Office of the General Counsel

UNCG Compliance Calendar

January

Federal Reporting

  • Equity in Athletics Disclosure Act of 1994 (Athletics)
    20 U.S.C. § 1092g; 34 C.F.R. §§ 668.41 and 47.
    Each coed institution of higher education that participates in Title IV programs, and has an intercollegiate athletic program, must no later than October 15th of each year, make available on request to enrolled students, prospective students, and the public, the report required to be produced under this law. Within 15 days of making the report available to students, prospective students, and the public, (at the latest October 30th each year) the school must submit the report to the Secretary of Education. Catholic University Compliance Calendar,http://counsel.cua.edu/thebasics/compliance.cfm.  Report must be submitted by January 15th to the NCAA.  The report accounts for all revenues  provided/raised and expenditures incurred by the ICA for the fiscal year ending June 30.  An annual financial audit of this report is conducted by an outside firm (McGladrey & Pullen) per NCAA Bylaw 6.2.3.  This report is prepared in conjunction with the University’s Internal Auditor.
  • Higher Education Act of 1965 and Higher Education Amendments of 1998 (Office of Contracts and Grants)
    20 U.S.C. § 1011.
    Whenever any institution is owned or controlled by a foreign source or receives a gift from or enters into a contract with a foreign source, the value of which is $250,000 or more, considered alone or in combination with all other gifts from or contracts with that foreign source within a calendar year, the institution shall file a disclosure report with the Secretary on January 31 or July 31, whichever is sooner.  20 U.S.C. § 1011(f)(a) (2008). 
    If an institution . . . is within a State which has enacted requirements for public disclosure of gifts from or contracts with a foreign source that are substantially similar to the requirements of this section, a copy of the disclosure report filed with the State may be filed with the Secretary in lieu of a report required . . . of this section. The State in which the institution is located shall provide to the Secretary such assurances as the Secretary may require to establish that the institution has met the requirements for public disclosure under State law if the State report is filed.  20 U.S.C. § 1011(d)(1) (2008). 
    If an institution receives a gift from, or enters into a contract with, a foreign source, where any other department, agency, or bureau of the executive branch requires a report containing requirements substantially similar to those required under this section, a copy of the report may be filed with the Secretary in lieu of a report required under . . . this section.  20 U.S.C. § 1011(d)(2) (2008). 
  • Internal Revenue Code:
    • W-2 Forms (Payroll)
      26 CFR § 31.6051-1.
      By Jan. 31 of the year succeeding the calendar year in which wages were paid to an employee, the employer must furnish the tax return copy and the employee's copy of Form W-2.
    • 1098 Forms (see above) (CASAO)
    • 1099 Forms (Accounts Payable)
      26 C.F.R. § 1.6041-1.
      By January 31 of each year, shall make an information return for the previous calendar year with respect to payments made of fixed or determinable income in excess of $600.00.
    • Transmit Federal Tax and FICA Tax (monthly) (Payroll)
    • 941 Reconciliation to Internal Revenue Service (quarterly) (Payroll)
  • Program Participation Agreements and IPEDS (Office of Institutional Research)
    20 U.S.C. § 1094(a)(17), 34 C.F.R. § 100.6, 29 C.F.R. §§ 1602.48-50.
    As part of the program participation agreements signed in connection with financial aid, an institution must complete surveys conducted as a part of the Integrated Postsecondary Education Data System (IPEDS) or any other Federal postsecondary institution data collection effort, as designated by the Secretary, in a timely manner and to the satisfaction of the Secretary. Filing the required IPEDS forms also fulfills certain reporting requirements under Titles VI and VII and the ADA.  Winter collection closes on or about January 4.  Catholic University Compliance Calendar, http://counsel.cua.edu/thebasics/compliance.cfm.
  • Research misconduct reporting to Office of Research Integrity (due between January and March – ORI will identify reporting period) (annual) (Office of Research Compliance)
  • Student Loan Interest Reporting (Financial Aid)
    26 U.S.C. § 6050S, 26 CFR 1.6050S-3 and 26 CFR 1.6050S-4T (see 67 FR 20901 final and temporary regulations).
    Under I.R.C. § 6050S lenders, including most colleges and universities that participate in the Perkins Loan Program or operate institutional loan programs, must report student loan interest payments to the IRS. This is done by filing Form 1098-E, which must be filed with the IRS on or before February 28, or March 31 if filed electronically. The required statement to all persons who made student loan interest payments must be sent to the payor on or before Jan. 31 of the year following the calendar year in which the interest payments were received. The statement may simply be a copy of Form 1098-E. Catholic University Compliance Calendar, http://counsel.cua.edu/thebasics/compliance.cfm.
  • The Controlled Substances Act of 1970 (Office of Safety) (Research Compliance)
    21 U.S.C. § 827, 21 CFR § 1304.33.
    Reporting obligations for those registered to manufacture and distribute controlled substances. By Jan. 15th of every year, file reports with data on the stocks of each controlled substance on hand by close of business on Dec. 31 of prior year. Manufacturing transaction reports are also to be filed by Jan. 15th for prior calendar year.  Acquisition/Distribution reports shall be filed every quarter not later than the 15th day of the month succeeding the quarter for which it is submitted.  Catholic University Compliance Calendar, http://counsel.cua.edu/thebasics/compliance.cfm.
  • Tuition Payment Credit Reporting Requirements (Cashiers and Student Accounts Office – “CASAO”)
    26 U.S.C. § 6050S, 26 CFR 1.6050S-2T.
    An institution or insurer must furnish a statement to each individual for whom it is required to file a Form 1098-T, on or before January 31 of the year following the calendar year in which payments were received, or amounts were billed, for qualified tuition and related expenses, or reimbursements, refunds, or reductions of such amounts were made.  Catholic University Compliance Calendar, http://counsel.cua.edu/thebasics/compliance.cfm

State Reporting

  • Accounts Receivable Report to North Carolina Office of State Controller (quarterly) (CASAO)
  • Calculate and remit parking fines to Office of State Budget and Management (monthly) (Accounting Services)
  • Employment Statistical Data submitted to Department of Labor (monthly) (Payroll)
  • Historically Underutilized Businesses (HUB) Report submitted to North Carolina Office of State Controller Division of Purchase and Contract (Purchasing) (quarterly)
    Report due January 30
  • Financial status report as required by State agencies (Office of Contracts and Grants) (monthly report)
  • Full Scholarship Book Issuance Audit (August/January) (annual) (Athletics)
    Conducted each semester on randomly selected student-athletes receiving books.
  • North Carolina Department of Administration Motor Fleet Management Mileage Logs (University-wide) (monthly report)
    For State agencies that have been issued vehicles, travel logs must be entered electronically via the web by the 15th calendar day following the month of use. Log sheets must be available for audit for three years.
  • North Carolina Department of Revenue
    • NC-5 Reconciliation (quarterly) (Payroll)
    • NC-5 4% Withholding (quarterly) (Tax Compliance)
    • Sales Tax Returns (quarterly) (Foundation Accounting)
  • SBI Incident or arrest report data (Campus Police) (monthly report)
  • State agency data collection form (copy of report sent to State Auditor must be sent to State Office of Management and Budget) (by January 31st) (annual) (Office of Contracts and Grants)
  • State Construction Office Requirement for Steam Production and Efficiency (Physical Plant) (monthly report)
  • Transmit monthly transactions to the North Carolina Accounting System (“NCAS”) and reconcile BD-701, BD-725, and trial balance to NCAS and UFDM (Financial Reporting) (monthly)
  • Wage and Tax Report (NCUI-101) to North Carolina Employment Security Commission (quarterly) (Payroll)

