̽̽

Compliance Calendars

Overview

Body

The President customarily delegates to a senior institutional official (“responsible official”), typically a Vice President, responsibility for the oversight of specific compliance programs, activities, conduct or endeavors. 

To assist responsible officials, the Office of Compliance Services has generated foundational unit-specific compliance calendars identifying the University’s regulatory reporting obligations primarily to federal agencies.

Who needs to read this UOP?

Body

This UOP applies to responsible officials and those involved in regulatory reporting.

What else do I need to know?

Definitions
Body

Compliance Calendar: A comprehensive list of University reporting requirements, primarily federal, organized by organizational unit and identifying the legal requirements, oversight agencies, reporting timing and frequency, University assigned responsibility and existing processes.

Procedure
Body

Responsible officials are responsible for maintaining the accuracy and completeness of the compliance calendar(s) for their areas of responsibility and for updating the Office of Compliance Services whenever a change is identified and implemented on the calendar.  Therefore, at least annually, responsible officials, in consultation with the Office of Compliance Services and the Office of General Counsel as appropriate, must review their compliance calendar(s) for accuracy and completeness. 

The Office of Compliance Services will maintain official University records related to the initial development of the calendars, and the annual calendar review process, including any subsequent additions and revisions.

Is there education available?
Body

Training will be provided on an as-needed basis as determined by the Approval Authority or the Responsible Official.

What if I still have questions?

Body

Questions concerning the daily operational interpretation of this UOP should be directed to the following:

Title(s)/Department(s):Contact Information:

Director of Compliance Services and Chief Privacy Officer

Office of Compliance and Privacy Services

(802) 656-0847

Tessa.Lucey@uvm.edu

Version History

Body
Responsible Official:Director of Compliance Services and Chief Privacy Officer
Affiliated Policy Number(s):None
Approval Authority:Director of Compliance Services and Chief Privacy Officer
Effective Date:June 27, 2016
Revision History:
  • Reaffirmed June 14, 2021
  • Responsible official officially changed from the Chief Internal Auditor to the Director of Compliance Services and Chief Privacy Officer November 11, 2021

Download PDF

Body