Mason’s compliance functions are distributed in nature and are managed by first line of defense risk owners. The ERM Council, administered by the Safety, Emergency, & Enterprise Risk Management department, provides compliance expertise and oversight from an enterprise perspective. The University Compliance Matrix is the centralized inventory of compliance areas, representative issues, accountable persons, and points of contact for university compliance risks.
University Compliance Matrix
| Compliance Area | Representative Issues | Applicable Laws, Regulations, and Accreditation Requirements | Related University Policies | Accountable Senior Officer | Responsible Office | Contacts |
|---|---|---|---|---|---|---|
| Academic Misconduct and Honor Committee | Violations under the Honor Code, FERPA and Records Management. | The Family Educational Rights and Privacy Act (FERPA) Electronic Communications Privacy Act (18 U.S.C. 2510-2521); Virginia Public Records Act (Code of Virginia 42.1-85, Virginia Records Retention and Disposition Schedule, General Schedule NO 111) | George Mason University Honor Code; Policy 1102 (Records Management); University Registrar FERPA at Mason guidelines and definitions | Vice President for University Life | Office of Academic Integrity | LaShonda Anthony lanton2 703.993.6209 Brantley Wilett bwilet 703.993.6209 |
| Accounts Payable | Virginia Prompt Pay Act; Adherence to Department of Accounting standards; Proper controls to prevent fraud. | Commonwealth Accounting Policies and Procedures Manual; Tier 2.5 Management Agreement; Commonwealth Accounting Policies and Procedures Manual 20300-20360 & 60100 CARS | Policy 2101 (Travel Authorization of Reimbursement); Policy 2102 (Food and Beverage Expenditures); Policy 2103 (Internal Controls) | Senior Vice President for Administration and Finance | Purchasing and Accounts Payable | Cliff Shore, cshore, 703.993.2611; Yesica Suarez, ysuarez, 703.993.2670; Nicole Kolmetz, nkolmetz, 703.993.4353; Tuyen Nguyen, tngut, 703.993.2581 |
| Accreditation and Accreditation for Specialized, Program Specific | Governance, administration, curriculum, faculty, facilities, finance, financial aid, admissions, human resources, IT, etc. | Southern Association of Colleges and Schools, Commission on Colleges (SACSCOC): Accreditation for a specific degree program, sub-discipline, or department. Examples include, but are not limited to, accreditation by the Association to Advance Collegiate Schools of Business (AACSB), the Council for the Accreditation of Educator Preparation (CAEP), or the Commission on Collegiate Nursing Education (CCNE) | Policy 3002 (Cross-level Listing of Undergraduate / Graduate Courses); Policy 3003 (Reporting and Approval of Academic Actions Constituting Substantive Change); Policy 3004 (Verification of Student Identity in Distance Education); Policy 3005 (Faculty Credential Evaluation and Documentation); Policy 3007 (Dual Degree Program Arrangements); Policy 3008 (Faculty Teaching Loads); Policy 3010 (Specialized Accreditation) | Provost and Executive Vice President | Office of Accreditation and Program Integrity | Janette Muir, jmuir, 703.993.8893 |
| Admissions | Discrimination, fraudulent documents, ethics violation(s). | Federal: Title VI, 42 U.S.C. § 2000d et seq., enacted as part of the landmark Civil Rights Act of 1964; Southern Association of Colleges and Schools regional accreditation; Comprehensive Standards; NCAA Division I Bylaws, Compliance with 14.1; National Association for College Admissions Counseling | Policy 1117 (Responding to Virginia Freedom of Information Act Requests for Records); Policy 1125 (Identity Theft Prevention Program); Policy 1306 (Banner and Related Administrative Systems Security); Policy 3004 (Verification of Student Identity in Distance Education) | Provost and Executive Vice President | Office of University Admissions | Amy Takyama-Perez, atakyam, 703.993.2395 |
| Americans with Disabilities Act (ADA) | Employee reasonable accommodations; Student Accommodation Appeals, Non-discrimination on the basis of disability on employment and all programs; Discrimination Complaint Investigations; Facilities Access; Information Technology access, including procurement; access to all programs and services; faculty, staff and student training and technical assistance on all components of disability access and non-discrimination. | Americans with Disabilities Act (ADA) as amended (US code 42 chapter 126); Sections 503, 504 and 508 of the Rehab Act of 1973 as amended; 28 CFR part 35, 36 CFR part 1191, appendices B and D; Web Content Accessibility Guidelines (WCAG) 2.0; Virginia Human Rights Act; Virginians with Disabilities Act | Policy 1201 (Non-Discrimination); Policy 1203 (Non-Discrimination and Reasonable Accommodation on the Basis of Disability); Policy 1308 (Electronic and Information Technology Accessibility); Policy 1307 (Procurement and/or Development of Administrative Systems/Applications) | Vice President for Compliance, Diversity and Ethics | Compliance, Diversity and Ethics | Ruth J Townsend rtownse2 703.993.8730 |
| Asset Management | Capital asset accounting, equipment inventories | Commonwealth Accounting Policies and Procedures Section 30000 (Fixed Asset and Lease Accounting); Generally Accepted Accounting Principles | Policy 2109 (Asset Capitalization); Policy 2104 (Inventory Control of Office and Educational Equipment and Furniture) | Senior Vice President for Administration and Finance | Fiscal Services | Carol McGinnis, cmcginn2 703.993.2588; Claire Wurmfeld cwurmfeld 703.993.5328 |
| Athletics - NCAA | National Collegiate Athletic Association (NCAA) Governance and Compliance; Academic Integrity; Title IX/Gender Equity; Sports Medicine and Student-Athlete Well-Being; Student Records; Student-Athlete Conduct; Event Management; Student-Athlete/Team Transportation; Summer Camps and Clinics. | NCAA Division I Manual: Constitution and Bylaws; Atlantic 10 Conference Constitution and Bylaws; Federal Equity in Athletics Disclosure Act; Title IX; The Family Educational Rights and Privacy Act (FERPA); HIPAA | N/A | Assistant Vice President and Director of Intercollegiate Athletics | Office of Intercollegiate Athletic/NCAA Compliance and Governance | Debi Corbatto dcorbatt 703.993.9536 |
| Background Checks | Condition of employment -Background Check Investigations for sensitive positions | Fair Credit Reporting Act (FCRA); Department of Human Resources Management (DHRM) Hiring Policy 2.10; Code of Virginia §2.2-1201.1 | Policy 2221 (Background Investigations) | Senior Vice President for Administration and Finance | HR & Payroll | Jessica Cain, jcain, 703.993.5298 |
| Benefits - Leave | Family Medical Leave Act (FMLA), Workers' Compensation, Health Care Continuation (COBRA), Affordable Care Act (ACA), Occupational Safety and Health Act (OSHA), Virginia Sickness and Disability Program (VSDP). | FMLA, via Department of Labor; COBRA; The American Recovery and Reinvestment Act of 2009; ACA, via Health and Human Services; OSHA; DHRM Policy 4.57 VSDP; DHRM Policy 4.60 Workers' Compensation; DHRM Policy 4.50 Military Leave; Code of Virginia; Section 125 of Internal Revenue Code | Policy 2215 (Family Medical Leave) | Senior Vice President for Administration and Finance | Benefits | Patricia Coray, pcoray2, 703.993.4460 |
| Benefits - Retirement | Retirement Plan Administration | IRS Tax Code Sections 409A and 457(f); Code Section 403(a); 403(b), 501(a), 457(b), 401(a) and 414(d); Qualified Governmental Excess Benefit Arrangement 415(m); Section 51.1-608 Code of Virginia | Policy 2116 (Investment Policy); Associated Plan documents | Senior Vice President for Administration and Finance | Benefits | Patricia Coray, pcoray2, 703.993.4460 |
| Budget | Deficit Spending | Section 4-3.01 of the Budget Act | Policy 4 (Allotment of Funds and Requests for Budget Adjustments/Revisions) | Senior Vice President for Administration and Finance | Office of Budget and Planning | Monica Michaud mmichau2 703.993.8751 |
| Building Codes | Plan reviews for compliance to state building codes, ADA, and Construction & Professional Services Manual for alterations and new construction not permitted through DEB; Inspector certification/maintenance/ CEU in accordance with Dept. Housing & Community Development (DHCD). | Limited delegated authority by Department of General Services (DGS) Division of Engineering & Buildings to enforce the state building code (VUSBC) & ADA standards; Code of VA §36-98.1, §36-105; §2.2-1159 through 2.2-1161 Virginia Certification Standards | N/A | Senior Vice President for Administration and Finance | Facilities | Bill Miller wmille3 703.993.8339 |
