SUNY PP Home Page   Print Page   Close Page   Convert current file into a PDF document   Convert current file into a DOC document



Category:
Internal Audit
Legal and Compliance



Responsible Office:

Policy Title:
Fraud and Irregularities, Policy on Fraud and Irregularities

Document Number:
9002

Effective Date:
March 19, 2013


This policy item applies to:
State-Operated Campuses
Statutory Colleges
Table of Contents
Summary

Policy
Definitions
Other Related Information
Procedures
Forms
Authority
History
Appendices


Summary

The State University of New York (SUNY) is committed to upholding the highest standard of honest behavior, ethical conduct, and fiduciary responsibility with respect to SUNY funds, resources, and property. As such, SUNY seeks to prevent and detect any fraud or irregularities and will diligently pursue any instance that involves SUNY-related activities or business.


Policy

It is the policy of SUNY that all members of the SUNY community:

It is the policy of SUNY that employees and individuals who lawfully report suspected fraud, waste, or abuse shall not suffer discharge, demotion, suspension, threats, harassment, discrimination, or other forms of retaliation for making such reports in good faith.


Definitions

Fraud and irregularities include activities that are (1) a misappropriation of assets; (2) in violation of or non-compliant with any SUNY, New York State, or federal law, regulation, policy or procedure; (3) economically wasteful; (4) an indication of gross misconduct or incompetency; or (5) an unethical, improper, or dishonest act.


Other Related Information

SUNY, SUNY System Compliance Initiative Website - Fraud Policy and Procedure Webpage.

New York State Labor Law § 740, Retaliatory personnel action by employers; prohibition. (whistleblower protection)

New York State Civil Service Law § 75-b, Public Sector Whistleblower Law. (whistleblower protection)

New York State Public Officers Law §73, Business or professional activities by state officers and employees and party officers.

New York State Public Officers Law §73a, Financial Disclosure.

New York State Public Officers Law §74, Code of Ethics.




Procedures

SUNY Procedure on Reporting and Reviewing Fraud and Irregularities. Policy Document No. 9001. - Fraud and Irregularities, Procedure on Reporting and Reviewing Fraud and Irregularities


Forms

None.
[Note: There is a Form related to the corresponding procedure, via the Procedure Section of this policy, above.]




Authority

Trustees’ Resolution 2013-012 (dated March 19, 2013) Fraud and Irregularities Policy and Procedure.


History

Memorandum to Presidents from the Senior Vice Chancellor, dated November 22, 1993, established protocol with regard to fraud investigations and audits that affect SUNY.

On March 19, 2013, the Board of Trustees adopted a Fraud Policy and revised Procedure through a resolution which updated the previous Fraud Procedure, Policy Document 9001, Procedures for Suspected Fraud or Irregular Activities.


Appendices

There are no appendices relevant to this policy.