Supporting Compliance Efforts

Northeastern University is committed to the highest ethical standards and maintaining compliance with all applicable federal, state and local laws and regulations.  The university expects the faculty and staff to uphold these high ethical standards and to conduct their activities in full compliance with applicable laws, rules and regulations.  Northeastern University’s compliance program supports the university community’s efforts to meet these expectations by:

  • helping faculty and staff understand and comply with applicable laws, rules and regulations;
  • preventing and detecting violations of law, regulations, and university policy; and
  • promoting adherence to a high standard of ethical conduct.

In addition to working closely with Enterprise Risk Management and Internal Audit Departments to identify, reduce and address compliance risks, the Compliance Department works with a network of subject matter experts across the university’s many functions, each of whom has responsibility for compliance efforts within a specific area.  The Compliance Department coordinates and collaborates with these compliance partners to provide a cohesive platform for all compliance efforts.

Our Compliance Partners in specific key areas are:

 

COMPLIANCE AREA PARTNERS

Compliance Area Responsible Office/Official Office/Official with Daily Oversight Key laws/ regulations/ policies
Advancement; Donor gifts VP for Advancement and Campaign Director Advancement Services – AVP Advancement Services UPMIFA; state charitable solicitation and registration laws; Internal Revenue Code (IRC); Higher Education Opportunity Act (HEOA); Philanthropy Protection Act
Americans with Disabilities Act Vice Provost Institutional Diversity and Inclusion; Vice President Facilities; Vice President HRM Office of Institutional Diversity and Inclusion – Compliance Officer; Disability Rights Center ADA; Rehab Act
Athletics; NCAA; Title IX Athletics Director Assistant Athletic Director – Compliance and Enrollment Services NCAA rules; EADA; conf. rules; TitleIX
Campus Safety/Crime Statistics Reporting Director of Public Safety NUPD Clery Act; CSPCA; Title IX; Campus Sexual Assault Bill of Rights; Emergency Planning and Community Right-To-Know Act (EPCRA); HEOA;
Conflicts of Interest Provost and Sr. Vice President for Academic Affairs Director Of Compliance; College Deans; Associate Sr. Vice Provost Research Administration IRC rules re: private investment; benefits; PHS; NSF; FDA regs.
EEO/Anti-Discrimination Vice Provost Institutional Diversity and Inclusion Office of Institutional Diversity and Inclusion – Compliance Officer ADA; Titles VI/VII/IX; USERRA; INA; GINA; Pregnancy Discrimination Act; Equal Pay Act; OWBPA; Age Discrimination Act of 1975; HEOA; Equal Employment of Veterans; OFCCP
Environmental Health and Safety Vice President Enterprise Risk Management Director – Environmental Health and Safety OSHA; VOSH; CERCLA; RCRA; EPCRA; HMTA; FIFRA; NRC regs; BPS; HEOA; Asbestos Hazard Emergency Response Act (AHERA); Medical Waste Tracking Act
Export Control Provost and Sr. Vice President for Academic Affairs Sr. Vice Provost Research Administration; Associate Vice Provost for Research Administration Dept. of State: DDTC and ITAR; Dept. of Commerce: BIS and EAR; Treasury; OFAC; Trading with the Enemy Act; sanctions and barred entities lists; Anti-boycott Restrictions
Facilities; construction; building codes Vice President Facilities Associate Vice President Planning Design and Construction; Associate Vice President Facilities Operations; Associate Vice President Fiscal and Mgmt Services OSHA; state and local building codes; VOSH; CERCLA; RCRA; EPCRA; HMTA; FIFRA; NRC regs; BPS; HEOA; ADA;
Financial Aid Senior VP Enrollment Mgmt and Student Affairs Vice President Enrollment Mgmt; Vice President for Business Affairs – Graduate Campuses; Associate VP Enrollment Admissions Recruitment; Dean Student Financial Service Title IV; FERPA; policies and reqmts of federal Grant and Loan programs; MSSA; Student Load Default Prevention Initiative Act of 1990; HEOA; federal work/study reqmts;  Bankruptcy Abuse Prevention & Consumer Protection Act of 2005; Truth in Lending Act; Student Right to Know Act;
