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UCONN HEALTH – Compliance Work Group Charter


The UConn Health Compliance Working Group (Group) is appointed to provide direction and guidance to the UConn Health compliance, health and safety, and public safety risk management programs and to advise the president and the Joint Audit and Compliance Committee (JACC) in their oversight of these programs. The Group’s role is an essential component of UConn Health’s overall risk management program, focusing on UConn Health’s compliance with significant legal, ethical, and regulatory requirements and on managing significant health and safety (health/safety) and public safety risks.


The Group shall be comprised of the following:

  • Executive Vice President of Health Affairs (Chairman);
  • Vice President for Research (or designee);
  • Chief Administrative Officer;
  • Chief Executive Officer, John Dempsey Hospital;
  • Dean, School of Medicine;
  • Dean, School of Dental Medicine;
  • Chief Counsel for UConn Health;
  • Chief Information Officer;
  • Vice President for Ambulatory Care;
  • Chief Financial Officer;
  • Compliance Integrity and Privacy Officer and
  • Chief Audit and Compliance Officer (Executive Secretary to the Committee).

Staff support to the committee will be provided by the Office of Audit, Compliance and Ethics.
Additional voting and non-voting members may be appointed by the chair together with the president of the University. Representatives of other UConn Health areas may also be invited to attend, as appropriate.

A quorum for any meeting will be a majority of the voting members.
Generally, each Group member shall be independent and free from any relationship which would interfere with the exercise of independent judgment as a member of the Group. However, should an issue arise where any member recognizes a conflict, that member will note such conflict and recuse him/herself from discussions on the topic.


The Group shall meet on a regularly scheduled basis throughout the year but generally not less than four times per year, as circumstances dictate. Evidence of the discussions of the Group and the actions taken by the Group are to be reflected in recorded minutes of the meeting.


The Group’s specific responsibilities in carrying out its oversight are as follows:

  • Provide leadership for the UConn Health health/safety, public safety, and compliance risk management programs by promoting and supporting a culture that builds risk and compliance consciousness into the daily activities of UConn Health faculty and staff.
  • Provide advice and guidance to the president and the JACC on the design and operation of the health/safety, public safety, and compliance risk management programs.
  • Work closely with UConn Health managers to help ensure institution-wide compliance with relevant state and federal laws and to provide a safe working environment for the UConn Health community.
  • Review and approve the role, responsibilities, and structure of the UConn Health health/safety, public safety, and compliance committees.
  • Review and approve the designation of specific UConn Health health/safety, public safety, and compliance coordinators.
  • Identify and assess health/safety, public safety, and compliance risks at UConn Health that require executive oversight.
  • Allocate resources, when necessary, to mitigate risks in activities determined to represent a high risk.
  • Receive results of all inspections and audits that have compliance, health/safety, or public safety implications.
  • Receive summary reports of compliance, health/safety, and public safety-related ReportLine activity.
  • Be apprised of general compliance training outcomes.
  • Keep the president and the JACC aware of significant identified risks, activities, and findings.
  • Provide a forum for communication among the various units and programs within UConn Health for issues relevant to health/safety, public safety, and compliance.
  • Perform any other activities consistent with this Charter and University, Schools, Hospital and Medical Staff By-laws and governing laws, as this Group or the Joint Audit and Compliance Committee of the Boards deem necessary or appropriate.

The Group will review the components of this charter at least annually and update the charter, as necessary, to reflect current practices and needs.