IT Security ∓ Systems Engineering; Registrar; Director, Financial Aid | Cybersecurity Framework | Information Privacy & Security (Vice President, Legal Affairs) | |
| Electronic Communications Privacy Act (ECPA) | Data Privacy Officer | Manager, IT Security ∓ Systems Engineering; Registrar; Director, Financial Aid | Cybersecurity Framework | Information Privacy & Security (Vice President, Legal Affairs) | |
| EU General Data Protection Regulation (GDPR) | Data Privacy Officer | Manager, IT Security ∓ Systems Engineering; Registrar; Director, Financial Aid | Cybersecurity Framework | Information Privacy & Security (Vice President, Legal Affairs) | |
| Gramm Leach Bliley Act regulates financial institution transactions, including student loan transactions (generally defers to FERPA at universities) | Registrar | Director, Financial Aid | Privacy & Security, Personally Identifiable Information | Information Privacy & Security (Vice President, Legal Affairs) | |
| Children's Online Privacy Protection Act of 1998, 16 CFR 312 | Manager, IT Security & Systems Engineering | Privacy & Security, Personally Identifiable Information | Information Privacy & Security (Vice President, Legal Affairs) | ||
| Fair & Accurate Credit Transaction Act, Red Flag Rules, 16 CFR 681 | Data Privacy Officer | Controller, PCI Compliance Officer | Privacy & Security, Personally Identifiable Information | Information Privacy & Security (Vice President, Legal Affairs) | |
| Cybersecurity Affirmative Defense Act, UCA 78B-4-7, Provides affirmative defense for unauthorized releases when the University implements an approved Cybersecurity Framework | Manager, IT Security & Systems Engineering | Data Privacy Officer | Privacy & Security, Personally Identifiable Information | Information Privacy & Security (Vice President, Legal Affairs) | |
| Improving the Nation's Cybersecurity, EO 14028, Requires the Federal Government and its contractors to move toward "zero-trust" architecture and cloud services | Manager, IT Security & Systems Engineering | Data Privacy Officer | Privacy & Security, Personally Identifiable Information | Information Privacy & Security (Vice President, Legal Affairs) | |
| Protecting Controlled Unclassified Information in Non-Federal Information Systems and Organizations, DFAR 252.204-7012 requires the university to follow NIST 800-171 standards when contracts include the DFAR clause | Data Privacy Officer | Director, Sponsored Programs; Manager, IT Security & Systems Engineering | Privacy & Security, Personally Identifiable Information | Information Privacy & Security (Vice President, Legal Affairs) | |
| HITECH Amendment, Section 7898, recognizes NIST and equivalent cybersecurity measures as a defense and mitigating factor in HIPAA enforcement actions | HIPAA Security Officer | Manager, IT Security & Systems Engineering; Data Privacy Officer | Privacy & Security, Personally Identifiable Information | Information Privacy & Security (Vice President, Legal Affairs) | |
| Executive Order 13556 establishes Controlled Unclassified Information requirements (recommended for rescission, December 2020) | Data Privacy Officer | Director, Research Integrity & Compliance; Controller | Export Controls (Controlled Unclassified Information) | Information Privacy & Security (Vice President, Legal Affairs) | |
| International Traffic in Arms Regulations | Director, Research Integrity & Compliance; Controller | Export Controls (Controlled Unclassified Information) | Information Privacy & Security (Vice President, Legal Affairs) | ||
| Export Administration Regulations | Director, Research Integrity & Compliance | Export Controls (Controlled Unclassified Information) | Information Privacy & Security (Vice President, Legal Affairs) | ||
| Protection of Pupil Rights Amendment (PPRA) | Registrar | Data Privacy Officer (for programmatic uses); Director, Research Integrity & Compliance (for research uses); Senior Associate Athletic Director, Academics & Compliance; Associate Athletic Director, Student-Athlete Academic Services (for athletes); Executive Director, Student Health & Psychological Services | Student Records Protection | Information Privacy & Security (Vice President, Legal Affairs) | |
