Per University policy, all faculty and staff are required to complete the University’s Compliance and Ethics Training on an annual basis. The Office of University Compliance is responsible for designing and implementing the training each year as well as for ensuring compliance with the requirement.
Each year, the training provides information on the University’s compliance program as well as the University’s Code of Conduct for faculty and staff. Additionally, the training provides information and resources regarding the University’s Guide to the State Code of Ethics.
The purpose of the training is to ensure all faculty and staff have an understanding of their role and responsibility as it relates to institutional policies as well as the various state and federal laws governing the University’s day-to-day operations. Ensuring compliance is both an individual and collective responsibility – thank you for doing your part!
View 2024-2025 Annual Graduate Assistant Compliance Training Resources
View 2025 Annual Employee Compliance and Ethics Training Resources
| Adjunct Faculty | Staff and Faculty | Graduate Assistants | Special Payroll | |
| Training Requirement | Training available through Human Resources. | Training provided by the Office of University Compliance. Available online or live. | Training provided by the Office of University Compliance. Available online only. | Training not required by the Office of University Compliance, but may be required by Department Head. |
| Frequency | Required once upon hire. Note: This training must be repeated if there has been a break in service of greater than one year (a break from teaching for two consecutive semesters). | Required to complete annually. Note: If an employee is on leave throughout the duration of the annual training period, they not required to complete the training. | Required to complete annually. | If required by Department Head, available online only. |
Note: Faculty and staff who do not complete the required training by the established deadline will be referred to management and Human Resources for appropriate disciplinary action.
Graduate Assistant Annual Compliance Training Resources
Completion Deadline: 12/1/2024
Troubleshoot Tech Issues
Supported Internet Browsers
| Browser | Operating System | Java Runtime Environment (JRE) |
| Apple Safari 14.0.x or later | Mac OSX 10.6.x | Any JRE supported by your web browser that works with your SBX Publisher and third-party content. |
| Microsoft Edge | Windows 10 | |
| Mozilla Firefox (latest available version) | Any operating system that supports these browsers | |
| Google Chrome (latest available version) | Any operating system that supports these browsers |
For more information or a comprehensive list of supported browsers, visit hr.uconn.edu/learningatwork.
If you experience issues with accessing the training:
- Access the training in a new web browser
- Clear your browser cache: Clearing the cache in web browsers
- Check for browser updates
- Restart your computer
If after completing the above you continue to experience system issues, please contact learningatwork@uconn.edu.
Training FAQ
What is the deadline to complete the training this year?
Graduate Assistants will have access to complete the training starting Tuesday, September 17, 2024, and are required to complete the training by Sunday, December 1, 2024.
Deadline for GA’s hired between 11/1/24 and 12/15/24: 30 days after assignment
Deadline for GA’s hired between 12/16/24 and 2/15/25: March 15, 2024
Deadline for GA’s hired between 2/16/25 and 8/1/25: 30 days after assignment
How can I complete the training?
Graduate Assistants must take an online self-paced learning module in the Learning@Work system.
What is covered in the training this year?
This year, like others, the training covers the required components of:
- The University's Code of Conduct: Employees will learn about their responsibilities as members of the UConn and UConn Health community, options for reporting compliance concerns, and the University’s Non-Retaliation policy.
- The University's Guide to the State Code of Ethics: This section covers the State's Code of Ethics and how it applies to employees at UConn and UConn Health. Employees will learn about their responsibilities as Connecticut State employees.
- Key Compliance Requirements: This section of the training covers information related to the Export Control, the Family Educational Rights and Privacy Act (FERPA), and Accessibility.
How long will the training take to complete?
The online training module will take approximately 545- 60 minutes to complete depending on the pace at which you answer the test your knowledge questions.
I don not have the amount of time needed to complete the training in full right now. Can I complete a part of it now and finish later?
Yes. The training is designed to be self-paced in three modules if you choose to complete it through the online training module.
I am on a leave from the University (i.e. FMLA) during the timeframe the training is available. Do I have to do the training?
