{"id":5572,"date":"2026-04-24T10:03:27","date_gmt":"2026-04-24T15:03:27","guid":{"rendered":"https:\/\/uwm.edu\/policy\/?post_type=library&p=5572"},"modified":"2026-05-07T09:36:07","modified_gmt":"2026-05-07T14:36:07","slug":"appendix-a-fiscal-misconduct-review-process","status":"publish","type":"library","link":"https:\/\/uwm.edu\/policy\/library\/fiscal-misconduct\/appendix-a-fiscal-misconduct-review-process\/","title":{"rendered":"Appendix A: Fiscal Misconduct – Review Process"},"content":{"rendered":"\n
\n
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    \n

  1. Report Received<\/h2>\n

    A report of fiscal misconduct or suspected fiscal misconduct is received by the Vice Chancellor for Finance and Administrative Affairs (VC FAA) or a division\/unit. If a division\/unit receives the report, the division\/unit shall submit the report to the VC FAA directly or through the UWM Fiscal Misconduct Reporting Form. An acknowledgment is sent to the reporter.<\/p>\n<\/div><\/li>\n\n\n\n

  2. Information Review and Initial Investigation<\/h2>\n

    The report is reviewed to determine whether it contains enough information for the VC FAA to conduct a Preliminary Review per the UWM Fiscal Misconduct Policy.<\/p>\n\n\n\n

    If the report does not contain enough information for to conduct a Preliminary Review, the matter is referred to the division\/unit for an initial investigation to support the Preliminary Review. If necessary, it may be referred to an independent investigator. The initial investigation gathers basic facts to determine if it is likely that the alleged misconduct occured and for the VC FAA to determine if the alleged misconduct is likely to cause significant financial, legal, and\/or reputational risk to UWs or UWM.<\/p>\n<\/div><\/li>\n\n\n\n

  3. Preliminary Review by VC FAA<\/h2>\n

    Upon receiving a report of actual or suspected misconduct or upon receiving the initial investigation report, the VC FAA will conduct a Preliminary Review. A Preliminary Review determines whether the alleged misconduct is likely to cause significant financial, legal, and\/or reputational risk to UWs or UWM. If the alleged conduct is likely to cause significant financial, legal, and\/or reputational risk to UWs or UWM, the VC FAA notifies the Chancellor and refers the report to UWs.<\/p>\n<\/div><\/li>\n\n\n\n

  4. Full Investigation<\/h2>\n

    For reports not referred to UWs, \u00a0a full investigation is conducted by the division\/unit with periodic status updates, not less than quarterly, and immediate updates of critical discoveries to the VC FAA. Results of the investigation and proposed next steps are reported to the VC FAA.<\/p>\n<\/div><\/li>\n\n\n\n

  5. Final Disposition and Resolution<\/h2>\n

    The VC FAA approves next steps and\/or final disposition. The approved next steps or final disposition are then implemented by the division\/unit.<\/p>\n<\/div><\/li>\n<\/ol>\n<\/div>\n\n\n\n

    \n
    \"Flowchart<\/a>
    Fiscal Misconduct Review Process. 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