Policy 2710: Fines and Penalties for Violations of OSHA, EPA and Similar Regulations

Subject Area: Miscellaneous
Responsible Office: Risk Management, Audit and Safety
Sponsor: AVP Office of Risk Management, Audit and Safety
Originally Issued: November 2011
Revised: N/A
Refer Questions To: Office of Risk Management, Audit and Safety

Purpose: The purpose of this policy is to establish responsibility for payment of fines and/or penalties levied by Federal, State or Municipal environmental and safety-related regulatory bodies as a result violations of environmental and safety related rules and regulations.


  1. Payment of fines and penalties assessed by Federal, State or Municipal regulatory bodies is the responsibility of the unit or department responsible for the infraction. Example: Although a unit is aware that employees doing certain work must wear safety glasses, the unit does not enforce the requirement. After an incident, OSHA levies a fine for noncompliance. In this case, the unit is responsible for paying the fine.
  2. If issuance of fines or penalties is the direct result of the University’s failure to provide programming or the infrastructure to ensure compliance, the unit or department will not be responsible. Example: the University overlooks filling an application for a required permit for the use of certain hazardous material, and the State levies a fine. In this case, the University pays the fine.
  3. Scope:

    This policy applies to fines and/or penalties levied against the University of Chicago for failure to comply with environmental and safety related rules and regulations promulgated by, but not limited to:
    • The Occupational Safety and Health Administration;
    • Federal and State Environmental Protection Agencies;
    • Federal and State Departments of Transportation;
    • Federal and State Nuclear Regulatory Commission;
    • Chicago Fire Department; and
    • Chicago Department of Public Health.
  4. Payment Process:

    Payment of fines and/or penalties shall be in accordance with the policies and procedures set forth by the regulatory body fining or penalizing the University of Chicago. The Office of Risk Management, Audit and Safety will arrange for payment and will request reimbursement from the unit or department, if appropriate.