This year’s Compliance & Ethics Week will take place from January 22-26, 2024. The purpose of this event is to raise awareness about compliance-related topics and reinforce ethical values for building a stronger UW. It’s your chance as an office to make sure your day-to-day workflows follow established best practices and follow state, federal, and University legal requirements. And, it’s your chance as an individual to start the year off right!

We’ve teamed up with partner offices across the UW for this event. Together with our partner offices, we’ll provide trainings and resources for you to review and a list of actionable tasks for you to complete. We’ll also be hosting a live Zoom series called “Coffee & Compliance” at 10am each morning of that week covering a range of engaging topics.

Go ahead and block off some time. You can build your knowledge, refresh your understanding, increase awareness of ethical issues, and help reinforce a culture of compliance across the university. Bookmark this page so that you can easily return and watch for new material to be added.

This page is organized into 4 sections:

Coffee & Compliance Eventsuw purple coffee mug with steam and text coffee & compliance

We are hosting a live Zoom series, Coffee & Compliance at 10am each morning of the event week covering a range of interesting topics with our engaging partner offices. Pour yourself a cup of java and listen in as University leaders discuss crucial compliance topics including public disclosure, FERPA, data privacy, security, and campus safety and accessibility.

Monday 1/22 10:00-11:00am: Who Does That? A guide to which offices provide which services to campus, using real-life scenarios

Join us for this interactive C&E week kick-off event. You can learn who you should contact around campus depending on the situations you may find yourself in and put a friendly face to a name when representatives of partner offices give a description of what they do.

Tuesday 1/23 10:00-11:00am: Office of the University Registrar

Dr. Helen B. Garrett, University Registrar, explains FERPA basics and answers your questions relating to the proper management of student records.

Wednesday 1/24 10:00-11:00am: Privacy Office

The primary mission of the University of Washington is the preservation, advancement, and dissemination of knowledge. How do we fulfill that mission even as we shield against harms certain information can contribute to? Privacy laws protect some kinds of personal data. There’s also lots of data that isn’t legally protected that can create risks to the individual and the UW if not managed appropriately. Learn about potential harms involved when using personal data so that you can recognize the risks involved with your UW unit’s activities.

Thursday 1/25 10:00-11:00am: Office of Information Security

We all have a role to play in securing UW data. Learn best practices and policies in this session with the UW Office of Information Security.

Click here to access the Zoom event (UW NetID required)

Click here to add to your Outlook calendar

Friday 1/26 10:00-11:00am: ROT Squad Live: Plan Your Shared Storage Location Clean-up

Your office might need to clean out your shared drive, OneDrive, SharePoint, Teams library, or other shared storage location, but how do you ensure success? The ROT Squad (which stands for Redundant, Obsolete, or Transitory records) has helped offices all around the UW clean up their records, and they’ve got hard won wisdom, tips and tricks to share with you. Optionally, you can start creating a cleanup project plan using our template in advance of the event.

Click here to access the Zoom event (UW NetID required)

Click here to add to your Outlook calendar

Sign up for our newsletter to learn about future events

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Records Management Self-Assessment

light blue generic head icon with purple file tab inside and orange question mark on topWe designed these questions to indicate how well you or your department are managing your records. This self-assessment is meant to help identify gaps and provide detailed, specific next actions you can take to improve your compliance with Federal, State, and UW’s records management requirements and best practices. This survey will take less than 10 minutes to complete. At the beginning and end of this form, you will have the opportunity to request your responses to be sent to you via email. This will help you track our recommended next actions for your improved compliance. RMS will not review your responses unless you request us to do so.

Click here to begin the RMS Self-Assessment

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Compliance & Ethics Week Tasks

Records Management

ADA Coordinator

Office of Information Security

Office of Export Controls

  • Commit to understanding and identifying potential export limitations before engaging in activities that involve an export. Be aware that exports can include transfers to foreign persons located within the United States. Contact us with any questions. 
  • Review our guidance on research activities that may be subject to the export control regulations.
  • Contact us for instructions on how to access online self-paced training on export controls.  