Employees who are on a University sanctioned or supported leave are not required to complete the training while they are out. Once an employee returns from their leave, they will be given 90 days from their return date to complete it.
Why can’t I fast forward or skip through the training?
All information provided in the training is important for all of our employees to receive and understand. Fast forwarding through the training would be contrary to the purpose of providing the training.
How can I print my certificate after completing the training?
To print the certificate o, follow these steps in the Learning Management System:
Navigation: Home Page > Me
Click “Completed Learning” in the left navigation pane
Click “Print Certificate” for the applicable web based training course
I already completed this training last year. Do I have to do it again?
University Compliance and Ethics Training is an annual requirement of all UConn and UConn Health employees; therefore, it is required for you to complete the training again this year. While some of the content in the training is a reminder of previously provided information, there is also new information included that is important for all employees.
Is there an option to “test out” of having to complete the training?
While there is not an option to completely “test out," this year’s training provides participants with opportunities to skip certain parts by demonstrating their knowledge.
Training Resource List
Section 1 - The University's Code of Conduct
Video on Effective Compliance Programs
Section 2 - The University Guide to the State Code of Ethics
University Guide to the State Code of Ethics
Contact Kim Fearney, AVP & Chief Compliance Officer and Ethics Liaison
Policy on Employment and Contracting for Service of Relatives
Disclosure of Conflict of Interest Form
Section 3 - Key Reminders
Information Technology Services
Training Navigation Tips
- Navigation
Each slide in this training is narrated and you will automatically advance to the next slide once the voiceover ends. The seekbar, located at the bottom, will be unlocked after you view a slide in its entirety. You can use it to rewind or fast forward through content once it’s unlocked. If you wish to revisit a specific slide, use the “back” button on the bottom right of your screen or click on the table of contents on the left to select the slide you want to revisit.
- Closed Captions
This training is fully closed captioned. You can click the Closed Caption icon on the bottom of your screen to turn this feature on or off.
- Quizzes
Throughout each section, you will encounter quiz questions to test your understanding. Select your response, click the submit button on the bottom right of your screen and then click "continue" to proceed to the next slide. You can enlarge the text on your quiz slide by clicking on the markers on your screen. You may need to scroll down for longer questions. Click the blue marker on the top right of your screen if you want the quiz questions to be narrated.
- Training Resource Page
If you need to refer back to this year’s training materials, we have prepared a training resource page containing the training content, links to resources, and contact information mentioned throughout the training. You can access the training resource page by clicking the button on the bottom left.
- Technical Assistance
If you encounter any technical difficulties during the training, please email learningatwork@uconn.edu for assistance.
Troubleshoot Tech Issues
Supported Internet Browsers
| Browser | Operating System | Java Runtime Environment (JRE) |
| Apple Safari 14.0.x or later | Mac OSX 10.6.x | Any JRE supported by your web browser that works with your SBX Publisher and third-party content. |
| Microsoft Edge | Windows 10 | |
| Mozilla Firefox (latest available version) | Any operating system that supports these browsers | |
| Google Chrome (latest available version) | Any operating system that supports these browsers |
For more information or a comprehensive list of supported browsers, visit hr.uconn.edu/learningatwork.
If you experience issues with accessing the training:
- Access the training in a new web browser
- Clear your browser cache: Clearing the cache in web browsers
- Check for browser updates
- Restart your computer
If after completing the above you continue to experience system issues, please contact learningatwork@uconn.edu.
Training FAQ
What is the deadline to complete the training this year?
All employees will have access to complete the training starting Tuesday, January 23, 2024, and are required to complete the training by Friday, May 31, 2024.
How can I complete the training?
University Compliance provides the training in two different ways. Employees can take an online self-paced learning module in the Learning@Work system. Employees are also welcome to participate in a live WebEx training facilitated by University Compliance staff.
Do I have to complete both the online course and the live WebEx training?
No. Employees are required to take one or the other. Both training modalities cover the same content.
What is the benefit of taking the live WebEx training?
