Compliance

In general, compliance means conforming to a rule, such as a specification, policy, standard or law, in order to meet its mandates (safe and functional output, markets regulated, paying taxes, environment protection, labor compensation, etc) and mitigate consequences of non compliance (damage to reputation, fines, criminal charges, and more).

ACADEMIC: Supporting Faculty Activities

• Scholarly Integrity
• Compensation and Leaves
• Benefits
• Copyright
• Intellectual Property
• Employment, Promotion and Tenure
• Equal Opportunity and Affirmative Action
• Family Educational Rights and Privacy Act (FERPA)
• Health and Safety 
• Immigration
• Outside Professional Work
• Recruitment
• UW Information Technology: Privacy and Security

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FINANCIAL RESOURCES

• Internal Audit
• Medical Billing
• HIPAA Compliance
• Tax Compliance

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RESEARCH

Offices:

• Human Subjects
• Research Misconduct
• Embryonic Stem Cell Research
• Grant & Contract Accounting (GCA)
• Post Award Fiscal Compliance (PAFC)
• Management Accounting & Analysis (MAA)
• Office of Sponsored Programs (OSP)

Resources:

• Animal Welfare
• Radiation Safety
• Royalties
• Research Compliance
• Responsible Conduct of Research (RCR)
• Required Training
• UW Medicine Research Compliance
• Chemical Safety
• Conflicts of Interest and Commitment
• Export Controls
• Faculty Effort Certification

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RECORDS MANAGEMENT

• Retention schedules
  • General Schedule
  • Department Schedules
• Managing your Records
  • Responsibility of every office
  • Records: Active & Inactive
• Record Storage and Retrieval
  • Storage Request Forms
  • Retrieving Records
  • Vital Records
• FAQ
  • Grant and Contract Records
  • Destruction Holds

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FACILITIES

• Access Guide for Persons with Disabilities
• Environmental Health and Safety
• Security
• Building Coordinators
• Maintenance Distinctions - when to use different funding sources

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INTERCOLLEGIATE ATHLETICS

• NCAA Compliance

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INFORMATION SYSTEMS

• Electronic Records Management
• UW Information Technology: Privacy and Security

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UNIVERSITY ADVANCEMENT

• University Advancement

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AUDIT AND COMPLIANCE ISSUES

The UW is subject to financial audits, including those performed by internal, external, state and federal audit offices. The Audit and Compliance webpage describes internal and external audit processes and other compliance issues, including ethics laws, public records requests and Washington State Sales Tax laws.

• UW Department of Audits
• External Auditors
• State Auditors
• Federal Auditors
• Washington State Ethics Law
• Records Retention
• WA State Sales Tax
• Public Records Request

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WORKING WITH AUDITORS

• Non-University of Washington Auditors

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PROCESS MAPS

• Cash controls in a Small Office
• Procurement Process Separation of Duties
• Payroll Process

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