State University of New York Office of the University Auditor SUBOA PRESENTATION December 3, 2014

Enterprise Risk Management ERM is a formal and continuous process that is designed to identify, assess, and manage risks and opportunities. Correctly implemented, ERM can help to ensure that SUNY is meeting its strategic goals and objectives by providing an opportunity to coordinate and focus SUNY’s numerous risk management activities; creating a “risk-aware” culture; providing a formal mechanism for responding to significant events; and enhancing collaboration and communication throughout the system. Presentation: http://www.suny.edu/about/leadership/board-oftrustees/meetings/webcastdocs/ERM%20Update%20-%20November%202014%20Meeting.pdf

Foundation Conflict of Interest Reporting On September 20, 2011, the State University Board of Trustees adopted a resolution approving Guidelines for Conflict of Interest Policies for Campus-related Foundations of State-operated Campuses. Board Resolution: http://www.suny.edu/about/leadership/board-oftrustees/meetings/webcastdocs/Conflict%20of%20interest%20policies%20of%20campusrelated%20foundation%20guidelines.pdf

Campus Fraud Hotlines On March 19, 2013, the State University Board of Trustees adopted a resolution approving a policy on fraud and irregularities and changes to the SUNY procedure for reporting suspected fraud and irregular activities. The updated procedures require each campus to establish a mechanism (fraud hotline) such as a toll free number, e-mail address, or facsimile number that individuals can use to report suspected and detected fraud and irregularities. The fraud hotline must be readily accessible and provide the option of reporting anonymously. Fraud Policy: http://www.suny.edu/sunypp/documents.cfm?doc_id=728 Fraud Procedure: http://www.suny.edu/sunypp/documents.cfm?doc_id=79

Sabbatical and Other Leave On July 30, 2013, the Office of the State Comptroller issued an audit report on Sabbatical and Other Leave. Audit Report: http://osc.state.ny.us/audits/allaudits/093013/11s34.htm

Tuition Assistance Program The Office of the State Comptroller has issued guidance on the Tuition Assistance Program as it pertains to eligibility. OSC Guidance: http://www.osc.state.ny.us/reports/highered/12d1.pdf

For more information contact the Office of the University Auditor: 518-320-1533… we are here to help!