By Department

To view the calendar organized alphabetically by department, click on a department below.  Within each department, filing/reporting deadlines are arranged first by flexible or varying dates followed by the months of the year, starting with January and ending with December.

This calendar is for general guidance only and is not intended as legal advice; nor is it a comprehensive list of all filing/reporting deadlines.

Campus Life

Flexible or Varying

Every Two Years: Drug-Free Schools Report  
References: Drug-Free Schools and Communities Act (20 U.S.C. 1011i); 34 C.F.R. Part 86
Drug Free Schools Report must be prepared every two years in the fall.  Internal filing only unless requested by the U.S. Department of Education.


October

Athletics

October 15 and October 30: Equity in Athletics  
References: Equity in Athletics Disclosure Act (20 U.S.C. 1092(g)); 34 C.F.R. §§ 668.41, 668.47
Institutions are required to make an annual report available no later than October 15th on request to enrolled students, prospective students, and the public and no later than October 30th must submit the report to the Secretary of Education.


 

Dean of the College

Flexible or Varying

Financial Aid

Within 10 Days (of contract changes): Third Party Servicers - Contracts  
References: Contracts with Third Party Servicers (20 U.S.C. 1094(c)); 34 C.F.R. § 668.25
The institution must notify the Department of Education within 10 days of entering into, substantially modifying, or terminating a contract.

Every Five Years: E-App  
References: Higher Education Act (20 U.S.C. 1094 et seq.); 34 C.F.R. § 668.14
The institution is required to complete the Electronic Application to Participate in Federal Student Financial Aid Programs (E-App) every five years.


January

Financial Aid

January 31 and/or July 31: Foreign Gift and Contract Reports  
Reference: Higher Education Act: Foreign Gift and Contract Reports (20 U.S.C. 1011f)
The institution must file a disclosure report with the Secretary of Education by January 31 or July 31, whichever is sooner.


February

Registrar

Mid-February, Mid-April, and Mid-October: IPEDS Data Collections  
References: NCES IPEDS - Report Your Data; NCES IPEDS - Survey Instructions
Data collection, which is due three times each year (October, February, and April) is led by the Registrar's office and financial information is provided by the Controller's office.


April

Registrar

Mid-February, Mid-April, and Mid-October: IPEDS Data Collections
References: NCES IPEDS - Report Your Data; NCES IPEDS - Survey Instructions
Data collection, which is due three times each year (October, February, and April) is led by the Registrar's office and financial information is provided by the Controller's office.

Program in Teacher Prep

April 30: Title II of the HEA - Annual Reports  
Reference: U.S. Department of Education - Title II Reports on the Quality of Teacher Preparation; U.S. Department of Education FAQs
The Title II Report is due annually by April 30.


July

Financial Aid

January 31 and/or July 31: Foreign Gift and Contract Reports  
Reference: Higher Education Act: Foreign Gift and Contract Reports (20 U.S.C. 1011f)
The institution must file a disclosure report with the Secretary of Education by January 31 or July 31, whichever is sooner.


September

Financial Aid

September 30: FISAP Report  
References: Higher Education Act: Federal Supplemental Educational Opportunity Grant Program (20 U.S.C. 1070b-b4); Federal Work Study (42 U.S.C. 2751-2757); Perkins Loans (20 U.S.C. 1087aa-ii); 34 C.F.R. § 676.19; 34 C.F.R. § 675; 34 C.F.R. § 674.19
The University must submit a Fiscal Operations Report and Application to Participate (FISAP) report each year. Due by September 30 each year.


October

Registrar

Mid-February, Mid-April, and Mid-October: IPEDS Data Collections  
References: NCES IPEDS - Report Your Data; NCES IPEDS - Survey Instructions
Data collection, which is due three times each year (October, February, and April) is led by the Registrar's office and financial information is provided by the Controller's office.


 

Communications and Public Affairs

Flexible or Varying

None


January

Government Affairs

January 20, April 20, July 20, and October 20: Lobbying Activities  
Reference: Lobbying Disclosure Act (2 U.S.C. 1601-1614)
Quarterly Activity Report Deadlines: April 20 - First Quarter; July 20 - Second Quarter; October 20 - Third Quarter; and January 20 - Fourth Quarter.

January 30 and July 30: Gift and Travel Rules  
Reference: Honest Leadership and Open Government Act of 2007 (Public Law No. 110-81)
Requires filing of semi-annual report of certain contributions along with certification that the filer understands the gift and travel rules by July 30 (Mid-Year) and January 30 (Year End).


April

Government Affairs

January 20, April 20, July 20, and October 20: Lobbying Activities  
Reference: Lobbying Disclosure Act (2 U.S.C. 1601-1614)
Quarterly Activity Report Deadlines: April 20 - First Quarter; July 20 - Second Quarter; October 20 - Third Quarter; and January 20 - Fourth Quarter.


