SUNY Compliance Resources

SUNY Compliance Resources

The following SUNY structures, resources and offices comprise the compliance structures and resources at SUNY System Administration that are available to the SUNY campuses.

SUNY Compliance Resources and Information 

SUNY System-wide Offices and Programs

External (non-SUNY) Compliance Resources 

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SUNY Compliance Resources and Information

SUNY Audit Hotline to Report Fraud and Irregularities

The State University of New York is committed to ensuring its funds and other University resources are used in an effective and efficient matter. The SUNY Audit Hotline to Report Fraud is intended for faculty, staff, students, and others to report suspected fraud, waste, abuse or irregular activities. These activities include improper transactions, such as suspected thefts, losses, misuse or inappropriate action involving State funds, equipment, supplies or other assets. Complaints about other matters, such as personnel issues or academic misconduct, should be brought to the attention of the appropriate office at the campus involved. The hotline is monitored by University Audit, and each complaint is reviewed by the Fraud Committee in accordance with the SUNY System-Wide Fraud and Irregularities Policy and Procedure.  SUNY's Fraud Policy offers ‘Whistleblower Protection’ that protects those individuals who make reports in good faith from retaliation.  For more information on the SUNY Hotline, and how to report, refer to the SUNY System Hotline to Report Fraud webpage on the Compliance website.

Campuses also maintain fraud hotlines locally, in addition to the System-Wide Fraud hotline.

SUNY System-wide Policies and Procedures website

The SUNY system-wide Policies and Procedures webpage contains a listing of the System-Wide Policies and Procedures. Note that each campus also maintains their own local Policies and Procedures.

SUNY Compliance Website

The SUNY Compliance website is a resource website for SUNY campuses that includes information about various Laws, Regulations, and SUNY system-wide Policies and Procedures that impact the SUNY campuses.  The website also contains SUNY guidance, and references to best practices and other supplemental material from SUNY and external sources.  
Note: 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, regulations, and system-wide policies and procedures that may impact the State University of New York’s campuses.

The Compliance website features information on:

SUNY Compliance and Legal Listservs

SUNY maintains a general Compliance listserv for campuses that covers all compliance topics which features new and updated system-wide Policies and Procedures.  In addition, SUNY maintains listserv's on specific compliance topics or for specific compliance and risk management campus roles. To join one of these listservs, email the Director of Compliance, who will pass the request along to the appropriate SUNY contact.  Note that all of these listservs are for internal SUNY personnel only.  

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

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Offices and Programs

SUNY Office of the University Auditor

The mission of the Office of the University Auditor is to assist the State University of New York Board of Trustees and University management in the discharge of their responsibilities by providing the independent and objective appraisals of SUNY's financial, operational, and control activities.  Included on the University Audit website is a list of Audit Guidance and Best Practices resources for the campuses on the following topics:

SUNY Enterprise Risk Management (ERM) and Internal Control Program

ERM - SUNY's Enterprise Risk Management Program is established by SUNY Policy, and requires that SUNY maintain a systematic organization-wide approach for identifying, assessing, and managing risks and opportunities that affect the University’s ability to meet its strategic, operational, and financial goals and objectives; preserve its reputation for excellence; and protect its students, employees, and visitors. To meet these objectives, the University has developed an ERM Program that is intended to incorporate risk management efforts at all levels of the organization.  The program is overseen by the Enterprise Risk Management Director, who maintains a SUNY Blue webpage of resources for the designated Enterprise Risk Management employee at each campus.

Internal Control Program - Internal controls are about helping organizations achieve their goals and objectives in an efficient and accountable fashion. For more than fifteen years the State University has conducted its internal control program in accordance with New York State's Internal Control Act.  

Both the Enterprise Risk Management Program and the Internal Control Program functions out of the Office of the SUNY Controller, and reports up through the CFO to the Board of Trustees.  The programs also share a listserv to communicate directly with the Enterprise Risk Management and Internal Control contacts.

SUNY Office of General Counsel

Find legal guidance and information, as well as the contact information for SUNY Campus Counsel, on the SUNY Office of General Counsel website.

SUNY Compliance Program

Director of Compliance

The Director of Compliance sits physically within the Office of General Counsel at SUNY System Administration, and is charged with the following tasks:

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External Compliance Resources

Associations

Industry Publications

Compliance Articles

Building a Proactive Compliance Program in Higher Education, Nedra Abbruzzese-Werling and Joseph Storch, 2015 University Risk Management and Insurance Journal, Volume 19, 2015, page 35.  
URL to access Journals by Volume No. http://my.urmia.org/journal/archive.

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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. For legal advice, consult your lawyer.

Compliance