Internal Control Memo

February 25, 2021

Dear Colleagues,

Now more than ever we must work together to safeguard our college’s assets. When everyone does their part, we make the most of our resources and adapt to the challenges our campus will face in the future. Everyone plays a role in our stewardship of state public resources.

How You Contribute

• Use college resources only in support of our goals, objectives and programs.
• Look for opportunities to reduce waste and improve efficiencies.
• Follow campus policies and procedures, as well as those in place for your job.
• Communicate problems, ask questions and suggest improvement to your supervisor or department chair.
• When assigned, complete your compliance training.

What To Do If You Suspect A Problem

There can be occasions when faculty, staff, students, community members intentionally or unintentionally misuse state funds, equipment and supplies or participate in unethical activities or practices. If you suspect or know of such actions, you can make a report to the Anonymous Internal Control Hotline (voice mailbox) at 866-633-6112. If you notice something unusual, report it. Your information — not your name — could prove useful in reducing losses and preventing fraud, waste and abuse.

Learn more about the Internal Control Hotline

What Are Internal Controls?

These are all the daily activities that we exercise to help ensure the college’s resources are used effectively and efficiently. These activities minimize inappropriate use of resources; loss, waste or damage of resources; overspending; or other actions inconsistent with policy or in violation of law.

Learn more about internal controls

Why Are Internal Controls Important?

They provide reasonable assurance that we are using college resources to meet our objectives and goals and taking steps to decrease the risks to the organization. While it is the law that the college has an Internal Control Program, it also makes good sense for the college to operate as efficiently as possible.

Should you have questions about the Internal Control Program, please contact David Gregoire at 518-564-3613.

October 21, 2019

Dear Colleagues, 

Together we share the responsibility of safeguarding and reducing the waste of our college’s resources.  If we all do our part we can make the most of the opportunities presented and fully meet our goals and objectives in support of the college’s mission.  Today I reaffirm my commitment to strong internal controls and share with you the details of the college’s program.

How You Contribute!

• Read this entire email and discuss it with your colleagues!
• Complete your assigned compliance training.
• Follow the policies and procedures in place for your job and look for opportunities to reduce waste and improve efficiencies.
• Use our resources only in support of College goals, objectives, and programs.
• Communicate problems with current procedures or suggestions for improvement to your supervisor or department chair.

What To Do If You Suspect A Problem?
Unfortunately, there can be occasions when faculty, staff, and students intentionally or unintentionally misuse state funds, equipment, and supplies or participate in unethical activities or practices. If you suspect or know of such actions, you can make a report to the Anonymous Internal Control Hotline (voice mailbox) at 866-633-6112. If you notice something unusual, report it. Your information – not your name – could prove useful in reducing losses and preventing fraud, waste, and abuse. 

What Are Internal Controls?
These are all the daily activities that we exercise to help ensure the College’s resources are used effectively and efficiently.  These activities minimize inappropriate use of resources; loss, waste or damage of resources; overspending; or other actions inconsistent with policy or in violation of law.  

Why Are Internal Controls Important?
They provide reasonable assurance that we are using college resources to meet our objectives and goals and taking steps to decrease the risks to the organization. While it is the law that the college has an Internal Control Program, it also makes good sense for the college to operate as efficiently as possible.

Should you have questions about the Internal Control Program, please contact David Gregoire at 518-564-3613.

November 5, 2018

Campus Community:

Being a good steward of the resources entrusted to the college is a critical role each of us plays.

To ensure we incorporate this ethic into the fabric of our organization, we have in place an established Internal Control Program. This helps us take a systematic approach as we work to ensure the proper use of the college's resources and reduce waste at a time of heightened scrutiny of public higher education.

I am writing to affirm my continuing commitment to this program and share some details of this ongoing effort with you. Some critical elements of our Internal Control Program include:

Regular Reviews
An Internal Control Committee with wide campus representation works under the leadership of Josee Larochelle, Vice President for Administration and Finance (Internal Control Officer) and David Gregoire, Assistant Vice President for Institutional Advancement (Internal Control Coordinator). It conducts reviews of operational procedures within selected offices to determine the effectiveness of existing controls. Reviews sometimes result in suggested changes to operating practices or may simply establish that existing controls appear adequate. Examples of past reviews include property control, procurement, personnel and payroll, financial aid, computer operations, cash management, and the college’s general control environment. Many thanks to everyone who has participated in reviews, and I urge your continued full support and participation in this important risk mitigation process.

