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Audit, Compliance & Ethics Agenda – September 24, 2009 10 ...

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TRUSTEES/DIRECTORSPRESENT: F. Archambault, S. Cantor, T. Holt, T. Kruger and D.NaydenSTAFF PRESENT: N. Adams,K.Bailot, D.Barberi, M. Bedard, J. Biancamano, C. Bianchi, J.Blumenthal,J. Carroll, C.Chiaputti,A. Cretors, L. Cruickshank, J. Curreri, P.DeMeo, C. Eaton,K.Fearney, K.Gafford, J. Geoghegan, M. Gilbert, J. Glascock, M. Glasgow, C.Gray,E.Hanyckyj,H. Hildebrandt, M. Jednak,K. Johnson, R. Krinsky, M.Larson,A. Marsh,I. Mauriello, P. McCarthy, M.Mundrane,B. Murray, R. Orr,J.Pufahl,R. Rubin,J. Seemann, L. Silbart, J.Small,J. Sullivan,K.Violette,E. Vitullo, N. Wallach, S. Wawzyniecki, S.Wetstone, andE.ZincavageSTATE AUDITORS: J. Carroll and J.RasimasThe meeting of the Joint Audit and Compliance Committee (JACC) was called to order at 10:10 a.m. by Trustee Nayden.ONA MOTIONmade by Trustee Nayden and seconded byDirector Holt,THE JACC VOTED to go into executive session to discuss:C.G.S. 1-200(6)(E) – A discussion of any matter which would result in the disclosure of public records or the information contained therein pertaining to preliminary drafts or notes that the public agency has determined the public’s interest in withholding outweighs the public’s interest in disclosure. [1-210(b)(1)]C.G.S. 1-200(6)(E) - A discussion of any matter which would result in the disclosure of public records or the information contained therein pertaining to strategy and negotiations with respect to pending claims regarding Recovery Audit Contractor (RAC) Audits. [1-210(b)(4)]C.G.S. 1-200(6)(E) - A discussion of any matter which would result in the disclosure of public records or the information contained therein pertaining toor communications privileged by the attorney-client relationship. [1-210(b)(10)]C.G.S. 1-200(6)(c) – Matters concerning standards, processes and codes not available to the public the disclosure of which would compromise the security of integrity of information technology systems.Executive Session was attended by Joint Audit & Compliance CommitteeMembers – F. Archambault, S. Cantor, T. Holt, T. Kruger and D.Nayden; OACEStaff members– N. Adams, K.Bailot, D.Barberi, C. Chiaputti,P.DeMeo, K. Fearney, C. Gray, H. Hildebrant, K. Johnson, R. Krinsky, A. Marsh, I. Mauriello,K. Violette, andE. Zincavage;SeniorStaff– J. Biancamano, K. Gafford,R.Rubin, J. Seemann and L. Silbart;General Counsel: R. Orr, J. Blumenthal; Portions ofExecutive Sessionwere also attended by– C. Bianchi, J. Carroll, J. Curreri, A. Diamond, J. Geoghegan,M. Mundrane and J. Pufahl,The Executive Session ended at11:17 a.m. and the JACC returned to open session at11:19 a.m.Therewere no public comments.Tab 1 – Minutes of the MeetingON A MOTIONmade by TrusteeNaydenand seconded by DirectorArchambault, the minutes of the May 20, 2014 meeting were approved.
Individual Responsibility, Institutional Success
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Joint Audit & Compliance CommitteeMinutes of September 12, 2014
TAB 2-Storrs & UConn Health Significant Compliance ActivitiesK. Fearney and I. Mauriello updated the committee on significant compliance activities.A. Cretors and P. McCarthy presented the committee with an update on NCAA Compliance activities as well as various topics impacting the NCAA.TAB 3 – Significant Audit ActivitiesC. Chiaputti provided the JACC with an update on the status of audit assignments (Storrs and UConn Health). OACE completedthirteen auditsand hadtwenty auditsongoing during this reporting period.The JACC acceptedtwelveaudits this period as follows:Library Business ProcessTuition Fees/Student Accounts Receivable/Financial AidFaculty Consulting – FY13Federal Grants – Cost SharingOvertime Payments – Public SafetyKronos SystemAmerican Disability Act (ADA) Program ReviewCleryAct ComplianceReal Estate Center, School of BusinessMeaningful Use – HospitalMedicare Enrollment – Provider DataMcMahon Dining Hall RenovationThe committee was provided with the status of OACE’s follow-up Activities.TAB4 – Audit Plans – Storrs &UConnHealth for FY15ON A MOTIONmade by TrusteeCantor andseconded byTrustee Kruger,theFY 14 Audit Plans were approved.TAB5–Compliance Plans –Storrs &UConnHealth for FY15ON A MOTIONmade by Trustee Cantor and seconded by Trustee Kruger, the FY 14Compliance Planswere approved
Individual Responsibility, Institutional Success
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Joint Audit & Compliance CommitteeMinutes of September 12, 2014
Tab6- Auditorsof Public AccountsAuditors of Public Accounts, J.Carroll and J.Rasimas, presented the Auditors’ Report for the University of Connecticut for the Fiscal YearsEnded June 30,2010 and 2011.TAB 7- External EngagementsC. Chiaputti provided the JACC with a brief update on the status of external audit projects.On A MOTIONmade by TrusteeNaydenand seconded by Trustee Borges, the JACC approved the hiring of McGladrey for audit services of UConn 2000Construction Projects and Expenditures.On A MOTIONmade by TrusteeNaydenand seconded by TrusteeHolt,the JACC approved the hiring of BKD forthe Statementof Revenues and Expenses of the University of Connecticut’s AthleticProgram.TAB8– Informational / Educational ItemsThe committee was provided with:Article– “Internal Control – Integrated Framework” published by the Committee of Sponsoring Organizations of the Treadway Commission, May 2013ComplianceNewsletter – UConn Health and StorrsJACCAgenda ForecastTherewas no further business.ON A MOTIONmade by Trustee Nayden and seconded byDirectorArchambault,the meeting was adjourned at12:05 p.m.Respectfullysubmitted,AngelaMarshAngela Marsh
Individual Responsibility, Institutional Success
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Joint Audit & Compliance CommitteeMinutes of September 12, 2014

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Audit, Compliance & Ethics Agenda – September 24, 2009 10 ...