Crookston
Contact
Duluth
Morris
Contact
Contact
Tim Caskey Sarah
Mattson
Rochester Compliance
Contact
Risk Area
Gail Sauter EOAA
(Employment)
Stephanie
Helgeson,
Jason
Tangquist
Laurie
Wilson
Abbey
Strong
Jason
Herbers
Andrea
Wilson
Gender Equity Compliance with Title IX requirements
Penny
Cragun
Sara
Mattson
Andrea
Wilson
Access/
Disability
Issues
Facility
Accessibility
Equal access to
employment
Identification
eligible employees
Workplace
accommodations
Required
Recordkeeping
Identification of
eligible students
Student
accommodations
Equal student access
to education
opportunities
Sara
Mattson
Andrea
Wilson
Human
Resources
Labor Relations
Benefits
Termination/
Departure
Performance
Management
S
TC/S
Compliance Partners and Associated Risks
Responsible Compliance
VP
Partner
K. Albert
Kim Hewitt
Kim Hewitt
S
K. Albert
Donna
Johnson
K. Brown
Peter
Helgeson
S
K. Albert
(Title IX)
S
Les Johnson TBD
Jeremiah
Carter
Stephanie
Helgeson
Abbey
Strong
Jason
Herbers
TC
Doug
Peterson
T:/ Department/ Compliance/ Packet for New Compliance Partners and VPs
N/A
Representative Compliance Issues
Recruiting & hiring Retaliation
Complaint Handling
Consensual
Hostile work
Recordkeeping and
Relations
environment
Reporting Obligations
Discrimination in Discrimination in employment (e.g.
Student Matters
recruiting, terms, conditions,
(e.g. assessment,
advancement, discipline, termination)
discipline, housing)
Athletics
Compensation
Leaves
Overtime/Overload Recruiting &
Hiring
Recruiting
Amateurism
Eligibility
Camps and
Financial Aid
Academic
Integrity
Extra Benefits
Gambling
Season Control
Institutional
Control
Personnel
Student Athlete and
Institutional
Misconduct
Page 1
Sheri Stone
K. Hanson
Kevin Dostal
Dauer
TC/S
K. Hanson
Crookston
Contact
Renee
Mulcahy
Duluth
Contact
Tim Caskey
Brenda
Herzig
Morris
Contact
Sarah
Mattson
Rochester Compliance
Contact
Risk Area
EOAA (not
Gail Sauter Privacy
(Employment)
HIPAA)
Mark Huglen Linda
Deneen
LeAnn
Dean
N/A
Copyright
TBD
TBD
System
Global
Programs &
Strategy
Sue Van
Voorhis
Melissa
Dingmann
Brenda
Herzig
Jill
System
Beauregard
S
K. Hanson
TBD
S
S
S
Compliance
Partner
Kim Hewitt
Susan
McKinney
S
Compliance Partners and Associated Risks
Responsible
VP
K. Albert
Doug
Peterson
B. Herman
Sarah
Waldemar
N/A
N/A
N/A
N/A
Donna
Larson
TBD
N/A
System
TC
Gary
Christenson
S
K. Hanson
T:/ Department/ Compliance/ Packet for New Compliance Partners and VPs
Representative Compliance Issues
Student Records
Employee
Medical/ Disability
Records
Records (patients/
Personal Financial Data Retention & research subjects)
Information
Destruction
Protecting
University
Required Oversight/
University rights
License
Notices
Granting
Obtaining
Permissions
Permissions
Student Visa
SEVIS Reporting Employee Visa
Regulations
Obligations
Obligations
Tax Obligations
Immigration
Liability
Contracting
Tax
Waivers
Insurance
Accreditation
State Dept.
