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.

Accreditation and Regulatory Affairs

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

(860) 679-7015

ADA/Section 504

Disabilities

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

(860) 486-2943 (UConn Storrs and Regional)
(860) 679-3563 (UConn Health)

https://accessibility.uconn.edu/

Affirmative Action/Equal Employment Opportunity

Diversity/Affirmative Action

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

(860) 486-2944 (UConn Storrs and Regional)
(860) 679-3563 (UConn Health)

https://equity.uconn.edu/search-process/

Animal Use in Teaching and Research

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).

(860) 486-2459 (UConn Storrs and Regional)
(860) 679-4129 (UConn Health)

https://ovpr.uconn.edu/services/rics/animal/

Contract Compliance (UConn Health)

Contract Compliance

The Contracts Department supports UConn Health’s mission by utilizing their contracting expertise to efficiently manage contract creation and execution while minimizing risk, facilitating positive internal and external contracting relationships, and ensuring contract compliance with federal and state laws and regulations as well as UConn Health policies and procedures.

Procurement Operations and Contracts

(860) 679-6592

https://health.uconn.edu/procurement-operations-contracts/contracts/

Conflicts of Interest in Research

Research

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. Read More...

Research Compliance Services

https://ovpr.uconn.edu/services/rics/fcoi/ (UConn Storrs and Regional)
https://research.uchc.edu/rcs/fcoi/ (UConn Health)

Discrimination/ Discriminatory Harassment/Sexual Harassment

Discrimination/Sexual Misconduct

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. Read More...

Institutional Equity, Office of

(860) 486-2943 (UConn Storrs and Regional)
(860) 679-3563 (UConn Health)

https://equity.uconn.edu/discrimination/

Healthcare Compliance and Privacy

Healthcare Compliance and Privacy

Privacy

The Office of Healthcare Compliance & Privacy, based at UConn Health, focuses on the implementation of a Healthcare Compliance and Privacy Program directly relevant to operations and patient care in clinical environments and related business functions. Within the Office, the Compliance team serves as a resource for all members of the UConn Health community in providing education and guidance on healthcare compliance matters and responding to reports of alleged non-compliance with related laws, federal healthcare program requirements, and institutional policies. Read More...

Healthcare Compliance & Privacy, Office of

(860) 679-6060

https://health.uconn.edu/healthcare-compliance-privacy/

Human Subjects Research

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.

(860) 486-8802 (UConn Storrs and Regional)

(860) 679-8802 (UConn Health)

https://ovpr.uconn.edu/services/rics/irb/

Information/Data Security (UConn Storrs and Regional)

Information/Data Security

The Information Security Office of the Storrs and Regional Campuses 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 us.

Information Security Office

(860) 486-1777

https://security.uconn.edu/

Information/Data Security (UConn Health)

Information/Data Security

The 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 us.

Information Security

(860) 679-2295

https://health.uconn.edu/information-technology/about-us/divisions/it-security/

Tax Compliance

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 of

(860) 486-4653

https://tax.uconn.edu/

Title IX

Discrimination/Sexual Misconduct

Diversity/Affirmative Action

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

(860) 486-2943 (UConn Storrs and Regional)

(860) 679-3563 (UConn Health)

https://titleix.uconn.edu/