... is not policing behavior or looking for “wrong-doing”. It is a commitment to establish a culture of “doing right”.
It means acting with integrity. It means abiding by applicable laws, regulations and policies. We are committed to these principles. Employees are responsible for maintaining high ethical standards and have a responsibility to understand, respect, and follow federal, state, and local laws as well as 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)
Departments are responsible for monitoring compliance, each operating as the subject matter expert for their area. Accountability and stewardship standards undergo constant change and Compliance Offices are charged with creating an institutional compliance program to coordinate, monitor, and improve functions to meet those standards. Risk Management, Internal Control, Internal Audit and Compliance inter-relate 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?
- Identify the concern. If you have observed possible illegal or unethical behavior in a non-emergency situation (remember, appropriate emergency response is to notify UPD by calling 911), take time to review related policies for guidance.
- Discuss your concerns with your Supervisor. If this step is not possible or if you are not comfortable doing so, see the next step.
- Discuss your concerns with Human Resources, Associate 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.
- 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 &
- Paper Records
|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 Data Security Standard (PCI-DSS)||Business Office||777-6886|
|Research Misconduct||Research Compliance||777-3532|
|Threats / Physical Violence||University Police||777-2393 or 911 in an emergency|
|Training - Compliance||University Center for Training & Development||777-6398|