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: 

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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
  • Vice President and Associate Provost for Academic Budgets & Planning
  • Associate Provost, Special Projects & Emerging Priorities
  • Deans
 Office of the University Provost Accreditation, Strategic Plan
Academic Programs – Graduate University Provost and Chief Academic Officer
  • Associate Provost Graduate Affairs
  • Vice President and Associate Provost for Academic Budgets & Planning
  • Associate Vice President for Graduate Enrollment Management and Career Services
  • Deans
 Academics
  • Accreditation
  • Graduate enrollment (including marketing, recruitment, admission, and operational systems)
Academic Programs – Undergraduate University Provost and Chief Academic Officer
  • Associate Provost for Undergraduate Affairs
  • Deans
 Academics
  • Accreditation
Athletics Vice President and Chief of Staff to the President
  • Director of Athletics
  • Senior Associate Director of Athletics
  • Senior Associate Director of Athletics – Internal Operations
  • Senior Associate Director of Athletics  – External Operations
  • Associate Athletic Director
    Compliance
 Athletics 

Athletics Compliance

 Title IX, NCAA requirements, Patriot League requirements,  Recruiting and Prospective Student Athletes
Broadcast Licensed Activities Board of Directors
  • Chief Executive Officer, WBUR
 WBUR FCC Regulations, Corporation for Public Broadcast requirements
Campus Planning & Operations Auxiliary Services – Arena Senior Vice President for Operations
  • Vice President Auxiliary Services
  • General Manager Arena Administration
 Licensing, permitting and inspections for events, liquor, and parking lots
Campus Planning & Operations Auxiliary Services – Dining Senior Vice President for Operations
  • Vice President Auxiliary Services
  • ad interim Associate Vice President
    Auxiliary Services
  • Director Dining Services (Aramark)
 Dining Services Licensing, permitting and inspections for dining, Terrier card, and campus vending
Campus Planning & Operations Auxiliary Services – Events Senior Vice President for Operations
  • Vice President Auxiliary Services
  • General Manager Events and Conferences
 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
  • Vice President Auxiliary Services
  • Executive Director Fitness and Recreation
 FitRec
Campus Planning & Operations Auxiliary Services – Housing Senior Vice President for Operations
  • Vice President Auxiliary Services
  • Associate Vice President
    Auxiliary Services
 Housing Licensing, permitting and inspections for housing
Campus Planning & Operations Auxiliary Services – Transportation Senior Vice President for Operations
  • Vice President Auxiliary Services
  • Director Parking and Transportation Services
 Parking & Transportation Services
Campus Planning & Operations Real Estate and Facility Services – Building Construction Senior Vice President for Operations
  • Vice President for Campus Planning and Operations
  • Associate Vice President for Planning, Design & Construction
 Construction Services
Campus Planning & Operations Real Estate and Facility Services – Campus Development Senior Vice President for Operations
  • Vice President for Campus Planning and Operations
  • Associate Vice President for Planning, Design & Construction
 Campus Planning & Operations
Campus Planning & Operations Real Estate and Facility Services – Facility Management (operations and maintenance) Senior Vice President for Operations
  • Vice President for Campus Planning and Operations
  • Associate Vice President for Facilities Management and 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
  • Vice President for Campus Planning and Operations
  • Associate Vice President for Real Estate
 Real Estate
Campus Safety Senior Vice President for Operations
  • Chief Safety, Security and Preparedness Officer
  • Chief of Police
  • Vice President for Campus Planning and Operations
  • Emergency Management Director
 Safety Website Clery Act, Police
Community and Inclusion  University Provost and Chief Academic Officer
  • Associate Provost for Community & Inclusion
 Community & Inclusion
Continuous Improvement & Data Analytics  Senior Vice President for Financial Affairs, Chief Financial Officer, and Treasurer
  • Associate Vice President,
    Improvement & Data Analytics
  • Associate Director,
    Data Analytics
  • Manager,
    Strategy & Communications
  • Manager,
    Continuous Improvement
 Continuous Improvement & Data Analytics (CIDA) Continuous Improvement, Data Analytics
Data Governance, Access and Use Vice President and Chief Information Officer
  • Assistant Vice President of Data Governance and Institutional Research
  • Data Governance Program Manager
 Data Access and Use

