This year's Compliance & Ethics Week will take place February 10-14 2025. The purpose of this event is to raise awareness about compliance-related topics and reinforce ethical values for building a stronger UW. These events are 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” 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 with a bonus afternoon event at 3pm on Tuesday, 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.

 

There is one Zoom link for all events: Zoom link

2/10 Monday 10am: Live Records Clean-Out  Join Records Management staff for a live clean-out event in honor of National Clean Out Your Computer Day. The demo will include common messes they've seen around the UW, including in often forgotten places around your personal digital space.

Check out the recording of this event here

 

2/11 Tuesday 10am: What's Wrong Here? Participate in a interactive Zoom poll event where you will be presented with common behaviors of UW staff and faculty and have to choose which behavior is incorrect. Representatives of partner offices will be on hand to chime in about why the situation is wrong, provide information about the services they provide to campus, and help you find out who to ask about that subject matter in the future.

 

2/11 Tuesday 3pm: Digital Accessibility Join the ADA Office and UW-IT Accessible Technology to learn about document accessibility and what you’ll need to do to meet new ADA Digital Accessibility requirements. Curious about the new requirements? Bring your digital accessibility and compliance questions!

Check out the recording of this event here

 

2/12 Wednesday 10am: What's the deal with UW Medicine Records Management & Information Governance? Ever wonder what is the difference between the two Records Management offices at the UW? You are not alone! Join this session to get more clarity on who can advise on what.

Check out the recording of this event here.

 

2/13 Thursday 10am: Where Research Compliance Supports Ethical Research Join staff from the Office of Research for a roundtable discussion to refresh your knowledge and make sure you are on the right track.

Check out the slide deck including the scenarios that we discussed here. 

 

2/14 Friday 10am: Vital Records and Business Continuity Join the UW's Continuity & Resiliency Program Manager and Records Management staff to learn and have the opportunity to ask questions about topics ranging from disaster planning, office succession, and safeguarding data for both legal retention and business continuity purposes

Check out the recording of this presentation here.

 

Back to top


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

Back to top


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

  • Review the University’s Accident Prevention Plan and your department or unit Supplemental Accident Prevention Plan.
  • Complete all required and recommended safety training courses.
  • Submit an incident report for any work-related event that results in an injury, illness, exposure to hazardous materials, property damage, or fire, regardless of the work location. Submitting a report for work-related near-miss events is encouraged.

Human Resources

  • Check out required workplace posters regarding employment rights, and viewing locations Visit this link.
  • Review these guidelines and processes for providing job performance references: Visit this link.
  • All UW employees are required to attend these training sessions, with a few exceptions as noted on the webpage: Visit this link.
  • Check that your coworkers are clear on the topic of Remote I-9s. HR receives questions about on how a department’s I-9 coordinator, and new employee, can initiate and complete an I-9 remotely, to ensure that it’s fully complete within three business days of the first day of employment. The ISC guide walks through what to do with the form and in Workday, but it is up to the department and the new employee to establish an “authorized representative” to complete page two of the form I-9: Visit this link.
  • Check that you are well-informed about proper hiring processes. UWHR has a website for new and established hiring managers that they wanted to remind the UW community about; it includes required trainings, as well as covering record keeping tips and requirements: Visit this link.
  • Brush up your skills on complaint resolution. The University offers several options for help if you need support in resolving a situation: Visit this link.
  • Learn about the University’s new demographic data use policy of how and when it is appropriate to collect and/or use demographic data, which includes personal information such as home address and gender: Visit this link.)
  • Read about ethical standards for UW resources, outside employment, gifts, and conflicts of interest: Visit this link.

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 (directly related to a student and maintained by the institution regardless of storage medium) 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 ferpa@uw.edu for the FERPA experts in the Office of the University Registrar to respond.

Privacy

  • 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.

SafeCampus

  • 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.

Sustainability

  • Opt out of Paper W-2s by visiting this link.
  • Look around your office for items that are not being used. By law, all unwanted University property must be surplused, regardless of condition. UW Surplus works to keep items out of the landfill where possible, by reselling usable items and working to recycle or responsibly dispose of items that can no longer be used. Learn more at UW Surplus: Visit this link.

Title IX

  • All UW employees are encouraged to share concerns related to sex- and gender-based violence, harassment, and discrimination through the Title IX Reporting Form. Learn more about the support provided by Title IX Case Managers at Make a Title IX Report.
  • Review the supportive measures that may be available if a student or employee has experienced sex- and gender-based violence, harassment, or discrimination.
  • Use the Pregnancy and Related Conditions Support Form to request consultation when assisting a student navigating pregnancy, childbirth, miscarriage, abortion, lactation or other related conditions. This helps ensure they are not denied or limited in their access to UW’s educational programs or activities

Youth Protection

Office of Merchant Services

Office of Animal Welfare

UW-IT Enterprise Document Management

Document Management service 

  • Learn more about how the document management service can help you access, manage, and store your electronic records. Contact us if you’re interested in learning more. 
  • Reference the Managing Users in UW Groups page for more information (presence on UW network or Husky OnNet required for access). 
  • Visit the Document Management Customer Support Portal for FAQs, user guides, policy information, and more. (presence on UW network or Husky OnNet required for access) 

eSignatures service 

  • Every user of eSignatures should establish a process for storing completed envelopes outside of DocuSign.
  • If you’re a DocuSign Delegated Administrator, ensure that your team’s Senders and Delegated Administrators role assignments are current and correct. 
  • Contact the eSignatures team if you need help managing users, transferring or sharing materials in DocuSign, or have any questions. We’re here to help! 

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.

Back to top


Partner Offices

Back to top