Procedures for Endorsement of CII Principles & Guidelines
The Conference of International Investigators (CII) encourages the development of general principles and guidelines to uniformly guide the conduct of the various investigative activities by the Investigative Offices of its participating organisations. Although CII-endorsed publications are non-binding on its participating organisations, the CII Secretariat encourages the organisations to adopt or use CII-endorsed publications as applicable within the context of their organisation’s regulatory framework and investigative mandates.
The CII Secretariat has developed the following procedures for the endorsement and publication of CII general principles and/or guidelines. These procedures were endorsed by the CII at its 20th Conference (2019).
Uniform Principles and Guidelines for Investigations, 2nd Edition
Soon after the creation of the CII in 1999, the investigative offices of participating international organizations recognized the value of harmonizing their practices. In April 2003, at the 4th Conference, participants endorsed a set of common principles and guidelines for investigations. With the aim of continuously improving investigative practices, a revised set of Uniform Principles and Guidelines for Investigations was endorsed by participating organizations in 2009, at the 10th Conference.
As the name suggests, the Uniform Principles and Guidelines are intended to be used as guidance in the conduct of investigations subject to the regulations, rules, policies and the privileges and immunities applicable in each organization. They do not and are not intended to bind the organizations or confer, impose or imply any duties, obligations or rights actionable in a court of law or in administrative proceedings on the organizations. To this end, nothing in the principles and guidelines should be interpreted as affecting the rights and obligations of each organization per its rules, policies and procedures, nor the privileges and immunities afforded to each organization by international treaty, customary international law and the laws of the respective member state.
General Principles for Proactive Integrity Risk or Fraud Detection Activities
As part of its mandate, an Investigative/Integrity Office may conduct activities to assess and detect the exposure of certain operations and processes to fraud or corruption and/or the risks of prohibited conduct impacting these operations/processes. For those functions that undertake such activities, the following agreed principles encourage a consistent approach and common methodology. Proactive activities should be conducted in conformity with the organization’s legal framework and will offer the chance to uncover issues that have not previously been reported to the investigative function. The General Principles provide a framework to guide an Investigative Office in developing and/or executing such activities. The General Principles are a guide only and are non-binding.
The General Principles for Proactive Integrity Risks or Fraud Detection Activities supplements the CII’s Uniform Principles and Guidelines for Investigations and was endorsed by the CII at its 20th Conference. Please contact Dominik Adamski at firstname.lastname@example.org or a member of the CII Secretariat should you have any questions or need further information on them.
General Principles for Financial Forensics
As part of its function, an Investigative Office may conduct activities known as financial forensics. Financial forensics is a growing field that, in the context of an Investigative Office, involves the application of specialised knowledge, experience, and investigative skills ideally by qualified forensic accounting professionals to identify, analyse, quantify, interpret and communicate financial information and evidence in the conduct of the Office’s investigations or other fact-finding activities.
The General Principles for Financial Forensics supplements the CII’s Uniform Principles and Guidelines for Investigations and was endorsed by the CII at its 20th Conference. The purpose of these General Principles is to provide Investigative Offices non-binding common uses and principles for its conduct of financial forensics and the professionals conducting them, either with or on behalf of the Investigative Office. Please contact David Wolfe at email@example.com or a member of the CII Secretariat should you have any questions or need further information on them.
General Principles for Reviews of CII Investigation Offices (conducted by external experts)
In 2012, at the 13th Conference, the participating organizations recognized the value of developing general principles and guidance for conducting reviews of their investigative offices by outside peers (so-called ‘peer reviews’). Indeed, the preamble to the Uniform Principles and Guidelines for Investigations (2nd ed.) acknowledges the need for investigative offices to periodically undergo an external quality assessment in order to ascertain their conformity with the organization’s legal framework and generally accepted investigation standards and to promote continuous enhancement of the investigative function.
In 2014, at the 15th Conference, a set of General Principles for Reviews was adopted. The Principles provide a framework to guide an investigative office’s self-initiated review of its approaches and activities by an external peer. The framework is a guide only and is optional and non-binding. It also is not intended to apply to reviews of investigative offices that are not self-initiated.