| Campus Security | Security coverage for all Mason campuses (Fairfax, Science and Technology, Arlington). | Title 23 (Educational Institutions), Chapter 17 (Campus Police Departments), 23.17-238 (Security Departments and other Security Services); DCJS 9.1-102 (Powers and Duties of the Board and the Department) | Policy 1404 (Reporting Crimes, Accidents, Fires, & Other Emergencies) | Senior Vice President for Administration and Finance | Police and Public Safety | TJ Juris tjuris 703.993.6166; Michael Crockett mcrocke2 703.993.6166 |
| Child Development Center (CDC) | Childcare, early education for Mason and broader community | Standards for Licensed Child Day Centers, Department of Social Services of the Commonwealth of VA; 22 VAC 40-185-10 through 22 VAC 40-185-610; NAEYC: All Criteria in each of the following Standards: Relationships, Curriculum, Teaching, Assessment, Health, Teachers, Families, Community Relationships, Physical Environment, Leadership and Management; Chapter 43.1 of Fairfax County Code and Board of Health Regulations | Policy 1406 (Environmental Health and Safety); Policy 2228 (Children and Minors in the Workplace); Policy 1301 (Responsible Use of Computing); Policy 1102 (Records Management); Policy 1203 (Non-Discrimination) | Senior Vice President for Administration and Finance | Child Development Center | Shira B. Kulok, skulok, 703.993.9750 |
| Collections | Collections and Accounts Receivable | Virginia Debt Collection Act §2.2-4800 ; Fair Credit Reporting Act CAPP 20505 | N/A | Senior Vice President for Administration and Finance | Account and Loan Management | Pat Quinn, pquinn2, 703.993.3760; Bill Cunningham, wcunnin2, 703.993.2498 |
| Communications | Libel/Slander, Privacy, Open Records | Slander and Libel (Code of VA 18.2-417); Virginia Freedom of Information Act (Code of VA 2.2-3700); The Family Educational Rights and Privacy Act (FERPA) | N/A | Vice President for Communications and Marketing | Strategic Communications | Mike Sandler msandle3 703.993.8815 |
| Compensation & Classification | Labor, Compensation, and Classification of Faculty and Staff | (FLSA); Equal Pay Act (EPA); Affordable Care Act (ACA); Worker Adjustment Retraining Notification Act (WARN); Virginia Equal Pay Act; State and Federal Minimum Wage; DHRM Policies 3.05, 3.10, 3.15; Joint Legislative Audit and Review Commission (JLARC) / Span of Control | Policy 2205 (Staff and Faculty Recording and Submitted Hours Worked); Policy 2217 (Wage Employment) | Senior Vice President for Administration and Finance | Human Resources & Payroll | Sue Tinsman, stinsman, 703.993.2626 |
| Conflicts of Interest - Contracts, Employment | Conflicted contracts, Conflicted transactions, Nepotism/dual employment. | Code of Virginia 2.2-3100 State and Local COI Act; 2.2-4367 (Ethics in Public Contracting) | Policy 4001 (Conflict of Interests) | Vice President for Compliance, Diversity and Ethics | Compliance, Diversity and Ethics | Elizabeth Woodley ewoodley 703.993.8730 |
| Conflicts of Interest - Financial Disclosure Statements | Conflicts of Interest | EO-08 (Designation of Executive Branch Officers and Employees Required to File Financial Disclosure Statements) | Policy 4001 (Conflicts of Interest) | Senior Vice President for Administration and Finance | Human Resources & Payroll | Michelle Lim, mlim2, 703.993.6335 |
| Conflicts of Interest - Research | Conflicts of Interest | 42 CFR 50, Subpart F (Responsibility of Applicants for Promoting Objectivity in Research for which Public Health Service funding is sought); National Science Foundation Grant Policy Manual, Chapter V, Grantee Standards; Virginia Code 2.2-3100 et seq.; Virginia Code 2.2-4367 et. seq. | Policy 4001 (Conflicts of Interest) | President | Compliance Diversity Ethics; Research Development Integrity and Assurance | Elizabeth Woodley, ewoodley, 703.993.5115; Aurali Dade, adade3, 703.993.5381 |
| Contracts - Legal | Compliance with contracting guidelines, terms and conditions for all university contracts except procurement. Sponsored research contracts upon request. | State common law applicable to contracts; Virginia Public Procurement Act; Federal Acquisition Regulation (FARS); Defense Federal Acquisition Regulation Supplement (DFARS) | Policy 2106 (Purchase of Goods and Services); Contracting Guidelines Handbook | University Counsel | Office of University Counsel | Cindy Zema czema 703.993.2619 Brian Walther bwalther 703.993.2619 |
| Cost Accounting | Establishment of F&A rate on sponsored awards | OMB Uniform Guidance - Part 200 (Uniform Administrative Requirements, Cost Principles, and Audit requirements for Federal awards) | Policy 2108 (Direct and Indirect Cost Allocations under OMB Uniform Guidance) | Senior Vice President for Administration and Finance | Fiscal Services | Carol McGinnis, cmcginn2 703.993.2588; Tom Lex, tlex2 703.993.2566 |
| Data Privacy & Security - Mental Health (Student) | Security of technology and health records; health records access and privacy; parental notification; threat assessment. | Code of Virginia § 32.1-127.1:03 (Health records privacy); Chapter 7 Virginia Public Records Act (42.1-76 thru 42.1-91); International Association of Counseling Services Accreditation Standards (IIIB Confidentiality of Counseling, IIIF Case Records, III.H. Access to Records, IIIK technology security) | Policy 1313 (Remote Access) | Vice President for University Life | Counseling and Psychological Services | Rachel Wernicke rwernick 703.993.2380 |
| Data Privacy - Financial Aid | Financial Aid | Family Educational Rights and Privacy Act (FERPA); HEA 483(a)(3)€ and HEA 485B(d)(2); Privacy Act (5 U.S.C. §552) | N/A | Provost and Executive Vice President | Office of Financial Aid | Sandra Tarbox, starbox 703.993.2353 |
| Data Privacy - HIPAA (Medical) | Privacy and security of students' medical records, paper and electronic. | 45 CFR Part 164, Subparts C (Security), D (Breach), E (Privacy); Health Insurance Portability and Accountability Act (HIPAA); Code of Virginia § 18.2-186.6. (Breach of personal information notification); Code of Virginia § 32.1-127.1:03. (Health records privacy); Code of Virginia § 32.1-137.16. (Records); COV- Compliance with IT Security in collaboration with IT Security Office of GMU; Library of Virginia GS-111 (Records Retention and Disposition Schedule - Colleges and Universities); Accreditation Association for Ambulatory Health Care (AAAHC) Chapter 6 Medical Records, Criteria B, P, and R | Policy 1114 (Data Stewardship); Policy 1114a (Removal of University Data from Electronic Media); Policy 1118 (Compliance with the Health Insurance Portability and Accountability Act HIPAA); Policy 1301 (Responsible Use of Computing); Policy 1305 (Reporting Electronic Security Incidents); Policy 1312 (Physical and Logical Access Security); Policy 1313 (Remote Access); Policy 1315 (Employees Electronic Communications) | Vice President for University Life | Student Health Services | Mary E Davis mdavis9 703.993.1934 |
| Data Protection & Privacy | Institutional Data Protection | HEA 483(a)(3)€ and HEA 485B(d)(2); Privacy Act (5 U.S.C. §552); Family Educational Rights and Privacy Act (FERPA); 45 CFR Part 164, Subparts C (Security), D (Breach), E (Privacy) - Health Insurance Portability and Accountability Act (HIPAA); Code of Virginia § 18.2-186.6 (Breach of personal information notification); Code of Virginia § 32.1-127.1:03 (Health Records Privacy); EU General Data Protection Regulation (GDPR) | Policy 1301 (Responsible Use of Computing); Policy 1311 (Information Technology Security Program); Policy 1316 (Controlled Unclassified Information) | Senior Vice President for Administration and Finance | Safety, Emergency, & Enterprise Risk Management | Julie Zobel jzobel 703.993.8630 |
| Debt Management Reporting and Disclosure | Reporting and disclosure requirements for comprehensive annual financial reports, event filings, and disclosures for asset-back securities. | Rule 15c2-12 of the Securities Exchange Act of 1934 Municipal Securities Rule-making Board Continuing Disclosure reporting requirement on EMMA | Policy 2111 (Debt Policy) | Senior Vice President for Administration and Finance | Fiscal Services | Monica Michaud, mmichau2, 703.993.8751 |
