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New York State Compliance Training

New York State Compliance Training

New York State All Employee Training Mandates and Recommendations

The list below identifies all of the required employee trainings that an employee MUST complete to comply with State law or a SUNY Policy, or both. This list is a Human Resource-type list, and does not include EH&S, research, and other trainings that employees may be subject to based on the type of work they do. The list is more general and includes trainings ALL EMPLOYEES must complete regardless of the type of work they do. This list applies to the State Operated campuses.

Sexual Harassment

Executive Order No. 19 Sexual Harassment in the Workplace
Executive Order No. 19 states in part that “The head of each department, agency, board, commission or other entity under the jurisdiction of the Executive Branch shall: C. Conduct appropriate training to instruct and sensitize all employees.”
Issued: January 1, 2011
Source: Governor's Office of Employee Relations

Frequency of the Training: There is no frequency specified/ mandated in the regulations. As such, it is a good idea for a campus to develop their own frequency of re-training.
Sexual Harassment SLMS Training Details: 45 minutes in length

Who Must Complete the Training: Every Employee must have sexual harassment training

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SUNY Mandatory Child Sexual Abuse Reporting & Prevention Policy

On December 17, 2012, the State University of New York Board of Trustees adopted a new policy to mandate the reporting of incidents of child sexual abuse on University property and at University-sponsored events, and to take steps to prevent such incidents. The SUNY policy goes above and beyond all reporting requirements currently mandated by New York State law. The Board directs all SUNY campuses to adopt local procedures to: Provide employee and student training on the identification of such crimes and proper notification requirements.

See the SUNY Compliance Webpage on the Child Sexual Abuse Mandatory Reporting Policy for more information, including training materials.

Frequency of the Training: The campus can decide how often training must occur, but new students and employees must be trained.

Who Must Complete the Training: Every employee, staff, faculty, student and volunteer who is on University property or who is engaging in official State University business or University Sponsored events.

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SUNY Child Protection Policy

The SUNY Child Protection Policy was adopted by the board in June of 2014.  The policy states: "The State University of New York is committed to protecting the safety and well-being of children who participate in University-related programs and activities, whether on or off campus, or utilize campus facilities for activities including, but not limited to, sports camps, academic and personal enrichment programs and research studies."
Under the Policy, SUNY Campuses and University Affiliates must implement procedures to promote the safety of  children, and all those employees, students, volunteers, and others overseeing or participating in activities that are considered "covered activities" under the policy must be trained.  For more information on the Policy and what is considered a covered activity, refer to the SUNY Compliance website on the Child Protection Policy.  

Frequency of the Training: Training Frequency: Campuses must train their Covered Persons by May 15, 2015 and biennially (every two years) thereafter. See, Policy Section G. 4. No individual may participate in a Covered Activity as a Covered Person without first having received training.  The University has no responsibility to train third-party users of University facilities. See, Policy Section G, Campus Responsibilities, (4).  See the SUNY Child Protection Policy Guidance Document for more information.

Who Must Complete the Training:  Those who are participating in covered activities, including

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Internal Controls

According to the Internal Control Act, “Each agency (or campus, for us) should identify staff requiring internal control training and the depth and content of that training. Such education and training should be on-going with specific courses directed at line staff, middle managers and executive management. For organizations that have established internal audit functions, training and education should be offered on the appropriate role of the internal auditor within the organization’s internal control system.”
Source: New York State Internal Control Act, from the Office of the New York State Comptroller

Frequency of the Training: SUNY is required to provide “on-going” Internal Controls training and education to all three levels of employees (line staff, middle managers and executive management), but there is no frequency specified/ mandated. As such, it is a good idea for a campus to develop their own frequency of re-training.

Who Must Complete the Training: Officers and employees within three levels of employees: line staff, middle managers, executive management.  Of note: In recent years, the Office of the State Comptroller, during an Internal Controls certification audit, made a key finding that the training did not reach all three levels of employees.

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Public Employer Workplace Violence Prevention

Every employer is to provide each employee with information and training on the risks of workplace violence in his or hers workplace or workplaces at the time of the employee’s initial assignment and at least annually thereafter.