July

Government Affairs

January 20, April 20, July 20, and October 20: Lobbying Activities  
Reference: Lobbying Disclosure Act (2 U.S.C. 1601-1614)
Quarterly Activity Report Deadlines: April 20 - First Quarter; July 20 - Second Quarter; October 20 - Third Quarter; and January 20 - Fourth Quarter.

January 30 and July 30: Gift and Travel Rules
Reference: Honest Leadership and Open Government Act of 2007 (Public Law No. 110-81)
Requires filing of semi-annual report of certain contributions along with certification that the filer understands the gift and travel rules by July 30 (Mid-Year) and January 30 (Year End).


October

Government Affairs

January 20, April 20, July 20, and October 20: Lobbying Activities  
Reference: Lobbying Disclosure Act (2 U.S.C. 1601-1614)  
Quarterly Activity Report Deadlines: April 20 - First Quarter; July 20 - Second Quarter; October 20 - Third Quarter; and January 20 - Fourth Quarter.


 

Davis International Center

Flexible or Varying

None


January

January 31, July 31, or October 31: Student and Exchange Visitor Information System (SEVIS)  
References: USA Patriot Act - SEVIS; Dep't of Ed.; US Immigration and Customs Enforcement; SEVP Governing Regulations
Sponsors must submit an annual report to the Department of State.  1) for Academic Year end designees, due July 31st; 2) for Calendar Year end designees, due January 31st; and 3) for Fiscal Year end designees, due October 31st.


July

January 31, July 31, or October 31: Student and Exchange Visitor Information System (SEVIS)  
References: USA Patriot Act - SEVIS; Dep't of Ed.; US Immigration and Customs Enforcement; SEVP Governing Regulations
Sponsors must submit an annual report to the Department of State.  1) for Academic Year end designees, due July 31st; 2) for Calendar Year end designees, due January 31st; and 3) for Fiscal Year end designees, due October 31st.


October

January 31, July 31, or October 31: Student and Exchange Visitor Information System (SEVIS)  
References: USA Patriot Act - SEVIS; Dep't of Ed.; US Immigration and Customs Enforcement; SEVP Governing Regulations
Sponsors must submit an annual report to the Department of State.  1) for Academic Year end designees, due July 31st; 2) for Calendar Year end designees, due January 31st; and 3) for Fiscal Year end designees, due October 31st.


Environmental Health and Safety

Flexible or Varying

Every Five Years: Emergency Operations Plan  
Reference: Emergency Operations Plan for Institutions of Higher Education (NJ Rev. Stat. 18A:3B-69)
Each New Jersey College and University must submit the plan to the New Jersey Department of Homeland Security, Office of Emergency Management, and Secretary of Higher Education at least every five years.


January

January 1: NESHAPS Annual Inventory  
References: EPA NESHAPS Guidance; 40 C.F.R. Part 63
An annual report is due to the EPA every January 1.


March

March 1: Emergency Planning and Community Right to Know  
References: EPCRA (42 U.S.C. 11001-11050); 40 C.F.R. § 370
By March 1st of each year, the University must submit its hazardous chemical inventory to the appropriate local emergency planning committee; the state emergency response commission; and fire department.  This is accomplished through the electronic inventory report to the NJ DEP for NJ Right to Know (see below).

March 1: NJ Right to Know  
References: NJ Right to Know (N.J.S.A. 34:5A-1 et seq.); N.J.A.C. 8:59 et seq.
The University reports its annual inventory electronically through NJDEP by March 1st of every year; it also updates its Emergency Response Communications Program as needed, which it offers to the Princeton Emergency Manager and the Princeton Fire Department annually.

March 1 of Even Years: Hazardous and Universal Waste Disposal  
References: Resource Conservation and Recovery Act (42 U.S.C. 6901-6992k); 40 C.F.R. Parts 239-282
EHS submits bienniel reports of hazardous and universal waste electronically to the NJ DEP, who sends it to the EPA, by March 1st of even years, covering the waste disposed in the previous (odd) year.

March 2: OSHA Workplace Injuries and Illnesses  
References: Occupational Safety and Health (29 U.S.C. Chapter 15); 29 CFR 1904
The University voluntarily reports to the U.S. Bureau of Labor Statistics work-related injuries and illnesses annually. EHS submits reports electronically to OSHA by March 2 of each year.

March 30: NJ Controlled Dangerous Substances Act - Site License  
References: N.J.S.A. 24:21-1 et seq.
The University must renew its licenses to possess controlled substances for research by March 30th annually with the NJ Department of Consumer Affairs.  This license is prepared and paid for by EHS, and signed by the Dean for Research.

March 30: Controlled Substances Act - Site License  
References: Controlled Substances Act (21 U.S.C. 801-889); 21 C.F.R. § 1300
The University must renew its licenses to possess controlled substances for research by March 30th annually with the U.S. Drug Enforcement Agency.  This license is prepared and paid for by EHS, and signed by the Dean for Research.


