Compliance Areas

A core component of our office is to partner with units across the University with compliance responsibilities. With so many different functions, it can be hard to know who to contact when you have a question or concern. We created the below matrix to list key compliance units and briefly describe what they do and how they can help you. You can sort this matrix by compliance area or responsible office. If you still aren’t sure who to turn to, you may always reach out to us at 860-486-2530.

The Key Compliance Contacts matrix is periodically updated. To ensure you have the most recent copy, visit this page. Where possible, numbers for both Storrs (486...) and Farmington (679...) are listed. 


Key Compliance Contacts
Compliance Area Description Responsible Unit Phone (860) E-Mail
Accreditation and Regulatory Affairs The Office of Accreditation and Regulatory Affairs is the first point of contact for any regulatory inquiry or visit whether expected or unannounced. This office is responsible for educating and monitoring new and revised regulations, codes and standards set forward by the Centers of Medicare and Medicaid Services (CMS), The Joint Commission (TJC), the Department of Public Health (DPH), and other regulatory agencies. It provides guidance and support in preparing for accreditation, certification and other surveys. Additionally, it assists in the development of corrective actions when issues are identified, and collaborates with quality and patient safety. Accreditation and Regulatory Affairs, Office of 679-7015
ADA/Section 504 As part of the University's commitment to providing equal access and full participation for individuals with disabilities, the Office of Institutional Equity (OIE) monitors the University’s compliance with the Americans with Disabilities Act (ADA) and Section 504 of the Rehabilitation Act. These statutes prohibit discrimination on the basis of disability in any service, program or activity. OIE provides training and guidance on federal disability laws and University Policies related to accessibility.  The Associate Vice President of OIE serves as UConn's ADA Coordinator and Section 504 Coordinator. Institutional Equity, Office of 486-2943

Affirmative Action/Equal Employment Opportunity The Affirmative Action/Equal Employment Opportunity and Search Compliance Unit of the Office of Institutional Equity (OIE) provides search committee education and training.  OIE can answer your questions throughout the search process to support compliance with AA/EEO regulations and best practices. Institutional Equity, Office of 486-2944

Animal Use in Teaching and Research The Institutional Animal Care and Use Committee (IACUC) can provide guidance related to the University's program for the humane care and use of animals in research and teaching. Animal welfare or non-compliance concerns may be reported to IACUC, the Attending Veterinarian or Research Compliance Services (RCS). Institutional Animal Care and Use Committee (Research Compliance Services) 486-2459
Athletics Athletics Compliance can provide guidance regarding permissible and prohibited conduct of student-athletes, coaches and administrators, in accordance with NCAA rules and regulations. Athletics Compliance 486-2208 kristen.hargis@uconn. edu
Clery  While several compliance areas are responsible for various Clery requirements, the Division of Public Safety reports on crime, maintains necessary policies, protocols and reports and offers resources for the University Community. Public Safety 486-4800
Contract Compliance Contracting and Compliance can guide end user departments throughout the contracting process to help ensure compliance with regulatory requirements and make sure vendors deliver on agreed upon contracts and services. Procurement Services 486-5898
Conflicts of Interest and Commitment Conflicts of interest and commitment (COI/C) are a normal part of an active and vibrant university. With the increasing emphasis of universities on outreach and economic development, more university personnel are becoming involved with external entities or starting their own companies. UConn encourages these activities. However, these activities may bring with them actual or perceived COI/C that need management to avoid harm to the persons or entities involved. Among other responsibilities, the Office of Conflict of Interest Administration can provide guidance regarding faculty consulting, faculty-affiliated companies, and ethics. Conflict of Interest Administration 486-4037
Conflicts of Interest in Research (Financial)

