Compliance Matrix

The HECA Compliance Matrix provides a comprehensive list of key federal laws and regulations governing colleges and universities. It includes a brief summary of each law, applicable reporting deadlines, and links to additional resources. Users can sort by topic area or by date to plan for upcoming reporting requirements. Users can also filter by topic, to limit the matrix to certain topics of interest (i.e. athletics or human resources).

The information provided in the HECA Compliance Matrix was compiled from publicly-available government agency websites and relevant secondary sources, including resources from the following National Association of College and University Attorneys (NACUA) member institutions: Catholic University of America, University of Florida, Georgia College and State University, Kent State University, North Carolina State University, State University of New York (SUNY), University of Vermont, and Washington & Lee University.

The information contained on this website is for general guidance only and is not intended, nor can it be relied upon, as legal advice.  The site is intended to be an informational clearinghouse for laws, rules, and regulations that may impact colleges and universities.  While we make every effort to provide updated information, there may be delays or omissions on this site, given the volume and rapid change of laws, rules and regulations.  Please consult your campus counsel.

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Academic Programs

Accounting

Accreditation

Admissions

Athletics

Auxiliary Services

Campus Safety

Contracts & Procurement

Copyright & Trademark

Disabilities

Diversity / Affirmative Action

Environmental Health & Occupational Safety

Ethics

Export Controls

Financial Aid

Fundraising & Development

Governance

Grants Management

Health Care & Insurance

Housing

Human Resources: Discrimination

Human Resources: Employee Benefits

Human Resources: Recruitment Hiring & Termination

Human Resources: Retirement

Human Resources: Unions

Human Resources: Wages

Immigration

Information Technology

Intellectual Property & Technology Transfer

International Activities & Programs

Lobbying & Political Activity

Privacy & Information Security

Program Integrity Rules

Research

Sexual Misconduct

Tax

Topic Statute Regulations Statutory Summary Reporting Requirements & Deadlines Additional Resources Sortable Month Sortable Topic
Academic Programs

Age Discrimination Act of 1975
42 U.S.C. §§ 6101-6107

ED: 34 C.F.R. § 110
  • Prohibits discrimination based on age in educational or academic programs or activities that receive federal financial assistance.
  • Prohibits retaliation for filing a complaint with OCR or for advocating for a right protected by the Act.
Not Applicable Resources 14-No Deadline academic_programs
Academic Programs

Americans with Disabilities Act
42 U.S.C. §§ 12101-12213


  • Provides broad nondiscrimination protection in employment, public services, and public accommodations (including colleges and universities) for individuals with disabilities. 
  • Requires reasonable accommodations (e.g., a modification or adjustment to the status quo inherent in the program or activity) to allow a qualified person with a disability to participate fully in the educational or academic programs and activities of the university.
  • Enforced by multiple federal agencies, including the Department of Justice, Department of Labor, and the EEOC.
Not Applicable Resources 14-No Deadline academic_programs
Academic Programs

Higher Education Opportunity Act
Public Law No. 110-315

  • Section 488: Requires each institution to disclose information about any plans to improve the academic program to current and prospective students on an annual basis. 
  • Section 497: Provides to institutions of higher education an adequate opportunity to review and respond to any program review report and relevant materials related to the report before any final program review report is issued. 
  • Section 206: Requires institutions of higher education (IHE) to set goals for preparing teachers in shortage areas including math, science, special education and ELL. IHEs must also assure the Secretary of Education that they are preparing general education teachers to teach children with special needs, preparing special education teachers in content areas, preparing teachers that will meet the needs of local education areas (LEAs) and states where graduates are likely to teach, preparing teachers to meet the needs of K-12 schools, preparing teachers for urban and/or rural schools as applicable. 
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 1st. Resources 04-April academic_programs
Accounting

Unrelated Business Income Tax
26 U.S.C. § 511

  • Regulates unrelated business income, which is income from a trade or business, regularly carried on, that is not substantially related to the charitable, educational, or other purpose that is the basis of the organization's exemption. 
Unrelated business income must be reported to the IRS on Form 990-T. Various deadlines apply. Resources 13-Multiple Deadlines accounting
Accounting

Tuition Payment Credit Reporting Requirements
26 U.S.C. § 6050S

  • Under IRC 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.

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 31st 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.

Form 1098-E must be filed with the IRS on or before February 28th, or March 31st if filed electronically. The required statement to all persons who made student loan interest payments must be sent to the payor on or before January 31st 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.

If the institution does not have a record of the individual's correct TIN, then it must solicit the TIN on or before December 1st.

Resources 13-Multiple Deadlines accounting
Accreditation

Higher Education Opportunity Act
Public Law No. 110-315
20 U.S.C. § 1099b

34 C.F.R. §§ 602.10-602.13.
  • Section 495: Recognition of accrediting agency or association. The association enforces standards that respect the stated mission of the institution of higher education, including religious missions, and that ensure that the courses or programs of instruction, training, or study offered by the institution of higher education, including distance education or correspondence courses or programs, are of sufficient quality to achieve, for the duration of the accreditation period, the stated objective for which the courses or the programs are offered.
  • Section 496: Each school must make available to prospective and enrolled students:
    • Names of associations, agencies, or governmental bodies that accredit, approve, or license the school and its programs; and
    • Procedures for obtaining or reviewing documents describing accreditation, approval, or licensing.
Not Applicable Resources
Resources
14-No Deadline accreditation
Academic Programs

Higher Education Opportunity Act
Public Law No. 110-315

  • Sections 152 and 153 require the following disclosures to enrolled students: . . . c) transfer of credit policies; . . . f) diversity statistics; g) retention rates; h) employment placement data; i) fire safety report; . . . k) along with the course schedule, the International Standard Book Number (ISBN) of every required and recommended textbook and supplemental material and retail price info . . . Disclosures c) - k) must be available to prospective students as well. 
No deadline is mandated, but September 1 is suggested. Resources 09-September academic_programs
Academic Programs

Section 504 of The Rehabilitation Act of 1973
29 U.S.C. § 701

  • Prohibits discrimination on the basis of disability at any federally-funded institution. This covers admissions, recruitment, educational and/or academic programs and services

Not Applicable Resources 14-No Deadline academic_programs
Academic Programs

Title IX of the Education Amendment of 1972
20 U.S.C. §§ 1681-1688

  • Prohibits discrimination on the basis of sex in education programs or activities receiving federal financial assistance including employment. 
  • Any grievance records relating to a Title IX violation or complaint must be retained for the period of time cited in state law for personal injury actions.
Not Applicable Resources 14-No Deadline academic_programs
Academic Programs

Title VI of the Civil Rights Act of 1964
42 U.S.C. §§ 2000d-2000d-7

  • Prohibits discrimination based on race, color, or national origin in educational and/or academic programs or activities receiving federal financial assistance.
Not Applicable Resources 14-No Deadline academic_programs
Accounting

Bankruptcy Abuse Prevention & Consumer Protection Act of 2005
Public Law No. 109-8
11 U.S.C. §§ 101-1532

  • Prohibits the discharge of most student loans in bankruptcy, when the loans were obtained from the government or non-profit higher educational institutions. 
  • There is an exception for undue hardship and for loans that became due more than seven years before the filing of the petition.
Not Applicable Resources 14-No Deadline accounting
Accounting

Clayton Antitrust Act of 1914
15 U.S.C. §§ 12-27

  • Enacted as a supplement to the Sherman Act.
  • Prohibits price discrimination; conditioning sales on exclusive dealing; mergers and acquisitions when they may substantially reduce competition; and serving on the board of directors for two competing companies.
Not Applicable Resources 14-No Deadline accounting
Accounting

Fair Credit Reporting Act (FCRA)
15 U.S.C. §§ 1681-1681v

 16 C.F.R. § 600
  • Requires employers to advise applicants if employment was denied based on a credit report. 
  • Employers, before obtaining a consumer report (including criminal background checks), must disclose in writing to the applicant or employee that it may obtain a consumer report for employment purposes, and secondly, secure the written consent of the applicant or employee. 
  • When using a third party consumer reporting agency to request motor vehicle record checks for employment purposes, notice must be given to the applicant or employee. 
  • Employers must certify to the consumer reporting agency that they will comply with the Act's disclosure requirements and that any information obtained will not be used in violation of any applicable federal or state equal employment opportunity law or regulation.
Not Applicable Resources 14-No Deadline accounting
Accounting

Federal Insurance Contributions Act (FICA)
26 U.S.C. §§ 3101-3128

  • FICA defines which employers and employees are subject to taxation and levies the tax.
  • Provides that service performed in the employ of a school, college, or university by a student who is enrolled and regularly attending classes at such school, college, or university is exempt from the FICA tax. 
  • An employer must pay social security taxes on employees but an exemption exists for most students also working for the university and for clergy whose services are performed in the exercise of their ministry.
Not Applicable Resources 14-No Deadline accounting
Accounting

Federal Unemployment Tax Act
26 U.S.C. §§ 3301-3311

26 C.F.R. § 31.6011(A)- 3
  • Provides for payments of unemployment compensation to workers who have lost their jobs. 
  • If your FUTA tax is more than $500 for the calendar year, you must deposit at least one quarterly payment.  If not, alternate rules apply.
Not Applicable Resources 14-No Deadline accounting
Accounting

Higher Education Opportunity Act
20 U.S.C. § 1011f

34 C.F.R. § 668
  • The University is required to submit a disclosure report for gifts and contracts of $250,000 or more with a foreign source to the Department of Education.
By January 31st or July 31st of each year, whichever is sooner depending on the time of the gift, a postsecondary institution must file a disclosure report about ownership or control by, or contracts with or gifts from foreign sources. The institution shall file a disclosure report with the Department of Education for gifts and contracts of $250,000 or more received within a calendar year. Resources 13-Multiple Deadlines accounting
Accounting OMB A-21: Cost Principles for Educational Institutions

2 C.F.R. § 220 Not Applicable Resources 14-No Deadline accounting
Accounting

Regulation E: Electronic Fund Transfers
15 U.S.C. § 1693b

12 C.F.R. §§ 205.1-205.20
  • Establishes the basic rights, liabilities and responsibilities of consumers who use electronic fund transfer services and of financial institutions that offer these services. 
Not Applicable Resources 14-No Deadline accounting
Accounting

Truth in Lending Act
15 U.S.C. §§ 1601-1693r

  • Requires disclosure statements for loans and credit plans, but exempts Perkins Loans and Federal Family Education Loans. 
  • Loans made, insured or guaranteed pursuant to programs authorized by Title IV are exempt.
Not Applicable Resources 14-No Deadline accounting
Accounting

Sarbanes Oxley Act of 2002 (SOX)
Public Law No. 107-204

  • Designed to protect investors by improving the accuracy and reliability of corporate disclosures made pursuant to the securities laws. 
Not Applicable Resources 14-No Deadline accounting
Accounting

Sherman Antitrust Act of 1890
15 U.S.C. §§ 1-7

  • This law has been applied to colleges and universities in a number of instances regarding purchases.
  • The Department of Justice interpreted this law to mean that financial aid awards must be established independently and not in concert with other institutions.
  • May also apply to establishing prices for items in a bookstore based on collaboration with a wholesaler or another retailer. 
Not Applicable Resources 14-No Deadline accounting
Accounting

Social Security Act
42 U.S.C. §§ 301-1397mm

20 C.F.R. § 404.1028
  • An employer must pay social security taxes on employees but an exemption exists for most students also working for the university, and for clergy whose services are performed in the exercise of their ministry.
  • To avoid penalty for reporting incorrect SSN on W-2 forms, transmit data file electronically to the Social Security Administration (SSA). Report all employees hired in the specific quarter listing name (as it appears in HR System), SSN, sex, and date of birth. After information is queried against SSA's database, mismatches are sent back for resolution.
Not Applicable Resources 14-No Deadline accounting
Admissions

Age Discrimination Act of 1975
42 U.S.C. §§ 6101-6107

  • Prohibits discrimination based on age in the admission of educational and/or academic programs or activities that receive federal financial assistance.
  • Prohibits retaliation for filing a complaint with OCR or for advocating for a right protected by the Act.
Not Applicable Resources 14-No Deadline admissions
Admissions

Higher Education Opportunity Act
Public Law No. 110-315
20 U.S.C. § 1092

  • Section 484C requires that the University readmit students who left in order to join the military. The student must be readmitted in the same academic status. Generally, the length of absence cannot be greater than five (5) years. Exceptions to this law include those veterans receiving a dishonorable discharge, or bad conduct charge, or those who were court marshaled. 
Not Applicable Resources 14-No Deadline admissions
Admissions

Higher Education Opportunity Act
Public Law No. 110-315
20 U.S.C. § 1092

  • Section 488 requires institutions to provide each student, upon enrollment, with a "separate, clear, and conspicuous written notice" that provides information on the penalties associated with drug-related offenses.
Not Applicable Resources 14-No Deadline admissions
Admissions

Title VI of the Civil Rights Act of 1964
42 U.S.C. §§ 2000d-2000d-7

  • Prohibits discrimination based on race, color, or national origin in the admission of educational and/or academic programs or activities receiving federal financial assistance.
Not Applicable Resources 14-No Deadline admissions
Admissions

Title IX of the Education Amendment of 1972
20 U.S.C. §§ 1681-1688

  • Prohibits discrimination on the basis of sex in the admission of education programs or activities receiving federal financial assistance including employment. 
  • Under the Title IX common rule, a recipient may not discriminate against any person on the basis of sex in the counseling or guidance of students or applicants for admission. Specifically, in appraising or counseling students, a recipient must not use different testing or other materials on the basis of sex or use materials that permit or require different treatment of students on the basis of sex. Such different materials may be used, however, where they cover the same occupational interest areas and their use is shown to be essential to eliminate sex bias.
  • Any grievance records relating to a Title IX violation or complaint must be retained for the period of time cited in state law for personal injury actions.
Not Applicable Resources 14-No Deadline admissions
Athletics

Equity in Athletics Disclosure Act
20 U.S.C. § 1092(g)

  • The Equity in Athletics Disclosure Act requires co-educational institutions of postsecondary education that participate in a Title IV federal student financial assistance program and have an intercollegiate athletic program, to prepare an annual report to the Department of Education on athletic participation, staffing, and revenues and expenses, by men's and women's teams.
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, (i.e., no later than October 30th of each year) the school must submit the report to the Secretary of Education. Resources 10-October athletics
Athletics

Title IX
20 U.S.C. §§ 1681-1688

  • Requires that no person shall on the basis of sex, be excluded from participation in, be denied the benefits of, be treated differently from another person, or otherwise be discriminated against in any interscholastic, intercollegiate, club or intramural athletics offered by a recipient, and no recipient shall provide such athletics separately on such basis.
Not Applicable Resources
Resources
14-No Deadline athletics
Auxiliary Services

Higher Education Opportunity Act
20 U.S.C. § 1015b
Public Law No. 110-315

34 C.F.R. § 668
  • Section 112: Each school must disclose on the school’s internet course schedule used for preregistration and registration purposes, the ISBN and retail price of required and recommended textbooks and supplemental materials for each course listed.  If no ISBN is available, the institution may provide the textbook's author, title, publisher, and copyright date. If the disclosure is not practical for a certain text, a designation of *to be determined* can be noted. Written course schedules should indicate where on the university web page this information will be posted.
  • The bookstore operated by or affiliated with the school, the school must make available as soon as practicable the most accurate information regarding the schools course schedule, information for recurred and recommended textbooks and supplemental materials and number of students enrolled in each course or class and maximum student enrollment for each course or class.
  • HEOA encourages schools to disseminate information regarding book rentals, used textbooks, buyback programs, and alternative delivery programs or other cost saving strategies. Schools shall make available to the college bookstore, upon request, the most accurate information regarding the course schedule for the next academic period and for each course offered, the information described above, the number of students enrolled in such course, and the maximum enrollment for each class.
Not Applicable Resources 14-No Deadline auxiliary_services
Campus Safety

Americans with Disabilities Act
42 U.S.C. §§ 12101-12213

DOJ: 28 C.F.R. § 36
  • Although the Americans with Disabilities Act (ADA) does not require employers to have emergency evacuation plans, if organizations covered by the ADA opt to have such plans they are required to include people with disabilities.
Not Applicable Resources 14-No Deadline campus_safety
Campus Safety

Campus Sex Crimes Prevention Act (§ 1601 of the Victims of Trafficking and Violence Protection Act of 2000)
Public Law No. 106-386 (Title VI)

34 C.F.R. § 668
  • The Campus Sex Crimes Prevention Act requires sex offenders who are required to register under state law to provide notice of enrollment or employment at any institution of higher education (IHE) in that state where the offender resides, as well as notice of each change of enrollment or employment status at the IHE. In turn, this information will be made available by the state authorities to the local law enforcement agency that has jurisdiction where the IHE is located.
Institution must issue a statement advising the campus community on where information concerning registered sex offenders can be obtained. Notification 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 the Annual Security Report. Resources 13-Multiple Deadlines campus_safety
Campus Safety

Clery Act
20 U.S.C. § 1092(f)

  • As an institution receiving federal financial aid, the University must keep information about crime on and near its respective campuses and provide an annual report (including crime statistics, security measures and policies, and where crimes should be reported) to all students, employees, and the Department of Education.
  • Effective March 7, 2014: Institutions must comply with the following additional requirements under the amendments to the Clery Act:
    • Collect and publish in the Annual Security Report (ASR) statistics on incidents of domestic violence, dating violence and stalking that are reported to campus security authorities or local police agencies;
    • Expand the definition of reportable hate crimes to include Clery crimes motivated by bias against a victim’s national origin or gender identity;
    • Revise policies and procedures to include the establishment of educational prevention and awareness programs that address issues of domestic violence, dating violence, sexual assault and stalking for all incoming students and new employees; and
    • Develop step-by-step procedures for the reporting, investigation and adjudication of reports of domestic violence, dating violence, sexual assault, or stalking, including information on confidentiality and privacy.
20 U.S.C. § 1092(a)(1)(O) and § 1092 (f)(5) and 34 C.F.R. § 668.46 and § 668.41: Colleges must 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 each year, by October 15th. Must report compliance with the Campus SaVE Act in Annual Security Reports beginning October 1, 2014 Resources 10-October campus_safety
Campus Safety