Responsibility of Employees
Developing and maintaining adequate policies and procedures, communicating goals and objectives, understanding and following relevant campus, state and federal policies, rules and regulations, and establishing appropriate checks and balances are essential elements of an internal control system. While the Internal Control Committee coordinates campus-wide efforts, department managers are responsible for establishing and adhering to a sound system of internal controls for their areas of responsibility and respective employees are responsible for complying with the established internal controls.

Telephone Hotline
Unfortunately, there can be occasions when faculty, staff, and students intentionally or unintentionally misuse state funds, equipment, and supplies or participate in irregular activities or unethical practices. Anonymous reports to the Internal Control Committee can be made through the Internal Control Hotline (voice mailbox) at 866-633-6112. If you notice something unusual, report it. Your information – not your name – could prove useful in reducing losses and preventing fraud, waste, and abuse.

Training Modules
As a recipient of federal funding, an agency of the State of New York, and a campus within the SUNY system, the college is subject to numerous laws, regulations, and policies governing its operations. Many of these mandates require employees engage in periodic compliance training. To achieve this, the college uses WeComply, a set of on-line training modules to deliver required training to all employees. These modules allow the campus to do a better job in delivering and tracking necessary and/or mandatory compliance training. Training modules to date have spanned a variety of issues, including sexual harassment, workplace violence, active shooter preparedness, information security and public officer’s law.
You can learn more online. An "Introduction to Internal Control” brochure is located at https://www.plattsburgh.edu/about/offices-divisions/administration-finance/internal-control/index.html along with other information about our program. All supervisors are also encouraged to review the information with their staff and discuss internal controls and how they relate to their specific operations.

Should you have questions about the Internal Control Program or want to schedule a training session or individual meeting, please contact David Gregoire at 518-564-3613.

September 18, 2017

Campus Community:

I want to take this opportunity to affirm my continued commitment to the college’s Internal Control Program. Because all of us play an important role in reducing waste and the improper use of resources, I want to bring to your attention some critical elements of our Internal Control Program below.

Internal Control Reviews
The Internal Control Committee – under the leadership of Josee Larochelle, Vice President for Administration, (Internal Control Officer) and David Gregoire, Assistant Vice President for Institutional Advancement (Internal Control Coordinator) – conducts reviews of operational procedures within selected departments/offices to determine the effectiveness of existing controls. Reviews sometime result in suggested changes to operating practices or may simply establish that existing controls appear adequate. Examples of past reviews include: property control, procurement, personnel and payroll, financial aid, computer operations, cash management, and the college’s general control environment. Many thanks to everyone who has participated in the reviews, and I urge your continued full support and participation in keeping our risks low.

Internal Controls Maintenance
Developing and maintaining adequate policies and procedures, communicating goals and objectives, understanding and following relevant campus, state and federal policies, rules and regulations, and establishing appropriate checks and balances are all essential elements of an internal control system. While the Internal Control Committee coordinates campus-wide efforts, department managers are responsible for establishing and adhering to a sound system of internal controls for their areas of responsibility and respective employees are responsible for complying with the established internal controls.

Internal Control Hotline
Unfortunately, there will be occasions when faculty, staff, and students intentionally or unintentionally misuse state funds, equipment, and supplies OR participate in irregular activities or unethical practices. Anonymous reports to the Internal Control Committee can be made through the Internal Control Hotline (voice mailbox) at 866-633-6112. If you notice something unusual, report it. Your information – not your name – could prove useful in reducing losses and preventing fraud, waste, and abuse.

Compliance Training
As a recipient of federal funding, an agency of the State of New York, and a campus within the SUNY system, the college is subject to numerous laws, regulations, and policies governing its operations. Many of these mandates require that employees engage in periodic compliance training. To achieve this goal, the college continues to use WeComply, a set of on-line training modules to deliver required training to all employees. These modules allow the campus to do a better job in delivering and tracking necessary and/or mandatory compliance training. Training modules to date have spanned a variety of issues including sexual harassment, workplace violence, active shooter preparedness, information security and public officer’s law.

