Actions of Regulatory Agencies

Purpose

The purpose of this procedure is to familiarize the campus community with the possible actions of regulatory agencies.

Scope and Applicability

This document applies to all university employees.

Policy Statement

University of Tennessee (UT) personnel shall comply with federal, state, and local laws, regulations and codes that address potential health and safety hazards. UT personnel shall cooperate with the agencies that regulate and enforce such laws, regulations and codes in a continuing effort to enhance safety. Appendix A below lists the various regulatory agencies and quasi-regulators (e.g. insurance companies) who may conduct site visits.

Roles and Responsibilities

Deans, Directors, and Department Heads

University managers are responsible for ensuring that all activities within their area of responsibility are carried out in accordance with applicable federal, state, and local laws, regulations and codes.

Employees

University employees are responsible for having a working knowledge of and adhering to federal, state and local laws, and regulations/codes pertaining to their assigned duties.

Environment, Health and Safety

• Coordinate the distribution, interpretation and response to federal, state, and local laws and regulations/codes regarding health, safety and environmental protection on a campus-wide basis. Internet links from the EHS site to these regulations may be used in lieu of written copies.
• Serve as the UT representative during visits and/or inspection by select regulatory agencies.
• Make recommendations to the UT administration for action(s) required to meet regulatory requirements.
• Develop policies, procedures, written plans or guidance documents in response to request or requirements from regulatory agencies.
• Immediately report any criticisms, citations, adverse findings or penalties by regulatory officials to the appropriate managers or administration. This information may be communicated by phone or e-mail.
• Inform the administration when a regulator is on site or expected to visit a UT-operated facility.
• Cooperate fully, but not volunteer additional information (including documents), when requested by regulatory agencies.
• Inspections routinely generate a list of items to be addressed. EHS shall submit the list of items to the appropriate individual or department for corrective action. EHS may generate an official response to these inspecting agencies following approval from administration.

Records

EHS shall maintain a record of activities including inspection reports from regulatory agencies for at least three years.

Appendices

Appendix A: List of Possible Federal, State and Local Government agencies that may conduct site inspections on campus.

References

None

Disclaimer

The information provided in this program is designed for educational use only and is not a substitute for specific training or experience.

The University of Tennessee Knoxville and the authors of this program assume no liability for any individual’s use of or reliance upon any material contained or referenced herein. The material contained in this program may not be the most current.

This material may be freely distributed for nonprofit educational use. However, if included in publications, written or electronic, attributions must be made to the author. Commercial use of this material is prohibited without express written permission from the author.