February

Federal Reporting

  • IBC reporting to NIH (annual report due February 27) (Office of Research Compliance)
  • Occupational Safety and Health Act of 1970 (OSHA) (Office of Safety)
    29 U.S.C. § 654, 29 CFR 1904.32.
    Employers with 11 or more employees must post, from February 1 to April 30, a summary of the total number of job-related injuries and illnesses that occurred in the prior calendar year.  Required to post the annual totals of the information contained on the right-hand portion of OSHA Form 300, "Log and Summary of Occupational Injuries and Illnesses.  The form is to be displayed wherever notices to employees are usually posted.  Catholic University Compliance Calendar, http://counsel.cua.edu/thebasics/compliance.cfm.
  • Research misconduct reporting to Office of Research Integrity (due between January and March – ORI will identify reporting period) (annual) (Office of Research Compliance)
  • Return of Information as to Payments to Employees (Payroll)
    26 CFR § 1.6041-2.
    Employers must file Form W-2 for wages paid to each employee from whom income, social security or Medicare taxes were withheld or income tax would have been withheld if the employee had claimed no more than one withholding allowance or had not claimed exemption from withholding on Form W-4. Anyone required to file Form W-2 must file Form W-3 to transmit Copy A of Forms W-2. The employer must file these forms with the IRS by February 28, or March 31 if filed electronically.  Catholic University Compliance Calendar, http://counsel.cua.edu/thebasics/compliance.cfm.
  • Student Loan Interest Reporting (Financial Aid)
    26 U.S.C. § 6050S, 26 CFR 1.6050S-3 and 26 CFR 1.6050S-4T (see 67 FR 20901 final and temporary regulations).
    Under I.R.C. § 6050S lenders, including most colleges and universities that participate in the Perkins Loan Program or operate institutional loan programs, must report student loan interest payments to the IRS. This is done by filing Form 1098-E, which must be filed with the IRS on or before February 28, or March 31 if filed electronically. The required statement to all persons who made student loan interest payments must be sent to the payor on or before Jan. 31 of the year following the calendar year in which the interest payments were received. The statement may simply be a copy of Form 1098-E.   Catholic University Compliance Calendar, http://counsel.cua.edu/thebasics/compliance.cfm.
  • Transmit Federal Tax and FICA Tax to Internal Revenue Service (monthly) (Payroll)
  • Tuition Payment Credit Reporting Requirements (Cashiers and Student Accounts Office – “CASAO”)
    26 U.S.C. § 6050S, 26 CFR 1.6050S-2T.
    Form 1098-T must be filed with the IRS by February 28 (or March 31, if filed electronically) of the year following the calendar year during which payments were received.  The proposed regulations requiring filing Forms 1098-T on magnetic media impose no additional reporting or record keeping and only prescribe the method of filing information returns that are already required to be filed.  Catholic University Compliance Calendar, http://counsel.cua.edu/thebasics/compliance.cfm.

State Reporting

  • Calculate and remit parking fines to Office of State Budget and Management (monthly) (Accounting Services)
  • Employment Statistical Data submitted to Department of Labor (monthly) (Payroll)
  • Financial status report as required by State agencies (Office of Contracts and Grants) (monthly report)
  • NC-5 Reconciliation and 1099-NCPS Forms (annual) (Tax Compliance)
    File annually with North Carolina Department of Revenue
  • North Carolina Department of Administration Motor Fleet Management Mileage Logs (University-wide) (monthly report)
    For State agencies that have been issued vehicles, travel logs must be entered electronically via the web by the 15th calendar day following the month of use. Log sheets must be available for audit for three years.
  • SBI Incident or arrest report data (Campus Police) (monthly report)
  • State Construction Office Requirement for Steam Production and Efficiency (Physical Plant) (monthly report)
  • Transmit monthly transactions to NCAS and reconcile BD-701, BD-725, and trial balance to NCAS and UFDM (Financial Reporting) (monthly)

March

Federal Reporting

  • Emergency Planning and Community Right-to-Know Act (EPCRA) (Office of Safety)
    42 U.S.C. §§ 11021 and 11022, 40 CFR §370.21 and 370.25.
    By March 1st  of each year, the owner or operator of any facility which is required to prepare or have available a material safety data sheet for a hazardous chemical under OSHA shall prepare and submit an emergency and hazardous chemical inventory format the appropriate local emergency planning committee; the state emergency response commission; and the fire department with jurisdiction over the facility.  Catholic University Compliance Calendar, http://counsel.cua.edu/thebasics/compliance.cfm.
  • Financial Status Reports for federally sponsored awards (Office of Contracts and Grants) (quarterly)
  • Internal Revenue Code
    • Form 1042/1042-S Filing and Information Returns
      26 USC § 871 (Tax Compliance)
      Form 1042-S is used to report all non-employee payments to non-resident aliens and payments to nonresident employees who claim exemptions from federal income taxes due to a tax treaty. (The taxable portion of payments to nonresident employees are reported on IRS Form W-2 in January.)  The institution must file Form 1042, and copies of all Forms 1042-S with the IRS by March 15 of the calendar year following the year in which the income was paid. In addition, Form 1042-S must be sent to each recipient of an amount subject to reporting by March 15 of the calendar year following the year in which the income was paid.  Catholic University Compliance Calendar, http://counsel.cua.edu/thebasics/compliance.cfm.
    • W-2 Forms (Payroll)
      26 CFR § 31.6051-1.
      Must file by March 31 if filing electronically
    • 1098 Forms (see above) (CASAO)
    • 1099 Forms (Accounts Payable)
      F.R. § 1.6041-1.
      Must file by March 31 if filing electronically
    • Return of Information as to Payments to Employees (Payroll)
      26 CFR § 1.6041-2.
      Employers must file Form W-2 for wages paid to each employee from whom income, social security or Medicare taxes were withheld or income tax would have been withheld if the employee had claimed no more than one withholding allowance or had not claimed exemption from withholding on Form W-4. Anyone required to file Form W-2 must file Form W-3 to transmit Copy A of Forms W-2. The employer must file these forms with the IRS by February 28, or March 31 if filed electronically.  Catholic University Compliance Calendar, http://counsel.cua.edu/thebasics/compliance.cfm.
    • Transmit Federal Tax and FICA Tax to Internal Revenue Service (monthly) (Payroll)
  • Office for Human Research Protections (OHRP) federal wide assurance report (every 3 years) (next report due April 5, 2010) (Office of Research Compliance)
  • Program Participation Agreements and IPEDS (Office of Institutional Research)
    20 U.S.C. § 1094(a)(17), 34 C.F.R. § 100.6, 29 C.F.R. §§ 1602.48-50.
    As part of the program participation agreements signed in connection with financial aid, an institution must complete surveys conducted as a part of the Integrated Postsecondary Education Data System (IPEDS) or any other Federal postsecondary institution data collection effort, as designated by the Secretary, in a timely manner and to the satisfaction of the Secretary. Filing the required IPEDS forms also fulfills certain reporting requirements under Titles VI and VII and the ADA.  The Spring collection for 2007 occurred between March 7, 2007 and April 18, 2007. Reporting is done online.  Catholic University Compliance Calendar, http://counsel.cua.edu/thebasics/compliance.cfm.
  • Research misconduct reporting to Office of Research Integrity (due between January and March – ORI will identify reporting period) (annual) (Office of Research Compliance)
  • Student Loan Interest Reporting (Financial Aid)
    26 U.S.C. § 6050S, 26 CFR 1.6050S-3 and 26 CFR 1.6050S-4T (see 67 FR 20901 final and temporary regulations).
    Under I.R.C. § 6050S lenders, including most colleges and universities that participate in the Perkins Loan Program or operate institutional loan programs, must report student loan interest payments to the IRS. This is done by filing Form 1098-E, which must be filed with the IRS on or before February 28, or March 31 if filed electronically. The required statement to all persons who made student loan interest payments must be sent to the payor on or before Jan. 31 of the year following the calendar year in which the interest payments were received. The statement may simply be a copy of Form 1098-E.   Catholic University Compliance Calendar, http://counsel.cua.edu/thebasics/compliance.cfm.
  • The Student Right to Know Law: Information on Completion or Graduation Rates (Office of Institutional Research and Registrar)
    ' 20 U.S.C § 1092; 34 CFR §§ 668.41 and 668.45.
    The disclosure date is July 1 following 150% of the normal time for completion/graduation from its programs.   Completion of the Graduation Rate Survey (GRS) (part of IPEDS reporting) meets the reporting requirements of the Student Right to Know Law. The Spring collection period for IPEDS graduation rates data occurred between March 7, 2007 and April 18, 2007.  Catholic University Compliance Calendar, http://counsel.cua.edu/thebasics/compliance.cfm.
  • The Student Right to Know Law: Report on Completion or Graduation Rates for student athletes (Office of Institutional Research and Athletics)
    20 U.S.C § 1092; 34 CFR §§ 668.41 and 668.48.
    By July 1st of each year, an institution that offers athletically related student aid must submit a report to the Secretary of Education that covers the 1-year period ending August 31 of the previous year. If the school is a member of the NCAA, the NCAA satisfies the individual institution's responsibility to provide prospective student-athletes and their parents, high school coach and guidance counselor their report on completion or graduation rates for student athletes by distributing the NCAA compilation of graduation rate statistics to all secondary schools in the United States.  Catholic University Compliance Calendar, http://counsel.cua.edu/thebasics/compliance.cfm.
  • Tuition Payment Credit Reporting Requirements (Cashiers and Student Accounts Office – “CASAO”)
    26 U.S.C. § 6050S, 26 CFR 1.6050S-2T.
    Form 1098-T must be filed with the IRS by February 28 (or March 31, if filed electronically) of the year following the calendar year during which payments were received.  The proposed regulations requiring filing Forms 1098-T on magnetic media impose no additional reporting or record keeping and only prescribe the method of filing information returns that are already required to be filed.  Catholic University Compliance Calendar, http://counsel.cua.edu/thebasics/compliance.cfm.

