University of Connecticut University of UC Title Fallback Connecticut

Charter


STORRS – EXECUTIVE RISK MANAGEMENT AND COMPLIANCE COMMITTEE


Role

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


Membership

The Committee shall be comprised of the members of the University President’s cabinet.

Staff support to the committee will be provided by the Office of Audit, Compliance and Ethics.

Representatives of other University areas may be invited to attend, as appropriate.

A quorum for any meeting will be a majority of the cabinet members.


Meetings

The Committee 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 Committee and the actions taken by the Committee are to be reflected in recorded minutes of the meeting.


Responsibilities

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

  • Provide leadership for the UConn 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 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 University managers to help ensure university-wide compliance with relevant state and federal laws and to provide a safe working environment for the UConn community.
  • Review and approve the role, responsibilities, and structure of the UConn health/safety, public safety, and compliance committees.
  • Review and approve the designation of specific UConn health/safety, public safety, and compliance coordinators.
  • Identify and assess health/safety, public safety, and compliance risks at UConn 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 identified risks, activities, and findings.
  • Provide a forum for communication among the various units and programs within UConn for issues relevant to health/safety, public safety, and compliance.
  • Perform any other activities consistent with this Charter and University, Schools and Colleges By-laws and governing laws, as this Committee or the Joint Audit and Compliance Committee of the Boards deem necessary or appropriate.

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


Approved by the Joint Audit and Compliance Committee on December 16, 2016.