Chapter 85: Risk Management

85.010 Risk Management Policy

kuscheld — Wed, 26 May 2010 19:51:20 +0000

85.010 Risk Management Policy kuscheld Wed, 05/26/2010 - 19:51

Bd. Min. 5-26-78, Bd. Min. 10-5-07.

Concept of Risk Management
1. Our concept of Risk Management, upon which this Statement is based considers it to be a managerial function to prevent injury to or death of persons, to protect property and to prevent loss of income to or increased expenses for the University.
2. Since Risk Management primarily relates only to the possible occurrence of fortuitous events resulting from all University operations and on all of its premises, the human and fiscal considerations of these operations demand proper planning in the anticipation of such events actually occurring, rather than reacting to them after they occur with crash-type programs.
3. Effective Risk Management must result in reasonable protection against accidents causing injury to persons and managerial planning to reduce or control fortuitous costs, improve the cash flow position and the protection of other University assets from loss due to the result of an unplanned event, the fiscal results of which were not budgeted.
University Policy
1. We affirm and subscribe to the principles that the University of è��app has an inescapable obligation to furnish facilities and an environment that will provide reasonable protection from injury and property damage for employees, students and the public and to be a good steward of funds coming into its possession and to preserve its assets.
2. To support the acceptance of these principles and to facilitate their incorporation in all departments and operations of the University, we hereby establish a total program of Risk Management for the University.
3. Faculty, staff and students to the University of è��app have the responsibility and obligation to act in accordance with all applicable federal and state regulations. As regards that part of the program of Risk Management relating to the prevention of injury to or death of persons, the University will strive to use, as University Compliance Guidelines, applicable National Consensus Standards or Codes. However, the use of such Standards or Codes as University Compliance Guidelines shall not be construed as a formal, voluntary acceptance of or a decision to at all times comply with such Standards or Codes. In unusual situations where the University is exempt from regulatory jurisdiction due to its status as a government entity, faculty, staff and students still have an obligation for obtaining knowledge of the risks associated with their activities and exercising reasonable judgment to protect against the risks the regulations are intended to protect.
4. In order for the Risk Management program to be effective, it will be necessary for each employee, particularly those who supervise other employees and who use or are responsible for University assets, to acquire necessary knowledge and to act as individual Risk Managers in the program's implementation.
Implementation of Policy -- Implementation of this policy shall be by directive from the President of the University and the methods, procedures and organizational structures used in implementation shall be determined by the President.
Sovereign Immunity -- Nothing contained in this Statement shall be interpreted or otherwise construed to mean that the sovereign immunity of the University is being waived in whole or in part.

85.020 Hazardous Chemicals and Radioactive Materials Policy

kuscheld — Wed, 26 May 2010 19:53:38 +0000

85.020 Hazardous Chemicals and Radioactive Materials Policy kuscheld Wed, 05/26/2010 - 19:53

Bd. Min. 10-18-91, Bd. Min. 10-5-07.

Purpose
1. Public concern about the environment and the handling of biological, chemical and radioactive materials has resulted in the enactment of stringent federal and state laws, statutes, and regulations. Federal and State regulatory agencies can and do impose substantial fines and penalties for violation, intentional or unintentional, of the enacted statutory and regulatory requirements.
2. Faculty, staff, students and independent contractors under contract with the University of è��app, who may obtain, use, dispose or otherwise control biological, chemical, radioactive materials, and other hazardous materials have the responsibility and obligation to act in accordance with all applicable Federal and State regulations. In unusual situations where the University is exempt from regulatory jurisdiction due to its status as a government entity, faculty, staff , students and independent contractors under contract with the University of è��app still have the responsibility and obligation for obtaining knowledge of the risks associated with their activities and exercising reasonable judgment to protect against the risks the regulations are intended to protect.

Policy
1. It is the policy of the University of è��app, as approved by the Board of Curators, to operate in full compliance with all laws and applicable regulations and to ensure the health and safety of its students, faculty and staff. Consistent with this policy, the Chancellors are responsible for their respective campuses for the proper use, storage, and disposal of biological, chemical, radioactive materials, and any other hazardous materials used on their campuses. Consistent with this policy, the following shall apply:
  1. For their respective campuses, the Chancellors are responsible for providing faculty, staff, and students with the relevant rules, the necessary training, and the appropriate resources to comply with standards and regulations, to maintain an appropriately safe work environment, and to maintain appropriate documentation that standards and regulations are being met.
  2. It is the responsibility of individual faculty, staff, and students to be informed of applicable rules and regulations and to comply with these rules and regulations. Failure to comply with these rules and regulations constitutes possible grounds for dismissal of students and termination for cause of faculty and staff.
  3. It is the responsibility of individual faculty, staff and students having actual knowledge that the actions of visitors are in violation of applicable rules and regulations to inform the visitor(s) of that known fact and to take reasonable steps in an effort to stop such action.
  4. The University will make every appropriate effort to protect faculty members and other employees from civil penalties imposed by outside agencies as a result of the alleged improper use, storage, or waste management practices provided they have made bona fide efforts to comply with appropriate regulations.
  5. The campuses will be responsible for civil penalties that result from operations on the campuses.

