Compliance Topics & Owners

Find topic areas and contact links for the office responsible for compliance in each area.  Also see the detailed listing of regulations to which USU responds for additional information about compliance partners that support the compliance owners listed below.

Academics, Admissions & Financial Aid

Consumer notifications, including:


Accounting, Finance & Operations

  • Financial controls including Uniform Guidance, GAAP, FFATA
  • Employment controls including Federal Unemployment, Social Security, FICA and fringe benefits
  • Tax regulations including Unrelated Business Income, UPMIFA, the Money Management Act
  • Sponsored Programs Accounting including EDGAR, HHS Grant Policy Statement, FalseClaims Act, and Fraud Enforcement & Recovery Act

All of these areas are the responsibility of the Controller's Office.  The Controller works with numerous subject matter experts on compliance issues.


You can also call (435) 797-1853 for assistance with these areas.

Campus Safety

  • Utah Criminal Code
  • Annual Safety reporting
  • Fire Safety reporting
  • Clery Act
  • Campus Sex Crimes Prevention Act
  • Missing persons procedures

All of these areas are the responsibility of the Executive Director of Public Safety.

Gifts Management

  • Advancement controls including Section 117 Foreign Gift and Contract reporting
  • IRC Substantiation and Disclosure
  • Controls for electronic marketing and registration and oversight of charitable gifts

All of these areas are the responsibility of the Senior Director of Advancement Services.

Donor Relations

  • Philanthropy Protection Act
  • Charitable Gift Act

These areas are the responsibility of the Senior Director of Planned Giving.

Environmental Health & Safety

Provision of controls related to safety standards, including:

  • Occupational Safety & Health Act requirements
  • Radiation-emitting device standards
  • Select Agent Regulations
  • Hazardous materials management
  • Toxic substance control
  • The Clean Water Act standards

These areas are the responsibility of the Director of Environmental Health & Safety, along with other officers within EH&S.

Equity & Inclusion

Oversight for programs related to:

  • Non-discrimination of individuals in protected groups
  • equal opportunities (including requirements from the Office of Federal Contract Compliance Programs)
  • Discrimination of individuals in protected groups

These area are all the responsibility of the Director of the Office of Equity.

Title IX Protections

Facilities Management

Infrastructure Energy-related Environmental Impact

Government Relations

  • Honest Leadership & Open Government Act
  • Lobbying Disclosure Act
  • House & Senate Gift Ban & Ethics Rule
  • Prohibition of non-profits participating in poliltical activities in the Internal Revenue Code (501(c)(3)

These areas are the responsibility of the Vice President of Federal & State Relations.

Information Privacy & Security

Information privacy and security matters including:

  • Federal Information Securities Management Act, defines the comprehensive framework for protection of federal government information
  • Electronic Communications Privacy Act
  • Red Flag Rules in the Fair and Accurate Credit Transactions Act, protecting consumer transaction information (relates also to the Payment Card Security standard)
  • Export controlled data protections under the Export Administrative Regulations and the International Trade in Arms Regulations
  • Protected Health Information under the Health Insurance Portability and Accountability Act (controlling health information within USUs Health Care Components)

These areas are the responsibility of the Data Privacy Officer, working with additional HIPAA privacy and security officers in USU subdivisions

Student Information Privacy & Security

  • Protections as afforded under the Family Educational Records Protection Act and the Protection of Pupil Rights Amendment
  • Gramm Leach Bliley Act requirements that impact USU when it acts as a financial institution (FERPA rules apply to Institutions if Higher Education)

The above areas are the responsibility of the University Registrar, working with records officers in USU subdivisions.

International Affairs

  • Student & Exchange Visitor Program under the Immigration and Customs Enforcement agency, Department of Homeland Security
  • International Scholarships and HB118 Waivers
  • Mutual Education and Cultural Exchange Act
  • US Citizenship and Immigration Services, Department of Homeland Security
  • Executive Order 13780 (Protecting the Nation from Foreign Terrorist Entry) and related presidential proclamations 

These are all the responsibility of the Vice Provost & Director for Global Engagement.

