Compliance

Coordination

two people smiling at a desk

Compliance Services provides structural support and coordination for institution-wide compliance efforts. Ongoing functions include:

  • Collaborative assessments of key compliance areas: research, health & safety, information, financial, civil rights and employment
  • Regular reporting to senior leadership and the Board of Regents
  • Coordination among legal, risk, compliance and internal audit functions
  • Leadership and staff support for compliance committees
  • Institution-wide project coordination and management
  • Development of education, training and outreach resources

The goals of coordinated compliance are to promote an institution-wide culture of compliance and foster an environment of informed and willing compliance; approach compliance with federal, state and local laws as “one university”​; create opportunities for compliance community cross-pollination, to increase effectiveness; and ensure the Regents and leadership understand their responsibilities to regulators and to the University community.

Seven Elements of Effective Compliance

The University organizes and manages its compliance responsibilities based on these nationally-recognized elements of effective compliance:

Leadership and oversight – The institution maintains a credible, centralized compliance program that includes: access to senior leadership, including the president; functional committee structures; and regular reporting to the Board of Regents. The compliance program has appropriate authority and adequate resources, is respected, and demonstrates integrity.

Standards of conduct, policies and procedures – The institution establishes clear expectations and provides practical guidance for the University community – including faculty, staff, students, alumni, donors, volunteers – regarding behavior and decision-making. Such expectations are detailed in published, accessible policies and procedures.

Education and outreach – The institution supplies the University community with appropriate, relevant, comprehensive, consistent education and outreach, as well as any necessary specialized training targeted to groups of faculty, staff, students and other constituencies.

Monitoring and auditing – The institution conducts regular assessments of program functions and adherence to compliance requirements; monitors relevant federal and state laws and regulations; and facilitates awareness of compliance obligations – including internal policies and external requirements – to help management make informed decisions.

Receiving reports and investigating – The institution provides the University community with avenues to seek guidance and report violations of policy and relevant laws/regulations to appropriate offices, and to receive complaints from the community about its members. Investigations follow appropriate processes and emphasize non-retaliation.

Accountability, incentives and corrective action – The institution encourages and expects community members to behave ethically and responsibly. Appropriate, fair and consistent actions are taken in cases of wrongdoing.

Response and prevention – The institution responds appropriately to episodes of misconduct and violations of laws, regulations and policies. Systemic issues are identified, root causes determined, and institutional solutions are determined and implemented to prevent recurrence.

Staff

David Anderson | Interim Associate Vice President, UW Compliance and Risk Services

Jill Lee | Executive Director, UW Compliance Services

Susan Freccia | Director of Strategic Initiatives, UW Compliance and Risk Services

Joel Tobin | Project Manager, UW Compliance Services

John Hogl | Training Specialist, UW Compliance Services