Investigative Process

IACD Authorities and Responsibilities

The Integrity and Anti-Corruption Department (IACD) has the overriding mandate to investigate allegations of corruption, fraud, collusion, coercion and related malpractices or reasonable suspicions thereof. IACD is responsible for undertaking investigations of employees and development partners for acts that fall within the definitions of prohibited practices.

Definitions are found in the Uniform Framework for Preventing and Combating Fraud and Corruption.  In directing and controlling investigations, the IACD maintains the highest standard of professional proficiency and integrity; and is guided by an ethos of confidentiality, fairness, equity and due diligence.  In this regard, IACD manages and operates a Case Management System to receive, register and monitor all new complaints and reprisals.

Access to Information and Persons

To carry out an investigation, IACD and members of its staff, as appropriate, have unrestricted access to all persons and information relevant to the subject matter under investigation.

A person under investigation or being charged as a result of an investigation shall have reasonable access to relevant information in the possession of IACD in the preparation of his/her defense.

Purpose of Investigations

The purpose of an investigation is to examine and determine the veracity of allegations of prohibited practices in the Bank and Bank-financed projects.

Areas of Investigative Focus

IACD conducts preliminary inquiries to determine the merits of allegations received through the hotline or other avenues. When the allegations are found to have merit IACD conducts full investigation and the results are submitted to the President of the Bank.

Investigative focus will include:

• Fraud, corruption and related staff misconduct
• Bribery, kickbacks
• Whistleblower or complainant retaliation
• Theft and embezzlement
• Coercive practices
• Collusive practices
• Misuse of Bank Group funds
• Related staff misconduct

Principles and Guidelines for Investigations

IACD investigations are conducted based on its Standard Operating Procedures (SOP).  The IACD SOP were developed based on existing policies and standards developed by the Bank and theUniform Framework for Preventing and Combating Fraud and Corruption, which was published by the Joint International Financial Institutions (IFI) Anti-Corruption Task Force published in September 2006.

Conduct of Investigations

IACD accepts any complaint irrespective of their source, including complaints from anonymous or confidential sources. Where the identity of the complainant is known, IACD will acknowledge receipt of the complaint.

All complaints are registered and reviewed to determine whether they fall within the jurisdiction or authority of IACD. Complaints that fall outside the authority of IACD would be referred to the appropriate organs within the Bank for their action.

Once a complaint has been registered, it will be evaluated by IACD to determine its credibility, materiality, and verifiability. To this end, the complaint will be examined to determine whether there is a legitimate basis to warrant an investigation.

Decisions on which investigations should be pursued are made in accordance with the rules, policies and procedures of the Bank; decisions on which investigative activities are to be utilised in a particular case rest with IACD.

The planning and conduct of an investigation and the resources allocated to it takes into account the gravity of the allegation and the possible outcomes.

IACD shall, wherever possible, seek corroboration of the information in its possession. For purposes of these guidelines, investigative activity includes the collection and analysis of documentary, video, audio, photographic, and electronic information or other material, interviews of witnesses, observations of investigators, and such other investigative techniques as are required to conduct the investigation. Investigative activities and critical decisions should be documented in writing and reviewed with the manager of the IACD.

Subject to the Bank's rules, polices and procedures, if, at any time during the investigation, IACD considers that it would be prudent, as a precautionary measure or to safeguard information, to temporarily exclude a staff member that is the subject of an investigation from access to his or her files or to recommend that he or she be suspended from duty, with or without pay and benefits, or to recommend placement of such other limits on his or her official activities, IACD shall refer the matter to the relevant authorities within the Bank for appropriate action.

To the extent possible, interviews conducted by the IACD should be conducted by two investigators.

Subject to the discretion of IACD, interviews may be conducted in the language of the person being interviewed, where appropriate using interpreters.

IACD will not pay a witness or a subject for information. Subject to the Bank's rules, polices and procedures, IACD may assume responsibility for reasonable expenses incurred by witnesses or other sources of information to meet with IACD.

IACD may engage external parties to assist in its investigations.

Investigative Findings

If IACD does not find sufficient information during the investigation to substantiate the complaint, it will document such findings, close the investigation, and notify the relevant parties as appropriate.

If IACD finds sufficient information to substantiate the complaint, it will document its investigation findings and submit its report to the President of the Bank, consistent with the Bank's rules, polices and procedures.

Where the findings indicate that a complaint was knowingly false, IACD shall, where appropriate, refer the matter to the relevant authorities in the Bank for further action consistent with the Bank's rules, polices and procedures.

Where IACD's investigative findings indicate that there was a failure to comply with an obligation existing under the investigative process by a witness or subject, IACD may refer the matter to the relevant authorities in the Bank. 

Referrals to National Authorities

IACD, through the ACCF, may consider where it is appropriate to refer information relating to the complaint to the appropriate national authorities. IACD will seek necessary internal authorisation to do so in cases where it finds a referral is warranted.

Results of IACD Investigations

Investigations conducted by the IACD are not criminal proceedings; they are administrative in nature. The standard of proof that shall be used to determine whether a complaint is substantiated is defined for the purposes of an investigation as information that, as a whole, shows that something is more probable than not.

If after an investigation, there is sufficient evidence to demonstrate that a violation of the anti-corruption policies has occurred, the case is "substantiated". If evidence is lacking, to either confirm or deny an allegation, it is deemed "unsubstantiated". If allegations are found untrue, the case is classified as "unfounded".

The conclusions of IACD investigations are submitted to the President of the Bank and may have the following impact:

• Project Matters: The Bank may suspend or cancel its projects or in some cases request the borrower to return the money spent on a particular contract or project which was affected by fraud or corruption.
• Staff Decisions: The Bank can take appropriate personnel actions in cases where Bank Personnel are involved in wrongdoing on Bank activities.

Ineligibility of Firms regarding award of contracts on Bank-financed projects

If IACD's investigation concludes that an entity or individual involved in a Bank-financed contract has committed prohibited practices such as fraud or corruption, the Bank may declare that entity or individual ineligible to be awarded future Bank-financed contracts, either indefinitely or for a defined period.

Referrals to Member Governments

If IACD's investigation concludes that an entity or individual involved in a Bank-financed contract has committed prohibited practices such as fraud or corruption, the Bank may submit its findings to the appropriate authorities of the member country's government for a determination of whether a criminal investigation is appropriate.

Complaints and Information Reporting

When submitting a complaint or reporting information, please be as specific as possible. Your complaint or information should include:

• What occurred? Describe the events fully and using as much relevant detail as possible. Do not try to summarise as often relevant information is omitted.
• When did the event occur? State the time and date.
• Where did it occur? Try to identify clearly the actual place where you believe prohibited practices may have occurred, such as the contractor, the office, in the field. Be as specific as you possibly can be.
• Identify the individuals and/or entities you believe are involved or implicated in or may have knowledge of prohibited practices.
• Explain your understanding of the allegations as they relate to the Bank or the Bank's activities.
• In order to protect the reputations and privacy rights of all parties, and to promote due process and the fairness of investigations, it is important that the information you provide be truthful, accurate and given in good faith.