| Dining & Catering Services | Dining Operations on Campuses. | FDA regulations; Virginia public health laws and regulations; ABC laws; local regulations | Policy 1110 (Vending Sales and Solicitation); Policy 2102 (Food and Beverage Expenditures); Policy 1413 (Continuity of Operations Planning) | Senior Vice President for Administration and Finance | Auxiliary Enterprises | Mark Kraner, mkraner, 703.993.1784 |
| Emergency Management | Emergency Notification; Community Preparedness and Education; Institutional Emergency Management; Business Continuity Planning; Hazard Mitigation Planning. | 34 CFR 668.46 (Institutional security policies and crime statistics); Code of Virginia § 23-9.2:9 (maintain and exercise emergency operations plan); Code of Virginia § 44-146.18 (business continuity planning) | Policy 1116 (Communicable Disease); Policy 1404 (Reporting of Crimes, Accidents, Fires, and Other Emergencies); Policy 1406 (Environmental Health and Safety); Policy 1134 (University-Sponsored or University-Related International Travel); Policy 1137 (Designated Employees); Policy 1413 (Continuity of Operations Planning); Policy 2207 (Inclement Weather/Emergency Closure); Policy 2208 (Workplace Violence) | Senior Vice President for Administration and Finance | Safety, Emergency, & Enterprise Risk Management | Julie Zobel jzobel 703.993.8630 David Farris dfarris 703.993.2507 |
| Enrollment Management | Marketing communication recipient right; Email opt out options. | Controlling the Assault of Non-Solicited Pornography and Marketing (CAN-SPAM) Act of 2003. | N/A | Provost and Executive Vice President | Office of Integrated Enrollment Marketing | Caitlin Shear, cshear, 703.993.9798 |
| Environmental Compliance | Stationary source air pollution permitting & reporting; Petroleum and hazardous material storage; laboratory and non-laboratory hazardous waste and universal waste management; Municipal Separate Storm Sewer System (MS4) illicit discharge investigation, environmental management systems. | 9 VAC 25-91-10 et seq. (Virginia Facility and Aboveground Storage Tanks); 9 VAC 5-50-10 et seq. (Virginia New and Modified Stationary Sources); 9 VAC-5-80-10 et seq. (Permits for Stationary Sources); 9 VAC 20-60-12 et seq. (Virginia Hazardous Waste Management Regulations); 9 VAC 25-870-10 et seq. (Virginia Stormwater Management Program); Emergency Planning and Community Right-to-Know Act (EPCRA) (40 CFR Part 355 and 370); Clean Water Act (40 CFR Part 112); Resource Conservation and Recovery Act (40 CFR Part 260-273); Chemical Facility Anti-Terrorism Act (6 CFR Part 27) | Policy 1137 (Designated Employees); Policy 1404 (Reporting of Crimes, Accidents, Fires, and Other Emergencies); Policy 1406 (Environmental Health and Safety); Policy 1408 (Environmental Management and Sustainability System); Policy 1409 (Illicit Discharge Detection and Elimination) | Senior Vice President for Administration and Finance | Safety, Emergency, & Enterprise Risk Management | Julie Zobel jzobel 703.993.8630 Paul Didier pdidier 703.993.4820 John Crocker jcrocke3 703.993.1766 |
| Equity / EEOC / Affirmative Action / OFCCP, Non-Discrimination | Affirmative Action, Equal Employment Opportunity, Non-Discrimination, Non-Discrimination and Reasonable Accommodation on the Basis of Disability. (Race, Color, Religion, National Origin, Sex, Disability, Veteran Status, Sexual Orientation, Gender Identity, Gender Expression, Age, Martial Status, Pregnancy Status or Genetic Information). | Title VII of the Civil Rights Act of 1964; The Age Discrimination in Employment Act of 1967 (ADEA); The Pregnancy Discrimination Act; The Americans with Disabilities Act of 1990 (ADA); The Rehabilitation Act of 1973; The Genetic Information Nondiscrimination Act of 2008 (GINA); The Equal Pay Act of 1963 (EPA); Executive Order 11246; The Vietnam Era Veterans' Readjustment Assistance Act of 1974 (VEVRAA); Title VI of the Civil Rights Act of 1964; Virginia's State Executive Order Number Two | Policy 1201 (Non-Discrimination); Policy 1202 (Sexual and Gender-Based Harassment and Other Interpersonal Violence); Policy 1203 (Non-Discrimination and Reasonable Accommodation on the Basis of Disability) | Vice President for Compliance, Diversity and Ethics | Compliance, Diversity and Ethics | Gillian Lancaster glancast 703.993.8730 |
| Ethics | Conflicts of interest; Policy violations; Fraud, waste, and abuse. | Code of Virginia 2.2-3100 State and Local COI Act; 2.2-4367 (Ethics in Public Contracting) | Code of Ethics; Policy 4001 (Conflict of Interests) | Vice President for Compliance, Diversity and Ethics | Compliance, Diversity and Ethics | Elizabeth Woodley ewoodley 703.993.8730 |
| Export Controls | Export and Sanctions Compliance | 22 CFR 120-130(International Traffic in Arms Regulations (ITAR); 15 CFR 730-774 (Export Administration Regulations); 31 CFR Parts 500-599 (Office of Foreign Asset Controls (OFAC); U.S. Department of Treasury Sanction Programs | Policy 1141 (Export Controls and Sanctions Compliance) | Vice President for Research, Innovation and Economic Impact | Research Development, Integrity and Assurance | Becky Hartley, export, 703.993.2308 |
| Family Educational Rights and Privacy Act (FERPA) - Student Records | Access to student education records; opportunity to seek to have the records amended; disclosure of information from the records to other parties; Annual FERPA notification. | 20 U.S.C. § 1232g; 34 CFR Part 99 The law applies to all schools that receive funds under an applicable program of the U.S. Department of Education. | Policy 1122 (FERPA Compliance); Policy 1102 (Records Management); Policy 1114 (Data Stewardship); Policy 1307 (Procurement and/or Development of Administrative systems / applications); Policy 1315 (Employees' Electronic Communications) | Provost and Executive Vice President | University Office of the Registrar | Janette Muir, jmuir, 703.993.8893 |
| Federal Excise Taxation | Federal Telephone Excise Tax; Form 720 Tax Reporting | 26 U.S.C., Subtitle D, Chapter 33, Subchapter B, § 4251, § 4291 | N/A | Senior Vice President for Administration and Finance | International Tax Office | Carol McGinnis cmcginn2 703.993.2588; Elena Cirmizi ecirmizi 703.993.5224 |
| Federal Gainful Employment | Federal Gainful Employment Reporting Requirement and Disclosure Templates | Higher Education Act: Gainful Employment; 20 U.S.C. §§ 1001, 1002 Gainful Employment: 34 C.F.R. § 668 Subpart Q | N/A | President | Office of Institutional Effectiveness and Planning; Student Financial Aid | Angela Detlev adetlev 703.993.8969; Sandra Tarbox starbox@gmu.edu, 703.993.2353 |
| Federal Income Taxation | Aliens Employment Eligibility | 26 U.S.C., Subtitle A, Chapter 3 and 4; §§1441-1465, §§1471-1474; 26 U.S.C., Subtitle A, Chapter 1, Subchapter F, Part III | N/A | Senior Vice President for Administration and Finance | International Tax Office | Carol McGinnis cmcginn2 703.993.2588; Elena Cirmizi ecirmizi 703.993.5224 |
| Federal Reporting - Contracts & Procurement | Reporting of Foreign Gifts and Contracts | Higher Education Act: Foreign Gift and Contract Reports: 20 U.S.C. § 1011f | N/A | President | Office of Institutional Effectiveness and Planning; Student Financial Aid; Student Accounts; Sponsored Program; Continuing Education | Angela Detlev adetlev 703.993.8969; Sandra Tarbox starbox 703.993.2353 |
| Federal Reporting - Higher Education Disclosures to Students | Disclosure requirements to enrolled and prospective students under Sections 152 and 153 of the Higher Education Opportunity Act. | Higher Education Opportunity Act 2008: Public Law No. 110-315 | N/A | President | Office of Institutional Effectiveness and Planning | Angela Detlev adetlev 703.993.8969 |
| Financial Management | Cash management; improper accounting; theft or fraud | Commonwealth Accounting Policies and Procedures Section 20000 (General Accounting); Code of Virginia, Section 2.2-803 (Financial Accounting and Control) | Policy 2105 (Cash Handling); Policy 2103 (Internal Controls); Policy 1114 (Data Stewardship); Policy 1301 (Responsible Use of Computing); Policy 2114 (Reconciling Departmental and Sponsored Fund Accounting Records) | Senior Vice President for Administration and Finance | Fiscal Services | Carol McGinnis, cmcginn2 703.993.2588; Clare Laskofski claskofs 703.993.2637 |