| Parental Notification Regarding Alcohol & Drug Violations, Board of Regents R261 | Registrar | Data Privacy Officer (for programmatic uses); Director, Research Integrity & Compliance (for research uses); Senior Associate Athletic Director, Academics & Compliance; Associate Athletic Director, Student-Athlete Academic Services (for athletes); Executive Director, Student Health & Psychological Services; Director, Student Conduct & Community Standards | Student Records Protection | Information Privacy & Security (Vice President, Legal Affairs) | |
| Health Insurance Portability and Accountability Act (HIPAA) | HIPAA Privacy Officer; HIPAA Security Officer; Registar | Director, Student Health & Wellness (for non-student clients); Executive Director, Human Resources (for self-funded health plan administration); Executive Director, Student Health & Psychological Services; Data Privacy Officer | Protected Health Information; Student Health & Wellness | Information Privacy & Security (Vice President, Legal Affairs); Student Affairs (Vice President, Student Affairs) | |
| Health Information Technology for Economic and Clinical Health Act of 2009 (HITECH) | HIPAA Privacy Officer; HIPAA Security Officer | Director, Student Health & Wellness (for non-student clients); Executive Director, Human Resources (for self-funded health plan administration) | Protected Health Information | Information Privacy & Security (Vice President, Legal Affairs) | |
| Americans with Disabilities Act of 1990, 28 CFR 36.101-104, 29 CFR 1640 (protects confidentiality of medical information related to disabilities) | Executive Director, Human Resources (for self-funded health plan administration) | University Registrar; Director, Disability Resource Center | Protected Health Information | Information Privacy & Security (Vice President, Legal Affairs) | |
| Utah Public Officers’ and Employees’ Ethics Act | Associate Vice President, Human Resources | Conflicts of Interest & Commitment (non-research), Misuse of Institutional Resources | Labor & Employment (Associate Vice President, Human Resources) | ||
| Personal use expenditures for officers and employees of institutions of higher education, UCA 1953, Section 53B-7-106 | Associate Vice President, Human Resources | Controller | Conflicts of Interest & Commitment (non-research), Misuse of Institutional Resources | Labor & Employment (Associate Vice President, Human Resources) | |
| Complaints about misuse or illegal operation of state vehicles, UCA 1953, 63A-9-501 | Associate Vice President, Human Resources | Director, Parking & Transportation | Conflicts of Interest & Commitment (non-research), Misuse of Institutional Resources | Labor & Employment (Associate Vice President, Human Resources) | |
| Family and Medical Leave Act of 1993, 29 CFR 825 | Associate Director, Human Resources | Employee Welfare & Benefits | Labor & Employment (Associate Vice President, Human Resources) | ||
| Deferred Compensation (26 USC 457) | Associate Director, Human Resources | Employee Welfare & Benefits | Labor & Employment (Associate Vice President, Human Resources) | ||
| Employee Annuities (26 USC 403) | Associate Director, Human Resources | Employee Welfare & Benefits | Labor & Employment (Associate Vice President, Human Resources) | ||
| USU Employee Health Plans | Associate Director, Human Resources | Employee Welfare & Benefits | Labor & Employment (Associate Vice President, Human Resources) | ||
| Qualified Tuition Reductions | Associate Director, Human Resources | Employee Welfare & Benefits | Labor & Employment (Associate Vice President, Human Resources) | ||
| Cafeteria Plan Regulations, 26 CFR 1.125-4 | Associate Director, Human Resources | Employee Welfare & Benefits | Labor & Employment (Associate Vice President, Human Resources) | ||
| Utah Public Employees Healthy Workplace Act, UCA 67-26 requires bienniel training and reporting related to abusive conduct among employees | Associate Vice President, Human Resources | Associate Director, Human Resources | Employee Welfare & Benefits | Labor & Employment (Associate Vice President, Human Resources) | |
| Drug Free Workplace Act, 48 CFR 52.223-6, 23.504 | Associate Vice President, Human Resources | Employee Welfare & Benefits | Labor & Employment (Associate Vice President, Human Resources) | ||
| Patient Protection and Affordable Care Act, 26 CFR 1, 54, 301 for PCORI & minimum essential coverage reporting | Associate Director, Human Resources | Employee Welfare & Benefits | Labor & Employment (Associate Vice President, Human Resources) | ||