The live WebEx training allows participants to ask questions throughout the training and engage with University Compliance staff, which may work for some employees learning preferences.
How do I register for a WebEx Training?
You can sign up here. There are several dates provided and all live trainings are open for employees on all campuses.
What is covered in the training this year?
This year, like others, the training covers the required components of:
- The University's Code of Conduct: Employees will learn about their responsibilities as members of the UConn and UConn Health community, options for reporting compliance concerns, and the University’s Non-Retaliation policy.
- The University's Guide to the State Code of Ethics: This section covers the State's Code of Ethics and how it applies to employees at UConn and UConn Health. Employees will learn about their responsibilities as Connecticut State employees.
- Key Compliance Requirements: This section of the training covers information related to the Drug-Free Schools and Communities Act (DFSCA), the Family Educational Rights and Privacy Act (FERPA), and Accessibility.
How long will the training take to complete?
The online training module will take approximately 50 - 60 minutes to complete depending on the pace at which you answer the test your knowledge questions.
If you choose to take the training through one of our live WebEx trainings, we ask participants to block off 90 minutes for the training. While the live training likely will not take that long, we allot extra time for participant questions and engagement.
I don not have the amount of time needed to complete the training in full right now. Can I complete a part of it now and finish later?
Yes. The training is designed to be self-paced in three modules if you choose to complete it through the online training module.
If I am retiring am I still required to complete the training?
The deadline for all current employees to complete the training is May 31 even for those who are planning their retirement.
I am on a leave from the University (i.e. sabbatical, FMLA) during the timeframe the training is available. Do I have to do the training?
Employees who are on a University sanctioned or supported leave are not required to complete the training while they are out. Once an employee returns from their leave, they will be given 90 days from their return date to complete it.
Why can’t I fast forward or skip through the training?
All information provided in the training is important for all of our employees to receive and understand. Fast forwarding through the training would be contrary to the purpose of providing the training.
How can I print my certificate after completing the training?
To print the certificate o, follow these steps in the Learning Management System:
Navigation: Home Page > Me
Click “Completed Learning” in the left navigation pane
Click “Print Certificate” for the applicable web based training course
For employees who complete the training through a live WebEx session, follow these steps in the Learning Management System approximately 1 week after completing the training:
Instructor led training (ILT) courses display the View Summary button
Click drop down arrow to the right of “View Summary” and select “Print Certificate”.
I already completed this training last year. Do I have to do it again?
University Compliance and Ethics Training is an annual requirement of all UConn and UConn Health employees; therefore, it is required for you to complete the training again this year. While some of the content in the training is a reminder of previously provided information, there is also new information included that is important for all employees.
Is there an option to “test out” of having to complete the training?
While there is not an option to completely “test out," this year’s training provides participants with opportunities to skip certain parts by demonstrating their knowledge.
Training Resource List
Section 1 - The University's Code of Conduct
Video on Effective Compliance Programs
Section 2 - The University Guide to the State Code of Ethics
University Guide to the State Code of Ethics
Contact Kim Fearney, AVP & Chief Compliance Officer and Ethics Liaison
Policy on Employment and Contracting for Service of Relatives
Disclosure of Conflict of Interest Form
Section 3 - Key Reminders
Troubleshoot Tech Issues
Supported Internet Browsers
| Browser | Operating System | Java Runtime Environment (JRE) |
| Apple Safari 14.0.x or later | Mac OSX 10.6.x | Any JRE supported by your web browser that works with your SBX Publisher and third-party content. |
| Microsoft Edge | Windows 10 | |
| Mozilla Firefox (latest available version) | Any operating system that supports these browsers | |
| Google Chrome (latest available version) | Any operating system that supports these browsers |
For more information or a comprehensive list of supported browsers, visit hr.uconn.edu/learningatwork.