State Reporting

  • Calculate and remit parking fines to Office of State Budget and Management (monthly) (Accounting Services)
  • Clean Air Act (Physical Plant) (quarterly report of monthly emissions)
  • Employment Statistical Data submitted to Department of Labor (monthly) (Payroll)
  • Financial status report as required by State agencies (Office of Contracts and Grants) (monthly report)
  • North Carolina Department of Administration Motor Fleet Management Mileage Logs (University-wide) (monthly report)
    For State agencies that have been issued vehicles, travel logs must be entered electronically via the web by the 15th calendar day following the month of use. Log sheets must be available for audit for three years.
  • North Carolina Division of Environment and Natural Resources Hazardous Waste Reports (Office of Safety) (biennial – even numbered years when listed as LQG) (March)
  • North Carolina Division of Environment and Natural Resources Radioactive Waste Disposal Records (Office of Safety) (annual)
  • Office of State Personnel Affirmative Action plan update (March 1st) (annual) (Human Resource Services)
  • SBI Incident or arrest report data (Campus Police) (monthly report)
  • State Construction Office Requirement for Steam Production and Efficiency (Physical Plant) (monthly report)
  • Transmit monthly transactions to NCAS and reconcile BD-701, BD-725, and trial balance to NCAS and UFDM (Financial Reporting) (monthly)

April

Federal Reporting

  • Internal Revenue Service
    • Form 5227 - Split Interest Trust Information Return (annual) (Foundation Accounting)
    • 941 Reconciliation (quarterly) (Payroll)
    • Federal Tax and FICA Tax (monthly) (Payroll)
  • OHRP federal wide assurance (report due every 3 years – next deadline is April 5, 2010) (Office of Research Compliance)
  • Teacher Education Program Reporting Requirements (Office of Institutional Research and School of Education)
    20 U.S.C. § 1027(f).
    Universities must report annually to their state government and the public the pass rate on state teacher certification examinations taken by their graduates.  The reporting deadline is April 1.  Catholic University Compliance Calendar, http://counsel.cua.edu/thebasics/compliance.cfm.

State Reporting

  • Academic Progress Rate Institutional Data (April) (annual) (Athletics)
    Submission of academic progress rate data to General Administration.
  • Accounts Receivable Report to North Carolina Office of State Controller (quarterly) (CASAO)
  • Calculate and remit parking fines to Office of State Budget and Management (monthly) (Accounting Services)
  • Employment Statistical Data submitted to Department of Labor (monthly) (Payroll)
  • Financial status report as required by State agencies (Office of Contracts and Grants) (monthly report)
  • Historically Underutilized Businesses (HUB) Report submitted to North Carolina Office of State Controller Division of Purchase and Contract (Purchasing) (quarterly)
    Report due April 30
  • North Carolina Department of Administration Motor Fleet Management Mileage Logs (University-wide) (monthly report)
    For State agencies that have been issued vehicles, travel logs must be entered electronically via the web by the 15th calendar day following the month of use. Log sheets must be available for audit for three years.
  • North Carolina Department of Revenue
    • D407 - Estates & Trusts Income Tax Return (annual) (Foundation Accounting)
    • NC-5 Reconciliation (quarterly) (Payroll)
    • NC-5 4% Withholding (quarterly) (Tax Compliance)
    • Sales Tax Returns (quarterly) (Foundation Accounting)
  • SBI Incident or arrest report data (Campus Police) (monthly report)
  • State Construction Office Requirement for Steam Production and Efficiency (Physical Plant) (monthly report)
  • Transmit monthly transactions to NCAS and reconcile BD-701, BD-725, and trial balance to NCAS and UFDM (Financial Reporting) (monthly)
  • UNC Board of Governors Report (April) (annual) (Athletics)
    Compiled annually, reports graduation rates of comparative data between student-athletes and general student population.
  • Wage and Tax Report (NCUI-101) to North Carolina Employment Security Commission (quarterly) (Payroll)

Other Reporting

  • National Letter of Intent Program and Scholarship Agreement (November/February/April) (annual) (Athletics)
    A program administered outside the NCAA by the Collegiate Commissioners Association.  Once a prospective student-athlete signs an NLI they are bound to that institution unless they matriculate at an institution that does not participate in the NLI program, i.e. service academies and Ivey leagues.
  • Accountability for Programs that Prepare Teachers (Section 205 of the Higher Education Opportunity Act of 2008) (Office of Institutional Research and School of Education)
    Each institution of higher education that conducts a teacher preparation program leading to State certification or licensure and that enrolls students receiving Federal assistance under this Act shall report annually to the State and the general public the following:
    • how it met goals and assurances set forth in Section 206 (a new provision requiring institutions to set goals to prepare teachers in high-need fields and diverse classrooms)
    • student results on the State's teacher licensing exam
    • admission criteria for the institution's teacher training program disaggregated by, among other things, gender, race, and ethnicity
    • an explanation of whether or not the institution's program has been designated as low-performing by the state
    • a description of steps the program has taken to assist teachers with technology, special education instruction, and general education instruction
    Note: These reports are known as "institutional report cards." The State also must file “state report cards" with ED annually, which are compilations from the reports institutions file with the State.

May

Federal Reporting

  • Health Insurance Portability and Accountability Act of 1996 (HIPAA) (Academic Affairs) 
    42 U.S.C. § 300gg and 29 U.S.C § 1181 et seq.
    Standard Unique Health Identifier for Health Care Providers - 69 FR 3433
    Covered entities must use the identifier in connection with standard transactions.  The final rule is effective May 23, 2005, except for Sec. 162.210 governing employer identification numbers. The effective date of this final rule marks the beginning of the implementation period for the NPI, which is distinct from the compliance dates of the NPI. For the compliance date, HHS adopts the requirement that covered entities (except small health plans) must obtain an NPI and must use the NPI in standard transactions no later than May 23, 2007.  Small health plans must do so no later than May 23, 2008.  Catholic University Compliance Calendar, http://counsel.cua.edu/thebasics/compliance.cfm.
  • Internal Revenue Service
    • Transmit Federal Tax and FICA Tax to Internal Revenue Service (monthly) (Payroll)

State Reporting

  • Calculate and remit parking fines to Office of State Budget and Management (monthly) (Accounting Services)
  • Employment Statistical Data submitted to Department of Labor (monthly) (Payroll)
  • Financial status report as required by State agencies (Office of Contracts and Grants) (monthly report)
  • North Carolina Department of Administration Motor Fleet Management Mileage Logs (University-wide) (monthly report)
    For State agencies that have been issued vehicles, travel logs must be entered electronically via the web by the 15th calendar day following the month of use. Log sheets must be available for audit for three years.
  • North Carolina Department of Environment and Natural Resources Radioactive Materials License Renewal (Office of Safety) (annual)
  • SBI Incident or arrest report data (Campus Police) (monthly report)
  • State Construction Office Requirement for Steam Production and Efficiency (Physical Plant) (monthly report)
  • Transmit monthly transactions to NCAS and reconcile BD-701, BD-725, and trial balance to NCAS and UFDM (Financial Reporting) (monthly)

