9.16 / Depository for Representations and Certifications

Effective: August 08, 2017

  1. Purpose

    The purpose of this policy is to establish a Responsible Party for each Representation and Certification requirement, an index of Representations and Certifications to monitor renewals and facilitate audits, a list of Compliance Areas and compliance responsibilities as they relate to the Representations and Certifications, and a central depository of all such Representations and Certifications.

  2. Applicability

    This policy is applicable to any University employee who is asked to certify, assure or make a written or legally binding representation as to whether or not the University is in compliance with any federal, state or local law, regulation, or order.

  3. Definitions

    For purposes of this policy only, the following definitions shall apply:

    1. “Representations and Certifications” means a certification, assurance, verification, written representation, or any other attestation that is deemed a binding statement made on behalf of the University. Representations and Certifications may include such language as “I certify to,” or “I attest, under perjury of law,” or “By my signature, I verify that.” Representations and Certifications may be requested to be completed in writing, by electronic communication, through online portals or any other means of recording.

    2. "Responsible Party” means a University employee authorized to certify that the University is in compliance with laws affecting the employee's designated Compliance Area.

    3. "Compliance Area” means a designated subunit within the University, or an affiliated entity. A Compliance Area may include one or more individuals, departments, divisions, institutes, centers, groups, and/or organizations based primarily on their responsibilities and expertise.

  4. IV. Compliance Areas and Responsibilities

    1. The Research Compliance Office (RCO) is responsible for maintaining a list of Compliance Areas and all responsible compliance obligations as set forth in applicable laws, regulations, grants, contracts, policies or other mandates. This list shall also identify the designated Responsible Party for the applicable Compliance Area or compliance responsibility. The identity of the Designated Responsible Party is provided to Research Compliance Office by the head of each compliance area.

    2. On or before January 1 of each year, the Responsible Party, or designee(s), must certify in writing that the University is in compliance with the designated compliance obligations for that Compliance Area.

  5. Third Party Requests for Representations and Certifications

    Third-party requests for Representations and Certifications must be forwarded to the Research Compliance Office and, if applicable, to the reviewing contract department. RCO or its designee shall work with the Office of the General Counsel to accurately complete all Representations and Certifications and complete any other tasks of the RCO.

  6. Record Retention

    Completed Representations and Certifications shall be submitted to RCO at compliance@wichita.edu for indexing into the depository. The Office of the General Counsel shall serve as the custodian of records for all completed Representations and Certifications. Completed Representations and Certifications shall be kept a minimum of five years following the execution date.