June

June: Controlled Substances - Physical Inventory References: Controlled Substances Act (21 U.S.C. 801-889); N.J. Controlled Dangerous Substances Act (N.J.S.A. 24:21-1 to 53); 21 C.F.R. § 1300; N.J.A.C. Title 13 Chapter 45H
The University is required to conduct a biennial physical inventory on a specific date chosen by the University. However, the University voluntarily conducts its inventory annually. At a date chosen by EHS in June of every year, EHS collects inventories, maintains this data and submits it to the DEA or NJ Department of Consumer Affairs upon request.

June 30: Hazardous Materials Registration References: Hazardous Materials Transportation Act (49 U.S.C. 5101-5128); 49 C.F.R. § 107; 49 C.F.R. § 172
University personnel who transport or cause to be transported hazardous materials must file annually a registration statement annually by June 30th. PPPL maintains the University's registration; EHS ensures that it is complete.


July

July 1: Toxic Substances Report
References: Toxic Substances Control Act (15 U.S.C. 2601-2629); 40 C.F.R. § 761
The University prepares a written annual document log of the disposition of PCBs and PCB items annually by July 1st, covering the previous calendar year (January through December), which it provides to the EPA upon request.

July 21: Medical Waste Report
References: N.J. Comprehensive Regulated Medical Waste Management Act (N.J.S.A. 13:1E-48 et seq.); N.J.A.C. 7:26-3A.21 (d) and (f)
The University submits the annual report online through NJDEP annually by July 21.


November

November 30: Ionizing Radiation Machine Registration
References: N.J. Radiation Protection Act (N.J.S.A. 26:2dD et seq.); N.J.A.C. 7:28-3.1
The University submits the annual registration and fees by November 30 of each year via electronic reporting to NJ DEP.


 

Facilities

Flexible or Varying

Biennial: Soil Contamination - Certifications
Reference: NJDEP Guidance Document on Contaminated Soil
Biennial certifications by licensed professionals (due dates vary).

Every Five Years: Title V Renewal
References: Clean Air Act: 42 U.S.C. §§ 7401-7671q (Title V); NJAC 7:27-22 Operating Permits
Title V Renewal is due every five years.

Every Five Years: Oil Spill Prevention, Control, and Countermeasure Rule
References: Oil Pollution Act: 33 U.S.C.§§ 2701-2762; 40 C.F.R. Part 112
Spill Prevention, Control, and Countermeasure Rule reporting is due every five years.


January

Quarterly: Waste Water Permit Reports; January 1: Municipal Stormwater Permit Reports
References: Clean Water Act: 33 U.S.C. §§ 1251-1387; Princeton Ordinance #2017-30
Waste water permits quarterly reporting and Municipal stormwater permits are annually.

Quarterly (January 31, April 30, July 31, October 31): Emissions & Monitoring Systems Report
References: Clean Air Act: 42 U.S.C. §§ 7401-7671q (Title V); NJAC 7:27-22 Operating Permits
Excess Emission & Monitoring Systems Performing Report for CoGeneration Plant is due quarterly (January 31, April 30, July 31, October 31).

Semi-Annually (January 31 and July 31): Air Emissions Reporting
References: Clean Air Act: 42 U.S.C. §§ 7401-7671q; 40 C.F.R. §§ 5040 , 6040, 61; 40 C.F.R. §§ 8640,  8740, 89
All facilities that release air emissions are required to report semiannually to the U.S. EPA (January 31 and July 31).

Semi-Annually (January 31 and July 31): Certifications for Operating Permit and CoGeneration Plant
References: Clean Air Act: 42 U.S.C. §§ 7401-7671q (Title V); NJAC 7:27-22 Operating Permits
Certifications for Operating Permit and CoGeneration Plant are due semi-annually (January 31 and July 31).

January 31: Compliance Certification for Operating Permit
References: Clean Air Act: 42 U.S.C. §§ 7401-7671q (Title V); NJAC 7:27-22 Operating Permits
Compliance certification for Operating Permit is due annually on January 31st.


March

March 31: Greenhouse Gas Emissions Reporting
References: EPA Guidance Document; EPA Fact Sheet
All facilities that release greenhouse gas emissions are required to report annually to the U.S. EPA by March 31 for emissions in the prior calendar year.


April

Quarterly (January 31, April 30, July 31, October 31): Emissions & Monitoring Systems Report
References: Clean Air Act: 42 U.S.C. §§ 7401-7671q (Title V); NJAC 7:27-22 Operating Permits
Excess Emission & Monitoring Systems Performing Report for CoGeneration Plant is due quarterly (January 31, April 30, July 31, October 31).


July

Quarterly (January 31, April 30, July 31, October 31): Emissions & Monitoring Systems Report
References: Clean Air Act: 42 U.S.C. §§ 7401-7671q (Title V); NJAC 7:27-22 Operating Permits
Excess Emission & Monitoring Systems Performing Report for CoGeneration Plant is due quarterly (January 31, April 30, July 31, October 31).

