Compliance Matrix » Compliance Services

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.

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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	Auxiliary Services Agganis Arena	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
Data Governance, Access and Use	Interim Vice President Information Services and Technology	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	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	Faculty Affairs – Provost’s Office Disability & Access Services – Faculty	Americans with Disabilities Act; Section 504 of Rehabilitation Act
Disabilities Staff	University Provost and Chief Academic Officer	Executive Director Equal Opportunity	Equal Opportunity Office Disability & Access Services – Staff	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
Diversity and Inclusion Faculty	University Provost and Chief Academic Officer	Associate Provost for Community & Inclusion	Diversity at Boston University Community & Inclusion
Diversity	President Ad Interim	Senior Diversity Officer, Office of the Senior Diversity Officer	Office of the Senior Diversity Officer
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 Protective Actions Get Rhetty: Prepare for an Emergency Incident Command Information	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 and Controller Associate Controller, Strategic Financial Initiatives	Office of the Controller	PCI; Social Security; Tuition Payment Credit Reporting; VPMIFA
Financial Affairs Payroll	Senior Vice President for Financial Affairs, Chief Financial Officer, and Treasurer	Associate Vice President and Controller Assistant Vice President of Payroll Services
Financial Affairs – Research	Senior Vice President for Financial Affairs, Chief Financial Officer, and Treasurer	Associate Vice President and Controller Associate Controller of Research Financial Operations
Financial Affairs – Research	Senior Vice President for Financial Affairs, Chief Financial Officer, and Treasurer	Associate Vice President and Controller Assistant Director Facilities Cost Analysis
Financial Affairs – Research	Senior Vice President for Financial Affairs, Chief Financial Officer, and Treasurer	Associate Vice President and 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	Board of Trustees Charter, Statutes & By-laws	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	Student Health Services Behavioral Medicine
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	Interim Vice President Information Services and Technology	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	Internal Audit & Advisory Services
Information Security, Technology, and Privacy	Interim Vice President Information Services and Technology	Executive Director Information Security	Information Security Techweb Compliance Services Resource Page on Information Security and Privacy	GDPR, Gramm-Leach Bliley Act; 93H; DMCA; HIPAA 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	Bayh-Dole; CREATE Act
International Activities	University Provost and Chief Academic Officer	Vice President and Associate Provost, Global Programs Managing Director, Operations Global Programs Managing Director of Global Partnerships and Support Associate Director of Health, Safety & Security	Global Programs	FCPA; Foreign Agents Registration Act
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	Senior Vice President External Affairs	Vice President Federal Relations Vice President Government and Community Affairs	Federal Relations Government & 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	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 Executive Director of Procurement Director, Sourcing	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 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 and 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 September 2019.

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