Prevention and Control of Fraud and Corruption Procedure

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Section 1 - Preamble

(1) This Procedure was approved by the Vice-Chancellor on 19 December 2007 and includes all amendments 4 November 2011.

(2) This Procedure is pursuant to the Prevention and Control of Fraud and Corruption Policy.

Section 2 - Purpose

(3) To outline the processes involved in identifying and reporting fraud and corruption at the University

Section 3 - Scope

(4) This Procedure excludes matters of academic misconduct.

Section 4 - Policy

(5) Refer to the Prevention and Control of Fraud and Corruption Policy.

Section 5 - Procedure

(6) The 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.

(7) Identified fraud and corruption risks will be included by Faculties, Institutes and other areas on all relevant risk registers.

(8) The findings of fraud and corruption risk assessments will be reported to the Planning and Resources Committee and the Audit and Risk Committee.

(9) Staff 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.

(10) If the matter involves the CFO, then the report is to be made to the Vice-Chancellor.

(11) Where 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.

(12) The CFO may utilise the services of an appropriate independent person to assist in forming a view as to the requirement for an investigation.

(13) The CFO may appoint an appropriate independent person to investigate a potential incidence of fraud or corruption. The investigator must not be:

  1. involved directly or indirectly with the matter under investigation
  2. connected professionally or personally with any person suspected of involvement in the matter.

(14) The 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.

(15) The CFO will report all fraud and corruption matters to the Audit and Risk Committee.

(16) The CFO will notify the Director, Academic Governance and Standards if allegations of fraud and corruption have been substantiated. The Director, Academic Governance and Standards will ensure that the Tertiary Education Quality and Standards (TEQSA) is notified where required under the TEQSA Act.

(17) Where 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 4.1(1) General Misconduct).

(18) The 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.

Section 6 - Definitions

(19) There are no definitions arising under the procedure.