Compliance and Audit Oversight Committee Charter

I. Mission:

In keeping with Downstate Health Sciences University's ("DHSU") commitment to conduct its business in an ethical and sound manner, in compliance with applicable regulations, policies and procedures, the Compliance and Audit Oversight Committee ("CAOC") has been established. The CAOC is a matrix executive committee with a mission to guide the compliance and audit activities of the Campus and to proactively strengthen the internal control environment.

II. Committee Composition:

  1. The Vice President for Compliance and Audit Services shall be the Committee Chairperson.
  2. Executive membership.

III. Committee Members Attributes:

  1. Committee members should collectively possess the following:
    1. Knowledge of Downstate's mission
    2. Independence and objectivity
    3. Sufficient time to serve
    4. Operational expertise
    5. Financial and health care reimbursement expertise
    6. Clinical expertise
    7. Regulatory expertise
    8. Internal control expertise
    9. Legal expertise
    10. Working knowledge of Federal Sentencing Guidelines (i.e., education, training, auditing, monitoring and corrective action)

IV. Meeting Requirements:

  1. The Committee will generally meet four times per year
  2. Where possible, the Agenda will be distributed in advance
  3. Minutes will be documented and distributed prior to the following meeting

V. Committee's Primary Responsibilities:

The Committee will review the overall regulatory, risk, and internal control environment in order to provide reasonable assurance of compliance with Federal and State laws, policies and procedures. To that end, the Office of Compliance and Audit Services ("OCAS") will develop a Compliance and Audit Annual Work Plan, (hereafter "Annual Work Plan") which will be submitted to the CAOC at the beginning of each fiscal year. The CAOC will review, if necessary revise, and approve the Annual Work Plan. Throughout the fiscal year updates and status of the Annual Work Plan will be provided to the CAOC by the Chair, members of the Committee and relevant senior staff of the Campus. The Committee will assess the effectiveness of the Compliance and Audit Programs that support the Campus activities including, but not limited to; education/training, assessments/auditing, corrective action, and monitoring. Under the general direction of the President and the OCAS Vice President, the Committee will take action as appropriate to strengthen the Compliance and Audit programs.

Compliance and Audit Oversight Committee Membership

Pursuant to DHSU's Compliance Program,The Compliance and Audit Oversight Committee (CAOC) will provide oversight of the Compliance Program.  Members of the Committee include SUNY DHSU’s President and Senior Administration appointed from DHSU's multiple entities.

CAOC Meeting Schedule

The Compliance & Audit Oversight Committee meets quarterly.

For questions or for the Committee's next scheduled meeting date please call OCAS at x4033.