Environmental Health & Safety

Human Resources

Office of Academic Personnel

Office of Minority Affairs & Diversity

  • Review the 2022-2026 Diversity Blueprint and discuss how you will localize Diversity, Equity, Inclusion & Belonging (DEI&B) efforts with your team.
  • Incorporate the Diversity Blueprint into your onboarding plan so that all new employees in your organization are aware of the framework and understand how your team’s DEI&B efforts are in alignment with the document.
  • Build DEI&B into your performance planning and evaluation to help ensure alignment and accountability across your organization.

Office of Public Records

  • Commit to using your work calendar for work tasks and appointments. Note that your Outlook calendar is a public record. Instead of being very specific about personal appointments on your Outlook Calendar, just put “On hold” or “Not available”. 
  • Make sure that your personal emails are separate from your work emails. If you have any non-work related subscriptions, unsubscribe to those from your work email and resubscribe using your personal email. For any personal conversations that are not related to work, reply to the person that you would like to continue the conversation using your personal email address.

Office of University Registrar

  • Commit to monitoring all emails to ensure that education records are not being shared as email attachments. Use shared drives instead.
  • Follow Record Retention schedules, purge emails that have met their retention.
  • Monitor the TO:, CC: and BCC: in emails and do not share education records outside of to the student and/or a school official unless they have a legitimate educational interest (such as they need access to the education records to perform their job) and a need to know.
  • When in doubt, don’t give it out! Refer the question or requester to for the FERPA experts in the Office of the University Registrar to respond.


  • Awareness and Accountability: Check that you understand what personal data we have, where it is, and how we use it is fundamental to compliance with privacy requirements. Whether you're just learning about the University's data inventory or well into creating records, continue your data inventory journey. 
  • Minimization and Protection: Review how Privacy by Design helps you meet legal and ethical responsibilities and incorporate what you learn right from the start. Consider how you can achieve your workplace goals while minimizing the personal data you gather and retain. Whether you're beginning a data sharing relationship or renewing one, ensure appropriate agreements are in place.


  • Make sure your office has a listing of emergency contacts for current employees, and that people know where that information is stored.
  • Check whether you have listed your personal cell phone in your work email signature. It is better not to include it there so that you can protect the privacy of your personal information. UW-IT has several options for working remotely that do not require you to give out your cell phone number. 
  • Enter the SafeCampus phone number into your phone so that you have it at your fingertips in case you have a future safety concern: 206-685-7233. 
  • Check with your colleagues to see if you are interested in requesting a future tailored safety training for your office. If you are, fill out the “Tailored Training Request Form” on this page.


Title IX

  • Starting this year all UW employees are encouraged to share concerns related to sex- and gender-based violence, harassment, and discrimination through the new online Title IX reporting form. Learn more by reviewing the FAQs on the Title IX “Make a Report” page.
  • Review supportive measures available if an individual has experienced sex- and gender-based violence, harassment, or discrimination.
  • Remind yourself of the support and protections available to ensure students and employees who are pregnant or experiencing pregnancy-related conditions are not denied or limited in their access to educational programs or activities.

Youth Protection

Office of Merchant Services

Office of Animal Welfare

Enterprise Document Management

  • Visit the Document Management System Customer Support Portal for FAQs, user guides, policy information, and more.
  • Ensure that all of your record types to be stored in DocFinity have a corresponding record series, trigger date, and retention schedule.
  • Identify the members of your team that will serve as the Records Authority and Records Coordinator.
  • Once your use case is set up, keep your team’s DocFinity access group membership up to date and make sure they have the permissions to perform the functions they need.
  • Check out the eSignatures IT Connect page for FAQs, links to DocuSign training materials, service updates, and more.
  • When using eSignatures (DocuSign), ensure that your team’s access (both Senders and Delegated Administrators) is current.
  • Contact the Enterprise Document Management team if you need help transferring or sharing materials in DocuSign.
  • Establish a process for storing records outside of DocuSign.

Office of Research Misconduct Proceedings

  • Review Executive Order 61 to confirm understanding of what constitutes research misconduct.  Be aware of the consequences of committing such an act and your responsibility as faculty, staff, or students to cooperate in research misconduct proceedings, should they arise.  Contact them with any questions.
  • Deepen your learning by listening to the 2022 Research Misconduct Biomedical Research Integrity (BRI) lecture presented by ORMP’s director, which covers how to identify and avoid detrimental research practices (DRPs) and the history of research misconduct.

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Partner Offices

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