Semi-Annually (January 31 and July 31): Air Emissions Reporting
References: Clean Air Act: 42 U.S.C. §§ 7401-7671q; 40 C.F.R. §§ 5040 , 6040, 61; 40 C.F.R. §§ 8640,  8740, 89
All facilities that release air emissions are required to report semiannually to the U.S. EPA (January 31 and July 31).

Semi-Annually (January 31 and July 31): Certifications for Operating Permit and CoGeneration Plant
References: Clean Air Act: 42 U.S.C. §§ 7401-7671q (Title V); NJAC 7:27-22 Operating Permits
Certifications for Operating Permit and CoGeneration Plant are due semi-annually (January 31 and July 31).


September

September 1: Underground Storage Tank Annual Registration
References: Resource Conservation and Recovery Act: 42 U.S.C. §§ 6901-6992k; 40 C.F.R. Parts 239 through 282
Underground Storage Tank annual registration and postings are required annually by September 1.


October

Quarterly (January 31, April 30, July 31, October 31): Emissions & Monitoring Systems Report
References: Clean Air Act: 42 U.S.C. §§ 7401-7671q (Title V); NJAC 7:27-22 Operating Permits
Excess Emission & Monitoring Systems Performing Report for CoGeneration Plant is due quarterly (January 31, April 30, July 31, October 31).


 

Dean of the Faculty

April

April 30: Research Misconduct Online Report
Reference: Office of Research Integrity Assurance Program
Institutions are required to complete the online report for the Office of Research Integrity (U.S. D.H.H.S.) annually by April 30.


 

Office of Finance and Treasury

Flexible or Varying

Cash and Investment Services

January 31 and As Needed: IRS Form 8300 - Report of Cash Payments Over $10,000
Reference: IRS Form 8300 Guidance Document
Institutions must file Form 8300 by the 15th day after the date of the transaction(s), and furnish a written statement to each person or entity whose name was included in the Form 8300 by January 31 of the year following the transaction(s).

Controller

Within 125 Days of Sale: IRS Form 8282
Reference: IRS Online Instructions for Forms
Institutions must file IRS Form 8282 within 125 days from the date of sale of asset.

Costing, Analysis, and Policy

As Needed: Disclosure Statement (CASB Form DS-2)
Reference: CASB regulations: 48 CFR 9903.202
Institutions are required to file a disclosure statement with HHS's Cost Allocation Services upon the occurrence of an F&A Rate or change in accounting.

Every Four Years (by December 31): F&A Rate Proposal
References: Uniform Guidance CFR 2, Part 200, Subpart E; HHS Program Support Center
Institutions must negotiate Facilities and Administration (F&A) rates with HHS approximately every four years, by December 31.

Risk Management

Quarterly: Section 111 MMSEA Mandatory Reporting
Reference: Centers for Medicare and Medicaid Services Guidance Document
Institutions that act as providers of self-insured group health and worker's compensation plans must submit reports quarterly to DHHS based on institution's assigned timeframe.

Sponsored Research Accounting

Quarterly (January 30, April 30, July 30, October 30) and within 90 Days of Grant Period End Date: Federal Financial Report (SF-425)
Reference: U.S. D.O.J. Guidance Document
Institutions must submit the Federal Financial Report (SF-425) quarterly (January 30, April 30, July 30, October 30) and within 90 days of the grant period end date to the DOJ's COPS.

As Needed: Monthly Invoice Submissions
Reference: OMB Uniform Guidance
Institutions conducting sponsored research must submit invoices to sponsors for reimbursement of expenses as needed on a monthly basis.

As Needed - When a Contract Ends: Release of Claims, etc.
Reference: OMB Uniform Guidance
Institutions conducting sponsored research must release the U.S. Government from all liabilities, obligations, claims and demands arising from the contract, as needed when a contract ends.

Tax

Multiple: Unrelated Business Income Reporting
References: 26 U.S.C. § 511; IRS UBIT Guidance Document; IRS Publication 598
Unrelated business income must be reported to the IRS on Form 990-T.  Various deadlines.

Multiple: Various Federal Tax Forms
Reference: IRS Forms, Instructions & Publications
Institutions are required to file a variety of federal tax forms with the IRS at specified intervals.  Various deadlines.


January

Capital Planning & Financing

Quarterly (January 15, April 15, July 15, October 15): Information Return - Form 8038
Reference: IRS Information Return Guidance Document
IRS Form 8038 is due in the appropriate calendar quarter as applicable: January 15, April 15, July 15, October 15.

Cash and Investment Services

January 31 and As Needed: IRS Form 8300 - Report of Cash Payments Over $10,000
Reference: IRS Form 8300 Guidance Document
Institutions must file Form 8300 by the 15th day after the date of the transaction(s), and furnish a written statement to each person or entity whose name was included in the Form 8300 by January 31 of the year following the transaction(s).

