On April 28, 2017, President Cross approved revisions to UW System Administrative Policy 304 (Formerly F16), Fiscal Misconduct. On May 1, 2017 Interim Vice President for Finance Julie Gordon approved the associated procedure, UW System Administrative Procedure 304.A, Fiscal Misconduct: Reporting and Review Process. This policy and procedure govern the reporting and review of instances of suspected fiscal misconduct at UW System institution.

Summary of changes:

SYS 304

  • Change title of policy from ‘Breach of Fiscal Integrity’ to ‘Fiscal Misconduct.’ This change in language is reflected in the policy.
  • Separation of procedure for reporting, investigation, and resolution of acts of fiscal misconduct. Creation of SYS 304.A, Fiscal Misconduct: Reporting and Review Process.
  • Adds definition of fiscal misconduct and provides examples of what fiscal misconduct is.
  • Outlines expectations of individuals when managing or using the university’s fiscal resources.
  • Explicitly provides protection for individuals who report in good faith suspected instances of fiscal misconduct against adverse employment actions.
  • Formatting changes to conform to UW System Administrative policy standards as approved in May 2016.

SYS 304.A

  • Outlines the process for reporting, investigating, and resolving instances of actual or suspected fiscal misconduct:
    • establishes options for an individual to report to supervisor or one of four alternatives;
    • places the responsibility on institutions to conduct preliminary review into circumstances of the matter and to either:
      • 1) resolve the matter at the institution; or
      • 2) report the matter to the Vice President for Finance and Chief Audit Executive when the suspected misconduct has caused or is likely to cause significant financial, legal, and/or reputational risk to the UW System or the institution.
    • designates that the Chief Audit Executive convene a working group of System and institutional officials to thoroughly review the matter if the matter is has caused or is likely to cause significant financial, legal, and/or reputational risk to the UW System or the institution. Membership of a working group may differ depending on the circumstances of the suspected misconduct.
    • assigns a designated working group responsibility for:
      • determining whether a violation has occurred; and
      • notifying the institution of the results of the review and any opportunities for improvement moving forward.
    • Continues to provide that the chancellor is responsible for determining potential future action, including the implementation of any disciplinary action in line with institutional/UW System policies and procedures.
  • Clarifies applicability of procedure in cases of suspected misconduct involving chancellors.
  • Updates titles of offices to reflect current nomenclature.
  • Formatting changes to conform to UW System Administrative procedural standards as approved in May 2016.