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Policy Prohibiting Fraud, Theft, Waste or Abuse in Business Dealings
or in Any Relationship with the Comptroller's Office
(Anti-Fraud Policy)

The Comptroller's office will not tolerate any type of fraud, waste, theft or abuse related to business or other dealings with the Comptroller's office and may pursue prosecution or other legal action if it finds evidence fraud, waste, theft or abuse may have occurred.

The Comptroller's office has established this policy to provide controls and aid in the detection of fraud, waste, theft or abuse against the agency or the State of Texas. This policy applies to any suspected fraud, waste, theft and abuse involving an employee of the Comptroller's office, a consultant, vendor, contractor, other agency, or person/entity doing business with the Comptroller's office or in any other relationship with the agency.

For the purposes of this policy, fraud is an intentional deception designed to obtain a benefit or advantage or to cause some benefit that is due to be denied. Examples of fraud include:

  • Forgery or alteration of a check, bank draft or any other financial document;
  • Theft of a check or other diversion of a taxpayer payment;
  • Misappropriation of funds, securities, supplies or other assets;
  • Impropriety in the handling or reporting of money or financial transactions;
  • Profiteering as a result of insider knowledge of agency operations;
  • Unauthorized access to or use of confidential information obtained from the agency; and
  • Disclosing to others the securities activities engaged in or contemplated by the agency.

Waste is the loss or misuse of state resources that results from deficient practices, system controls or decisions.

Theft is the act of taking something from someone unlawfully.

Abuse is the intentional, wrongful, or improper use of resources or misuse of rank, position, or authority that causes the loss or misuse of agency or state resources.

The Comptroller's office requires that any consultant, vendor, contractor, other agency, or person/entity doing business with the Comptroller's office or in any other relationship with the agency, to report any suspected fraud, waste, theft or abuse to the Comptroller's office so it can be investigated. Suspected fraud, waste, theft or abuse can be reported to the Ethics Officer, Internal Audit Division, Criminal Investigation Division or through The Network at (866) 420-8369. It can also be reported outside the agency to the State Auditor's Office (SAO) by calling (800) TX-AUDIT (892-8348) or by making a report online at http://sao.fraud.state.tx.us/.

The Comptroller's office will protect the identity of the person/entity making the report, if requested, to the extent allowed by law and will not retaliate against any person/entity for making a report in good faith.

Failure by a consultant, vendor, contractor, other agency, person/entity doing business with the Comptroller's office or in any relationship with the agency to comply with this policy may result in cancellation of the business or other relationship between the person/entity and the agency .

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