Compliance...

...means abiding by applicable laws, regulations and policies. Binghamton University is committed to operating with integrity and in compliance with all applicable laws, regulations, and policies.  All employees are responsible for maintaining high ethical standards. They have a responsibility to understand, respect, and follow federal, state, and local laws as well as all university policies and procedures applicable to their jobs. Compliance is not a new responsibility for anyone – it is central to how we do our work.

To have an effective compliance program, an organization must establish and maintain an organizational culture that “encourages ethical conduct and a commitment to compliance with the law.” U.S. Federal Sentencing Guidelines §8B2.1(a)(2)

Different departments are responsible for monitoring compliance with applicable laws and regulations, each operating as the subject matter expert for their area.  Accountability and stewardship standards undergo constant change and the Risk Management and Administrative Compliance Offices are charged with creating an institutional compliance program to coordinate, monitor, and improve functions to meet those standards.  Risk management, Internal Audit, internal control and compliance are all inter-related through policy and define the framework for an overarching program representing the University's commitment to fulfilling its responsibilities based upon ethical behavior and compliance with applicable laws and rules.   

How would I know if there is a compliance or integrity issue?  Please use the questions below to help you identify issues.  If the answer to any of these questions is NO, then there is likely a compliance or integrity issue:

  • Are these actions legal?
  • Do these actions follow University policy?
  • Do these actions seem fair and honest?

If I think there is a compliance or integrity issue, what should I do?

  1. Identify the concern.  If you have observed possible illegal or unethical behavior (remember - emergency response is to notify UPD 911 - here we are referring to non-emergency situations), take time to review related policies for guidance.
  2. Discuss your concerns with your Supervisor.  If this step is not possible or if you are not comfortable doing so, see the next step.
  3. Discuss your concerns with Human Resources, Counsel, Compliance, Internal Audit, Internal Control, and/or Risk Management.  If your are not comfortable with any of these options, wish to remain anonymous, or feel you have not received a satisfactory response, see the next step.
  4. Submit a report to the Hotline by calling (607) 777-5049.

Various State and Federal laws, as well as SUNY Policies, require that SUNY campuses designate an employee to fill a particular compliance function/ responsibility.  See Compliance Roles for specific assignments on our campus.  General contact information is found below.

 Contacts  For Concerns Regarding:
 
Department 
 Phone (607)
  Compliance - General 
Risk Management &
Administrative Compliance
  777-7475
  Confidential Recycling
     - Paper Records
     - Electronic/Digital 
 
  Physical Facilities
  
 
777-3411
 
  Disciplinary Issues
  Human Resources

  Labor Relations
  777-2187

  777-4939
  EEO/Diversity Issues
  Diversity, Equity & Inclusion
  777-4775
  Environmental Health & Safety
 Environmental Health & Safety
 777-2211
 Export Controls
 Research Foundation based
 Non-RF based
 777-6752
 777-7475
  Fraud/ Irregularities
 Internal Audit  
Risk Management &
Administrative Compliance
 777-2156  
777-7475
  Payment Card Industry    (PCI)
  Business Office
  777-4140
  Research Misconduct
  Research Compliance
  777-3532
  Threats / Physical Violence
  University Police
  777-2393
  Training - Compliance
  University Center for Training & Development
  777-6398

 

...and Ethics

The University Ethics Officer is Frederick Bucalos.  SUNY Policy is located here and questions should be directed to Mr. Bucalos at (607-777-4884) or fbucalos@binghamton.edu.

Last Updated: 2/9/17