Compliance Training Policy

Title: Compliance Training Policy
Policy Owner: Office of University Compliance
Applies to: Workforce members
Campus Applicability: All University campuses, including UConn Health
Effective Date: June 27, 2024
For More Information, Contact Office of University Compliance
Contact Information: (860) 486-2530
Official Website:


Training is an essential part of an effective compliance and ethics program. As recipients of federal funding, the University is required to provide all Workforce Members, including graduate assistants 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 all applicable University policies, and federal and state laws and regulations. Compliance training is intended to benefit the University community by helping to ensure that its members understand their responsibilities and by fostering a culture of compliance and ethical behavior.


Workforce Members: Employees, volunteers, trainees, and other persons whose conduct, in the performance of work for the University, is under the direct control of the University, whether or not they are paid by the University.


Training Requirements

All University Workforce Members are required to complete compliance training. Specific training requirements may differ in content, delivery, or frequency based on a Workforce Member’s role and responsibilities at the University in conjunction with other University policies, laws, and regulations.

Additional or Specialized Training

Workforce Members may be required to participate in additional and/or specialized compliance-related training to maintain the University’s compliance with applicable University policies, and federal and state laws and regulations. Training may be provided by the Office of University Compliance or another University department or entity with compliance-related responsibilities.


Upon completion of any required compliance training, Workforce Members may be required to attest that they completed the training, understand the content and resources provided,  as well as the potential disciplinary actions or sanctions that may result from any incidents of non-compliance with University policies and applicable laws and regulations.


Failure to complete assigned compliance trainings by the established deadline may result in appropriate disciplinary measures in accordance with University By-Laws, General Rules of Conduct for All University Employees, applicable collective bargaining agreements, and/or the University of Connecticut Student Code. 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.


Policy created: 08/13/2008 Approved by Executive Compliance Committee

Revisions:  06/27/2024 Approved by the Senior Policy Council and the President; 06/11/2020 Approved by University Compliance Committee and UConn Health’s Administrative Policy Committee on 06/25/2020.