Other Reporting

  • NCAA Annual Certification/Test to Recruit Off-Campus  (May/June) (annual) (Athletics)
    Conducted by a Southern Conference official or UNCG Faculty Athletics Representative certifying acceptable recruiting knowledge of NCAA rules and regulations by all coaches.
  • NCAA Athletics Certification (every ten years) (next certification period will be May 1, 2010 – May 1, 2011) (Athletics)
    Institutional self-study and athletic certification process.
  • NCAA Division I Institutions Sports Report (May) (annual) (Athletics)
    Report generated for each sport compiling number of contests and participants.
  • NCAA Graduate Success Rate Report (May) (annual) (Athletics)
    Data gathered by Institutional Research used by NCAA to compute graduation rates for student-athletes compared to total student population.
  • NCAA Sports Sponsorship Institutional Demographics Report (May) (annual) (Athletics)
    NCAA report outlining number of sports sponsored and demographics of staff.
  • Southern Conference Special Assistance Fund Report (May) (annual) (Athletics)

June

Federal Reporting

  • Financial Status Reports for federally sponsored awards (Office of Contracts and Grants) (quarterly)
  • Hazardous Materials Transportation Act of 1994 (Office of Safety)
    49 USC § 5108; 49 CFR § 107.608.
    Each person who transports or causes to be transported hazardous material shall file annually a complete and accurate registration statement on DOT Form F 5800.2 no later than June 30 for each registration year. Each registration year begins on July 1 and ends on June 20.  Catholic University Compliance Calendar, http://counsel.cua.edu/thebasics/compliance.cfm.
  • IACUC (Institutional Animal Care and Use Committee) reporting (annual report due June 1st) (Office of Research Compliance)
  • Internal Revenue Service
    • Transmit Federal Tax and FICA Tax to Internal Revenue Service (monthly) (Payroll)
    • Unrelated Business Income Tax (UBIT) Report (June 30) (annual) (Tax Compliance Officer)

State Reporting

  • Calculate and remit parking fines to Office of State Budget and Management (monthly) (Accounting Services)
  • Clean Air Act (Physical Plant) (quarterly report of monthly emissions)
  • Employment Statistical Data submitted to Department of Labor (monthly) (Payroll)
  • Financial status report as required by State agencies (Office of Contracts and Grants) (monthly report)
  • North Carolina Department of Administration Motor Fleet Management Mileage Logs (University-wide) (monthly report)
    For State agencies that have been issued vehicles, travel logs must be entered electronically via the web by the 15th calendar day following the month of use. Log sheets must be available for audit for three years.
  • SBI Incident or arrest report data (Campus Police) (monthly report)
  • State Construction Office Requirement for Steam Production and Efficiency (Physical Plant) (monthly report)
  • Transmit monthly transactions to NCAS and reconcile BD-701, BD-725, and trial balance to NCAS and UFDM (Financial Reporting) (monthly)

Other Reporting

  • NCAA Academic Enhancement Fund Usage Report (June) (annual) (Athletics)
    Report explaining usage of the NCAA monies.
  • NCAA Annual Certification/Test to Recruit Off-Campus (May/June) (annual) (Athletics)
    Conducted by a Southern Conference official or UNCG Faculty Athletics Representative certifying acceptable recruiting knowledge of NCAA rules and regulations by all coaches.
  • NCAA Official Visits Records Report (June) (annual) (Athletics)
    Generated by Associate Athletics Director for Student Welfare this is a compilation of official recruiting visits that occurred in the fiscal year.
  • Southern Conference Student-Athlete Opportunities Fund Report (June) (annual) (Athletics)

July

Federal Reporting

  • Exchange Visitor Program report submitted to Department of State (July) (annual) (International Programs Center)
  • Higher Education Act of 1965 and Higher Education Amendments of 1998
    20 U.S.C. § 1011. (Office of Contracts and Grants)
    Whenever any institution is owned or controlled by a foreign source or receives a gift from or enters into a contract with a foreign source, the value of which is $250,000 or more, considered alone or in combination with all other gifts from or contracts with that foreign source within a calendar year, the institution shall file a disclosure report with the Secretary on January 31 or July 31, whichever is sooner.  20 U.S.C. § 1011(f) (2008).
  • Internal Revenue Service
    • 941 Reconciliation to Internal Revenue Service (quarterly) (Payroll)
    • Transmit Federal Tax and FICA Tax to Internal Revenue Service (monthly) (Payroll)
  • Voter Registration Provision in Higher Education Amendments of 1998 (Registrar’s Office)
    Pub. L. No. 105-244, 112 Stat. 1581 (1998) and 20 U.S.C. § 1094(a)(23)(A).
    An institution must request voter registration forms from the state 120 days prior to the deadline for registering to vote and make the forms "widely available" to each student enrolled in a degree or certificate program and physically in attendance at the institution. Many states have voter registration forms online, which makes compliance easier and the timeline less onerous, as links can be posted in September for November elections covered under the law.   Catholic University Compliance Calendar, http://counsel.cua.edu/thebasics/compliance.cfm.

State Reporting

  • Accounts Receivable Report to North Carolina Office of State Controller (quarterly) (CASAO)
  • Calculate and remit parking fines to Office of State Budget and Management (monthly) (Accounting Services)
  • Employment Statistical Data submitted to Department of Labor (monthly) (Payroll)
  • Financial status report as required by State agencies (Office of Contracts and Grants) (monthly report)
  • Historically Underutilized Businesses (HUB) Report submitted to North Carolina Office of State Controller Division of Purchase and Contract (Purchasing) (quarterly)
    Report due July 31
  • North Carolina Department of Administration Motor Fleet Management Mileage Logs (University-wide) (monthly report)
    For State agencies that have been issued vehicles, travel logs must be entered electronically via the web by the 15th calendar day following the month of use. Log sheets must be available for audit for three years.
  • North Carolina Department of Revenue
    • NC-5 Reconciliation (quarterly) (Payroll)
    • NC-5 4% Withholding (quarterly) (Tax Compliance)
    • Sales Tax Returns (quarterly) (Foundation Accounting)
  • SBI Incident or arrest report data (Campus Police) (monthly report)
  • State Construction Office Requirement for Steam Production and Efficiency (Physical Plant) (monthly report)
  • Transmit monthly transactions to NCAS and reconcile BD-701, BD-725, and trial balance to NCAS and UFDM (Financial Reporting) (monthly)
  • Wage and Tax Report (NCUI-101) to North Carolina Employment Security Commission (quarterly) (Payroll)

Other Reporting

  • NCAA Certification of Transfer Eligibility (July/August) (annual) (Athletics)
    Annual certification of transfer eligibility to compete and receive financial aid.

August

Federal Reporting

State Reporting

  • Calculate and remit parking fines to Office of State Budget and Management (monthly) (Accounting Services)
  • Comprehensive annual financial report (Single Audit Reporting Package) submitted to the North Carolina Office of the State Controller no later than August 31st (annual) (Accounting Services)
  • Employment Statistical Data submitted to Department of Labor (monthly) (Payroll)
  • Financial status report as required by State agencies (Office of Contracts and Grants) (monthly report)
  • Full Scholarship Book Issuance Audit (August/January) (annual) (Athletics)
    Conducted each semester on randomly selected student-athletes receiving books.
  • North Carolina Department of Administration Motor Fleet Management Mileage Logs (University-wide) (monthly report)
    For State agencies that have been issued vehicles, travel logs must be entered electronically via the web by the 15th calendar day following the month of use. Log sheets must be available for audit for three years.
  • North Carolina Division of Environment and Natural Resources Hazardous Waste Minimization Report (Office of Safety) (annual)
  • Schedule of Federal Financial Assistance submitted to North Carolina Office of State Controller (annual) (Contracts and Grants)
  • SBI Incident or arrest report data (Campus Police) (monthly report)
  • State Construction Office Requirement for Steam Production and Efficiency (Physical Plant) (monthly report)
  • Transmit monthly transactions to NCAS and reconcile BD-701, BD-725, and trial balance to NCAS and UFDM (Financial Reporting) (monthly)

