Compliance Training Policy

Title: Compliance Training Policy
Policy Owner: Office of Audit, Compliance & Ethics
Applies to: Faculty, Staff
Campus Applicability: All University departments at all campuses, except UConn Health
Effective Date: August 13, 2008
For More Information, Contact Office of Audit, Compliance & Ethics
Contact Information: (860) 486-4526
Official Website: http://audit.uconn.edu/storrs-compliance/

Reason for the Policy

As recipients of funding from the Federal Government, the University is required to provide all employees and related parties with annual training on the elements of the compliance program and the University’s expectations that all will act in accordance with applicable laws, policies and standards.

Policy Statement

1.  All faculty and staff on the unclassified and classified payrolls shall complete annual compliance training.  Training will consist of an overview of the compliance program, elements of the University Code of Conduct and State Ethics Code, and other compliance related rules, regulations and laws to help employees fulfill their job responsibilities in an ethical and legal manner.

2.  The training year shall be defined by the academic calendar (August to June).

3.  All faculty and staff will be required to attest annually that they have received compliance training and that they understand the following:

  • How to ask questions of or to report concerns to the Compliance Office.
  • University policy prohibits retaliation against any individual asking questions or reporting concerns to the appropriate authority.
  • Violations of the Code of Conduct or State Code of Ethics may result in disciplinary measures or sanctions by the University and/or Office of State Ethics.

4.  Individuals may also be required to receive specialized compliance training as needed for their positions.

5.  Faculty and staff who do not complete training by the appropriate deadline are subject to disciplinary action up to and including dismissal.

Responsibilities

The Office of Audit, Compliance and Ethics (OACE) is responsible for coordinating and providing annual compliance training.  Training will be offered in multiple formats in order to provide employees with ample opportunity to complete the training by the appropriate deadline.

Management, in consultation with the Department of Human Resources and in accordance with collective bargaining agreements, will be responsible for issuing disciplinary action for non-compliance.

Approved by the Executive Compliance Committee 8-13-2008