The Tulane University Compliance Matrix helps identify, categorize, and manage compliance with key federal laws and regulations governing colleges and universities. It is not intended as an exclusive or definitive listing of all compliance activities.
The Tulane University Compliance Matrix also lists Tulane offices, departments, and senior officers responsible for compliance in the area specified.
(Please note: The Matrix is currently being updated, therefore, clicking the hyperlinks may take you to a blank page. Thank you for your patience.)
| Compliance Areas | |||
|---|---|---|---|
| Academics and Admissions | Clinical | Global | Research |
| Accessibility and Non-Discrimination | Copyrights and Trademarks | Information Privacy and Security | Student-Related (not covered elsewhere) |
| Accounting and Finance | Donors, Gifts and Endowments | Intercollegiate Athletics | Technology and Licensing |
| Campus Safety | Environmental Health and Safety | Labor and Employment / Human Resources | Other Areas |
PLEASE NOTE: This document is meant to provide general guidance only and is not legal advice, nor is it an exhaustive or definitive list of all compliance obligations, roles, or responsibilities. For more information, please visit University Compliance & Ethics.
| Compliance Area | University Cabinet Member(s) | Specific Compliance Area | Examples of Requirements | Responsible Office(s) | Example Applicable Regulations | Resources | Compliance Partners |
|---|---|---|---|---|---|---|---|
| Academics / Admissions | |||||||
| Academics / Admissions | Senior Vice President for Academic Affairs and Provost Vice President for Enrollment Management and Dean of Admission | Academic Information (prospective and current students) | Availability of information on accreditation, campus safety, placement, retention statistics, course information, transfer policies, and planned changes to academic programs. | Office of Academic Affairs Office of Undergraduate Admission | Higher Education Opportunity Act NC-Sara | https://admission.tulane.edu/ https://oair.tulane.edu/ | Assistant Provost for Assessment and Institutional Research Associate VP Enrollment Management & Chief of Staff University Registrar Associate VP University Financial Aid |
| Admission Requirements (Undergraduate) | Required accessibility to admissions and institutional information including institutional statistics and course information. | Office of Academic Affairs Office of Undergraduate Admission | Higher Education Opportunity Act Age Discrimination Act | https://admission.tulane.edu/ https://oair.tulane.edu/ | |||
| Academics / Admissions | Senior Vice President for Academic Affairs and Provost Vice President for Enrollment Management and Dean of Admission | Financial Aid | Required information on costs, financial aid programs, selection criteria, any applicable loan, grant, etc. terms, price calculator, status of financial aid, and student rights and responsibilities. | Financial Aid Office | Truth in Lending Act Student Right to Know Act Higher Education Opportunity Act | https://financialaid.tulane.edu/ | |
| Accessibility and Non-Discrimination | |||||||
| Accessibility and Non-Discrimination | Vice President of Human Resources Vice President, Student Affairs | Disability Access (Buildings, Services) | Disability-related accommodations for staff, faculty, guests, and student non-academic related accommodations. | Goldman Center for Student Accessibility Housing & Residence Life Office for Campus Accessibility, Office of Human Resources | Americans with Disabilities Act The Fair Housing Act Section 504 of the Rehabilitation Act | https://accessibility.tulane.edu/ https://housing.tulane.edu/residence-life https://adaaccess.tulane.edu/ | Program Manager, ADA Compliance & ADA/504 Coordinator Director of the Goldman Center for Student Accessibility Digital Accessibility Coordinator Housing Committee Associate VP, Student Resources & Support Services; Dean of Students |
| Disability Access (Online, Electronic) | Disability-related accommodations for staff, faculty, guests, and student non-academic related accommodations (websites, electronic materials, video captioning, etc.). | Goldman Center for Student Accessibility Office for Campus Accessibility, Office of Human Resources | Americans with Disabilities Act Section 504 of the Rehabilitation Act Section 255 of the Communications Act | https://accessibility.tulane.edu/ https://hr.tulane.edu/disability-accommodations | |||