| Fire Safety | Fire Alarm and Fire Suppression System Inspection and Testing; Fire Drills; State Mandated Permits; Fire Mitigation and Property Protection; Building Evacuation Procedures. | 29 CFR 1910 Subpart E (Exit routes and emergency planning); 29 CFR 1910 Subpart L (Fire Protection); 29 CFR 1910 Subpart S (Electrical); 29 CFR 1910 Subpart Q (Welding, Cutting and Brazing); Virginia Statewide Fire Prevention Code; Virginia Uniform Statewide Building Code; Code of Virginia Title 27; NFPA-72; NFPA-10; NFPA-20; NFPA-25; NICET (Fire Alarm & Sprinkler) | Policy 1406 (Environmental Health and Safety); Policy 1103 (Space Utilization and Scheduling); Policy 1413 (Continuity of Operations Planning) | Senior Vice President for Administration and Finance | Safety, Emergency, & Enterprise Risk Management | Julie Zobel jzobel 703.993.8630 David Farris dfarris 703.993.2507 Gregg Black gblack2 703.993.2795 |
| Foreign Taxation | Value Added Tax (VAT) and Goods and Services Tax (GST); Global Income Tax Compliance | VAT and GST Tax Laws of Foreign Jurisdictions; Income Tax Laws of Foreign Jurisdictions | N/A | Senior Vice President for Administration and Finance | International Tax Office | Carol McGinnis cmcginn2 703.993.2588; Elena Cirmizi ecirmizi 703.993.5224 |
| Foundation and Gifts Restrictions | Donor gifts and related gift restrictions; Donor confidentiality; Data access and security; Charitable substantiation rules; IRS regulations and guidelines; PCI DSS (credit card processing and security); Fiduciary oversight and responsibility. | Code of VA 23.1-1301 (Governing boards; powers); IRS Publication 526 (Charitable Contributions); The Code of Ethics for George Mason University Foundation, Inc.; Donor Bill of Rights; Association of Fundraising Professionals' Code of Ethical Standards; CASE Reporting Standards and Management Guidelines and Educational Fundraising; Generally Accepted Accounting Principles (GAAP) as codified by the Financial Accounting Standards Board (FASB). | Policy 1123 (Gift Acceptance Policy); Policy 2110 (Payment Card Security); Policy 2105 (Cash Handling) | Vice President of Advancement and Alumni Relations, President of George Mason University Foundation, Inc. | Advancement and Alumni Relations, George Mason University Foundation, Inc. | Susan Van Leunen, mvanluen, 703.993.8702 |
| Governance | Board of Visitor and Senior Leadership legal compliance. | Volume 2.2 of the Code of Virginia, including Virginia Conflict of Interests Act, Virginia Freedom of Information Act, and Board of Visitors Bylaws. | N/A | University Counsel | Office of University Counsel | Brian Walther bwalther 703.993.2619 |
| Grants and Contracts Administration | Payroll Cortication (Effort Reporting), Cost Sharing, Allowable Costs, Subrecipient Monitoring, Financial Reporting, Cash Management, Cost Transfers. | Office of Management and Budgets (OMB) Uniform Guidance (2 CFR 200); Sponsor Regulations | Policy 2108 (Direct and Indirect Cost Allocations Under OMB Uniform Guidance); Policy 2112 (Recharge Rates); Policy 2114 (Reconciling Departmental and Sponsored Fund Accounting Records); Policy 4005 (Cost Transfer Policy); Policy 4006 (Sponsored Programs Administration); Policy 4008 (Private Sector and Foundation Funding to GMU and GMUF); Policy 4009 (Subrecipient Monitoring Policy); Policy 4012 (Principal Investigators); Policy 4013 (Fixed Price Agreements); Policy 4015 (Payroll Certification on Federally Sponsored Projects); Policy 4016 (Cost Sharing) | Vice President for Research, Innovation and Economic Impact | Office of Sponsored Programs | Mike Laskofski mlaskofs 703.993.4573 |
| Grievances | Grievances | DHRM Policy 1.40, 1.60, Standards of Conduct | Administrative / Professional Handbook; Faculty Handbook; Standards of Conduct; Onboarding Classified Staff | Senior Vice President for Administration and Finance | Human Resources & Payroll | Sue Tinsman, stinsman, 703.993.2626 |
| Higher Education Opportunity Act Amendments - Proposed Prosper Act (Higher Education Reauthorization) | Loss of Subsidized Loans; Caps on Parent Loan (PLUS) Borrowing and Grad PLUS Borrowing; Elimination of SEOG Program and Changes to FWS Program; Major modifications to Return to Title IV (R2T4) | Higher Education Act of 1965 | Policy 55 (Scholarship and Fellowship Policies and Procedures); Policy 1125 (Identity Theft Prevention Program); Policy 1306 (Banner and Related Administrative Systems Security); Policy 6005 (Mason Student Support Fund (Stay Mason) | Provost and Executive Vice President | Office of Financial Aid | Sandra Tarbox, starbox 703.993.2353 |
| Housing | Provide a safe and secure learning environment outside of the classroom for residential students. | 34 CFR Part 668: Violence Against Women Act; Higher Education Act of 1965, as amended; Virginia Statewide Fire Prevention Code; Applicable laws on residential students and maintenance repairs; Uniform Statewide Building Code; Applicable laws on maintenance | Policy 1103 (Space Utilization and Scheduling); Policy 1138 (Minors on Campus); Residential Student Handbook; Code of Student Conduct | Vice President for University Life | Housing & Residence Life | Kahan Sablo ksablo 703.993.2884 |
| Identity Theft Prevention | Detection and prevention of attempted identity theft | Federal Trade Commission Red Flags Rule under section 114 and 315 of the Fair and Accurate Credit Transactions Act | Policy 1125 (Identity Theft Prevention Program) | Senior Vice President for Administration and Finance | Fiscal Services | Diane Saunders dsaunder 703.993.7010; Jack Lansford jlansfor 703.993.2466 |
| Immigration - Student and Visitor Information System (SEVIS) | Accurate Reporting of Non-Resident Alien students I-17 and SEVIS reporting. | 22 C.F.R. § 62.1567 Fed. Reg. 34,862; Section 641 of the Illegal Immigration Reform and Immigrant Responsibility Act of 1996 USA Patriot Act | N/A | President | Office of International Programs and Services; Office of Institutional Effectiveness & Planning | Judith vanBever-Green jagreen 703.993.2949; Angela Detlev adetlev 703.993.8969 |
| Immigration and International Students | Non-immigrant students, scholars and faculty sponsored by Mason; Mason compliance with federal immigration regulations; Advising students and exchange visitors on regulations governing legal status. | 8 CFR 214.2(f) (students in F-1 status and H-1B skilled workers); 8 CFR 214.3 (school certification, recertification, and reporting); 22 CFR Part 62 (Exchange visitors); 9 FAM 402.5-6 (Foreign Affairs Manual); 20 CFR Part 655 Subpart H (Labor Condition Application regulations) | Policy 4018 (Postdoctoral Research Fellows); Policy 6002 (Health Insurance Requirement for International Students) | Vice President for University Life | International Programs and Services | Judith vanBever-Green jagreen 703.993.2949 Christina Lehnertz clehnert 703.993.2952 |
| Information Technology - Data Security | Credit card data security; Security/sharing of student PII; Controlled Unclassified Information security; Protection of student financial aid data, protected health information; Unauthorized disclosure/access of PII data; Unauthorized export of controlled data; Security of data associated with sponsored research (grants); Protection of covered financial accounts from identity theft. | Payment Card Industry Data Security Standards (PCI DSS); The Family Educational Rights and Privacy Act (FERPA) DFARS 252.204-7012; NIST SP 800-171; Gramm-Leach-Bliley Act (GLBA) “Standards for Safeguarding Customer Information”; HIPAA; Code of Virginia § 18.2-186.6; International Traffic in Arms Regulation (ITAR); Federal Information Security Monitoring Act of 2002 (FISMA); Federal Trade Commission Red Flags Rule | Policy 2110 (Payment Card Security); Policy 1114 (Data Stewardship); Policy 1316 (Controlled Unclassified Information); Policy 1118 (Compliance with the Health Insurance Portability and Accountability Act); Policy 1141 (Export Controls and Sanctions Compliance) | Senior Vice President for Administration and Finance | Information Technology Services | Curtis McNay cmcnay 703.993.4183 |
| Information Technology Computing - Accessibility | Phone and videoconference systems accessibility for persons with speech/hearing/visual impairment. | Sections 255, 716, and 717 of the Communications Act of 1934; 21st Century Communications and Video Accessibility Act 2010 | Policy 1308 (Electronic and Information Technology Accessibility) | Senior Vice President for Administration and Finance | Information Technology Services | Ben Allen ballen5 703.993.3478 |