Requirements
International
campuses
Hiring international
employees
Awards/
Disbursements
Student Eligibility/
Oversight Obligations
Billing
Regulations
Reconciliation &
Reporting
Adjustments
Billing
Post Award
Requirements
Allowable Costs
Subrecipients
Collections
Regulatory
Review and
Approvals
Propriety Information
Requirements
Accounting &
Reporting
Obligations
Institutional
Eligibility
Boynton Health Record Retention
Service
Service Provided
Coding
Pre-Award
Grant
Administration Requirements
Effort Reporting
Cost sharing/
Matching
Export
Controls/Foreign
Nationals
Student
Finance
Patient Financial
Assurance/ Eligibility
Accounts Receivable
Financial Reporting
Cash Management
Indirect Cost
Page 2
Sarah
Waldemar
Donna
Larson
TBD
N/A
System
Grant
Administration
Rochester
Contact
Gail Sauter
System
Compliance
Risk Area
EOAA
(Employment)
Technology
Transfer
S
B. Herman
Sarah
Waldemar
B. Herman
Sarah
Waldemar
TC/S
B. Herman
Crookston
Contact
Becky
Lowery,
Anna
McDonough
TBD
Duluth
Contact
Tim Caskey
Vince
Magnuson
Morris
Contact
Sarah
Mattson
N/A
TBD
Dale
N/A
Livingston
Animal
Research
System
Human
Subjects
Research
S
Compliance
Partner
Kim Hewitt
Sarah
Waldemar
SS
Compliance Partners and Associated Risks
Responsible
VP
K. Albert
B. Herman
N/A
S
Soo-Yin Lim- TBD
Thompson
May Thao
B. Jackson
Tom
Messervey
B. Jackson
Lori Ketola
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
CommunityUniversity
Health Care
Center
(CUHCC)
Dental Clinic
Stacey
Grunewald
Tim Caskey Henry
Fulda
Andrew
Wilson
Privacy
(HIPAA)
S
TC
TC
B. Jackson
T:/ Department/ Compliance/ Packet for New Compliance Partners and VPs
Propriety Information
Requirements
Representative Compliance Issues
Deliverables
Record Retention
Invention
Patents
Contract Performance
Disclosure &
Assessment
Disposition
Marketing
Contracting
Animal Protocols
Animal Welfare
IACUC Operations
Occupational
Health and Safety
Required Training
Identification of
covered research
Approvals and
Certification
Occupational
Health and Safety
Coding & Billing
Adjustments
Record Retention
Coding & Billing
Adjustments
Service Provided
HIPAA Privacy
Rule
Privacy notices
Lab Safety
Security
Required
Monitoring and
Review
Protocol Review
IRB Operations
Security
Required
Oversight and
monitoring
Accounts
Receivable
Documentation
Required Training
Controlled Substances
(in animal Research)
Documentation
Adverse Event &
other Reporting
Subject recruiting/
Informed Consent
Patient Financial
Assurance/ Eligibility
Reconciliation & Patient Financial
Reporting
Assurance/ Eligibility
Record Retention Accounts Receivable
Protection of covered health information
Page 3
TC/S
Barbara
Keinath
Duluth
Morris
Contact
Contact
Tim Caskey Sarah
TBD
Roger
Mattson
Wareham
Rochester Compliance
Contact
Risk Area
EOAA of
Gail Sauter Conflict
(Employment)
Interest
TBA
TBD
TBD
System
System
System
System
System
TBD
TBD
TBD
TBD
N/A
N/A
N/A
N/A
Tom Feiro
Laura Lott
Dale
System
Livingston
S
Crookston
Contact
S
Compliance Partners and Associated Risks
Responsible Compliance
VP
Partner
K. Phenix
Albert
Kim
A.
