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Frequently Asked Questions

Why do we have a Fraud Reporting Program?
Who is responsible for administering the Program?
When should you use the Program?
How will individuals reporting suspicious acts or behavior be treated?
How do you report inappropriate actions?
Specific contact information for reporting incidents
Related Information


Why do we have a Fraud Reporting Program?

Best business practices affirm that a fraud reporting program is an integral part of a good business environment. The University has financial and operating controls in place to provide reasonable assurance that fraudulent, illegal or dishonest activity by employees, officers, trustees, business contacts or others is prevented or detected. However, management recognizes the potential for inappropriate activities and behavior still exists. To ensure our controls are effective, management is establishing this Fraud Reporting Program to provide a mechanism for individuals to report improper or inappropriate activities not identified by existing controls.

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Who is responsible for administering the Program?

The Internal Audit Department is responsible for the administration of the Fraud Reporting Program. Any questions regarding the Program can be addressed by calling the Internal Audit Department at 214-768-4767, emailing Dexter Burger at dburger@mail.smu.edu, or by sending a letter to the department at SMU Internal Audit, P.O. Box 750293, Dallas, TX 75275-0293.

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When should you use the Program?

There may be times when employees, students or other University contacts suspect or become aware of questionable acts concerning the University. Reportable activities include, but are not limited to: theft, embezzlement, improper reporting of time (e.g., timecard, exception leave reporting), payments, misuse or questionable use of cash, diversion of or lack of timely deposit of University revenues, credit card fraud, inappropriate communication of confidential information (e.g., pay, social security information, other protected personal or financial information, grades), and any other illegal or questionable acts.

The Program is not designed to monitor personnel issues, which should be addressed through departmental management, Human Resources or the Office of Institutional Access and Equity. However, it is appropriate to report certain discriminatory actions (e.g., age, sexual, religious discrimination) that put the University at risk.

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How will individuals reporting suspicious acts or behavior be treated?

Individuals who file reports through the Program will be handled discreetly and confidentially. Reporting individuals can be anonymous if they have concerns about being identified. In those instances, Internal Audit will “sanitize” all information before sharing it with others. However, whether reporting individuals prefer to be anonymous or not, they will not suffer any recrimination as a result of coming forward with their concerns. The Program is fully supported by management and has been established to provide a mechanism to report suspected inappropriate activities. We want you to feel confident about using the program.

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How do you report inappropriate actions?


There are multiple means by which reports may be made. Internal Audit (IA) will monitor a dedicated fraud reporting telephone number, an email/website, a facsimile number and a mail address dedicated to this program. IA will keep records of all communications received, either handling the investigations personally or, if determining reports to be business issues, coordinating disposition or further investigation with the appropriate office. Depending on the nature of the suspected offense, IA may work with or forward the information to the SMU Police Department, Legal Affairs, the Controller’s Office, Risk Management, Human Resources, the Office of Sponsored Research Administration, Student Judicial Programs or another relevant office. IA will not forward any information revealing the reporting individual’s identity if anonymity has been requested.

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Specific contact information for reporting incidents:

Dedicated Fraud Reporting Program Number for anonymous reporting: 214-768-9276
Internal Audit direct line: 214-768-4767
Email address: fraud@smu.edu
Website: http://www.smu.edu/fraud
Fax number: 214-768-7426
Mail Address: SMU Internal Audit, P.O. Box 750293, Dallas, TX 75275-0293

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Other Information: Below are Links to other related policies and relevant websites:

University Policies: http://www.smu.edu/policy/
Human Resources: http://www.smu.edu/hr/
Police Department: http://www.smu.edu/pd/
Institutional Access and Equity: http://www.smu.edu/aao/
Controller's Office: http://www.smu.edu/controller/
 

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