| Information Technology Computing - File Sharing | File sharing copyright violations | Digital Millennium Copyright Act (DMCA); Higher Education Opportunity Act (HEOA) | N/A | Senior Vice President for Administration and Finance | Information Technology Services | Ben Allen ballen5 703.993.3478 Curtis McNay cmcnay 703.993.4183 Joy Taylor jtaylo16 703.993.5270 John Kettlewell jkettlew 703.993.3358 |
| Information Technology Computing - Financial Controls | Manage financial controls per the Agency Risk Management and Internal Control Standards (ARMICS) | Code of Virginia §2.2-803 (Financial Accounting and Control) | Policy 2103 (Internal Controls); Policy 2104 (Inventory Control of Office and Educational Equipment and Furniture) | Senior Vice President for Administration and Finance | Information Technology Services | Curtis McNay cmcnay 703.993.4183 |
| Information Technology Computing - Media Copyright Protections | Media copyright protections (e.g. Music on Hold feature on phone queues). GMU TV - Cable TV. | U.S. Copyright Act of 1976 | Policy 1104 (Use and Reproduction of Copyrighted Materials) | Senior Vice President for Administration and Finance | Information Technology Services | Ben Allen ballen5 703.993.3478 |
| Information Technology Computing - Websites | Accessibility of ITS websites | Section 508 of Rehabilitation Act of 1973 | Policy 1308 (Electronic and Information Technology Accessibility) | Senior Vice President for Administration and Finance | Information Technology Services | Tom Shifflett tshiffl2 703.993.3373 |
| Insurance | Insurance contracts, Claim Investigations, Claim Processing (Tort), Certificates of Insurance | Code of Virginia § 23.1-1008 (Covered institutions, operational authority, general procurement); Code of Virginia § 2.2-1837 (Risk management plan for public liability); Code of Virginia § 8.01-195.1 (Tort Claims Act); Code of Virginia § 38.2-518 (Certificates of Insurance) | Policy 2106 (Purchasing of Goods and Services) | Senior Vice President for Administration and Finance | Safety, Emergency, & Enterprise Risk Management | Julie Zobel jzobel 703.993.8630 Joyce French jfrench 703.993.9156 |
| Integrated Postsecondary Education Data System (IPEDS) Reporting | Department of Education Reporting Requirement | Title IV of the Higher Education Act of 1965, as amended Completion of IPEDS surveys mandated by 20 USC 1094, Section 487(a)(17) | N/A | President | Office of Institutional Effectiveness and Planning | Angela Detlev adetlev 703.993.8969 |
| Intellectual Property | Timely Invention Disclosures, Inventorship, Intellectual property protection, Infringement Detection | 35 U.S.C. 103(c), enacted as part of P.L 108-453, the Cooperative Research and Technology Enhancement (CREATE) Act of 2004; 35 U.S.C. 101; 35 U.S.C. 271 (a); 35 U.S.C. 262; 35 U.S.C. 261 | Policy 4002 (Copyright in University Works); Policy 4003 (Patenting University Inventions) | Vice President for Research, Innovation and Economic Impact | Office of Technology Transfer | Hina Mehta hmehta4 703.993.3879 |
| Internal Control Review | Fiscal accountability and asset stewardship, Financial risk and control management | Agency Risk Management and Internal Control Standards (ARMICS); Commonwealth Accounting Policies and Procedures Topic 10305 (Internal Control under the authority of the Code of Virginia); §§ 2.2-800 and 2.2-803 | Policy 2103 (Internal Controls) | Senior Vice President for Administration and Finance | Fiscal Services | Diane Saunders dsaunder 703.993.7010; Peaches Nicholls pnicholl 703.993.5206 |
| Internal Investigations | Fraud, Waste and Abuse, Whistleblower | Code of VA 2.2-3009 (Fraud and Abuse Whistleblower Protection Act); State Fraud, Waste, and Abuse Hotline Policies and Procedures Manual | Policy 1139 (Reporting and Investigation of Suspected Fraudulent Transactions) | President | Office of University Audit | Edward Dittmeier, edittmei 703.993.3091 |
| International Hiring | Aliens Employment Eligibility | 8 U.S.C.(Immigration and Nationality Act (INA) | Policy 2224 (Recruitment and Hiring of University Employees) | Senior Vice President for Administration and Finance | Human Resources & Payroll; International Tax Office | Elena Cirmizi, ecirmizi, 703.993.5223 |
| Land Use | Land Use Plan Submission to DGS indicating present and planned uses | The Code of Virginia § 2.2-1153 (State agencies and institutions to notify Department of property not used or required) | Policy 1103 (Space Utilization and Scheduling); George Mason University Space Use Regulation: 8 VAC 35-31-10, et seq. | Senior Vice President for Administration and Finance | Facilities | Doug Lipscomb jwillsli 703.993.5964 |
| Law Enforcement | Secure all Mason campuses for students, faculty, staff and visitors safety and protection. Investigate and report crimes committed on campus. | Title 23 (Educational Institutions), Chapter 17 (Campus Police Departments), 23.17-238 (Security Departments and other Security Services); DCJS 9.1-102 (Powers and Duties of the Board and the Department) | Policy 1404 (Reporting Crimes, Accidents, Fires, & Other Emergencies); Policy 1120 (Weapons on Campus); Policy 1132 (Trespass Notices) | Senior Vice President for Administration and Finance | Police and Public Safety | Brian R. Cozby bcozby 703.993.2824 Emily Ross eross2 703.993.2887 Phil Surber psurber2 703.993.2839 Thuan Ly tly5 703.993.2872 |
| Mason Radio Station | Copyright issues | The Copyright Act of 1976 Digital Millennium Copyright Act | Policy 1104 (Use and reproduction of copyright materials) | Vice President for University Life | Student Media | Rodger Smith rsmith6 703.993.2874 |
| Media Relations | Libel/Slander, Privacy, Open Records | Slander and Libel (Code of VA 18.2-417); Virginia Freedom of Information Act (Code of VA 2.2-3700); The Family Educational Rights and Privacy Act (FERPA) | N/A | Vice President for Communications and Marketing | Strategic Communications | Mike Sandler msandle3 703.993.8815 |
| Mental Health (Employee) | Potential for: Violence, Weapons, employee illnesses, turnover. | Employee Assistance Programs (EAP): Mandated through all state health plans; Americans with Disabilities Act (ADA); Code of VA 2.2-3009 (Fraud and Abuse Whistleblower Protection Act); State Fraud, Waste, and Abuse Hotline Policies and Procedures Manual DHRM Policy 1.60 (Standards of Conduct) | Policy 1120 (Weapons on Campus); Policy 2219 (Employee Drug and Alcohol Policy); Policy 2208 (Workplace Violence); Policy 1202 (Sexual and Gender-Based Harassment and Other Interpersonal Violence); | Senior Vice President for Administration and Finance | Employee Relations in collaboration with University Counsel, CDE, and Provost Office | Sue Tinsman, stinsman, 703.993.2626 |
| Mental Health (Student) Prescriptions | Client/patient care standards; quality of care. | Virginia Code § 54.1-3303 (Prescriptions to be issued and drugs to be dispensed for medical or therapeutic purposes only); Code of Virginia § 54.1-2522.1. (Effective until July 1, 2022) (Requirements of prescribers) | N/A | Vice President for University Life | Counseling and Psychological Services; Student Health Services | Rachel Wernicke rwernick 703.993.2380 Lisa Park lpark4 703.993.2381 Kavita Jagarlamudi kjagarl 703.993.2380 |
| Mental Health (Student) Professional Credentialing | Licensing and continuing education requirements. | International Association of Counseling Services Accreditation Standards IV. Counseling Service Personnel; Psychology: 18 VAC 125-20-10 et seq. (Requirements for Licensure, Licensure Renewal and Reinstatement); Counseling: Code of Virginia § 54.1-3506. (License required); Code of Virginia § 54.1-3505.1. (Continued competency requirements); Virginia Board of Counseling Regulations: 18 VAC 115-20-10 et seq. (Requirements for Licensure, Licensure Renewal and Reinstatement); Psychiatry: Code of Virginia § 54.1-2902. (Unlawful to practice without license); Code of Virginia § 54.1-2904. (Biennial renewal of licenses; copies; fee; lapsed licenses; reinstatement; penalties); Virginia Board of Medicine Regulations: 18 VAC 85-20-10 et seq. (Licensure: General and Educational) | N/A | Vice President for University Life | Counseling and Psychological Services; Student Health Services | Rachel Wernicke rwernick 703.993.2380 Lisa Park lpark4 703.993.2381 |
