SUNY System Fraud Hotline

Incidents of suspected fraudulent or irregular activities are required to be reported to System Administration pursuant to the SUNY Fraud and Irregularities Fraud Policy and Procedure. Outside parties (anonymous or otherwise) may provide written or oral reports to System Administration, or to Campus Authorities who then must report same to System Administration. All such matters shall be turned over to the SUNY System Administration Fraud Committee, which consists of representatives from:

• University Audit
• University Counsel
• University Human Resources

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 hotline 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.

• Methods of Reporting 
• SUNY Fraud Investigation Process: SUNY Fraud and Irregularities Policy and Procedure
  • Definition of Fraud and Irregularities
  • Required Action Pursuant to the Procedure
  • Notice on Confidentiality
  • How and What to Report
  • Investigation Procedure
• SUNY Research Foundation Fraud Reporting

Methods of Reporting

SUNY Fraud and Irregularities Policy and Procedure

SUNY Policy

Policy on Fraud and Irregularities, Doc. No. 9002 (Fraud Policy)
Policy 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.  The Fraud Policy helps to set the tone of the organization and communicate to all employees the requirement for honest behavior, ethical conduct, and fiduciary oversight with SUNY funds, resources, and property. 

SUNY Procedure

Procedure on Reporting and Reviewing Fraud and Irregularities, Doc. No. 9001 (Fraud Procedure) 
The SUNY Fraud Procedure sets forth "procedures for reporting and reviewing suspected or detected fraud and irregularities" that apply to any fraud and irregularities involving SUNY employees, officers or trustees, and campus-related entities, as well as vendors, consultants, contractors, funding sources, or any other parties with a relationship to SUNY. All complaints will be reviewed objectively and without regard to the suspected individual’s length of service, position, title, or relationship with SUNY.

DEFINITION OF FRAUD AND IRREGULARITIES  

Fraud and Irregularities is defined broadly within the Procedure, and includes all of the following:

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

REQUIRED ACTION PURSUANT TO THE PROCEDURE

• Campuses and System Administration must report frauds and irregularities to the Office of the University Auditor when sufficient facts and circumstances exist to create a reasonable suspicion that a fraud or irregularity has occurred or when review of a fraud or irregularity has commenced at the campus.  Form A is a Fraud Incident Report form meant for campuses to use when reporting to the SUNY System Office of the University Auditor.
• Campus must report any contact they receive from the New York State Attorney General, the Inspector General, or any other outside agency regarding any investigation to the Office of the University Auditor.
• Campus must establish a Fraud Hotline mechanism locally at their institution, or point to the SUNY System Administration hotline as a place to report suspected frauds.
  • Campus hotlines are available on a SUNY Compliance website page with links to campus fraud hotlines. 

NOTICE ON CONFIDENTIALITY

• Reports made to SUNY's hotline will be treated as confidential. However, this confidentiality is not absolute because of legal or other requirements (e.g., discovery in litigation, government investigations, etc.) and situations where the University would need to use the information to protect the University's interests.  SUNY will do everything it can to protect a reporter's identity during the investigation and handling of a matter, but in some limited situations the person being investigated may be able to ascertain who the reporter is just by the nature of the facts or the contextual situation that gave rise to the report.

HOW & WHAT TO REPORT

• Contact SUNY System University Audit via one of the methods described above.
• In all cases, please provide as much detail as possible concerning your specific concerns along with any relevant information you can provide. You do not need to provide your name; however, you may want to provide your name and contact information in the event additional questions arise. All information will be treated as confidential to the extent permitted by law. You should also know that retaliation against anyone who has made a report in good faith under this process is strictly prohibited. Intentional use of this process to make false allegations may subject the maker to disciplinary action.
• All allegations and concerns submitted will be reviewed by a committee of SUNY System Administration officials who will then determine the appropriate action to be taken. Due to confidentiality concerns, it may not be possible to inform users of the process or outcome of any investigation or other action taken. 

INVESTIGATION PROCEDURE

• All allegations and concerns submitted will be reviewed by a committee of SUNY System Administration officials in accordance with the SUNY Procedure on Reporting and Reviewing Fraud and Irregularities, Policy Document No. 9001. The officials who comprise the Fraud Committee will determine the appropriate action to be taken. Due to confidentiality concerns, it may not be possible to inform users of the process or outcome of any investigation or other action taken. 

SUNY Research Foundation Fraud Reporting

SUNY Research Foundation - Ethics Hotline
The Research Foundation Ethics Hotline webpage allows for reporting claims of fraud and unethical behavior.  The website states: "Ethical behavior is a key aspect of all successful organizations. In today's business world an organization must be committed to maintaining an ethical, professional and law abiding work environment. Conduct that is based on the highest ethical standards will improve, strengthen and clarify all that an organization does. The RF's ethics hotline is one way to encourage everyone in the Research Foundation (RF) community to fully understand and embrace this concept of ethics and accountability."