Risk Management

Recommended By
Administration and Finance
Ruben Armiñana, President
Issue Date
Tuesday, June 1, 1999
Current Issue Date
Thursday, April 4, 2002
Effective Date
Thursday, April 4, 2002
Contact Office
Vice President for Administration and Finance
Policy number
  1. Purpose 
    To publish a Sonoma State University risk management policy as required by CSU Executive Order (E.O.) No. 715, California State University Risk Management Policy, dated October 27, 1999 and effective October 27, 1999.
  2. Risk Management Defined 
    Risk management is an ongoing practice of assessments and evaluations of conditions with the principal goal of eliminating unsafe conditions to students, employees, volunteers and visitors, minimizing damages to physical property and structures, and mitigating administrative and judicial litigation to the maximum extent possible. 
    Objectives of risk management are:
    • maximizing safe and sound working conditions,
    • evaluating physical conditions around the campus,
    • evaluating on- and off-campus events to ensure appropriate safeguards are taken,
    • evaluating contracts for insurance coverage, and
    • evaluating various campus activities for potential risks to both individuals and Sonoma State University (SSU).
  3. SSU Risk Management Responsibilities
    1. General. It is incumbent upon all members of the SSU community to be observant and to report unsafe or inappropriate conditions to the SSU Risk Manager. Effective risk management practices will contribute to the overall productivity and safety of the entire community (students, faculty, staff, administrators, and visitors) and significantly reduce personal injuries, monetary losses, and insurance premiums to SSU.
    2. Risk Manager. The Senior Director for Risk Management is designated as Sonoma State University’s Risk Manager. The Risk Manager will be guided in the conduct of his/her duties by:
      1. This policy and all other relevant campus policies;
      2. EO 715 – CSU Risk Management Policy;
      3. EO 638 – CSU Risk Pooling Policy; and,
      4. The policies and practices of the CSU Risk Management Authority (CSURMA).
    3. The Risk Manager, with the assistance of the Director for Conferences, Events and Catering and the Director for Contracts and Procurement, is responsible for the administration and management of:
      1. The CSURMA General Liability Program;
      2. The State of California’s Self-Insured Auto Liability Program;
      3. Acquisition of additional insurance coverage for exhibits, equipment loans, and other special and/or unique circumstances;
      4. Assessment and review of all contractual agreements;
      5. Coordination of litigation with the Office of General Counsel; and
      6. Premium and deductible payments to the CSU Risk Management Authority (CSURMA).
    4. The Senior Director for Human Services is responsible for the administration and management of the workers compensation program. This program provides coverage for all SSU employees, student assistants, and volunteers in the event they are injured during the course of their official duties or activities.
    5. The Director for Conferences, Events and Catering and the Director for Contracts and Procurement are responsible for reviewing contractual documents to ensure that:
      1. Insurance coverage is provided by insurers who are rated at least A:VII by the A.M. Best Rating Guide;
      2. The policy includes the appropriate additional insured;
      3. The policy has the appropriate endorsements; and,
      4. The proper indemnification clause is present.
    6. Training. Training will be conducted periodically for risk management activities and processes as well as providing opportunities to attend CSURMA sponsored training events.
    7. Risk Assessment. The Risk Manager is responsible for conducting specific assessments for those contracts, services, special events, consultant agreements, etc., in which an exception to SSU or CSU policies warrant consideration. The assessment will be documented, signed, and retained with the specific transaction.
    8. Reporting. The Risk Manager, in conjunction with the Senior Director for Human Resource, will submit to the Vice President for Administration and Finance a quarterly report showing claim activity in the manner prescribed by attachment A.
  4. Applicability 
    This policy is applicable to all Sonoma State University units and its related auxiliary corporations. Applicability to the auxiliaries is for adoption of process and responsibility only and is not to be construed as a transfer of liability or risk.
  5. Revisions 
    The Risk Manager is responsible for reviewing this policy at least bi-annually to ensure currency of the policy and to update and revise where appropriate. The Risk Manager is to recommend to the Vice President for Administration and Finance beginning January 1, 2001, and bi-annually thereafter, any revisions that may be necessary.

Attachment A- Quality Report

Updated April 10, 2002 by SSU.policies@sonoma.edu