University Compliance and Ethics Committee

The UConn Compliance and Ethics Committee (UCEC) will support the University in maintaining an effective compliance and ethics program that is reasonably designed and implemented to prevent, detect, and correct compliance violations. The scope of the UCEC includes implementation and oversight of all higher education compliance program elements as well as those common to all areas and functions within the University of Connecticut, regardless of location.  Through engagement in regular meetings and sub-committee participation, committee members will work collaboratively to coordinate and monitor compliance activities.  The committee will recommend or take necessary actions to promote a culture of ethical conduct and commitment to compliance with laws, policies, and regulations.


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


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


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.


The UCEC shall meet quarterly, or more frequently as necessary, while sub-committees may meet more frequently as needed.  A majority of voting members constitute a quorum for the transaction of business.  The committee shall take action by affirmative vote of a majority of the committee members present at a duly held meeting.