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Administrative and Financial

Fraudulent Activities, Prohibition of

Scope

Faculty, staff, and students

Policy Statement

The purpose of this policy is to set forth responsibilities of members of the Syracuse University community in connection with situations involving actual or suspected fraudulent activity against the University. This policy also provides information on how to report known or suspected fraudulent activity.

Fraudulent activities are expressly forbidden at Syracuse University, and may also constitute criminal acts subject to prosecution under the law. All members of the University community are expected to safeguard with the utmost diligence the University's reputation and any University assets (e.g., funds, tangible property, and intellectual property) entrusted to their care. For purposes of this policy, a fraudulent act means any dishonest or unethical act including, but not limited to, the following:

  • Intentional misappropriation of University funds, such as embezzlement
  • Theft of University assets, including (without limitation) money, securities, tangible property, or intellectual property
  • Transactions or relationships involving a conflict of interest (e.g., taking inappropriate advantage of one's association with the University for personal gain)
  • False statements, either verbally or in writing, about material facts for the purpose of obtaining workers' compensation or disability benefits for which he or she is not entitled
  • Inappropriate use of University computing systems
  • False claims by or at the request of students, employees, vendors or others having a relationship with the University
  • Offering, soliciting, paying or receiving bribes or kickbacks
  • Alteration or falsification of University records or documents
  • Intentional misrepresentation of material facts
Duties and Reporting Responsibilities

Faculty, staff and administrators at all levels within the University are expected to set a tone of intolerance for fraudulent acts by supporting compliance with applicable University policies and procedures, as well as applicable laws, rules, regulations and high standards of ethical conduct. Each member of the University community has a responsibility to report known or suspected fraudulent activity by notifying either his or her immediate supervisor, or the Office of Audit & Management Advisory Services (AMAS). Departmental administrators who receive reports of actual or suspected fraudulent activity should not take further action to resolve the alleged misconduct before consulting and receiving guidance from AMAS.

To confidentially report suspected fraudulent activity relevant to Syracuse University's financial or business operations, individuals are encouraged to utilize the web-based hotline reporting system developed for this purpose.

Investigation

In the event the University believes that a fraudulent activity has been committed against it, AMAS will conduct an investigation to determine the facts. All members of the University community are expected to cooperate fully and unconditionally with investigations of actual or alleged fraudulent activity.

Confidentiality

Reporting suspected fraudulent activity is a service to the University and reports made in good faith will not jeopardize the reporting person's employment. While all allegations will be reviewed based on the information that is available, disclosure of the reporting person's identity provides greater credibility to the report and can greatly assist in the successful completion of an investigation. If a reporting person feels compelled to report anonymously, the report should contain enough facts to facilitate a meaningful investigation. All investigations will be conducted confidentially, and source information will be held in confidence, to the extent reasonably possible. It is the University's policy to report criminal fraudulent activities to the appropriate law enforcement authorities for prosecution. In these circumstances it may not be possible for the University to maintain confidentiality.

Reporting Results

Some allegations may quickly be determined to be unfounded or resolved in a short amount of time, while others may require detailed investigation and may result in referral to appropriate law enforcement authorities for legal prosecution.

Disciplinary Action

Employees found to have participated in fraudulent activity are subject to disciplinary action, including possible termination of employment, as determined by the Office of Human Resources. Students found to have participated in fraudulent activity as a result of an investigation are subject to disciplinary action, as determined by the Office of Student Rights and Responsibilities. The University also reserves the right to prosecute any and all such individuals to the fullest extent allowed by law.

Policy Administration

Links to Procedures and Related Information

Date: November 2002


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