Other Reporting

  • NCAA Administrative Review Subcommittee Waivers (August) (annual) (Athletics)
    Infrequently used waiver seeking relief of NCAA rules and regulations.
  • NCAA Annual Academic Certification to Compete, Practice and Receive Athletically Related Aid  (August) (annual) (Athletics)
    Conducted at student-athletes start-up meeting certifying eligibility to compete, practice and receive athletically related aid.
  • NCAA Annual Certification of On-Campus Recruiting Rules (August) (annual) (Athletics)
    Conducted in annual department start-up meeting certifying knowledge of rules and regulations that apply to on-campus recruiting.
  • NCAA Buckley Waiver Form (August/September) (Prior to first day of practice for each team) (annual) (Athletics)
    Annual sign-off by student-athletes that provides department access to student-athlete educational records.
  • NCAA Continuing Eligibility Waivers (August) (annual) (Athletics)
    Requested submitted by University to NCAA seeking a waiver of relief from at least one element or aspect of continuing eligibility requirements.
  • NCAA Drug Consent Form (August/September) (Prior to first day of practice for each team) (annual) (Athletics)
    Two forms signed at annual student-athletes start-up meeting:  (1) consent to conduct NCAA test and (2) to conduct testing through UNCG intervention policy where results might be shared with parents.
  • NCAA Initial Eligibility Waiver (August) (annual) (Athletics)
    Request submitted by University to NCAA seeking a waiver of relief from at least one element or aspect of initial eligibility requirements.
  • NCAA Injury Surveillance System (ISS) (annual) (Athletics)
    FERPA Consent signed by each student-athlete prior to participation annually and filed in each student-athletes’ medical chart.
  • NCAA International Student-Athlete Eligibility Form (August/September) (Prior to first day of practice for each team) (annual) (Athletics)
    Annual certification of eligibility of international student-athletes to compete and receive financial aid.
  • NCAA Squad List (August/September) (Prior to first day of competition for each team) (annual)  (Athletics)
    Annual listing of certified participants in each sport sponsored by University.
  • NCAA Student-Athlete Employment Declaration Form (August/September) (Prior to first day of practice for each team) (annual) (Athletics)
    Annual declaration of employment by student-athletes.
  • NCAA Student-Athlete Vehicle Declaration Form (August/September) (Prior to first day of practice for each team) (annual) (Athletics)
    Annual declaration of ownership of vehicle(s) used by student-athletes.
  • Southern Conference Sportsmanship/Crowd Control/Technical Conduct Meeting Certification (August) (annual) (Athletics)
    Conducted annually in conjunction with student-athletes start-up meeting policy verbally communicated to the student-athletes by either the Chancellor or the Provost.
  • Southern Conference Squad List Report (August/September) (Prior to first day of competition) (annual) (Athletics)
    Annual listing of certified participants in each sport sponsored by University.

September

Federal Reporting

State Reporting

  • Annual Financial Statements submitted to the North Carolina Office of the State Auditor (annual) (Accounting Services)
  • Calculate and remit parking fines to Office of State Budget and Management (monthly) (Accounting Services)
  • Clean Air Act (Physical Plant) (quarterly report of monthly emissions)
  • Employment Statistical Data submitted to Department of Labor (monthly) (Payroll)
  • Financial Statement Footnotes submitted to  the North Carolina Office of the State Controller and Office of State Auditor (annual) (Accounting Services)
  • Financial status report as required by State agencies (Office of Contracts and Grants) (monthly report)
  • North Carolina Department of Administration Motor Fleet Management Mileage Logs (University-wide) (monthly report)
    For State agencies that have been issued vehicles, travel logs must be entered electronically via the web by the 15th calendar day following the month of use. Log sheets must be available for audit for three years.
  • SBI Incident or arrest report data (Campus Police) (monthly report)
  • State Construction Office Requirement for Steam Production and Efficiency (Physical Plant) (monthly report)
  • Transmit monthly transactions to NCAS and reconcile BD-701, BD-725, and trial balance to NCAS and UFDM (Financial Reporting) (monthly)

Other Reporting

  • NCAA Academic Progress Rate (six weeks after the first day of classes) (September) (annual) (Athletics)
    Annual compilation of data reported to NCAA for each sport.
  • NCAA Buckley Waiver Form (August/September) (Prior to first day of practice for each team) (annual) (Athletics)
    Annual sign-off by student-athletes that provides department access to student-athlete educational records.
  • NCAA Certification of Compliance for Institution (September 15th) (annual) (Athletics)
    Annual sign off by Chancellor that institution is in compliance.
  • NCAA Certification of Compliance for Staff Members of Athletics Departments (September 15th)  (annual) (Athletics)
    Annual certification of compliance by department staff on NCAA rules and regulations.
  • NCAA Drug Consent Form (August/September) (Prior to first day of practice for each team) (annual) (Athletics)
    Two forms signed at annual student-athletes start-up meeting:  (1) consent to conduct NCAA test and (2) to conduct testing through UNCG intervention policy where results might be shared with parents.
  • NCAA International Student-Athlete Eligibility Form (August/September) (Prior to first day of practice for each team) (annual) (Athletics)
    Annual certification of eligibility of international student-athletes to compete and receive financial aid.
  • NCAA Student-Athlete Employment Declaration Form (August/September) (Prior to first day of practice for each team) (annual) (Athletics)
    Annual declaration of employment by student-athletes.
  • NCAA Student-Athlete Vehicle Declaration Form (August/September) (Prior to first day of practice for each team) (annual) (Athletics)
    Annual declaration of ownership of vehicle(s) used by student-athletes.
  • NCAA Squad List  (August/September) (Prior to first day of competition for each team) (annual) (Athletics)
    Annual listing of certified participants in each sport sponsored by University.
  • Southern Conference Squad List Report (August/September) (Prior to first day of competition) (annual) (Athletics)
    Annual listing of certified participants in each sport sponsored by University.

October

Federal Reporting

  • Campus Security Act of 1990 (Campus Police)
    20 U.S.C. § 1092(a)(1)(O) and § 1092(f)(5) and 34 C.F.R. § 668.46 and § 668.41.
    The Campus Security Act requires colleges to report campus crime statistics and security measures to all students and employees by October 1st of each year. The annual security report must also be submitted to the Secretary of Education (over the internet) each year, by October 15th of each year. Catholic University Compliance Calendar, http://counsel.cua.edu/thebasics/compliance.cfm. The 2008 HEOA amended the reporting requirements to require the inclusion of:
    • information regarding the existence of any agreements (MOUs) with State and local law enforcement agencies for the investigation of alleged criminal offenses and
    • the reporting of four (4) additional crimes (larceny-theft, simple assault, intimidation, and destruction, damage or vandalism of property) but only if such offenses are committed as hate crimes (i.e., if the victim is intentionally selected because of race, gender, religious, sexual orientation, ethnicity or disability).
    Sections 488 (e) and (f) of the Higher Education Opportunity Act of 2008.
  • Campus Sex Crimes Prevention Act (Campus Police)
    Pub. L. No. 106-386 and 42 U.S.C. § 14071j and 20 U.S.C. § 1092(f)(1)(I).
    Notification under the Act may be accomplished by adding the statement to the Annual Security Report required by the Campus Security Act.  Suggested deadline of October 1st of each year to coincide with Annual Security Report.  The notice requirement is ongoing.  Catholic University Compliance Calendar, http://counsel.cua.edu/thebasics/compliance.cfm.
  • Equity in Athletics Disclosure Act of 1994 (Athletics)
    20 U.S.C. § 1092g; 34 C.F.R. §§ 668.41 and 47.
    Each coed institution of higher education that participates in Title IV programs, and has an intercollegiate athletic program, must no later than October 15th of each year, make available on request to enrolled students, prospective students, and the public, the report required to be produced under this law. Within 15 days of making the report available to students, prospective students, and the public, (at the latest October 30th each year) the school must submit the report to the Secretary of Education. Catholic University Compliance Calendar, http://counsel.cua.edu/thebasics/compliance.cfm.  Report must be submitted by January 15th to the NCAA.  The report accounts for all revenues  provided/raised and expenditures incurred by the ICA for the fiscal year ending June 30.  An annual financial audit of this report is conducted by an outside firm (McGladrey & Pullen) per NCAA Bylaw 6.2.3.  This report is prepared in conjunction with the University’s Internal Auditor.
  • Financial status report as required by State agencies (Office of Contracts and Grants) (monthly report)
  • FISAP reporting (by October 1st) (annual) (Financial Aid) (Accounting Services)
    FISAP represents fiscal operations and request for future funding for Title IV Federal Campus Based funds (SEOG, Perkins Loans and Workstudy) and Federal Pell Grant Reporting.
  • IACUC/OLAW (Office of Laboratory Animal Welfare) Assurance (report due every 5 years – next deadline is 10-31-08)
  • Internal Revenue Service
    • Transmit Federal Tax and FICA Tax to Internal Revenue Service (monthly) (Payroll)
    • 941 Reconciliation to Internal Revenue Service (quarterly) (Payroll)
  • Program Participation Agreements and IPEDS (Office of Institutional Research)
    20 U.S.C. § 1094(a)(17), 34 C.F.R. § 100.6, 29 C.F.R. §§ 1602.48-50.
    As part of the program participation agreements signed in connection with financial aid, an institution must complete surveys conducted as a part of the Integrated Postsecondary Education Data System (IPEDS) or any other Federal postsecondary institution data collection effort, as designated by the Secretary, in a timely manner and to the satisfaction of the Secretary. Filing the required IPEDS forms also fulfills certain reporting requirements under Titles VI and VII and the ADA.  Deadline is on or about October 18 for submission of data on tuition and completion (the Fall Collection). Catholic University Compliance Calendar, http://counsel.cua.edu/thebasics/compliance.cfm.
    IPEDS Section F submitted to UNC GA (Financial Reporting)
  • The Drug-Free Schools and Communities Act Amendments of 1989 (Student Affairs) (Business Affairs)
    20 U.S.C. § 1011i and 34 C.F.R. § 86.100.
    Annual distribution to students and employees the institution's standards of conduct with respect to illegal drugs and alcohol, a description of the applicable legal sanctions and health risks; as well as availability of drug and alcohol counseling available to employees and students.  Must also include a statement on sanctions the institution will impose for violation of the standards of conduct. The law does not mandate a particular date for distribution, but suggested distribution is to make this information part of the Annual Security Report distribution of which is required by October 1st of each year.  Catholic University Compliance Calendar, http://counsel.cua.edu/thebasics/compliance.cfm.
    Must conduct biennial review of drug prevention program (even-numbered years) (due 2010).
    2008 HEOA Amendment:  Upon enrollment, Institutions must provide each student a separate, clear, and conspicuous written notice that advises the student of institutional penalties associated with drug-related offenses.  In addition, in the event the institution is notified by ED that a student has lost a grant, loan, or work-study eligibility, due to a drug- related offense, the institution must timely notify the student in a separate, clear and conspicuous written notice of the loss of eligibility and ways to regain eligibility.  (Section 488(k) of the Higher Education Opportunity Act of 2008)

