Policy: Fraud and corrupt conduct

Purpose

The Australian National University (ANU) has no tolerance for, and denounces all forms of, fraud and corrupt conduct.

This policy aims to:

• set out the principles behind the University’s approach to fraud and corruption;
• provide guidance concerning behaviour that constitutes fraud and corruption;
• outline the responsibilities and behaviour expected in relation to any suspicion or detection of fraud or corruption.

Overview

The University is required under section 10 of the Public Governance, Performance and Accountability Rule 2014 made under the Public Governance, Performance and Accountability Act 2013 (PGPA Act) to take all reasonable measures to prevent, detect and deal with fraud and corruption.

Under the National Anti-Corruption Commission Act 2022 (NACC Act), the University must provide mandatory reports, referrals and/or conduct investigations of serious or systemic corrupt conduct, as directed by the National Anti-Corruption Commissioner (the Commissioner).

This policy has been developed having regard to the Commonwealth Fraud and Corruption Control Framework 2024.

Supplementary documentation that assists in the interpretation and application of this policy includes the University’s Fraud and Corruption Control Plan 2025-2027.

Scope

This policy applies to all staff, students, Visiting and Honorary Appointments (VaHA), volunteers, affiliates, contractors, controlled entities, and persons or organisations authorised to undertake University related business.

Matters relating to falsification of research results or research misconduct are managed separately under the Research Misconduct and Serious Research Misconduct procedure and matters relating to academic and student misconduct are dealt with through the Discipline Rule 2021, ANU Academic Integrity Rule 2021 and Student Code of Conduct policy.

Definitions

Corrupt Conduct: as defined in Section 8 of the NACC Act, is any action that could or does negatively impact a public official's ability to perform their duties honestly and impartially, including but not limited to:

• Any action by a public official that involves a breach of public trust;
• Any action by a public official that involves the misuse of information or documents obtained while acting as a public official;
• Any action by a public official that involves the abuse of their office.

Serious Corrupt Conduct: corrupt conduct that is significant, more than negligible or trivial but does not have to be severe or grave.

Systemic Corrupt Conduct: corrupt conduct that:

• involves more than an isolated case, involves a pattern of behaviour, or affects or is embedded in a system;
• can occur in one or multiple business areas, and can involve one or multiple individuals;
• does not have to be coordinated.

Fraud: dishonestly obtaining (including attempting to obtain) a benefit, or causing a loss or risk of loss, by deception or other means. Benefits may be financial, such as misappropriating property and false invoicing, or non-financial, such as document falsification and non-disclosure of information for a dishonest purpose. Intent to defraud is necessary for an offence to have been committed.

PGPA Act is the Public Governance, Performance and Accountability Act 2013.

NACC Act is the National Anti-Corruption Commission Act 2022.

Public Official means:

• Council and its Committee members
• Vice Chancellor and Executive
• Staff members, visiting fellows and honorary appointments, consultants, independent contractors, affiliates, volunteers, or persons authorised to undertake University related business
• Any individual employed by the Commonwealth and performs duties for the University.

Policy statement

Principles

1. The University considers fraud and corruption a serious matter and is committed to preventing the incidence of fraud and corruption.
2. The University Executive will promote a culture where all staff are responsible for preventing fraud and corruption, fostering an environment of vigilance and accountability.
3. University staff must:

1. comply with this policy, the Code of conduct policy, relevant legislation, and terms and conditions of employment in the performance of their work;
2. act honestly and exercise skill, care and diligence in the performance of their duties;
3. not intentionally cause unacceptable risk to the reputation or financial viability of the University;
4. observe the highest standards of integrity in financial matters and supporting processes;
5. refrain from engaging in any behaviour or activity that may be considered fraudulent or corrupt;
6. disclose to their supervisor actual, potential or perceived conflicts of interest; and
7. report any suspected fraud or corruption as outlined in this policy.

Reporting

4. University officers, employees or students who become aware of suspected fraud or corrupt conduct are expected to report such suspicion to one of the following:

1. Direct supervisor
2. University Executive
3. General Council or
4. Chief Risk Officer

5. Any reports of suspected fraud or corruption made to any of the above, must be referred to the Chief Risk Officer.
6. Alternatively, an individual may wish to make a report under the University’s Public Interest Disclosure (PID) policy (directly to the university PID officer) in order to be eligible for legal protection under that policy.
7. The University will take necessary action to protect the identity of an individual who makes a report under the PID policy, subject to applicable legal requirements. However, the disclosure of the subject matter of a report is permitted where it is reasonably necessary for the purpose of investigation.
8. Irrespective of the manner of notification, all reports will be managed in accordance with the most relevant and appropriate legislation that is applicable to the matter.
9. The University does not tolerate vexatious and frivolous reports and may initiate disciplinary proceedings where reports of this nature are found.
10. Where the University is made aware of an actual or suspected significant or systemic fraud or corrupt conduct, the University will notify, as soon as is practicable, the responsible government official in accordance with the applicable policies, legislation and/or ministerial direction.
11. The University’s Audit Finance and Risk Committee will also be notified of the incident.
12. Under the NACC Act, the University has an obligation (via the Vice Chancellor’s office) to report to the National Anti-Corruption Commission corruption issues that is believed to involve serious or systemic corrupt conduct.
13. The University is also obliged to inform the responsible minister in the event of a NACC investigation involving a member of the University (unless there is a non-disclosure direction)

Investigation

14. All University officials must cooperate fully with fraud and corrupt conduct investigations carried out internally, by law enforcement or other investigative authorities.
15. If a matter is reported under the University’s PID policy, the PID Officer will assess whether the matter requires further investigation under the PID policy or whether it falls under the fraud and corruption investigation process.
16. Investigations into reports of fraud or corrupt conduct will be undertaken and recorded in accordance with relevant legislation (including the NACC Act), the University’s Enterprise Agreement and applicable policies and procedures.
17. The university my seek a subject matter expert to lead an investigation.
18. Information relating to suspected fraud or corrupt conduct is collected and handled appropriately having regard to the principles of confidentiality and natural justice and the requirements for reporting to the relevant law enforcement authorities.
19. The University will take appropriate disciplinary action against ANU employees or students found to be involved in fraudulent or corrupt conduct, in accordance with University policies, including the Enterprise Agreement, and relevant legislation.

Outcome of Investigation

20. Once an investigation is completed, the University will seek appropriate remedies, including sanctions or legal action against individuals or entities engaged with the University in relation to University business, where fraudulent or corrupt conduct is identified.
21. If, during the course of an internal or external investigation, it is determined that criminal offences may have been committed, the University will report the matter to the Australian Federal Police or the National Anti-Corruption Commission, as deemed necessary, for further investigation and potential criminal proceedings.
22. Following an investigation, upon the recommendation of the Australian Federal Police or the NACC Commissioner, sanctions for fraudulent or corrupt activity will be applied. These may include termination of employment, actions to prevent or rectify the conduct, and the adoption of measures to address policy deficiencies.
23. Reports of fraudulent or corrupt conduct may be investigated regardless of when the conduct occurred, whether before or after the commencement of the NACC Act.
24. The University will seek to reclaim monies or other resources misappropriated through fraudulent or corrupt conduct and will take appropriate disciplinary action against staff members found to have engaged in such activity.