Labor & Employment

The following areas are the responsibility of the Associate Vice President for Human Resources:

  • Utah Public Officers' and Employees' Ethics Act
  • Personal use expenditures for officers and employees of institutions of higher education
  • Compliants about misue or illegal operation of state vehicles
  • Veterans' Readjustment Benefits Act
  • Drug-free Workplace Act
  • Fair Labor Standards Act
  • Overtime Pay, Overload Assignments and Compensatory Time
  • Drug & Alcohol Testing of Transportation Employees
  • Criminal Background Checks
  • Employee Polygraph Protection Act
  • Fair Credit Reporting Act
  • Worker Adjustment & Retraining Act
  • Lilly Ledbetter Fair Pay Act of 2009
  • Genetic Information Nondiscrimination Act or 2009

The following areas are the responsibility of the Associate Director of Human Resources:

  • Family & Medical Leave Act of 1993
  • Deferred Compensation
  • Employee Annuities
  • USU Employee Health Plans
  • Qualified Tuition Reductions
  • Cafeteria Plan Regulations
  • Patient Protection and Affordable Care Act
  • Medicare, Medicaid and SCHIP Extension Act of 2007
  • Consolidated Omnibus Budget Reconciliation Act
  • Rehabilitation Act of 1973


The following areas are the responsibility of the Director of Research Integrity and Compliance:

  • Promoting Objectivity in Research & NSF Award & Administrative Guide Chapter IV.A, Conflicts of Interest
  • Export Controls including Export Administrative Regulations and International Traffic in Arms Regulations
  • Office of Foreign Asset Controls Sanctions Regulations
  • Research Misconduct (42 CFR 93 & 45 CFR 689)
  • Responsible Conduct of Research Requirements

The following areas are the responsibility of the Administrator of the Institutional Care & Use Committee:

  • Animal Welfare Act
  • AAALAC International accreditation standards
  • Guide for the Care and Use of Laboratory Animals
  • Guide for the Care and Use of Agricultural Animals in Research & Teaching
  • Controlled Substance Act (related to controlled substances managed and dispensed for veterinary care)

The following areas are the responsibility of the Director of the Human Research Protections Program:

  • Human Subjects Protections
  • Association for the Accreditation of Human Research Protection Program accreditation standards

The following areas are the responsibility of the Director of Technology Transfer Services:

  • US Patent Act
  • Bayh-Dole Act of 1980
  • Cooperative Research & Technology Enhancement Act (CREATE)
  • America Invents Act
  • American Job Creations Act of 2004 ( limiting individual contributions of patents to non-profits)
  • Trademark Revision Act
  • Copyright Act of 1976
  • Digital Millenium Copyright Act
  • No Electronic Theft Act
  • HEOA requirement for maintenance of a play to prevent unauthorized distribution of copyrighted materials

The following areas are the responsibility of the Biosafety Officer:

  • Public Health Security and Bioterrorism Preparedness and Response Act
  • NIH Guidlines for Research Involving recombinant or Synthetic Nucelic Acid Molecules
  • Policy for Institutional Oversight of Life Sciences Dual Use Research of Concern
  • Biosafety in Microbiological and Biomedical Laboratories

The following areas are also related to research compliance:

  • Contract & Grant Management (Pre-award) and Research Administration under 2 CFR 200 (Director of Sponsored Programs)
  • Small Unmanned Aircraft Systems (Executive Director, Department of Public Safety)

Student Services

Drug & Alcohol Prevention Program Review & Drug Free Schools & Campuses Regulations (Prevention Specialist, Student Health & Wellness)

Risk Management Issues

  • Workers Compensation
  • International Travel restrictions under the Trading with the Enemy Act

The above areas are the responsibility of the Director of Risk Management.