85.030 Hazardous Chemicals and Radioactive Materials Policy - Defense and Protection of Employees

kuscheld — Wed, 26 May 2010 19:55:00 +0000

85.030 Hazardous Chemicals and Radioactive Materials Policy - Defense and Protection of Employees kuscheld Wed, 05/26/2010 - 19:55

Bd. Min. 2-3-94; Amended 12-11-14.

Purpose
1. The purpose of this policy is to establish a procedure for defense and protection of employees in matters where the U.S. Environmental Protection Agency (EPA), the U.S. Nuclear Regulatory Commission (NRC), the è��app Department of Natural Resources (DNR), the Occupational Safety and Health Administration (OSHA) or similar administrative agencies are alleging violations of federal and state laws, statutes, and regulations.
Defense and Protection -- Civil Proceedings -- Defense and protection against loss, damage or expense will be provided to:
1. Employees--An officer, faculty member, or other employee of the (a) University of è��app or (b) a subsidiary or affiliate of the University that has been designated as eligible for coverage under this Rule by the Assistant Vice President of Management Services in connection with any claim or suit allegedly rising out of the performance of duties for, or employment with, or by The Curators of the University of è��app, a public corporation, or a designated University subsidiary or affiliate; and
2. Such an officer, faculty member or employee who, individually or with others is named a defendant in legal actions or is the subject of a claim submits a request for such defense and protection to the President.
  1. Such a request shall include:
    
    (1) A brief description of the circumstances surrounding the incident giving rise to the legal action or claim; and
    
    (2) Documentation to verify that the named individual was acting within the scope of his or her official duties at the time of the incident; and
    
    (3) A copy of the summons or petition served on the named individual or any other information concerning the claim.
  2. The President determines that the named individual was acting in good faith and within the scope of his/her employment or authority.
  3. Such defense or protection is legally permissible.
Defense and Protection -- How Provided
While such defense and protection normally will be provided by insurance maintained by the University, this policy applies without regard to the availability of insurance coverage. If the initial determination is made by the President that the named individual is entitled to defense, it shall be provided either by insurance or by the General Counsel or by an outside counsel appointed by the General Counsel on behalf of the individual.
Defense -- Criminal Proceedings -- Defense will be provided to an officer, faculty member, or other employee in a criminal investigation, subject to the conditions and requirements of Paragraph B above, until the occurrence of one of the following:
1. The individual or the University is advised by a U.S. Department of Justice representative or an appropriate official of the prosecuting attorney's office that the person is a target of the criminal investigation; or
2. The individual is named the defendant in an indictment issued by a grand jury, or is named the defendant in an information, or is named the defendant in a complaint filed by a prosecuting attorney which complaint charges the commission of a crime; or
3. The President concludes that the individual was not acting in good faith or within the scope of his/her employment or authority.
Reimbursement -- Attorney Fees -- When
When an officer, faculty member, or other employee is refused defense by the University under the terms of Paragraph D above, and the officer, faculty member or other employee retains an attorney to represent him or her in the criminal proceeding such person shall be entitled to reimbursement for fees paid to the attorney if:
1. The individual is acquitted or the criminal charges are dismissed; and
2. The President determines that the charges for which reimbursement is sought are reasonable.
Financial Protection -- When Provided
The University will protect officers, faculty members or other employees from civil penalties imposed by such outside agencies but will not protect officers, faculty members and employees from fines levied in any criminal proceedings.

85.040 Health Care Compliance Policy

kuscheld — Wed, 26 May 2010 19:59:15 +0000

85.040 Health Care Compliance Policy kuscheld Wed, 05/26/2010 - 19:59

Bd. Min. 10-15-99.

