Risk Assessment Business Financial Services UCSB：风险评估企业amp；金融服务 加州大学.ppt

Section 5. Enterprise Risk ManagementEveryone is a Risk Manager MSO’s – Internal Controls, SAS 112 Internal Audit - Annual Risk Assessment General Counsel - Advice for Legal Matters, Manages Litigation Insurance - Workers’ Compensation, General Liability Insurance Compliance and Ethics Committee - Compliance with Laws, Ethics, Policies Student Affairs - Student Behavioral Health Team Athletics - NCAA Compliance Strategic Planning - Funding for Operations EHS - Assess Safety and Hazards Information Security- HIPAA, IS-3 Design and Construction - Earthquake Assessment Research - Compliance with Grant Regulations, Laws Control Self-Assessment Questionnaire The Control Self-Assessment Questionnaire is a tool to be used by departments to assess the adequacy of the internal controls within their area. Departments are encouraged to conduct a self-assessment annually, or as needed with changes in administrative personnel. UCSB Policies and Procedures for Business Officers: /policies/specialty/admin Section 5. Enterprise Risk ManagementTop 5 Risks at UCSB Lab Safety Outdated Information Technology Systems Deferred Maintenance Inadequate Information Technology Funding Loss of Research Productivity as PI’s Teach Classes Risk Management PresentationQuestions? Section 6. Campus Contact InformationContacts Lee Mudrick, Insurance Administrator Tel. 893‐2860; Email: lee.mudrick@ Kathy Speer, Insurance Coordinator Tel. 893‐5837; Email: lee.mudrick@ Kimberly Tapia, Contracts Manager Tel. 893-5836; Email: kimberly.tapia@ Daniel Sweeney, Contracts Analyst Tel. 893-2271; Email: daniel.sweeney@ Ron Betancourt, Contracts Assistant Tel. 893‐4670; Email: contracts@ Carrie Frandsen, Enterprise Risk Management Tel. 893-3154; Email: carrie.frandsen@ Risk Management Takes a Village * Risk Management PresentationMay 12, 2011 Pam Lombardo, Director EHS Risk Management Presentation Meeting Topics Section 1. Risk the Risk Managem