## Office of Internal Investigations (OII) — Terms of Reference ## Source details **Canonical URL:** [Office of Internal Investigations (OII) — Terms of Reference](https://www.imf.org/-/media/files/about/oii/oii-tor.pdf) ## Other formats - [Markdown version](/-/media/files/about/oii/oii-tor.pdf.md) - [Structured JSON version](/-/media/files/about/oii/oii-tor.pdf.json) --- ### Preamble - OII assumes primary responsibility for conducting independent, objective, and impartial administrative investigations into allegations of misconduct concerning Fund personnel. - OII may also conduct investigations into allegations involving the Fund’s suppliers, subcontractors, and their employees. - OII does not have authority to conduct inquiries or investigations into the conduct of the Managing Director or members of the Executive Board; that authority is held by the Ethics Committee of the Executive Board. - OII is part of the Fund’s formal disciplinary system and contributes to the Fund’s good governance and reputation for high ethical standards and probity. - OII provides the Human Resources Department (HRD) and managers with advice and recommendations on internal controls and actions aimed at preventing acts of misconduct and minimizing their impact, and contributes to raising awareness of Fund personnel on issues relating to misconduct. - For OII investigation purposes, misconduct is any professional or personal action or behavior that is contrary to or inconsistent with the standards of conduct set forth in the Staff Handbook or other Fund regulations, rules, policies and/or administrative issuances. ### Mandate of OII - OII undertakes independent, objective and impartial reviews, inquiries, and investigations to: - establish the facts and circumstances concerning alleged misconduct, and - conclude whether the allegations of misconduct have been substantiated by a preponderance of the evidence. - When allegations of misconduct are substantiated by the evidence, and consistent with Chapter 11.02 of the Staff Handbook, OII provides an Investigation Report to the Responsible Official for determination as to whether the subject engaged in misconduct and, if so, what disciplinary action is warranted. - The Responsible Official to whom the Investigation Report is issued: - The Managing Director or his/her designated alternate, when the subject is a staff member at a grade level of B1 or above; - The Director of the Human Resources Department, when the subject is a staff member at a grade level between A1 and A15 or another Fund personnel; - The Director of the Corporate Services and Facilities Department or the Chief Procurement Officer, as designated, when the subject is a supplier, subcontractor, or one of their employees. - The Investigation Report may also be issued to other Fund manager(s), as identified by the Head of OII, for appropriate follow-up action. - Pursuant to the Fund’s Whistleblower Protection and Anti-Retaliation Policy, OII also conducts Independent Reviews into allegations of retaliation. - OII administers the IMF Integrity Hotline and acts as the Secretariat to the Integrity Hotline Oversight Committee. ### Status of the Head of OII - The Head of OII is appointed by the Managing Director after consultation with representatives of the Staff Association Committee. - Current and former Fund personnel may only be appointed to the position of Head of OII after a five-year break in service. - Pursuant to the Categories of Employment for the Dispute Resolution Offices Board Paper (EBAP/23/41), applicable as of June 9, 2023, the Head of OII is initially appointed on a term appointment for a period of three years, renewable once for a further period of six-years. - The total term of appointment of the Head of OII shall not exceed nine years, except that under exceptional circumstances for transitional reasons, a short extension of the final term appointment may be approved. - An individual who has served as the Head of OII shall not be eligible for staff employment with the Fund for a period of five years after the end of their appointment. ### Duties of the Head of OII - Maintain strict confidentiality with respect to information gained while fulfilling the duties of the office, except where there is a strict business need to disclose or a risk of harm to Fund personnel or property. - The opening of an investigation shall be decided by the Head of OII in writing. - Oversee the conduct of, and may independently initiate, impartial investigations into potential misconduct; ensure investigations are conducted in a timely, fair and thorough manner. - Develop guidelines, policies and procedures for misconduct investigations within the framework of the Fund’s rules and policies governing misconduct and investigations; contribute to progressive development of internal rules and policies governing staff conduct. - If systemic control weaknesses or other issues that might result in risks to the Fund are identified at any stage of the Investigation Process, bring these to the attention of the relevant managers, orally or in writing. - When an allegation is more appropriately addressed as a performance issue rather than misconduct, OII may report evidence to Department Heads for consideration of performance management action. - Issue an annual report specifying the number and general nature of all issues brought to OII’s attention and describing in general terms the extent to which issues were or were not addressed, demonstrating institutional accountability through transparency on outcomes; the annual report will be available to all Fund employees and will not disclose the identity of subjects or other individuals. - On an annual basis, report relevant issues to the External Audit Committee and to the Executive Board. - Manage OII efficiently and effectively, including employees and resources; supervise staff to ensure outputs meet required standards and schedules; ensure resolution of any potential conflict of interest or lack of impartiality affecting OII’s work. - Establish relationships and maintain networks with similar offices in comparable institutions, including UNRIS and CII, for benchmarking, evaluation and revision of investigative practices, standards and policies to ensure alignment with internationally recognized good practices. ### Independence and Authority of OII - The Head of OII reports directly to the Managing Director and/or his/her designated alternate and is independent of any official, department, office, bureau, or other organizational entity of the Fund. - OII has direct access to all Fund personnel and suppliers and to all premises, documents, data and records for the purposes of a review, inquiry, or investigation. ### Access to OII and Reporting - Any person may, and supervisors and managers must, report allegations of misconduct directly to OII. - When allegations involve Prohibited Activities as defined in the Antifraud and Anticorruption (AFAC) Policy, all Fund personnel have an obligation to report the matter to OII. - Confidential reports to OII can be made via the Investigations mailbox (investigations@IMF.org), or by phone, letter, or direct email to OII. Anonymous reports can also be made via the IMF Integrity Hotline. - There is no requirement to pursue other avenues prior to reporting alleged misconduct to OII. ### Notes and Constraints - The term “Fund personnel” includes staff members, contractual employees, short- and long-term experts, local employees, interns and volunteers. - Investigations into alleged misconduct by suppliers, subcontractors, and their employees should be initiated in consultation with the Chief Procurement Officer and without prejudice to suppliers’ internal investigation processes. - Personnel of the Ombuds and Mediation Offices, as well as Peers for a Respectful Workplace, may decline to provide information to OII to preserve confidentiality, unless authorized by the Fund personnel who shared the information or unless there is a serious risk of harm. --- _Source: https://www.imf.org/-/media/files/about/oii/oii-tor.pdf_