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Oxford University Gazette, 20 January 2005:
Notices


[Note. An asterisk denotes a reference to a previously published or recurrent entry.]

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GENERAL NOTICES

UNIVERSITY PREACHERS, HILARY TERM

Corrigendum

It is regretted that there is an error in the overall title of the Bampton Lectures 2005, printed in the Gazette of 13 January (p. 481). The correct title is: `Seeing the world and knowing God: ancient wisdom and modern doctrine'.

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PROCEDURES FOR DEALING WITH CASES OF FRAUD AND SUSPECTED FRAUD

[Note: The anti-fraud policy detailed here has been superseded by a new policy published in the Gazette on 7 February 2007: see www.ox.ac.uk/gazette/2006/7/supps/2_4796.pdf]

1. Introduction

(a) For the purposes of this procedure, fraud is defined as an irregular or illegal act or series of acts characterised by a deliberate intent to conceal or falsely represent an act or a series of acts, resulting in the diversion of resources whether or not for personal gain for the benefit of an individual or group of individuals at a consequent loss to the University.

(b) The objective of this procedure is to safeguard the proper use of the University's finances and resources, including the finances and resources of its subsidiary companies. The University, which derives much of its income from public funds, benefactions and charitable organisations, has a particular responsibility to ensure that income and resources are used solely for the purposes intended.

(c) Fraud is a serious matter and the Council of the University is committed to ensuring that all cases of suspected fraud are investigated. Any member of staff, regardless of their position or seniority, against whom prima facie evidence of fraud is found will be subject to disciplinary procedures that may result in dismissal.

(d) The University reserves the right to seek redress via civil proceedings against individuals whose fraudulent acts have resulted in financial loss to the University.

(e) The University reserves the right to involve the police in any case of fraud or suspected fraud at any stage of an investigation.

(f) The attention of staff is drawn to the University's financial regulations (http://www.admin.ox .ac.uk/statutes/regulations/271-062a.shtml).

2. Reporting suspected fraud

(a) Any member of staff who suspects that a fraud has been committed must report the matter immediately to Internal Audit (currently RSM Robson Rhodes LLP), e-mail alan.lees@rsmi.co.uk. Internal Audit will then advise the Registrar, the Director of Finance, the Head of Personnel Services and the head of department/faculty board chairman or the head of division of the suspected fraud. No other action should be taken, and no investigation should commence, without the explicit approval of the Director of Finance, as this may prejudice any subsequent action that the University may wish to take.

(b) An individual reporting a suspected fraud will not be penalised and will be protected from unwarranted detriment where the report is made in good faith and in the reasonable belief that the information reported is substantially correct (see the University's Code of Practice and Procedure on Public Interest Disclosure: http://www.admin.ox.ac.uk/ps/codes/p id.shtml). The University will treat all such reports in a confidential manner. In some cases, however, for the investigation to be carried out fully and for appropriate action to be taken, it may be necessary for the identity of the individual making the report to be disclosed. The individual will be advised before such disclosure is made.

(c) An investigation under this procedure will be treated as an investigation under the first part of the University's Code of Practice and Procedure on Public Interest Disclosure.

(d) In the event of any employee making malicious or vexatious allegations, disciplinary action may be taken against the employee concerned.

(e) Any person who believes that his or her concerns have not been fully investigated and dealt with under this procedure may request a review under the provisions of the Public Interest Disclosure Act 1999 (see the University's Code of Practice and Procedure on Public Interest Disclosure).

(f) It is essential that all those involved in a case of suspected fraud (including the person who reported the matter) observe the strictest confidentiality consistent with operating this procedure.

3. Action to be taken when fraud is suspected

(a) Any individual who is suspected of fraud will, subject to clause 3(b) below, be suspended immediately on the currently appropriate rate of pay pending a full investigation. In some cases it may also be necessary to suspend other staff in order to conduct a proper investigation. The suspension of a member of staff does not constitute a finding of misconduct against him or her. Any staff suspended as a result of suspected fraud will be informed of the reason for the suspension.

(b) Personnel Services must be consulted before any staff member is suspended, and on the conduct of the investigation. No one person, acting only on his or her own volition, may move to suspend a member of staff suspected of fraud.

(c) Individuals suspended for suspected fraud or to enable a proper investigation to be carried out will normally be required to leave the University's premises immediately and will not be permitted to return to the premises, to make contact with staff or witnesses, or to act/trade on behalf of the University, unless given express permission to do so by the relevant university authorities, during the period of suspension. Any infringement of this requirement will be treated as a disciplinary offence.

