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;
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Compliance Area &
Organizational Area
Compliance Area Owner Operational Owner(s) Related BU Websites Examples of Sources
of Compliance Obligations
Academic Programs University Provost and Chief Academic Officer
  • Associate Provost Graduate Affairs
  • Associate Provost Undergraduate Affairs
  • Deans
Academics Accreditation
Athletics Vice President and Chief of Staff to the President
  • Director of Athletics
Athletics  Title IX, NCAA requirements, Patriot League requirements
Broadcast
Licensed Activities
Board of Directors
  • Interim General Manager 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
  • 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 Real Estate and Facility Services
  • Assistant Vice President Facilities Management
Construction Services
Campus Planning & Operations
Real Estate and Facility Services – Campus Development
Senior Vice President for Operations
  • Vice President Real Estate and Facility Services
  • Associate Vice President Planning and Design
Campus Planning & Operations
Campus Planning & Operations
Real Estate and Facility Services – Facility Management (operations and maintenance)
Senior Vice President for Operations
  • Vice President Real Estate and Facility Services
  • Associate Vice President Facilities Management and Planning
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 Real Estate and Facility Services
  • Associate Vice President Real Estate
Real Estate
Campus Safety Senior Vice President for Operations
  • Chief of Police & Executive Director Public Safety,
  • Vice President for Campus Planning and Operations
Safety Website Clery Act, Police
Data Governance Vice President Information Services and Technology and Chief Data Officer
  • Assistant Vice President of Data Governance and Institutional Research
  • Data Governance Program Manager
Development and Alumni Relations Senior Vice President, Development and Alumni Relations
  • Vice President for Development
  • Vice President for 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
  • Assistant Vice President Facilities Operations and Services
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
Diversity and Inclusion
Faculty
University Provost and Chief Academic Officer
  • Associate Provost for Diversity and Inclusion
Diversity at Boston University
Emergency Management Senior Vice President Operations
  • Vice President for Campus Planning and Operations
  • Chief of Police & Executive Director Public Safety
  • 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
  • Director Financial Assistance
  • Associate Vice President and Executive Director Admissions
Enrollment and Student Administration HEOA; Title IV; Student Right to Know Act; federal loan programs; affirmative action; FERPA
Financial Affairs Senior Vice President, Chief Financial Officer, and Treasurer
  • Associate Vice President and University Comptroller
Office of the Comptroller PCI; Social Security; Tuition Payment Credit Reporting; VPMIFA
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
  • 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 Operations
  • Interim Vice President for Human Resources
  • Executive Director Benefits
  • Director, Occupational Health
Occupational Health Center
Health Services
Students
University Provost and Chief Academic Officer
  • Associate Provost Budget and Planning
  • Director, Student Health Services
Student Health Services
Human Resources
Faculty – Benefits
Senior Vice President for Operations 
  • Interim 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 
  • Interim 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
  • Interim 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
  • Interim Vice President for Human Resources
  • Director Labor Relations
HR – Labor Relations
Immigration
Staff
University Provost and Chief Academic Officer
  • Interim 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
  • Associate Provost Budget and Planning
    617-358-4944
  • Vice President and Associate Provost Global Programs
    617-353-2326
  • 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 Information Services and Technology and Chief Data Officer
  • Assistant Vice President of Data Governance and Institutional Research
Office of Institutional Research
Internal Audit & Advisory Services Senior Vice President, Chief Financial Officer & Treasurer
  • Vice President for Finance Operations
  • Associate Vice President, Internal Audit & Advisory Services
Internal Audit & Advisory Services
Information Security and Privacy Vice President Information Services and Technology and Chief Data Officer
  • Executive Director Information Security
93H; DMCA; HIPAA Security
Intellectual Property and Technology Transfer University Provost and Chief Academic Officer
  • Vice President and Associate Provost Research
  • 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
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
Lobbying and Government Relations Senior Vice President External Affairs
  • 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
  • Associate Provost Undergraduate Affairs
  • Associate Provost Graduate Affairs
  • Dean, Metropolitan College & Extended Education
BU Online State Authorization, Clinical Placements; Web accessibility
Protection of Minors Senior Vice President Operations
  • Interim Vice President for Human Resources
  • Executive Director Human Resources
Protecting Minors – Safety website Massachusetts regulations re recreational camps; reporting requirements re neglect and abuse
Research
Animal Care
University Provost and Chief Academic Officer
  • Vice President and Associate Provost Research
  • 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
