Members of the UCEC will have knowledge of the management, administration and substance of the University’s compliance program and will exercise day-to-day oversight of the implementation and effectiveness of program activities, including:

• Communication and advising on existing or anticipated compliance matters.
• Identification, prioritization, and remediation of compliance-related risks, including those associated with emerging compliance issues. This may include delegation of compliance responsibilities to appropriate individuals and offices.
• Recommendation of process changes based on evaluation of patterns and trends identified in confidential reporting and investigation activity reports.
• Identification of areas where University policies and procedures need to be established or enhanced, including developing a response to new or revised regulatory requirements.
• Evaluate the effectiveness and efficiency of existing compliance processes and program elements by reviewing and analyzing data.
• Share best practices and “lessons learned” across compliance functions.
• Exercise due diligence with respect to efforts to establish compliance standards and procedures that identify and prevent wrongdoing.
• Communicate and promote a culture of compliance and ethics.

The Office of University Compliance supports the administration of the UCEC, which is chaired by the University’s Chief Compliance Officer. Voting members of the UCEC are appointed by the President and include leaders who have responsibility for key compliance areas across the institution.

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Voting UCEC Members
Executive VP for Finance & CFO	Provost
VP Chief Human Resources Officer - UConn	VP for Human Resources - UCH
VP of Research	Chief of Staff, President’s Office
AVP of University Safety	AVP of Office of Institutional Equity
VP Chief Information Officer - UConn	Chief Information Officer - UCH
VP of Student Life and Enrollment	Controller - UCH
AVP of Financial Operations and Controller - UConn	AVP Business Services and CPO - UConn
VP Facilities Operations - UConn	AVP Procurement Operations & Contracts - UCH
VP Facilities Operations - UCH	Chief Administrative Officer - UCH
Director of Athletics	Chief of Staff, CEO – UCH
VP for Global Affairs	VP for Communications
VP and Chief Diversity Officer - UConn	AVP Master Planner and Architect
Non-Voting UCEC Affiliates
NAGPRA Coordinator	Chief Audit Executive
Director of Environmental Health and Safety - UConn	Director of Environmental Health and Safety - UCH
Regional Campus Director	Title IX Coordinator
Deputy ADA Coordinator	Chief Information Security Officer - UConn
Director of Veteran Affairs and Military Programs	Chief Information Security Officer - UCH
Export Control Officer	Senior Director of Government Relations
University Compliance Staff	AVP Chief Healthcare Compliance and Privacy Officer
Facility Security Officer	University Privacy Officer
AVP for Communications	Office of the General Counsel - UConn
Associate Director of Athletics for Compliance	Office of the General Counsel - UCH
Executive Director of Employee and Labor Relations	Director, University Events and Conference Services
University Ombuds

The UCEC reports to the Joint Audit and Compliance Committee (JACC). Quarterly, the JACC will receive updates regarding this Committee’s reviews and recommendations, including high-level summaries of the compliance program’s activities and initiatives.