Compliance Accountability Matrix
As a large research and teaching institution, Boston University is subject to many federal, state and local laws. The Compliance Accountability Matrix lists the federal and state compliance obligations applicable to institutions of higher education and identifies the senior leaders (Compliance Area Owner) and departments and individuals (Operational Owners) with primary responsibility for the University’s most significant areas of compliance obligations. Contact information for each area is available through an Internal Compliance Accountability Matrix for the BU Community.
- Operational Owners and members of their team are typically responsible for:
- developing and implementing policies and procedures to enable compliance with the regulations;
- implement corrective actions when necessary;
- communication and training on compliance issues;
- maintaining required documentation (e.g., of training completed) to demonstrate compliance;
- using feedback (audits, findings from enforcement agencies) to make improvements and take corrective action as appropriate; and
- providing updates to the relevant Compliance Area Owner or respective vice president/associate provost about compliance issues requiring attention.
- Compliance Area Owners are responsible for oversight of the regulations and compliance activities they oversee.
To search the table below:
- Sort by Area, Owner, or Source of Obligation by clicking the column header to sort by that field. Click again to reverse the sort order;
- Search the entire matrix by typing a keyword or phrase in box below; or
- Press CNTRL and F simultaneously on your keyboard and type a keyword or phrase in the box that appears on your computer screen, then press enter for results.
Compliance Area & Organizational Area |
Compliance Area Owner | Operational Owner(s) | Related BU Websites | Examples of Sources of Compliance Obligations |
---|---|---|---|---|
Academic Administration | University Provost and Chief Academic Officer |
|
Office of the University Provost | Accreditation, Strategic Plan |
Academic Programs – Graduate | University Provost and Chief Academic Officer |
|
Academics |
|
Academic Programs – Undergraduate | University Provost and Chief Academic Officer |
|
Academics |
|
Athletics | Vice President and Chief of Staff to the President |
|
Athletics | Title IX, NCAA requirements, Patriot League requirements, Recruiting and Prospective Student Athletes |
Broadcast Licensed Activities | Board of Directors |
|
WBUR | FCC Regulations, Corporation for Public Broadcast requirements |
Campus Planning & Operations Auxiliary Services – Arena | Senior Vice President for Operations |
|
Licensing, permitting and inspections for events, liquor, and parking lots | |
Campus Planning & Operations Auxiliary Services – Dining | Senior Vice President for Operations |
|
Dining Services | Licensing, permitting and inspections for dining, Terrier card, and campus vending |
Campus Planning & Operations Auxiliary Services – Events | Senior Vice President for Operations |
|
Events & Conferences | Licensing, permitting and inspections for events, liquor, and parking lots |
Campus Planning & Operations Auxiliary Services – Fitness and Recreation | Senior Vice President for Operations |
|
FitRec | |
Campus Planning & Operations Auxiliary Services – Housing | Senior Vice President for Operations |
|
Housing | Licensing, permitting and inspections for housing |
Campus Planning & Operations Auxiliary Services – Transportation | Senior Vice President for Operations |
|
Parking & Transportation Services | |
Campus Planning & Operations Real Estate and Facility Services – Building Construction | Senior Vice President for Operations |
|
Construction Services | |
Campus Planning & Operations Real Estate and Facility Services – Campus Development | Senior Vice President for Operations |
|
Campus Planning & Operations | |
Campus Planning & Operations Real Estate and Facility Services – Facility Management (operations and maintenance) | Senior Vice President for Operations |
|
Campus Planning & Operations | Zoning and planning approvals; environmental impact and permits; certificates of use and occupancy; building codes permits; inspections; lead paint regulations; emissions |
Campus Planning & Operations Real Estate and Facility Services – Property Management (leasing) | Senior Vice President for Operations |
|
Real Estate | |
Campus Safety | Senior Vice President for Operations |
|
Safety Website | Clery Act, Police |
Continuous Improvement & Data Analytics | Senior Vice President for Financial Affairs, Chief Financial Officer, and Treasurer |
|
Continuous Improvement & Data Analytics (CIDA) | Continuous Improvement, Data Analytics |
Data Governance, Access and Use | Vice President and Chief Information Officer |
|
Data Access and Use | |
Development & Alumni Relations – Alumni & Friends | Senior Vice President, Development and Alumni Relations |
|
Development & Alumni Relations | Credit Card Accountability Responsibility and Disclosure Act; HEOA reporting requirements; state registration; tax benefits; telemarketing laws |