| Workers Compensation | Director, Risk Management | Employee Welfare & Benefits | Labor & Employment (Associate Vice President, Human Resources) | ||
| Requiring Agency Review of Remote Work Opportunities, Utah EO 2021-03 | Associate Vice President, Human Resources | Employee Welfare & Benefits | Labor & Employment (Associate Vice President, Human Resources) | ||
| Immigration & Nationalities Act, Department of Homeland Security, US Citizenship and Immigration Services requirements | Director, Global Engagement | Associate Director, Human Resources | Immigration | Labor & Employment (Associate Vice President, Human Resources) | |
| Fair Labor Standards Act, 29 CFR 500-870 | Associate Vice President, Human Resources | Recruitment, Hiring & Termination | Labor & Employment (Associate Vice President, Human Resources) | ||
| Overtime Pay, Overload Assignments, and Compensatory Time, Board of Regents R816 | Associate Vice President, Human Resources | Recruitment, Hiring & Termination | Labor & Employment (Associate Vice President, Human Resources) | ||
| Medicare, Medicaid and SCHIP Extension Act of 2007 (requires USU, as health plan provider, to determine whether a claimant is entitled to Medicare on any basis) | Associate Director, Human Resources | Recruitment, Hiring & Termination | Labor & Employment (Associate Vice President, Human Resources) | ||
| Drug & Alcohol Testing of Transportation Employees, 49 CFR 40, 382-383 | Associate Vice President, Human Resources | Recruitment, Hiring & Termination | Labor & Employment (Associate Vice President, Human Resources) | ||
| Criminal Background Checks, Board of Regents R847 | Associate Vice President, Human Resources | Recruitment, Hiring & Termination | Labor & Employment (Associate Vice President, Human Resources) | ||
| Employee Polygraph Protection Act, 29 CFR 801, prohibits requiring, requesting suggesting or causing an employee to be subject to polygraph testing | Associate Vice President, Human Resources | Recruitment, Hiring & Termination | Labor & Employment (Associate Vice President, Human Resources) | ||
| Fair Credit Reporting Act, 36 CFR 600 | Associate Vice President, Human Resources | Recruitment, Hiring & Termination | Labor & Employment (Associate Vice President, Human Resources) | ||
| Worker Adjustment and Retraining Act, requires USU to provide 60 day notification to employees and state displaced worker agency of mass layoffs or sub-unit closures | Associate Vice President, Human Resources | Recruitment, Hiring & Termination | Labor & Employment (Associate Vice President, Human Resources) | ||
| Employment Security Act, Utah Code 35A-4 | Manager, Human Resources Solutions Center | Recruitment, Hiring & Termination | Labor & Employment (Associate Vice President, Human Resources) | ||
| Consolidated Omnibus Budget Reconciliation Act (COBRA), 29 CFR 2590 | Associate Director, Human Resources | Recruitment, Hiring & Termination | Labor & Employment (Associate Vice President, Human Resources) | ||
| Rehabilitation Act of 1973, Section 503 | Associate Director, Human Resources | Recruitment, Hiring & Termination | Labor & Employment (Associate Vice President, Human Resources) | ||
| Lilly Ledbetter Fair Pay Act of 2009 | Associate Vice President, Human Resources | Recruitment, Hiring & Termination | Labor & Employment (Associate Vice President, Human Resources) | ||
| Genetic Information Nondiscrimination Act of 2008, 29 CFR 1635 | Associate Vice President, Human Resources | Recruitment, Hiring & Termination | Labor & Employment (Associate Vice President, Human Resources) | ||
| Uniformed Services Employment and Re-employment Rights Act of 1994, 5 CFR 353, entitles members of the uniformed services to return to their civilian employment after service; protects these individuals from discrimination in hiring, promotion and retention based on there present or future membership in the armed services | Associate Vice President, Human Resources | Director, Office of Equity | Recruitment, Hiring & Termination | Labor & Employment (Associate Vice President, Human Resources) | |
| Rules of Practice in Trademark Cases, 37 CFR 2 | Director, Trademark Licensing | Trademark Licensing | Other Issues | ||
| FCC-Cable Certification, Microwave Service & Wireless Licensing, 47 CFR 76.1502, 101, 27 | Information Technology Services | Broadcast & Communication Requirements | Other Issues | ||
