Principle 3: Effective Investigation
for review.”350 It is important to establish the obligations of managers and supervisors in order to mitigate the occurrence of malpractice by employees. The
American Bar Association, for instance, states that managers and supervisors
must make “reasonable efforts” to ensure that employees comply with the
rules of professional conduct and that they can be sanctioned for an employee’s malpractice.351 In reviewing complaints about investigators, investigative
bodies must also balance the rights of citizen to complain with the rights of
investigators.352
Some bodies, particularly those that are permanent, institute complaint systems for issues relating to staff performance and misconduct. Although most
allegations usually go through a supervisor, the investigative body could also
designate a different point of contact, particularly for claims involving supervisors or senior officials.353 Mechanisms for internal review of more serious
offenses, particularly those involving the conduct of senior-level staff members
and officials, include internal investigation units or ad hoc disciplinary committees composed of senior officials. While minor offenses can be addressed
internally, it may be necessary to examine more serious offenses outside the
immediate chain of command. 354
The following subsections discusses the evaluation of investigator performance, codes of conduct, and disciplinary measures.
Evaluation of Investigator Performance
Early and accurate reporting of investigator performance helps establish and
maintain an investigative body’s credibility.355 In addition to addressing misconduct, inspection and monitoring measures are essential for evaluating the
general quality of investigative operations, for ensuring that the investigative
body’s priorities are being met, and for ensuring proper management and
control of investigations.356
Hence, investigative bodies should consider incorporating a mechanism for
350
U.N. Handbook on Practical Anti-Corruption Measures for Prosecutors and Investigators, supra note 80, at 41.
351
ABA Comm. On Ethics & Prof’ Responsibility, Formal Op. 467, 3, 12 (2014).
352
Cf. OSCE Guidebook for Democratic Policing, supra note 336, ¶ 87.
353
Cf. U.N. Handbook on Practical Anti-Corruption Measures for Prosecutors and Investigators, supra note 80, at 41.
354
Id.
355
OSCE Guidebook for Democratic Policing, supra note 336, ¶ 123.
356
Id. ¶ 92.
107