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Compliance Program

Risk Assessment

Approval/Effective Date: 4/6/2009
Last Reviewed: 1/17/2023

Policy: The University of Washington School of Dentistry will conduct ongoing risk assessments and take appropriate steps to reduce the risk of law violation identified through the assessment process.

Purpose: The purpose of this policy is to set forth the procedures that will be followed to ensure that the School of Dentistry Compliance Program and operational practices are evaluated and modified as necessary in response to the risk for potential legal violations.


  1. The Compliance Director monitors changes in laws and regulations through regular review of governmental websites, newsletters and other communication channels.
  2. The Compliance Director monitors areas of risk identified by the Federal government through regular review of enforcement activities, the annual OIG Work Plan, OIG Compliance Guidance, advisory bulletins, fraud alerts, and the information sources listed in item #1.
  3. When an issue that has the potential to affect the School of Dentistry is identified, the Compliance Director prepares an assessment of the nature and seriousness of potential violations of law and the likelihood that such violations may occur based on the nature of School of Dentistry business or prior history of the organization.
  4. Risk assessments are reviewed and discussed at the Compliance and Training Committee meetings, where any necessary response actions are approved, prioritized and added to the Compliance Work Plan.
  5. Risk assessments are documented in the Compliance and Training Committee meeting minutes.