COMPLIANCE CHATTER

Fall Series

Providing compliance reminders and resources all autumn long!

This week’s topic: Reporting Employee Concerns

All employees have an obligation to report known or suspected compliance concerns which is why UConn welcomes and encourages good-faith reporting and/or seeking guidance regarding compliance issues. There are several offices at UConn and UConn Health who are available to receive and investigate compliance concerns, depending on the nature of the issue. Below we will highlight some of the reporting obligations and options for employees, as well as point to some resources for employee support.

Reporting Options

Speak with Your Supervisor

Supervisors and Managers are great resources and often times they are key to addressing concerns that arise in the workplace. Typical concerns that you may share with a supervisor include, but are not limited to: conflicts with colleagues, workplace environment issues, or questions or clarification on policies or procedures.

Contact the Office of University Compliance

Any individual may contact the Office of University Compliance directly to report a compliance concern or ask for guidance. University Compliance will work to answer your questions or review the concerns. Depending on the nature of the question or concern, University Compliance may refer the matter to other key compliance offices, including those below, for review and response. To contact University Compliance directly, feel free to contact us at universitycompliance@uconn.edu or 860-486-2530. For more information about the reporting process or to review University Compliance’s investigation protocol, please visit our website.

Office of University Compliance Website

Contact UConn's Reportline

In addition to reporting concerns directly to the Office of University Compliance, you may report your concern through the 24/7 anonymous Reportline, which is supported by a third-party vendor. You can submit a report through the Reportline by calling and speaking to a call specialist or by submitting your report using a webform. All reports are forwarded to University Compliance for review and response, which may occur in conjunction with other offices including those below. For more information on how to submit a web form through the Reportline, please review this brief Compliance Clip.

Submit a Reportline Web Form

Call the Reportline

1-888-685-2637

Reportline Web Form for Mobile Devices

Contact the Office of Healthcare Compliance and Privacy

Staffed with healthcare compliance and privacy experts, the Office of Healthcare Compliance & Privacy (OHCP) serves as a resource for all providers of healthcare throughout the University. The OHCP also receives and responds to reported concerns related to healthcare compliance (e.g., Fraud, Waste and Abuse; Stark and Anti-Kickback) and healthcare privacy (i.e., HIPAA). Actual or suspected healthcare compliance or privacy incidents must be reported immediately. If you know of or suspect a violation of healthcare compliance and/or privacy policies, please contact ohcp@uchc.edu or (860)679-6060. You may also submit privacy concerns via the HIPAA Privacy Incident Report .

Office of Healthcare Compliance and Privacy Website

Contact the Office of Institutional Equity

The Office of Institutional Equity (OIE) administers the University’s non-discrimination policies including the Policy Against Discrimination, Harassment, and Related Interpersonal Violence. OIE works to support equitable and inclusive working and learning environments, and ensure compliance with state and federal laws and regulations related to equal opportunity, affirmative action, and access. OIE is the office that reviews and investigates allegations of employee discrimination or discriminatory harassment, including any concerns related to the provision or implementation of disability-related accommodations. Employees may also report any physical barriers to access on campus to OIE for remediation.

Responsible Employees are required to immediately report to OIE incidents or disclosures of sexual assault, intimate partner violence and/or stalking that involves any UConn or UConn Health student as a complainant, respondent, or witness, regardless of when or where the incident occurred. For more information about Responsible Employees and reporting obligations, view this brief Compliance Clip.

Learn more about Confidential and Exempt Employees, who have different reporting requirements.

Office of Institutional Equity Website

OIE Reporting Form

Contact the Office of Employee and Labor Relations

The Office of Employee Relations oversees faculty and staff employee and labor relations at all UConn campuses. Employee and Labor Relations is a department within Human Resources. The staff collaborate with and provide advice and counsel to University administration to ensure personnel actions comply with the University-specific and statewide collective bargaining agreements, laws, and regulations. Additionally, Employee and Labor Relations actively participate in the development and enforcement of workplace policies and procedures and support the University’s ongoing compliance with the laws and regulations that govern the employment relationship.

UConn Employee and Labor Relations Website

UConn Health Employee and Labor Relations Website

Employee Resources and Support

Employee Assistance Program

The Employee Assistance Program (EAP) is a free and confidential service for all UConn and UConn Health employees and their family members. This program offers a wide variety of counseling, referral, and consultation services.

Employee Assistance Program at UConn Website

Employee Assistance Program at UConn Health Website

Office for Diversity and Inclusion

The Office for Diversity and Inclusion (ODI) is committed to creating and sustaining a diverse, equitable, inclusive, and justice-oriented environment. The ODI works collaboratively with units to increase their recruitment and retention goals, educate the community on cultural and structural competencies, and foster full participation and belonging for all at UConn and UConn Health.

Office for Diversity and Inclusion Website

Ombuds Office

The Ombuds Office serves as a neutral resource, providing confidential and informal assistance to employees, including trainees and graduate students, at UConn and UConn Health. Contact the Ombuds Office to have a confidential conversation about issues such as conflicts with colleagues or supervisors, challenges with communication, concerns about job status and work environment, and questions about what options are available for handling a problem according to university policy.

Ombuds Office Website

InForm: a Resource for the Whole UConn Community

InForm is a tool to help the UConn community navigate the different reporting processes and support resources available to address incidents including bias, harassment, safety, and other types of misconduct. InForm is available to anyone including students, faculty, staff, visitors, and community members who have a concern to report. InForm acts as a hub for accessing all report forms from one place, with a greater level of guidance.

Additional Compliance Resources

Explore More Topics

Review additional Compliance Clips and Chatters.

INDIVIDUAL RESPONSIBILITY • INSTITUTIONAL SUCCESS

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