Annual Compliance and Ethics Training

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 Annual 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.

Staff & Faculty Annual Compliance and Ethics Training

UConn Storrs and Regional

Register for Live Training

Live virtual training is only available for UConn Storrs and regional employees.

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:

  1. Access the training in a new web browser
  2. Clear your browser cache: Clearing the cache in web browsers
  3. Check for browser updates
  4. 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.

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:

  1. Access the training in a new web browser
  2. Clear your browser cache: Clearing the cache in web browsers
  3. Check for browser updates
  4. Restart your computer
  5. 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

Code of Conduct

UConn Policy Website

Non-Retaliation Policy

The Reportline

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

Ethics FAQ’s

Policy on Employment and Contracting for Service of Relatives

Disclosure of Conflict of Interest Form

Key Reminders

FERPA Policy

FERPA Website

Privacy Website

University Privacy Officer

Information Technology Services

Strategies for Developing Accessible Courses

 

Part 2: Office of Healthcare Compliance & Privacy

HIPAA Privacy Resources

2002-43 - Confidentiality

2023-06 HIPAA Patient Rights

2003-21 HIPAA Privacy – Minimum Necessary

2023-03 Identification and Protection of Protected Health Information (PHI)

2003-09 Responding to Breaches of Privacy or Security of Protected Health Information (PHI) and/or Personal Information

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)

OHCP Walk Through Report

Privacy Incident Report

OHCP Website

Healthcare Compliance Resources

OHCP Website

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

2018-02 Prevention and Detection Fraud, Waste, and Abuse

2023-07 Coding, Billing and Charging Policy