Office of Compliance and Risk Management

About the Office

 

What is the Office of Compliance and Risk Management?:
An Office of Compliance and Risk Management is an enterprise-wide program designed to coordinate, manage and monitor internal and external risks associated with regulatory compliance.

Seton Hall University Office of Compliance and Risk Management Mission:
The Office of Compliance and Risk Management is dedicated to furthering the mission of Seton Hall University while ensuring compliance with all applicable federal and state laws, regulations, and university policies.  Consistent with this mission is to maintain integrity and to adhere to the highest standards of ethical conduct.

The Office of Compliance and Risk Management at Seton Hall University was developed to safeguard the university’s interests and to identify areas of risk and potential liability on a university-wide level.  The program is intended to minimize or eliminate risks by:

  • Ensuring the institutional perspective and mission is always present;
  • Complying with both the letter and spirit of the law, statutes, regulations and university policies in achieving institutional compliance; 
  • Providing education, training and guidance to all employees and faculty to meet increasingly complex statutory and regulatory requirements under the law; 
  • Conducting Risk Management Assessment and Insurance Management; 
  • Addressing and Investigating Workplace Justice Issues and Complaints; 
  • Enforcing the University Policy Against Sexual Harassment; 
  • Enforcing the University Policy Against Racial/or Ethnic Discrimination; 
  • Working collectively with other departments on the Risk Management Committee to identify, address and to eliminate/minimize risks; 
  • Assisting in the development of the University’s Critical Incident Management Plan
  • Developing institutional policies the are in line with best practices; 
  • Reviewing Contract Policies and Procedures; 
  • Assisting in oversight with Environmental/Health and Safety and Laboratory Safety; 
  • Oversight of University Vehicle/Fleet Program; 
  • Providing an additional mechanism for reporting allegations of misconduct through our partnership with Ethics.

From an organizational standpoint, the Office of Compliance and Risk Management reports directly to the Office of the Executive Vice-President for Administration.  The Compliance Officer assists the Executive Cabinet in supporting and enhancing several university programs and activities. 

In today’s world of increasing governmental legislation involving research, tax, information technology, human resources, emergency preparedness, safety, privacy rights and environmental issues an institutional compliance program is widely recognized within higher education as industry best practice.  Our compliance program also provides governance as to how ethical conduct and integrity should be promoted within the university community.

Colleges and Universities have a diverse and complex array of exposures for which risk management, risk control and risk financing impose additional challenges.  Given the rising standard for public accountability, the compliance program enables the University, its faculty, administrators, staff and students to better manage the University’s Operations and risks for which we are individually and collectively responsible for.

Seton Hall is a diverse community guided by the values which proclaim the dignity and rights of all people.  In keeping with this principle, the Office of Compliance and Risk Management operates within the parameters of the law and has identified the following components as essential elements of the University Office of Compliance and Risk Management program:   

1.   Compliance with Federal, State, and local laws as well as university policies:
In keeping with the principle that Seton Hall University is guided by values which proclaim the dignity and rights of all people, the Office of Compliance and Risk Management operates within the parameters of the law at all times and is mandated to enforce the law and university policy.  Please see the reference chart below for your review of federal regulatory compliance. See More >>

2.   Education and Training:
In an effort to educate and train all employees and faculty members pertaining to areas with increased legal regulation, Seton Hall University has contracted with New Media Learning to provide online tutorials for employees and faculty members of the university.  The training is required compliance training for all employees.  See More >>

3.   Policy Development:
Due to the regulatory nature of compliance programs it may be necessary to evaluate current university policy in light of new legal developments or new regulations and develop new policies.  Furthermore, the development of new policy may evolve to minimize present and/or future risk or liability for the University.  The Office of Compliance and Risk Management is involved in drafting policies that will better safeguard the University and the community at large.

4.   Workplace Justice Policies and Investigation of Complaints:

The University supports and implements all state and federal anti-discrimination laws, including Executive Order 11246 as amended, which prohibits discrimination in employment by institutions with federal contracts; Titles VI and VII of the 1964 Civil Rights Act, which prohibits discrimination against students and all employees on the basis of race, color, religion, national origin or sex; Title IX of the Education Amendments of 1972, which prohibits discrimination against students and all employees on the basis of sex; the Vietnam Era Veterans’ Rehabilitation Assistance Act of 1974, which requires affirmative action to employ and advance in employment qualified disabled veterans of the Vietnam Era; the Equal Pay Act of 1963, which prohibits discrimination in salaries; the Age Discrimination in Employment Acts of 1967 and 1975, which prohibit discrimination on the basis of age; as well as Sections 503 and 504 of the Rehabilitation Act of 1973 and the Americans with Disabilities Act of 1990, which prohibit discrimination on the basis of disability; and the New Jersey Law Against Discrimination, N.J.S.A. 10:5-1, et.seq.

