Compliance Network

Supporting Compliance Efforts

 

In addition to working closely with Audit and Advisory Services and the Office of Risk Services within the university’s Enterprise Risk Management (ERM) framework 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. This matrix was last reviewed on August 1, 2021.

Our Compliance partners in specific key areas are:

 

Compliance Network

Compliance Area Responsible Office/Official Office/Official with Daily Oversight Key laws/ regulations/ policies
Advancement; Donor gifts Diane N. MacGillivray, Senior Vice President for University Advancement Timothy Kenneally, Assistant Vice President for Advancement Operations Uniform Prudent Management of Institutional Funds Act (UPMIFA); state charitable solicitation and registration laws; Internal Revenue Code (IRC); Higher Education Opportunity Act (HEOA); Philanthropy Protection Act
Americans with Disabilities Act Karl Reid, Senior Vice Provost and Chief Inclusion Office
Madeleine Estabrook, Senior Vice Chancellor-Student Affairs
Thomas Nedell, Senior Vice President – Finance and Treasurer
John Armendariz, Vice Provost for Institutional Diversity and Inclusion Mary A. Barrows, Senior Director, Learning Strategies and Student Success – Disability Resource Center
Maria Cimilluca, Vice President for Facilities
Michele Grazulis, Vice President and Chief Human Resources Officer
Americans with Disabilities Act (ADA); Rehab Act
Athletics; NCAA; Title IX Madeleine Estabrook, Senior Vice Chancellor-Student Affairs James Madigan, Athletics Director National Collegiate Athletic Association (NCAA) rules; Equity in Athletics Data Analysis (EADA); conference rules; Title IX
Campus Safety/Crime Statistics Reporting Ralph Martin II, Senior Vice President & General Counsel Michael Davis, Vice President – Safety, Security & Policing Clery Act; Campus Sex Crimes Prevention Act (CSCPA); Title IX; Campus Sexual Assault Bill of Rights; Emergency Planning and Community Right-To-Know Act (EPCRA); HEOA
Conflicts of Interest Ralph Martin II, Senior Vice President & General Counsel John McNally, Assistant Vice President – Compliance
Jeff Seo, Chief Research Compliance Officer
Internal Revenue Code rules re: private investment; benefits; Public Health Service; National Science Foundation; Food and Drug Administration regs.
EEO/Anti-Discrimination Karl Reid, Senior Vice Provost and Chief Inclusion Office John Armendariz, Vice Provost for Institutional Diversity and Inclusion American Disibilities Act; Titles VI/VII/IX; Uniform Services Employment and Reemployment Rights Act (USERRA); Immigration and Nationality Act (INA); Genetic Information Nondiscrimination Act (GINA); Pregnancy Discrimination Act; Equal Pay Act; Older Workers Benefits Protection Act (OWBPA); Age Discrimination Act of 1975; HEOA; Equal Employment of Veterans; Office of Federal Contract Compliance Programs (OFCCP)
Environmental Health and Safety Marne Smith, Associate Vice Provost – Education & Research Safety Steve Brehio, Director, Offcice Academic & Research Safety – Environmental Health and Safety Occupational Health and Safety Administration (OSHA); VOSH; Comprehensive Environmental Response, Compensation, and Liability Act (CERCLA); Resource Conservation and Recovery Act (RCRA); Emergency Planning and Community Right-to-Know Act (EPCRA); Hazardous Materials Transportation Act (HMTA); Federal Insecticide Funficide Rodenticide Act (FIFRA); Nuclear Reglatory Commission (NRC) regs; Board of Pharmacy Specialists (BPS); Higher Education Opportunity Act (HEOA); Asbestos Hazard Emergency Response Act (AHERA); Medical Waste Tracking Act
Export Control Ralph Martin II, Senior Vice President & General Counsel
Robin Cyr, Vice Provost – Research Administration
John McNally, Assistant Vice President – Compliance
Jeff Seo, Chief Research Compliance Officer
College Deans
