Internal Investigations – FAQ

A fraud indicator is defined as “any element indicating the reasonable possibility of fraud” (§4 of Operational Circular 10). It can be internal (e.g. result of control) or external (information from national authorities, complaint).

As the definition of fraud requires intention and deception, unintentional errors or mistakes are not considered as fraud indicators.

As a general rule, there is no duty for the investigation team to inform a person who reported a fraud indicator of the actions initiated. In most cases, no feedback will be provided by the investigation team. However, in very specific cases, the investigation team may revert to the person who reported a fraud indicator, notably if the situation was not qualified as an indicator of fraud, but an indicator of something else, to allow the person to report the matter to the responsible body.

The investigation team deals with the highest possible level of confidentiality with the fraud indicator and the identity of the person who provided it. Access to that information is strictly limited to the investigation team.

Reports made through CERN whistleblowing hotline can remain anonymous, if so decided by the person providing the report.

The investigation process is the same, irrespective of the source of the fraud indicator (e.g. anonymous reporting, outcome of control, etc.).

However, reports made anonymously with no possibility of interaction with the whistleblower may hinder the investigation, as the information may not be sufficient or not specific enough to trigger an investigation.

While reporting a fraud indicator is a duty, it may also raise concerns for the person who provides the alert to the investigation team. Reporting made via the whistleblowing hotline can be anonymous and thus offer protection for the whistleblower. In addition, the investigation team treats all information with the highest possible level of confidentiality, and the identity of the whistleblower is carefully protected. Finally, CERN is committed to protecting anyone who contributes to a fraud investigation, and this may entail protection against retaliation (§11.2 of Operational Circular 10). This is also stated in CERN anti-fraud policy: https://hr.web.cern.ch/anti-fraud-policy-0

Under Operational Circular 10, a fraud investigation ends with a report from the investigation team to the Director-General, who shall then draw his conclusions. The Director-General may decide to pursue disciplinary action, administrative action and/or legal action or to not take any action.

The conclusions are communicated to the parties involved in the investigation (e.g. person suspected of having committed fraud, Head of Audit and Investigation Services group, Head of Legal Service and Head of HR Department).

Being contacted by the investigation team does not mean that you are being suspected of having committed fraud. Fraud investigations require a thorough review of facts and the investigation team may need your contribution to access some information and to establish facts.

When the investigation team suspects that a person may have committed fraud, then it shall formally notify this person, via a dedicated memorandum. Under Operational Circular 10, specific provisions apply to the process for persons suspected of having committed fraud.  

As per §31 of Operational Circular 10, investigators have “access to all relevant records, property and personnel of the Organization”. It is therefore your duty to provide the required information, as provided by §10.1. No further authorization (for instance from a supervisor) is required.

Maintaining confidentiality is a paramount in fraud investigations and for all parties involved (whistleblower, witness, suspected person(s), investigators, management, etc.). Hence §10.2 provides that confidentiality shall be maintained “throughout the fraud investigation, including after the case has been dealt with”.  

Failure to cooperate and/or to maintain confidentiality may result in administrative, disciplinary and/or legal action (§12.1).