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

  • Ongoing, collaborative assessments of key compliance areas: research, health & safety, information, financial, civil rights and human resources, global activities
  • Regular reporting to senior leadership and the Board of Regents
  • Leadership and staff support for compliance committees
  • Project coordination and management
  • Development of education, training and outreach resources
  • Coordination among legal, risk, compliance and internal audit functions


Seven Elements of Effective Compliance

Compliance Services employs these seven elements to structure, organize and manage the University’s compliance functions:

1) Leadership and oversight

2) Standards of conduct, policies and procedures

3) Education and outreach

4) Monitoring and auditing

5) Receiving reports and investigating

6) Accountability, incentives and corrective action

7) Response and prevention