Policies and procedures
The University of South Australia is committed to maintaining high standards of ethical conduct through all of its activities. This was demonstrated by the adoption of the Code of Ethical Conduct by Council in 1999.
There are a set of potential behaviours that are inconsistent with the Code, which also may contravene criminal law. The procedures described in this document will come into effect where it is suspected that fraud or corrupt conduct has occurred which has or may have adverse effects on the University or any of its stakeholders. Examples of the types of behaviour that might be covered are fraud, theft, misuse of resources, falsification of records, bribery and kickbacks.
All staff of the University have the right to work in an ethical environment of which they can be proud. Instances where ethical conduct is seen to be breached can affect the working environment for all staff who become aware of the circumstances. The Fraud Control Procedures encourage the disclosure of perceived breaches, while maintaining a focus on natural justice.
Fraud Control Procedures
Disclosures/complaints
1.1 If you have information related to suspected breaches of the University's Code of Ethical Conduct, you are encouraged to report this information to your supervisor.
1.2 Information should be forwarded as soon as possible.
1.3 If it is not possible to report the information to your supervisor, or your supervisor does not appear willing to listen to and act on your information, the information should be reported to your supervisor's supervisor, the Director: Planning and Assurance Services, or the Director Human Resources.
1.4 You should not attempt further investigation yourself.
1.5 Your personal interests will be protected consistent with guidelines adopted from the Whistleblower's Act (1993) (see Section 3 below).
2.1 Where a report/complaint is received by a supervisor/manager, a written summary should be requested from the originator. Where the originator does not wish to comply with this, the supervisor should take detailed written notes of the meeting. Supervisors are required to maintain confidentiality with respect to matters referred to them.
2.2 Where in the opinion of the supervisor/manager, after consideration of the information, the matter requires further investigation, the supervisor/ manager should immediately contact the Director: Human Resources. The Director: Human Resources (or nominee) will advise the relevant Pro Vice Chancellor, and the Director: Planning and Assurance Services.
2.3 The supervisor or the complainant should not, unless specifically requested to do so by the Director: Human Resources (or nominee):
2.3.1 Attempt to personally conduct investigations or interviews in order to determine whether a suspected activity is improper.
2.3.2 Contact the suspected individual(s) to determine facts or seek restitution.
2.3.3 Discuss any facts, suspicions or allegations associated with the matter.
2.4 The Director: Human Resources (or nominee) will conduct a preliminary investigation. Depending on the nature of the complaint, the preliminary investigation may utilise appropriate resources from any or all of the following areas: Planning and Assurance Services, Human Resources and other relevant University personnel.
2.5 On completion of the preliminary investigation, the Director: Human Resources (or nominee) will consider the outcomes, including any reports from assisting areas, and brief as appropriate the relevant Pro Vice Chancellor and the Vice Chancellor. Legal advice will be sought where appropriate by the Director: Human Resources (or nominee) to ensure that documentation supports.
2.5.1 Appropriate personnel action and natural justice.
2.5.2 Protection of innocent parties
2.5.3 Appropriate civil or criminal actions
2.5.4 Documentation of claims to University insurers
2.5.5 Preservation of the integrity of any criminal investigation and prosecution; and
2.5.6 Avoidance of any unnecessary litigation
2.6 If a Police report is recommended due to the nature of the allegations, this will be initiated by the Director: Human Resources after consulting with the Vice Chancellor.
2.7 The Director: Human Resources will be responsible for coordinating internal disciplinary action processes.
2.8 The Vice Chancellor is responsible for determining appropriate disciplinary action.
3.1 While the Act does not apply to the University, the University has adopted the general provisions of the Act. The following are some general concepts from the Whistleblowers’ Protection Act (1993) that should guide the conduct of all participants involved in the resolution of a disclosure:
4.1 The University is obliged to report to the Police any matter of a criminal nature. Subject to the outcomes of internal investigations, information gathered may be forwarded to the appropriate authorities for further action at their discretion.
4.2 In reality, the Police will not take action on all reported matters. The fact that the University will not pursue a matter through the courts does not influence the need to externally notify.
