Compliance Matrix

The Compliance Matrix is a SharePoint database used across all 11 comprehensive UW System institutions and UW-Milwaukee to manage compliance responsibilities on campus. The database contains nearly 500 obligations from federal law, state law, as well as Board of Regent and UW System policy. Obligations are assigned to responsible employees at each institution and UW System Administration. The matrix contains summaries of each obligation and guidance on how to comply.  For obligations requiring regular reporting, the matrix auto-generates reminders to the designated responsible employee that includes information to be reported, by when, frequency of reporting, and to whom the report should be submitted. These reminders are sent 90, 60, and 30 days in advance of a report due date.

Responsibility Roles: Within the matrix, there are three levels of responsibility, the Institutional Lead, Responsible Office, and the Primary Manager.  Employees may be assigned multiple responsibility roles for one or more obligations. For example, an individual may be a Primary Manager for one obligation and a Responsible Office Lead for another. Employees may also be assigned multiple roles for a single obligation.

Following are the definitions of each level of responsibility:

• Primary Manager: The field level administrator with subject matter expertise for a compliance obligation(s). The individual is typically responsible for administering the compliance obligation or program. In the case of a required report, this person would typically be responsible for submitting the report.
• Responsible Office: Identifies the office responsible for compliance with the obligation as well as a senior administrator within the office as the Responsible Office Lead. Generally, the Responsible Office Lead reports to the Institutional Lead for the compliance obligation.
• Institutional Lead: Identifies an executive level (Chancellor, Provost, Vice-Chancellor, AVC) position with institutional responsibility for the compliance obligation.
• System Liaison: Where possible, an employee at UW System Administration has been identified to provide further information to institutions on obligations. If an obligation imposes responsibility on UWSA as an entity, the System Liaison will typically serve as the Primary Manager for UWSA as well. In some cases, these System Liaisons are responsible for compiling information from the institutions and submitting reports on their behalf.

Compliance Matrix Demonstration