Policy on Fraud Reporting

Transcription

1 Status: Approved Custodian: Director: Finance and Administration Date approved: Decision number: SAQA 0893/11 Implementation date: Due for review: File Number: 1

2 Table of Contents: BACKGROUND:... 3 PURPOSE... 3 OWNERSHIP... 3 SCOPE OF PRACTICE... 3 RELATED PROCEDURE... 3 TYPE OF POLICY... 3 PURPOSE OF THE POLICY... 4 GUIDING PRINCIPLES

3 BACKGROUND: SAQA is committed to the highest possible standards of probity and to maintaining governance arrangements that are efficient and effective; timely and expedient; open and transparent and collegial. In addition, SAQA is committed to governance arrangements which meet relevant legal requirements and obligations, which provide for proper accountability and which promote integrity and objectivity in the conduct of SAQA business. SAQA is also committed to ensuring that it has procedures in place to help expose any malpractice, misconduct, fraud, corruption, mal-administration or other impropriety. In line with these commitments, SAQA requires Board members, employees, and others that it deals with, who have serious concerns about any aspect of SAQA s work, to come forward and voice those concerns. PURPOSE The purpose of this policy is to clearly state the Policy as it pertains to Fraud Reporting OWNERSHIP The Finance and Administration Directorate is the custodian of this policy. SCOPE OF PRACTICE This policy applies to SAQA Board members, employees and others that SAQA deals with. RELATED PROCEDURE The Procedure on Fraud Reporting is to be read and implemented with this policy. TYPE OF POLICY This policy and its related procedure are of a strategicl nature. 3

4 PURPOSE OF THE POLICY This policy aims to: encourage the persons mentioned above to feel confident in raising concerns and to question and act upon those concerns; provide avenues for those concerns to be raised and for feedback on any action taken to be received; ensure that persons raising concerns receive a response to their concerns; reassure persons raising concerns that they will be protected from possible reprisals or victimization if they have a reasonable belief that they have made any disclosure in good faith. GUIDING PRINCIPLES SAQA draws the attention of its employees to the provisions of the Protected Disclosures Act 26 of 2000 ( the PDA ). A copy of the PDA is prominently displayed on SAQA s notice board. Broadly, the PDA is intended to protect employees from victimization by employers as a result of making disclosures. Certain disclosures are considered to be protected under the PDA if the disclosure is made properly to specified persons. Therefore, a disclosure to SAQA made by an employee who suspects a co-employee (including management) of involvement in a malpractice or impropriety in the workplace, will be protected if disclosure is made in good faith, and if it substantially accords with SAQA s policies and procedures for disclosure. Employees who follow the authorized procedure may not be subjected by SAQA to an occupational detriment. An occupational detriment is defined in the PDA to include disciplinary action, being dismissed, suspended, harassed or intimidated and being refused transfer or promotion. If SAQA is to maintain the highest standards of conduct, it must be given the opportunity to investigate any suspected instance of malpractice or impropriety. It may be that an allegation proves to be unfounded, but it is in everyone s interest and those of SAQA as a whole that all allegations are investigated and properly resolved. SAQA therefore affirms that unless the person making the disclosure is acting in bad faith, maliciously, or frivolously, he or she will, if concerns have been raised about malpractice or impropriety in terms of this policy, be acting responsibly and properly; this is true even if the concern turns out to be due to a misunderstanding or otherwise groundless. 4

5 SAQA does, however, have a duty to protect its employees (including management) and members from malicious or frivolous complaints and from complaints made for personal gain. Appropriate disciplinary action may be taken against anyone found to have been acting in these ways in bringing forward an unfounded allegation. The authorised procedure, which is set out in the Fraud Reporting Procedure, must be followed by any employee making a disclosure, so as to afford him or her protection under the PDA. Although this list is not exhaustive, instances of serious malpractice or impropriety might include: criminal activity; financial malpractice or fraud, and non-financial mal-administration or other impropriety; corruption; failure to comply with legal obligations; improper conduct or unethical behaviour; sexual or racial harassment or work-place bullying; abuse or misuse of SAQA property; attempts to conceal any of the above. All concerns, which are disclosed to SAQA in terms of the Fraud Reporting Procedure, will be treated in confidence. Every effort will be made not to reveal the identity of the person making the disclosure if that person so desires unless this is incompatible with a fair investigation or unless there is an overriding reason for disclosure. At the appropriate time, however, the person making the disclosure may need to come forward as a witness in subsequent proceedings including internal disciplinary, criminal or civil proceedings. This policy encourages persons to put their names to any allegations made. There may be occasions when the person feels that the circumstances of any allegation of malpractice or impropriety are such that he or she can only make a disclosure anonymously. Unfortunately, it can be difficult to investigate anonymous disclosures properly, and equally difficult to make judgments about the extent to which such a disclosure has been made in good faith (a requirement of the PDA in order for the disclosure to be protected). 5

6 Concerns expressed anonymously are much less powerful but will be considered at the discretion of SAQA. In exercising this discretion, the factors to be taken into account by SAQA will include: the seriousness of the issue raised; the credibility of the concerns; the evidence submitted in support of the allegation; and the likelihood of confirming the allegation from attributable sources. It follows then, that there may be instances in which, having taken all the information available into account, SAQA might not pursue anonymous allegations. The attention of employees is drawn to the fact that protection in terms of the PDA is only available to employees. It follows therefore that if a disclosure is made anonymously it will not be possible to ascertain whether or not the person making it is an employee and accordingly such person will not enjoy protection. If an allegation is made in good faith, but it is not confirmed by the investigation, no action will be taken against the person making the disclosure. If however an allegation is made maliciously, frivolously or for personal gain, disciplinary action may be taken against the person concerned. 6