Investigations
An analytical process designed to determine whether a wrongful act has occurred and, if so, the persons or entities responsible. Investigations help ensure the highest ethical standards and identify ways to improve internal controls.
Preventing fraud and misconduct
Fraud, corruption and misconduct pose a grave threat to the effective implementation of the Organization's policies and objectives. In response, the Organization has adopted a Zero Tolerance Policy in respect to fraud in all its manifestations. Efforts to prevent and combat fraud are given the highest priority at FAO. In fact, the Policy on Fraud and Improper Use of the Organization's Resources states,
"The responsibilities of staff members in respect of fraud prevention and detection go beyond merely abstaining from committing fraud. As part of the duty of loyalty, the Organization expects each staff member to ensure that the prescribed policies and procedures are fully adhered to and that any breakdown in the system of internal control is immediately reported. The standards of conduct applicable to staff members oblige them to report without delay any instances of fraud, waste and malfeasance to the detriment of the Organization."
Headed by a Senior Investigator, the Investigations Unit is responsible for promoting an environment of integrity throughout the Organization's operations through the detection, investigation and prevention of fraud and misconduct both at Headquarters and in the Country, Regional, Subregional and Liaison offices. The Unit ensures that investigations results are captured in order to develop lessons learned and recommends procedural and policy changes, as necessary, to enhance integrity within FAO. The Unit also provides advice on contracts and procurement (including comments on all proposed contract waivers, extensions and renewals above $25,000). In addition, it oversees Tender Panel operations.
Submitting an allegation of potential fraud or staff misconduct
The Office of the Inspector General has a secure mechanism to receive allegations related to FAO's activities, and encourages all those with information to contact the Office. Allegations can be submitted anonymously. However, because anonymous reports are harder to investigate, those reporting allegations are encouraged to identify themselves, knowing that their names will be kept confidential, and that there are measures in place to protect them against reprisals.
CONFIDENTIALITY
FAO has implemented the following rules to safeguard the rights of staff members and others involved in the investigation process:
The Office of the Inspector General accepts anonymous allegations,
FAO policy strictly prohibits retaliation against a staff member for alleging misconduct or violations of FAO regulations,
The staff of the Office of the Inspector General are obligated to preserve and protect the confidentiality of the investigative process, and the parties involved.
What to report
Allegations that should be reported to the Office of Inspector General include:
- Unlawful acts related to FAO activities (for example theft, fraud, embezzlement, solicitation/acceptance of bribes or kickbacks, extortion);
- Misrepresentation, forgery, or false certification in connection with any official business;
- Fraud or serious misconduct related to contract bids, performance of contract obligations or evaluation;
- Staff violations of the Standards of Conduct for International Civil Servants
Offenses that should not be reported to this office include:
- Allegations of harassment, (For information on FAO's policy on preventing harassment, see Administrative Circular No. 2007/05.E) ;
- Complaints arising from working conditions or from an administrative measure or decision.
How to make a confidential report
- Call or fax the Office of the Inspector General
- Submit the online form through a secure server
- Write to the secure email address
- Write to the office in Rome
- Visit the Inspector-General's office in Rome or one of the regional auditors
The investigative process
All allegations are initially reviewed to determine if they are credible and refer to a serious violation of FAO policies prohibiting misconduct and fraudulent activity. Those allegations that don't qualify as misconduct or fraud, but do relate to violations of FAO policy or other managerial issues, may be referred to internal audit, Human Resources Management Division or other FAO office as appropriate for resolution.
TThe investigations unit is responsible for ensuring an impartial, fair, prompt and thorough review of the facts and circumstances surrounding reports of misconduct and fraudulent activity, including a review of any exculpatory evidence. FAO rules provide that unsatisfactory conduct is punishable by disciplinary action, including such severe disciplinary measures as dismissal, or summary dismissal. The Inspector-General may also make recommendations, based on the findings, to improve internal controls in order to prevent similar incidents in the future.