A whistleblower is someone who reveals knowledge of improper activity such as irregularities in financial reporting, misstatements arising from misappropriation of assets, violation of law and regulations, improper or unauthorized expenditures, corruption and any conduct that may cause financial, non-financial loss or damage of reputation to SMU.
Employees (faculty and staff), students, contract workers, vendors, contractors and the general public can blow the whistle.
Improper activities can be described as any act that is unlawful, such as irregularities in financial reporting, corruption or bribery, conduct that might lead to a financial or non-financial loss or conduct that might cause damage of reputation to SMU. Examples of improper activities could be irregularities in financial reporting or misstatements arising from misappropriation of assets.
You can blow the whistle through various reporting channels. Your disclosures will be directed to the Head of Internal Audit. You are encouraged to make your report in writing so that the details are clear.
In the event of potential conflicts of interest where the incidents observed involves Internal Audit, a report can be made to the SMU President and/or Audit Committee Chairperson.
You can make your report in writing to the President or the Audit Committee through the Audit Committee Chairperson.
Confidentiality will be maintained to the reasonable effort possible unless the Whistleblower has waived his/her rights to confidentiality. However, if you disclose your identity to your friends and colleagues, SMU will no longer be obligated to maintain such confidence.
You can choose to remain anonymous through any of the communication channels provided for whistleblowing. Your identity will be kept confidential so long as it does not hinder or frustrate any investigation. It is also important to note that in the case of an anonymous protected report, there may be occasions or circumstances in which, having taken all the information available into account, the receiving officer may not pursue the allegations due to insufficient information.
You should state the facts with as much specific information as possible so that your disclosure can be investigated, such as what occurred, who was involved and dates of occurrences. You should not speculate or draw conclusions in your disclosure. However, investigators may need to seek clarification from you to facilitate the investigation. Hence, you are encouraged to provide your name and contact number or email address so that further information can be obtained to facilitate the investigation.
No, but it is important to file a report as soon as you have enough evidence to make a report. If you delay, evidence may be lost or invalid. This will impede investigation and the problem may not be addressed.
A preliminary investigation will be conducted and you may be contacted for an interview, if the information provided in your report is insufficient. The preliminary investigation will determine if a full investigation should be undertaken and by whom.
A preliminary investigation assesses whether or not there appears to be an improper activity. There may also be circumstances where there is insufficient evidence to proceed, particularly in the case of anonymous reporting.
You can provide as much factual information and evidence as possible in order to allow the investigation to proceed. However, any information or evidence you have, should not be obtained through illegal or unauthorized means. You should also be prepared, should the investigator wish to interview you, to provide any information which you might know about. Most importantly, don’t carry out your own investigation - leave it to the investigating officer.
If you have revealed your identity, SMU will not be obliged to maintain confidentiality of your identity, your report or the person whom is reported against. To protect your confidentiality and the confidentiality of the investigation, it is advisable not to discuss the matter with friends and colleagues.