Policy number: 7.28

Policy section: Human Resources

Revised Date: January 2, 2019

1. Policy Statement

It is the policy of the University to identify and promptly investigate any possibility of dishonest, fraudulent, or illegal practices involving faculty, staff, students, vendors, agencies, or other parties.

2. Purpose

The purpose of investigating, documenting and reporting dishonest, fraudulent and illegal practices is to ensure a strong financial and ethical base of business transactions by disciplining and removing wrongdoers from the University; protecting the innocent; taking remedial and recovery actions when warranted; and managing the risk of loss of University assets.

3. Applicability

This policy applies to all University employees.

4. Department Administrative Rules, Procedures, Guidelines and Related Policies

The Department of Human Resources, under the purview of the Vice President for Business and Finance, has oversight and administrative responsibility for this policy and shall promulgate departmental rules, procedures, and guidelines pursuant to this policy.

5. Policy Enforcement

1. The University Director of Internal Audit has primary responsibility for conducting investigations of any possible impropriety pertaining to financial matters of the University.
2. Employees found to be in violation of this policy are subject to discipline under the applicable policies.

6. Questions

Questions regarding this policy should be directed to the Department of Human Resources at hradmin@smu.edu.

Revised: January 2, 2019

Adopted: June 1, 1994