Compliance, Audit, Risk & Ethics (CARE) Committee
Doing the Right Thing
Risk events are interconnected across the University and execution of UW-Eau Claire’s Strategic Plan is impacted daily by a variety of risk and compliance issues and challenges. The Compliance, Audit, Risk and Ethics (CARE) Committee was established to systematically share risk and internal control data, information, knowledge and solutions across all UW-Eau Claire colleges and departments, and achieve optimal and best practice driven results in support of the University’s mission.
Our Mission
The CARE Committee will collaborate to identify and manage the full range of risks that UW-Eau Claire faces. The CARE Committee will champion the resultant successful strategies and will be charged with communicating them to the campus for broader application. A common language for managing risk and identifying appropriate controls will be established with a balanced view; one that attempts to minimize hazards, recognize and influence uncertainties, and achieve collaborative success.
Committee Charter & Meetings
Charter
The CARE Committee Charter elaborates on our purpose, mission, responsibilities and structure.
Note: This document will remain in draft format for approximately one year, to accommodate any adjustments as needed.
Meetings
Information coming soon...
CARE Program Seven Elements
The Seven Elements of an Effective Governance/Compliance Program guides the CARE Committee and its work.
- Compliance Officer reporting to highest level of leadership
- Involvement & oversight of the Board, leadership and management
- Clear standards of Conduct and Compliance
- Appropriate education & training, communication
- Monitoring, auditing and reporting of non-compliance
- Corrective/remedial action for non-compliant behavior
- Appropriately responding and preventing further non-compliance
Resources & Tools
Compliance
UW-Eau Claire's Office of Affirmative Action is charged with ensuring that university policies and programs comply with applicable Equal Opportunity and Affirmative Action laws.
Audit
UW-Eau Claire's Office of the Vice Chancellor for Finance & Administration is responsible for all audit requests on campus, and coordinates with campus stakeholders to facilitate and respond to audits.
Audit Entities
The State of Wisconsin Legislative Audit Bureau supports the Legislature in its oversight of Wisconsin government and its promotion of efficient and effective state operations by providing nonpartisan, independent, accurate, and timely audits and evaluations of public finances and the management of public programs.
The Board of Regents' Audit Committee has oversight of: all audit-related matters, internal and external; compliance with laws and regulations; internal controls; enterprise risk management; and ethics.
UW System's Office of Internal Audit provides independent, objective assurance and consulting services designed to add value and improve the University of Wisconsin System’s operations.
Audit Statues
Click here to view the status of past and current audits, as well as Comments and Management Responses.
Control Self-Assessment
Control Self-Assessment (CSA) is a process through which internal control is tested and assessed with the goal of providing a reasonable guarantee that all operational objectives will be attained.
Questions or Feedback?
Risk
UW-Eau Claire's Department of Risk Management, Safety & Sustainability works to identify areas of risk and potential liability, develop risk response strategies to mitigate loss and maximize opportunities, and provide resources to preserve the campus environment and reduce our overall harmful impact on the environment.
Enterprise Risk Management (ERM) Assessment Training
View UWEC's ERM Assessment training
Questions or Feedback?
Ethics
Resources
Learn more about ethics from the UW System Office of Compliance & Integrity.
Institutional Ethics Committee
Wis. Admin. Code § UWS 8.035 requires that each institution shall have an institutional ethics committee, “whose function shall be to provide to any member of the unclassified staff consultation and advice on the application” of Chapter UWS 8 Unclassified Staff Code of Ethics. At this time for the purposes of this statute, UW-Eau Claire's institutional ethics committee is the University Senate Executive Committee.
Reporting Misconduct, Illegal Activity, Fraud & Abuse
If you have a concern about misconduct, abuse, fraud, illegal activity, violations of university policy, or if you fear retaliation for speaking out, the University of Wisconsin System provides a simple and anonymous way to file a report. Simply go online or dial 855-827-4950.
Additional Resources
Links
UW System Office of Compliance & Integrity
System-wide Compliance Officer's Annual Meeting (December 9, 2022)
Summary: System-wide Compliance Officer's Annual Meeting
Article: How to Manage When You Are The Only Compliance Officer
UW System Operational Policy: Workplace Conduct Expectations
Wis. Statute UWS 8: Unclassified Staff Code of Ethics
Handout: Calculating the Cost of Compliance and Risk
How to Conduct a Self-Evaluation of Your Compliance & Ethics Program
This resource offers guidelines for evaluating general compliance and ethics standards and best practices.
Reporting Misconduct, Illegal Activity, Fraud & Abuse
If you have a concern about misconduct, abuse, fraud, illegal activity, violations of university policy, or if you fear retaliation for speaking out, the UW System provides a simple and anonymous way to file a report. Click below or dial 855-827-4950.
EthicsPoint Online