| Mental Health (Student) Student and Community Safety | Danger to self; danger to others; mandated reporting; involuntary hospitalization; threat assessment. | Virginia Code § 54.1-2400.1 (Mental health service providers; duty to protect third parties; immunity); Code of Virginia § 63.2-1606 (Protection of aged or incapacitated adults; mandated and voluntary reporting); Code of Virginia § 37.2-817 (Involuntary admission and mandatory outpatient treatment orders); International Association of Counseling Services Accreditation Standards (III.C. Imminent Danger) | Policy 1121 (Parental Notification) | Vice President for University Life | Counseling and Psychological Services | Rachel Wernicke rwernick 703.993.2380 |
| Mental Health (Student) Treatment | Client/patient care standards; quality of care. | Psychology: Virginia Board of Psychology Regulations: 18 VAC 125-20-10 et seq. (Standards of Practice; Unprofessional Conduct; Disciplinary Actions; Reinstatement) Counseling: Virginia Board of Counseling Regulations: 18 VAC 115-20-10 et seq. (Standards of Practice; Unprofessional Conduct; Disciplinary Actions; Reinstatement); Psychiatry: Virginia Board of Medicine Regulations: 18 VAC 85-20-10 et seq. (Standards of Professional Conduct, Practitioner Profile System) | N/A | Vice President for University Life | Counseling and Psychological Services; Student Health Services | Rachel Wernicke rwernick 703.993.2380 Lisa Park lpark4 703.993.2381 |
| Occupational Health | Medical screening and surveillance, respiratory protection and hearing conservation, hazard communication, bloodborne pathogens exposure control, ergonomics, indoor air quality, asbestos and lead paint in buildings, facility safety design. | Occupational Safety and Health Act of 1970 Section 5(a) – General Duty Clause; 29 CFR 1910, Occupational Safety and Health Administration (OSHA) General Industry Regulations; 29 CFR 1926, OSHA Construction Industry Standards; 40 CFR 763, Asbestos; American National Standards Institute (ANSI) Safety Standards; 16 VAC 25-20 and 16 VAC 25--20-30 (Asbestos); Guide for the Care and Use of Laboratory Animals (National Research Council/AAALAC). | Policy 1406 (Environmental Health and Safety) | Senior Vice President for Administration and Finance | Safety, Emergency, & Enterprise Risk Management | Julie Zobel jzobel 703.993.8630 Paul Didier pdidier 703.993.4820 |
| Occupational Safety | Employee and workplace safety; mandatory training and proper use of equipment; identification of workplace hazards; preventative measures to reduce or eliminate employee injuries and accidents. | Occupational Safety and Health Act of 1970 Section 5(a) – General Duty Clause; 29 CFR 1910, Occupational Safety and Health Administration (OSHA) General Industry Regulations; 29 CFR 1926, OSHA Construction Industry Standards; 16 VAC 25-73, Tree Trimming Operations; National Fire Protection Agency 70E (Standard for Electrical Safety in the Workplace) | Policy 1406 (Environmental Health and Safety) | Senior Vice President for Administration and Finance | Safety, Emergency, & Enterprise Risk Management | Julie Zobel jzobel 703.993.8630 David Farris dfarris 703.993.2507 |
| Offboarding | Offboarding (resignations, terminations, retirements, unemployment) | Virginia Unemployment Compensation Laws; DHRM Policy 1.57, 1.65, 1.70 | Policy 2211 (Death in Service); Separation Forms | Senior Vice President for Administration and Finance | Human Resources & Payroll | Sue Tinsman, stinsman, 703.993.2626 |
| Payment Card Management | Payment card control and security | Payment Card Industry Data Security Standards | Policy 2110 (Payment Card Security) | Senior Vice President for Administration and Finance | Fiscal Services | Diane Saunders dsaunder 703.993.7010; Jack Lansford jlansfor 703.993.2466 |
| Payroll | Fair Labor Standards Act (FLSA), federal and state taxation regulations, International taxation regulations including countries with and without treaty agreements. Agency Risk Management and Internal Control Standards (ARMICS), Office of Fiduciary Assets Control (OFAC)/Department of Treasury regulations on SDN, international direct deposit | Internal Revenue Code (IRC); Fair Labor Standards Act; CFR 31 515.306; U.S. treaty agreements (OMB approvals); Title 58.1 Code of Virginia, state tax codes; Title 11 US Code; Consumer Credit Protection Act (CCPA) | Policy 2201 (Direct Deposit of Employee Pay); Policy 2205 (Recording and Approving Hours Worked and Overtime); Policy 2209 (Employee Tuition Exemption); Policy 2226 (Supplemental Pay); Policy 2103 (Internal Controls) | Senior Vice President for Administration and Finance | Human Resources & Payroll | Sue Tinsman, stinsman, 703.993.2626 |
| Purchasing | Legal Requirements for proper procurement of goods and services. Administrative standards for the use of eVA. SWaM requirements. Tier 2/2.5/3 management agreement. | Rules Governing Procurement of Goods, Services, Insurance, and Construction by a Public Institution of Higher Education of the Commonwealth of Virginia Governed by Subchapter 3 of the Restructured Higher Education Financial and Administrative Operations Act (Chapter 4.10 (§ 23-38.88 et seq.) of Title 23 of the Code of Virginia; Higher Education Restructuring Act; EO-20 (SWaM); Commonwealth Accounting Policies and Procedures Manual (20300-20360); Virginia Public Procurement Act | Policy 2106 (Purchase of Goods and Services); Policy 1307 (Procurement of Administrative Systems / Applications; Policy 2103 (Internal Controls); Policy 4001 (Conflicts of Interest); Policy 2102 (Food and Beverage Expenditures); Policy 6 (Student Organizations and Activities Financial Policies and Purchasing Procedures) | Senior Vice President for Administration and Finance | Purchasing and Accounts Payable | Cliff Shore, cshore, 703.993.2611; James Russell, jrussell, 703.993.2587; Kat Sirotin, ksirotin, 703.993.2497 |
| Purchasing Cards | Proper use of Purchasing cards. Adherence to Department of Accounting standards. Reconciliation of Purchasing cards and charging to funds/orgs. | Commonwealth Accounting Policies and Procedures Manual; Tier 2.5 Management Agreement; Commonwealth Accounting Policies and Procedures Manual 20300-30000 | Policy 2101 (Travel Authorization of Reimbursement); Policy 2102 (Food and Beverage Expenditures); Policy 2103 (Internal Controls); Policy 2114 (Reconciling Departmental and Sponsored Fund Accounting Records) | Senior Vice President for Administration and Finance | Purchasing and Accounts Payable | Cliff Shore, cshore, 703.993.2611; Becky Klein, bklein5, 703.993.2622 |
| Records Retention (Electronic and Paper) | Public Records | Virginia Public Records Act (§ 42.1-76); Third-Party Retention Requirements (Federal agencies such as Department of State, Department of Education; Funding Agencies; Grant Requirements; Accreditation; etc.). | Policy 1102 (Records Management); Policy 1114 (Data Stewardship); Policy 1117 (Responding to Virginia Freedom of Information Act (FOIA) Requests for Records) | Provost and Executive Vice President | University Records Management | Samara Carter scarte25 703.993.2201 Nicholas Welsh nwelsh3 703.993.5273 Lynn Eaton leaton4 703.993.2221 |
| Recruitment, Hiring, and Onboarding | Recruitment, Hiring, and Onboarding | Title VII; E-Verify; Immigration Reform and Control Act of 1986 (IRCA); Employment Retirement Income Security Act (ERISA); Fair Labor Standards Act (FLSA); Uniformed Services Employment and Reemployment Rights Act (USERRA); Occupational Safety and Health Act (OSHA); Sarbanes-Oxley Act (SOX); Uniform Guidelines for Employment Selection Procedures; EO-41, "Ban the Box"; VOSH; Americans with Disabilities Act of 1990 (ADA); Equal Employment Opportunity Commission (EEOC); Age Discrimination in Employment Act of 1967 (ADEA); Provisions of the VA Public Records Act; Library of Virginia Record Retention Requirements; 42.1-76-Library Code; Code of Virginia; Employee Polygraph Protection Act (EPPA); Virginia Human Rights Act; Virginians with Disabilities Act; Child Labor Laws; EO-1 Equal Opportunity; DHRM Hiring Policy (1.05, 1.10, 1.25, 1.45, 1.75, 2.05, 2.10, 2.20, 3.05-3.15); Virginia Minimum Wage Act; Lilly Ledbetter Fair Pay Act; Child Abuse Reporting; Genetic Information Nondiscrimination Act (GINA); Affirmative Action Program (AAP); Pregnancy Discrimination Act of 1978 | Policy 2213 (Release of Paychecks); Policy 2217 (Wage Employment); Policy 2219 (Employee Drug and Alcohol Policy); Policy 2224 (Recruitment and Hiring of University Employees); Policy 2228 (Children and Minors in the Workplace); Faculty Handbook; Administrative / Professional Handbook; Onboarding Classified Staff | Senior Vice President for Administration and Finance | Human Resources & Payroll | Michelle Lim, mlim2, 703.993.6335 |