Drug Free Schools and Communities Act
20 U.S.C. § 1011i

34C.F.R. § 86
  • Requires distribution of the college or university’s drug and alcohol prevention and policy information every year and biennial review of drug and alcohol prevention program.
Annual distribution to students and employees of the institution's standards of conduct with respect to illegal drugs and alcohol; a description of the applicable legal sanctions and health risks; and 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 which is required by October 1st of each year. Resources 10-October campus_safety
Campus Safety

Emergency Planning and Community Right to Know Act (EPCRA)
42 U.S.C. §§ 11001 - 11050

40 C.F.R. § 370
  • Requires the establishment of state/tribe emergency response commissions (SERCs/TERCs), which are responsible for coordinating certain emergency response activities and for appointing local emergency planning committees (LEPCs).
  • Requires facilities to notify the SERC and LEPC of the presence and/or release of any extremely hazardous substance.
  • All information submitted pursuant to EPCRA regulations is publicly accessible, unless protected by a trade secret claim.
By March 1st of each year, the owner or operator of any facility which is required to 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. Hazardous chemical training must be conducted annually. Facilities must report the storage, use, and release of certain hazardous chemicals bi-annually. Resources 03-March campus_safety
Campus Safety

Higher Education Opportunity Act
Public Law No. 110-315
20 U.S.C. § 1011i

  • Section 107: Requires an institution of higher education, in its biennial review, to determine the number of drug and alcohol-related violations and fatalities that have occurred on the institution's campus or as part of the institution's activities and that are reported to campus officials.
Completed in the institution’s biennial review. Resources 13-Multiple Deadlines campus_safety
Campus Safety

Higher Education Opportunity Act
Public Law No. 110-315
20 U.S.C. § 1092

  • Section 488: Requires institutions to notify the campus community in the event of a significant emergency and publish the procedures to immediately notify the campus community upon the confirmation of a significant emergency or dangerous situation, unless this would compromise efforts to contain the emergency.
  • Requires institutions to report and make public an annual fire safety report and requires the Secretary to make policies public, including the installation of fire detection and prevention technologies in student housing, dormitories, and other buildings.
  • Requires institutions to implement procedures for managing reports of missing persons and notify on-campus residing students to that the institution is required to notify a parent or guardian 24 hours after the time that the student is deemed to be missing.
Institutions are required to disclose emergency response policies and evacuation procedures. Suggested deadline of October 1st of each year to coincide with the Annual Security Report. Resources 10-October campus_safety
Campus Safety

Higher Education Opportunity Act
Public Law No. 110-315
20 U.S.C. § 1092

  • Section 493: When requested, institutions must disclose to the alleged victim of any violent crime or non-forcible sex offense the final results of any institutional disciplinary proceeding conducted against the alleged perpetrator of such crime or offense. The alleged victim's next of kin must be informed, if the alleged victim dies as a result of the crime.
Not Applicable Resources 14-No Deadline campus_safety
Campus Safety

Higher Education Opportunity Act
Public Law No. 110-315
20 U.S.C. § 1092

  • Section 485: The University must have security policies that encourage accurate and prompt reporting of crimes to campus police and law enforcement agencies, and include procedures for immediate notification of emergencies and for the University.
  • The University must publicize those procedures on an annual basis in a manner designed to reach students and staff, and must test annually emergency response and the University procedures and document the testing.
  • The University also must develop a Missing Student Policy and procedures.
Emergency Response Policies and Procedures Annually publish a campus Fire Safety Report that provides statistics on a dorm-by-dorm basis showing the number of fires, deaths, injuries, fire drills, property damage, type of fire detection systems, etc. Disclosure of Fire Safety Standards and Measures The statistics set forth in 20 U.S.C. § 1092(i)(1)(a) must be reported to the Secretary of Education on an annual basis: (i) the number of fires and the cause of each fire; (ii) the number of injuries related to a fire that result in treatment at a medical facility; (iii) the number of deaths related to a fire; and (iv) the value of property damage caused by a fire. Resources 13-Multiple Deadlines campus_safety
Campus Safety

Higher Education Opportunity Act
Public Law No. 110-315
20 U.S.C. § 1092(j)

  • Sections 485(a) and (f) Missing Student Notification Policy and Procedures: Any institution participating in a Title IV federal student financial aid program that maintains on campus housing facilities must establish a missing student notification policy and related procedures for those students who live in on campus housing and who have been missing for 24 hours.
An institution that provides any on-campus student housing facility must include in its Annual Security Report a statement of policy regarding missing student notification procedures for students who reside in on-campus student housing facilities. Resources 13-Multiple Deadlines campus_safety
Campus Safety

Occupational Safety and Health Act of 1970
29 U.S.C. §§ 651-678

29 C.F.R. § 1910.38
  • The University must have a written emergency action plan kept in the workplace and available for employee review upon request, as required under OSHA standards.
Not Applicable Resources 14-No Deadline campus_safety
Contracts & Procurement

Anti-Kickback Act of 1986
41 U.S.C. §§ 8701-8707

48 C.F.R. § 3.502-2
  • Prohibits any payment or gratuity made for the purpose of inducing award of a subcontract or prime contract with the federal government.
Not Applicable Resources 14-No Deadline contracts_procurement
Contracts & Procurement

Byrd Amendment
31 U.S.C. § 1352

  • Prohibits grantees from lobbying with federal funds.
  • Requires disclosure of lobbying activities when receiving federal contracts, grants, loans or cooperative agreements.
Requires certification and disclosure with each submission for consideration of a federal contract, grant or cooperative agreement exceeding $100,000 or an award of a federal loan or commitment providing for the U.S. to insure or guarantee a loan exceeding $150,000. Federal contractors, grantees and those receiving federal loans and cooperative agreements must also report lobbying expenditures from non-federal sources which they used to obtain such federal program monies or contracts. Resources 14-No Deadline contracts_procurement
Contracts & Procurement

Copeland Anti-Kickback Act
18 U.S.C. § 874
40 U.S.C. § 3145

29 C.F.R.§ 3
  • Requires contractors and subcontractors on public buildings or works financed by loans or grants from the U.S. to furnish a weekly statement of wages paid.
Requires contractors and subcontractors on public buildings or works financed by loans or grants from the U.S. to furnish a weekly statement of wages paid. Resources 13-Multiple Deadlines contracts_procurement
Contracts & Procurement

E-Verify (Executive Order 1289)

73 Fed. Reg. 67,651
  • For federal contracts of more than $100,000 and subcontracts greater than $3,000, the University must utilize the E-Verify electronic system to confirm the employees working on those contracts/subcontracts are lawfully eligible to work in the U.S. 
Not Applicable Resources 14-No Deadline contracts_procurement
Contracts & Procurement

Trading with the Enemy Act
22 U.S.C. §§ 7201-7211

31 C.F.R. § 500
  • Assets Control Regulations of the U.S. Department of Treasury require persons subject to U.S. jurisdiction to have a license to engage in certain transactions related to travel to, from and within regulated countries.
Not Applicable Resources 14-No Deadline contracts_procurement
Copyright & Trademark

Copyright Act
17 U.S.C. §§ 101-1332

  • Protects the rights of authors from unauthorized reproduction/adaptation/performance/display/distribution of protected works of authorship, including computer software, books, journals etc. Software licenses required.
  • Includes an exception for “fair use” in criticism, comment, teaching, scholarship and research.
Not Applicable Resources 13-Multiple Deadlines copyright_trademark
Copyright & Trademark

Lanham Act
15 U.S.C. §§ 1051-1141n

19 C.F.R. § 133.1
  • Prohibits trademark infringement, trademark dilution, and false advertising.
Not Applicable Resources 14-No Deadline copyright_trademark
Copyright & Trademark

Copyright Term Extension Act
Public Law No. 105-298

63 Fed. Reg. 71,785
  • Extends by 20 years the length of protection afforded to copyrighted works, and thus lengthens the amount of time it will take for a work to enter the public domain.
  • For copyrights in their renewal term at the time of the effective date of this new law, the term of copyright is extended to 95 years from the date the copyright was originally secured.
  • For works created but not published or registered before January 1, 1978, the term endures for life of the author plus 70 years, but in no case will expire earlier than December 31, 2002.
  • If the work is published before December 31, 2002, the term will not expire before December 31, 2047.
  • Includes an exception that allows libraries, archives and nonprofit educational institutions to treat a copyrighted work in the last 20 years of protection as if it were in the public domain for purposes of preservation, scholarship or research.
  • Conditions that apply to this usage in the last 20 years require a good faith investigation to determine that the work is not subject to normal commercial exploitation, the work or phone record cannot be obtained at a reasonable price, and use of the work stops if the copyright owner provides notice to the contrary.
Not Applicable Resources 14-No Deadline copyright_trademark
Copyright & Trademark

Digital Millennium Copyright Act (DMCA)
Public Law No. 105-304

  • Imposes rules prohibiting the circumvention of technological protection measures.
  • Sets limitations on copyright infringement liability for online service providers (OSPs).
  • Expands an existing exemption for making copies of computer programs.
  • Provides a significant updating of the rules and procedures regarding archival preservation.
Not Applicable Resources 14-No Deadline copyright_trademark
Copyright & Trademark

Higher Education Opportunity Act
Public Law No. 110-315

  • Sections 152 and 153 require the following disclosures to enrolled students: a) Policies/sanctions for copyright infringement; and b) annual disclosure detailing federal copyright penalties.
No deadline is mandated, but September 1 is suggested. Resources 09-September copyright_trademark
Copyright & Trademark

Small Webcasters Settlement Act of 2002
Public Law No. 107-321

67 Fed. Reg. 45,239
  • Applies to "Noncommercial Webcasters" and to "Small Commercial Webcasters."
  • Enables SoundExchange, the recording industry’s royalty collection clearinghouse, to enter into royalty rate agreements with small commercial and all noncommercial webcasters.
Stations that average under 75 simultaneous users will have the option of submitting reports of use that do not require any audience data (ATH of ATP) or paying a $100 proxy fee in lieu of any reporting. Stations with an average concurrent audience of over 75 will be required to submit reports of use, but they will not have to submit audience data. The fee for these stations remains at $500 annually through 2016 unless the station has an ATH above 159, 140 (~208 average concurrent users in any month). Resources 13-Multiple Deadlines copyright_trademark
Copyright & Trademark

Technology Education and Copyright Harmonization Act (TEACH ACT) of 2002
Public Law No. 107-273

  • Permits an instructor to display virtually all types of works during on-line instruction at accredited nonprofit educational institutions without consent of copyright owner, provided that instruction is mediated by an instructor, transmission is intended only for students enrolled in course, and measures are employed to prevent redistribution of transmission and prevent its retention for longer than the class session.
Not Applicable Resources 14-No Deadline copyright_trademark
Disabilities

Americans with Disabilities Act
42 U.S.C. §§ 12101-12213

  • Provides broad nondiscrimination protection in employment, public services, and public accommodations including colleges and universities for individuals with disabilities. 
  • The university must make appropriate accommodations for employees and students with disabilities.
  • Enforced by multiple federal agencies, including the Department of Justice, Department of Labor, and the EEOC.
Not Applicable Resources 14-No Deadline disabilities
Disabilities

Section 504 of The Rehabilitation Act of 1973
29 U.S.C. § 701

  • Prohibits discrimination on the basis of disability at any federally-funded institution. This covers admissions, recruitment, programs and services.
  • If an existing facility is not accessible, redesign of equipment, reassignment of classes or other services to accessible buildings is an alternative to new construction.
  • Newly constructed facilities must be readily accessible to persons with disabilities.
  • Each facility or part of a facility which is altered in a manner that affects or could affect the usability of the facility or part of the facility shall, to the maximum extent feasible, be altered in such manner that the altered portion of the facility is readily accessible to and usable by persons with disabilities.
Not Applicable Resources 14-No Deadline disabilities
Disabilities

The Family and Medical Leave Act of 1993
Public Law 103-3

29 C.F.R. § 825
  • Entitles eligible employees of covered employers to take unpaid, job-protected leave for specified family and medical reasons with continuation of group health insurance coverage under the same terms and conditions as if the employee had not taken leave.
Not Applicable Resources 14-No Deadline disabilities
Diversity / Affirmative Action

Affirmative Action/Equal Employment Opportunity
Executive Order 11246

41 C.F.R. § 60
  • Affirmative action must be taken by covered employers to recruit and advance qualified minorities, women, persons with disabilities, and covered veterans.
Not Applicable Resources 14-No Deadline diversity_affirmative_action
Diversity / Affirmative Action

Age Discrimination Act of 1975
42 U.S.C. §§ 6101-6107

  • Prohibits discrimination based on age in educational or academic programs or activities that receive federal financial assistance.
  • Prohibits retaliation for filing a complaint with OCR or for advocating for a right protected by the Act.
Not Applicable Resources 14-No Deadline diversity_affirmative_action
Diversity / Affirmative Action

Age Discrimination Employment Act of 1967
29 U.S.C. §§ 621-634

29 C.F.R. § 1627
  • It is unlawful for the University to fail to hire, discharge, segregate, classify, or otherwise discriminate against any individual with respect to compensation, terms, conditions or privileges of employment because of age.
Not Applicable Resources 14-No Deadline diversity_affirmative_action
Diversity / Affirmative Action

Americans with Disabilities Act
42 U.S.C. §§ 12101-12213

  • Provides broad nondiscrimination protection in employment, public services, and public accommodations including colleges and universities for individuals with disabilities.
  • Enforced by multiple federal agencies, including the Department of Justice, Department of Labor, and the EEOC.
Not Applicable Resources 13-Multiple Deadlines diversity_affirmative_action
Diversity / Affirmative Action

Equal Employment of Veterans
38 U.S.C. §§ 4211-4215

41 C.F.R. § 60-250
  • For federal subcontracts of $25,000 or more the University shall include in each of its subcontracts a clause that the subcontractor will not discriminate against any employee or applicant for employment because he or she is a special disabled veteran, veteran of the Vietnam era, recently separated veteran, or other protected veteran in regard to any position for which the employee or applicant for employment is qualified.
  • The university must agree to take affirmative action to employ and advance qualified individuals without discrimination based on such status.
Not Applicable Resources 14-No Deadline diversity_affirmative_action
Diversity / Affirmative Action

Equal Pay Act of 1963
29 U.S.C. § 206(d)

  • Prohibits sex-based wage discrimination between men and women in the same establishment who perform jobs that require substantially equal skill, effort and responsibility under similar working conditions.
Not Applicable Resources 14-No Deadline diversity_affirmative_action
Diversity / Affirmative Action

Genetic Information Non-Discrimination Act of 2008
Public Law No. 110-233

29 C.F.R. § 1635
  • Prohibits use of genetic information in employment decision-making.
  • Requires that genetic information be maintained as a confidential medical record, and places strict limits on disclosure of genetic information.
Not Applicable Resources 14-No Deadline diversity_affirmative_action
Diversity / Affirmative Action

Immigration and Nationality Act
8 U.S.C. §§ 1101-1106

  • The INA, as amended sets forth the laws governing the admission and employment of foreign nationals in the United States, including provisions that address employment eligibility and employment verification.
Not Applicable Resources 14-No Deadline diversity_affirmative_action
Diversity / Affirmative Action

Lilly Ledbetter Fair Pay Act of 2009
Public Law No. 111-2

  • An individual subjected to compensation discrimination under Title VII of the Civil Rights Act of 1964, the Age Discrimination in Employment Act of 1967, or the Americans with Disabilities Act of 1990 may file a charge within 180 (or 300) days of any of the following: 1) when a discriminatory compensation decision or other discriminatory practice affecting compensation is adopted; 2) when the individual becomes subject to a discriminatory compensation decision or other discriminatory practice affecting compensation; or 3) when the individual's compensation is affected by the application of a discriminatory compensation decision or other discriminatory practice, including each time the individual receives compensation that is based in whole or part on such compensation decision or other practice.
  • The Act has a retroactive effective date of May 28, 2007, and applies to all claims of discriminatory compensation pending on or after that date.
Not Applicable Resources 14-No Deadline diversity_affirmative_action
Diversity / Affirmative Action

Section 504 of The Rehabilitation Act of 1973
29 U.S.C. § 701

  • Prohibits discrimination on the basis of disability at any federally-funded institution. This covers admissions, recruitment, programs and services.
  • If an existing facility is not accessible, redesign of equipment, reassignment of classes or other services to accessible buildings is an alternative to new construction.
  • Newly constructed facilities must be readily accessible to persons with disabilities.
  • Each facility or part of a facility which is altered in a manner that affects or could affect the usability of the facility or part of the facility shall, to the maximum extent feasible, be altered in such manner that the altered portion of the facility is readily accessible to and usable by persons with disabilities.
Not Applicable Resources 14-No Deadline diversity_affirmative_action
Diversity / Affirmative Action

Title VI of the Civil Rights Act of 1964
42 U.S.C. §§ 2000d-2000d-7

  • Prohibits discrimination based on race, color, or national origin in educational and/or academic programs or activities receiving federal financial assistance.
Not Applicable Resources 14-No Deadline diversity_affirmative_action
Diversity / Affirmative Action