About Data Governance at Boston University

BU Analytical Services & Institutional Research
Development & Alumni Relations – Alumni & Friends Interim Senior Vice President, Development and Alumni Relations
  • Interim Senior Vice President, Development and Alumni Relations
  • Vice President of Development
  • Vice President for Alumni Engagement
  • Associate Vice President, Advancement Resources and Strategic Talent Management
  • Associate Vice President, Foundation Relations
  • Associate Vice President, International Giving
  • Associate Vice President, School Development
  • Associate Vice President, Special Initiatives
  • Associate Vice President, Advancement Information Strategies
 Development & Alumni Relations

Alumni & Friends Leadership

 Credit Card
Accountability Responsibility and Disclosure Act; HEOA reporting requirements; state registration; tax benefits; telemarketing laws
Disabilities Facilities Senior Vice President for Operations
  • Associate Vice President for Facilities Management and Operations
 Disability & Access Services – Campus Accessibility Americans with Disabilities Act; Section 504 of Rehabilitation Act
Disabilities Faculty University Provost and Chief Academic Officer
  • Senior Associate Provost
 Americans with Disabilities Act; Section 504 of Rehabilitation Act
Disabilities Staff University Provost and Chief Academic Officer
  • Executive Director Equal Opportunity
 Americans with Disabilities Act; Section 504 of Rehabilitation Act
Disabilities Students University Provost and Chief Academic Officer
  • Dean of Students
  • Director of Disability Services
 Disability & Access Services – Students Americans with Disabilities Act; Section 504 of Rehabilitation Act
Emergency Management Senior Vice President Operations
  • Vice President for Campus Planning and Operations
  • Chief Safety, Security and Preparedness Officer
  • Chief of Police
  • Emergency Management Director
 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
  • Vice President and Associate Provost Enrollment and Student Affairs
  • Assistant Vice President & University Registrar
  • Director Financial Assistance
  • Associate Vice President and Executive Director Admissions
 Enrollment and Student Administration

Office of the University Registrar

 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
  • Associate Vice President for Financial Operations and University Controller
  • Associate Controller of Research Financial Operations
  • Assistant Vice President,
    Student Account Services
  • Associate Controller, Strategic Financial Initiatives
 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
  • Ad Interim Associate Vice President,
    Debt, Treasury & Risk Management
  • Assistant Vice President
    Financial Affairs
 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
  • Associate Vice President for Financial Operations and University Controller
  • Assistant Vice President of Payroll Services
  • Associate Controller,
    General Accounting & Financial Reporting
Financial Affairs – Research Senior Vice President for Financial Affairs, Chief Financial Officer, and Treasurer
  • Associate Vice President for Financial Operations and University Controller
  • Associate Controller of Research Financial Operations
Financial Affairs – Research Senior Vice President for Financial Affairs, Chief Financial Officer, and Treasurer
  • Associate Vice President for Financial Operations and University Controller
  • Assistant Director Facilities Cost Analysis
Financial Affairs – Research Senior Vice President for Financial Affairs, Chief Financial Officer, and Treasurer
  • Associate Vice President for Financial Operations and University Controller
  • Associate Controller of Research Financial Operations
Governance University-wide Vice President, General Counsel, and Secretary of the Board of Trustees
  • 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
  • Senior Associate Provost
 Faculty Handbook Bylaws
Healthcare Compliance University Provost and Chief Academic Officer
  • Director of Health Privacy and Compliance, BU HIPAA Privacy Officer
 HIPAA at BU False Claims Act; Anti-Kickback statues; Exclusionary rule; MA Law
Health Privacy and Security University Provost and Chief Academic Officer