State Reporting

  • Accounts Receivable Report to North Carolina Office of State Controller (quarterly) (CASAO)
  • Calculate and remit parking fines to Office of State Budget and Management (monthly) (Accounting Services)
  • Employment Statistical Data submitted to Department of Labor (monthly) (Payroll)
  • Historically Underutilized Businesses (HUB) Report submitted to North Carolina Office of State Controller Division of Purchase and Contract (Purchasing) (quarterly)
    Report due October 30
  • State agency data collection form to Office of State Auditor (by October 1st) (annual) (Office of Contracts and Grants)
  • North Carolina Department of Administration Motor Fleet Management Mileage Logs (University-wide) (monthly report)
    For State agencies that have been issued vehicles, travel logs must be entered electronically via the web by the 15th calendar day following the month of use. Log sheets must be available for audit for three years.
  • North Carolina Department of Revenue
    • NC-5 Reconciliation (quarterly) (Payroll)
    • NC-5 4% Withholding (quarterly) (Tax Compliance)
    • Sales Tax Returns (quarterly) (Foundation Accounting)
  • SBI Incident or arrest report data (Campus Police) (monthly report)
  • State Construction Office Requirement for Steam Production and Efficiency (Physical Plant) (monthly report)
  • Transmit monthly transactions to NCAS and reconcile BD-701, BD-725, and trial balance to NCAS and UFDM (Financial Reporting) (monthly)
  • Wage and Tax Report (NCUI-101) to North Carolina Employment Security Commission (quarterly) (Payroll)
  • Executive Order No. 156 (State Government Environmental Sustainability, Reduction of Solid Waste, and Procurement of Environmentally Preferable Products) (Project Green) (annual) (Business Affairs)
    By the first of October annually, each state agency shall report to the Division of Pollution Prevention and Environmental Assistance for the previous fiscal year the following information, at a minimum: activities or programs implemented to reduce the amount of solid waste generated by the agency; quantities and types of materials collected for recycling by the agency; and the dollar amounts and types of recycled products purchased.  http://p2pays.net/ref/03/02221.pdf

Other Reporting

  • Division IA Athletic Directors’ Association Disclosure Report (late October/early November) (annual) (Athletics)
  • NCAA Officiating, Rules Changes and Video Certification for Men’s and Women’s Basketball (on or before October 15th) (annual) (Athletics)
    Annual sign off by basketball coaches that they have reviewed officiating and rules changes.
  • Southern Conference ICA Survey (October 31st) (annual) (Athletics)
    Compiled by the Business Office of each athletics department.  Is used for comparative data institution to institution.  (Compatible to EADA report).

November

Federal Reporting

  • Financial status report as required by State agencies (Office of Contracts and Grants) (monthly report)
  • Internal Revenue Service
    • Filing Form 990 (Tax Compliance)
      26 U.S.C § 6033 and 26 CFR § 1.6033-2.
      Exempt organizations who do not fall under a statutory exception must file an annual return with the Internal Revenue Service. The return must be filed on or before the 15th day of the fifth calendar month following the close of the institution's fiscal year. As the fiscal year at UNCG ends on June 30th, the return is due November 15th of each year.
    • Transmit Federal Tax and FICA Tax to Internal Revenue Service (monthly) (Payroll)

State Reporting

  • Calculate and remit parking fines to Office of State Budget and Management (monthly) (Accounting Services)
  • Employment Statistical Data submitted to Department of Labor (monthly) (Payroll)
  • North Carolina Department of Administration Motor Fleet Management Mileage Logs (University-wide) (monthly report)
    For State agencies that have been issued vehicles, travel logs must be entered electronically via the web by the 15th calendar day following the month of use. Log sheets must be available for audit for three years.
  • SBI Incident or arrest report data (Campus Police) (monthly report)
  • State Construction Office Requirement for Steam Production and Efficiency (Physical Plant) (monthly report)
  • Transmit monthly transactions to NCAS and reconcile BD-701, BD-725, and trial balance to NCAS and UFDM (Financial Reporting) (monthly)

Other Reporting

  • Division IA Athletic Directors’ Association Disclosure Report (late October/early November) (annual) (Athletics)

December

Federal Reporting

  • Animal Welfare Act (Office of Research Compliance)
    9 CFR § 2.36.
    If live animals are used by the institution in research, tests, experiments or for teaching, then the part of the institution responsible for the research must submit an annual report to the AC Regional Director for the state where the institution is located on or before December 1st of each calendar year. The report shall be signed by the CEO of Institutional Official and shall cover the previous fiscal year.  Catholic University Compliance Calendar, http://counsel.cua.edu/thebasics/compliance.cfm.
  • Financial Status Reports for federally sponsored awards (Office of Contracts and Grants) (quarterly)
  • Internal Revenue Service
  • Occupational Safety and Health Act of 1970 (OSHA) (Office of Safety)
    29 U.S.C. § 654 and 29 CFR 1904.32.
    By December 31st of each calendar year, the employer must review the OSHA 300 Log to verify entries, create an annual summary of injuries and illnesses, and certify the summary, which must be posted no later than February 1st of the following year and kept in place until April 30th.  Catholic University Compliance Calendar, http://counsel.cua.edu/thebasics/compliance.cfm.
  • Program Participation Agreements and IPEDS (Office of Institutional Research)
    20 U.S.C. § 1094(a)(17), 34 C.F.R. § 100.6, 29 C.F.R. §§ 1602.48-50.
    As part of the program participation agreements signed in connection with financial aid, an institution must complete surveys conducted as a part of the Integrated Postsecondary Education Data System (IPEDS) or any other Federal postsecondary institution data collection effort, as designated by the Secretary, in a timely manner and to the satisfaction of the Secretary. Filing the required IPEDS forms also fulfills certain reporting requirements under Titles VI and VII and the ADA.  The Winter collection opens on or about December 1st.  Catholic University Compliance Calendar, http://counsel.cua.edu/thebasics/compliance.cfm.