Human Resources Vice President of Human Resource Management HRM FLSA; FMLA; Drug-Free Workplace Act; INA; NLRA; USERRA; HEOA; Fair Credit Reporting Act (FCRA); COBRA; ERISA; Employee Polygraph Protection Act; WARN; Deferred Compensation; FICA; OFCCP
Immigration Provost; Senior VP Enrollment Mgmt and Student Affairs (ISSI); Vice President HRM (I-9) College Deans; Associate Vice Provost Research Administration INA; MECEA; SEVIS regs; I-9 instructions and regs; FARA;
Information Security Vice President Information Services Director of Information Services; ITS Security FERPA; Gramm-Leach-Bliley; HIPAA; FACTA; DMCA; CAN-SPAM Act; ECPA; PCIDSS; Communications Decency Act; Massachusetts Data Privacy Law and regs; Communications Privacy Act; USA Patriot Act; HEOA; ADA; Federal Information Securities Act (FISMA);
Insurance Vice President of Enterprise Risk Management Director Risk Services Massachusetts laws;
Intellectual Property Provost Director Innovation and Enterprise Initiative Technology Portfolio; Director Senior Commercialization Manager; Copyright Officer Bayh-Doyle Act; Copyright law; Copyright Term Extension Act; Lanham Act; DMCA; VARA; HEOA; TEACH ACT; CREATE Act;
Investment Management Chief Financial Officer; Treasurer; Treasury Manager Sarbanes-Oxley;
Privacy – Institutional Chief Operating Officer VP ERM FERPA; Gramm-Leach-Bliley; HIPAA; FACTA; DMCA; CAN-SPAM Act; ECPA; Communications Decency Act; Massachusetts Privacy Law; Communications Privacy Act; FERPA; HIPPA;
Privacy – Student Records EMSA Registrar FERPA; Gramm-Leach-Bliley; HIPAA; FACTA; DMCA; CAN-SPAM Act; ECPA; Communications Decency Act; Massachusetts Privacy Law; Communications Privacy Act; FERPA; HIPPA;
Privacy – Personnel Records VP HRM Assoc VP of HR Operations FERPA; Gramm-Leach-Bliley; HIPAA; FACTA; DMCA; CAN-SPAM Act; ECPA; Communications Decency Act; Massachusetts Privacy Law; Communications Privacy Act; FERPA; HIPPA;
Privacy – Medical Records VP of Student Affairs Assoc. VP for Student Affairs FERPA; Gramm-Leach-Bliley; HIPAA; FACTA; DMCA; CAN-SPAM Act; ECPA; Communications Decency Act; Massachusetts Privacy Law; Communications Privacy Act; FERPA; HIPPA;
Procurement Director Business Services Director of Procurement Anti-Kickback Act of 1988; Federal and state E-signature laws; American College and University Presidents Climate Commitment; Trading with the Enemy Act; Contract Disputes Act; Continued Dumping and Subsidy Offset Act of 2000; Fly America Act; Byrd Amendment;
Records Management VP Enterprise Risk Management ISO 15489; HEOA; FERPA; Freedom of Information Act; GLBA; HIPAA;
Research Compliance Senior Vice Provost for Research and Graduate Education Associate Vice Provost Research Administration PHS; NFS; NEH; NEA regs: including policies on Responsible Conduct of Research; Cost sharing; cost transfers; effort reporting
Research Compliance: Grants Administration (Pre-Award) Senior Vice Provost for Research and Graduate Education Associate Vice Provost Research Administration PHS; NFS; NEH; NEA regs
Research Compliance: Grants Administration (Post-award) Assoc. VP Finance Controller OMB Circular A-110; A-21; A-133
Research Compliance: Human Subjects Research Senior Vice Provost for Research and Graduate Education Director Division of Research Integrity Nuremberg Code; Belmont Report
Research Compliance: Animal Research Senior Vice Provost for Research and Graduate Education Director DLAM USDA Animal Welfare Act and regs; Guide for the Care and Use of Laboratory Animals; PHS Policy on Humane care/use of laboratory animals
Research Compliance: Research Misconduct Senior Vice Provost for Research and Graduate Education Director Division Research Integrity; Research Regulatory Compliance Common Rule; NSFA; Public Health Service Act; National Cooperative Research Act; IRB; FDA Amendments Act
Tax and Tax-Exempt Issues Associate Vice President of Finance Controller IRC; SEC regs; state and local tax laws; FCRA; Federal Unemployment Tax Act (FUTA); Fringe Benefits;
Title IX (Sexual Violence) Office of Institutional Diversity and Inclusion OIDI (Title IX Coordinator); NUPD; EMSA Title IX; Campus SaVE Act
Workers Compensation Vice President of Enterprise Risk Management Director of Risk Services M.G.L. c. 152