  • Associate Vice President Research Compliance
  • Executive Director Research Compliance
Research Safety – Research Support
Research
Compliance/Research Support
University Provost and Chief Academic Officer
  • Vice President Research
  • 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
  • Associate Vice President Research Compliance
  • Executive Director Research Integrity
Financial Conflicts of Interest – Research Support
Research
Dive Safety
University Provost and Chief Academic Officer
  • Vice President and Associate Provost Research
    617-353-2595
  • Associate Vice President Research Compliance
  • Scientific Diving Safety Officer (DSO)
    divesafe@bu.edu
Scientific Diving and Small Boat Safety – Research Support
Research
Environmental Management
University Provost and Chief Academic Officer
  • Vice President and Associate Provost Research
  • Associate Vice President Research Compliance
  • Executive Director Research Compliance
EH&S – Research Support
Research
Export Controls
University Provost and Chief Academic Officer
  • Vice President and Associate Provost Research
  • Associate Vice President Research Compliance
  • Executive Director Research Integrity
  • Export Control Officer
Export Control – Research Support
Research
Human Subjects
University Provost and Chief Academic Officer
  • Vice President and Associate Provost Research
  • Associate Vice President Research Compliance
  • Interim Director of the CRC IRB, and Senior Quality Improvement Specialist
  • 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
  • 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
    617-353-2595
  • Associate Vice President Research Compliance
  • Executive Director Environmental Health and Safety
  • Executive Director, NEIDL Research Compliance & Chief Safety Officer
NEIDL Website
Research
Occupational Health
University Provost and Chief Academic Officer
  • Vice President and Associate Provost Research
  • Associate Vice President Research Compliance
  • Medical Director
Research Occupational Health Program – ROHP
Research
Radiation Safety
University Provost and Chief Academic Officer
  • Vice President and Associate Provost Research
  • Associate Vice President Research Compliance
  • Executive Director Research Compliance
Radiation Safety – EH&S
Research
Research Misconduct
University Provost and Chief Academic Officer
  • Vice President and Associate Provost Research
  • Associate Vice President Research Compliance
  • Executive Director Research Integrity
Research Integrity
Research
Responsible Conduct
University Provost and Chief Academic Officer
  • Vice President and Associate Provost Research
  • Associate Vice President Research Compliance
  • Director Responsible Conduct of Research
Responsible Conduct of Research – Research Support
Risk Management and Insurance Senior Vice President, Chief Financial Officer, and Treasurer
  • 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 Senior Vice President, Chief Financial Officer & Treasurer
  • Associate Vice President and Chief Procurement Officer
  • Executive Director, Sourcing Strategy and Analytics
  • Director of Procurement
Sourcing and Procurement Anti-kickback regulations; Byrd Amendment; OMB Uniform Guidance
Sponsored Programs and Administration
  • Senior Vice President, Chief Financial Officer, and Treasurer
  • Vice President and Associate Provost Research
  • Vice President for Finance Operations
  • Assistant Vice President Post-Financial Award Operations
  • Associate Vice President Sponsored Programs
Sponsored Programs Office False Claims Act; OMB Uniform Guidance; A-133 audits; clinical trials; grant and contract terms and conditions; subcontracts
Sponsored Programs and Administration
Cash Management
Senior Vice President, Chief Financial Officer, and Treasurer
  • Vice President for Finance Operations
  • Assistant Vice President Post-Financial Award Operations
  • Director Reporting and Cash Management
PAFO
Sponsored Programs and Administration
Effort Reporting
Senior Vice President, Chief Financial Officer, and Treasurer
  • Vice President for Finance Operations
  • Assistant Vice President Post-Financial Award Operations
  • Compliance Manager Research Accounting
PAFO
Sponsored Programs and Administration
Facilities Cost Analysis
Senior Vice President, Chief Financial Officer, and Treasurer
  • Vice President for Finance Operations
  • Assistant Vice President Post-Financial Award Operations
  • Director Facilities Cost Analysis and Property Management
PAFO
Sponsored Programs and Administration
Property Management
Senior Vice President, Chief Financial Officer, and Treasurer
  • Vice President for Finance Operations
  • Assistant Vice President Post-Financial Award Operations
  • Director Facilities Cost Analysis and Property Management
PAFO
Sponsored Programs and Administration
Research Accounting
Senior Vice President, Chief Financial Officer, and Treasurer
  • Vice President for Finance Operations
  • Assistant Vice President Post-Financial Award Operations
  • Director Research Administration
PAFO
Sponsored Programs and Administration
Service Center Administration
Senior Vice President, Chief Financial Officer, and Treasurer
  • Vice President for Finance Operations
  • Assistant Vice President Post-Financial Award Operations
  • Director Service Center Administration
PAFO
Sustainability Senior Vice President for Operations
  • Vice President for Campus Planning and Operations
  • Associate Vice President for University Sustainability
Sustainability
Tax Senior Vice President, Chief Financial Officer, and Treasurer
  • Associate Vice President and Comptroller
Office of the Comptroller 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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