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This procedure excludes matters of academic misconduct.

Responsible Officer: Chief Financial Officer
Implementation Officer: Director, Corporate Governance, Risk and Compliance Services

First approved by:
Vice-Chancellor on 19 December 2007

Amendments approved by:
Vice-Chancellor on 29 October 2010
(minor updates as part of routine review);

Vice-Chancellor on 4 November 2011
(amendment to Implementation Officer);

CFO on 4 July 2014
(add para 10 text to procedure)

Amended on 13 August 2015
(Legislation document link change to Unisol website)




Prevention and Control of Fraud and Corruption Procedure


This procedure was approved by the Vice-Chancellor on 19 December 2007 and includes all amendments 4 November 2011.
This document is pursuant to the Prevention and Control of Fraud and Corruption Policy.
SCOPE
This procedure excludes matters of academic misconduct.
PROCEDURE
1The Chief Financial Officer (CFO) will implement and oversee the operation of the University’s internal control framework that will cover fraud and corruption prevention and detection, and will ensure that all staff and students of the University are provided with information so as to be aware of their responsibilities in relation to this.
2Identified fraud and corruption risks will be included by Faculties, Institutes and other areas on all relevant risk registers.
3The findings of fraud and corruption risk assessments will be reported to the Planning and Resources Committee and the Audit and Risk Committee.
4Staff and students of the University who strongly suspect or find evidence of fraud or corruption during the course of their University duties or role may report the matter to the CFO.
4.1If the matter involves the CFO, then the report is to be made to the Vice-Chancellor.
5Where fraud or corruption is detected, the CFO will ensure that there is an assessment of the adequacy of internal control measures and will determine what improvements and/or corrective actions are required.
6The CFO may utilise the services of an appropriate independent person to assist in forming a view as to the requirement for an investigation.
7The CFO may appoint an appropriate independent person to investigate a potential incidence of fraud or corruption. The investigator must not be:
  • involved directly or indirectly with the matter under investigation
  • connected professionally or personally with any person suspected of involvement in the matter.
8The CFO, in consultation with the Vice-Chancellor, may report evidence of fraud or corruption to the police and, where required, to the Victorian Minister for Finance and the Auditor-General.
9The CFO will report all fraud and corruption matters to the Audit and Risk Committee.
10The CFO will notify the Director, Quality and Standards if allegations of fraud and corruption have been substantiated. The Director will ensure that the Tertiary Education Quality and Standards (TEQSA) is notified where required under the TEQSA Act.
11Where a staff member or a student of the University is involved in an incidence of fraud or corruption in the course of their University duties, the University may take appropriate disciplinary measures, in accordance with University legislation and policy (see Staff Discipline Policy and Regulation 04.1(1) - General Misconduct).
12The University will actively pursue the recovery of any money or property lost through fraud or corruption if there is a strong prospect of a net benefit to the University from such action, as determined by the Vice-Chancellor on the recommendation of the CFO.
ASSOCIATED INFORMATION

Code of Conduct
Fraud and Corruption Reporting Flowchart
Internal Audit Charter
Performance Management Policy
Prevention and Control of Fraud and Corruption Policy
Recruitment of Casual Staff Procedure
Recruitment of Staff Procedure
Risk and Compliance Policy
Risk Management website
Staff Discipline Policy

RESPONSIBLE OFFICER

The Chief Financial Officer is responsible for the development, compliance monitoring and review of this policy and any related procedures.

IMPLEMENTATION OFFICER

The Director, Corporate Governance, Risk and Compliance Services is responsible for the promulgation and implementation of this policy throughout the University.



Printed copies of this document may not be current. Please refer to The Guide for the most recent version.
Deakin University 2015