Individuals who reasonably suspect the occurrence of fraud or financial misconduct in the context of the University’s activities should report their concerns as soon as possible through the following channels:
Where the individual wishing to make a report is a member of the University’s staff or an associated person, they may also discuss their concerns with the following personnel:
- their line manager;
- their Head of Administration & Finance or Head of Department;
- the Head of Risk, Compliance and Assurance;
- the Senior Counter Fraud Lead and Financial Compliance Manager; or
- the Registrar.
Following discussions with the above personnel, where the suspicion of malpractice remains it should then be reported directly to the Head or Risk, Compliance and Assurance, via an email to firstname.lastname@example.org
In the case of complaints concerning a student or students, these reports will be reviewed by the Proctor, instead of the Registrar.
Reference to the Registrar shall be taken to mean a Pro-Vice-Chancellor where the disclosure involves the Registrar.
Disclosures, which should normally be in writing, should provide as much supporting evidence as possible about the grounds on which the disclosure is being made and about the grounds for believing that malpractice has occurred.
The Registrar or Proctors, as appropriate, shall decide whether the concern is such as should be addressed under other existing University procedures, for example in relation to harassment, grievance, discipline, or fraud, or whether further investigation is required. If the Registrar or the Proctors are of the opinion that further investigation is necessary, additional steps shall be taken as follows:
a.) Where the concerns relate to integrity in the conduct of research, investigation shall be carried out under the provisions of the code of practice and procedure relating to academic integrity in research.
b.) Where the concern relates to the activities of Student Members of the University only, these shall be investigated by the Proctors under their published procedures.
c.) In the case of other concerns, these shall be brought to the attention of the relevant head of department, faculty board chair, head of division or Pro-Vice-Chancellor as appropriate, who shall, in consultation with the Registrar, conduct an investigation or shall establish a small panel to conduct an investigation.
d.) The individual or panel conducting the investigation shall be entitled to draw on appropriate expertise where necessary (for example in the event of allegations of financial irregularity).
e.) If any individual is associated with the matter under investigation, the Registrar shall appoint another to act in his or her place.
f.) The Registrar shall provide the investigator or investigative panel with its terms of reference and shall assure himself or herself that at least one of those who are asked to investigate a disclosure either have or are able to acquire the necessary expertise and training to deal fully and properly with the subject matter of the disclosure.
The Registrar or the Proctors, as appropriate, shall inform the person making the disclosure and, at an appropriate stage, the subject of the disclosure, of the nature of the investigation to be undertaken and the likely timescale. Where a disclosure is made, the person or persons against whom the disclosure is made shall normally be allowed to comment before any investigation is concluded under this procedure.
Where the investigator or investigative panel believes that the investigation reveals prima facie evidence of misconduct, the matter shall be referred to the appropriate body for disciplinary action under the terms of the University's Statutes and Regulations.
In all cases, the matter shall be investigated as speedily as is consistent with thoroughness and fairness. The Registrar or the Proctors, as appropriate, shall report in each case to the appropriate university committee or other body the final outcome of any investigation and of any disciplinary action that might arise from it, and shall draw to the attention of Council, via the appropriate committee, any issues of general importance.