2015 CSUEB Risk Management Annual Report INTRODUCTION Risk Management and Internal Control is charged with assessing and mitigating the risks that threaten California State University, East Bay (CSUEB), its assets, students, employees and guests. This includes preserving the environment, health, safety and financial well-being of the campus community, reducing or eliminating exposure to accidental loss, and creating opportunities which support the goals and mission of the University, including its auxiliaries.

Composition of Department • • •

• •

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Risk Identification and Mitigation Insurance Services Community Welfare and Coverage o Workers’ Compensation; Ergonomics; Student Placement and Internships; International Student Insurance Environmental Health and Safety Investigations o Discrimination, Harassment and Retaliation; Title IX; Whistleblower Complaints Internal Control o Audits; Assistive Technology Initiatives (ATI)

Vision

Risk Management and Internal Control

is committed to a culture of accountability and inclusion in a supportive and proactive environment. The University is exposed to numerous risks related to our business activities. The goal of Risk Management and Internal Control is to identify risks and determine if they can be avoided or minimized. Our approach is to work collaboratively with the campus community to ensure compliance with laws, regulations, policies and procedures through efforts that safeguard the University’s human, physical assets and sensitive data to best ensure the preservation of CSUEB’s academic excellence.

Annual CSUEB Risk Management Report 2015 •••

Organization The current organizational structure is depicted below: Department Organization Chart

Administration and Finance

Vice President

Risk Management and Internal Control Office Manager Associate Vice President

Environmental Health & Safety

Compliance and

Title IX

Internal Control

Coordinator

Community Investigations

Welfare and Insurances

Campus Events: Opening of New Building The new Student and Faculty Support Center opened in November 2015 as the second of two buildings replacing CSUEB’s iconic Warren Hall. It is located next to the Student Services and Administration 1

Annual CSUEB Risk Management Report 2015 ••• building and is home to faculty offices, student programs and the Welcome Center. Risk Management

was able to work with staff and faculty to ensure that ergonomic and other concerns were addressed timely and effectively.

Risk Management Activities: Settlements: CSUEB settled two employment claims for a total of $190,000. As we look into contingent liability for 2016 and beyond, the University faces several pending employment claims. However, due to initiatives in professional development for MPP employees, which were sponsored by the President as well as supervisory trainings, and increased awareness of issues; we are confident we have measures in place to reduce the risk of additional claims.

Insurance Services: International Student Insurance: Our goal was to lower the cost of insurance to international students under F1 or J1 Visas. However, a low number of students purchased the University sponsored and recommended insurance, and we were unable to secure low cost insurance for 2015. This was due to two factors: too few students purchased the insurance and the students who did, used the coverage to such an extent that it created a large expense to the carrier, with resulting high premiums for the campus. Most international students purchased low cost insurance from other sources that met requirements but whose policies’ conditions were so riddled with exclusions that they left students with inadequate coverage. We have begun discussions with insurance brokers to strategize a phased in approach to a single coverage provider that will ensure that our students are adequately covered. This will lead to lower premiums and appropriate coverage for this important population of students.

CSURMA Risk Pool: The total program cost for East Bay for Fiscal Year 15/16 was $3,437,418.00. This is a 16% increase from Fiscal Year 14/15.

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Annual CSUEB Risk Management Report 2015 •••

Coverage Program Workers’ Compensation

2015-16 Cost $1,830,035.00

General Errors & Omission

$664,359.00

IDL, NDL, UI

$602,343.00

Property, Boiler & Machinery

$254,131.00

Auto Liability (VESLIP)

$20,707.00

Athletic Injury Medical Expense (AIME)

$65,843.00

TOTAL

$3,437,418.00

AORMA Risk Pool:

Coverage Program Foundation

2015-16 Cost

Self-Insured Retention Liability and Excess Liability

$35,810.00

AORMA Property

$15,810.00

Cyber Liability

$64.00

Crime Prevention

$3,021.00

TOTAL

$54,686.00

Coverage Program Ed Foundation AORMA Property

2015-16 Cost $2,000.00

Cyber Liability

$6.00

Crime Prevention

$521.00

TOTAL

$2,527.00

Other Insurance Costs: Coverage Program

2015-16 Cost

Swimming Pool

$ 5,141.67

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Annual CSUEB Risk Management Report 2015 ••• $1.00

Inland Marine

$8,325.00

Club Sports Foreign Travel

$19,975

Special Events

$ 2,780

TOTAL

$35,907.67

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Annual CSUEB Risk Management Report 2015 •••