Title VII of the Civil Rights Act of 1964
442 U.S.C. §§ 2000e-2000e-17

  • Title VII prohibits discrimination in hiring, firing, training, promotion, discipline, or other workplace decisions on the basis of an employee or applicant’s race, color, sex, national origin, or religion.
  • Sexual harassment is also prohibited under this law.
  • Prohibits discrimination on the basis of pregnancy, childbirth, or related illness in employment opportunities, health or disability insurance programs, or sick leave plans.
Not Applicable Resources 14-No Deadline diversity_affirmative_action
Diversity / Affirmative Action

Title IX of the Education Amendment of 1972
20 U.S.C. §§ 1681-1688

  • Prohibits discrimination on the basis of sex in education programs or activities receiving federal financial assistance including employment.
  • Any grievance records relating to a Title IX violation or complaint must be retained for the period of time cited in state law for personal injury actions.
Not Applicable Resources 14-No Deadline diversity_affirmative_action
Diversity / Affirmative Action

Uniformed Services Employment and Reemployment Rights Act (USERRA)
38 U.S.C. §§ 4301-4335

5 C.F.R. § 353
  • Seeks to ensure that members of the uniformed services are entitled to return to their civilian employment upon completion of their service.
  • Qualified employees must be reinstated with the seniority, status, and rate of pay they would have obtained had they remained continuously employed by their civilian employer.
  • The law also protects individuals from discrimination in hiring, promotion, and retention on the basis of present and future membership in the armed services.
Not Applicable Resources 14-No Deadline diversity_affirmative_action
Environmental Health & Occupational Safety

Asbestos Hazard Emergency Response Act
15 U.S.C. § 2651

  • To prevent exposure to asbestos in school buildings, AHERA requires that all public and non-profit schools inspect each school building for asbestos-containing building material and prepare an asbestos management plan to prevent disturbance of asbestos.
Not Applicable Resources 13-Multiple Deadlines environmental_health_occupational_safety
Environmental Health & Occupational Safety

Chemical Facility Anti-Terrorism Standards
Executive Order 13563 and 12866

6 C.F.R. § 27
  • This rule establishes risk-based performance standards for the security of the nation’s chemical facilities.
  • It requires covered chemical facilities to prepare Security Vulnerability Assessments, which identify facility security vulnerabilities, and to develop and implement Site Security Plans, which include measures that satisfy the identified risk-based performance standards.
Not Applicable Resources 14-No Deadline environmental_health_occupational_safety
Environmental Health & Occupational Safety

Clean Air Act
42 U.S.C. §§ 7401-7671q

  • Regulates air emissions from stationary and mobile sources.
  • Requires annual fees to be paid based upon total tons of actual emissions of each regulated pollutant.
The EPA will require semi-annual reporting of all facilities that release annual emissions of 25,000 megatons CO2 equivalent. Resources 13-Multiple Deadlines environmental_health_occupational_safety
Environmental Health & Occupational Safety

Clean Water Act
33 U.S.C. §§ 1251-1387

40 C.F.R § 122.41
  • Establishes the basic structure for regulating discharges of pollutants into the waters of the United States and regulating quality standards for surface waters. Facilities are governed by local wastewater pretreatment standards issued by local wastewater treatment plants.
Waste water permits and reporting quarterly. Resources 13-Multiple Deadlines environmental_health_occupational_safety
Environmental Health & Occupational Safety

Comprehensive Environmental Response, Compensation, and Liability Act (CERCLA)
42 U.S.C. §§ 9601-9675

40 C.F.R. § 307
  • Establishes prohibitions and requirements concerning closed and abandoned hazardous waste sites;
  • Provides for liability of persons responsible for releases of hazardous waste at these sites; and
  • Establishes a trust fund to provide for cleanup when no responsible party can be identified.
Not Applicable Resources 14-No Deadline environmental_health_occupational_safety
Environmental Health & Occupational Safety

Emergency Planning and Community Right Act (EPCRA)
42 U.S.C. §§ 11001 - 11050

  • Helps communities plan for emergencies involving hazardous substances.
  • The Act establishes requirements for federal, state and local governments, Indian tribes, and industry regarding emergency planning and "Community Right-to-Know" reporting on hazardous and toxic chemicals.
  • The Community Right-to-Know provisions help increase the public's knowledge and access to information on chemicals at individual facilities, their uses, and releases into the environment.
  • States and communities, working with facilities, can use the information to improve chemical safety and protect public health and the environment. 
  • Hazardous chemical training must be conducted annually.
42 U.S.C. § 11021 and § 11022; 40 C.F.R. § 370.21 and § 370.25: By March 1st of each year, the owner or operator of any facility which is required to have available a material safety data sheet for a hazardous chemical under OSHA shall prepare and submit an emergency and hazardous chemical inventory. Facilities must report the storage, use, and release of certain hazardous chemicals bi-annually. Resources 03-March environmental_health_occupational_safety
Environmental Health & Occupational Safety

Energy Policy Act
42 U.S.C. §§ 13201-13574

14 C.F.R. § 313
  • Addresses energy production and contains Underground Storage Tank provisions.
  • Underground Storage Tank Training must be conducted every seven years.
Underground Storage Tank annual registration and postings required September 1 of each year. Resources 13-Multiple Deadlines environmental_health_occupational_safety
Environmental Health & Occupational Safety

Federal Insecticide, Fungicide and Rodenticide Act
7 U.S.C. §§ 136-136y

40 C.F.R. §§ 152-180
  • Provides for federal regulation of pesticide distribution, sale, and use.
Not Applicable Resources 14-No Deadline environmental_health_occupational_safety
Environmental Health & Occupational Safety

Guarding and Use of Hand & Portable Powered Tools

29 C.F.R. § 1910.243
  • The University is responsible for the safe condition and guarding of portable powered tools/equipment (ex: saws/drills/drivers/sanders/grinders/ pneumatic tools/explosive fasteners, etc.) including tools furnished by employees.
Not Applicable Resources 14-No Deadline environmental_health_occupational_safety
Environmental Health & Occupational Safety

Hazardous and Solid Waste Amendments of 1984
42 U.S.C. §§ 6921-6939g

  • Regulation of underground storage tanks and land-based disposal of hazardous substances.
Requires reporting of installation of tanks, suspected releases, and confirmed releases to authorities. Resources 13-Multiple Deadlines environmental_health_occupational_safety
Environmental Health & Occupational Safety

Hazardous Materials Transportation Act
49 U.S.C. §§ 5101-5128

  • Primary objective is to provide adequate protection against the risks to life and property inherent in the transportation of hazardous material in commerce by improving the regulatory and enforcement authority of the Secretary of Transportation.
  • Training is required 90 days after employment or change in job function, followed by recurrent training once every three years.
University personnel who transport or cause to be transported hazardous materials must file annually a registration statement by June 30. Resources 06-June environmental_health_occupational_safety
Environmental Health & Occupational Safety

Housing & Urban Development Lead Based Paint Poisoning in Certain Residential Structures
42 U.S.C. § 4852d

40 C.F.R. § 745
  • The University must provide lessees with a federally-approved pamphlet on lead poisoning prevention.
Annually, the University must provide a disclosure notice to lessees of property built prior to 1978 that such structures may contain lead based paint and/or lead based paint hazards, regarding the health risks of such hazard, and disclosing any known lead paint or hazard. Resources 13-Multiple Deadlines environmental_health_occupational_safety
Environmental Health & Occupational Safety

Mandatory Reporting of Greenhouse Gases
Public Law No. 110-161

  • Effective December 29, 2009, and implemented under the Environmental Protection Agency’s (EPA) powers under the Clean Air Act, the rule requires that the University submit an annual report on the University’s greenhouse gas emissions. Gases covered by the rule include carbon dioxide (CO2), methane (CH4), nitrous oxide (N2O), hydro fluorocarbons (HFC), per fluorocarbons (PFC), sulfur hexafluoride (SF6) and other fluorinated gases and hydro fluorinated ethers.
The University must submit an annual report on the University’s greenhouse gas emissions. Resources 13-Multiple Deadlines environmental_health_occupational_safety
Environmental Health & Occupational Safety

Medical Waste Tracking Act
42 U.S.C. § 6992

  • If the University is a generator of medical (biological) waste it must track it from "cradle to grave" and make all records available to the Environmental Protection Agency upon request. 
  • Medical waste includes but is not limited to: Cultures of infectious agents, discarded vaccines, tissues, organs, body parts, blood products, sharps, soiled dressings and surgical gloves, etc.
Not Applicable Resources 14-No Deadline environmental_health_occupational_safety
Environmental Health & Occupational Safety

Motor Carrier Act of 1980
49 U.S.C. §§ 13101-14916

49 C.F.R. § 386
  • Institutions are liable for any pollution-related incident that occurs during the transportation of hazardous material.
Not Applicable Resources 14-No Deadline environmental_health_occupational_safety
Environmental Health & Occupational Safety

Oil Pollution Act
33 U.S.C.§§ 2701-2762

15 C.F.R. § 990
  • Regulation requires container inspection and integrity, testing, recordkeeping, annual training for employees who handle oil, and annual discharge prevention briefings.
Spill Prevention, Control, and Countermeasure Rule reporting due every five years. Resources 13-Multiple Deadlines environmental_health_occupational_safety
Environmental Health & Occupational Safety

OSHA
29 U.S.C. § 651-678

29 C.F.R. §§ 1900-2400
  • Requires employers to train employees on hazards in the workplace, to provide information to employees, to report occupational injuries and illnesses to the federal government, and to keep records of same, and to provide controls and protective equipment as well.
Not Applicable Resources 14-No Deadline environmental_health_occupational_safety
Environmental Health & Occupational Safety

OSHA Asbestos in Construction Standard

29 C.F.R. § 1926.1101
  • Applies to construction only. No employee may be exposed to an airborne concentration of asbestos in excess of 0.1 fiber per cubic cm of air as an 8 hour time-weighted average.
  • The University must use enumerated safety procedures, monitor subject areas and notify potentially affected employees of results within five days.
Not Applicable Resources 14-No Deadline environmental_health_occupational_safety
Environmental Health & Occupational Safety

OSHA Asbestos in General Industry Standard

29 C.F.R. § 1910.1001
  • The University must ensure that no employee is exposed to an airborne concentration of asbestos in excess of 0.1 fiber per cubic centimeter of air as an eight hour time-weighted average.  Applies to occupational exposure other than construction.
  • The University must perform initial monitoring where employees are or may reasonably be expected to be exposed at or above the exposure limit, and must promptly notify such employees of the results within 15 working days.
  • Required, repeated monitoring depends on the initial results. Additional safety and compliance procedures are required.
Not Applicable Resources 14-No Deadline environmental_health_occupational_safety
Environmental Health & Occupational Safety

OSHA - Bloodborne Pathogens Standard

29 C.F.R. § 1910.1030
  • The University must maintain a written exposure control plan and provide appropriate instruction on precautions to all workers who might become exposed to blood or other potentially infectious materials.
Not Applicable Resources 14-No Deadline environmental_health_occupational_safety
Environmental Health & Occupational Safety

OSHA Enforcement Guidance for Personal Protective Equipment (PPE) in General Industry

29 C.F.R. § 1910.132
  • OSHA requires the use of Personal Protective Equipment (PPE) to reduce employee exposure to hazards when engineering and administrative controls are not feasible or effective in reducing these exposures to acceptable levels.
  • The new guidance, effective February 10, 2011, clarifies what type of PPE employers must provide at no cost to workers and when employers are required to pay for PPE.
Not Applicable Resources 14-No Deadline environmental_health_occupational_safety
Environmental Health & Occupational Safety

OSHA’s Hazard Communication Standard

29 C.F.R. § 1910.1200
  • To comply with employees' right to know about the hazards associated with materials/substances they use on the job, the University must compile and maintain chemical inventories, and make Material Safety Data Sheets readily available upon employee request.
Not Applicable Resources 14-No Deadline environmental_health_occupational_safety
Environmental Health & Occupational Safety

OSHA Lead in Construction Standard

29 C.F.R. § 1926.62
  • Applies to exposure to lead during construction only.
  • The University must conduct lead exposure assessments for construction jobs (alternation, repair, demolition, painting, decorating) with possible exposure to lead to determine if exposure threshold met (i.e. > 50 micrograms concentration per cubic meter of air averaged over an 8 hours).
  • If threshold met, the University must notify affected employee, institute engineering and work practice controls to reduce exposure to permissible levels, and conduct repeat monitoring. Also applies to contractors.
Not Applicable Resources 14-No Deadline environmental_health_occupational_safety
Environmental Health & Occupational Safety

OSHA Lead in General Industry Standard

29 C.F.R. § 1910.1025
  • Applies to occupational exposure to lead by employees in non-construction setting.
  • The University must ensure no employee is exposed to > 50 micrograms lead concentration per cubic meter of air averaged over an 8 hours.
  • Where there is potential exposure, the University must make a determination as to whether employees are so exposed, and if so must notify the employee, institute corrective action via engineering and work practice controls, and repeat monitoring activities.
Not Applicable Resources 14-No Deadline environmental_health_occupational_safety
Environmental Health & Occupational Safety

OSHA Welding, Cutting, and Brazing

29 C.F.R. § 1910.251
  • Before cutting/welding can be permitted, the area must be inspected by the individual responsible for authorizing cutting/welding operations, and who must designate precautions to be followed in granting authorization, preferably in the form of a written permit.
  • Cutting/welding shall be permitted only in areas that are or have been made fire safe, and appropriate PPE and clothing based on the type of work performed must be used. (Note: Per OSHA, to minimize carbon monoxide hazard, maintain 3-4 feet of clear ventilation space around generators).
Not Applicable Resources 14-No Deadline environmental_health_occupational_safety
Environmental Health & Occupational Safety

Resource Conservation and Recovery Act
42 U.S.C. §§ 6901-6992k

  • Gives the EPA authority to control hazardous waste – generation, transportation, treatment, storage and disposal.
  • If the University is a hazardous waste generator it must:
  • Certify there is a program in place to reduce quantity and toxicity of waste to the degree economically practicable;
  • Establish record-keeping practices for waste generated; 3. Use appropriate containers and labeling practices for storage, transport or disposal, and use a manifest system.
  • If the university is a small quantity generator, it must provide to the EPA every year setting out quantities and nature of waste generated, how disposed, efforts to reduce volume and toxicity, and changes in volume and toxicity achieved.
  • Underground Storage Tank training must be conducted every 7 years.
Underground Storage Tank annual registration and postings required by September 1 of each year. Resources 09-September environmental_health_occupational_safety
Environmental Health & Occupational Safety

The Public Health Security and Bioterrorism Preparedness and Response Act
18 U.S.C. § 175b

  • All colleges and universities that possess select agents, which are certain biological agents and toxins, need to register with the Secretary of the U.S. Department of Health and Human Services.
  • Requires prompt notification of the release of a select agent outside of the biocontainment area, or of theft or loss of a select agent.
  • The university must also deny access to the agents/toxins by restricted persons.
Universities must keep comprehensive inventories of select agents and must submit the names and other identifying information for individuals who the university determines have a legitimate need to handle or use the toxins. Resources 13-Multiple Deadlines environmental_health_occupational_safety
Environmental Health & Occupational Safety

Toxic Substances Control Act
15 U.S.C. § 2601-2629

40 C.F.R. § 761
  • Regulates the use and disposal of certain chemicals, including PCBs used in electrical transformers. Must comply with regulations concerning use, service, storage, and disposal of transformers containing PCBs.
  • The Act requires the identification, inventory, marking and quarterly inspection of PCB transformers.
15 U.S.C. § 2607; 40 C.F.R. § 761.180: A written annual document log of the disposition of PCBs and PCB items must be prepared for each facility by July 1st, covering the previous calendar year (January through December). The written annual report, which summarizes the records and annual document log shall be submitted to the EPA Regional Administrator by July 15th of each year. Resources 07-July environmental_health_occupational_safety
Ethics

Ethics in Government Act (Amended by Ethics Reform Act and Honest Leadership and Open Government Act of 2007)
5 U.S.C. § 7353

  • Members of Congress and officers and employees of the executive, legislative, and judicial branches are barred from soliciting or accepting anything of value from anyone seeking official action from, doing business with, or conducting activities regulated by the individual's employing entity or whose interests may be substantially affected by the performance or nonperformance of the individual's official duties.
  • A private university that does not employee a lobbyist is subject to restrictions.
Not Applicable Resources 14-No Deadline ethics
Ethics

House and Senate Gift Ban and Ethics Rules

  • Both the House and Senate have banned gifts from registered lobbyists or private entities that retain or employ them. Non-lobbyists can give gifts valued at less than $50, such as a meal at a briefing for a Member of Congress and their staff that is valued at less than $50 per person.
Not Applicable Resources 14-No Deadline ethics
Export Controls

Arms Export Control Act
22 U.S.C. §§ 2751-2799aa-2

  • Provides the authority to control the export of defense articles and services, and charges the President to exercise this authority. Executive Order 11958, as amended, delegated this statutory authority to the Secretary of State.
Not Applicable Resources 14-No Deadline export_controls
Export Controls

International Emergency Economic Powers Act
50 U.S.C. §§ 1701-1707

  • Authorizes the President to declare the existence of an "unusual and extraordinary threat to the national security, foreign policy, or economy of the United States" that originates "in whole or substantial part outside the United States." It further authorizes the President, after such a declaration, to block transactions and freeze assets to deal with the threat.
  • In the event of an actual attack on the United States, the President can also confiscate property connected with a country, group, or person that aided in the attack.
Not Applicable Resources 14-No Deadline export_controls
Export Controls

International Traffic in Arms Regulations (ITAR)
22 U.S.C. § 2778

22 C.F.R. §§ 120-130
  • The International Traffic in Arms Regulations govern the export of defense articles and defense services, i.e. those items with a military application.  The licensing conditions for materials covered as military products and technology are set forth at 22 U.S.C. § 2778.
  • The Department of State administers this law.
Not Applicable Resources 14-No Deadline export_controls
Export Controls