| Federal Volunteer Protection Act, 42 USC 14501-05 | Director, Risk Management | Risks Related to Individual Activities | Other Issues | ||
| Foreign Assets Control Regulations, 31 CFR 500 (licensing of activities related to travel to, from and within regulated countries) | Director, Risk Management | International Travel Oversight Committee; Director, Research Integrity & Compliance | Risks Related to Individual Activities | Other Issues | |
| Anti-kickback Statute, 42 USC1320a-7b(b) | Executive Director, SCCE | Financial Officer, CEHS | Medicare Fraud & Abuse: Prevent, Detect, Report, Medicare Learning Network | Medical Services Integrity | Other Issues |
| Physician Self-referral Law, 42 USC 1395nn | Executive Director, SCCE | Financial Officer, CEHS | Medicare Fraud & Abuse: Prevent, Detect, Report, Medicare Learning Network | Medical Services Integrity | Other Issues |
| Social Security Act - Exclusion Statute, 42 USC 1320-a7 | Executive Director, SCCE | Financial Officer, CEHS | Medicare Fraud & Abuse: Prevent, Detect, Report, Medicare Learning Network | Medical Services Integrity | Other Issues |
| Civil Monetary Penalties Law, 42 USC 1320a-7a | Executive Director, SCCE | Financial Officer, CEHS | Medicare Fraud & Abuse: Prevent, Detect, Report, Medicare Learning Network | Medical Services Integrity | Other Issues |
| Animal Welfare Act, 9 CFR, Chapter I, Subchapter A | Administrator, Institutional Animal Care & Use Committee (IACUC) | Animal Care & Use | Research (Vice President, Research) | ||
| AAALAC International accreditation standards | Administrator, Institutional Animal Care & Use Committee (IACUC) | Animal Care & Use | Research (Vice President, Research) | ||
| Guide for the Care and Use of Laboratory Animals, Eighth Ed., Institute for Laboratory Animal Research | Administrator, Institutional Animal Care & Use Committee (IACUC) | Animal Care & Use | Research (Vice President, Research) | ||
| Additional regulations and guidelines according to wildlife species | Administrator, Institutional Animal Care & Use Committee (IACUC) | Animal Care & Use | Research (Vice President, Research) | ||
| Controlled Substance Act, 21 CFR 1300 (by January 15, qualifying entities must submit an annual report of controlled substances in stock and quarterly reports of acquisition and distribution of controlled substances) | Administrator, Institutional Animal Care & Use Committee (IACUC) | Director, Research Integrity & Compliance | Animal Care & Use | Research (Vice President, Research) | |
| Guide for the Care and Use of Agricultural Animals in Research & Teaching, Third Ed., FASS | Administrator, Institutional Animal Care & Use Committee (IACUC) | Animal Care & Use | Research (Vice President, Research) | ||
| Promoting Objectivity in Research, 45 CFR 50, Subpart F | Director, Research Integrity & Compliance | Conflicts of Interest (Research) | Research (Vice President, Research) | ||
| NSF Award & Administrative Guide, Chapter IV.A | Director, Research Integrity & Compliance | Conflicts of Interest (Research) | Research (Vice President, Research) | ||
| Export Administration Act, EAR, 15 CFR Parts 730-774 | Director, Research Integrity & Compliance | Data Privacy Officer | Export Control | Research (Vice President, Research) | |
| Arms Export Control Act, International Traffic in Arms Regulations, 22 CFR Parts 120-130 | Director, Research Integrity & Compliance | Data Privacy Officer | Export Control | Research (Vice President, Research) | |
| Office of Foreign Asset Controls Sanctions Regulations | Director, Research Integrity & Compliance | Data Privacy Officer | Export Control | Research (Vice President, Research) | |
| Human Subjects Protections, 45 CFR 46 | Director, Human Research Protections Program | Human Research Protections | Research (Vice President, Research) | ||
| Association for the Accreditation of Human Research Protections Programs (AAHRPP) accreditation standards | Director, Human Research Protections Program | Human Research Protections | Research (Vice President, Research) | ||
| Uniform Guidance, 2 CFR 200 | Director, Sponsored Programs | Research Administration | Research (Vice President, Research) | ||
| US Patent Act, 37 CFR 1-150 | Director, Technology Transfer Services | Technology Licensing, Intellectual Property | Research (Vice President, Research) | ||
| Bayh-Dole Act of 1980, 35 USC 200-212, 37 CFR 401, 48 CFR 927, 952, 970 | Director, Technology Transfer Services | Technology Licensing, Intellectual Property | Research (Vice President, Research) | ||