| Non-discrimination, Equal Opportunity, Equal Employment | Nondiscrimination protection based on race, religion, color, national origin, physical or mental disability, medical condition, pregnancy, marital status, sex, age, sexual orientation, gender identity, protected veteran status, or genetic information for participation in academic programs, activities or employment. | Equal Opportunity & Resolution Management (Office of Human Resources) Division of Student Affairs | Title VI of the Civil Rights Act Title VII of the Civil Rights Act Executive Order 11246 Age Discrimination and Employment Act Equal Employment of Veterans | https://hr.tulane.edu/equal-opportunity-0 https://studentaffairs.tulane.edu/ | |||
| Accounting and Finance | |||||||
| Accounting and Finance | Senior Vice President and Chief Operating Officer | Bank Accounts | Opening, closing or maintenance of University related bank accounts. | Office of the Controller | Administrative Guide 3.6.1 Bank Accounts Generally Accepted Accounting Principles (GAAP) financial statement audit requirements Know your customer (KYC) | https://coo.tulane.edu/divisions/finance-accounting https://controllerac.tulane.edu/ | University Controller Director, Central Procurement Services Associate Controller, Grants & Compliance Director, Sponsored Projects Administration |
| Credit Card Transactions | Safeguarding credit card holder's sensitive data that is captured as part of a transaction. | Office of the Controller | Payment Card Industry (PCI) Data Security Standard | https://tulane.edu/establish-and-maintain-credit-card-merchant-accounts | |||
| Procurement/Contracts | Oversight of vendor selection, competition and competitive bidding, permits and licenses, invoicing and payment management. | Office of the Controller University Procurement (Materials Management) | Tulane Purchasing Policies and Procedures | https://coo.tulane.edu/divisions/finance-accounting https://procure.tulane.edu/content/policies-procedures | |||
| Taxes | Complying with regulations, authoritative pronouncements and rulings by the Internal Revenue Service, and similar state and local laws and regulations. | Office of the Controller | Internal Revenue Service (IRS) Regulations State of Louisiana Tax Regulations and Unclaimed Property Regulations | https://coo.tulane.edu/divisions/finance-accounting https://controllerac.tulane.edu/ | |||
| Accounting and Finance | Senior Vice President and Chief Operating Officer | Grants Management | Complying with requirements related to government funding or property. | Office of Grants and Contracts Accounting Sponsored Projects Administration | False Claims Act Fraud Enforcement and Recovery Act | https://grants.tulane.edu/ | |
| Campus Safety | |||||||
| Campus Safety | Senior Vice President and Chief Operating Officer | Campus Security | Preparation, publication and distribution of annual security and fire safety report including crime statistics for the campus and surrounding areas. | Public Safety (Tulane University Police Department (TUPD); Office of Emergency Preparedness & Response; Office of Cleary Compliance) | Clery Act Higher Education Opportunity Act | https://publicsafety.tulane.edu/ https://coo.tulane.edu/divisions/public-safety https://publicsafety.tulane.edu/clery-act | Tulane University Police Department (TUPD) Director of Clery Compliance Executive Director of Emergency Preparedness & Response |
| Crime Reporting | Comprehensive and prompt campus crime and safety reporting. | Tulane University Police Department (TUPD) Director of Clery Compliance | Clery Act | https://publicsafety.tulane.edu/ https://publicsafety.tulane.edu/clery-act | |||
| Emergency Preparedness & Response | Policies and procedures for preparation, prevention, and response to all-hazards events. | Emergency Preparedness & Response | Higher Education Opportunity Act Occupational Safety and Health Act of 1970 | https://emergencyprep.tulane.edu/ | |||
| Clinical | |||||||
| Clinical | Senior Vice President and Dean, School of Medicine | Billing (Patient Care) | Proper billing and medical records maintenance. | TUMG Compliance Office | Centers for Medicare & Medicaid Services (CMS) rules for Medicare and Medicaid billing U.S. Department of Health and Human Services (HHS) Office of Inspector General (OIG) Work Plan | https://counsel.tulane.edu/tumg-compliance | TUMG Compliance Officer Clinical Compliance Operations Committee |
| Copyrights and Trademarks | |||||||
| Copyrights and Trademarks | Senior Vice President for Academic Affairs and Provost Vice President for Public Affairs and Chief Communications Officer, University Communications and Marketing General Counsel | Copyrights | Rights of authors of literary, dramatic, musical, artistic, and certain intellectual works. | Office of Academic Affairs Tulane Athletics Information Security Office (DMCA Designated Agent) Office of the General Counsel Research Support, University Libraries | Copyright Act of 1976 | https://provost.tulane.edu/policies/faculty-handbook https://libguides.tulane.edu/copyright/Tulane https://it.tulane.edu/guidelines-copyright | Deputy Athletic Director, External Operations |