Trading with the Enemy Act
22 U.S.C. § 7201-7211

31 C.F.R. § 500
  • Foreign Assets Control Regulations of the U.S. Department of Treasury require persons subject to U.S. jurisdiction to have a license to engage in certain transactions related to travel to, from and within regulated countries.
Not Applicable Resources 14-No Deadline export_controls
Financial Aid

Higher Education Opportunity Act of 2008
Public Law No. 110-315
20 U.S.C. § 1094(h)

  • The University may maintain a preferred vendor list so long as it is not used to deny or impede a borrower's choice of lenders, offers three or more lenders not affiliated with one another, and doesn't include lenders who have offered financial or other benefits to be included on the list.
  • The University must disclose to borrowers the method and criteria used to select preferred lenders, and offer comparative information to borrowers about each lender's benefits.
  • The University must include in its preferred lender materials a prominent statement that borrowers are not required to use any lender on the list, and may not delay award certification because a preferred lender is not used.
  • The preferred lender list and associated information must be updated annually.
Not Applicable Resources
Resources
14-No Deadline financial_aid
Financial Aid

Higher Education Opportunity Act of 2008
Public Law No. 110-315
20 U.S.C. § 1099c

34 C.F.R. § 668.13
  • Section 496: To participate in Title IV financial assistance programs the University must: 1) Obtain from the Secretary certification that it provides higher education (i.e. that it is an "eligible institution"); and 2) where the HEA program has undergone a change in ownership that results in a change in control, the University's “chief administrator” and its designated HEA program administrator must complete Title IV, HEA program training within 12 months of executing the program participation agreement.
Not Applicable Resources
Resources
14-No Deadline financial_aid
Financial Aid

Higher Education Opportunity Act of 2008
20 U.S.C. § 1094

34 C.F.R. § 668.14
  • An institution may participate in any Title IV, HEA program (other than the LEAP and NEISP programs) only if the institution enters into a written program participation agreement with the Secretary, on a form approved by the Secretary.
  • The required written program participation agreement requires that the University: 1) Maintain administrative and fiscal procedures for proper and efficient administration of program funds; 2) demonstrate financial responsibility and administrative capability; and 3) certify that it has a drug abuse prevention program available to everyone, a campus security policy, and that it is in compliance with athletic program participation rate and financial support data disclosures.
  • Under the written program participation agreement the University is prohibited from engaging in the following activities: 1) Charging students fees for processing program eligibility applications, forms or data; 2) knowingly employing or contracting with individuals or entities in any capacity involving administration of HEA programs if they have been found to have committed fraud or other violations involving federal/state/local funds; 3) penalizing or denying students access because of inability to meet financial obligations resulting from delays in disbursement due to program compliance requirements or institutional delays; and 4) providing a commission/bonus to any person or entity engaged in any student recruiting, admission activities, or award decision-making based on success in securing enrollments or financial aid.
  • Use of a third party servicer does not relieve the University of the compliance requirements under this part.
The institution must publish and make readily available to current and prospective students information on the entire Federal, State, local, private and institutional financial assistance programs available to students who enroll at the institution. Institutional information must also be made available as well. No deadline specifically enumerated, but September 1st is suggested. Resources
Resources
09-September financial_aid
Financial Aid

Higher Education Opportunity Act of 2008
Public Law No. 110-315

34 C.F.R. § 668.23
  • The University must at least annually have an independent auditor (independent certified public accountant or a government auditor) conduct a compliance audit of its administration of that program and an audit of the institution's general purpose financial statements. An audit conducted per Office of Management and Budget Circular A-133 satisfies this requirement.
  • The audit must cover all Title IV, HEA program transactions.
  • Fine of up to $27,500 per violation and/or program suspension for failure to comply.
The compliance audit and audited financial statements must be submitted to the Secretary no later than six months after the last day of the institution's fiscal year. However, the University has nine months to file as it is covered by the A-133. Resources
Resources
13-Multiple Deadlines financial_aid
Financial Aid

Higher Education Opportunity Act of 2008
Public Law No. 110-315

34 C.F.R. § 668.24
  • The University must maintain any application for Title IV, HEA program funds and program records that document: 1) Its eligibility to participate and eligibility of its programs to receive funds; 2) its administration of the HEA programs per applicable requirements; 3) its financial responsibility; 4) information included in any application for program funds; and 5) its disbursement and delivery of program funds.
  • The University must maintain the following financial information: 1) The Student Aid Report (SAR) or Institutional Student Information Record (ISIR); 2) application data submitted on behalf of the student or parent; 3) documentation of each student's or parent borrower's eligibility for and receipt of program funds and loan detail; 4) documentation of and information collected at initial or exit loan counseling; 5) reports and forms used by the University in participating in an HEA program, and any records needed to verify data in those reports and forms; and 6) documentation supporting calculations of the University’s completion or graduation rates.
  • The University must keep records relating to administration of the Federal Perkins Loan, FWS, FSEOG, or Federal Pell Grant Program for three years after the end of the award year for which the aid was awarded and disbursed.
  • The University must keep records relating to a student or parent borrower's eligibility and participation in the FFEL or Direct Loan Program for three years after the end of the award year in which the student last attended the institution. All other records relating to the University’s participation in the FFEL or Direct Loan Program must be kept for three years after the end of the award year in which the records are submitted. Records pertaining to any loan, claim, or expenditure questioned by a program audit, review, or investigation must be kept until resolution or the end of the applicable retention period, whichever is later.
Not Applicable Resources
Resources
14-No Deadline financial_aid
Financial Aid

Higher Education Opportunity Act of 2008
Public Law No. 110-315

34 C.F.R. §§ 668.41-668.49
  • Annually the University must distribute to all enrolled students a notice of availability of the following: 1) Financial assistance available; 2) institutional information (e.g. cost of attendance including tuition, room, board, books and transportation; refund policy; description of academic programs and facilities; withdrawal requirements, facilities for the disabled; names of accrediting or licensing entities); 3) completion, graduation, and transfer-out rates; 4) annual security report; 5) report on athletic program participation rates and financial support data; 6) FERPA notice regarding how to obtain student information.
  • The foregoing must also be made available to prospective students upon request.
  • Notice may be given online.
No deadline for disclosures to enrolled students is set, but September 1 is suggested. Resources
Resources
09-September financial_aid
Financial Aid

Higher Education Opportunity Act of 2008
Public Law No. 110-315

34 C.F.R. § 668.53
  • The University must maintain and use written policies and procedures for verifying information contained in student aid applications.
  • Policies and procedures must include: 1) The time period for applicants to provide documentation and consequences for failure to do so; 2) the school’s verification requirements and method for notifying applicants of the results of the verification process; 3) how to correct erroneous application information; 4) how to make referrals to the Department of Education’s Office of Inspector General for suspected criminal conduct by students in applying for aid.
Not Applicable Resources
Resources
14-No Deadline financial_aid
Financial Aid

Higher Education Opportunity Act of 2008
Public Law No. 110-315

34 C.F.R. § 668.82
  • The University acts as a fiduciary in administering Title IV, HEA programs. Failure to administer the program or account for the funds received under that program in accordance with the highest standard of care and diligence constitutes grounds for: 1) An emergency action; 2) a fine (up to $27,500 per violation); or 3) limitation, suspension, or termination of the institution's participation in that program.
Not Applicable Resources
Resources
14-No Deadline financial_aid
Financial Aid

Higher Education Opportunity Act of 2008
Public Law No. 110-315
20 U.S.C. §§ 1087aa-1087ii

34 C.F.R. § 674.19
  • Perkins Loans are not currently supported or funded by the federal government, and are self-sustaining only.
  • The University must: 1) Make loans first to students with exceptional need; 2) provide assurances that thorough and adequate loan information is provided to student borrowers; and 3) enter into cooperative agreements with credit bureaus to exchange information concerning student borrowers.
  • At or prior to making a Perkins Loan the University must disclose thorough and adequate loan information including: 1) Name of institution of higher education and payment address; 2) principal loan amount and interest rate; 3) charges collected at or prior to disbursal and whether deducted from the loan or paid separately by borrower; 4) yearly and cumulative maximum amounts that may be borrowed; 5) when repayment is required and when accrued interest must be paid; 6) minimum and maximum repayment term, minimum monthly payment; 7) definition of default and consequences, and default penalty; 8) total cumulative balance and projected monthly payment; 9) options for consolidation or refinancing; 10) right to prepay without penalty and deferral options; 11) effect of loan on eligibility for other aid; 12) cost to borrower in making loan. (20 U.S.C. § 1087cc)
20 U.S.C. § 1087bb and 34 C.F.R. § 674.19: Fiscal Operations Report and Application to Participate (FISAP) reports cover the institution’s fiscal operations and request for future funding for Title IV Federal campus-based funds (SEOG, Perkins Loans, Work Study, and Federal Pell Grants. Due by October 1 each year. Resources
Resources
10-October financial_aid
Financial Aid

Higher Education Opportunity Act of 2008
Public Law No. 110-315
42 U.S.C. §§ 2751-2757

34 C.F.R. § 675
  • Generally, under the Federal Work Study Program (FWS), the University or the employing agency must pay 25% of the student's salary. The University must pay federal or state minimum wage, whichever is higher, for all hours worked, per the Fair Labor Standards Act. Volunteered time does not qualify.
  • The University must use 7% of FWS allocation to employ students in community service, one of whom must be a reading tutor. The University must make students aware of community service opportunities.
  • Private, for-profit entities do not qualify as employers for community service. Students may work during non-attendance if planning to return the following semester, but if they do not do so the University must demonstrate it had reason to believe the student would returned.
34 C.F.R. § 675.19: Fiscal Operations Report and Application to Participate (FISAP) reports cover the institution’s fiscal operations and request for future funding for Title IV Federal campus-based funds (SEOG, Perkins Loans, Work-study, and Federal Pell Grants. Due by October 1 each year. The University must reconcile reported student earnings to complete Department of Education Fiscal Operations Report (Form 646-1) at the end of the academic year. Resources
Resources
10-October financial_aid
Financial Aid

Higher Education Opportunity Act of 2008
Public Law No. 110-315
20 U.S.C. § 1078-2

  • PLUS Loans are available to the parents of eligible students through the FDLP (Direct) or FFEL (private) program, but not both.
  • If applications are made for an FFEL PLUS loan, the University must: 1) Verify the parent’s immigration status and social security number in the same manner verified for students; 2) extend PLUS loans only to parents who do not have an adverse credit history; 3) extend such loans on the same terms, conditions and benefits as other FFEL loans; 4) for any academic year, limit the loan amount to the student's estimated cost of attendance minus other financial aid; and 5) be disbursed to the institution electronically or co-payable to the school and parent.
  • Graduate/professional degree students are eligible to borrow under the PLUS Loan Program up to their cost of attendance minus other estimated financial assistance in both the FFEL and Direct Loan Program. The terms and conditions applicable to Parent PLUS Loans apply to Graduate/Professional PLUS loans.
No deadline is set, but September 1 is suggested. Resources
Resources
09-September financial_aid
Financial Aid

Higher Education Opportunity Act of 2008
Public Law No. 110-315
20 U.S.C. §§ 1070b- 1070b-4

34 C.F.R. § 676.19
  • To provide Federal Supplemental Educational Opportunity Grant (FSEOG)  grants to exceptionally needy undergraduate students the University must: 1) Sign a Participation Agreement with ED; 2) maintain funds in accordance with 34 C.F.R. § 668.163; 3) maintain an internal control system so no office can both authorize and disburse payments; 4) maintain program and fiscal records; 5) contribute at least 25% of each grant; 6) limit and account for carry-forwards or carry-backs of funds; 7) follow the eligibility requirements and selection criteria set forth by ED; and 8) submit a Fiscal Operations Report and Application to Participate (FISAP) report each year.
  • The University may not transfer FSEOG funds to any other program. HEOA now allows the University to transfer 25% of FSEOG to Federal Work Study.
Fiscal Operations Report and Application to Participate (FISAP) reports cover the institution’s fiscal operations and request for future funding for Title IV Federal campus-based funds (SEOG, Perkins Loans, Work-study, and Federal Pell Grants. Due by October 1 each year. Resources
Resources
10-October financial_aid
Financial Aid

Higher Education Opportunity Act
Public Law No. 110-315
20 U.S.C. § 1015

  • Section 111: Within two years of the Ed net calculator, schools that receive Title IV funds will be required to publicly share a net price calculator to help current and prospective students estimate their individual net price at that school as well as other financial aid information.
  • Effective July 1, 2011, if the University institutes a large percentage increase in tuition and fees or net price, a report must be submitted to the Department of Education providing the reason for the increase and the steps that will be taken to reduce cost.
Not Applicable Resources
Resources
14-No Deadline financial_aid
Financial Aid

Higher Education Opportunity Act
Public Law No. 110-315

  • Sections 152 and 153 require the following disclosures to enrolled students: . . . d) preferred lending arrangements; e) via accurate/understandable written or electronic means, the following private loan terms and conditions - interest, range of interest rates, interest adjustments, finance charges, fees and penalties, forbearance, deferral options, self-certification requirements, and a phone number or web address for additional information; . . . k) written notice regarding penalties for drug violations vis-a-vis financial aid eligibility, and if convicted timely written notice of ways to regain eligibility must be given. Disclosures c) - k) must be available to prospective students as well.
No deadline is mandated, but September 1 is suggested. Resources
Resources
09-September financial_aid
Financial Aid

Higher Education Opportunity Act
Public Law No. 110-315

  • Section 493 mandates that a school have a code of conduct and requires that officers, employees, and agents of institutions that have loan responsibilities are informed annually about the institution's code of conduct.
  • The University must develop a Code of Conduct for financial aid practices that prohibits conflicts of interest, and is published prominently on the University’s website and distributed annually to relevant personnel.
Not Applicable Resources
Resources
13-Multiple Deadlines financial_aid
Financial Aid

Higher Education Opportunity Act
Public Law No. 110-315
20 U.S.C. § 1092

  • Section 488 requires exit counseling to borrowers by institutions to include information on repayment plans, debt management, and forbearance programs, among other specific information.
  • Requires institutions to provide comprehensive information on the terms and conditions of loans and borrowers' responsibilities prior to loan disbursement to a first-time borrower. Information shall 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; or, online, with the borrower acknowledging receipt of the information. Institutions of higher education are encouraged to provide entrance counseling through interactive programs that test borrowers' understanding of the terms and conditions of their loans.
  • Effective August 14, 2008, the University must disclose publicly in a readable and comprehensible manner its transfer of credit policy, which must include criteria regarding transfer of credit and a list of institutions with which it has established an articulation agreement.
No deadline is set, but September 1 is suggested. Resources
Resources
09-September financial_aid
Financial Aid

Student Loan Default Prevention Initiative Act of 1990
20 U.S.C. §§ 1001-1019d

  • Renders institutions with high default rates on student loans ineligible to participate in certain student loan programs.
Not Applicable Resources 14-No Deadline financial_aid
Financial Aid

Student Right to Know Act
Public Law No. 101-542
20 U.S.C. § 1092

  • The University must have full time financial aid staff to assist students.
  • University must make readily available upon request, through publications, mailings and electronic media, to enrolled and prospective students: 1) Financial aid programs available; 2) methods by which assistance is distributed among recipients; 3) means and requirements for applying; 4) rights and responsibilities when receiving aid; 5) cost of attendance; 6) refund policy, and grant return and withdrawal requirements; 7) the academic degree program; 8) names of financial aid personnel; 9) handicapped facilities; 10) names of accrediting entities; 11) academic standards; 12) graduation rates; 13) loan deferral and cancellation terms; 14) applicability of aid for study abroad; and 15) campus crime report. Annually the University must provide a list of this info to all enrolled students with the procedures for obtaining it. The University also must provide exit counseling for borrowers under this section.
  • Annually the University must prepare the completion or graduation rate of its certificate or degree-seeking, full-time undergraduate students. As a member of an athletic conference, however, the Secretary of Education allows this requirement to be satisfied by the NCAA report to prospective student athletes, their coaches, parents and guidance counselors regarding completion or graduation rates for student athletes. The University must publish this data by July 1st, and the Spring IPEDS reporting satisfies that deadline.
The University must publish this data by July 1st and the Spring IPEDS reporting satisfies that deadline. Resources 07-July financial_aid
Financial Aid

Title IX of the Education Amendment of 1972
20 U.S.C. §§ 1681-1688

  • When a recipient provides financial assistance to any student participating in an educational program or activity, the recipient must ensure that it does not provide different types or amounts of assistance, limit eligibility for such assistance, apply different criteria, or otherwise discriminate in the provision of financial assistance on the basis of sex.
  • Any grievance records relating to a Title IX violation or complaint must be retained for the period of time cited in state law for personal injury actions.
Not Applicable Resources 14-No Deadline financial_aid
Fundraising & Development

Higher Education Opportunity Act
Public Law No. 110-315
20 U.S.C. § 1094

  • Section 493 mandates schools have a code of conduct and requires that officers, employees, and agents of institutions that have loan responsibilities are informed annually about the institution's code of conduct.
Not Applicable Resources 14-No Deadline fundraising_development
Fundraising & Development

Internal Revenue Code: Substantiation and Disclosure Provisions
26 U.S.C. § 170

  • Substantiation and disclosure provisions apply to contributions made to tax-exempt organizations after December 31, 1993.
  • For charitable contributions of $250 or more, the donor must receive a contemporaneous written acknowledgment from the organization of the gift.
  • The acknowledgment should note the amount of any cash contribution and, if the donation is in the form of property, the acknowledgment must describe, but need not value the property.  Valuation of the property is the responsibility of the donor.
Not Applicable Resources 14-No Deadline fundraising_development
Fundraising & Development