Purpose
1. Increased public and governmental concern about possible fraud, waste and abuse in the health care industry has resulted in the enactment of stringent federal and state laws, statutes, and regulations. Enforcement of these laws, statutes, and regulations has generally been vested in the Health Care Financing Administration, the Office of the Inspector General of the Department of Health and Human Services, and the è��app Department of Health. These organizations can and do impose substantial fines and penalties for violation, intentional or unintentional, of the enacted statutory and regulatory requirements.
2. Each and every employee of the University of è��app System who may be involved in health care has the responsibility and obligation to act in accordance with applicable HCFA, and other health care regulations. These regulations encompass all aspects of health care delivery by operating units of the University of è��app System.
Policy
1. It is the policy of the University of è��app System, as approved by the Board of Curators, to operate in full compliance with all laws and applicable regulations and to ensure the ethical and legal delivery of health care to all patients. Consistent with this policy, the Chancellors are responsible for their respective campuses for compliance with health care laws, statutes and regulations. Consistent with this policy, the following shall apply:
  1. For their respective campuses, the Chancellors are responsible for providing faculty and staff with the relevant rules, the necessary training, and the appropriate resources to comply with standards and regulations, and to maintain appropriate documentation that standards and regulations are being met.
  2. It is the responsibility of individual faculty members, and other University employees involved in health care to be informed of applicable rules and regulations and to comply with these rules and regulations. Failure to comply with these rules and regulations constitutes possible grounds for dismissal of students and termination for cause of faculty and staff.
  3. The University will make every appropriate effort to protect faculty members and other employees from civil penalties imposed by outside agencies as a result of alleged non-compliance with health care laws, statutes, and regulations, provided they have made bona fide efforts to comply with appropriate regulations.
  4. The campuses will be responsible for civil penalties that result from operations on the campuses.

85.050 Health Care Compliance Policy -- Defense and Protection of Employees

kuscheld — Wed, 26 May 2010 20:00:00 +0000

85.050 Health Care Compliance Policy -- Defense and Protection of Employees kuscheld Wed, 05/26/2010 - 20:00

Bd. Min. 2-3-94; Amended 10-15-99; Amended 12-11-14.

Purpose
1. The purpose of this policy is to establish a procedure for defense and protection of employees in matters where the U.S. Health Care Financing Administration (HCFA), the Office of the Inspector General, the Department of Justice, or any federal or state administrative agencies with jurisdiction are alleging violations of federal and state health care laws, statutes, and regulations.
Defense and Protection -- Civil Proceedings -- Defense and protection against loss, damage or expense will be provided to:
1. Employees -- An officer, faculty member, or other employee of (a) the University of è��app or (b) a subsidiary or affiliate of the University that has been designated as eligible for coverage under this Rule by the Assistant Vice President of Management Services in connection with any claim or suit allegedly rising out of the performance of duties for, or employment with, or by The Curators of the University of è��app, a public corporation, or a designated University subsidiary or affiliate; and
2. Such an officer, faculty member or employee who, individually or with others is named a defendant in legal actions or is the subject of a claim submits a request for such defense and protection to the President.
  1. Such a request shall include:
    
    (1) A brief description of the circumstances surrounding the incident giving rise to the legal action or claim; and
    (2) Documentation to verify that the named individual was acting within the scope of his or her official duties at the time of the incident; and
    (3) A copy of the summons or petition served on the named individual or any other information concerning the claim.
  2. The President determines that the named individual was acting in good faith and within the scope of his/her employment or authority.
  3. Such defense or protection is legally permissible.
Defense and Protection -- How Provided
While such defense and protection normally will be provided by insurance maintained by the University, this policy applies without regard to the availability of insurance coverage. If the initial determination is made by the President that the named individual is entitled to defense, it shall be provided either by insurance or by the General Counsel or by an outside counsel appointed by the General Counsel on behalf of the individual.
Defense -- Criminal Proceedings -- Defense will be provided to an officer, faculty member, or other employee in a criminal investigation, subject to the conditions and requirements of Paragraph B above, until the occurrence of one of the following:
1. The individual or the University is advised in writing by a representative of the U.S. Attorney's office or an appropriate official of the prosecuting attorney's office that the person is a target of the criminal investigation; or
2. The individual is named the defendant in an indictment issued by a grand jury, or is named the defendant in an information, or is named the defendant in a complaint filed by a prosecuting attorney which complaint charges the commission of a crime; or
3. The President concludes that the individual was not acting in good faith or within the scope of his/her employment or authority.
Reimbursement -- Attorney Fees -- When
When an officer, faculty member or other employee is refused defense by the University under the terms of Paragraph D1 or D2 above, and the officer, faculty member or other employee retains an attorney to represent him or her in the criminal proceeding such person shall be entitled to reimbursement for fees paid to the attorney if:
1. The individual is acquitted or the criminal charges are dismissed; and
2. The President determines that the charges for which reimbursement is sought are reasonable.
Financial Protection -- When Provided
When an officer, faculty member, or other employee is provided a defense under Paragraph B above, and if legally permissible, the University will protect officers, faculty members or other employees from civil penalties imposed by such outside agencies, but will not protect officers, faculty members and employees from fines levied in any criminal proceedings. No protection will be provided if a court determines that the action arose out of malfeasance in office or willful or wanton action or neglect of duty.