(d) The Registrar and the Director of Finance will decide whether the police should be involved at any stage of each fraud investigation, on the basis of recommendations made by Internal Audit and with the advice of the University Marshal.

(e) In cases where the police are involved, the University reserves the right to proceed with its own disciplinary procedures when it would be reasonable to do so, bearing in mind the staff members' rights to a reasonable investigation, to defend him/herself, and to a fair and impartial hearing.

4. The conduct of the investigation

(a) Internal Audit will ensure that all fraud investigations take account of appropriate professional practice, and guidance issued by HEFCE. Internal Audit will also ensure that an appropriate fraud response plan detailing the Internal Audit service's procedures is in place and is reviewed regularly.

(b) All reports of suspected financial irregularities or fraud will be investigated by the University's Internal Audit service. The Internal Audit service has unrestricted right of access to all vouchers, documents, books of account, computer data, and any other information which it considers relevant to its inquiries and which is necessary to fulfil its responsibilities. This includes the right to verify assets and to have direct access to any employee or person responsible for the administration or management of university funds with whom it is felt necessary to raise and discuss such matters (see Council Regulations 43, Part 3, Section 8.c) In cases that involve or may involve students, the Proctors will be informed by the Internal Audit service at an early stage.

(c) Fraud investigations shall be completed in a timely manner. Internal Audit will be responsible for ensuring that the Director of Finance and the Head of Personnel Services, and the Proctors in any cases involving students, are kept informed of the progress of the investigation.

5. The results of the investigation

(a) Internal Audit will prepare a report on the suspected fraud that will be sent to the Registrar, the Director of Finance and the Director of Personnel and Administrative Services, and to the Proctors in any cases involving students. The report may also be sent to the individual's head of division, head of department and/or line manager as appropriate. If the Vice-Chancellor is the employee under investigation, the report will be sent to HEFCE.

(b) The individual or individuals concerned will be informed of the outcome of the investigation when it has been completed.

(c) If the investigation concludes that there is prima facie evidence of fraud, then the matter will be referred under the University's disciplinary procedures (for staff under the jurisdiction of the Visitatorial Board as set out in Part D of Statute XII of the University's Statutes; for all other staff as set out in the relevant staff handbook). It will be the responsibility of the duly authorised person under those procedures to take forward the disciplinary process. Personnel Services must be consulted on all aspects of the process.

6. Reporting requirements

(a) All fraud investigations will be reported to the University's Audit Committee by Internal Audit, who will submit a report describing the incident and the outcome of the investigation, any subsequent disciplinary process, the action taken against the individual or individuals involved if the fraud was proven to have taken place, and any measures taken to prevent a recurrence of a similar fraud.

(b) Under the Accountability and Audit: HEFCE Code of Practice (HEFCE 2004/27 paragraphs 32 to 35) the HEFCE Chief Executive will be notified by the Vice-Chancellor, as the University's Accounting Officer, of any serious weakness that has resulted in an attempted, suspected or actual significant fraud or irregularity. Significant fraud or irregularity in this context will exist where one or more of the following apply:

(i) the sums of money involved are, or potentially are, in excess of £20,000;

(ii) the particulars of the fraud or irregularity are novel, unusual or complex; and

(iii) there is likely to be public interest because of the nature of the fraud or irregularity, or the people involved.

(c) In cases where fraud has resulted in disciplinary action and the police have not been involved, the Registrar will provide HEFCE with an explanation of this course of action.

7. Future references

All requests for references for individuals known to have been disciplined or dismissed for fraud must be referred to Personnel Services for advice on how to respond. In no circumstances must any person provide a reference for a member of staff whom they know to have been dismissed for fraud without first consulting Personnel Services.

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VISITORS OF THE OXFORD UNIVERSITY MUSEUM OF NATURAL HISTORY

Annual Report 2003–4

The Annual Report for 2003–4 of the Visitors of the Oxford Museum of Natural History has recently been published, and a copy may be obtained by any member of Congregation on request to the Administrator at the Museum, Parks Road.

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MAGDALEN COLLEGE

Organ recitals

Organ recitals will be given at 5.25 p.m. on the following Saturdays in the chapel, Magdalen College. Admission is free.