Pension Protection Act
26 U.S.C. § 170

  • No deduction will be allowed for the donor for a contribution of $250 or more (whether in cash or property) unless the donor has a contemporaneous written acknowledgment from the university substantiating the contribution.
  • The university must provide a written disclosure statement to the donor(s) who make payments described as quid pro quo contributions in excess of $75.
Not Applicable Resources 14-No Deadline fundraising_development
Fundraising & Development

Philanthropy Protection Act of 1995
Public Law No. 104-62

  • Requires the university to provide a disclosure statement to all annuitants in a Gift Annuity Fund and also to provide the same to all prospective donors at the time of solicitation, using a letter or pamphlet format.
  • Prohibits the payment of commissions or remuneration to anyone based on the value of a charitable gift annuity given to a public charity.
Not Applicable Resources 14-No Deadline fundraising_development
Governance

Federal Sentencing Guidelines
2012 Manual

  • The guidelines at §8B2.1 set forth the requirements for an effective compliance and ethics program for organizations. Organizations are vicariously liable under federal criminal law for acts committed by their agents. The definition of “organization” at 18 U.S.C. §18 includes non-profits such as a university.
Not Applicable Resources 14-No Deadline governance
Governance

Internal Revenue Service: Governance Information Required on Form 990

  • The IRS asks 501(c)(3) organizations about their management and governance practices on the Form 990.
Not Applicable Resources 14-No Deadline governance
Grants Management

American Recovery and Reinvestment Act of 2009 (ARRA) – Jobs Accountability Act
Public Law No. 111-5, § 1512

  • ARRA requires federal contractors receiving awards or modifications to awards funded in whole or in part by the Act to report quarterly on use of those funds.
  • Reporting must be no later than 10 days after end of each calendar quarter and report must have the following: 1) Total amount of ARRA funds received; 2) total amount of ARRA funds expended; 3) detailed list of projects/activities for which funds expended including an evaluation of completion status and estimate of the number of jobs created or retained for each; and 4) detailed information on sub awards including info required by Federal Funding Accountability and Transparency Act of 2006.
Quarterly reporting of use of ARRA funds. Resources 13-Multiple Deadlines grants_management
Grants Management

American Recovery and Reinvestment Act of 2009 (ARRA) – Self Disclosure
Public Law No. 111-5

  • Recipients of ARRA-funded grants and contracts must disclose promptly to an appropriate inspector general any credible evidence that a principal, employee, agent, contractor, sub recipient or other person has submitted a false claim under the False Claims Act or has committed a criminal or civil violation of laws pertaining to fraud, conflict of interest, bribery, gratuity or similar misconduct involving ARRA funds.
Not Applicable Resources 14-No Deadline grants_management
Grants Management

Byrd Amendment
31 U.S.C. § 1352

  • Prohibits grantees from lobbying with federal funds.
  • Requires disclosure of lobbying activities when receiving federal contracts, grants, loans or cooperative agreements.
Requires certification and disclosure with each submission for consideration of a federal contract, grant or cooperative agreement exceeding $100,000 or an award of a federal loan or commitment providing for the U.S. to insure or guarantee a loan exceeding $150,000. Federal contractors, grantees and those receiving federal loans and cooperative agreements must also report lobbying expenditures from non-federal sources which they used to obtain such federal program monies or contracts. Resources 14-No Deadline grants_management
Grants Management

Department of Education General Administrative Regulations and Other Applicable Grant Regulations

34 C.F.R. §§ 74-86 and §§ 97-99
  • The Department of Education’s General Administrative Regulations regarding the administration of grants and agreements with institutions of higher education, direct grant programs, state administered programs, drug and alcohol abuse prevention and restrictions on lobbying.
Not Applicable Resources 14-No Deadline grants_management
Grants Management Department of Health and Human Services Grants Policy Statement

  • Intended to make available in a single document the general terms and conditions of HHS discretionary grant and cooperative agreement awards.
  • This policy statement applies only to HHS discretionary grant programs and only to awards to organizational entities made by Operating Divisions other than the National Institutes of Health (NIH). It does not apply to awards under mandatory grant programs (e.g., entitlement programs) or to awards made directly to individuals (e.g., scholarships).
Not Applicable Resources 14-No Deadline grants_management
Grants Management

False Claims Act
31 U.S.C. §§ 3729-3733

  • A person does not violate the False Claims Act by submitting a false claim to the government; to violate the FCA a person must have submitted, or caused the submission of, the false claim (or made a false statement or record) with knowledge of the falsity.
  • Defines a claim as a demand for money or property made directly to the Federal Government or to a contractor, grantee, or other recipient if the money is to spent on the government’s behalf and if the Federal Government provides any of the money demanded or if the Federal Government will reimburse the contractor or grantee.
Not Applicable Resources 14-No Deadline grants_management
Grants Management

Federal Awardee Performance and Integrity Information System (FAPIIS)
Public Law No. 110-417, § 872

  • Federal Awardee Performance and Integrity Information System (FAPIIS) is a federally-mandated information system that contains specific information on the integrity and ethical performance of covered Federal contractors and grantees.
  • The University must disclose certain ethical and performance information (such as criminal, civil and administrative findings against specific individuals) at the proposal stage for use by federal acquisition professionals in award and responsibility determinations.
  • The Past Performance Information Retrieval System (PPIRS) is the mechanism for that reporting.
Not Applicable Resources 14-No Deadline grants_management
Grants Management

Federal Funding Accountability and Transparency Act of 2006 (FFATA)
Public Law No. 109-282

  • The Act requires full disclosure to public of all entities/orgs receiving federal funds via single searchable website accessible to public at no cost (www.USASpending.gov).
  • For each award the University must include: 1) Name of receiving entity; 2) amount; 3) transaction type, funding agency and program source; 4) location of recipient entity and primary location of performance; 5) reporting on executive compensation for first-tier sub award recipients; and 6) unique recipient entity identifier.
  • Reporting requirements apply to vendors as well as sub-grantees.
Reporting must occur in the month following the date of full execution of the sub-award (as determined by the University). Resources 13-Multiple Deadlines grants_management
Grants Management

Fraud Enforcement and Recovery Act of 2009 (FERA)
Public Law No. 111-21

  • The Act clarifies that the False Claims Act was intended to cover to any false or fraudulent claim for government money or property, regardless of whether the claim is presented to a government official or employee, whether the government has physical custody of the money, or whether the defendant specifically intended to defraud the government.
  • FERA also expands the False Claims Act provisions to sub-recipients of federal funds.
Not Applicable Resources 14-No Deadline grants_management
Grants Management OMB Circular A-21: Cost Principles for Educational Institutions

2 C.F.R. § 220
  • Establishes principles for determining costs applicable to grants, contracts, and other agreements with educational institutions.
  • Requires that costs be handled consistently across the University.
Not Applicable Resources 14-No Deadline grants_management
Grants Management OMB Circular A-110: Uniform Administrative Requirements for Grants and Agreements With Institutions of Higher Education, Hospitals, and Other Non- Profit Organizations

2 C.F.R. § 215
  • OMB Circular A-110 establishes uniform administrative requirements for federal grants and agreements awarded to institutions of higher education, hospitals, and other non-profit organizations.
  • Federal awarding agencies may not impose additional or inconsistent requirements, except as provided. Records must be kept for three years from the date of submission of the final expenditure report.
Not Applicable Resources 14-No Deadline grants_management
Grants Management OMB A-133: Audits of Institutions of Higher Education and Other Non-Profit Institutions

  • This circular sets forth standards for obtaining consistency and uniformity among federal agencies for the audit of non-federal entities (including colleges and universities) expending federal awards.
Not Applicable Resources 14-No Deadline grants_management
Health Care & Insurance

Controlled Substances Act
21 U.S.C. §§ 801-889

21 C.F.R. § 1300
  • Regulates the manufacture and distribution of narcotics, stimulants, depressants, hallucinogens, anabolic steroids, and chemicals used in the illicit production of controlled substances.
  • All substances are placed in one of five schedules, based on medicinal value, harmfulness, and potential for abuse or addiction, with Schedule 1 reserved for the most dangerous drugs that have no recognized medical use.
By January 15, qualifying entities must submit to the Attorney General an annual report of controlled substances in stock and quarterly reports of acquisition and distribution of controlled substances. Resources 01-January health_care_insurance
Health Care & Insurance

Higher Education Opportunity Act
Public Law No. 110-315

  • Section 488: Requires institutions to disclose policies on all vaccinations.
Not Applicable Resources 14-No Deadline health_care_insurance
Health Care & Insurance

HIPAA
Public Law No. 104-191

  • Establishes national standards to protect individuals’ medical records and other personal health information.
  • Requires appropriate safeguards to protect the privacy of personal health information, and sets limits and conditions on the uses and disclosures that may be made of such information without patient authorization.
  • Gives patients rights over their health information, including rights to examine and obtain a copy of their health records, and to request corrections.
Health plans must provide a Notice of Privacy Policy to enrollees once every three years and when there is a change to the policy. Resources 13-Multiple Deadlines health_care_insurance
Housing

Section 504 of The Rehabilitation Act of 1973
29 U.S.C. § 793

  • Prohibits discrimination on the basis of disability at any federally-funded institution. This covers admissions, recruitment, educational and/or academic programs and services.
  • A recipient that provides housing to its able-bodied students shall provide comparable, convenient, and accessible housing to students with disabilities at the same cost as to others.
  • If an existing facility is not accessible, redesign of equipment, reassignment of classes or other services to accessible buildings is an alternative to new construction.
  • Newly constructed facilities must be readily accessible to persons with disabilities.
  • Each facility or part of a facility which is altered in a manner that affects or could affect the usability of the facility or part of the facility shall, to the maximum extent feasible, be altered in such manner that the altered portion of the facility is readily accessible to and usable by persons with disabilities.
Not Applicable Resources 14-No Deadline housing
Housing

Americans with Disabilities Act
42 U.S.C. §§ 12101-12213

  • Requires reasonable accommodations to allow a qualified person with a disability to participate fully in the programs and activities of the university.
  • Requires that universities ensure that no individual with a disability is discriminated against on the basis of a disability in the full and equal enjoyment of the universities services and facilities, including university housing.
  • Enforced by multiple federal agencies, including the Department of Justice, Department of Labor, and the EEOC.
Not Applicable Resources 14-No Deadline housing
Housing

Title IX of the Education Amendment of 1972
20 U.S.C. §§ 1681-1688

  • Under the Title IX common rule, a recipient may not apply different rules or regulations, impose different fees or requirements, or offer different services or benefits related to housing based on sex. However, a recipient may provide separate housing on the basis of sex if such housing is both proportionate in quantity to the number of students of each sex applying for the housing and comparable in quality and cost to the student.
  • Any grievance records relating to a Title IX violation or complaint must be retained for the period of time cited in state law for personal injury actions.
Not Applicable Resources 14-No Deadline housing
Human Resources: Discrimination

Age Discrimination Employment Act of 1967
29 U.S.C. §§ 621-634

29 C.F.R. §§ 1625-1627
  • It is unlawful for the University to fail to hire, discharge, segregate, classify, or otherwise discriminate against any individual with respect to compensation, terms, conditions or privileges of employment because of age.
Not Applicable Resources 14-No Deadline discrimination
Human Resources: Discrimination

Americans with Disabilities Act
42 U.S.C. §§12101-12213

29 C.F.R. § 1630
  • Prohibits covered entities from discriminating on the basis of disability against a qualified individual in regard to recruitment, hiring, wages, promotion, and other employment-related matters.
  • Enforced by multiple federal agencies, including the Department of Justice, Department of Labor, and the EEOC.
Not Applicable Resources 14-No Deadline discrimination
Human Resources: Discrimination

Equal Employment of Veterans
38 U.S.C. §§ 4211-4215

41 C.F.R. § 60-250.5
  • For federal subcontracts of $25,000 or more the University shall include in each of its subcontracts a clause that the subcontractor will not discriminate against any employee or applicant for employment because he or she is a special disabled veteran, veteran of the Vietnam era, recently separated veteran, or other protected veteran in regard to any position for which the employee or applicant for employment is qualified.
  • The university must agree to take affirmative action to employ and advance qualified individuals without discrimination based on such status.
Not Applicable Resources 14-No Deadline discrimination
Human Resources: Discrimination

Equal Employment Opportunity
Executive Order 11246 (OFCCP)

41 C.F.R. § 60-1.4
  • Federal contractors must not discriminate in employment decisions on the basis of race, religion, color, sex, or national origin.
  • Covered institutions must take affirmative action to ensure applicants are treated without regard to such factors.
Not Applicable Resources 14-No Deadline discrimination
Human Resources: Discrimination

Genetic Information Non-Discrimination Act of 2008
Public Law No. 110-233

29 C.F.R. § 1635
  • Under Title II of GINA, it is illegal to discriminate against employees or applicants because of genetic information.
Not Applicable Resources 14-No Deadline discrimination
Human Resources: Discrimination

Lilly Ledbetter Fair Pay Act of 2009
Public Law No. 111-2

  • An individual subjected to compensation discrimination under Title VII of the Civil Rights Act of 1964, the Age Discrimination in Employment Act of 1967, or the Americans with Disabilities Act of 1990 may file a charge within 180 (or 300) days of any of the following: 1) when a discriminatory compensation decision or other discriminatory practice affecting compensation is adopted; 2) when the individual becomes subject to a discriminatory compensation decision or other discriminatory practice affecting compensation; or 3) when the individual's compensation is affected by the application of a discriminatory compensation decision or other discriminatory practice, including each time the individual receives compensation that is based in whole or part on such compensation decision or other practice.
  • The Act has a retroactive effective date of May 28, 2007, and applies to all claims of discriminatory compensation pending on or after that date.
Not Applicable Resources 14-No Deadline discrimination
Human Resources: Discrimination

The Equal Pay Act of 1963
29 U.S.C. § 206(d)

  • Prohibits sex-based wage discrimination between men and women in the same establishment who perform jobs that require substantially equal skill, effort and responsibility under similar working conditions.
Not Applicable Resources 14-No Deadline discrimination
Human Resources: Discrimination

The Family and Medical Leave Act of 1993
29 U.S.C. §§ 2601-2654

29 C.F.R. § 825
  • Entitles eligible employees of covered employers to take unpaid, job-protected leave for specified family and medical reasons with continuation of group health insurance coverage under the same terms and conditions as if the employee had not taken leave.
  • The University must permit a "spouse, son, daughter, parent, or next of kin" to take up to 26 workweeks of leave to care for a member of the Armed Forces, including a member of the National Guard or Reserves, who is undergoing medical treatment, recuperation, or therapy, is otherwise in outpatient status, or is otherwise on the temporary disability retired list, for a serious injury or illness.
Not Applicable Resources 14-No Deadline discrimination
Human Resources: Discrimination

Title IX of the Education Amendment of 1972
20 U.S.C. §§ 1681-1688

29 C.F.R. § 1604
  • Prohibits discrimination on the basis of sex in education programs or activities receiving federal financial assistance, including employment.
  • Any grievance records relating to a Title IX violation or complaint must be retained for the period of time cited in state law for personal injury actions.
Not Applicable Resources 14-No Deadline discrimination
Human Resources: Discrimination

Title VII of the Civil Rights Act of 1964
42 USCU.S.C. §§ 2000e-2000e-17

  • Title VII prohibits discrimination in hiring, firing, training, promotion, discipline, or other workplace decisions on the basis of an employee or applicant’s race, color, sex, national origin, or religion.
  • Sexual harassment is also prohibited under this law.
  • Allows for compensatory and punitive damages and jury trials when intentional employment discrimination can be shown with respect to one of the Title VII protected classes or with respect to protection offered by the Americans with Disabilities Act or the Rehabilitation Act.
  • Prohibits discrimination on the basis of pregnancy, childbirth, or related illness in employment opportunities, health or disability insurance programs, or sick leave plans.
Not Applicable Resources 14-No Deadline discrimination
Human Resources: Discrimination

Uniformed Services Employment and Reemployment Rights Act (USERRA)
38 U.S.C. § 4301-4335

5 C.F.R. § 353
  • Seeks to ensure that members of the uniformed services are entitled to return to their civilian employment upon completion of their service.
  • Qualified employees must be reinstated with the seniority, status, and rate of pay they would have obtained had they remained continuously employed by their civilian employer.
  • The law also protects individuals from discrimination in hiring, promotion, and retention on the basis of present and future membership in the armed services.
Not Applicable Resources 14-No Deadline discrimination
Human Resources: Employee Benefits

Cafeteria Plan Regulations
26 U.S.C. § 125

26 C.F.R. § 1.125-4
  • A cafeteria plan is a written plan that allows employees to exclude from gross income certain types of employer provided benefits, such as accident and health insurance, group term and life insurance, and benefits under a dependent care assistance program.
  • Qualified scholarships or tuition reduction, educational assistance or deferred compensation may not be excluded from income.
  • For purposes of determining the taxable year of inclusion, any benefit described in paragraph (1) or (2) from the statute shall be treated as received or accrued in the taxable year of the participant or key employee in which the plan year ends.
Not Applicable Resources 14-No Deadline employee_benefits
Human Resources: Employee Benefits

Consolidated Omnibus Budget Reconciliation Act (COBRA)
Public Law No. 99-272

29 C.F.R. § 2590
  • Enables employees and their families to continue health care coverage under an employer’s group health plan even after they experience an event that would otherwise end their coverage (e.g. layoff, termination, decrease in hours, divorce, etc.).
Not Applicable Resources 14-No Deadline employee_benefits
Human Resources: Employee Benefits