Dept. of State: Directorate of Defense Trade Controls (DDTC) and International Trafic in Ams Regulation (ITAR); Dept. of Commerce: Bureau of Industry and Security (BIS) and Export Administration Regulations (EAR); Treasury; Office of Foreign Assets Control (OFAC); Trading with the Enemy Act; sanctions and barred entities lists; Anti-boycott Restrictions
Facilities, Construction, Building Codes Anthony Rini, Vice President – Administration & Financial Planning Maria Cimilluca, Vice President for Facilities
Kathy Spiegelman, Vice President & Chief of Campus Planning
OSHA; state and local building codes; VOSH; CERCLA; RCRA; EPCRA; HMTA; FIFRA; NRC regs; BPS; HEOA; ADA
Financial Aid Sundar Kumarasamy, Vice President – Enrollment Management Rob Reddy, Assistant Vice President – Enrollment & Dean of Student Financial Service Title IV; Family Educational Rights Protection Act (FERPA); policies and reqmts of federal Grant and Loan programs; MSSA; Student Load Default Prevention Initiative Act of 1990; Higher Education Opportunity Act (HEOA); federal work/study reqmts; Bankruptcy Abuse Prevention & Consumer Protection Act of 2005; Truth in Lending Act; Student Right to Know Act
Human Resources Michele Grazulis, Vice President and Chief Human Resources Officer Michele Grazulis, Vice President and Chief Human Resources Officer 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 Sundar Kumarasamy, Vice President – Enrollment Management
Ralph Martin II, Senior Vice President & General Counsel
Malik Sundharam, Associate Vice President – Enrollment Management & Dean of Office of Global Service
Jigisha Patel, Associate General Counsel – Chief Advisor of International and Immigration Services
INA; MECEA; SEVIS regs; I-9 instructions and regs; FARA;
Information Security Cole Camplese, Vice President & Chief Information Officer Harry Hoffman, Associate Vice President & Chief Information Security Officer Family Educational Rights Protection Act (FERPA); Gramm-Leach-Bliley; Health Insurance Portability and Accountability Act (HIPAA); Fair and Accurate Credit Transactions Act (FACTA); Digital Millennium Copyright Act (DMCA); Controlling the Assault of Non-Solicited Pornography and Marketing (CAN-SPAM Act); Electronic Communications Privacy Act (ECPA); Payment Card Industry Data Security Standard (PCIDSS); Communications Decency Act; Massachusetts Data Privacy Law and regs; Communications Privacy Act; USA Patriot Act; HEOA; ADA; Federal Information Securities Act (FISMA)
Insurance Ralph Martin II, Senior Vice President & General Counsel Sonya Ross, Director – Risk Services Massachusetts laws
Intellectual Property David Park, Vice Provost – Strategic Initiatives
Lisa Sinclair, Vice President & Deputy General Counsel
Jennifer Boyle-Lynch, CRI Director Operations and Finance – Research Innovation
Andy Curtin, Director – Intellectual Property
Bayh-Doyle Act; Copyright law; Copyright Term Extension Act; Lanham Act; DMCA; VARA; HEOA; TEACH ACT; CREATE Act
Investment Management Thomas Nadell, Senior Vice President – Finance and Treasurer Theresa Mitchell, Director – Treasury Operations
Alysa Gerlach, Vice President – Finance & Assistant Treasurer
Sarbanes-Oxley
Privacy – Institutional Cole Camplese, Vice President & Chief Information Officer Harry Hoffman, Associate Vice President & Chief Information Security Officer Family Educational Rights Protection Act (FERPA); Gramm-Leach-Bliley; Health Insurance Portability and Accountability Act (HIPAA); Fair and Accurate Credit Transactions Act (FACTA); Digital Millennium Copyright Act (DMCA); Controlling the Assault of Non-Solicited Pornography and Marketing (CAN-SPAM Act); Electronic Communications Privacy Act (ECPA); Communications Decency Act; Massachusetts Privacy Law; Communications Privacy Act
Privacy – Student Records Siham Doughman, Associate Vice President & University Registrar Siham Doughman, Associate Vice President & University Registrar Family Educational Rights Protection Act (FERPA); Gramm-Leach-Bliley; Health Insurance Portability and Accountability Act (HIPAA); Fair and Accurate Credit Transactions Act (FACTA); Digital Millennium Copyright Act (DMCA); Controlling the Assault of Non-Solicited Pornography and Marketing (CAN-SPAM Act); Electronic Communications Privacy Act (ECPA); Communications Decency Act; Massachusetts Privacy Law; Communications Privacy Act