Financial Services

January 31: IRS Form 1099-R (Distributions of Retirement Benefits)
Reference: IRS Form 1099-R Guidance Document
IRS Form 1099-R (distributions of retirement benefits) due annually by January 31.

January 31: IRS Form 1099-K (Payment Card and Third-Party Network Transactions)
Reference: IRS Form 1099-K Guidance Document
IRS Form 1099-K (payment card and third-party network transactions) due annually by January 31.

January 31: IRS Form 1099-MISC (Miscellaneous Income)
Reference: IRS Form 1099-MISC Guidance Document
IRS Form 1099-MISC (miscellaneous income) due annually by January 31.

Payroll

January 31: IRS Form W-2 (Social Security Taxes)
References: IRS 2019 General Instructions for Forms W-2 and W-3; SSA Website - W-2 Filing Critical Links
IRS Form W-2 due annually by January 31.

Quarterly (January 31, April 30, July 31, October 31): IRS Form 941 (Fringe Benefits)
References: 26 U.S.C. § 132; IRS Guidance Document; Instructions for Form 941
IRS Form 941 (actual value of fringe benefits provided during prior calendar year) due quarterly (January 31, April 30, July 31, October 31).

Quarterly (January 31, April 30, July 31, October 31): Tax Withholding - Quarterly Reports
References: IRS Guidance Document; IRS Publication - Employer's Tax Guide (2019)
Institutions are required to file with the IRS reports of tax withholding quarterly (January 31, April 30, July 31, October 31).

Sponsored Research Accounting

Quarterly (January 30, April 30, July 30, October 30) and within 90 Days of Grant Period End Date: Federal Financial Report (SF-425)
Reference: U.S. D.O.J. Guidance Document
Institutions must submit the Federal Financial Report (SF-425) quarterly (January 30, April 30, July 30, October 30) and within 90 days of the grant period end date to the DOJ's COPS.

Student Accounts

February 28 (March 31 if filed electronically): IRS Forms 1098-T and 1098-E
References: 26 U.S.C. § 6050S; IRS Instructions for Forms 1098-E and 1098-T
IRS Forms 1098-T (qualified tuition payments) and 1098-E (student loan interest payments) due annually on February 28 or March 31 (if filed electronically).


March

Capital Planning & Financing

March 31: IRS Form 1098, 1098-E
References: IRS Form 1098 Guidance Document; U.S. Dep't of Education Form 1098-E Guidance Document
IRS Forms 1098 (mortgage interest) and 1098-E (parent loan interest) due annually on March 31.

Financial Services

March 15: IRS Forms 1042, 1042-S
References: IRS Form 1042 Guidance Document; IRS Form 1042-S Guidance Document
IRS Forms 1042 and 1042-S (Withholding for U.S. Source Income of Foreign Persons) due annually by March 15.

March 31: IRS Forms 1098-T, 1098-E Withholding - Foreign Persons
References: IRS Form 1098-T Guidance Document; IRS Form 1098-E Guidance Document
IRS Forms 1098-T and 1098-E (Withholding for U.S. Source Income of Foreign Persons) due annually by March 31.

Sponsored Research Accounting

March 31: Single Audit Report
Reference: Federal Clearinghouse Website
Institutions are required to upload the approved Single Audit Report annually by March 31.

Student Accounts

February 28 (March 31 if filed electronically): IRS Forms 1098-T and 1098-E
References: 26 U.S.C. § 6050S; IRS Instructions for Forms 1098-E and 1098-T
IRS Forms 1098-T (qualified tuition payments) and 1098-E (student loan interest payments) due annually on February 28 or March 31 (if filed electronically).


April

Capital Planning & Financing

Quarterly (January 15, April 15, July 15, October 15): Information Return - Form 8038
Reference: IRS Information Return Guidance Document
IRS Form 8038 is due in the appropriate calendar quarter as applicable: January 15, April 15, July 15, October 15.

Controller

April 15: Information Return - Form 8038
Reference: IRS Online Instructions for Forms
Institutions must file fiduciary life-income returns for estates and trusts (IRS Forms 1041, 5227, 1042 (including Schedule K-1s)) annually by April 15.

Payroll

Quarterly (January 31, April 30, July 31, October 31): IRS Form 941 (Fringe Benefits)
References: 26 U.S.C. § 132; IRS Guidance Document; Instructions for Form 941
IRS Form 941 (actual value of fringe benefits provided during prior calendar year) due quarterly (January 31, April 30, July 31, October 31).

Quarterly (January 31, April 30, July 31, October 31): Tax Withholding - Quarterly Reports
References: IRS Guidance Document; IRS Publication - Employer's Tax Guide (2019)
Institutions are required to file with the IRS reports of tax withholding quarterly (January 31, April 30, July 31, October 31).

Sponsored Research Accounting

Quarterly (January 30, April 30, July 30, October 30) and within 90 Days of Grant Period End Date: Federal Financial Report (SF-425)
Reference: U.S. D.O.J. Guidance Document
Institutions must submit the Federal Financial Report (SF-425) quarterly (January 30, April 30, July 30, October 30) and within 90 days of the grant period end date to the DOJ's COPS.