| Regional Accreditation: Southern Association of Colleges and Schools - Commission on Colleges (SACSCOC) | Accreditation reaffirmation under Department of Education authorization standards requirements for Title IV student financial assistance eligibility. | Federal Code 34 CFR §602.28 Higher Education Act: State Authorization: 20 U.S.C. §§ 1001, 1002; State Authorization Rule: 34 C.F.R. § 600.9 | N/A | Provost and Executive Vice President | Office of Institutional Effectiveness and Planning; Office of the Provost | Michelle Marks mmarks 703.993.8705; Janette Muir jmuir 703.993.8891 Gesele Durham gedurham 703.993.5883; Shannon Nix snix2 703.993.8616 |
| Reporting | Education tax credit 1098T Tax reporting | 26 CFR 1.6050S-1 (Information reporting for qualified tuition and related expenses); IRS Publication 970 | N/A | Senior Vice President for Administration and Finance | Student Accounts | Pat Quinn, pquinn2, 703.993.3760; David Jones, djonesr, 703.993.9105 |
| Reporting of Graduation Rates - NCAA | NCAA publication requirement of student-athlete graduation rates. | Student Right to Know Act of 1990 Department of Education's Integrated Post-Secondary Data System Graduation Rate Survey (IPEDS-GRS); NCAA Graduation Success Rate (GSR) for Division I | N/A | President | Office of Institutional Effectiveness and Planning; Intercollegiate Athletics | Angela Detlev adetlev 703.993.8969 Kelly Reinke kreinke2 703.993.5420 |
| Research Materials | Controlled Substances, Select Agents, Hazardous Materials, Ionizing and Non-ionizing Radiation; Review of proposed research; laboratory safety inspections; risk assessment and hazard mitigation; laboratory training programs; shipping and receiving of hazardous materials; laboratory facility design consultation; Administering faculty research committees (IBC, RSC, IACUC, IRB, etc.). | 9 CFR Part 121 (Possession, Use, and Transfer of Select Agents and Toxins); Occupational Safety and Health Act of 1970 Section 5(a) – General Duty Clause; 21 CFR Part 1309 and 1317 (Controlled Substances); 27 CFR Part 22 (Tax Free Alcohol); 29 CFR 1910 Subpart Z (1000 – 1450) (Toxic and Hazardous Substances); 40 CFR 262-265 (Standards applicable for generators, transporters, owners, operators, and treatment of hazardous waste); 42 CFR Part 73 (Select Agents and Toxins); 49 CFR 171-180 (Department of Transportation (DOT) Dangerous Goods Shipping); 9-VAC-20-120 (Virginia Department of Environmental Quality (DEQ) Regulated Medical Waste Management Regulations); 12 VAC 5-481 (Virginia Radiation Protection Regulations); Research Involving Recombinant or Synthetic Nucleic Acid Molecules (NIH Guidelines); United States Government Policy for Institutional Oversight of Life Sciences Dual Use Research of Concern; Biosafety in Biomedical and Microbiological Laboratories (CDC); NIH Guidelines for Research | Policy 1406 (Environmental Health and Safety); Policy 2228 (Children and Minors in the Workplace); Policy 4004 (Occupational Health and Safety Program for Animal Care and Use Personnel); Policy 4012 (Principal Investigators) | President | Safety, Emergency, & Enterprise Risk Management | Julie Zobel jzobel 703.993.8630 Paul Didier pdidier 703.993.4820 Diann Stedman dstedman 703.993.7531 |
| Research Misconduct and Responsible Conduct of Research | Research Misconduct and Responsible Conduct of Research | Office of Science and Technology Federal Research Misconduct Policy; 45 CFR 50 and 93 (Public Health Service Policies on Research Misconduct); 45 CFR 689 (National Science Foundation Research Misconduct Regulation); NDOT-OD-10-019 (National Institutes of Health Update on the Requirement for Instruction in the Responsible Conduct of Research); Section 7009 of America Competes Act | Policy 4007 (Misconduct in Research and Scholarship) | Vice President for Research, Innovation and Economic Impact | Research Development, Integrity and Assurance | Aurali Dade, adade3, 703.993.5381 |
| Research Subjects | Human Subjects, Animal Subjects | 45 CFR 46 (Department of Health and Human Services Human Subjects Regulations (The Common Rule); 21 CFR 50, 56, 312 and 812 (FDA Human Subjects Regulations); Office of Human Research Protections Guidance; FDA Clinical Trials Guidance; Code of Virginia 32.1-162.16 et seq. (Human Research); 9 CFR 1, 2, and 3 (Animal Welfare Act); Public Health Service Policy on Humane Care and Use of Laboratory Animals; AVMA Guidelines for the Euthanasia of Animals; Guide for the Care and Use of Laboratory Animals (the Guide); Association for Assessment and Accreditation of Laboratory Animal Care International Accreditation Standards | Policy 4017 (Research Involving Human Subjects); Policy 4004 (Occupational Health and Safety Program for Animal Care and Use Personnel) | President | Research Development, Integrity and Assurance | Bess Dieffenbach, IRB 703.993.5593; David Myers, IACUC, 703.993.6118 |
| Retention | Retention (Tuition benefit, outside employment, Break Time for Nursing Mothers, Remote Work Agreements, Training & Development) | Family Medical Leave Act; DHRM Policy 1.61, 5.05. 5.10 | Policy 2227 (Outside Employment); Policy 2202 (Flexible Work); Policy 2226 (Supplemental Pay); Policy 2209 (Employee Tuition Exemption Benefit); Policy 2212 (Educational Assistance); Policy 2231 (Break Time for Nursing Mothers) | Senior Vice President for Administration and Finance | Human Resources & Payroll | Michelle Lim, mlim2, 703.993.6335 |
| Social Media | Facebook, Twitter, Instagram, SnapChat, LinkedIn. | Commonwealth of Virginia Policy 1.75 (Use of Electronic Communications And Social Media) | Policy 1127 (University Affiliated Social Media Sites); | Vice President for Communications and Marketing | Communications and Marketing | Eric Woodall ewoodall 703.993.5442 Kathleen Dodd kdodd5 703.993.4722 |
| Specialization or Professional Accreditation | Specialized or professional accreditation requirements in a specific discipline within an institution. | Federal Code 34 CFR §602.28 | Policy 3010 (Specialized Accreditation) | Provost and Executive Vice President | Office of Institutional Effectiveness and Planning; Office of the Provost | Angela Detlev adetlev 703.993.8969 Janette Muir jmuir 703.993.8891 Gesele Durham gedurham 703.993.5883 Shannon Nix snix2 703.993.8616 |
| State Authorization | State Authorization Reciprocity Agreements (SARA) - Professional licensure | 34 CFR 600.9(a)(1) (State Authorization); 34 CFR 668 (Student Assistance General Provisions); SACSCOC FR 4.6 and 4.7 (2012 version) | N/A | Provost and Executive Vice President | Office of Digital Learning | Steve Nodine snodine 703.993.4563 |
| State Council for Higher Education for Virginia (SCHEV) - Inventory | Financial aid, legal exposure | Compliance with SCHEV inventory of all degrees and certificates a public institution is authorized to offer. | N/A | Provost and Executive Vice President | Office of Accreditation and Program Integrity | Janette Muir, jmuir, 703.993.8893 |
| State Council of Higher Education for Virginia (SCHEV) Reporting | Reporting on Students and Space to the Commonwealth of Virginia | 21.1-208 A through C Code of Virginia | N/A | President | Office of Institutional Effectiveness and Planning | Angela Detlev adetlev 703.993.8969 |
| State Taxation | Virginia Sales and Use Tax | Code of Virginia, Title 58.1, Chapter 6 | N/A | Senior Vice President for Administration and Finance | International Tax Office | Carol McGinnis cmcginn2 703.993.2588; Elena Cirmizi ecirmizi 703.993.5224 |
| State Vehicles | Accident Review Committee, University Driver Safety Program (MVR Compliance) | Code of Virginia § 52-4 (Functions of Department (State Police); Department of State Police Memo 2001- No. 10; DHRM Policy 1.60 (Standards of Conduct); Code of Virginia §18.2-152.1 through §18.2-152.14; Federal Fair Credit Reporting Act, Public Law 91-508. | Policy 1410 (Vehicle Accident Review Committee) | Senior Vice President for Administration and Finance | Safety, Emergency, & Enterprise Risk Management | Julie Zobel jzobel 703.993.8630 Joyce French jfrench 703.993.9156 |
