Compliance Directory

This directory lists key compliance obligations or risk areas, and the university officer(s) with related duties or expertise.  The Chief Compliance Officer has overall responsibility for William & Mary’s Compliance Program, working closely with Internal Audit, University Counsel, and Human Resources.    University Counsel, Assistant Attorney General Deborah Love, provides legal advice on the full range of compliance issues.  

Compliance Area/Risk

W&M Officer or Office with Related Responsibilities or Expertise*

Accounting and ARMICS (Agency Risk Management and Internal Control Standards)

Cindi L. Fellows, College ARMICS Compliance Officer – compliance with financial reporting requirements and associated laws and regulations, stewardship of state assets

ADA/Rehabilitation Act -- disability-based discrimination in employment

  • Kiersten Boyce, Chief Compliance Officer, ADA/Rehabilitation Act Coordinator
  • David Gilbert, Interim Director of Disability Services  – responsible for accommodation requests for or relating to students
  • Chon Glover, Chief Diversity Officer, and Sharron Gatling, Assistant Director of Equal Opportunity – responsible for accommodation requests for or relating to employees/applicants

ADA Title III – Public accommodation

  • Wayne Boy, Facilities Planning, Design and Construction – facilities accessibility and compliance with Americans with Disabilities Act Accessibility Guidelines in design and construction
  • Robert Dillman, Building Official – compliance with Virginia Uniform Statewide Building Code

Affirmative Action (employment)

Chon Glover, Chief Diversity Officer – preparation of Affirmative Action Plans and Diversity Plans

Clery Act

See also "Title IX" (the Violence Against Women Reauthorization Act, also referred to as the "SaVE Act," incorporated certain Title IX-related obligations into the Clery Act)

  • Donald Challis, Chief of W&M Police – reporting of incidents and production of Annual Safety Report
  • Ginger Ambler, Vice President for Student Affairs – timely warnings to campus of campus threats and oversight of sexual assault prevention programs
  • Anna Martin, Vice President for Administration  and Chair of Emergency Management Team – emergency preparedness, emergency notifications
  • Kiersten Boyce, Chief Compliance Officer – assistance with production of Annual Safety Report, training of Campus Security Authorities and oversight of Clery Act-related policies; Title IX Coordinator
  • Sandra Prior, Director of Environment, Health and Safety Office – fire safety and fire statistics

Conflicts of Interest

  • Office of the Provost – compliance with university policy on financial conflicts of interest
  • Office of Administration – compliance with State and Local Government Conflict of Interest Act (COIA) through processing of Statements of Economic Interest
  • Babs Bengston, Training Coordinator, Human Resources – coordination of Commonwealth-mandated COIA training
  • Deborah Love, University Counsel – legal advice on COIA and other conflicts issues
  • Dennis Manos,VP for Research and Graduate/Professional Studies, and Kiersten Boyce, Chief Compliance Officer – guidance on university policies relating to conflicts of interest

Construction and Building Occupancy

Robert Dillman, Building Official – ensures that Virginia Uniform Statewide Building Code requirements are met for all facility construction and renovation; issues building permits and occupancy certificates

Contracts

See also “Research Compliance”

  • Anna Martin, Vice President for Administration, and Gregory Johnson, Director of Procurement – compliance with state laws and university policies and procedures relating to contracts for procurement of goods and services, and eVA
  • Deborah Love, University Counsel – legal advice on and drafting of all types of contracts

Copyright

Jim Heller, Dean of the Law Library – guidance on compliance with university copyright policy, including advice to Carrie Cooper, Dean of University Libraries, Provost’s designee for advising on compliance with university copyright policy

Discrimination and Harassment

See ADA/Rehabilitation Act for disability, Title IX for sex-based discrimination

Discrimination-related services are shown on a chart produced by Compliance & Policy [pdf] 

Environmental Health and Safety

Sandra Prior, Director of Environment, Health and Safety Office – federal and state occupational safety, health and environmental quality regulations 

Export controls – ITAR, OFAC, and EAR

Jason McDevitt, Director, Technology Transfer – compliance with US export control laws and regulations and College policies and principles