  • Vice President and Associate Provost Research ad interim
  • Director of Health Privacy and Compliance, BU HIPAA Privacy Officer
  • BUMC Information Security Officer, BU HIPAA Security Officer
 HIPAA at BU HIPAA
Health Services Employees Senior Vice President for Financial Affairs, Chief Financial Officer, and Treasurer
  • Vice President and Associate Provost for Academic Budgets & Planning
  • Chief Health Officer and Executive Director, Student Health Services
  • Senior Director of Occupational Health, Occupational Health Center
  • Office email: buohc@bu.edu
 Occupational Health Center
Health Services Students University Provost and Chief Academic Officer
  • Vice President and Associate Provost for Academic Budgets and Planning
  • Chief Health Officer and Executive Director, Student Health Services
  • Executive Director of Student Wellbeing
Human Resources Faculty – Benefits Senior Vice President for Operations
  • Vice President for Human Resources
  • Executive Director Benefits
 HR – Benefits
Human Resources Faculty – General University Provost and Chief Academic Officer
  • Senior Associate Provost
 Faculty Affairs – Provost’s Office
Human Resources  Staff Senior Vice President for Operations
  • Vice President for Human Resources
 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
  • Vice President for Human Resources
  • Executive Director Benefits
 HR – Benefits
Human Resources Staff – Discrimination University Provost and Chief Academic Officer
  • Executive Director Equal Opportunity
 Equal Opportunity Office
Human Resources Unions Senior Vice President for Operations
  • Vice President for Human Resources
  • Executive Director of
    Employee & Labor Relations
 HR – Labor Relations
Immigration Staff University Provost and Chief Academic Officer
  • Vice President for Human Resources
 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
  • Vice President and Associate Provost for Academic Budgets and Planning
  • Vice President and Associate Provost Global Programs
  • Managing Director International Students and Scholars
 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
  • Assistant Vice President of Data Governance and Institutional Research
  • Director, Institutional Research
  • Data Governance Program Manager
 Analytical Services & Institutional Research
Internal Audit & Advisory Services Senior Vice President for Financial Affairs, Chief Financial Officer, and Treasurer
  • Associate Vice President for Internal Audit & Advisory Services
  • Associate Director, Audit & Advisory Services
  • Associate Director, IT Audit and Special Projects
  • Assistant Director, Data Analytics
 Internal Audit & Advisory Services
Information Security, Technology, and Privacy Vice President and Chief Information Officer
  • Executive Director Information Security
Intellectual Property and Technology Transfer University Provost and Chief Academic Officer
  • Vice President and Associate Provost Research ad interim
  • Managing Director Technology Development
 Technology Development Office
International Activities University Provost and Chief Academic Officer
  • Vice President and Associate Provost Global Programs
  • Managing Director, Global Partnerships and Support
  • Associate Director of Health, Safety & Security
  • Health, Safety, and Security Manager
  • Global HSS Team shared email
    		 Global Programs
    • Foreign Corrupt Practices Act (FCPA)
    • Foreign Agents Registration Act
    • International Travel
    Investment Management Chief Investment Officer
    • Chief Investment Officer
    		 CFO & Treasurer Office Uniform Prudent Management of Institutional Funds Act
    OFAC
    Securities law
    Libraries University Provost and Chief Academic Officer
    • University Librarian
    		 BU Libraries
    Lobbying and Government Relations
    • Vice President Federal Relations
    • Vice President Government and Community Affairs
    		 Honest Leadership and Open Government Act
    Online and Distance Education University Provost and Chief Academic Officer
    • Vice President and Associate Provost
      for BU Virtual
    • Associate Provost, Digital Learning and Innovation
    • Associate Provost for Undergraduate Affairs
    • Associate Provost Graduate Affairs
    • Dean, Metropolitan College & Extended Education
    		 BU Online