UConn Health

A Financial Conflict of Interest (FCOI) in Research exists when the University, through its designated official(s), reasonably determines an Investigator's Significant Financial Interest (SFI) is related to a research project and could directly and significantly affect the design, conduct or reporting of the research. Investigators are required to disclose all SFIs (including those of a spouse or dependent child) that meet thresholds as defined by policy. Research Compliance Services can help guide you through applicable policies and procedures. Research Compliance Services Contact via e-mail
Discrimination/ Discriminatory Harassment/ Sexual Harassment The Office of Institutional Equity (OIE) is responsible for objectively investigating complaints of discrimination and harassment based on protected classification to determine if employee conduct violates the University's non-discrimination policies.  Where investigations reveal the presence of discriminatory or harassing behavior, OIE is responsible for making recommendations that are designed to mitigate the effects of discriminatory conduct.  OIE also assists with developing and implementing the University’s non-discrimination and affirmative action policies, procedures, and programs and offers information, consultation, and training to the University community on these areas of focus. Institutional Equity, Office of Storrs/Regionals
486-9436    UConn Health
Drug Free Schools- Students Wellness and Prevention Services can answer questions regarding drug and alcohol abuse prevention policies, programs and resources for University Students and can provide guidance on Drug Free Schools and Campuses Act requirements. Wellness and Prevention Services 486-9436
Drug Free Schools- Employees The Office of Faculty and Staff Labor Relations (LR) can answer questions regarding drug and alcohol abuse prevention policies, programs and resources for University Employees and can provide guidance on Drug Free Schools and Campuses Act requirements. Faculty and Staff Labor Relations, Office of 486-5684
Environmental Health and Safety The Division of Environmental Health and Safety (EHS) can provide training and other resources for regulated areas such as biological, chemical, occupational and radiation health and safety. Environmental Health and Safety, Division of 486-3613
Environmental - Air The Office of Environmental Policy (OEP) is responsible for the University's compliance with state and federal air quality regulations. UConn campuses include many fuel-burning sources (boilers, generators, gas hot water heaters), which are responsible for emissions of regulated pollutants to the atmosphere. OEP applies for all necessary air permits, maintains records, and submits reports to the EPA and CTDEEP. All planned installations of potential air emission sources should be discussed with OEP staff. (Note: Indoor air quality issues are handled by Environmental Health and Safety personnel, not OEP.) Environmental Policy, Office of (Compliance Program-Air) 486-8148, Jennifer Williams

486-9295, Paul Ferri

486-9305, James Hutton
Environmental - Water The Office of Environmental Policy (OEP) can provide guidance on water use and water quality issues, and information on water resources and water conservation measures. All discharges to surface water (including those to storm drains) are regulated, to protect sensitive surface water and groundwater resources both on and off campus. New discharges should be discussed wtih OEP staff. UConn's sanitary sewer system is regulated under a NPDES permit, while smaller discharges are regulated under specific State General Permits or individual SPDES permits. UConn policies include water conservation measures that are designed to protect flow rates and aquatic habitat in the Willimantic and Fenton Rivers near UConn's water supply wellfields. New campus activities that will use significant quantities of water should be discussed with OEP. Environmental Policy, Office of (Compliance Program - Water) 486-9305, James Hutton

486-9295, Paul Ferri

486-8148, Jennifer Williams
Environmental - Soil, Site Remediation, Land-Use Permitting, Environmental Project Review, Hazardous Building Materials The Office of Environmental Policy (OEP) is responsible for the University's compliance with state and federal regulations pertaining to soil quality, site remediation, land-use permitting, and hazardous building materials. Construction projects are subject to environmental review through the Connecticut and/or National Environmental Policy Acts. Excavations on UConn campuses generate soils, which may or may not require specific management and/or disposal measures. Development must also address wetlands and flood control issues through State and Federal permits. Certain building materials can contain asbestos, lead, mercury, or other constituents that require management and disposal, and hazardous/regulated wastes require characterization and disposal per regulatory requirements. Proper packaging, shipping, and disposal of UConn regulated/hazardous wastes are the responsibility of the Environmental Health & Safety (EHS) Department. Environmental Policy, Office of (Compliance Program - Soil and Hazardous Building Materials) 486-9265, Paul Ferri,