If you experience issues with accessing the training:
- Access the training in a new web browser
- Clear your browser cache: Clearing the cache in web browsers
- Check for browser updates
- Restart your computer
- Access Saba from within the "Windows 10 T1" virtual desktop (via Citrix Workspace app or remote.uchc.edu )
If after completing the above you continue to experience system issues, please contact UConn Health IT Support: servicedesk@uchc.edu, x4400
Training FAQ
What is the deadline to complete the training this year?
All employees will have access to complete the training starting Wednesday, January 31, 2024, and are required to complete the training by Saturday, March 30, 2024.
How can I complete the training?
Employees take an online self-paced learning module in Saba.
What is covered in the training this year?
This year’s training was developed in collaboration by the Office of University Compliance, the Office of Healthcare Compliance & Privacy, and Information Security. All three mandatory trainings have been combined into one course, with three modules that can be completed at your own pace, making it easier than ever to complete your mandatory training requirements.
- Office of University Compliance: The Code of Conduct; The University's Guide to the State Code of Ethics; Key Reminders on The Drug Free School and Communities Act (DFSCA), The Family Education Rights and Privacy Act (FERPA), and Accessibility in Course and Communication Design
- Office of Healthcare Compliance & Privacy: Fraud, Waste, and Abuse, and Related Laws and Federal Enforcements; The HIPAA Privacy Rule and Safeguarding Protected Health Information; Reporting Compliance Concerns and Privacy Incidents
- IT Security: The HIPAA Security Rule; IT Security Standards and Procedures
How long will the training take to complete?
The online training will take approximately 2 hours and 15 minutes to complete all three modules depending on the pace at which you answer the test your knowledge questions.
I do not have the amount of time needed to complete the training in full right now. Can I complete a part of it now and finish later?
Yes. The training is designed to be self-paced in three modules.
If I am retiring am I still required to complete the training?
The deadline for all current employees to complete the training is March 30 even for those who are planning their retirement.
I am on a leave from the University (i.e. sabbatical, FMLA) during the timeframe the training is available. Do I have to do the training?
Employees who are on a University sanctioned or supported leave are not required to complete the training while they are out. Once an employee returns from their leave, they will be given 90 days from their return date to complete it.
Why can’t I fast forward or skip through the training?
All information provided in the training is important for all of our employees to receive and understand. Fast forwarding through the training would be contrary to the purpose of providing the training.
How can I print my certificate after completing the training?
To print the certificate , follow these steps in Saba:
Click “Completed Learning” in the left navigation pane
Click “Print Certificate” for the applicable web based training course
I already completed this training last year. Do I have to do it again?
Yes. Annual Compliance Training is required of all UConn and UConn Health employees each year. While some of the content in the training may be a reminder of previously provided information, there is also new information included that is important for all employees.
Is there an option to “test out” of having to complete the training?
While there is not an option to completely “test out," this year’s training provides participants with opportunities to skip certain parts by demonstrating their knowledge.
Training Resource List
Part 1: Office of University Compliance
The University's Code of Conduct
Video on Effective Compliance Programs
The University Guide to the State Code of Ethics
University Guide to the State Code of Ethics
Contact Kim Fearney, AVP & Chief Compliance Officer and Ethics Liaison
Policy on Employment and Contracting for Service of Relatives
Disclosure of Conflict of Interest Form
Key Reminders
Information Technology Services
Strategies for Developing Accessible Courses
Part 2: Office of Healthcare Compliance & Privacy
HIPAA Privacy Resources
2003-21 HIPAA Privacy – Minimum Necessary
2023-03 Identification and Protection of Protected Health Information (PHI)
2023-05 Use and Disclosure of PHI
2014-03 Visual, Audio or Recording of Patient Data Obtained Though Any Medium
2003-12 Notice of Privacy Practices Policy
Notice of Privacy Practices (NOPP)
Healthcare Compliance Resources
2001-03 Sanctions and Exclusions
2023-11-Communication and Reporting Mechanisms
2016-02-Stark and Anti-Kickback Compliance
2007-12 Reporting and Refunding Overpayments to Federal Healthcare Programs
2017-05 Individual Financial Conflicts of Interest in Clinical Health Care