| Plagiarism | Proper citation of referenced material used under fair use guidelines and not claiming another's work as your own. | Office of Academic Affairs Office of Academic Integrity Research Support, University Libraries | Copyright Act of 1976 Trademark Act of 1946 | https://provost.tulane.edu/policies/faculty-handbook https://college.tulane.edu/code-academic-conduct | |||
| Trademarks, Images, and Name Use | Restrictions on how the Tulane name, emblems and other trademarks may be used. | Tulane Communications and Marketing Tulane Athletics Office of the General Counsel | Trademark Act of 1946 | https://communications.tulane.edu/brand https://tulanegreenwave.com/sports/2017/8/25/branding-style-guide | |||
| Donors, Gifts and Endowments | |||||||
| Donors, Gifts and Endowments | Senior Vice President for Advancement | Donor Restrictions | Proper use, tracking and reporting of donor restricted gifts. | Advancement | Philanthropy Protection Act of 1995 Uniform Prudent Management of Institutional Funds Act (UPMIFA) Donor agreements American Council on Gift Annuities | https://giving.tulane.edu/ | Assistant VP Gift Planning, Legal Affairs & Compliance (Advancement) Managing Director, Legal Affairs & Compliance (Advancement) |
| Environmental Health and Safety | |||||||
| Environmental Health and Safety | Senior Vice President and Chief Operating Officer | Laboratory Safety | Laboratory safety and security generally related to procurement, storage, handling, and disposal of specific material categories such as biological, radiological, toxic and highly flammable chemicals. | Office of Environmental Health and Safety (OEHS) | Hazardous Materials Transportation Act OSHA Enforcement Guidance Toxic Substances Control Act Chemical Facility Anti-Terrorism Standards Louisiana Department of Environmental Quality (LDEQ) | https://oehs.tulane.edu/ | University Environmental Health and Safety Committee Director, Research and Laboratory Safety Director, Occupational Safety and Environmental Protection |
| Occupational Safety and Emergency Management | Environmental safety and health requirements not specific to labs including: occupational health, building safety, fire suppression, and emergency preparedness. | Office of Environmental Health and Safety (OEHS) Emergency Preparedness & Response | Occupational Safety and Health Regulations (OSHA) Emergency Planning and Community Right Act (EPCRA) Louisiana Department of Environmental Quality (LDEQ) | https://oehs.tulane.edu/ https://emergencyprep.tulane.edu/ | |||
| Global | |||||||
| Global | Senior Vice President for Academic Affairs and Provost Senior Vice President and Chief Operating Officer | Anti-bribery | Payments to or from foreign officials to assist in obtaining or retaining business, induce an individual to perform duties improperly, or gain other improper advantage. | Tulane Global Export Control Compliance, Research Compliance | Foreign Corrupt Practices Act (FCPA) | https://global.tulane.edu/ https://research.tulane.edu/compliance/export | Director of Global Operations Associate Provost for International Affairs Export Control Compliance Officer University Controller |
| International Banking and Investment | International banking "Know Your Customer" requirements, cash management, currency exchange and international investment management. | Office of the Controller Investment Management Office | Report of Foreign Bank and Financial Accounts (FBAR) Office of Foreign Asset Control | https://controllerac.tulane.edu/ https://endowment.tulane.edu/ | |||
| International Business Regulations, Corporate Registration/Permanent Presence | US economic and trade sanctions, International permanent establishment requirements, corporate registration, and US, Foreign and Supra-national information reporting and compliance. | Tulane Global | US Office of Foreign Assets Control (OFAC) embargoed and sanctioned countries Dept Of Treasury/IRS bilateral tax treaties OECD- Base Erosion & Profit Shifting; Transfer Pricing | https://global.tulane.edu | |||
| International Taxes | Non-compliance with US, international and supra-national Financial, Tax and Business regulations, various entity and individual taxes. | Tulane Global Office of the Controller | Internal Revenue Service (IRS) Regulations U.S. Office of Foreign Assets Control sanctions Tax codes in countries Tulane operates | https://global.tulane.edu https://controllerac.tulane.edu/ | |||
| Information Privacy and Security | |||||||
