Investigations

The Office of Anticorruption and Integrity (OAI) investigations help safeguard development funds and prevent integrity problems from recurring. The Investigations division serves as the initial point of contact for all allegations of integrity violations in projects and other activities of ADB.

Complaints Assessment

OAI screens complaints to ensure they relate to an integrity violation and involve ADB-related activities. OAI considers whether the complaints are:

• within OAI’s mandate - relate to activities that OAI is authorized to investigate.
• credible - there is a reasonable possibility that a violation has occurred.
• verifiable - practicable options exist to obtain sufficient evidence to determine the truth of the allegations on the balance of probabilities; and
• material - the matter is of sufficient importance to justify the projected requirements of the investigation and any remedial action.

As a rule, complaints that meet all four criteria are converted into full investigations. Otherwise, the complaint is closed. OAI may refer closed complaints to another ADB department or close the complaint if remedial action was taken or for other relevant considerations.

Complaints Assessment Process

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External Investigations

OAI considers an investigation external if the subject of investigation is not an ADB staff or any other person covered under ADB’s Code of Conduct. External investigations are conducted in accordance with ADB’s Integrity Principles and Guidelines.

If warranted, OAI is required to prepare and send a letter containing its investigative findings to the subject/s of investigation (SOI). Upon receipt of the letter, SOI may either accept or refute OAI's findings. If the SOI accepts OAI's findings, OAI may propose a period of debarment which the SOI may or may not accept. If the SOI does not accept OAI's proposed debarment, the case may be presented to the Integrity Oversight Committee (IOC) for decision. In certain cases, OAI may also present its findings directly to the IOC. The IOC will review OAI's recommendations and determine (i) whether an integrity violation occurred; and (ii) the appropriate remedial action to be imposed based on OAI's findings. As the investigation process is administrative in nature, ADB’s procedures do not provide for personal appearances or representations at IOC meetings.

The following statistics provide an overview of complaints received, investigations opened, and remedial measures imposed by ADB directly and through the cross-debarment agreement with other MDBs since the start of 2018.

External Investigations Process

Process for Dealing with Allegations of Integrity Violations or Misconduct by Non-ADB Parties involved in an ADB Project

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Internal Investigations

OAI is responsible for investigating integrity violations and allegations of other misconduct by ADB staff. Misconduct, as defined in: ADB’s Code of Conduct, includes the failure of ADB staff to observe staff regulations, ADB’s Administrative Orders, the Code of Conduct, or other duties of employment.

If warranted, an investigation report containing investigative findings will be provided to the subject of investigation for a written response. The SOI may either refute or accept OAI’s findings. OAI will take into consideration the SOI’s written response in finalizing a report, which will be submitted to ADB’s Budget, Personnel, and Management Systems Department for its determination and imposition of proportionate disciplinary or non-disciplinary actions.

Internal Investigations Process

Process for Dealing with Allegations of Integrity Violations or Misconduct by ADB staff