Source: New York State Department of Labor, Information on the Workplace Violence Prevention Program

The regulation states "5. Employee information and training. a. Every employer with at least twenty permanent full time employees shall make the written workplace violence prevention program available, upon request, to its employees, their designated representatives and the department. b. Every employer shall provide its employees with the following information and training on the risks of occupational assaults and homicides in their workplace or workplaces at the time of their initial assignment and annually thereafter: (1) employees shall be informed of the requirements of this section, the risk factors in their workplace or workplaces, and the location and availability of the written workplace violence prevention program required by this section; and (2) employee training shall include at least: (a) the measures employees can take to protect themselves from such risks, including specific procedures the employer has implemented to protect employees, such as appropriate work practices, emergency procedures, use of security alarms and other devices, and (b) the details of the written workplace violence prevention program developed by the employer. VI. Training The [CAMPUS DESIGNATED LIAISON TO THE OFFICE FOR THE PREVENTION OF DOMESTIC VIOLENCE] and all personnel designated to provide support for those in need of assistance shall complete OPDV’s one-day training on Domestic Violence and the Workplace. All appropriate managers, supervisors, employee assistance professionals, human resources personnel, union and labor representatives and security staff will be encouraged to attend OPDV’s training on Domestic Violence and the Workplace. Additionally, [CAMPUS] shall make available for staff training on domestic violence and its impact on the workplace using materials provided by OPDV through the campus, OPDV and/or a local domestic violence service provider when scheduling permits.
Source: N.Y. Lab. Law § 27-b; 12 NYCRR § 800.6

NOTE: An SLMS training module is available on SLMS, but according to the regulations, Workplace Violence Prevention training is supposed to be workplace specific, so individual campuses have to create own training for their physical locations. For more on Workplace Violence and what it requires, see the Workplace Violence Compliance webpage.  The training must then be campus Specific, since the law requires that the training be specific to the workplace itself

Frequency of the Training: Training must be provided at start of employment, and AT LEAST ANNUALLY

Who Must Complete the Training: Every Employee must have workplace violence prevention training.

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Alcohol and Controlled Substances

GOER's policy on Alcohol and Controlled Substances in the Workplace encourages training to prepare supervisors to identify and address alcohol and drug problems.
Source: GOER Labor Relations page on Alcohol and Controlled Substances in the Workplace

Frequency of the Training: Not specified.

Who Must Complete the Training: SUPERVISORS ONLY; Training encouraged but not mandated for all other employees.

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Cyber Security Training

According to SUNY's Information Security Guidelines Procedure Document No. 6608, training is a part of the Information Security protocol that campuses should follow.  Campuses must come up with a 'Training Plan' so that the workforce understands, assesses, and addresses the risks that go along with "Sensitive Information" and "Sensitive Systems."

Frequency of the Training: Not specified in Policy.

Who Must Complete the Training: At the very least, according to the Policy, employees that have access to sensitive information and sensitive systems should be trained.  Sensitive Information and Sensitive systems are both defined within the SUNY Procedure Document No. 6608

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New York State Project Sunlight

Project Sunlight, a component of the Public Integrity Reform Act of 2011 (Ch. 399, Part A, §4, L. 2011), is an online database that provides the public with an opportunity to see what entities and individuals are interacting with government decision-makers at the various State entities. Effective January 1, 2013, State entities (including SUNY & SUNY State-operated campuses) are required to report to the OGS database 'appearances' by individuals/firms who 'appear' before State decision-makers or persons who advise decision-makers. The SUNY Project Sunlight website contains information on the law, including access to a SUNY Project Sunlight PowerPoint, and system-wide webinar that can be used by the campuses for purposes of training employees on the specifics of Project Sunlight.

Frequency of the Training: The SUNY Compliance Plan submitted for Project Sunlight states that training must occur every two years, with periodic reminders also being sent to decision makers and advisors to remind them of the mandated reporting requirement.

Who Must Complete the Training: Decision makers within SUNY, decision advisors, and those who could potentially be decision makers in various procurement, state contract, rulemaking, ratemaking, or judicial or quasi-judicial matters. At the very least, decision makers are as follows: Vice President for Administration, Director of Procurement, Purchasing Agent, Athletics Director, President, Dean, Vice President for Administration, Chief Information Officer, Provost, Facilities Director

See the SUNY compliance webpage on Project Sunlight for more information.

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You Have A Right To Know Training - New York State Department of Labor

You have a right to know about the hazards you are exposed to in the workplace. This applies even in business office settings. The law requires that your employer make you aware of the hazards and provide you with the information you need to work safely. Under the federal Occupational Safety and Health Administration, Hazard Communication Standard, your employer must develop a comprehensive program to inform you of hazards you may encounter in the work place and also provide you with training in the use and handling of products containing hazardous chemicals. Additionally, public sector workplaces in NYS must meet the requirements of the NYS Right-To-Know law.

Source: Article 28 of NY Labor Law , Toxic Substances, Information, Training, and Education, Part 820 of Title 12 of the Official Compilation of Codes, Rules, and Regulations of the state of New York (Cited as NYCRR 820) and Article 28 of the New York State Labor Law.

Frequency of the Training: Training must be provided to ALL employees ANNUALLY.
The Right to Know SLMS Training Module is approximately 30 Minutes long.

Who Must Complete the Training: Every employee, not just those in EH&S and facilities-like environments.