TBDHewitt
Suzanne
Paulson
Mike Volna
(interim)
Kelly Farmer
B. Gulachek
(interim)
Brian Dahlin
B. Gulachek
(interim)
Brian Dahlin
Mike
Berthelsen
(interim)
Ken Kerns
IT Security
S
TC
S
S
Mike Volna
(interim)
Representative Compliance Issues
Individual &
Management Plan Panel Operations
Institutional
Development
Conflicts of Interest
Annual Disclosures
Cash Draws
Internal Sales
Purchasing Card
Fiscal
Cash & Credit
Allowability of
Accounts Receivable
(purchasing,
Accounts Payable
Expenses
disbursements, Cards
Record Security
External Sales
Employee
etc)
Financial Reporting Purchasing
Property (Inventory,
(doesn't include tracking, reporting)
System Controls
Gifts
contract mgmt)
Bond/ Debt Mgmt Payroll
Unrelated Business
Tax
Benefit Plans
State Taxes
Employee
Fringe Benefits
Tax Reporting
Reimbursement
Obligations
(accountable plans)
Internet File
Digital Millenium Copyright Act
Copyright
Sharing
Environmental Chemical Safety
Health & Safety
S
Ken Kerns
S
Mike
Berthelsen
(interim)
Betty
Kupskay
Betty
Kupskay
Betty
Kupskay
T:/ Department/ Compliance/ Packet for New Compliance Partners and VPs
N/A
IT Security
Breaches
Biosafety &
Biosecurity)
Radiation
Protection
Controlled
Substances
MERTKA
Select Agents and
Toxins
Infectious Agents
and Biohazards
E-Mail Security
IT Security
HIPAA Security
Infrastructure
Rule
Technology
Infection &
Hazardous Waste
Biohazard
Control
Workplace Safety Storm Water Mgmt
Property
Assessment
Food Safety
Artificial Gene
Transfer
IBC Operations &
Recordkeeping
Personal Protective
Equipment
Air Quality
Export Controlled
Materials
Recombinant DNA
Page 4
Mike
Berthelsen
(interim)
Ken Kerns
Mike
Berthelsen
(interim)
Matt Clark
S
Compliance
Partner
Kim Kerns
Hewitt
Ken
TC/S
Compliance Partners and Associated Risks
Responsible
VP
K. Albert
Mike
Berthelsen
(interim)
Jim
Hilgendorf
Betty
Kupskay
Duluth
Contact
Tim Caskey
Jim
Hilgendorf
Betty
Kupskay
Morris
Contact
Sarah
Jim
Mattson
Hilgendorf
Betty
Kupskay
Rochester
Contact
Gail Sauter
Jim
Hilgendorf
Betty
Kupskay
Tom Fiero
Laura Lott
Dale
System
Livingston
Gary
Willhite
Gary
Willhite
Sean Huls
Jennifer
Lund
TJ Ross
N/A
N/A
Kristina
Michela
N/A
N/A
TC
TC
TC S
Ken Kerns
Crookston
Contact
Jeremy
Leiferman
Will
Harmon
Laurie
Scheich
TC
TC
Laurie
Scheich
T:/ Department/ Compliance/ Packet for New Compliance Partners and VPs
Compliance
Risk Area
Representative Compliance Issues
EOAA
Building Codes Building & Fire Codes
(Employment)
OSHA Reporting BSL-3 training
Occupational Hearing
Conservation
Bloodborne
Animal Allergen
Health & Safety
Research Occ
Pathogen
Exposure
Health
Exposure
Respiratory Protection
Drug & Alcohol
Program
Testing
Fire Preparedness Biological Safety Electrical Safety
Workplace
Chemical Safety
Confine Spaces Hoist & Rigging
Safety
Hazardous Waste Use of Property & Powered Industrial
Trucks
Equipment
Fall Protection
Reporting &
Personal Protective
Lockout/Tagout
Recordkeeping
Equipment
Emergency
Campus Security Continuity of
Public Safety
Planning
Operations
Security (students Staffing Controls Discipline
Housing /
Residential Life & campers)
Health & Safety
Fiscal Controls
(students &
campers)
Required inspections,
Dining Services Food Acquisition Food Handling
Food Storage
Staffing Controls certifications, licenses
Page 5