Employee Retirement Income Security Act of 1974 (ERISA)
29 U.S.C. §§ 1001-1461

29 C.F.R. § 2560
  • Sets minimum standards for participation, vesting, benefit accrual and funding pension plans.
  • Requires employers to regularly provide participants with information about the plan including information about plan features and funding.
  • Requires accountability of plan fiduciaries and gives participants the right to sue for benefits and breaches of fiduciary duty.
The administrator of the University’s employee benefit plan must file IRS Form 5500 by the last day of the seventh month after the plan year ends (July 31 for a calendar-year plan). Resources 13-Multiple Deadlines employee_benefits
Human Resources: Employee Benefits

Medicare, Medicaid, and SCHIP Extension Act of 2007
Public Law No. 110-173

  • The University, as a provider of self-insured group health and worker’s compensation plans, must determine whether a claimant is entitled to benefits under Medicare on any basis, and if so, must submit to the Secretary of the Department of Health and Human Services the claimant’s identity and other information (e.g. SSNs, date of birth, sex, and address) specified by the Secretary for coordination of benefits and recovery claims purposes.
The University must have an authorized representative who is legally responsible and signs a contract with the government, and also an account manager (must be a different person) who is collecting data and reporting on a quarterly basis. $1,000 per day civil penalty for each claimant for whom information should have been submitted, but was not. Resources 13-Multiple Deadlines employee_benefits
Human Resources: Employee Benefits

Patient Protection and Affordable Care Act
Public Law No. 111-148

  • Prohibits new group health plans from establishing any eligibility rules for health care coverage that discriminate in favor of higher wage employees.
  • Requires all new health plans to implement an effective process for appeals of coverage determinations and claims, states will provide an external appeals process to ensure an independent review.
  • Creates a long-term care insurance program to be financed by voluntary payroll deductions to provide benefits to adults who become disabled.
By July 31 of each year between 2013 and 2019 (for plan years ending on or after 10/1/12 and before 10/1/19), the university must file IRS Form 720 and pay applicable PCOR (Patient Centered Outcome Research Institute) fees for any covered self-insured plans, at the applicable rate ($1.00 per covered life for 2012, $2.00 for 2013, adjusted for health inflation thereafter). Resources 07-July employee_benefits
Human Resources: Employee Benefits

The Veterans’ Readjustment Benefits Act
38 U.S.C. §§ 4211-4214

41 C.F.R. § 61-250.10
  • Provides the rights, benefits, and obligations of persons absent from employment for military service.
By September 30th of each year the University must file Federal Contractor Veterans Employment Report (VETS-100) reporting the number of disabled veterans, Vietnam veterans and protected veterans employed and hired. Resources 09-September employee_benefits
Human Resources: Employee Benefits

Title IX of the Education Amendment of 1972
20 U.S.C. §§ 1681-1688

29 C.F.R. § 1604
  • Under the Title IX common rule, a recipient must not discriminate on the basis of sex in providing health and insurance benefits or services. Specifically, the provision of such benefits and services to students must meet the same requirements as outlined in the employee provisions of the common rule.
  • Any grievance records relating to a Title IX violation or complaint must be retained for the period of time cited in state law for personal injury actions.
Not Applicable Resources 14-No Deadline employee_benefits
Human Resources: Employee Benefits

Uniformed Services Employment and Reemployment Rights Act (USERRA)
38 U.S.C. § 4301-4335

5 C.F.R. § 353
  • Seeks to ensure that members of the uniformed services are entitled to return to their civilian employment upon completion of their service.
  • Qualified employees must be reinstated with the seniority, status, and rate of pay they would have obtained had they remained continuously employed by their civilian employer.
  • The law also protects individuals from discrimination in hiring, promotion, and retention on the basis of present and future membership in the armed services.
Not Applicable Resources 14-No Deadline employee_benefits
Human Resources: Recruitment Hiring & Termination

Drug & Alcohol Testing of Transportation Employees
49 U.S.C. § 31144

49 C.F.R. § 40
  • Commercial motor vehicle operators are subject to pre-employment drug testing, and post-accident, random and reasonable suspicion drug and alcohol testing.  Testing is mandatory if the driver is involved in a fatal accident.
  • Passenger vehicle drivers are required to be tested prior to employment.
  • The Code of Federal Regulations sets forth the procedures for administering drug and alcohol testing as mandated by the DOT.
Not Applicable Resources 14-No Deadline recruitment_hiring_termination
Human Resources: Recruitment Hiring & Termination

Drug Free Workplace Act
41 U.S.C. §§ 701-707

  • A federal contractor receiving $25,000 or more in funding must: 1) Certify it provides a drug-free workplace; 2) publish a statement notifying employees that unlawful manufacture, distribution, dispensing, possession, use of controlled substances is prohibited and stating what action will be taken for violations; 3) establish an ongoing drug-free awareness program; 4) require that each employee directly involved in the contract/grant work notify the employer of any criminal drug statute convictions for a violation occurring in the workplace (however, drug testing is not mandated or authorized); 5) notify the federal government of such a violation within ten days after learning of conviction; and 6) require sanctions or remedial measures for an employee convicted of a drug abuse violation in the workplace.
  • Failure to comply can lead to being barred from participation in future contract or grant activity for up to five (5) years.
Not Applicable Resources 14-No Deadline recruitment_hiring_termination
Human Resources: Recruitment Hiring & Termination

Employee Polygraph Protection Act
29 U.S.C. §§ 2001-2009

  • The University may not:
  • Directly or indirectly require, request, suggest, or cause any employee or prospective employee to take or submit to any lie detector test;
  • Use, accept, refer to, or inquire concerning the results of any lie detector test of any employee or prospective employee; or 
  • Discharge, discipline, discriminate against, deny employment or promotion, or threaten such action against any employee or prospective employee who a) refuses, declines, or fails to take or submit to any lie detector test, or b) on the basis of the results of any lie detector test; or 4) discharge, discipline, discriminate against, deny employment or promotion, or threaten such action against any employee or prospective employee a) who has filed a complaint or caused to be instituted any proceeding per this Act, b) has or will testify in any such proceeding, or c) exercises any right per the Act.
  • The University must post a notice of the Act, as prepared by the Secretary of Labor, in conspicuous places where notices to employees and applicants are customarily posted. 
Not Applicable Resources 14-No Deadline recruitment_hiring_termination
Human Resources: Recruitment Hiring & Termination

Fair Credit Reporting Act (FCRA)
15 U.S.C. §§ 1681-1681x

16 C.F.R. § 600
  • Employers, before obtaining a consumer report (including criminal background checks) must disclose in writing to the applicant or employee that it may obtain a consumer report for employment purposes, and secondly, secure the written consent of the applicant or employee.
  • Note that when using a third party consumer reporting agency to request motor vehicle record checks for employment purposes, the FCRA should be followed, and notice given to the applicant or employee.
Not Applicable Resources 14-No Deadline recruitment_hiring_termination
Human Resources: Recruitment Hiring & Termination

Federal Volunteer Protection Act
Public Law No. 105-19
42 U.S.C. §§ 14501-14505

  • Partially protects individual volunteers for non-profit organizations and governmental entities from liability for acts of negligence in the course of their volunteer work.
Not Applicable Resources 14-No Deadline recruitment_hiring_termination
Human Resources: Recruitment Hiring & Termination

Immigration and Nationality Act
8 U.S.C. §§ 1101-1537

  • The INA, as amended sets forth the laws governing the admission and employment of foreign nationals in the United States, including provisions that address employment eligibility and employment verification.
Not Applicable Resources 14-No Deadline recruitment_hiring_termination
Human Resources: Recruitment Hiring & Termination

Worker Adjustment and Retraining Notification Act (WARN)
29 U.S.C. §§ 2101-2109

  • The University must provide 60 days advance notice of plant closings or mass layoffs to affected workers (whether hourly or salaried, including managers or supervisors) or their representatives (i.e. labor union).
  • Notice also must be given to the state dislocated worker unit and the appropriate unit of local government.
  • Failure to comply may result in liability to each aggrieved employee for back pay and benefits for the period of violation up to 60 days, and $500 for each day of violation for failing to notify the unit of local govt.
Not Applicable Resources 14-No Deadline recruitment_hiring_termination
Human Resources: Retirement

Deferred Compensation
26 U.S.C. § 457

  • Any amount of compensation deferred under an eligible deferred compensation plan, and any income attributable to the amounts so deferred, shall be includible in gross income only for the taxable year in which such compensation or other income is paid.
Reporting due by the Administrator by the last day of 7th month after end of plan year. An automatic extension of up to 2½ months may be obtained by filing Form 5558 with the IRS before the return/report’s regular due date. Resources 13-Multiple Deadlines retirement
Human Resources: Retirement

Employee Annuities
26 U.S.C. § 403

  • If an annuity contract is purchased by an employer for an employee under a plan which meets the requirements of section 404(a)(2) (whether or not the employer deducts the amounts paid for the contract under such section), the amount actually distributed to any distributee under the contract shall be taxable to the distributee (in the year in which so distributed) under section 72 (relating to annuities).
Reporting by the last day of 7th month after end of plan year. An automatic extension of up to 2½ months may be obtained by filing Form 5558 with the IRS before the return/report's regular due date. Resources 13-Multiple Deadlines retirement
Human Resources: Retirement

Employee Retirement Income Security Act of 1974 (ERISA)
29 U.S.C. § 18

29 C.F.R. § 2560
  • Sets minimum standards for participation, vesting, benefit accrual and funding pension plans.
  • Requires employers to regularly provide participants with information about the plan including information about plan features and funding.
  • Requires accountability of plan fiduciaries and gives participants the right to sue for benefits and breaches of fiduciary duty.
The administrator of the University’s employee benefit plan must file IRS Form 5500 by the last day of the seventh month after the plan year ends (July 31 for a calendar-year plan). Resources 13-Multiple Deadlines retirement
Human Resources: Retirement

Nonqualified Deferred Inclusion
26 U.S.C. § 409A

  • If at any time during a taxable year a nonqualified deferred compensation plan—(I) fails to meet the requirements of paragraphs (2), (3), and (4), or (II) is not operated in accordance with such requirements, all compensation deferred under the plan for the taxable year and all preceding tax able years shall be includible in gross income for the taxable year to the extent not subject to a substantial risk of forfeiture and not previously included in gross income.
Reporting due by the last day of 7th month after end of plan year. An automatic extension of up to 2½ months may be obtained by filing Form 5558 with the IRS before the return/report’s regular due date. Resources 13-Multiple Deadlines retirement
Human Resources: Retirement

Qualified Pensions
26 U.S.C. § 401

  • A trust created or organized in the United States and forming part of a stock bonus, pension, or profit-sharing plan of an employer for the exclusive benefit of his employees or their beneficiaries shall constitute a qualified trust.
Reporting due by the Administrator by the last day of 7th month after end of plan year. An automatic extension of up to 2½ months may be obtained by filing Form 5558 with the IRS before the return/report’s regular due date. Resources 13-Multiple Deadlines retirement
Human Resources: Retirement

Social Security Act
42 U.S.C. §§ 301-1397mm

20 C.F.R. § 404.1028
  • An employer must pay social security taxes on employees but an exemption exists for most students also working for the university, and for clergy whose services are performed in the exercise of their ministry.
To avoid penalty for reporting incorrect SSN on W-2 file/forms of $50 each, transmit data file, electronically, to the Social Security Administration (SSA). Report all employees hired in the specific quarter listing name, SSN, sex, and date of birth. After information is queried against SSA's database, mismatches are sent back for resolution. Resources 13-Multiple Deadlines retirement
Human Resources: Unions

Civil Service Reform Act of 1978
Public Law No. 95-454
5 U.S.C. § 1104

  • These regulations establish a Bill of Rights for union members and set standards for union reports, trusteeships imposed on subordinate unions, elections of union officers, financial safe-guards, and other matters.
  • They also set forth administrative procedures for enforcing the standards of conduct requirements, including hearings before an administrative law judge and determinations by the Assistant Secretary for Employment Standards.
Not Applicable Resources 14-No Deadline unions
Human Resources: Unions

National Labor Relations Act
29 U.S.C. §§ 151-169

29 C.F.R. § 103.1
  • It is an unfair labor practice for the University to: 1) Interfere with, restrain, or coerce employees in the exercise of their rights; 2) dominate or interfere with the formation or administration of any labor organization; 3) discriminate in any term or condition of employment; 4) encourage or discourage membership in any labor organization; or 5) refuse to bargain collectively with a labor organization's representatives.
Not Applicable Resources 14-No Deadline unions
Human Resources: Wages

Consumer Credit Protection Act, Title III (CCPA) – Garnishments
15 U.S.C. § 1673

  • Per Title III of the CCPA the maximum part of an employee's total disposable earnings subject to garnishment in any workweek may not exceed the lesser of 25% of disposable earnings for that week or the amount by which disposable earnings for that week exceeds 30 times the federal minimum wage rate in effect at the time the earnings are payable. §1674 prohibits firing an employee because of garnishment and imposes a $1,000 fine for doing so.
Not Applicable Resources 14-No Deadline wages
Human Resources: Wages

Federal Insurance Contributions Act (FICA)
42 U.S.C. §§ 401-434

26 C.F.R. § 31
  • Provides that service performed in the employ of a school, college or university by a student who is enrolled and regularly attending classes at such school, college, or university is exempt from the FICA tax.
  • An employee who is in employment for wages which are subject to taxes under the Federal Insurance Contributions Act (FICA) or which are subject to the withholding of income tax from wages must apply for a social security number by filing SSA Form SS-5.
  • An employer must pay social security taxes on employees, but an exemption exists for most students who are also working for the university and for clergy whose services are performed in the exercise of their ministry.
Not Applicable Resources 14-No Deadline wages
Human Resources: Wages

Fair Labor Standards Act (FLSA)
29 U.S.C. §§ 201-219

  • Establishes minimum wage.
  • Guarantees “time and a half” overtime for some employees.
  • Establishes requirements for break time and places for nursing mothers.
  • The University must preserve for 3 years:
    1. All payroll records or other records containing employee data from the last date of entry
    2. From their last effective date – collective bargaining agreements and amendments, plans, trusts, employment and individual contracts, written agreements or memoranda summarizing the terms of oral agreements, and certificates and notices
  • The University must preserve for two years:
    1. Basic employment and earnings records
    2. Wage rate tables
    3. Records of additions to or additions to or deductions from wages paid
    4. All records used in determining original, operating and maintenance costs, and depreciation and interest charges
Not applicable Resources 14-No Deadline wages
Human Resources: Wages

Federal Unemployment Tax Act
26 U.S.C. §§ 3301-3311

26 C.F.R. § 31.6011(a)-3
  • Provides for payments of unemployment compensation to workers who have lost their jobs.
  • If your FUTA tax is more than $500 for the calendar year, you must deposit at least one quarterly payment.  If not, alternate rules apply.
Not applicable Resources 14-No Deadline wages
Human Resources: Wages

Qualified Tuition Reductions
Publication

  • A qualified tuition reduction is any reduction in tuition provided to an employee for the education of an employee or certain relatives of the employee at the institution the employee works at or another qualified institution.
  • A qualified tuition reduction is tax-free.
  • The tuition must be for education below the graduate level, with an exception for graduate students engaged in teaching or research at the university.
Reporting due by the last day of 7th month after end of plan year. An automatic extension of up to 2½ months may be obtained by filing Form 5558 with the IRS before the return/report’s regular due date. Resources 13-Multiple Deadlines wages
Immigration

Immigration and Nationality Act (INA)
8 U.S.C. §§ 1101-1537

  • The INA, as amended sets forth the laws governing the admission and employment of foreign nationals in the United States, including provisions that address employment eligibility and employment verification.
Not Applicable Resources 14-No Deadline immigration
Immigration

Student Exchange and Visitor Information System (SEVIS)

  • The Student and Exchange Visitor Program (SEVP) acts as the bridge for various government organizations that have an interest in information on foreign students.
  • SEVIS was created to improve data collection and reporting, enhance customer service, facilitate compliance with regulations and help ICE better monitor schools and exchange programs, as well as F, M and J non-immigrants.
  • Via SEVIS, the University must keep information and records relating to each F-1 or M-1 student to whom it has issued a Form I-20A or I-20M.
All J-1 sponsors must submit an annual report generated from SEVIS and a narrative report. Sponsors must submit an annual report to the Department of State. The report must be filed on an academic, calendar, or fiscal year, as stipulated on the program's designation or re-designation letter. The due dates are:
  • For Academic Year end designees (June 30th): report due to the Department of State July 31st.
  • For Calendar Year end designees (December 31st): report due to the Department of State January 31st.
  • For Fiscal Year end designees (September 30th): report due to Department of State October 31st.
Resources 13-Multiple Deadlines immigration
Information Technology

Controlling the Assault of Non-Solicited Pornography And Marketing Act of 2003 (CAN-SPAM Act)
15 U.S.C. §§ 7701-7713

16 C.F.R. § 316
  • Prohibits the inclusion of deceptive or misleading information and subject headings, requires identifying information such as a return address in email messages, and prohibits sending emails to a recipient after an explicit response that the recipient does not want to continue receiving messages.
  • In addition to bulk email, the law covers all commercial messages, which it defines as “any electronic mail message the primary purpose of which is the commercial advertisement or promotion of a commercial product or service.”
  • Each separate email in violation of the CAN-SPAM Act is subject to penalties of up to $16,000.
Not Applicable Resources 14-No Deadline information_technology
Information Technology

Communications Assistance for Law Enforcement Act (CALEA)
47 U.S.C. §§ 1001-1010

  • CALEA requires a "telecommunications carrier," as defined by the Act, to ensure that equipment, facilities, or services that allow a customer or subscriber to "originate, terminate, or direct communications," enable law enforcement officials to conduct electronic surveillance pursuant to court order or other lawful authorization.
Not Applicable Resources 14-No Deadline information_technology
Information Technology

