Fraud Risk Assessment - Sefako Makgatho Health Sciences University

This Section seeks to answer the following:

A. Function
Finance & Supply ChainHuman Resources & MarketingSecurity & CateringStudent AffairsICT and LibrariesTransport and CleaningInstitutional Planning and ResearchSchoolsGovernance, Registrar, RiskOther
B. Level
Executives/ HODs, Senior ManagersMiddle Management/ SupervisorsAcademic StaffSupport StaffOther
C. Affiliation
Member of professional body (i.e. Nursing Council, HPCSA, Dental Council etc.)Member of Union (i.e. Nehawu, Numsa, SAPTU)Non -member of the above

1. According to you, does management set an example and enforce a zero tolerance approach on fraud issues?
YesNoDon’t Know
2. Do employees, suppliers, and customers know how to report a suspected incidence of fraud?
YesNoDon’t Know
3. Are exit interviews conducted with departing employees?
YesNoDon’t Know

4. Are you are of the existence of the written code of ethics and professional conduct?
YesNoDon’t Know
5. Do you think that the University encourage good ethical behaviour and is the University committed to addressing unethical behaviour?
YesNoDon’t Know
6. Is there ongoing fraud that you are aware of?
YesNoDon’t Know

7. Do you think that fraud is considered in the design and implementation of internal control structures?
YesNoDon’t Know
8. Are adequate monitoring controls in place and effective to identify red flags for fraud?
YesNoDon't Know
9. Is there appropriate use of electronic access control, closed-circuit television, electronic surveillance, and so on?
YesNoDon't Know
10. Is there a requirement that employees take minimum numbers of annual leave days?
YesNoDon't Know
11. Are you aware that in terms of policy, there is provision for instant dismissal for commission of fraud?
YesNoDon't Know
12. Are you aware of incidents were Employees/management were hiring someone close to them over another more qualified applicant?
YesNoDon't Know
13. Do employees use University resources for personal gain or favor a particular suppliers or clients in which they have financial interest?
YesNoDon't Know

1. Have you ever witnessed cheating during an exam?
YesNoDon't Know
2. Are there regular instances of academic dishonesty within your work environment?
YesNoDon't Know
3. Have you experienced an incident where another’s author’s ideas without due citation?
YesNoDon't Know
5. Have you experienced a staff member/student lending a paperwork to be copied?
YesNoDon't Know
6. Have you experienced a staff member/student downloading a paper from the Internet and presented it as their own?
YesNoDon't Know

1. Are there any delays in the recording of expenses to the next accounting period?
YesNoDon't Know
2. Do employees apply for multiple reimbursements of the same expenses?
YesNoDon't Know
3. Do employees submit inflated or false expense claims?
YesNoDon't Know
4. Are invoices from service providers processed promptly upon receipt?
YesNoDon't Know
5. Are invoices matched with Purchase Orders and goods received notes?
YesNoDon't Know

1. Which reporting mechanism do you prefer to report fraud or abuse within the University?
Supervisor or other upper level managementRisk Management uniColleaguesPublic ProtectorFraudline
2. Frequent small thefts can add up to a lot of money. If you knew that someone was stealing from the University, what would you do?
I will immediately report the person to the relevant officeI will report him/her to the supervisorI will confront him/her about itKeep quite as long it does not involve me
3. Are you aware of anyone who does any of the following during work time?
Runs a personal businessSpends a great deal of time surfing the internetReceives gifts from outside businesses or individualsDisappears for large blocks of time
4. Has anyone asked you to commit an improper, illegal, or unprofessional act(s), or a breach or circumvention of a policy, procedure, or practice?
YesNo
If yes, please provide details.
5. Have you witnessed an improper, illegal, or unprofessional act(s), or a breach or circumvention (by-passing) of a policy, procedure, or practice?
YesNo
If yes, please provide details.
6. Has anyone ever threatened you or intimidated you, regarding your disclosure of any potential workplace impropriety?
YesNo
If yes, please Describe
7. What are the top fraud and corruption incidents that could occur in the schools/Support Units?
8. Are there any concerns/risks related to fraud and corruption that you would like to bring to the attention of the Risk Management team?