Workers’ Compensation: In 2015 there were 48 incidents, which reflects a 7% decrease from 2014. Of the 48 reported incidents, 37 were accepted as work injuries: 10 first aid claims (2 from Associated Students, Inc.); 13 medical claims; and 14 indemnity claims. Total medical costs incurred for the 2015 new workers’ compensation claims was $54,180.00. Of these new claims, 9 injured workers received IDL/TD benefits, 50% of which were Facilities employees. Total days away from work on the new claims was 473 days, 448 days of modified duty. Of the 37 new claims in 2015, 29 have been closed. Of the remaining 8 open claims, 2 have been litigated, 1 was settled by C&R for $7,500.00 and will be closed in 2016; 1 was settled by STIPS for $5,220.00 (keeps future medical open) and 4 continue to receive medical treatment. There was an average of 73 open claims per month, resulting in total medical costs paid on all open claims in 2015 of approximately $324,000.00

ACTIVITIES

Total for 2015

Open Claims

73

Workers’ Comp New Injuries

48

Days Lost from Work

808

Ergonomics Evaluations

352

ADA New Requests

50

TOTAL

1,331

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Our new ergonomist worked with Facilities in getting the new SF building LEED certified.

•

We continued to participate on the CSU IIPP committee, and our sub-committee helped to develop ergonomic training courses for all campuses, which are available through Skillport. We also

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Annual CSUEB Risk Management Report 2015 ••• developed a movement (ergonomic) white paper which will be shared with all campuses to help with the development of their programs. •

We continued to work on the campus’ accommodation needs. In 2015, CSUEB hired a faculty member who is hearing impaired but who teaches a regular class. Working with various departments, including Accessibility Services and Telephone Services, we were able to provide a successful working/learning environment for faculty and students. Other campuses have expressed interest in our solutions.

Environmental Health and Safety (EH&S): EH&S continued to improve and expand its programs. Highlights for the year are: •

Provided weekly support to the construction team of the new Student and Faculty Building.

•

Obtained approval of a DEA license for controlled substances in animal research; and the program was developed.

•

Made significant progress in implementing the MS4 Storm Water requirements for year three, which included completing the Storm Water Protection Plan; updating the Spill Prevention, Control, and Countermeasure Plan (SPCC); completing the Program Effectiveness and Improvement Plan; and met the reporting deadline.

•

Conducted 57 medical monitoring and surveillance actions with Facilities, Information Technology Service and Psychology.

•

Conducted 85 respirator fit tests—an increase from the previous year.

•

Established a bimonthly inspection schedule of the mechanical rooms with the Building Systems Engineers.

•

Conducted 87 classroom training sessions with 870 attendees.

•

Working closely with campus partners, EH&S implemented the remediation audit findings from the Theater Audit. In addition, we procured a Bay Area Air Quality Management District (BAAQMD) enforcement agreement to run the emergency generator. This generator supported the campus’ main data center during the 12kV project and protected the university from significant data loss during the project. EH&S supported the Facilities Service, Maintenance, and Response Team (SMART)—a multifunctional work team that included carpentry, plumbing, HVAC, etc. to complete small projects and tasks quickly throughout the campus. EH&S worked closely with this staff to ensure they have the training, equipment, and PPE needed to get the jobs done safely.

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Annual CSUEB Risk Management Report 2015 ••• Incident Investigations (40 activities to investigate and follow-up injuries and illness): •

Facilities, EH&S and the Safety Committee partnered to eliminate slip, trip and fall hazards throughout the campus. The heightened awareness led to a significant decrease in these types of injuries for 2015. Slip/Trips/Falls on walking surfaces

2014

2015

OSHA Recordable Injuries

9 cases

2 cases

Number of lost workdays

89 days

68 days

Number of modified workdays

545 days

51 days

CSUEB had its lowest OSHA Injury and Illness Rate (1.27 Injuries per 100 employees) in at least ten years and is well below the CSU average. Proactive safety measures and training by Environmental Health and Safety and the ergonomist may have contributed to this reduction.

*Comparison graph provided by CSULA-EHS

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Annual CSUEB Risk Management Report 2015 •••

Current CSUEB OSHA Injury and Illness Data

Discrimination, Harassment, Retaliation, Title IX and Whistleblower: With the hiring of a new DHR/Title IX investigator and Title IX coordinator, we made progress in improving the implementation of a more robust Title IX program at CSUEB. Because the campus community was made more aware of the requirements and process for reporting incidents, the number of claims increased. However, the goal is to reduce the number of claims in the future through more education and training programs. Revised versions of Executive Orders 1095, 1096, and 1097 were released and provided direction for our investigations as we worked to incorporate them into investigation and sanctioning processes. We trained over 11,000 students using the on-line sexual misconduct training by Haven . However, for the new 2015-2016 academic year, we selected a different Learning Management System called Not Anymore. We continued to train our MPP and Confidential employees for the second year and also rolled out the training to bargaining unit employees in December 2015; with an expected completion date of March 31, 2016. Completion of training by faculty members remains a challenge.

