Compliance Worksheet
Date of Compliance Review:
Compliance Area:
Cognizant Policy Officer:
Compliance Partner(s):
Source of Compliance Obligations (statute/regulation/other):
Responsible Federal/State Agency or other Body:
Enforcement and Risk Exposure/Sanctions:
Key Compliance Obligations:
(Cite to policies, procedures, practices, training, reporting, etc. in place as required)
Gaps or Issues to be Addressed/Followed:
Other Campus Offices Affected/Coordination Needed:
Resources (e.g., compliance calendar, templates, etc.)
Date for Follow Up to Address Gaps or Issues:
Date of Next Regular Review (whether mandated by law or institutional practice):