| Cooperative Research & Technology Enhancement Act (CREATE), 37 CFR 401 | Director, Technology Transfer Services | Technology Licensing, Intellectual Property | Research (Vice President, Research) | ||
| America Invents Act, PL 112-29 | Director, Technology Transfer Services | Technology Licensing, Intellectual Property | Research (Vice President, Research) | ||
| American Jobs Creation Act of 2004 limiting the value of the deduction that may be taken by an individual for the contribution of patents to a non-profit | Director, Technology Transfer Services | Technology Licensing, Intellectual Property | Research (Vice President, Research) | ||
| Trademark Revision Act | Director, Technology Transfer Services | Technology Licensing, Intellectual Property | Research (Vice President, Research) | ||
| Copyright Act of 1976 | Director, Technology Transfer Services | Technology Licensing, Intellectual Property | Research (Vice President, Research) | ||
| Digital Millennium Copyright Act (DMCA) | Manager, IT Security & Systems Engineering | Technology Licensing, Intellectual Property | Research (Vice President, Research) | ||
| No Electronic Theft Act | Manager, IT Security & Systems Engineering | Technology Licensing, Intellectual Property | Research (Vice President, Research) | ||
| HEOA, Section 488 requiring a plan to prevent unauthorized distribution of copyrighted material | Manager, IT Security & Systems Engineering | Technology Licensing, Intellectual Property | Research (Vice President, Research) | ||
| Policies on Research Misconduct, 42 CFR Part 93 | Director, Research Integrity & Compliance | Scientific Misconduct | Research (Vice President, Research) | ||
| NSF Research Misconduct, 45 CFR 689 | Director, Research Integrity & Compliance | Scientific Misconduct | Research (Vice President, Research) | ||
| Public Health Security and Bioterrorism Preparedness and Response Act, 18 USC §2601-2639 | Biosafety Officer | Director, Environmental Health & Safety; Director, Research Integrity & Compliance | Biosafety, Biosecurity | Research (Vice President, Research) | |
| NIH Guidelines for Research Involving Recombinant or Synthetic Nucleic Acid Molecules | Biosafety Officer | Director, Environmental Health & Safety; Director, Research Integrity & Compliance | Biosafety, Biosecurity | Research (Vice President, Research) | |
| Policy for Institutional Oversight of Life Sciences Dual Use Research of Concern | Biosafety Officer | Director, Environmental Health & Safety; Director, Research Integrity & Compliance | Biosafety, Biosecurity | Research (Vice President, Research) | |
| Select Agent Regulations, 7 CFR 331, 9 CFR 121, 42 CFR 73 | Biosafety Officer | Director, Environmental Health & Safety; Director, Research Integrity & Compliance | Biosafety, Biosecurity | Research (Vice President, Research) | |
| Biosafety in Microbiological and Biomedical Laboratories, 5th edition | Biosafety Officer | Director, Environmental Health & Safety; Director, Research Integrity & Compliance | Biosafety, Biosecurity | Research (Vice President, Research) | |
| Responsible Conduct of Research Requirement (NSF, NIH, NIFA), PL 111-358 | Director, Research Integrity & Compliance | Research Integrity Education & Training | Research (Vice President, Research) | ||
| OSTP Policy Memorandum “Increasing Access to the Results of Federally Funded Research” | Data Services Coordinator, Library Services | Research Integrity Education & Training | Research (Vice President, Research) | ||
| Small Unmanned Aircraft Systems, 14 CFR 107 | Executive Director, Department of Public Safety | Research Group & Departmental Safety Personnel | Research Operations Safety | Research (Vice President, Research) | |
| Occupational Exposure to Hazardous Chemicals, 29 CFR 1910.1450 | Lab Directors & Lab Managers | EH&S Officer, Occupational Safety | Laboratory Safety | Research (Vice President, Research) | |
| Bloodborne Pathogen and similar laboratory safety issues | Lab Directors & Lab Managers | EH&S Officer, Occupational Safety | Laboratory Safety | Research (Vice President, Research) | |
| Nuclear Regulatory Commission, 10 CFR | Lab Directors & Lab Managers | EH&S Officer, Radiation Safety | Laboratory Safety | Research (Vice President, Research) | |