Learn more about our Internal Control Program
The Internal Control Committee has published an "Introduction to Internal Control” brochure, which is located online at www.plattsburgh.edu/president/internalcontrolhome.php along with other information about our Internal Control Program. All supervisors are also encouraged to review the information with their staff and to have a dialogue about internal controls and how they relate to their specific operations.

In Closing
Each member of the campus community plays a critical role in our Internal Control Program. Being good stewards of the resources entrusted to us, modeling ethical behavior while meeting our job requirements, and suggesting opportunities for improvement are ways that we can all put these core values into practice every day. Establishing and then following a system of effective internal control are a means by which we incorporate these values into the fabric of our organization and safeguards the college at a time of heightened scrutiny of public higher education.

Should you have questions about the Internal Control Program or want to schedule a training session or individual meeting, please contact David Gregoire, Internal Control Coordinator (564-3613).

September 8, 2016

Campus Community:

Our core values as a college community reflect and guide the way we do business on a daily basis. They include respect, honesty, integrity, and the pursuit of excellence in all that we do for one another and those whom we serve.

I want to take this opportunity to affirm my continued commitment to internal control awareness and risk management at SUNY Plattsburgh. Internal controls are those actions an organization takes to help ensure the accomplishment of its goals and objectives such as operating practices, reporting relationships, and policies and procedures that help the college to function effectively
and efficiently.  Strong internal controls reduce waste and the improper use of resources and help the college to comply with applicable laws and regulations. All of us play an important role in this effort because it is the ethical values, integrity, competence and hard work of an organization's people that ultimately make it successful.

In accordance with the New York State Governmental Accountability, Audit and Internal Control Act of 1987, SUNY Plattsburgh has a program to evaluate the overall state of the college's internal control systems and report deficiencies. Under the college's Internal Control Program, the Internal Control Committee evaluates selected areas of the campus that, by the nature of the activities involved, present potential risks to the college. Each year, the ICC conducts reviews of operational procedures within selected departments/ offices to determine the effectiveness of existing controls. Reviews sometime result in suggested changes to operating practices or may simply establish that existing controls appear adequate. Examples of past reviews include:
property control, procurement, personnel and payroll, financial aid, computer operations, cash management, and the college's general control environment. Many thanks to those of you, who have participated in the reviews, and I urge your continued full support and participation in keeping our risks low.

Being good stewards of the resources entrusted to us, modeling ethical behavior while meeting our job requirements, and suggesting opportunities for improvement are ways that we can all put these core values into practice every day. Establishing and then following good systems of internal control are a means by which we incorporate these values into the fabric of our
departments and offices.

Internal Control Blog
The Internal Control Committee provides timely and more frequent information on matters related to internal control through its blog (https://icsunyplattsburgh.wordpress.com/). Please visit the site and become a "follower." Also look for future announcements in Faculty and Staff Digest announcing now posts to the blog.

WeComply Training
The college continues to use WeComply, a set of on-line training modules to deliver required training to all employees. These modules allow the campus to do a better job in delivering and tracking necessary and/ or mandatory compliance training. By using an on-line platform, employees are able to learn at their own pace at a time they determine and in their own workspace, without having to attend separate meetings. Training modules to date have spanned
a variety of issues including sexual harassment, workplace violence, active shooter preparedness, information security and internal control awareness. Future topics will focus on compliance or health and safety issues. I appreciate your cooperation in completing these important training sessions.

SUNY Plattsburgh is committed to establishing a safe, respectful, and dynamic environment for our students and our faculty and staff The WeComply training program helps us achieve this goal and comply with federal, state, and SUNY requirements for training.

We should all take time to review the brochure, ''Introduction to Internal Control" which is located online at www.plattsburgh.edu/president/internalcontrolhome.php along with other information about our Internal Control Program. All supervisors are also encouraged to review the information with their staff and to have a dialogue about internal controls and how they relate to their specific operations.

Should you have questions about the Internal Control Program or want to schedule a training session or individual meeting, please contact Mr. John Homburger, Vice President for Administration, (564-2130) or David Gregoire, Internal Control Coordinator (564-3613).