| Stormwater Management | Senior Vice President for Administration and Finance | Facilities Management | Jane (Zhongyan) Xu zxu8 703.993.4051 |
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| Student Athlete Academic Eligibility - NCAA | Certification of student athlete academic eligibility per NCAA Division I By-Laws, Rules, and Regulations | NCAA Division I Manual, By-law 14.3, 14.4, 14.5 | Academic Policy (AP) 5.2 Academic Standing | Provost and Executive Vice President | University Office of the Registrar | Janette Muir, jmuir, 703.993.8893 |
| Student Development | Ability to inform the student's emergency point of contact in the case of a health or safety emergency | Family Educational Rights and Privacy Act (FERPA) USC 1232g; VA Code 23-9.2:3C (Release of Educational Records); VA Code 23.1-805C (Violence Prevention Committee, Threat Assessment Team) | Policy 1121 (Parental Notification) | Vice President for University Life | Dean of Students Office | Juliet Blank-Godlove jblank 703.993.2884 |
| Student Health Immunization Requirements | Student compliance; submitting records in foreign languages; not transcribed on our forms; submitting false information | Title 23. Educational Institutions Chapter 1. General Provisions; VA Code Ann. § 23-7.5(2003) (Health histories required; immunizations); American College Health Association Guidelines; Centers for Disease Control and Prevention guidelines/recommendations | Policy 6004 (Immunization requirements) | Vice President for University Life | Student Health Services | Shannon LaPlant slaplant 703.993.5667 Carol Filak cfilak 703.993.2832 |
| Student Health Insurance | Health insurance coverage for J1 Visa students | U.S. Code of Federal Regulations (22 CFR § 62.14) | Policy 6002 (Health Requirements for International F-1 and J-1 Visa Students) | Vice President for University Life | Student Health Services | Della Jarrett djarret2 703.993.2827 Carol Filak cfilak 703.993.2832 |
| Student Health Occupational and Safety Health Standards | Exposure Control, Bloodborne Pathogens and other Infectious Disease | United States Department of Labor, Occupational Safety and Health Administration, (OSHA) (29 CFR 1910.1030(c), Bloodborne Pathogens) | Policy 1406 (Environmental Health and Safety); Policy 1116 (Communicable Disease) | Vice President for University Life | Student Health Services | Jerrelyn D Madden jmadden 703.993.2835 Lisa L. Park lpark4 703.993.5817 |
| Student Judicial Councils | Resolution of alleged Code of Student Conduct Violations; Policy Development and Enhancement. | Family Educational Rights and Privacy Act (FERPA); Violence Against Women Act (VAWA); Department of Education (DoE) and Office of Civil Rights (OCR) guidance/laws; Campus SaVE Act; Clery Act; VA Commonwealth laws on transcript notations, sexual assault/sexual misconduct response. | Policy 1202 (Sexual Misconduct); Code of Student Conduct | Vice President for University Life | Student Conduct | Brent Ericson bericson 703.993.6209 |
| Subpoenas or Court Orders | Official responding office for University response to subpoenas and garnishments. | Rules of the Supreme Court of Virginia; Federal Court rules for applicable federal district courts; Code of Virginia 8.01-511 et seq. (regarding garnishment procedures) | Policy 1117 (Responding to Virginia Freedom of Information Act Requests) | University Counsel | Office of University Counsel | Cindy Zema czema 703.993.2619 Leslie Loucks, Lloucks@gmu.edu, 703.993.2619 |
| Summer Camps / Special Events | Minors on campus, directing programs, events, and camps serving minors to the appropriate resources at intake. | Virginia Code § 63.2-1509 Requirement that certain injuries to children be reported by physicians, nurses, teachers, etc.; penalty for failure to report | Policy 1138 (Minors on Campus) | Senior Vice President for Administration and Finance | Auxiliary Enterprises | Buz Grover, hgroveri, 703.993.5784 |
| Tax-Exempt Bond Financing | Debt financing, Private Business Use in tax-exempt financed facilities. | IRS Code: 26 USC §141 (Private Business Use); IRS Revenue Procedure 97-13; IRS Revenue Procedure 2007-47 | Policy 2115 (Private Business Use (Use of Buildings Financed with Tax-Exempt Debt); Policy 2111 (Debt Policy) | Senior Vice President for Administration and Finance | Fiscal Services | Monica Michaud, mmichau2, 703.993.8751 |
| Technology Licensing | Invention Commercialization, licensing agreement and compliance | Bayh-Dole Act (P.L. 96-517, Patent and Trademark Act Amendments of 1980) | Policy 4002 (Copyright in University Works); Policy 4003 (Patenting University Inventions) | Vice President for Research, Innovation and Economic Impact | Office of Technology Transfer | Hina Mehta hmehta4 703.993.3879 |
| Third Party Payments | Veteran and other Federal Education Benefits | U.S. Code Title 38 (Veterans' Benefits); Department of Defense Memorandum of Understanding; VA School Certifying Official Handbook | N/A | Senior Vice President for Administration and Finance | Student Accounts - Third Party Billing; Registrar's Office | Pat Quinn, pquinn2, 703.993.3760; Janette Muir, jmuir, 703.993.8893 |
| Title IX and Sexual Harassment | Ensure appropriate Title IX and sexual harassment education and compliance training. Investigation, response and resolution in a timely manner. | Code of Virginia § 23.1-806 (Reporting of acts of sexual violence); Code of Virginia § 23.1-900. (Academic transcripts; suspension, permanent dismissal, or withdrawal from institution); Title VI of the Civil Rights Act of 1964, 42 U.S.C. § 2000d; Title IX of the Education Amendments of 1972, 20 U.S.C. §1681 Jeanne Clery Disclosure of Campus Security Policy and Campus Crime Statistics Act of 1998 (Clery Act), 20 U.S.C. § 1092(f); Violence Against Women Reauthorization Act of 2013 amendments to the Clery Act, Pub. L. 113–4. | Policy 1201 (Non-Discrimination); Policy 1204 (Consensual Relationships); Policy 1412 (Reporting of Clery Act Crimes and/or Prohibited Sexual Conduct); Code of Student Conduct; Student Rights and Responsibilities (from the University Catalog); Policy 2208 (Workplace Violence) | Vice President for Compliance, Diversity and Ethics | Compliance, Diversity and Ethics | Elizabeth Woodley ewoodley 703.993.8730 |
| Veteran's Affairs | Certification of student eligibility for educational assistance under the Post 9/11 GI Bill (Chapter 33) | 38 CFR Part 21; H.R. 3218 (Pub.L. 115-48); 38 U.S. Code Chapter 31 | Policy 55 (Scholarship and Fellowship Policies and Procedures); U.S. Code: Title 38 (Veterans' Benefits); Department of Defense Memorandum of Understanding; VA School Certifying Official Handbook | Provost and Executive Vice President | University Office of the Registrar | Janette Muir, jmuir, 703.993.8893 |
| Violence or Threats of Violence | Threats of violence exhibited by students, faculty, staff or visitors | Title 23 Educational Institutions, Chapter 17 Campus Police Departments 23.1-805 Violence prevention committee; Campus Threat Assessment and Intervention Team (CAIT). | Policy 1404 (Reporting Crimes, Accidents, Fires, & Other Emergencies); Policy 1120 (Weapons on Campus); Policy 2208 (Workplace Violence) | Senior VP for Administration and Finance | Police and Public Safety | Brian R. Cozby bcozby 703.993.2824 |
| Virginia Freedom of Information Act (FOIA) | Responses to FOIA requests; Responses challenged in court. | Virginia Code 2.2-3700 Freedom of Information Act | Policy 1117 (Responding to FOIA Requests for Records) | Vice President for Compliance, Diversity and Ethics | Compliance, Diversity and Ethics | Elizabeth Woodley ewoodley 703.993.8730 |
| Work Schedules | Work Schedules and Attendance and Leave | Fair Labor Standards Act; DHRM Policy 1.35, 1.40, 1.45, 3.05, 3.10, 3.15, 4.05, 4.10, 4.15, 4.17, 4.25, 4.30, 4.35, 4.37, 4.40, 4.45, 4.50, 4.52, 4.55 | Policy 2216 (Work Schedules and Attendance for Classified Employees); Policy 2203 (Transitional Modified Duty); Policy 2230 (Parental Leave for Instructional 9-month Faculty); Policy 2232 (Sick Leave Policy for Faculty under the Traditional Sick Leave Plan) | Senior Vice President for Administration and Finance | Human Resources & Payroll | Sue Tinsman, stinsman, 703.993.2626 |
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