Compliance @ Northeastern
University Wide Compliance
As an institution of higher education and research, Northeastern must adhere to a wide and increasingly complex array of laws, rules and regulations, and is subject to oversight by many government agencies. The university’s values are defined and communicated through its core policies, which evidence its commitment to operating within the highest standards of integrity and ethics, and to fostering a culture of compliance with legal and regulatory requirements, university policies, and professional conduct. While each of us is responsible for compliance, the Compliance Department supports, coordinates and helps to implement specific steps to meet that commitment.
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
To this end, the Compliance Department participates in the following compliance related functions:
Conflict of Interest and Commitment
The Compliance Department manages the university’s annual Conflict of Interest and Commitment Disclosure Process. Click here to for more information regarding this process.
When appropriate, the Compliance Department will work with university stakeholders to develop Conflict Avoidance and Management Plans to mitigate potential conflicts of interest or commitment between university employees, their roles at the university and their external activities.
Restricted Party Screening
The Compliance Department administers and provides training for the university’s restricted party screening process. Click here for more information regarding the restricted party screening process at Northeastern University.
University Policies
Written policies and procedures are at the heart of every organization, and Northeastern University’s policies define our values and reflect the university’s commitment to operating according to the highest ethical standards. University policies also reflect requirements of various laws and regulations with which members of the university community are expected to comply. University policies can be accessed through the university’s Policy Page at policies.northeastern.edu.
The Compliance Department participates in university’s Policy Oversight Committee (POC). The POC is responsible for the administration of the university’s policies.
Click here for more information on the policy management process at Northeastern.
Compliance Related Training and Bench Marking
The Compliance Department offers free training sessions, known as the Compliance Colloquia, to faculty and staff members throughout the academic year. The Compliance Colloquia offer the Compliance Department the opportunity to partner compliance officials throughout the university to offer training on a wide variety of subjects including Title IX, Export Control, International Travel with University Devices and Data Security.
Training dates and topics are announced throughout the academic year by email. For more information regarding the Compliance Collouqiua, please contact the Compliance Department at compliance@northeastern.edu.
The Compliance Department conducts surveys and follow-up interviews with stakeholders throughout the university to determine how effective their compliance functions are. Together with the stakeholders, the Compliance Department develops strategies to address potential deficiencies in the stakeholder’s compliance function. Please contact the Compliance Department at compliance@northeastern.edu for more information regarding this process.
Compliance Network
The Compliance Department maintains a list of partner compliance officials throughout the university. Click here to view the most recent list of university compliance partners.