Digital Millennium Copyright Act (DMCA)
17 U.S.C. § 512

  • Imposes rules prohibiting the circumvention of technological protection measures.
  • Sets limitations on copyright infringement liability for online service providers (OSPs).
  • Expands an existing exemption for making copies of computer programs.
  • Provides a significant updating of the rules and procedures regarding archival preservation.
Not Applicable Resources 14-No Deadline information_technology
Information Technology

Electronic Communications Privacy Act
18 U.S.C. §§ 2510-2522 (Wiretap)
18 U.S.C. §§ 2701-2711 (Stored Communications)

  • The ECPA, as amended, protects wire, oral, and electronic communications while those communications are being made, are in transit, and when they are stored on computers.
  • The Act applies to email, telephone conversations, and data stored electronically.
Not Applicable Resources 14-No Deadline information_technology
Information Technology

FCC – Cable Certification
47 U.S.C. § 151

47 C.F.R. § 76.1502
  • Prior to commencing service, cable television systems, cable operators, and satellite carriers must obtain certification that they are in conformity with signal carriage, program exclusivity, cable casting, and other standards.
  • An operator of an open video system must certify on FCC Form 1275 that it will comply with the FCC's regulations in 47 C.F.R. § 76.1502.
Not Applicable Resources 14-No Deadline information_technology
Information Technology

FCC – Fixed Microwave Services, Licensing
47 U.S.C. § 151

47 C.F.R. § 101
  • The University must file an application to provide fixed microwave services electronically via ULS for each Digital Electronic Message Service (DEMS) Nodal Station. Licensee may not be a foreign government or representative of a foreign government.
  • The application must contain all technical information, including but not limited to transmitting and receiving station names, coordinates, equipment, antennae information, etc.
  • Must demonstrate substantial service at the time of license renewal, and must provide a description of current service.
Not Applicable Resources 14-No Deadline information_technology
Information Technology

FCC – Wireless Communications, Licensing
47 U.S.C. § 151

47 C.F.R. § 27
  • The University's authorization to provide wireless communication services is granted for any or a combination of the following services in a single license: 1) common carrier; 2) non-common carrier; 3) private internal communications; 4) and broadcast services.
  • A license application must be filed with the FCC.
Not Applicable Resources 14-No Deadline information_technology
Information Technology

Hazardous Materials Transportation Act
49 U.S.C. §§ 5101-5128

40 C.F.R. § 261
  • The University must properly dispose of computers and electrical equipment containing hazardous materials or the University is subject to fines and penalties.
Not Applicable Resources 14-No Deadline information_technology
Information Technology

Higher Education Opportunity Act
Public Law No. 110-315
20 U.S.C. § 1092

  • Section 488 requires institutions to develop plans to detect and prevent unauthorized distribution of copyrighted material on information technology systems, including offering alternatives to illegal-downloading or peer-to-peer distribution of intellectual property.
Not Applicable Resources 14-No Deadline information_technology
Information Technology

Homeland Security Act of 2002
Public Law No. 107–296

  • The Act encourages private sector sharing of information with the Department of Homeland Security.
  • Information that is voluntarily provided relating to infrastructure vulnerabilities or other vulnerabilities to terrorism is not subject to public disclosure under FOIA, and does not lose its protected character if forwarded by DHS to other federal agencies.
Not Applicable Resources 14-No Deadline information_technology
Information Technology

Junk Fax Prevention Act of 2005
47 U.S.C. § 227(b)(1)(C)

  • Applicable to non-profits, the Act provides that it is unlawful for the University to use a fax machine to send an unsolicited advertisement to another fax machine unless there is: 1) An established business relationship; 2) the sender obtained the fax number through voluntary communication with the recipient; and 3) the first page of the fax conspicuously states the recipient can request no further unsolicited communications.
  • Penalties include a right of private action for actual damages or $500 per fax, whichever greater, and can be increased if willful or knowing.
Not Applicable Resources 14-No Deadline information_technology
Information Technology

No Electronic Theft Act
Public Law No. 105-147

  • Makes it a criminal offense to willfully infringe a copyright by sharing, as well as selling, pirated software with a retail value of $1,000 or more.
  • Offenders will be subject to up to five years in prison, and a $250,000 fine.
Not Applicable Resources 14-No Deadline information_technology
Information Technology

Telemarketing
47 U.S.C. § 227

47 C.F.R. § 64.1200
  • A tax-exempt nonprofit University is exempt from the Do-Not-Call-Registry, but may not call any residential telephone subscriber before 8 a.m. or after 9 p.m. local time at the called party's location.
Not Applicable Resources 14-No Deadline information_technology
Intellectual Property & Technology Transfer

American Jobs Creation Act of 2004
26 U.S.C. § 170

  • For contributions of patents and certain other intellectual property made to a 501(c)(3) after June 3, 2004 the taxpayer's initial contribution deduction is limited to the lesser of the donor's basis in the contributed property or the fair market value of the property.
The institution is expected to file Form 8899 (Notice of Income from Donated Intellectual Property) by the last day of the first full month following the close of the institution’s taxable year to which the net income from the contribution is properly allocable. Resources 13-Multiple Deadlines intellectual_property_technology_transfer
Intellectual Property & Technology Transfer

Bayh-Dole Act of 1980
35 U.S.C. §§ 200-212

  • Establishes a uniform policy for the disposition and licensing of rights to patentable inventions discovered in the course of federally-funded research.
Not Applicable Resources 14-No Deadline intellectual_property_technology_transfer
Intellectual Property & Technology Transfer

Cooperative Research and Technology Enhancement Act (CREATE Act)
Public Law No. 108-453

37 C.F.R. § 401
  • Amends the Patent Act to provide that sharing of confidential information under a joint research agreement that was in effect on or before the date the claimed invention was made will not be the basis of an obviousness determination under patent law.
  • Promotes patentability of inventions created between universities and the private sector by treating inventions as having a sole owner.
Not Applicable Resources 14-No Deadline intellectual_property_technology_transfer
Intellectual Property & Technology Transfer

Trademark Revision Act
15 U.S.C. § 1051
Public Law No. 109-312

  • Subject to the principles of equity, the owner of a famous mark that is distinctive, inherently or through acquired distinctiveness, shall be entitled to an injunction against another person who, at any time after the owner’s mark has become famous, commences use of a mark or trade name in commerce that is likely to cause dilution by blurring or dilution by tarnishment of the famous mark, regardless of the presence or absence of actual or likely confusion, of  competition, or of actual economic injury.
Not Applicable Resources 14-No Deadline intellectual_property_technology_transfer
Intellectual Property & Technology Transfer

U.S. Patent Act
35 U.S.C. §§ 1-390

Consolidated Patent Rules, 37 C.F.R. §§ 1-150
  • The consolidated patent laws specify the subject matter for which a patent may be obtained and the conditions for patentability.
  • The laws establish the United States Patent and Trademark Office to administer the law relating to the granting of patents and contain various other provisions relating to patents.
Not Applicable Resources 14-No Deadline intellectual_property_technology_transfer
Intellectual Property & Technology Transfer

Visual Artists Rights Act
17 U.S.C. § 106A

  • Protects moral rights for fine art works, but does not protect audiovisual works and probably does not apply to most multimedia creations.
Not Applicable Resources 14-No Deadline intellectual_property_technology_transfer
International Activities & Programs

Foreign Agents Registration Act of 1938
22 U.S.C. §§ 611-621

28 C.F.R. § 5
  • Requires persons acting as agents of foreign principals in a political or quasi-political capacity to make periodic public disclosure of their relationship with the foreign principal, as well as activities, receipts and disbursements in support of those activities.
  • The FARA Registration Unit of the Counterespionage Section (CES) in the National Security Division (NSD) is responsible for the administration and enforcement of the Act.
Registration under the Act is accomplished by the filing of an initial statement together with the required exhibits and the filing of a supplemental statement at intervals of 6 months for the duration of the principal-agent relationship requiring registration. An agent must file with the Department of Justice any informational materials distributed on the behalf of the foreign principal to two or more persons in the United States within 48 hours of distribution. Resources 13-Multiple Deadlines international_activities_programs
Lobbying & Political Activity

Honest Leadership and Open Government Act of 2007
Public Law No. 110-81

  • Made a number of changes to the Lobbying Disclosure Act, including a ban on most gifts from an independent college or university that employs or engages a lobbyist.
Requires active lobbying registrants and individual lobbyists to file a semi-annual report of certain contributions along with certification that the filer understands the gift and travel rules of both the House and the Senate by the following deadlines: July 30 Mid-Year (January 1 - June 30) January 30 Year End (July 1 – December 31) Resources 13-Multiple Deadlines lobbying_political_activity
Lobbying & Political Activity

House and Senate Gift Ban and Ethics Rules

  • Both the House and Senate have banned gifts from registered lobbyists or private entities that retain or employ them. Non-lobbyists can give gifts valued at less than $50, such as a meal at a briefing for a Member of Congress and their staff that is valued at less than $50 per person.
Not Applicable Resources 14-No Deadline lobbying_political_activity
Lobbying & Political Activity

Lobbying Disclosure Act
2 U.S.C. §§ 1601-1614
Public Law No. 104-65, 109 Stat. 691

  • Requires institutions to register if they employ (as a salaried employee) individuals who make at least two lobbying contacts each six months and devote 20% of their time to lobbying activities and incur expenses for lobbying of $20,000 or more in a six-month period.
  • Permits tax exempt charitable organizations required to report lobbying expenses by the IRC to report, under this law, only good faith estimates of such expenses in order to meet reporting requirements.
Requires all active registrants to file quarterly activity reports with the Clerk of the U.S. House of Representatives and the Secretary of the U.S. Senate. Quarterly Activity Report Deadlines: April 20 First Quarter (January 1 – March 31) July 20 Second Quarter (April 1 – June 30) October 20 Third Quarter (July 1 – September 30) January 20 Fourth Quarter (October 1 – December 31) Resources 13-Multiple Deadlines lobbying_political_activity
Lobbying & Political Activity

Political Activities
IRC § 501 (c )(3)

  • All section 501(c)(3) organizations are absolutely prohibited from directly or indirectly participating in, or intervening in, any political campaign on behalf of (or in opposition to) any candidate for elective public office.
  • Contributions to political campaign funds or public statements of position (verbal or written) made on behalf of the organization in favor of or in opposition to any candidate for public office clearly violate the prohibition against political campaign activity.
  • Violating this prohibition may result in denial or revocation of tax-exempt status and the imposition of certain excise taxes.
Not Applicable Resources 14-No Deadline lobbying_political_activity
Privacy & Information Security

Americans with Disabilities Act
42 U.S.C. §§ 12101-12213

  • The ADA contains strict confidentiality requirements for medical information related to employee's disabilities.
  • Enforced by multiple federal agencies, including the Department of Justice, Department of Labor, and the EEOC.
Not Applicable Resources 14-No Deadline privacy_information_security
Privacy & Information Security

Children’s Online Privacy Protection Act of 1998 (COPPA)
15 U.S.C. § 91

  • Regulates the collection, use and protection of information from children (up to age 13) via websites or on-line services.
  • Any University sites that are directed to and collect personal info from children must, among other requirements: 1) Provide notice on the website of what info is collected, how it’s used, and the operator's disclosure practices; 2) respond to parental requests for info; 3) maintain procedures to protect confidentiality, security and integrity of personal information collected.
Not Applicable Resources 14-No Deadline privacy_information_security
Privacy & Information Security

Electronic Communications Privacy Act
18 U.S.C. §§ 2510-2522 (Wiretap)
18 U.S.C. §§ 2701-2711 (Stored Communications)

  • The ECPA, as amended, protects wire, oral, and electronic communications while those communications are being made, are in transit, and when they are stored on computers.
  • The Act applies to email, telephone conversations, and data stored electronically.
Not Applicable Resources 14-No Deadline privacy_information_security
Privacy & Information Security

Fair and Accurate Credit Transaction Act (FACTA)
Public Law No. 108-159

Red Flag Rules: 16 C.F.R. § 681
  • Amends the Fair Credit Reporting Act
  • Establishes requirements for maintaining information privacy, accuracy, and disposal
  • Limits the ways consumer information can be shared
Not Applicable Resources 14-No Deadline privacy_information_security
Privacy & Information Security

Fair Credit Reporting Act (FCRA)
15 U.S.C. §§ 1681-1681x

16 C.F.R. § 600
  • Employers, before obtaining a consumer report (including criminal background checks) must disclose in writing to the applicant or employee that it may obtain a consumer report for employment purposes, and secondly, secure the written consent of the applicant or employee.
  • Note that when using a third party consumer reporting agency to request motor vehicle record checks for employment purposes, the FCRA should be followed, and notice given to the applicant or employee.
Not Applicable Resources 14-No Deadline privacy_information_security
Privacy & Information Security

FERPA
20 U.S.C. § 1232g

34 C.F.R. § 99
  • The University must provide students the right to inspect their education records and obtain written consent to release the records to anyone other than school officials, authorized government personnel, in connection with financial aid, in an emergency, or for other specifically-allowed purposes.
20 U.S.C. § 1232g(e); 34 C.F.R. § 99.7 and 20 U.S.C. § 1092(a): Each educational agency or institution shall annually notify students currently in attendance, of their rights under FERPA. Notification of these rights concurrent with fall registration is suggested, as the student needs to be told what information the student has identified as directory information and notified of his/her opportunity to place a hold on release of directory information. Resources 13-Multiple Deadlines privacy_information_security
Privacy & Information Security

Federal Information Security Management Act (FISMA)
44 U.S.C. § 35

  • The act, applicable to federal agencies, also covers the University as a federal contractor where it is holding federal data pursuant to federally-funded research.
  • The Act requires that the University: 1) implement security programs and policies; 2) assess risk; and 3) periodically test controls.
Not Applicable Resources 14-No Deadline privacy_information_security
Privacy & Information Security

Freedom of Information Act
5 U.S.C. § 552

  • Provides a process by which every person may request access to a public college or university’s records or information.
Not Applicable Resources 14-No Deadline privacy_information_security
Privacy & Information Security

Gramm Leach Bliley Act (GLBA)
15 U.S.C. § 6801

  • Governs the collection, disclosure, and protection of consumers’ personal information and personally identifiable information.
  • Requires institutions that offer consumers financial products or services like loans, financial or investment advice, or insurance to explain their information-sharing practices to their customers and to safeguard sensitive data.
Requires financial institutions to provide consumers with privacy notices at the beginning of the loan and annually. Resources 13-Multiple Deadlines privacy_information_security
Privacy & Information Security

Health Information Technology for Economic and Clinical Health (HITECH) Act of 2009
Public Law No. 111-5

  • HITECH broadens HIPAA by extending coverage to business associates.
  • Covered providers must implement administrative/ physical/technical safeguards for Protected Health Information (PHI).
  • Section 13402 of HITECH requires that covered entities notify affected individuals and the Secretary of the DHHS and, in some cases, the media following the discovery of a breach of unsecured PHI.
  • Unsecured PHI is PHI that is not secured via technologies and methodologies, as defined by DHHS guidance, that make the PHI unusable, unreadable, or indecipherable to unauthorized individuals.
Not Applicable Resources 14-No Deadline privacy_information_security
Privacy & Information Security

HIPAA
Public Law No. 104-191

  • Establishes national standards to protect individuals’ medical records and other personal health information.
  • Requires appropriate safeguards to protect the privacy of personal health information, and sets limits and conditions on the uses and disclosures that may be made of such information without patient authorization.
  • Gives patients rights to examine and obtain a copy of their health records, and to request corrections.
Health plans must provide a Notice of Privacy Policy to enrollees once every three years and when there is a change to the policy. Resources 13-Multiple Deadlines privacy_information_security
Program Integrity Rules

Higher Education Act
20 U.S.C. §§ 1001, 1002

Credit Hour:
  • Provides a federal definition of “credit hour.”
Not Applicable Resources 14-No Deadline program_integrity_rules
Program Integrity Rules

Higher Education Act
20 U.S.C. §§ 1001, 1002

Gainful Employment:
  • Amends the Student Assistance General Provisions regulations to improve disclosure of relevant information and to establish minimal measures for determining whether certain postsecondary educational programs lead to gainful employment in recognized occupations, and the conditions under which these educational programs remain eligible for the student financial assistance programs authorized under title IV of the Higher Education Act of 1965, as amended (HEA).
  • An institution must provide prominently on certain pages of its website and in its promotional materials a detailed list of information (enumerated by the regulations) regarding gainful employment data.
Not Applicable Resources 14-No Deadline program_integrity_rules
Program Integrity Rules

Higher Education Act
20 U.S.C. § 1094

Incentive Pay: 
  • Institutions are prohibited from providing any commission, bonus, or other incentive payment based in any part, directly or indirectly, upon success in securing enrollments or the award of financial aid, to any person or entity who is engaged in any student recruitment or admission activity, or in making decisions regarding the award of title IV, HEA program funds.
  • There is an exception provided for the recruitment of foreign students residing in foreign countries who are not eligible to receive Federal student assistance.
Not Applicable Resources 14-No Deadline program_integrity_rules
Program Integrity Rules

Higher Education Act
20 U.S.C. § 1094

Misrepresentation:
  • Makes the institution responsible for substantial misrepresentations made by the institution itself, a representative of the institution, or any person or entity with whom the institution has an agreement to provide educational programs, marketing, advertising, and recruiting or admissions services.
  • Broadens the definitions of misrepresentations of the nature of an institution’s educational program, financial charges, or employability of its graduates.
  • Expands the sanctions that ED may impose for substantial misrepresentations.
Not Applicable Resources 14-No Deadline program_integrity_rules
Program Integrity Rules