June

Cash and Investment Services

June 30: Business Exemption Checklist
Reference: USA PATRIOT Act: Public Law No. 107-56: 18 U.S.C. §§ 2712 et seq.
Institutions must annually complete a business exemption checklist by June 30.

Controller

June 30: BEA Foreign Transactions Survey
Reference: BEA International Surveys Online Guidance
Institutions must report to the U.S. Department of Commerce annually on its BEA Foreign Transactions Survey BE-120.

Tax

June 30: Report of Foreign Bank and Financial Accounts (FBAR)
References: 31 U.S.C. § 5314(a); IRS FBAR Guidance
Institutions must report on the FBAR annually by June 30.


July

Capital Planning & Financing

Quarterly (January 15, April 15, July 15, October 15): Information Return - Form 8038
Reference: IRS Information Return Guidance Document
IRS Form 8038 is due in the appropriate calendar quarter as applicable: January 15, April 15, July 15, October 15.

Costing, Analysis, and Policy

July 31 and December 31: Federal Cost Principles - Fringe Benefits Treatment
Reference: Uniform Guidance CFR 2, 200.431 Compensation - Fringe Benefits
Must file annually by July 31 (PPPL Employee Benefit Rate Calculation) and December 31 (Main Campus Employee Benefit Rate Proposal).

Payroll

Quarterly (January 31, April 30, July 31, October 31): IRS Form 941 (Fringe Benefits)
References: 26 U.S.C. § 132; IRS Guidance Document; Instructions for Form 941
IRS Form 941 (actual value of fringe benefits provided during prior calendar year) due quarterly (January 31, April 30, July 31, October 31).

Quarterly (January 31, April 30, July 31, October 31): Tax Withholding - Quarterly Reports
References: IRS Guidance Document; IRS Publication - Employer's Tax Guide (2019)
Institutions are required to file with the IRS reports of tax withholding quarterly (January 31, April 30, July 31, October 31).

Sponsored Research Accounting

Quarterly (January 30, April 30, July 30, October 30) and within 90 Days of Grant Period End Date: Federal Financial Report (SF-425)
Reference: U.S. D.O.J. Guidance Document
Institutions must submit the Federal Financial Report (SF-425) quarterly (January 30, April 30, July 30, October 30) and within 90 days of the grant period end date to the DOJ's COPS.


October

Capital Planning & Financing

Quarterly (January 15, April 15, July 15, October 15): Information Return - Form 8038
Reference: IRS Information Return Guidance Document
IRS Form 8038 is due in the appropriate calendar quarter as applicable: January 15, April 15, July 15, October 15.

Payroll

Quarterly (January 31, April 30, July 31, October 31): IRS Form 941 (Fringe Benefits)
References: 26 U.S.C. § 132; IRS Guidance Document; Instructions for Form 941
IRS Form 941 (actual value of fringe benefits provided during prior calendar year) due quarterly (January 31, April 30, July 31, October 31).

Quarterly (January 31, April 30, July 31, October 31): Tax Withholding - Quarterly Reports
References: IRS Guidance Document; IRS Publication - Employer's Tax Guide (2019)
Institutions are required to file with the IRS reports of tax withholding quarterly (January 31, April 30, July 31, October 31).

Risk Management

October 28: Financial Test of Self-Insurance (USTs)
Reference: 40 C.F.R. § 280.95; EPA Guidance Document
Institutions that own underground storage tanks must demonstrate financial responsibility by annually reporting within 120 days of the close of the financial reporting year (October 28).

Sponsored Research Accounting

Quarterly (January 30, April 30, July 30, October 30) and within 90 Days of Grant Period End Date: Federal Financial Report (SF-425)
Reference: U.S. D.O.J. Guidance Document
Institutions must submit the Federal Financial Report (SF-425) quarterly (January 30, April 30, July 30, October 30) and within 90 days of the grant period end date to the DOJ's COPS.

October 30: Summary Subcontract Report
References: 48 C.F.R. § 52.219-9; eSRA Website; eSRA Guidance Document
Summary Subcontract Report, which includes Federal Small Business Subcontracting Plan, is due annually by October 30.


December

Controller

December 31: Compliance Audits and Audited Financial Statements
References: 20 U.S.C. § 1094; 34 C.F.R. § 668.23
Institutions must annually have an independent auditor conduct a compliance audit and audit of the institution's financial statements, and submit to the Department of Education by six months after the end of the fiscal year (December 31).

Costing, Analysis, and Policy

July 31 and December 31: Federal Cost Principles - Fringe Benefits Treatment
Reference: Uniform Guidance CFR 2, 200.431 Compensation - Fringe Benefits
Must file annually by July 31 (PPPL Employee Benefit Rate Calculation) and December 31 (Main Campus Employee Benefit Rate Proposal).


