Principle 3: Effective Investigation A disciplinary unit or body should provide legal reasoning to justify its decision. States should provide for disciplinary proceedings to be kept confidential unless the investigator him or herself requests a public hearing.379 A part of ensuring that a hearing is fair relates to ensuring that the disciplinary proceedings involving investigators are conducted by an independent unit of the investigative body or an independent institution in order to prevent undue interference in the review of misconduct.380 In addition, disciplinary proceedings should be subject to independent review—such a review serves to prevent interference and to strengthen professional autonomy of investigators.381 Another important element of establishing a liability framework is to determine the grounds for discipline. International guidelines on assessing the conduct of judges provide guidance on determining what investigator actions or inaction should be subject to discipline. In this context, disciplinary action should focus on conduct or behavior that suggests investigators are “unfit to discharge their duties.”382 Grounds for disciplinary action must be authorized in law prior to any such action taking place. Crucially, states should not subject investigators to disciplinary action as a result of legitimate determinations about whether to proceed with investigations, findings on the merits of complaints, or investigation findings.383 As asserted by the UNDP OAI, actions that produce an “undue interference with [an] investigation” may require disciplinary action.384 While grounds for disciplinary action and disqualification may differ depending on a state’s administrative and electoral laws, they can include issues such as bias, conflict of interest, and corruption.385 Depending on the gravity 379 Basic Principles on the Independence of the Judiciary, supra note 112 (“[The] examination of the matter at its initial stage shall be kept confidential, unless otherwise requested by the judge.”). 380 Id.; U.N. Guidelines on the Role of Prosecutors, supra note 320, § 21; Basic Principles on the Role of Lawyers, supra note 376, ¶ 20. 381 Basic Principles on the Independence of the Judiciary, supra note 112 (“Decisions in disciplinary, suspension or removal proceedings should be subject to an independent review. This principle may not apply to decisions of the highest court and those of the legislature in impeachment or similar proceedings.”). 382 Basic Principles on the Independence of the Judiciary, supra note 112 (judges “shall be subject to suspension or removal only for reasons of incapacity or behavior that renders them unfit to discharge their duties”). 383 Cf. OHCHR Manual, supra note 375, at 129. 384 UNDP Investigation Guidelines 2012, supra note 6, ¶ 7. 385 See Orozco-Henríquez et al., supra note 101, at 109. 113