Sat., 22 Jan.: Henry Parkes, Organ Scholar, Christ Church Cathedral

Sat., 29 Jan.: Timothy Jones, Organ Scholar, Pembroke College

Sat., 5 Feb.: James Johnstone

Sat., 12 Feb.: Malcolm Pearce (organ) and Christopher Britton (recorder), Magdalen College School

Sat., 19 Feb.: Jonathan White, Organ Scholar, Lady Margaret Hall

Sat., 26 Feb.: Simon Johnson, Assistant Organist, St Albans Abbey

Sat., 5 Mar.: Richard Hills, Organ Scholar, Westminster Abbey

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QUEEN'S COLLEGE

Organ Recitals

The following organ recitals will be given at 1.10 p.m. on Wednesdays in the college chapel. Admission is free, with a retiring collection.

Further details may be found on the college Web site, http://www.queens.ox.ac.uk.

19 Jan.: Richard Pinel, Magdalen College

26 Jan.: Sam Bayliss, Somerville College

2 Feb.: Matthew Owens, St Mary's Cathedral, Edinburgh

9 Feb.: Daniel Turner, St Edward's School

16 Feb.: Andrew Wilson, Malvern Priory

23 Feb.: Gerard Gillen, National University of Ireland

2 Mar.: Ryan Leonard and Marianna Hay, Magdalen College

9 Mar.: Jessica Cottis, Tonbridge School

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Concert

There will also be a performance of Monteverdi's Vespers of 1610 by the Choir of Queen's College and the London Handel Orchestra (director, Owen Rees) at 8.15 p.m. on Thursday, 3 March, in Queen's College. Admission will be by programme (£12, £9 OAP, £6 students and unwaged), available at the door or by telephone or e-mail (telephone: Oxford (2)79173, e-mail: rosemary.rey@queens.ox.ac.uk).

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Saturday lunchtime recitals

Additionally there will be Saturday lunchtime recitals given by the Eglesfield Musical Society at 1.15 p.m. in the Chapel. Admission is free, with a retiring collection.

22 Jan.: Tom Wilkinson (piano), Jane Kendall (clarinet), Olivia Funnell (cello): Brahms, Trio for piano, clarinet, and violoncello in A minor, Op. 114.

29 Jan.: Edward Whiting (director): girl choristers from All Saints Church, Northampton: Britten, A Ceremony of Carols.

5 Feb.: Bryony Palmer (violin), Edward Gilbert (piano): music by Bach, Beethoven, and Schubert.

12 Feb.: Olivia Knibbs (soprano), Catherine Bradley (mezzo-soprano): music by Purcell, Handel, Mozart, and Delibes.

19 Feb.: Stephen Clark (clarinet), Joe Atkins (piano): Poulenc, Clarinet Sonata; Lutoslawski, Dance Preludes; Schumann, Fantasy Pieces.

26 Feb.: Barbershop quartet: Connie Wordsworth (soprano), Deborah Steele (alto), Mike Hallard (tenor), Joe Clarke (bass): music by Gershwin, The Cranberries.

5 Mar.: Philip Higham (cello), Eun-Hwa Yeom (piano): music by Schumann, Brahms, and Popper.

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APPOINTMENTS

PROFESSORSHIP OF MATHEMATICAL BIOLOGY

PHILIP K. MAINI, MA, D.PHIL., Fellow of Brasenose College and Professor of Mathematical Biology, has been appointed to the statutory Professorship of Mathematical Biology with effect from 1 October 2005.

Professor Maini will be a fellow of St John's College.

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CONFERMENT OF THE TITLE OF VISITING PROFESSOR

The Medical Sciences Board has conferred the title of Visiting Professor of Translational Medicine on C. BOUNTRA (PH.D. Edinburgh), Vice-President and Head of Biology, GlaxoSmithKline Research and Development, for a period of three years in the first instance from 1 February 2005.

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SOCIAL SCIENCES BOARD

The Social Sciences Board has reappointed D.F. HENDRY, MA (MA Aberdeen, M.SC., PH.D. London), Fellow of Nuffield College and Professor of Economics, as Head of the Department of Economics for three years from 1 October 2004.

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MATHEMATICAL AND PHYSICAL SCIENCES BOARD

The Mathematical and Physical Sciences Board has conferred the Headship of the Sub- department of Theoretical Physics on C. JORDAN, MA (B.SC., PH.D. London), Fellow of Somerville College and Professor of Physics, for a period of five years from 1 January 2005.

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