 

Human Resources

July

July 31: IRS Form 5500 - Report of Employee Benefit Plan
References: 29 U.S.C. Chapter 18; 29 CFR Part 2560; IRS Form 5500 Guidance Document
Institutions annually 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).

July 31: IRS Form 720 - Patient-Centered Outcomes Research Institute Fee
Reference: IRS Guidance Document
The Affordable Care Act imposes a fee on self-insured health plans, which must be reported annually by July 31.


October

October 15: IRS Form 5558 - Application for Extension of Time to File Certain Employee Plan Returns
References: IRS Form 5558 Guidance Document
Institutions may file this form to apply for a one-time extension of time to file IRS Form 5500 (ordinarily due July 31; extension to October 15 for a calendar-year plan).

Princeton University Investment Company (PRINCO)

Flexible or Varying

As Requested: CFTC Form 40 - Statement of Reporting Trader
References: 17 CFR § 18.04; CFTC Guidance Document
Institutions must file with the Commodity Futures Trading Commission Form 40 when they own or control a reportable position and when the CFTC makes a request via special call, which is submitted through the CFTC Portal.

Twenty-three Calendar Days Following the Last Business Day of the Month: Treasury Form SLT
Reference: U.S. Department of the Treasury Guidance Document
Aggregate holdings of long-term securities by U.S. and foreign residents must be submitted to the Federal Reserve Bank no later than the 23rd calendar day of the month following the report as-of date; if the due date falls on a weekend or holiday, the TIC Form SLT report is due the following business day.

Every Five Years: Benchmark Survey of U.S. Direct Investment Abroad - Form BE-10
Reference: BEA Guidance Document
The U.S. Bureau of Economic Analysis Form BE-10 is due every five years.

Every Five Years: Treasury Benchmarking Forms SHL and SHC
Reference: U.S. Department of the Treasury Guidance Document
These benchmarking forms must be submitted to the Federal Reserve Bank every five years.


January

Quarterly (January 30, April 30, July 30, October 30): Quarterly Survey of U.S. Direct Investment Abroad - Form BE-577
Reference: BEA Guidance Document
The U.S. Bureau of Economic Analysis Form BE-577 is due within 30 days of the end of the calendar or fiscal quarter (January 30, April 30, July 30, October 30).


February

Quarterly (February 14, May 15, August 14, November 14): Quarterly Survey of Financial Services Transactions Between U.S. Financial Services Providers and Foreign Persons - Form BE-185
Reference: BEA Guidance Document
The U.S. Bureau of Economic Analysis Form BE-185 is due within 45 days of the close of each fiscal quarter (February 14, May 15, August 14, November 14).

Quarterly (February 14, May 15, August 14, November 14): Form 13F Reports
References: 17 CFR § 240.13f-1; SEC Guidance Document
Institutional investment managers are required to report on Form 13F within 45 days of the close of each calendar quarter (February 14, May 15, August 14, November 14).


March

First Friday of March: Treasury Form SHCA
Reference: U.S. Department of the Treasury Guidance Document
This form must be submitted to the Federal Reserve Bank annually (except every fifth year when Form SHC is required) by the first Friday of March.


April

Quarterly (January 30, April 30, July 30, October 30): Quarterly Survey of U.S. Direct Investment Abroad - Form BE-577
Reference: BEA Guidance Document
The U.S. Bureau of Economic Analysis Form BE-577 is due within 30 days of the end of the calendar or fiscal quarter (January 30, April 30, July 30, October 30).


May

Quarterly (February 14, May 15, August 14, November 14): Quarterly Survey of Financial Services Transactions Between U.S. Financial Services Providers and Foreign Persons - Form BE-185
Reference: BEA Guidance Document
The U.S. Bureau of Economic Analysis Form BE-185 is due within 45 days of the close of each fiscal quarter (February 14, May 15, August 14, November 14).

Quarterly (February 14, May 15, August 14, November 14): Form 13F Reports
References: 17 CFR § 240.13f-1; SEC Guidance Document
Institutional investment managers are required to report on Form 13F within 45 days of the close of each calendar quarter (February 14, May 15, August 14, November 14).

May 31: Annual Survey of U.S. Direct Investment Abroad - Form BE-11
Reference: BEA Guidance Document
The U.S. Bureau of Economic Analysis Form BE-11 is due annually by May 31.


July

Quarterly (January 30, April 30, July 30, October 30): Quarterly Survey of U.S. Direct Investment Abroad - Form BE-577
Reference: BEA Guidance Document
The U.S. Bureau of Economic Analysis Form BE-577 is due within 30 days of the end of the calendar or fiscal quarter (January 30, April 30, July 30, October 30).


August

Quarterly (February 14, May 15, August 14, November 14): Quarterly Survey of Financial Services Transactions Between U.S. Financial Services Providers and Foreign Persons - Form BE-185
Reference: BEA Guidance Document
The U.S. Bureau of Economic Analysis Form BE-185 is due within 45 days of the close of each fiscal quarter (February 14, May 15, August 14, November 14).