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Annual CSUEB Risk Management Report 2015 ••• The chart below represents the number of closed claims for 2015: Harassment Claims

Not substantiated

2

Substantiated

2

Withdrawn Total

Discrimination Claims

4

Accommodation Claims

1

Title IX

2

9

10

12

1 4

Total Claims

1

5

1

12

22

See below for Claims related to Whistle Blower Violations.

Total Claims Withdrawal

Not Substantiated

Stubstantiated

Grand Total 0 Harassments

5 Discrimination

10 15 20 Retaliation Accomodation

9

25 30 Whistle Blower Title IX

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Annual CSUEB Risk Management Report 2015 •••

Compliance and Internal Control: The director of Compliance and Internal Control is the campus liaison for all Chancellor’s Office audits and Advisory Services engagements. This position ensures that the campus responds promptly to audit requests for information and documents, prior to and during the audits. She coordinates campus responses to all audit recommendations and works with campus staff to provide documentation to resolve findings. She played a major role in the preparation and review of crime statistics for the (Annual Security Report (ASR) for the Jeanne Clery Act, as well as training for the Campus Security Authorities as defined under the Act. At the request of the Vice President, Administration and Finance/CFO, the director conducts internal audits, as well as provides ongoing consulting and coordination for the Information Security Office (ISO) Steering Committee and serves as chair of the campus Assistive Technology Initiative (ATI) Steering Committee. Annual ATI reports for Web, Procurement and Instructional Materials were filed by the Chancellor’s Office deadline in November, 2015. Planned quarterly internal audits of travel expenses were deferred due to travel policy changes and training campus staff on the new policy as well as implementation of new travel claim forms. In addition, the Internal Auditor’s role has proven beneficial in the timely resolution of audit findings, determining whether campus and auxiliary processes are in compliance with policy and procedures, and in providing consulting services with department managers on areas of concern. Whistleblower complaints were delegated by the President to the newly-hired Senior Investigator in July, 2015. Chancellor’s Office Audits:

Number Jan Feb Mar Apr May Jun Jul Aug Sep Oct Nov Dec of 2015 2015 2015 2015 2015 2015 2015 2015 2015 2015 2015 2015 findings

Auxiliaries (wrap-up)

31

X

Continuing Education

3

X

Clery Act

12

IT Procurement

3

X X

X

X

X

X

X

X

X

X

X

X

X

X

X

CO Advisory Services: Follett Commissions Internal Audits & Special Projects

N/A 1

X

X

X

X

X

X

10

X

X

X

X

X

Annual CSUEB Risk Management Report 2015 ••• ATI Steering Committee

Ongoing

X

X

X

X

X

X

X

X

X

X

X

ISO Steering Committee

Ongoing

X

X

X

X

X

X

X

X

X

X

X

X

X

X

Whistleblower complaints

2

Looking Forward: Risk Management and Internal Control’s focus will continue to be proactive. It is our goal to work with our customers to prevent high risk and liability exposures. Risk Management and Internal Control is committed to providing the campus community with services to assist in managing risks in programs and individual activities. Our program goals for 2016 include: • • • • •

• • • • • •

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Develop a strategic plan for Risk Management to address goals/objectives in the areas of DHR, Title IX, internal controls, environmental, health and safety, and employee well-being. Monitor and track campus progress in complying with Title IX sexual misconduct regulations, including the completion of appropriate trainings. Collaborate with Title IX team, Registrar’s Office and IT to implement a student registration hold system (for students who do not take the required training) that does not burden the departments involved. Implement Advocate Title IX tracking and conduct a process flow system over the year. Perform quarterly internal audits of international and domestic business travel using new AppZen software. Provide ongoing assistance with Chancellor’s Office audits and advisory services engagements. Expand the technical support provided to the Science Department and new faculty in Biology and Chemistry. Continue to provide EH&S support by participating on the Institutional Animal Care and Use Committee. Continue to provide design and construction expertise for the vivarium and insectarium. Provide medical surveillance and training to research staff and students. Support a new Chemistry Faculty member by submitting a new specific radiation use license and supporting documents to the California Department of Public Health Radiologic Health Branch to allow faculty to establish a radiation lab. A Biology Safety Advisory Group of Science Faculty is being established to approve and monitor the use of microorganism and genetic material in both research and classrooms in Biology and Biochemistry.

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