State Reporting

  • Calculate and remit parking fines to Office of State Budget and Management (monthly) (Accounting Services)
  • Clean Air Act (Physical Plant) (quarterly report of monthly emissions)
  • Employment Statistical Data submitted to Department of Labor (monthly) (Payroll)
  • Financial status report as required by State agencies (Office of Contracts and Grants) (monthly report)
  • Identity Theft Protection Act (by December 31st) (annual) (University Counsel)
  • North Carolina Department of Administration Motor Fleet Management Mileage Logs (University-wide) (monthly report)
    For State agencies that have been issued vehicles, travel logs must be entered electronically via the web by the 15th calendar day following the month of use. Log sheets must be available for audit for three years.
  • Personal Contracted Services Report submitted to the Office of State Budget and Management (annual) (Accounting Services)
  • SBI Incident or arrest report data (Campus Police) (monthly report)
  • State Construction Office Requirement for Steam Production and Efficiency (Physical Plant) (monthly report)
  • Transmit monthly transactions to NCAS and reconcile BD-701, BD-725, and trial balance to NCAS and UFDM (Financial Reporting) (monthly)
  • University published annual financial report submitted to the North Carolina Office of the State Controller (annual) (Accounting Services)

Other Reporting

  • NCAA Legislative Review Institution Vote (December) (annual) (Athletics)
    Conference tally sheet on institutional votes.

Annual (No Date Specified)

Academic Affairs

  • Teacher Development (Section 206 of the Higher Education Opportunity Act of 2008)
    Institutions must provide assurances annually to ED that:
    • candidates being prepared to teach special education students are prepared in content areas:
    • general education candidates are prepared to teach students with disabilities, English-language learners, and low-income;
    • candidates, as applicable, are prepared to teach in urban and rural schools;
    • candidates are prepared to teach in Local Educational Agencies and states where the institutions' graduates are likely to teach; and
    • candidates' preparation provides them with the tools to meet school and instructional needs.

Academic Affairs/Financial Aid

  • Exit Counseling (Section 488(b) of the Higher Education Opportunity Act of 2008
    An institution must provide counseling to borrowers of loans (with certain types of loans excepted), either prior to completion of studies or at the time of departure from the institution, which includes information regarding:
    • information on available repayment plans
    • debt management strategies designed to facilitate repayment
    • explanation that the borrower has options to prepay each loan, pay each loan on a shorter schedule, and change repayment plans
    • terms and conditions of full or partial loan forgiveness programs or cancellation of the principal and interest programs, general description of the terms and conditions of forbearance programs that may allow the borrower to defer repayment of principal or interest or be granted forbearance
    • default consequences
    • information on the effects of using a consolidation loan including:
      • effects on total interest to be paid, fees to be paid, and length of repayment
      • effects on borrowers' underlying loan benefits, including grace periods, loan forgiveness, cancellation, and deferment opportunities
      • option of the borrower to prepay the loan or to change repayment plans
      • that borrower benefit programs may vary among different lenders
    • general description of the types of tax benefits that may be available to borrowers
    • notice to borrowers about the availability of the National Student Loan Data System and how the system can be used by a borrower to obtain information on the status of the borrower's loans.

Academic Affairs/Institutional Research

  • Retention Rate (Section 488(a)(1)(U) of the Higher Education Opportunity Act of 2008)
    Institutions must provide information regarding the retention rate of certificate or degree-seeking, first-time, full-time, and undergraduate students entering the institution.

Academic Affairs/Student Affairs

  • Student Body Diversity (Section 488(a)(1)(Q) of the Higher Education Opportunity Act of 2008)
    Institutions must provide information regarding the percentage of enrolled, full-time students who:
    • are male
    • are female
    • receive a federal PELL grant; or
    • self-identify as a member of a major racial or ethnic group

Alumni Relations/Office of Institutional Research/Career Services

  • Alumni Employment and Post-Graduate Education (Section 488(a)(1)(R) and (S) of the Higher Education Opportunity Act of 2008)
    Institutions must provide information regarding
    • placement in employment and types of employment obtained by graduates of degree or certificate programs, gathered from such sources as alumni surveys, student satisfaction surveys, National Survey of Student Engagement, State Data Systems or other relevant sources and
    • information regarding the types of graduate and professional education in which graduates of the institutions four-year degree programs enrolled, gathered from the same suggested sources set forth above.

Campus Police

  • North Carolina Criminal Justice Training and Standards Commission
    • Form F-9A, Firearms Qualification Record (annual)
    • Form F-9, Training Certification (annual)
  • Emergency Response Policy (Section 488 (e)(1)(J) of the Higher Education Opportunity Act of 2008)
    Institutions must publish a statement of current campus policies regarding emergency response and evacuation procedures. Policies shall include procedures to:
    • immediately notify the campus community upon the confirmation of a significant emergency or dangerous situation involving an immediate threat to the health or safety of students or staff occurring on the campus, unless issuing a notification will compromise efforts to contain the emergency;
    • publicize emergency response and evacuation procedures on an annual basis in a manner designed to reach students and staff; and
    • test emergency response and evacuation procedures on an annual basis.
    Emergency response and evacuation procedures shall be tested annually and include the use of electronic cellular communications if appropriate.

Career Services Center

  • Disclosure and evaluation forms for EPA staff (annual)

Financial Aid/Information Technology Services

  • Copyright Infringement Policy Disclosures (Peer-to-Peer [P2P] File Sharing) (Section 485 of the Higher Education Opportunity Act of 2008)
    Must certify to the Secretary of Education that the institution has developed plans to “effectively combat” the unauthorized distribution of copyrighted material.

Information Technology Services/Student Affairs

  • Copyright Infringement Policy Disclosures (Peer-to-Peer [P2P] File Sharing) (Section 485 of the Higher Education Opportunity Act of 2008)
    Institutions are required to make an annual disclosure that informs students that the illegal distribution of copyrighted materials may subject them to criminal and civil penalties and describes the steps that the institution will take to detect and punish illegal distribution of copyrighted materials.

Office of Institutional Research

  • Completion and Graduation Rates (Section 488(a)(7)(A)(i) of the Higher Education Opportunity Act of 2008)
    Even before enactment of the current HEA amendments, institutions were required to provide information regarding completion and graduation rates of certificate or degree seeking, full-time, undergraduate students. As a result of the amendments, if the number of students leaving due to military service, church mission service and foreign aid service of the Federal Government represent more from 20 percent of the total student body, those students can be excluded in the calculations of completion and graduation rates. In addition, institutions are now required to disaggregate data on completion and graduation rates by:
    • gender
    • major racial and ethnic subgroup
    • receipt of a Pell Grant
    • receipt of specific federal loans but not a Pell Grant
    • non-receipt of a Pell Grant or specific federal loans
    If this disaggregation of data would not yield statistically reliable information or would reveal personally identifiable information, the institution will not have to disaggregate data in this manner and shall so note in the information it provides.

Office of Institutional Research/Financial Aid

Office of Research & Public/Private Sector Partnerships, University Relations, Office of Sponsored Programs, Office of Institutional Research

  • Certification Regarding Use of Certain Federal Funds (Section 119 of the Higher Education Opportunity Act of 2008)
    Institutions receiving HEA funds must certify annually to the Department of Education that the funds were not used to hire registered lobbyists or to pay any person to attempt to influence federal contracts, grants or loans.

Office of Safety

  • NC DOI (Insurance) Fire Protection System Testing Records (during inspections (annually)
  • NC OSHA/NC DOI Fire Extinguisher Inspection Records (during inspections) (annually)
  • NC OSHA BLS Injury/Illness Survey (when requested – usually first quarter) (annual)
  • Fire Safety Disclosures (Section 488(i)(1) and (2) of the Higher Education Opportunity Act of 2008)
    Each institution that participates in federal financial aid programs and that maintain on-campus student housing must provide an annual report to the Secretary of Education containing the following statistics
    • number of fires and the cause of each
    • number of injuries related to a fire that resulted in treatment at a medical facility
    • number of deaths related to a fire; and
    • value of property damage caused.
    The report must also include
    • a description of each on-campus student housing facility fire safety system
    • the number of regular mandated supervised fire drills
    • policies or rules on portable electrical appliances, smoking and open flames, procedures for evacuations
    • policies regarding fire safety education and training programs and
    • plans for future improvements in fire safety.
    (20 U.S.C. § 1092(i)).

Physical Plant

  • Governor’s Directive on Energy Conservation (annual)
  • Governor’s Directive on Petroleum Conservation (annual)

Student Affairs

Student Success Center

  • Special Support Services
    • Progress report to USDOE (annual)

Teachers Academy

  • IHE reports on compliance with program and licensure regulations to DPI (annual)

On Going/As Needed Reporting

Academic Affairs/Student Affairs

  • Transfer of Credits (Section 488(h) of the Higher Education Opportunity Act of 2008
    An institution shall publicly disclose, in a readable and comprehensible manner, the transfer of credit policies established by the institution which shall include a statement of the institution’s current transfer of credit policies that includes, at a minimum
    • any established criteria the institution uses regarding the transfer of credit earned at another institution of higher education; and
    • a list of institutions of higher education with which the institution has established an articulation agreement.