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Ethics Training

Every Covered Employee is required to participate in an ethics training within sixty days of when such training is prepared and available.  The training must include a discussion of the provisions of Sections 73, 73-A, 74 and 78 of the Public Officers Law and Sections 75-b and 107 of the Civil Service Law.

Documentation of the completion of the training is also required: Covered Employees must submit a signed statement certifying their participation in each training session pursuant to the Governor’s Executive Order mandating ethics training, and the agency must keep that certification in the personnel file of the employee.
Source: Governor's Executive Order

Frequency of the Training: Training must be provided at start of employment, and every two years thereafter.
Ethics SLMS Training Details: 1 hour in length

Who Must Complete the Training: According to Executive Order No. 3 Ethics Training, every 'Covered Employee' shall participate in an ethics training within sixty days of when such training is prepared and available. "Covered Employees" under the Executive Order is defined as "All officers and employees working in the Executive Chamber in the office of the Governor, commissioners of New York State agencies, counsel to New York State agencies and ethics officers of New York State agencies."  See the Compliance Website page on Ethics for more information on Ethics compliance generally.

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JCOPE Ethics Training - Mandated Ethics Training for FDS Filers

NOTE: This training is separate from the ethics training mandated by Executive Order 3, which is discussed above.

1. Comprehensive Ethics Training course
The Comprehensive Ethics Training course must be delivered LIVE and should take approximately 2 hours. The statute requires that the JCOPE presentation, which has been prepared by JCOPE, is delivered in whole and in the same form.  Each Agency also has a statutory requirement to TRACK and REPORT training on an annual basis to JCOPE, to report  which FDS filers have completed the training.

Live Synchronous Training, which is mandated by the law, has been defined by JCOPE as:

2. Ethics Seminar: follow-up to Comprehensive Ethics Course
After the completion of the Comprehensive Ethics Training Course (listed above), FDS Filers are required to complete an ethics seminar every THREE years. The Ethics Seminar is an update on any changes in applicable laws, regulations and policies.  The Ethics Seminar is intended to be a refresher/follow-up training to for those FDS Filers who already took the Comprehensive Ethics Training Course.  For quite some time, JCOPE did not have the Ethics Seminar materials available, and they simply advised that for re-training purposes, agencies (including SUNY) should use the Comprehensive Ethics Training Course (CTEC), and that use of that course would fulfill the follow-up training obligation.

Each Agency also has a statutory requirement to TRACK and REPORT training on a yearly basis to JCOPE, to report to JCOPE which FDS filers have completed the training. 

Frequency of the two JCOPE Ethics Trainings (Comprehensive and Seminar):

  1. Comprehensive Ethics Training: The FDS filer has two years from the date of beginning their service to complete the Comprehensive Ethics training.  However, if the Comprehensive Ethics training is not completed within the first three months of service/employment, then the employee must complete the Ethics Orientation, a seperate ethics course available through the NYS SLMS, as a precursor to the comprehensive training. 

    Therefore, if the FDS filer does not complete the Comprehensive Ethics Training within the first two months, they will have to complete two ethics trainings, the first being the orientation available through the GOER SLMS portal, and the Comprehensive Ethics training at a later date in time, but not later than two years after the commencement of service. (See below for informaiton on how to access the SLMS Portal).

  2. Ethics Seminar Follow-Up: FDS filers must complete the Ethics Seminar Follow-up every three years, so FDS filers will need to complete the Ethics Seminar Follow-Up three years from their completion of the Comprehensive Ethics training course.  Those individuals who were FDS filers on or before August 15, 2011, and completed the comprehensive ethics training, discussed above, by August 15, 2013, are required to complete the Ethics Seminar by  August 15, 2016.  

Who Must Complete the Trainings:  In accordance with Executive Law Sec. 94, all FDS Filers must take the JCOPE mandated trainings, except for those who have been exempted from filing an FDS by JCOPE (Sec. 94, 10 (a) states that exempted employees do not need to take the mandated training).  Note that even though FDS filers are the only people required to take the trainings and file a financial disclosure, all State employees are subject to the ethics laws overseen by JCOPE, the Joint Commission on Public Ethics, even if they do not file annual Financial Disclosures or their agency does not consider them a "Policy Maker" for purposes of JCOPE.  For more information on JCOPE and the laws they oversee, and to access the training materials, visit the SUNY Compliance webpage on JCOPE

      WHO is an FDS, such that they must complete the mandated training:

  1. Individuals designated as policy makers by their Agency; and
  2. Employees with an annual salary rate in excess of the "filing rate" of a SG-24 CSEA equivalent ($90,020 in 2014).
  3. Part time employees whose annual full-time salary rate exceeds the filing rate (but whose actual compensation is less than the filing rate) are still required to file an FDS.


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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.