Disabilities Facilities | Senior Vice President for Operations |
|
Disability & Access Services – Campus Accessibility | Americans with Disabilities Act; Section 504 of Rehabilitation Act |
Disabilities Faculty | University Provost and Chief Academic Officer |
|
Americans with Disabilities Act; Section 504 of Rehabilitation Act | |
Disabilities Staff | University Provost and Chief Academic Officer |
|
Americans with Disabilities Act; Section 504 of Rehabilitation Act | |
Disabilities Students | University Provost and Chief Academic Officer |
|
Disability & Access Services – Students | Americans with Disabilities Act; Section 504 of Rehabilitation Act |
Diversity and Inclusion Faculty | University Provost and Chief Academic Officer |
|
Diversity at Boston University | |
Diversity | University Provost and Chief Academic Officer |
|
Office of the Senior Diversity Officer | |
Emergency Management | Senior Vice President Operations |
|
Emergency Management | Disaster and emergency planning, emergency management, Active shooter incident preparedness, Shelter in place, evacuation, severe weather, Incident Command Team |
Enrollment and Financial Aid | University Provost and Chief Academic Officer |
|
Enrollment and Student Administration | HEOA; Title IV; Student Right to Know Act; federal loan programs; affirmative action; FERPA |
Financial Affairs | Senior Vice President for Financial Affairs, Chief Financial Officer, and Treasurer |
|
Office of the Controller | PCI; Social Security; Tuition Payment Credit Reporting; VPMIFA |
Financial Affairs Debt & Treasury Management |
Senior Vice President for Financial Affairs, Chief Financial Officer, and Treasurer |
|
Debt & Treasury Management | Operating Funds Management, Forecasting University Cash, Debt Issuance; Debt Portfolio Management |
Financial Affairs Payroll | Senior Vice President for Financial Affairs, Chief Financial Officer, and Treasurer |
|
||
Financial Affairs – Research | Senior Vice President for Financial Affairs, Chief Financial Officer, and Treasurer |
|
||
Financial Affairs – Research | Senior Vice President for Financial Affairs, Chief Financial Officer, and Treasurer |
|
||
Financial Affairs – Research | Senior Vice President for Financial Affairs, Chief Financial Officer, and Treasurer |
|
||
Governance University-wide | Vice President, General Counsel, and Secretary of the Board of Trustees |
|
Conflict of Interest; Federal Sentencing Guidelines; Form 990; political activities; SOX | |
Governance Faculty | University Provost and Chief Academic Officer |
|
Faculty Handbook Bylaws | |
Healthcare Compliance | University Provost and Chief Academic Officer |
|
HIPAA at BU | False Claims Act; Anti-Kickback statues; Exclusionary rule; MA Law |
Health Privacy and Security | University Provost and Chief Academic Officer |
|
HIPAA at BU | HIPAA |
Health Services Employees | Senior Vice President for Financial Affairs, Chief Financial Officer, and Treasurer |
|
Occupational Health Center | |
Health Services Students | University Provost and Chief Academic Officer |
|
||
Human Resources Faculty – Benefits | Senior Vice President for Operations |
|
HR – Benefits | |
Human Resources Faculty – General | University Provost and Chief Academic Officer |
|
Faculty Affairs – Provost’s Office | |
Human Resources Staff | Senior Vice President for Operations |
|
Human Resources | ADA; age discrimination; Cafeteria Plans; Civil Rights Act; COBRA; Consumer Credit Protection Act; deferred compensation; DOL poster requirements; Equal Pay Act; ERISA; FLSA; FMLA; National Labor Relations Board (NLRB) regulations; union contract terms; WARN |
Human Resources Staff – Benefits | Senior Vice President for Operations |
|
HR – Benefits | |
Human Resources Staff – Discrimination | University Provost and Chief Academic Officer |
|
Equal Opportunity Office | |
Human Resources Unions | Senior Vice President for Operations |
|
HR – Labor Relations | |
Immigration Staff | University Provost and Chief Academic Officer |
|
ISSO Staff Information Page | Enhanced Border Security and Visa Entry Reform Act; Immigration and Nationality Act; USCIS Form I-129 |
Immigration Students, Scholars and Academic and Research Staff | University Provost and Chief Academic Officer |
|
International Students and Scholars Office | Enhanced Border Security and Visa Entry Reform Act; Immigration and Nationality Act; USCIS Form I-129 |
Institutional Research | Vice President and Chief Information Officer | Analytical Services & Institutional Research | ||
Internal Audit & Advisory Services | Senior Vice President for Financial Affairs, Chief Financial Officer, and Treasurer |
|
Internal Audit & Advisory Services | |
Information Security, Technology, and Privacy | Vice President and Chief Information Officer |
|
GDPR, Gramm-Leach Bliley Act; 93H; DMCA; HIPAA Security | |
Intellectual Property and Technology Transfer | University Provost and Chief Academic Officer |
|
Technology Development Office | Bayh-Dole; CREATE Act |