No person may be denied employment or related benefits or admission to the University of to any of its programs or activities, either academic or nonacademic, curricular or extracurricular, because of race, color, religion, age, national origin, ancestry, gender, pregnancy, marital status, sexual orientation, handicap and disability, atypical hereditary cellular or blood trait, service in the Armed Forces of the United States, or status as a veteran of the Vietnam Era.  All executives, administrators, faculty and staff are responsible for individual and unit support of Seton Hall University’s Equal Employment Opportunity/Affirmative Action [EEO/AA] programs.    EEO/AA policies are to be applied in all decisions regarding hiring, promotion, retention, tenure, compensation, benefits, layoffs, academic programs, and social and recreational programs.  The University reserves its right to administer all policies and programs in accordance with our Catholic mission and the teachings of the Catholic Church. 

The Director of Compliance and Risk Management is responsible for investigating complaints involving workplace justice issues.  These complaints include sexual harassment and discrimination that may arise under anti-discrimination laws such as Title VII of the 1964 Civil Rights Act, the New Jersey Law Against Discrimination as well as violation of university policies.  The University Policy Against Sexual Harassment and the University Policy Against Racial and Ethnic Discrimination apply to all University students, faculty, administrators, staff members and employees, as well as vendors and guests on or off campus.

The Office of Compliance and Risk Management promulgates Investigation Guidelines for procedures in conducting investigations of workplace justice issues.  The investigation guidelines operate to protect the integrity of the process and the rights of the person filing the complaint and the charged party.

Comparable to both federal and state law, the University enforces and adheres to a non-retaliation policy which protects all individuals who file complaints and all individuals who participate in the investigator process as witnesses.  Retaliation against an individual who has made a claim of discrimination or an individual who participates as a witness is prohibited.  Retaliation will subject an individual to disciplinary action.

5.   Risk Management and Insurance Management:

The University maintains a comprehensive program of insurance for property and casualty to address a variety of exposures.  The Office of Compliance and Risk Management serves as the University’s primary liaison with our insurance broker AON Risk Services and underwriters to ensure that adequate and appropriate insurance coverages are obtained and renewed on an annual basis.  The University has over twenty (20) different lines of insurance for all of the various  programs and departments within the University.  The Office of Compliance and Risk Management is also responsible for requesting and maintaining certificates of insurance from the university insurance broker for events, academic programs, construction projects, clinical affiliation agreements/internships and contractual responsibilities both on and off campus.   See Committee list »

6.   Enforcement of Environmental Health and Safety Regulations:
The Office of Compliance and Risk Management has oversight of the enforcement of Environmental Health and Safety Regulations which involves the investigation and prompt remediation of complaints involving safety or health hazards in the work place pursuant to OSHA (Occupational Safety and Health Administration).  The Department of Facilities Engineering is responsible for providing safety training to employees in the Facilities and Physical Plant Departments to ensure that employees are working in a safe manner and in accordance with best practices.  From an academic perspective the Compliance Officer works with the Laboratory Services Administrator in McNulty Hall to ensure compliance with safety in the laboratory setting as well as appropriate disposal of chemical waste. 

7.   Oversight of the Risk Management Committee:

This Committee is comprised of fifteen (15) members of the university community from a variety of departments.  The Compliance Officer is the Chair of the Risk Management Committee.  One of the charges of the Risk Management Committee is to develop, coordinate, direct and assess programs and activities to minimize known risks and to enhance safety relative to all campus functions. The Committee is to be a resource for the university community regarding new or revised programs, policies, procedures and regulations within the committee’s areas of concern.  The Risk Management Committee meets four (4) times a year.  If there is an issue of special concern which requires immediate attention by the committee, the committee will convene to address the matter.

8.   Communication with the University Community:
The Director of Compliance and Risk Management communicates with the University community concerning the Office of Compliance and Risk Management via new employee orientations, new faculty orientations, departmental training, and maintenance of the compliance website.

9.   Compliance with Federal and State Whistleblower Act:  Ethics Point Initiative 
EthicsPoint is a confidential web-based tool to assist employees in reporting misconduct in the workplace.  See More >>

10.    Critical Incident Management Plan:
The Office of Compliance and Risk Management assists in the development and updating of the University Critical Incident Management Plan with the Division of Student Affairs.  The Critical Incident Management Plan incorporates procedures to coordinate an effective institutional response in an emergency situation and to protect the community.  The Director of Compliance and Risk Management is a member of the University Emergency Preparedness Committee.

11.   University Vehicle Program:
The University provides commercial automobile coverage to employees and university sponsored drivers when conducting business on behalf of the University.  The Office of Compliance and Risk Management maintains a list of all university owned and leased vehicles and well as a list of all current employees who drive pursuant to their job responsibilities and for other business related/travel functions.  Employees must request and complete an application for driving privileges on behalf of the University and consent to a motor vehicle records check to ensure they are in good standing to drive an automobile.

Should you have any questions pertaining to the Office of Compliance and Risk Management please contact me at (973) 313-6132.  Welcome to Seton Hall University !

Contact Us

Office of Compliance and Risk Management
(973) 313-6132
lori.brown@shu.edu
Presidents Hall

 
 

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