Quarterly (February 14, May 15, August 14, November 14): Form 13F Reports
References: 17 CFR § 240.13f-1; SEC Guidance Document
Institutional investment managers are required to report on Form 13F within 45 days of the close of each calendar quarter (February 14, May 15, August 14, November 14).

Last Business Day of August: Treasury Form SHLA
Reference: U.S. Department of the Treasury Guidance Document
This form must be submitted to the Federal Reserve Bank annually (except every fifth year when Form SHL is required) by the last business day of August.


October

Quarterly (January 30, April 30, July 30, October 30): Quarterly Survey of U.S. Direct Investment Abroad - Form BE-577
Reference: BEA Guidance Document
The U.S. Bureau of Economic Analysis Form BE-577 is due within 30 days of the end of the calendar or fiscal quarter (January 30, April 30, July 30, October 30).


November

Quarterly (February 14, May 15, August 14, November 14): Quarterly Survey of Financial Services Transactions Between U.S. Financial Services Providers and Foreign Persons - Form BE-185
Reference: BEA Guidance Document
The U.S. Bureau of Economic Analysis Form BE-185 is due within 45 days of the close of each fiscal quarter (February 14, May 15, August 14, November 14).

Quarterly (February 14, May 15, August 14, November 14): Form 13F Reports
References: 17 CFR § 240.13f-1; SEC Guidance Document
Institutional investment managers are required to report on Form 13F within 45 days of the close of each calendar quarter (February 14, May 15, August 14, November 14).


 

Office of the Provost

September

September 30: Federal Contractor Veterans Employment Report (VETS-4212)
Reference: 41 C.F.R. § 61-300.11; U.S. Department of Labor Guidance Document
The VETS-4212 form must be submitted to the Department of Labor annually by September 30.


 

Department of Public Safety

October

October 15: Annual Security Report/Annual Fire Safety Report
References: 34 C.F.R. § 668.41; 34 C.F.R. § 668.46; U.S. Department of Education Guidance Document
The Clery Act and related laws and regulations require that institutions submit to the U.S. Department of Education the required data by October 15.


 

Dean for Research (Research Integrity and Assurance)

Flexible or Varying

As Needed: Federalwide Assurance (FWA) Updates
References:  45 C.F.R. § 46.103; Federalwide Assurance Instructions; OHRP Guidance Document
Federalwide Assurance (FWA) is sent to the Office of Human Research Protections in U.S. Department of Health and Human Services as needed as changes occur.

As Needed: IRB Registration Updates
References: Update or Renew an IRB Registration; OHRP Guidance Document
IRB registration updates are required as needed as changes occur to committee membership; updates are sent to the office of Human Research Protections in U.S. Department of Health and Human Services.

As Needed: Reports of Noncompliance to OHRP
Reference: OHRP Guidance Document
Reports of serious or continuing noncompliance, unanticipated problems involving risks, suspension or termination of studies involving PHS-funded human subjects research are required as needed as incidents occur; such reports are sent to the office of Human Research Protections in U.S. Department of Health and Human Services.

As Needed: Reports of Noncompliance to OLAW
Reference: OLAW Guidance Document
Reports of serious or continuing noncompliance, serious deviation from guidance, or suspension of an activity by the IACUC, are required as needed as incidents occur; such reports are sent to the U.S. Department of Health and Human Services' Office of Laboratory Animal Welfare (OLAW).

As Needed: Reports of Noncompliance to USDA
Reference: USDA Guidance Document
Reports of suspension or significant programmatic deficiency that was not timely corrected are sent to the USDA as needed.

Annually (Dates Vary Depending on Award Type): Research Performance Progress Reports (including List of Identified Financial Conflicts of Interest)
References: NIH eRA Commons (NIH); FCOI - NIH Guidance Document
Institutions must file with the NIH's eRA Commons' website its updated list of identified financial conflicts of interest (FCOIs) that involve PHS funding annually (dates vary depending on award type).

Every Four Years: OLAW Assurance
References: OLAW Guidance Document
Institutions must file with the U.S. Department of Health and Human Services' Office of Laboratory Animal Welfare (OLAW) the renewal of their Domestic Assurance every four years.


January

January 31: OLAW Annual Report
Reference: OLAW Guidance Document
The Office of Laboratory and Animal Welfare (OLAW) Annual Report is sent to NIH's OLAW covering the prior calendar year annually by January 31.


October

October 15: IBC Registration Annual Update
Reference: OSP Guidance Document; OSP Guidance Document
Reporting concerning IBC committee membership is sent to the NIH's Office of Science Policy (OSP) annually by October 15.


December

December 31: USDA Annual Report
Reference: USDA Guidance Document
The U.S. Department of Agriculture Annual Report on census, pain categories, and exemptions from October 1 through September 30 is sent to USDA's Animal and Plant Health Inspection Service annually by December 31.