| Select Agent Regulations, 7 CFR 331, 9 CFR 121, 42 CFR, 73 | Lab Directors & Lab Managers | EH&S Officer, Biosafety | Laboratory Safety | Research (Vice President, Research) | |
| Environmental Protection Regulations such as the Clean Water Act, RCRA and the Toxic Substance Control Act | Lab & Departmental Safety Personnel | EH&S Technician, Hazardous Waste; EH&S Officer, Occupational Safety | Environmental Controls | Research (Vice President, Research) | |
| Department of Transportation Regulations, Title 10 CFR, for shipping & receiving of Hazardous Materials | Lab & Departmental Safety Personnel | EH&S Technician, Hazardous Waste | Environmental Controls | Research (Vice President, Research) | |
| HEOA Drug & Alcohol Prevention Program Biennial Review, (20 USC 1011i) | Prevention Specialist, Student Health & Wellness Center | Executive Director, Public Safety | Drug & Alcohol Prevention | Student Affairs (Vice President, Student Affairs) | |
| Veteran's Preference (UCA 71-10), providing veteran-applicants a preference in government agency hiring activities. | Associate Vice President, Human Resources | Director, Office of Equity | Recruitment, Hiring & Termination | Labor & Employment (Associate Vice President, Human Resources) | |
| Drug Free Schools and Campuses Regulations (EDGAR Part 86) | Prevention Specialist, Student Health & Wellness Center | Drug & Alcohol Prevention | Student Affairs (Vice President, Student Affairs) | ||
| Student Aid Internet Gateway Enrollment & Certification | Associate Direcor, Operations & Compliance | Requirements for enrolling in the FSA-SAIG. President's signature required. | Academics, Admissions & Financial Aid (VP for Academic & Instructional Services | ||
| Individuals with Diabilities Education Act (IDEA) Part C under Rehabilitation Act of 1973, Section 504, 34 CFR 303 | Director, Office of Equity | Director, Early Childhood Education | Requirements fo interacting with children under three years of age with disabilities. | Equity & Inclusion, Office of the Provost | |
| Student Athletic Amendments, UTAH HB 202 | Senior Associate Athletic Director, Compliance & Academics | Conditions for student athletic agreement for use of Name, Image and Likeness | Athletic Director | ||
| Supported Research & Development National Security Policy, NSPM-33 | Chief Research Compliance Officer, Research Integrity & Compliance | Research Security related to foreign influence in research & development activities | Research (Vice President, Research) | ||
| Risk-based Security Reviews of Fundamental Research, 2019 National Defense Act, Section 1286 | Chief Research Compliance Officer, Research Integrity & Compliance | Controls activities with Malign Foreign Talent Recruiting Programs in institutions seeking DOD research funding | Research (Vice President, Research) | ||
| Higher Education Student Data Protection, UCA 53B-28-5 | Data Privacy Officer | Information Security Officer | Provides protections for students' privacy and for protection of student data. | Legal Affairs, (Vice President, Legal Affairs) | |
| Government Data Privacy Act, UCA 63A-19 | Data Privacy Officer | Information Security Officer | Limits data collection and use, requires data breach reporting, sets for Utha's privacy goals | Legal Affairs, (Vice President, Legal Affairs) | |
| Sex-based Designation for Privacy, Anti-bullying and Women's Opportunities, UCA 63G-31 | Director, Office of Equity | Director, Facilities and Planning | Provisions regarding sex-designated restrooms that have associated changing rooms. | Office of the Provost | |
| Online Data Security & Privacy Amendments | Information Security Officer | Legal Affairs | Provides for GRAMA-related protections of records that are included in data breaches being reported to the Utah Attorney general or the Utah Cyber Center | Information Technology (Chief Information Officer) | |
| Research Security Program Requirements, National Defense Authorizaton Act, 2020, PL 116-92, Section 1746(a) | Chief Research Compliance Officer | Sets out Standard requirements for an institutional Research Security Program | Research (Vice President, Research) | ||
| Higher Education Emergency Relief Fund III Reporting, American Rescue Plan, 34 CFR 75.261(1) | Controller | Provides for no-cost extensions of funds previously granted under HEERF, and requires reporting to ED | Finance & Administrative Services (Vice President, Finance & Administrative Services) |