Privacy – Personnel Records Thomas Nadell, Senior Vice President – Finance and Treasurer Michele Grazulis, Vice President and Chief Human Resources Officer Family Educational Rights Protection Act (FERPA); Gramm-Leach-Bliley; Health Insurance Portability and Accountability Act (HIPAA); Fair and Accurate Credit Transactions Act (FACTA); Digital Millennium Copyright Act (DMCA); Controlling the Assault of Non-Solicited Pornography and Marketing (CAN-SPAM Act); Electronic Communications Privacy Act (ECPA); Communications Decency Act; Massachusetts Privacy Law; Communications Privacy Act
Privacy – Medical Records Madeleine Estabrook, Senior Vice Chancellor-Student Affairs Christine Civiletto, Director – Clinical Operations & Student Success, University Health and Counseling Family Educational Rights Protection Act (FERPA); Gramm-Leach-Bliley; Health Insurance Portability and Accountability Act (HIPAA); Fair and Accurate Credit Transactions Act (FACTA); Digital Millennium Copyright Act (DMCA); Controlling the Assault of Non-Solicited Pornography and Marketing (CAN-SPAM Act); Electronic Communications Privacy Act (ECPA); Communications Decency Act; Massachusetts Privacy Law; Communications Privacy Act
Procurement Theresa Waggett, Associate Vice President & Controller Michael Henderson, Chief Procure Pay Officer 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 Lisa Sinclair, Vice President & Deputy General Counsel Office of the General Counsel ISO 15489; Higher Education Opportunity Act (HEOA); amily Educational Rights Protection Act (FERPA); Freedom of Information Act; Gramm-Leach-Bliley (GLBA); Health Insurance Portability and Accountability Act (HIPAA)
Research Compliance Robin Cyr, Vice Provost – Research Administration Jeff Seo, Chief Research Compliance Officer Public Health Service (PHS); National Science Foundation (NSF); National Endowment for the Humanities (NEH); National Education Association (NEA) regs: including policies on Responsible Conduct of Research; Cost sharing; cost transfers; effort reporting
Research Compliance: Grants Administration (Pre-Award) Robin Cyr, Vice Provost – Research Administration Dana Caroll, Associate Vice Provost – Research Administration Public Health Service (PHS); National Science Foundation (NFS); National Endowment for the Humanities (NEH); National Education Association (NEA) regs
Research Compliance: Grants Administration (Post-Award) Robin Cyr, Vice Provost – Research Administration
Theresa Waggett, Associate Vice President & Controller
Alex Tran, Director – Office of Research Admin & Finance OMB Circular A-110; A-21; A-133
Research Compliance: Human Subjects Research Jeff Seo, Chief Research Compliance Officer Nan Regina, Director – of Research Integrity Nuremberg Code; Belmont Report
Research Compliance: Animal Research Jeff Seo, Chief Research Compliance Officer Sean Sullivan, Director – Division for Lab Animal Medicine 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 Robin Cyr, Vice Provost – Research Administration Jeff Seo, Chief Research Compliance Officer Common Rule; NSFA; Public Health Service Act; National Cooperative Research Act; IRB; FDA Amendments Act
Tax and Tax-Exempt Issues Theresa Waggett, Associate Vice President & Controller Gary Menin, Tax Manager IRC; SEC regs; state and local tax laws; Fair Credit Reporting Act (FCRA); Federal Unemployment Tax Act (FUTA); Fringe Benefits
Title IX (Sexual Violence) Madeleine Estabrook, Senior Vice Chancellor-Student Affairs
Ralph Martin II, Senior Vice President & General Counsel
Mark Jannoni, Assistant Vice President – University Equity & Compliance
Michael Davis, Vice President – Safety, Security & Policing
Title IX; Campus (Sexual Violance Elimination) SaVE Act
Workers Compensation Ralph Martin II, Senior Vice President & General Counsel Sonya Ross, Director – Risk Services M.G.L. c. 152