Quarterly Compliance Reports

To provide assistance to UT Dallas Management and UT System in ensuring compliance with applicable regulations, the responsible person for each high-risk area submits a compliance report to Institutional Compliance on a quarterly basis. The Quarterly Compliance Report (QCR) provides an assessment of the supervisory controls for monitoring, training and reporting in place for each high-risk area. The quarterly reports identify instances in which controls in place failed to ensure compliance, the cause of the failure and the corrective actions taken to ensure compliance in the future. In addition, any training provided or received for the high-risk area is also reported quarterly. The instances of non-compliance and any concerns reported by the responsible persons on the Quarterly Compliance Reports are compiled in a compliance log.

QCR Due Dates	Time period covered by report
Nov. 15	August to October
Feb. 15	November to January
May 15	February to April
Aug. 15	May to July

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