Human Resources Compliance Calendar

Cardinal Stritch University's Annual Calendar of Significant Compliance Related Activities for the Human Resources Department

IPEDS: Winter Collection Closes [1]

Effective Period of Withholding Exemption Certificate [2]

ERISA: Form 5500 [3]
ACA: PCOR Fee Reporting and Payment [4]

IPEDS: Fall Collection Opens [5]
Drug-Free Schools and Communities Act: Annual Distribution [6]

Campus Security Act: Annual Security Report [7]
Campus Sex Crimes Prevention Act [8]
WHCRA Notice [9]
Notice for Creditable Coverage [10]
IPEDS: Fall Collection Closes [5]

IPEDS: Winter Collection Opens [1]
U.S. Tax Code: Withholding Exemption Certificates [11]
Drug-Free Schools and Communities Act: Biennial Review [12]

[1] IPEDS: Winter Collection

The Winter collection includes the Employees by Assigned Position component to classify all institutional staff, as well as the Faculty Salaries and the Fall Staff components of IPEDS. In addition, institutions have the opportunity to provide Enrollment data at this time. Institutions will be able to lock the Enrollment Component in the Winter or Spring. The Fall Staff component is provided for convenience, but data are NOT required this year. The Winter collection opens in December and closes in January. See for exact dates.

[2] Effective Period of Withholding Exemption Certificate

A Form W-4 filed by an employee expires on February 15th of the year following the year in which the Form W-4 was given to employer. The employer must now begin withholding for any employee who previously claimed an exemption, but has not given the employer a new Form W-4 for the current year. If the employee does not give the employer a new Form W-4 (see December), withhold tax as if the employee is single, with zero withholding allowances. See the Internal Revenue Service Calendar.

[3] ERISA: Form 5500

The administrator of an employee benefit plan must file a form 5500 within 210 days after the close of the plan year. Thus, if the plan year is the same as the calendar year, and ends Dec. 31, then the filing deadline is July 31 of the next year. An extension of the filing deadline of up to two-and-a-half months can be obtained by using form 5558. If the plan year and tax year are the same, and you obtain an extension for filing the institution's tax return, then the deadline for the 5500 is automatically extended as well. 

[4] ACA: PCOR Fee Reporting and Payment

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).

[5] IPEDS: Fall Collection

The Fall collection for IPEDS (Institutional Characteristics and Completions) opens in September and closes in October. Reporting is done online. See for exact dates for submission of data on tuition and completion (the Fall Collection). This is the first of three annual data collection periods. Designated institutional personnel should have received User IDs and passwords.

[6] Drug-Free Schools and Communities Act: Annual Distribution

Annual distribution to 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; as well as availability of drug and alcohol counseling available to employees. Must also include a statement on sanctions the institution will impose for violation of the standards of conduct. The distribution method must be one that ensures that the information will reach every faculty and staff employee and is suggested to occur concurrent with beginning of academic year.

[7] Campus Security Act: Annual Security Report

The Campus Security Act requires colleges to report campus crime statistics and security measures to all students and employees by October 1 of each year. The report can be provided through publications, mailings, or electronic media sent directly to individuals. If it is posted to a website, notice must be sent through U.S. mail, campus mail, or directly to the email address of all enrolled students and current employees. [The notice must include the following: 1) identification of the information required to be disclosed, 2) the exact electronic web site address, 3) a statement that the individual is entitled to a paper copy, upon request, and 4) information as to how the individual can request a paper copy.]
Information noting the availability of the campus security report, including an opportunity to request a copy, must be included in appropriate publications, mailings, and/or electronic communications to prospective students. Information regarding the availability of this report must be made to prospective employees. The annual security report must also be submitted to the Secretary of Education (over the internet) each year, by Oct. 15th of each year.


[8] Campus Sex Crimes Prevention Act

This law requires a statement advising the campus community where law enforcement agency information provided by a State concerning registered sex offenders may be obtained, such as the law enforcement office of the institution, a local law enforcement agency with jurisdiction for the campus, or a computer network address. Notification may be accomplished by adding the statement to the Annual Security Report required by the Campus Security Act. Suggested deadline of Oct. 1 of each year to coincide with Annual Security Report.

[9] WHCRA Notice

Written notice of the availability of coverage for breast reconstruction in connection with a mastectomy must be delivered to the health plan participants upon enrollment and annually thereafter (suggested to coincide with Notice for Creditable Coverage, which currently occurs annually in October).

[10] Notice for Creditable Coverage

The university must disclose to all Part D eligible individuals enrolled in or seeking to enroll in the coverage whether the coverage is creditable prescription drug coverage prior to the commencement of the Annual Coordinated Election Period that begins on November 15 of each year. (Note: this disclosure currently occurs in October).

[11] U.S. Tax Code: Withholding Exemption Certificates

The employer is required to request a withholding exemption certificate from each employee, but if the employee fails to furnish such certificate, the employer shall consider that employee a single person claiming no withholding. On or before December 1 of each year, every employer should request of each employee a newly completed withholding exemption certificate for the ensuing calendar year.

[12] Drug-Free Schools and Communities Act: Biennial Review

By the end of every-other calendar year, the University must conduct a biennial review covering the two-year period preceding that year. The biennial review must assess the University's efforts to comply with the annual distribution requirements of the Drug-Free Schools and Communities Act to 1) determine effectiveness and implement changes if necessary, and 2) ensure that sanctions are developed and enforced consistently. The University must keep a copy of the biennial review, as well as a "certification" signed by the President indicating that he has read the report and will act on its recommendations. These documents must be made available to the Dept. of Education upon request.