| Information Privacy and Security | Senior Vice President and Chief Operating Officer | Information Security | Preventing unauthorized access, use, disclosure, disruption, modification, inspection, recording or destruction of information with a majority being IT security (cybersecurity). | Information Security Office (ISO) | Minimum Security Standards guidelines and related Tulane adoption | https://it.tulane.edu/information-security | Chief Information Security Officer Data Governance Officer University Privacy & Data Compliance Officer Clinical Compliance Operations Committee University Registrar |
| Protection of Personal/Individual Information | Protection of Personally Identifiable Information (PII), Protected Health Information (PHI), Personal Data and confidential information. | University Privacy and Data Compliance Office | Health Insurance Portability and Accountability Act (HIPAA) Health Information Technology for Economic and Clinical Health Act (HITECH) | https://counsel.tulane.edu/HIPAA_privacy_security | |||
| Student Records | Protections regarding sharing student records, such as report cards, transcripts, disciplinary records, class schedules and contact and family information. | Office of the University Registrar | Family Educational Rights and Privacy Act (FERPA) | https://registrar.tulane.edu/ | |||
| Data Protection and Privacy (European Union) | Disclosure of how the University collects, uses, and shares Personal Information (information that can be used to identify an individual person) gathered by any means. | University Privacy and Data Compliance Office Information Security Office (ISO) | General Data Protection Regulation (GDPR) | https://tulane.edu/tulane-university-privacy-policy | |||
| Intercollegiate Athletics | |||||||
| Intercollegiate Athletics | Director of Athletics Senior Vice President for Academic Affairs and Provost | Conference College Sports Guidelines | Athletic activities must abide by conference guidelines. | Athletics NCAA Compliance Office | American Athletic Conference | https://tulanegreenwave.com/sports/2016/6/13/compliance-tul-compliance-… https://provost.tulane.edu/about/provost-office-staff | Associate Athletic Director/Assistant Provost of NCAA Compliance Assistant Provost of Title IX Compliance & Education |
| NCAA Compliance | Athletic activities must abide by NCAA guidelines. Recruiting requirements, student-athlete obligations, playing and practice limits, reporting requirements, etc. | Athletics NCAA Compliance Office | National Collegiate Athletics Association (NCAA) | https://tulanegreenwave.com/sports/2016/6/13/compliance-tul-compliance-… https://provost.tulane.edu/about/provost-office-staff | |||
| Title IX (equal access) | No person may be excluded from participation or discriminated against based on sex for any interscholastic, intercollegiate, club or intramural athletics offered. | Title IX Office | Title IX of the Education Amendment of 1972 | https://allin.tulane.edu/title-ix | |||
| Labor and Employment / Human Resources | |||||||
| Labor and Employment / Human Resources | Senior Vice President and Chief Operating Officer Senior Vice President for Academic Affairs and Provost | Conflict of Interest / Conflict of Commitment (Staff) | Protecting primary professional allegiance to the University and appropriate disclosure and management of significant financial interests in, or consulting or employment arrangements with, other (non-University) concerns. | University Compliance & Ethics | Tulane University Policies on Conflicts of Commitment and Interest | https://counsel.tulane.edu/compliance/coi https://coi.tulane.edu | Conflict of Interest Committee Director of Benefits Program Manager, ADA Compliance & ADA/504 Coordinator Assistant Provost of Title IX Compliance and Education Director, Office of International Students & Scholars (OISS) Director of Equal Opportunity & Resolution Management Director of Talent Acquisition |
| Employee Benefits | Benefits and retirement plan disclosures such as Healthcare program structure, workplace standards and unemployment insurance. | Office of Human Resources | The Family and Medical Leave Act Drug Free Workplace Act Employee Retirement and Income Security Act (ERISA) | https://hr.tulane.edu/benefits-compensation | |||
| Equal Opportunity and Access | See Accessibility and Non-Discrimination section. | Office for Campus Accessibility Equal Opportunity & Resolution Management (Office of Human Resources) | See Accessibility and Non-Discrimination section | https://adaaccess.tulane.edu/ | |||
| Immigration (Faculty/Staff) | Following U.S. Visa, green card and citizenship application and management guidelines, international travel restrictions and requirements, employment as a non-US Citizen, and related executive orders. | Office of International Students & Scholars (OISS) Office of the General Counsel | Immigration and Nationality Act U.S. Citizenship and Immigration Services, Department of Homeland Security Travel Ban Executive Order | https://oiss.tulane.edu/ https://counsel.tulane.edu/immigration-policy | |||