Employee Benefits and Leave

Earleen O'Roark, Interim Associate Vice President for Human Resources, and Rita Metcalfe, Director of Benefits and Human Resources Administration – compliance with FMLA

Family Educational Rights and Privacy Act (FERPA)

  • Marjorie Thomas, Dean of Students – responsible for student conduct and other records
  • Sarah L. Marchello, University Registrar – responsible for student transcripts and other academic records

Financial Aid

Edward Irish, Director of Financial Aid – compliance with federal regulations governing financial aid

Fair Labor Standards Act (FLSA)

Earleen O’Roark, Associate Vice President for Human Resources, and Julie Hunt, Director of Classification and Compensation – compliance with FLSA in compensation

Freedom of Information Act (FOIA)

  • Lillian Stevens, FOIA Officer, Office of Strategic Initiatives – processes records requests in accordance with university policy
  • Michael J. Fox, Secretary to the Board of Visitors – assists Board of Visitors with compliance with public meeting requirements
  • Deborah Love, University Counsel – advises the Board on compliance with public meeting requirements and on responses to FOIA requests

Immigration 

  • Stephen Sechrist, Director of International Students, Scholars, and Programs
    • Student and Exchange Visitor Information System (SEVIS) for students and scholars in F-1 and J-1 status
    • Immigrant and non-immigrant employment-based sponsorship of employees, including related regulations for Departments of Homeland Security, State, and Labor
  • Lynn Riggs, Office of Human Resources – compliance with I-9 requirements
  • Sara L. Marchello, University Registrar – compliance with Commonwealth domicile requirements

Intellectual Property

See also “Copyright” and “Trademark”

Dennis Manos, VP for Research and Graduate/Professional Studies, and Jason McDevitt, Director of Technology Transfer Office – faculty intellectual property and technology transfer

Insurance – Commonwealth Risk Management Plan

Kristen Fagan, Risk Manager, Office of Administration – responsible for processing of claims on the Risk Management Plan

NCAA

Claire Leatherwood, Director of Compliance, Athletics – compliance with NCAA rules and regulations, reporting

OSHA (Occupational Safety and Health Act)

Sandra Prior, Director of Environment, Health and Safety Office

Privacy (for student privacy rights, see “FERPA”)

Kiersten Boyce, Chief Compliance Officer – assistance relating to university policies and procedures relating to privacy, such as acceptable use policy

Procurement – see “Contracts”

 

Records Management (including destruction and retention)

Steve Bookman, Swem Library – compliance with Virginia Public Records Act and associated records retention schedules   

Research compliance

See also “Export Controls” and “OSHA”

  • Dennis Manos, VP for Research and Graduate/Professional Studies – compliance with federal regulations related to university research, such as research involving human subjects, radioactive materials, and vertebrate animals. 
    • Office of Sponsored Programs
    • Research compliance committees – compliance with specific compliance obligations such as research involving human subjects

Tax

Cindi Fellows, University Tax Accountant, Office of Tax Accounting – responsible for identifying, researching and developing tax policies compliant with federal, state and local regulations

Threat Assessment

Anna Martin, Vice President for Administration, Chair of the Campus Assessment and Intervention Team and Violence Prevention and Education Committee.

Title IX

  • Kiersten Boyce, Title IX Coordinator
  • Marjorie Thomas, Dean of Students and Deputy Title IX Coordinator – oversees processing of reports of sexual violence committed against students and other student-related Title IX matters

Travel

Ruth Gilliam, Director, General Accounting, Accounts Payable Office – ensuring that travel expenses are reimbursed in compliance with Commonwealth travel regulations

Trademark – protection of W&M marks

Diana Tennis, University Licensing Officer – protection and licensing of W&M registered trademarks and compliance with university insignia use policy

Violence Against Women Reauthorization Act (VAWA) -- see "Clery Act" and "Title IX"

Wages – see "FLSA"

 

Workers Compensation

Rita Metcalfe, Office of Human Resources

Carole Shaver, Return to Work Coordinator, Office of Human Resources