Compliance Training Policy

Title: Compliance Training Policy
Policy Owner: Office of University Compliance
Applies to: All faculty, staff, graduate assistants, and affiliates
Campus Applicability: All University campuses, including UConn Health
Effective Date: August 13, 2008
For More Information, Contact Office of University Compliance
Contact Information: (860) 486-2530
Official Website:


As recipients of Federal funding, the University is required to provide all employees and graduate assistants (collectively “employees”) and affiliated parties with training on the elements of the University’s compliance program and the University’s expectations that all will act in accordance with applicable laws, policies, and standards.


All University employees are required to receive compliance training, which may differ in type of training or frequency based on their role and responsibility. Specific training requirements are determined based on an employee’s job function at the University in conjunction with other University policies, laws and regulations.

All who are required to complete compliance trainings may be mandated to attest that they have received the training and understand its contents, including the covered resources and potential disciplinary action or sanctions as a result of any incident of non-compliance with University policies as well as applicable laws and regulations.

Employees may be required to complete specialized and/or additional compliance-related training as needed for their positions or in an effort to maintain the institutions compliance with applicable laws and policies, whether those trainings are provided by the Office of University Compliance or another University office or entity with compliance-related responsibilities.


Violations of this policy may result in appropriate disciplinary measures in accordance with University By-Laws, General Rules of Conduct for All University Employees, and applicable collective bargaining agreements. Management, in consultation with the Department of Human Resources and in accordance with collective bargaining agreements, will be responsible for issuing appropriate disciplinary action for non-compliance.


Approved by the Executive Compliance Committee 8-13-2008; Revised and Approved by the University Compliance Committee on 6-11-2020 and by the UConn Health Administrative Policy Committee on 6-25-2020.