Compliance Program

The State University of New York is committed to operating with integrity and in compliance with all applicable laws, regulations, and SUNY policies and procedures. The State University of New York has established the Compliance Steering Committee to coordinate SUNY's numerous existing compliance efforts and to provide senior leadership with a comprehensive view of SUNY's compliance activities. The Committee will assist the Board in overseeing SUNY’s compliance program with respect to compliance with legal, regulatory, and ethical responsibilities, and minimizing SUNY’s risk.

The Committee will not assume the duties of the various substantive compliance areas, and all ongoing compliance activities will continue in their existing reporting structure. Rather, the Committee’s role will be to coordinate and monitor these efforts and assess University-wide performance, making recommendations for change and enhancement where necessary. It is expected that the SUNY Compliance Program will be an evolving process and additional resources will be needed to enhance SUNY's centralized compliance efforts over time.


Training Announcements

JCOPE Comprehensive Ethics Training:
In addition to local training, SUNY System Administration has begun to offer JCOPE Comprehensive Ethics Training webinar sessions for campuses to access and utilize for their own JCOPE training purposes.  These sessions are being held every other month. The webinar trainings are being facilitated by the Office of U-Wide Human Resources, the Office of General Counsel, the Compliance Office, and the Office of Information Technology. The goal of these system-wide sessions is to help campuses ensure that their new employees who are required by statute to complete the JCOPE Comprehensive Ethics Training, receive that training in a timely fashion, and in accordance with the statute.

To sign up for one of the training sessions, send an email to the Director of Compliance. The information on these modules, and their dates and times, is being communicated to campuses via the campus Ethics Officer.

Upcoming JCOPE training dates/times:
  • Wed., July 15, 2015          2:00 p.m.
  • Thurs., Sept. 24, 2015      10:30 am
  • Wed., Sept. 30, 2015        2:00 pm

Child Protection Policy Training: 
The Office of General Counsel and the Compliance Office have teamed up to deliver a system-wide training on the SUNY Child Protection Policy.  The training, separated into modules, is available on the Compliance topic page devoted to the Child Protection Policy.  The training includes recorded modules, and the powerpoint used for each training section is also availale for campus use.  See the 'Training' section of the page.


What’s New to the Compliance Website

The compliance website is continually adding new pages featuring information and resources for the SUNY campuses. Below is a listing of some of the recently added content.

  • International Background Check Guidance 2015, sent June 23 to campuses
    This guidance from the Office of Global Affairs includes recommendations for compliance with new Department of State requirements for criminal background checks pertaining to Exchange Visitor Programs.

  • Education Law Article 129-A Annual Certification - By July 1st, 2015, all SUNY campuses must have filed their annual New York State Education Law Article 129-A Certification with NYSED, attesting compliance with the Article provisions.  The form used to certify compliance for 2015 is available via the NYSED site at Certification of Compliance Form for July 1, 2015 Deadline.  You can also access the June 8th memorandum that was sent out to all New York higher education institutions by NYSED to request their 2015 certificaton forms.  For more information on Article 129-A generally, see SUNY's compliance Page on Article 129-A compliance. 

  • Campus Compliance Roles - new page on the compliance website details all of the required compliance roles a SUNY campus must have in order to comply with State and Federal law, and SUNY Policies. The page is a comprehensive list of the compliance roles that SUNY campuses must have, at a minimum, as well as the responsibilities of the employee who has been designated to fill that particular role.

  • SUNY Policies on Sexual Violence Prevention and Response - In October 2014, Chancellor Zimpher established the Chancellor’s Working Group on Continual Improvement to Sexual Violence Prevention Policies. The Working Group, through their website, has released a set of uniform policies and guidelines to assist SUNY colleges in preventing sexual assault and responding to reports of assault. The policies include: a Definition of Affirmative Consent, a Policy for Alcohol and/or Drug Use Amnesty in Sexual Violence Cases, a Campus Climate Assessment Policy, a Sexual Violence Victim/Survivor Bill of Rights, a Sexual Violence Response Policy, Options for Confidentially Disclosing Sexual Violence, and a Student Onboarding and Ongoing Education Guide.

  • Crime and Incident Reporting Guidelines for CSAs and Responsible EmployeesA guidance document prepared by Counsel's Office that clarifies CSA and Responsible Employee reporting for purposes of Clery and Title IX.

  • International Compliance News - The SUNY Council on International Education had adopted a new SUNY Clery and Title IX Procedure for International Programs that helps to clarify the reporting obligations and protocols for Clery Act crime reporting and Title IX protocols for SUNY’s international programs and overseas activities. The Memorandum and Procedure are available here.

  • U.S. Department of Education Publishes Compliance Calendar - A compliance calendar published by the U.S. Department of Education, titled 'Institutional Reporting and Disclosure Requirements for Federal Student Assistance Programs,' provides postsecondary educational institutions with a comprehensive summary of reporting and disclosure requirements related to institutions’ eligibility to participate in the Title IV, Higher Education Act (HEA) student assistance programs. The document summarizes all reports and disclosures required for participation in Title IV programs. Each summary includes the statutory or regulatory authority, a description of what is required in each report/disclosure, the due date, the method of transmittal or distribution, and the recipient of the report/disclosure.

SUNY Compliance Listservs

To join the Compliance listserv, send an e-mail to the Director of Compliance.

In addition, several other Compliance listserv's are maintained in conjunction with particular compliance topics. To join one of these listservs, e-mail the Director of Compliance, who will pass the request along to the appropriate SUNY contact.

There are SUNY internal listservs for the following compliance topics/functions:

  • Clery Act Compliance
  • Title IX Compliance
  • Affirmative Action Officers
  • Records Management Officers
  • FOIL/ Records Access Officers
  • Ethics Officers
  • Child Protection Listserv

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The information contained on the SUNY Compliance website is for general campus guidance only and is not intended, nor can be relied upon, as legal advice or the imposition on SUNY campuses of specific policies or requirements. The site is intended to be an informational-only clearinghouse for some of the laws, rules, and regulations that may impact the State University of New York’s campuses. Additionally, given the rapid, changing nature of laws, rules and regulations, there may be delays or omissions contained on this site which therefore cannot be relied upon as complete. For complete compliance information, consult your campus compliance officials or the SUNY Director of Compliance. For legal advice, consult your lawyer.