Higher Education Act
20 U.S.C. §§ 1001, 1002

State Authorization Rule: 34 C.F.R. § 600.9
  • In order for its students to be eligible for Title IV student financial assistance, an institution must be able to demonstrate to ED that it meets the legal authorization standards of every state in which it operates (effective July 1, 2014).
  • An institution must make available, upon request, to any enrolled or prospective student a copy of the documents describing the institution’s accreditation and its state, federal or tribal approval or licensing. In addition, the institution must provide students and prospective students with contact information for filing complaints with the institution’s accreditor and with its state approval agency and any other relevant state official or agency.
Not Applicable Resources 14-No Deadline program_integrity_rules
Research America COMPETES Act § 7009
42 U.S.C. § 1862o-1

74 Fed. Reg. 42,126
  • Requires that “each institution that applies for financial assistance from the National Science Foundation for science and engineering research or education describe in its grant proposal a plan to provide appropriate training and oversight in the responsible and ethical conduct of research to undergraduate students, graduate students, and postdoctoral researchers participating in the proposed research project.”
Not Applicable Resources 14-No Deadline research
Research

Animal Welfare Act
7 U.S.C. §§ 2131-2159

9 C.F.R. §§ 1-4
  • Governs the treatment of animals used for research: dogs, cats, monkeys, guinea pigs, hamsters, and other warm-blooded animals.
9 C.F.R. § 2.36: Each reporting facility shall submit an annual report to the AC Regional Director for the State where the facility is located on or before December 1 of each calendar year. AC Regional Director means a veterinarian or his designee, employed by the U.S. Department of Agriculture Animal and Plant Health Inspection Service (APHIS), who is assigned by the Administrator to supervise and perform the official work of APHIS in a given state or states. Resources 12-December research
Research

Common Rule

45 C.F.R. §§ 46.101-46.124
  • Institutions must provide a written assurance application that they will comply with the Common Rule requirements.
  • Human subjects research must undergo review and be approved by the designated institutional review board (“IRB”).
  • Reporting to the Office for Human Research Protections (“OHRP”) of unanticipated problems involving risks to subjects or serious or continuing non-compliance, and any suspension or termination of research.
Not Applicable Resources 14-No Deadline research
Research

Export Administration Regulations

15 C.F.R. §§ 730-774
  • The Export Administration Regulations (EAR) govern export of goods and services on the Commerce Control List (CCL).
  • Most research done at universities should be exempt from the EAR as long as the institution has not accepted restrictions on publication of results and thus falls under the fundamental research exclusion. "Fundamental research" means basic and applied research in science and engineering, the results of which ordinarily are published and shared broadly within the scientific community. The exemption for fundamental research is codified at 15 C.F.R. § 734.8.
Not Applicable Resources 14-No Deadline research
Research

Food and Drug Administration (FDA) Amendments Act of 2007
Public Law No. 110-85

  • For an investigational new drug to be used in a clinical investigation, the University must ensure the sponsor submits an Investigational New Drug Application and complies with all applicable requirements with respect to the regulations pertaining to human subjects and IRB review and approval.
  • The regulation includes medical devices for human use as well as drugs. (Applies to federally-funded projects). Sponsors of certain clinical trials of drugs/devices regulated by the FDA must obtain informed consent from potential research subjects to submit their de-identified data to the ClinicalTrials.gov database.
  • Specific language must be included in consent forms indicating that a description of the trial, but not any identifiable data, will be available through that database. Subjects who do not consent will not be permitted to participate in the trial.
Not Applicable Resources 14-No Deadline research
Research

Clinical Trials – Financial Disclosures by Investigator

21 C.F.R. § 54
  • Clinical investigators are required to disclose financial arrangements with sponsor(s) of the studies (such as payment and royalties) and interests in the product under study or sponsor entity (i.e. proprietary interest such as a patent or other equity interest).
Not Applicable Resources 14-No Deadline research
Research

Public Health Service Policies on Research Misconduct

  • Among other requirements, institutions must have written policies and procedures for addressing allegations of research misconduct that meet the requirements of this part and respond to each allegation of research misconduct for which the institution is responsible under this part in a thorough, competent, objective and fair manner.
Not Applicable Resources 14-No Deadline research
Research

National Science Foundation Research Misconduct Policies
42 U.S.C. § 1870(a)

45 C.F.R. § 689
  • A finding of research misconduct requires that—
  • There be a significant departure from accepted practices of the relevant research community; and
  • The research misconduct be committed intentionally, or knowingly, or recklessly; and 
  • The allegation must be proven by a preponderance of evidence (45 C.F.R. § 689.2(c)).
Not Applicable Resources 14-No Deadline research
Sexual Misconduct

Campus Sex Crimes Prevention Act (§ 1601 of the Victims of Trafficking and Violence Protection Act of 2000)
Public Law No. 106-386 (Title VI)

34 C.F.R. § 668
  • The Campus Sex Crimes Prevention Act requires sex offenders, who must register under state law, to provide notice of enrollment or employment at any institution of higher education (IHE) in that state where the offender resides, as well as notice of each change of enrollment or employment status at the IHE. In turn, this information will be made available by the state authorities to the local law enforcement agency that has jurisdiction where the IHE is located.
Institution must issue a statement advising the campus community on where information concerning registered sex offenders can be obtained. Notification 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 the Annual Security Report. Resources 10-October sexual_misconduct
Sexual Misconduct

Clery Act
20 U.S.C. § 1092(f)

  • As an institution receiving federal financial aid, the University must keep information about crime on and near its respective campuses and provide an annual report (including crime statistics, security measures and policies, and where crimes should be reported) to all students, employees, and the Department of Education.
  • Effective March 7, 2014: Institutions must comply with the following additional requirements under the amendments to the Clery Act:
    • Collect and publish in the Annual Security Report (ASR) statistics on incidents of domestic violence, dating violence and stalking that are reported to campus security authorities or local police agencies;
    • Expand the definition of reportable hate crimes to include Clery crimes motivated by bias against a victim’s national origin or gender identity;
    • Revise policies and procedures to include the establishment of educational prevention and awareness programs that address issues of domestic violence, dating violence, sexual assault and stalking for all incoming students and new employees; and
    • Develop step-by-step procedures for the reporting, investigation and adjudication of reports of domestic violence, dating violence, sexual assault, or stalking, including information on confidentiality and privacy.
20 U.S.C. § 1092(a)(1)(O) and § 1092 (f)(5) and 34 C.F.R. § 668.46 and § 668.41: Colleges must 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 each year, by October 15th. Must report compliance with the Campus SaVE Act in Annual Security Reports beginning October 1, 2014. Resources 10-October sexual_misconduct
Sexual Misconduct

Title IX of the Education Amendment of 1972
20 U.S.C. §§ 1681-1688

  • Prohibits discrimination on the basis of sex in education programs or activities receiving federal financial assistance including employment.
  • Title IX protects students from sexual harassment in educational programs or activities operated by recipients of federal funding. The protection against sexual harassment derives from the general prohibitions against sex discrimination contained in the Title IX common rule.
  • Any grievance records relating to a Title IX violation or complaint must be retained for the period of time cited in state law for personal injury actions.
Not Applicable Resources 14-No Deadline sexual_misconduct
Sexual Misconduct

Title VII of the Civil Rights Act of 1964
42 U.S.C. §§ 2000e-2000e-17

  • Title VII prohibits discrimination in hiring, firing, training, promotion, discipline, or other workplace decisions on the basis of an employee or applicant’s race, color, sex, national origin, or religion.
  • Sexual harassment is also prohibited under this law.
Not Applicable Resources 14-No Deadline sexual_misconduct
Tax

Byrd Amendment
31 U.S.C. § 1352

  • Requires disclosure of lobbying activities when receiving federal contracts, grants, loans or cooperative agreements.
Requires certification and disclosure with each submission for consideration of a federal contract, grant or cooperative agreement exceeding $100,000 or an award of a federal loan or commitment providing for the U.S. to insure or guarantee a loan exceeding $150,000. Federal contractors, grantees and those receiving federal loans and cooperative agreements must also report lobbying expenditures from non-federal sources which they used to obtain such federal program monies or contracts. Resources 14-No Deadline tax
Tax Cafeteria Plans 26 U.S.C. § 125

  • A cafeteria plan is a written plan that allows employees to exclude from gross income certain types of employer provided benefits, such as accident and health insurance, group term and life insurance, and benefits under a dependent care assistance program.
  • Qualified scholarships or tuition reduction, educational assistance or deferred compensation may not be excluded from income.
  • For purposes of determining the taxable year of inclusion, any benefit described in paragraph (1) or (2) from the statute shall be treated as received or accrued in the taxable year of the participant or key employee in which the plan year ends.
Not Applicable Resources 14-No Deadline tax
Tax

Charitable Gift Annuity Antitrust Relief Act
15 U.S.C. § 37
IRC § 501(c)(3)

  • Exempts IRC § 501(c)(3) organizations from liability under federal antitrust laws for using or agreeing to use uniform rates in issuing gift annuities.
Not Applicable Resources 14-No Deadline tax
Tax

Deferred Compensation
26 U.S.C. § 457

  • Any amount of compensation deferred under an eligible deferred compensation plan, and any income attributable to the amounts so deferred, shall be includible in gross income only for the taxable year in which such compensation or other income.
Reporting due by the Administrator by the last day of 7th month after end of plan year. An automatic extension of up to 2½ months may be obtained by filing Form 5558 with the IRS before the return/report’s regular due date. Resources 13-Multiple Deadlines tax
Tax

Employee Annuities
26 U.S.C. § 403

  • If an annuity contract is purchased by an employer for an employee under a plan which meets the requirements of section 404(a)(2) (whether or not the employer deducts the amounts paid for the contract under such section), the amount actually distributed to any distributee under the contract shall be taxable to the distributee (in the year in which so distributed) under section 72 (relating to annuities).
Reporting due by the Administrator by the last day of 7th month after end of plan year. An automatic extension of up to 2½ months may be obtained by filing Form 5558 with the IRS before the return/report’s regular due date. Resources 13-Multiple Deadlines tax
Tax

Federal Grant and Loan Programs
26 U.S.C. § 6050S

  • Under IRC § 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 on form 1098-E.
Form 1098-E must be filed with the IRS on or before February 28th, or March 31st if filed electronically. The required statement to all persons who made student loan interest payments must be sent to the payor on or before January 31st 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. Resources 02-February tax
Tax

Federal Unemployment Tax Act
26 U.S.C. §§ 3301-3311

26 C.F.R. § 31.6011(b)-2
  • Provides for payments of unemployment compensation to workers who have lost their jobs.
  • If your FUTA tax is more than $500 for the calendar year, you must deposit at least one quarterly payment.  If not, alternate rules apply.
Not Applicable Resources 14-No Deadline tax
Tax

Foreign Bank Accounts and Tax Filings
31 U.S.C. § 5314(a)

  • US institutions and citizens that have an ownership interest in foreign bank accounts, or US citizens with signature authority over a foreign bank account have to file form TD F 90.22-1 (FBAR).
  • The latter must report the account on an FBAR even if the foreign financial account is reported on an FBAR filed by the owner of the account (or other person that has a financial interest in the account).
Form TD F 90.22-1 must be filed and received by June 30th of the year following any year during which the institution possessed signature or other authority over, or had a monetary interest in, foreign financial accounts. Resources 06-June tax
Tax

Fringe Benefits
26 U.S.C. § 132

  • Any property or service (or cash under certain circumstances) provided to an employee in addition to or in lieu of regular wages will be a taxable fringe benefit to the employee, unless specifically excluded by statute.
  • Any fringe benefit is taxable and must be included in the recipient's pay unless the law specifically excludes it.
  • Must report the actual value on Forms 941 (or Form 944) and W-2.
  • The employer can use a separate Form W-2 for fringe benefits and any other benefit information.
The actual value of fringe benefits provided during a calendar year (or other period as explained under Special accounting rule) must be determined by January 31 of the following year. Resources 01-January tax
Tax

Independent Contractors
26 U.S.C. §§ 3401-3406

  • If an employee is mistakenly classified as an independent contractor and the employer has no reasonable basis for doing so, the employer may be held liable for employment taxes for that worker.
  • In order to qualify as independent contractors, the individual would need to meet the Internal Revenue Service (IRS) requirements. The IRS regulatory definition of “employee” is set forth in 26 C.F.R. § 31.3401 (c) -1(b).
Form 1099-MISC must be filed with the IRS if the employer makes payments to independent contractors in the amount of $600 or more during the year. A copy of same must be provided to the independent contractor by January 31 of the following year. Resources 01-January tax
Tax

Industrial Alcohol User Permits and Special Tax
26 U.S.C. §§ 5001-5692

27 C.F.R. § 1
  • Institutions that procure, use, sell, and/or recover denatured distilled spirits for industrial purposes are required to obtain a permit from the ATF and pay an occupational tax of $250 per year.
  • However, a scientific university, college of learning, or institution of scientific research which holds a permit to procure and use specially denatured spirits is exempt from payment of the tax if: (i) The institution procures less than 25 gallons of specially denatured spirits per calendar year; and (ii) such spirits are procured for use exclusively for experimental or research use and not for consumption or sale.
Unless otherwise exempt, the last day for payment of such tax shall be the 14th day after the end of the semimonthly period. Resources 13-Multiple Deadlines tax
Tax

Nonqualified Deferred Inclusion
26 U.S.C. § 409A

  • If at any time during a taxable year a nonqualified deferred compensation plan—(I) fails to meet the requirements of paragraphs (2), (3), and (4), or (II) is not operated in accordance with such requirements, all compensation deferred under the plan for the taxable year and all preceding taxable years shall be includible in gross income for the taxable year to the extent not subject to a substantial risk of forfeiture and not previously included in gross income.
Reporting due by the last day of 7th month after end of plan year. An automatic extension of up to 2½ months may be obtained by filing Form 5558 with the IRS before the return/report’s regular due date. Resources 13-Multiple Deadlines tax
Tax

Public Disclosure of Material
26 U.S.C. § 6104(d)

26 C.F.R. § 301.6104(a)-1
  • The documents that must be made available to the public are: copies of the application for tax exemption (for those organizations which filed before July 15, 1987, this requirement only applies if the organization has a copy of the application on July 15, 1987); and copies of the organization's three most recent annual information returns.
  • Each annual information return must be made available for a period of three years beginning on the date the return is required to be filed, or on the date it is actually filed, whichever is later.
  • Generally, the annual return information includes Forms 990, 990-EZ, 990-BL, and Form 1065, as well as all schedules and attachments filed with the IRS.
  • The tax-exempt organization does not have to identify the names and addresses of the contributors to the organization.
  • For those tax returns filed after August 17, 2006, Form 990-T must also be made available.
Not Applicable Resources 14-No Deadline tax
Tax

Qualified Pensions
26 U.S.C. § 401

  • A trust created or organized in the United States and forming part of a stock bonus, pension, or profit-sharing plan of an employer for the exclusive benefit of his employees or their beneficiaries shall constitute a qualified trust.
Reporting due by the last day of 7th month after end of plan year. An automatic extension of up to 2½ months may be obtained by filing Form 5558 with the IRS before the report’s regular due date. Resources 13-Multiple Deadlines tax
Tax

Reporting of Payments of Royalties
20 U.S.C. § 6041
26 U.S.C. § 6050N

  • Those who make payments to attorneys aggregating $600 or more per calendar year in connection with legal services must file an information return for such payments.
  • This requirement applies whether or not the services were performed for the payor, so for example, if the university was a defendant in a lawsuit, and was required to pay attorney’s fees, this rule would apply.
  • The filer must also provide to the attorney a written statement of the information required to be included on the return.
  • Note that employers must report entire settlement amounts, including the amount paid to the attorneys, as income to the plaintiff, and also prepare a Form 1099 reporting the amount paid to the attorneys as income to the attorneys.
Annual reporting is required for payments:
  • Of $400 or more made for non-payroll purposes;
  • Of $10 or more made for royalties; and
  • Made to attorneys not performing services under a contract with the university.
Reporting is done on Form 1099-MISC. Deadline to payment recipients is January 31st. Deadline for reporting to the IRS is February 28th.
Resources 01-January tax
Tax

Small Business Job Protection Act
Public Law No. 104-188, 110 Stat. 1755

  • Minimum distributions from tax-qualified retirement plans will not be required for workers over age 70½.
  • Benefits for those workers still working after age 70½ must be actuarially adjusted for those who are participating in defined benefit plans.
Under the new rule, which commenced in 1997, distributions will not need to be made until April 1 of the year following the later of the year the employee attains age 70½, or the year the employee retires. Five-percent owners and IRA holders are still subject to the minimum distribution rule, that is, they will need to start receiving distributions by April 1 of the year following attaining age 70½ even if they are still working. Resources 04-April tax
Tax

Student Loan Interest Reporting
26 U.S.C. § 6050S

  • Under IRC § 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.
Institutions must file Form 1098-E, which must be filed with the IRS on or before February 28th, or March 31st if filed electronically. The required statement to all persons who made student loan interest payments must be sent to the payor on or before January 31st 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. Resources 02-February tax
Tax

Unrelated Business Income (UBIT)
26 U.S.C. § 511(a)(2)

  • Unrelated business income is income from a trade or business, regularly carried on, that is not substantially related to the charitable, educational, or other purpose that is the basis of the organization's exemption.
  • An exempt organization that has $1,000 or more of gross income from an unrelated business must file Form 990-T. An organization must pay estimated tax if it expects its tax for the year to be $500 or more.  All other organizations must file Form 990-T by the 15th day of the 5th month after the end of their tax year.
Not Applicable Resources 14-No Deadline tax
Accounting

Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards
OMB Final Guidance

  • This guidance will supersede OMB A-21 for audits of all fiscal years beginning on or after December 26, 2014.
Resources 14-No Deadline accounting