    BU Virtual

    Digital Learning & Innovation

    		 BU Virtual, State Authorization, Online Learning, Clinical Placements, Experiential Learning, Web accessibility
    Protection of Minors Senior Vice President for Operations
    • Vice President for Human Resources
    • Email: POM@bu.edu
    		 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
    • Vice President and Associate Provost Research ad interim
    • Associate Vice President Research Compliance
    • Director Animal Science Center
    		 Animal Care and Use – Research Support Animal Welfare Act
    Research Biosafety University Provost and Chief Academic Officer
    • Vice President and Associate Provost Research ad interim
    • Associate Vice President Research Compliance
    • Executive Director Environmental Health/Safety
    		 Research Safety – Research Support
    Research Compliance/Research Support University Provost and Chief Academic Officer
    • Vice President and Associate Provost Research ad interim
    • Associate Vice President Research Compliance
    		 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
    • Vice President and Associate Provost Research ad interim
    • Associate Vice President Research Compliance
    • Executive Director Research Compliance
    		 Financial Conflicts of Interest – Research Support
    Research Dive Safety University Provost and Chief Academic Officer
    • Vice President and Associate Provost Research ad interim
    • Associate Vice President Research Compliance
    • Scientific Diving Safety Officer (DSO)
    		 Scientific Diving and Small Boat Safety – Research Support
    Research Environmental Management University Provost and Chief Academic Officer
    • Vice President and Associate Provost Research ad interim
    • Associate Vice President Research Compliance
    • Executive Director NEIDL Research Compliance, Chief Safety Officer
    		 EH&S – Research Support
    Research Export Controls University Provost and Chief Academic Officer
    • Vice President and Associate Provost Research ad interim
    • Associate Vice President Research Compliance
    • Executive Director Research Compliance
    • Export Control Officer
    		 Export Control – Research Support
    Research Human Subjects University Provost and Chief Academic Officer
    • Vice President and Associate Provost Research ad interim
    • Associate Vice President Research Compliance
    • Executive Director Research Compliance
    • Provost Medical Campus
    • Director Human Research Affairs, Medical Campus
    		 Human Subjects – Research Support
    Research Lab Safety University Provost and Chief Academic Officer
    • Vice President and Associate Provost Research ad interim
    • Associate Vice President Research Compliance
    • Executive Director Research Compliance
    		 Laboratory Safety – Research Support
    Research NEIDL – National Emerging Infectious Diseases Laboratories University Provost and Chief Academic Officer
    • Vice President and Associate Provost Research ad interim
    • Associate Vice President Research Compliance
    • Executive Director Environmental Health and Safety
    • Executive Director, NEIDL Research Compliance & Chief Safety Officer
    • Director
      National Emerging Infectious Diseases Laboratories
    		 NEIDL Website
    Research Occupational Health University Provost and Chief Academic Officer
    • Vice President and Associate Provost Research ad interim
    • Associate Vice President Research Compliance
    • Medical Director
    		 Research Occupational Health Program – ROHP
    Research Office of Research – Research Administration University Provost and Chief Academic Officer
    • Vice President and Associate Provost Research ad interim
    • Associate Vice President Sponsored Programs
    • Assistant Vice President Post- Award
    • Assistant Vice President Sponsored Programs
    		 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
    • Vice President and Associate Provost Research ad interim
    • Associate Vice President Sponsored Programs
    • Assistant Vice President Post- Award
    • Assistant Director
      Compliance
    		 Office of Research-Sponsored Programs
    Research
    Office of Research –     Sponsored Programs Research Accounting    		 University Provost and Chief Academic Officer
    • Vice President and Associate Provost Research ad interim
    • Associate Vice President Sponsored Programs
    • Assistant Vice President Post- Award
    • Director
      Research Administration
    		 Office of Research-Sponsored Programs
    Research
    Office of Research –     Sponsored Programs – Service Center Administration    		 University Provost and Chief Academic Officer
    • Vice President and Associate Provost Research ad interim
    • Associate Vice President Sponsored Programs
    • Assistant Vice President Post- Award
    • Director
      Service Center Administration
    		 Office of Research-Sponsored Programs Sponsored Programs and Service Center Administration
    Research Radiation Safety University Provost and Chief Academic Officer
    • Vice President and Associate Provost Research ad interim
    • Associate Vice President Research Compliance
    • Executive Director Environmental Health/Safety
    		 Radiation Safety – EH&S
    Research Research Misconduct University Provost and Chief Academic Officer
    • Vice President and Associate Provost Research ad interim
    • Associate Vice President Research Compliance
    • Executive Director Research Compliance
    		 Research Integrity
    Research Responsible Conduct University Provost and Chief Academic Officer
    • Vice President and Associate Provost Research ad interim
    • Associate Vice President Research Compliance
    • Director Responsible Conduct of Research
    		 Responsible Conduct of Research – Research Support
    Risk Management and Insurance Senior Vice President for Financial Affairs, Chief Financial Officer, and Treasurer
    • Assistant Vice President, Risk Management
    • Director, Risk Management
    		 Risk Management Office
    Sexual Misconduct and Discrimination University Provost and Chief Academic Officer
    • Title IX Coordinator
    • Dean of Students
    • Assistant Dean and Director Judicial Affairs
    		 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
    • Associate Vice President and Chief Procurement Officer
    • Assistant Vice President, Procurement, Contracting, & Shared Services
    • Director, Sourcing
    • Senior Director, Payment Services
    		 Procure-to-Pay Services Anti-kickback regulations; Byrd Amendment; OMB Uniform Guidance
    Strategy and Innovation Senior Vice President, Strategy & Innovation
    • Vice President, Strategy & Innovation
    • Director, Strategy & Innovation
    		 Strategy and Innovation Internal Strategy; University-wide Initiatives
    Student Affairs
    Student Life    		 University Provost and Chief Academic Officer
    • Dean of Students
    • Senior Associate Dean of Students
    • Assistant Dean and Director Judicial Affairs
    • Interim Director of Residence Life
    • Director, LGBTQIA Student Resource Center

     

    		 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
    • Vice President for Campus Planning and Operations
    • Associate Vice President for University Sustainability
    		 Sustainability
    Tax Senior Vice President for Financial Affairs, Chief Financial Officer, and Treasurer
    • Associate Vice President for Financial Operations and University Controller
    		 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.

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