486-9305, James Hutton,

486-8148, Jennifer Williams
Ethics The Ethics Liaison can answer questions and concerns regarding the State Code of Ethics for Public Officials, addressing topics such as gifts, outside employment, financial benefits/gains, contracts with the state and appearance fees. Compliance, Office of University 486-2530
Export Control Research Compliance Services can answer questions on regulations that govern how certain information, technologies, and commodities can be transmitted overseas or to a foreign national on U.S. soil. Research Compliance Services 486-3994
Healthcare Compliance The Office of Healthcare Compliance develops, implements, and monitors UConn Health’s healthcare compliance program. It provides an effective education and development program regarding healthcare compliance matters such as existing and new healthcare laws, policies, and procedures. This office is also responsible for receiving and responding to reports of alleged non-compliance with healthcare policies and/or laws. It also conducts healthcare monitoring activities to ensure compliance and to identify ways to enhance the clinical practices. Additionally, it develops internal compliance plans to address issues identified within the Office of the Inspector General (OIG) work plan. Healthcare Compliance, Office of 679-1802
Human Subjects Research The Institutional Official overseeing the Human Research Protection Program can provide guidance related to the ethical principles and regulatory requirements for the protection of the safety, rights, and welfare of human research participants. Institutional Review Board (Research Compliance Services) 486-8802


Individual Financial Conflicts of Interest in Clinical Health Care The Office of Healthcare Compliance can provide guidance related to the Policy on Financial Conflicts of Interest in Clinical Health Care. The policy applies to all aspects of clinical health care and promotes objectivity by establishing standards to reasonably ensure that the planning, support and delivery of clinical health care will not be biased by any conflicting financial interest of a Clinical Practitioner. All Clinical Practitioners must in accordance with this Policy disclose any significant financial interest (including those of a spouse or dependent child) that relate to the Clinical Practitioner’s institutional responsibilities and, if applicable, comply with any financial conflict of interest management or mitigation plans. Office of Healthcare Compliance 679-4180
Information/Data Security The Information Security Office of the Storrs and Regional Campuses and Information Security Office of UConn Health can assist with data loss prevention, the improved security of system and network services, and proactive risk management and crisis and security incident management. If you suspect any security vulnerabilities or potential system compromises, immediately contact one of these offices. Information Security Office (Storrs-based)

Information Security (UConn Health)

Intellectual property and commercialization Research Technology Commercialization and Industry Relations can answer questions regarding Uconn inventions, startup companies, licensing technology and other business related research collaborations. Research Technology Commercialization and Industry Relations 679-8774
Minor Protection (Youth in Sponsored Programs/Events) University's Minor Protection Program provides guidance and resources related to reporting child abuse and neglect as well as standards for University youth activities. Human Resources, Department of 486-4510
Privacy The Privacy Officer can answer questions and concerns related to  access rights and protection of sensitive or confidential personal information of members of our University Community such as students, employees, patients, and research subjects. Privacy Protection & Management Office of 486-5256

Records Management The University's Records Management Liaison Officer (RMLO) can provide guidance related to State and University records policies and procedures and answer record retention and scanning questions. Archives and Special Collections (Records Management Liaison Officer) 486-4507
Tax Compliance The Tax & Compliance Office seeks to inform, educate and develop understanding of tax issues on a campus-wide basis. This office can answer general questions and concerns about tax laws and offers workshops and orientations. Tax & Compliance Office 486-4653
Title IX (prohibits discrimination based on the sex (gender) of employees and students) The Office of Institutional Equity (OIE) oversees the coordination of University prevention and response efforts related to sex/gender-based discrimination. OIE provides information, support and resources for anyone impacted by sexual harassment and/or sexual violence (including sexual assault, intimate partner violence and stalking). Institutional Equity, Office of 486-2943