8.10 - Investigating and dealing with cases of bribery : Independence of investigators

 The ISO 37001 Anti-Bribery Management Systems standard, instituted by the International Organization for Standardization in 2016, directs organizations globally in fortifying their anti-corruption frameworks. This standard is pivotal for both private and public entities of any size, focusing on active prevention, detection, and management of bribery risks.

How to Answer the Question

Establishing Independent Investigative Practices : Organizations ensure investigations are carried out by independent personnel by:

-   Structuring Independent Oversight  : Create roles or committees specifically tasked with oversight and investigations that are separate from operational functions. This is exemplified by the practices outlined by the [International Labour Organization](https://www.ilo.org), which maintains an independent internal audit and oversight office.

-   Hiring External Investigators  : Engage external legal or audit firms to conduct investigations, ensuring there is no conflict of interest. Examples include hiring firms similar to those listed on the [Canadian Bar Association](https://www.cba.org) website, which provides guidelines on conducting impartial internal investigations.

-   Training for Independence  : Provide specialized training to ensure that internal investigators understand the importance of maintaining independence. This could be similar to training programs mentioned in resources from [SHRM](https://www.shrm.org) on how to conduct workplace investigations.

Why It's Important  

The importance of investigator independence includes:

-   Maintaining Objectivity  : Independence eliminates bias and increases the credibility of the investigation findings, ensuring that outcomes are accepted internally and externally.

-   Protecting Organizational Integrity  : It helps in upholding the organization's ethical standards and reassures stakeholders that the organization commits to fairness and justice.

-   Legal and Compliance Reasons  : Independence is often a requirement under various compliance regimes to ensure that investigations meet legal standards and can withstand external scrutiny.

To learn more about the critical role of independence in internal investigations, consult the [World Health Organization’s charter on internal oversight](https://www.who.int).

Examples  

-   Example A  :

 -   Scenario  : A financial misconduct allegation within a corporate finance department.

 -   Action  : An external auditor from a firm listed on the [Acas website](https://www.acas.org.uk) was hired to ensure the investigation was free from internal influence.

 -   Outcome  : The investigation was conducted without interference, and the results were accepted by all parties, including regulatory authorities.

-   Example B  :

 -   Scenario  : Conflict of interest allegations in a nonprofit’s procurement process.

 -   Action  : A special committee formed from board members outside of the procurement process, as suggested by [Risktec’s steps for incident investigation](https://risktec.tuv.com), investigated the claims.

 -   Outcome  : The investigation upheld transparency and integrity, leading to reforms in procurement practices.

These examples underscore the effectiveness of maintaining independence in investigations to ensure unbiased results and uphold the organization's commitment to ethical practices. For additional resources on setting up independent investigations, the guidance provided by [Acas on conducting investigations](https://www.acas.org.uk) is invaluable.