Athletics

  • Certification of Initial Eligibility through NCAA Clearinghouse – Continuous throughout year – Annual registration and certification of initial eligibility to practice and compete.
  • Violation Reports – Ongoing as needed – Report filed by Faculty Athletics Rep detailing secondary or major violations of NCAA rules.
  • NCAA Team Statistical Reports – Continuous – Compiled by Sports Information details individual or team statistical data per each contest or match.
  • Medical Hardship Waivers – As needed – Request process related to extension of eligibility because of medically related circumstances.
  • Conference Statistical Reports – On a post game bases – Compiled by Sports Information details individual and team statistical data per each contest or match.
  • Certification of Eligibility to Compete in Conference Championships – Prior to every championship – Self explanatory.
  • Tournament Host Bids – Depends on numerous factors – Format developed by the Conference to formally bid on conference tournaments.
  • Recruit and Housing Reports – Ongoing – By weekly reports of recruited student-athletes who will attend UNCG in each academic year.
  • Drug Testing – Throughout the year – Mandated testing of all student-athletes for NCAA banned drugs.

Campus Police

  • Evidence Control Form (when received)
  • Evidence Chain of Custody/Disposition Form (as needed)
  • Traffic Stops and Statistics Data Entry and Reporting (when received)
    • State Property Theft and Damage Report (must be submitted within 10 days of incident)
    • Final Disposition Report (AOC-CR-264) (as required upon receipt of Petition and Order of Expunction)

Campus Police/Student Affairs

  • Outcome of Disciplinary Proceeding for Crime of Violence or Non-Forcible Sex Offense (Section 493(a)(26) of the Higher Education Opportunity Act of 2008
    When requested in writing an institution must disclose to an alleged victim (or if the victim is deceased as a result of such crime or offense, to the next-of-kin) of any violent crime or non-forcible sex offense, the final results of any institutional disciplinary proceedings conducted against an alleged student perpetrator.

College of Arts and Sciences

  • Laboratory and studio art spaces must maintain records regarding hazardous materials

Financial Aid

  • Entrance Counseling for Borrowers (Section 488(l) of the Higher Education Opportunity Act of 2008
    Requires institutions, at or prior to the time of a disbursement to a first-time borrower, to provide comprehensive information on the terms and conditions of loans (with certain types of loans excepted) and the borrower’s responsibilities with respect to such loans. Information must be provided in simple and understandable terms and may be provided:
    • during an entrance counseling session conducted in person
    • on a separate written form provided to the borrower that the borrower signs and returns to the institution of higher education
    • online, with the borrower acknowledging receipt of the information
    Institutions are encouraged to provide entrance counseling through interactive programs that test borrowers’ understanding of the terms and conditions of their loans.
    Information provided to the borrower shall include:
    • the effect on the eligibility of the borrower for other forms of student financial assistance if the borrower accepts the loan
    • an explanation of the use of the master promissory note
    • information on how interest accrues and is capitalized during periods when the interest is not paid by either the borrower or the Secretary
    • in the case of a loan made under section 428B or 428H, a Federal Direct PLUS Loan, or a Federal Direct Unsubsidized Stafford Loan, the option of the borrower to pay the interest while the borrower is in school
    • the definition of half-time enrollment at the institution, during regular terms and summer school, if applicable, and the consequences of not maintaining half-time enrollment
    • an explanation of the importance of contacting the appropriate offices at the institution of higher education if the borrower withdraws prior to completing the borrower's program of study so that the institution can provide exit counseling, including information regarding the borrower's repayment options and loan consolidation
    • sample monthly repayment amounts based on
      • a range of levels of indebtedness; or
      • the average cumulative indebtedness of other borrowers in the same program as the borrower at the same institution.
    • the obligation of the borrower to repay the full amount of the loan, regardless of whether the borrower completes or does not complete the program
    • the likely consequences of default on the loan, including adverse credit reports, delinquent debt collection procedures under Federal law, and litigation
    • information on the National Student Loan Data System and how the borrower can access the borrower's records
    • the name of and contact information for the individual the borrower may contact if the borrower has any questions about the borrower's rights and responsibilities or the terms and conditions of the loan.

Human Resource Services

  • Conduct and document employment eligibility verification.

International Programs Center

  • Maintain inspection files and submit labor-related and immigration-related documentation for foreign nationals in J-1 or F-1 status.
  • validate” the SEVIS record of students and scholars in F and J status upon arrival and confirming arrival in the government database. 
  • Report progress, extensions, change of address, transfers, and other “events” related to students or scholars in J or F status to the Department of Homeland Security via SEVIS. 

Provost’s Office

  • Student Residence Classification/Immigration Services
    • Maintain inspection files and submit labor-related and immigration-related documentation for employment/termination of foreign nationals in H-1B, TN, or O-1 to the Department of Labor and the Department of Homeland Security.
  • Research and Public/Private Sector Partnerships
    • Document all export transactions in compliance with Export Administration Regulations (EAR) and the Department of State through its International Traffic in Arms Regulations (ITAR).  Records must be kept for a period of five (5) years.
  • Conduct and document employment eligibility verification.

Office of Institutional Research/Financial Aid

Office of Safety

  • Radiation Safety Committee (RSC) quarterly meeting requirements must be documented
  • N.C. DENR Hazardous Waste Manifests and Land Disposal Restrictions (during inspections)
  • NC OSHA/NC DENR Personnel Training Rosters (during inspections)
  • NC DENR Hazardous Waste Material Testing Reports (during inspections)
  • NC OSHA/NC DENR Emergency Contingency Plan (during inspections)
  • NC DENR Spill Prevention and Control and Countermeasure Plan (during inspections)
  • NC OSHA 300 Log (Injury/Illness Log) (during inspections)
  • NC OSHA NCIC Form 19 (any injury/illness requiring more than First Aid) (when requested)
  • NC OSHA Training Records and Certifications (during inspections)
  • NC OSHA Bloodborne Pathogens HBV Vaccination Declinations (during inspections)
  • NC OSHA Personal Protective Equipment Certifications (during inspections)
  • NC OSHA Data Survey (when requested – usually first quarter)
  • NC OSHA Chemical Exposure Monitoring Records (during inspections)
  • NC OSHA Medical Evaluation Records (during inspections)
  • NC DENR Asbestos Removal Permits (during inspections)
  • Department of Homeland Security Chemicals of Interest report or Top-Screen list (within 60 days of exceeding threshold or within 60 days of acquiring a new chemical)
  • Fire Safety Disclosures (Section 488(i)(3) of the Higher Education Opportunity Act of 2008
    Each institution that participates in federal financial aid programs and that maintain on-campus student housing must maintain a fire log, including the nature, date, time, and general location of each fire

Student Affairs

  • Student Employment Office
    • Conduct and document employment eligibility verification.

Technology Transfer

  • Bayh-Dole Act Annual Utilization Report, 37 C.F.R. 401 (as required)
    For agencies that require utilization reporting the report is for all subject inventions that have had title elected or are licensed without a patent. Report includes stage of development, date of first commercial sale or use, number and type of licenses, gross income, licensing to small business, status of U.S. manufacturing and identification of any FDA-approved product names.

University Libraries

  • Copyright Compliance Form for Interlibrary Loan

University-Wide

  • Centers for Medicare & Medicaid Services, 45 CFR 160.300-160.316
    • HIPAA Security Onsite Investigations and Compliance Reviews
  • Children’s Online Privacy Protection Act
    • Comply with notice and consent requirements when seeking or collecting information regarding children under the age of 13.
  • Report changes in appointment/employment of foreign nationals in EPA positions to the Office of the Provost or the Office of International Programs, as appropriate.
  • Lobbying Disclosure Act (quarterly based on calendar year)
    • Comprehensive reports disclosing all lobbying activities (quarterly)
    • Contribution disclosure reports that disclose:
      • Any contribution of $200.00 or more to a federal candidate
      • Funds contributed to pay for a meeting, conference or similar event (semi- annual
  • Reporting statement of mailing list updates