| Recruitment, Hiring and Termination of Employment | Establishing background checks and disclosures, non-discrimination, and terminated employee rights and benefits. | Office of Human Resources Office of Academic Affairs | Consolidated Omnibus Budget Reconciliation Act (COBRA) Federal-State Unemployment Insurance Program Veterans' Employment and Training Service (VETS) | https://hr.tulane.edu/ https://provost.tulane.edu/academic-affairs/faculty-hiring | |||
| Sexual Harassment (Faculty/Staff) | Prevention and addressing inappropriate gender-based or sexual behavior including sexual harassment, prohibited sexual conduct, consensual sexual relationships, and Title IX Administrative Policy and Procedures. | Office of Human Resources Title IX Office | Title VII of the Civil Rights Act Title IX of the Education Amendment | https://hr.tulane.edu/ https://allin.tulane.edu/title-ix | |||
| Labor and Employment / Human Resources | Senior Vice President and Chief Operating Officer Senior Vice President for Academic Affairs and Provost | Workers' Compensation | Workers’ Compensation is an employment benefit for work-related injuries/illnesses. | Workers' Compensation (Office of Enterprise Risk Services) | Louisiana Revised Statute 23:1020 | https://risk.tulane.edu/content/workers-compensation | |
| Research | |||||||
| Research | Senior Vice President for Academic Affairs and Provost Senior Vice President and Chief Operating Officer Senior Vice President and Dean, School of Medicine | Animal Subjects | Adhering to the minimum standards for housing, feeding, handling, veterinary care, and for some species, psychological well-being of animal subjects. | Institutional Animal Care & Use Committee (IACUC) Research Compliance Office Tulane National Primate Research Center (TNPRC) | Animal Welfare Act (AWA) Public Health Service Policy on the Humane Care and Use of Laboratory Animals (NIH) | https://research.tulane.edu/iacuc https://research.tulane.edu/compliance | VP for Research & Research Integrity Officer (RIO) Research Compliance Officer Research Compliance Operations Committee Executive Director of Biosafety, Biocontainment, and Quality Assurance Director, Human Research Protection Office Director, Research and Laboratory Safety Tulane Institutional Animal Care & Use Committee Sr. Associate Director and Chief Operations Officer TNPRC Export Controls and Foreign Influence Compliance Officer Data Governance Officer Conflict of Interest Committee Institutional Research Conflict of Interest Committee |
| Biosafety & Biosecurity | Protection of personnel and environment regarding biohazardous materials and recombinant and synthetic nucleic acids. | Office of Biosafety, Biocontainment Operations, and Quality Assurance Research Compliance Office | Occupational Safety and Health Administration (OSHA) rules NIH/CDC (Biosafety in Microbiological and Biomedical Laboratories) | https://research.tulane.edu/biosafety https://research.tulane.edu/compliance | |||
| Conflict of Interest / Conflict of Commitment (Faculty & Academic Staff) | Disclosure of outside professional activities that may have an impact on the design, conduct or reporting of research. Faculty members owe their primary professional allegiance to Tulane University, and their primary commitment of time and intellectual energies should be to the education, research, and scholarship programs of the institution. | University Compliance & Ethics Research Compliance | Public Health Service Responsibility of Applicants for Promoting Objectivity in Research National Science Foundation and National Institutes of Health financial disclosure requirements | https://counsel.tulane.edu/compliance/coi https://coi.tulane.edu https://research.tulane.edu/compliance | |||
| Export Control, Research Security, and Foreign Influence | Regulations that impose access, dissemination, participation, or financial restrictions on the transfer of items, information or services for reasons of national security, trade sanctions policy, anti-terrorism or non-proliferation. | Export Control Compliance Office Research Compliance Office | International Traffic in Arms Regulations (ITAR) Export Administration Regulations (EAR) Office of Foreign Assets Control Trade Sanctions Regulations (OFAC) | https://research.tulane.edu/compliance/export | |||