International Activities | University Provost and Chief Academic Officer |
|
Global Programs | FCPA; Foreign Agents Registration Act |
Investment Management | Chief Investment Officer |
|
CFO & Treasurer Office | Uniform Prudent Management of Institutional Funds Act; OFAC; securities law |
Libraries | University Provost and Chief Academic Officer |
|
BU Libraries | |
Lobbying and Government Relations | Senior Vice President External Affairs |
|
Honest Leadership and Open Government Act | |
Online and Distance Education | University Provost and Chief Academic Officer | BU Online | BU Virtual, State Authorization, Online Learning, Clinical Placements, Experiential Learning, Web accessibility | |
Protection of Minors | Senior Vice President for Operations |
|
Protecting Minors – Safety website | Massachusetts regulations re recreational camps; reporting requirements re neglect and abuse, compliance with BU’s Protection of Minors Policy |
Research Animal Care | University Provost and Chief Academic Officer |
|
Animal Care and Use – Research Support | Animal Welfare Act |
Research Biosafety | University Provost and Chief Academic Officer |
|
Research Safety – Research Support | |
Research Compliance/Research Support | University Provost and Chief Academic Officer |
|
Research Support | NIH and agency guidelines; Boston Public Health Commission; chemical, biological, and radioactive waste; export controls; hazardous waste; OSHA; responsible conduct of research; research misconduct; Common Rule |
Research Conflict of Interest | University Provost and Chief Academic Officer |
|
Financial Conflicts of Interest – Research Support | |
Research Dive Safety | University Provost and Chief Academic Officer |
|
Scientific Diving and Small Boat Safety – Research Support | |
Research Environmental Management | University Provost and Chief Academic Officer |
|
EH&S – Research Support | |
Research Export Controls | University Provost and Chief Academic Officer |
|
Export Control – Research Support | |
Research Human Subjects | University Provost and Chief Academic Officer |
|
Human Subjects – Research Support | |
Research Lab Safety | University Provost and Chief Academic Officer |
|
Laboratory Safety – Research Support | |
Research NEIDL – National Emerging Infectious Diseases Laboratories | University Provost and Chief Academic Officer |
|
NEIDL Website | |
Research Occupational Health | University Provost and Chief Academic Officer |
|
Research Occupational Health Program – ROHP | |
Research Office of Research – Research Administration | University Provost and Chief Academic Officer |
|
Office of Research-Sponsored Programs | False Claims Act; OMB Uniform Guidance; A-133 audits; clinical trials; grant and contract terms and conditions; subcontracts |
Research Office of Research – Sponsored Programs – Compliance/Effort Reporting |
University Provost and Chief Academic Officer |
|
Office of Research-Sponsored Programs | |
Research Office of Research – Sponsored Programs Research Accounting |
University Provost and Chief Academic Officer |
|
Office of Research-Sponsored Programs | |
Research Office of Research – Sponsored Programs – Service Center Administration |
University Provost and Chief Academic Officer |
|
Office of Research-Sponsored Programs | Sponsored Programs and Service Center Administration |
Research Radiation Safety | University Provost and Chief Academic Officer |
|
Radiation Safety – EH&S | |
Research Research Misconduct | University Provost and Chief Academic Officer |
|
Research Integrity | |
Research Responsible Conduct | University Provost and Chief Academic Officer |
|
Responsible Conduct of Research – Research Support | |
Risk Management and Insurance | Senior Vice President for Financial Affairs, Chief Financial Officer, and Treasurer |
|
Risk Management Office | |
Sexual Misconduct and Discrimination | University Provost and Chief Academic Officer |
|
Sexual Misconduct – Safety website | DOE Dear Colleague Letters; Title IX; Violence Against Women Act |
Sourcing and Procurement
Procure-to-Pay Services |
Senior Vice President for Financial Affairs, Chief Financial Officer, and Treasurer |
|
Procure-to-Pay Services | Anti-kickback regulations; Byrd Amendment; OMB Uniform Guidance |
Student Affairs Student Life |
University Provost and Chief Academic Officer |
|
Dean of Students | The Community Service Center, Disability and Access Services, the Howard Thurman Center for Common Ground, Judicial Affairs, the LGBTQIA+ Student Resource Center, Orientation, Parent and Family Programs, Residence Life, Student Activities, and Student Outreach and Engagement |
Sustainability | Senior Vice President for Financial Affairs, Chief Financial Officer, and Treasurer |
|
Sustainability | |
Tax | Senior Vice President for Financial Affairs, Chief Financial Officer, and Treasurer |
|
Office of the Controller | Form 990; Internal Revenue Code; international tax compliance; tax exempt bonds; UBIT |
For more information or assistance, contact Compliance Services.
This page was last updated August 2, 2024.