| Human Subjects and Stem Cells | Following federal policy or the “Common Rule” for Institutional Review Boards (IRB) oversight and ethics, additional protections for prisoners, children, pregnant women, human fetuses, neonates and any others participating in human stem cell research. | Human Research Protection Office & IRBs Research Compliance Office | Department of Health and Human Services Title 45 CFR 46 | https://research.tulane.edu/hrpo https://research.tulane.edu/compliance | |||
| Radiological Safety | Ensuring safe use of ionizing radiation and radiation producing devices to protect device users and the public as well as authorizing permits for radiation use and x-ray device use, providing appropriate training for users, monitoring exposure to radiation and safe disposal of radioactive waste. | Office of Environmental Health & Safety (OEHS) Research Compliance Office | Nuclear Regulatory Commission Standards for Protection Against Radiation | https://risk.tulane.edu/ehs/radiation-safety https://research.tulane.edu/compliance | |||
| Research Misconduct | Procedures for reporting and investigating allegations of research misconduct, and for the required notifications to federal agencies of such allegations and investigations. | Research Compliance Office | May relate to all research associated regulations listed in other research, copyright and plagiarism, or accounting and finance sub-topics | https://research.tulane.edu/compliance | |||
| Research | Senior Vice President for Academic Affairs and Provost Senior Vice President and Chief Operating Officer Senior Vice President and Dean, School of Medicine | Research Policy and Training | Recommends and promulgates research policy regarding research, the conduct of research and research administration. Principal Investigator training provides instruction regarding the conduct of research, managing the financial aspects of research, and research administration in compliance with Tulane policies, federal and state laws, sponsor requirements and award terms and conditions. | Research Compliance Office | Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards (OMB Uniform Guidance Title 2 Part 200) | https://research.tulane.edu/compliance | |
| Student Related (not covered elsewhere) | |||||||
| Student Related (not covered elsewhere) | Vice President, Student Affairs | Drugs and Alcohol | Education, notification, prevention, and fair implementation of administrative actions related to underage drinking and use of illegal drugs or drugs not prescribed. | The Well for Health Promotion (The Well; Campus Health) | Drug Free Schools and Communities Act Clery Act Higher Education Act | https://campushealth.tulane.edu/about/policies/alcohol-and-other-drugs-… | Director of Operations and Finance Campus Health Director of Health Initiatives, Prevention Services, and Digital Strategy Campus Health, The Well, Tulane EMS Community Engagement Director Assistant Provost of Title IX Compliance and Education Sexual Misconduct Response Team (SMRT) Director, Office of International Students & Scholars (OISS) |
| Immigration (Students) | Providing guidance around F-1/J-1 Student and Scholar Visas and restrictions for students traveling internationally. | Office of International Students & Scholars (OISS) | Immigration and Nationality Act U.S. Citizenship and Immigration Services, Department of Homeland Security Travel Ban Executive Order | https://oiss.tulane.edu/ | |||
| Sexual Harassment and Assault | Informing and enforcing Title IX protections, education, and incident notification. | Title IX Office | Title IX of the Education Amendment of 1972 | https://allin.tulane.edu/title-ix | |||
| Technology and Licensing | |||||||
| Technology and Licensing | Senior Vice President for Academic Affairs and Provost | Licensing, Intellectual Property and Contracting | Protection of patents, copyrights (software), Tangible Research Property, and outgoing Material Transfer Agreements for biological materials. | Office of Intellectual Property Management | Patent Act U.S. Code of Federal Regulations Title 37 | https://research.tulane.edu/oipm | Executive Director, Office of Intellectual Property Management |
| Other Areas | |||||||
| Other Areas | Vice President for Public Affairs and Chief Communications Officer, University Communications and Marketing Senior Vice President and Chief Operating Officer Vice President for Human Resources | Political Activities | Including lobbying activities, endorsements, financial contributions, or other political related activities that may endanger the University's 501(c)(3) status. | Office of Government and Community Relations | Internal Revenue Service (IRS) guidance on political activity at 501(c)(3) entities State of Louisiana lobbyist registration requirements | https://governmentrelations.tulane.edu/ | Director, Institutional Program Development Director of Employee Relations VP of Auxiliary Services & Real Estate |
