Principle 3: Effective Investigation
b.
External Mechanisms for Accountability
Effective accountability “involves many different actors representing the
different layers of modern-day democracies.”390 Specifically, institutions that
oversee the work of investigative bodies may include the legislature, through
initiatives of its members or specific commissions for inquiry; the judiciary,
through criminal or civil review of specific cases; “as well as human rights
commissions, civilian complaint review boards or independent ombudspersons.”391 Another source of external oversight may be a professional organization that oversees the behavior of its members and issues sanctions for
malpractice. In the United States, for example, the American Bar Association
establishes the standards for the professional conduct of attorneys. Oversight
from these institutions can help ensure impartial and effective investigation
in the electoral context.392
There are several practical reasons to encourage external oversight of investigative bodies. External oversight can foster an impartial and independent
review of serious allegations against investigators, officials, or staff, and identify
and address conflicts of interest. Furthermore, the appearance of impartiality
inspires confidence in these oversight institutions, thereby encouraging the
public’s use of complaints mechanisms. External oversight may encourage
investigators and staff to report the misconduct or malpractice of others within
the investigative body, particularly supervisors or overall mismanagement.393
The degree to which oversight institutions are involved in reviewing an
investigative body’s operations or investigator conduct varies considerably
across country contexts. As the OSCE notes: “While some oversight organizations take responsibility for receiving and investigating complaints – sometimes only in cases of serious misconduct or if internal investigations appear
faulty – others are limited to overseeing and reviewing investigations carried
out by the…agencies themselves.”394
Legislatures often institute anti-corruption measures for making public
agencies—including adjudicative and investigative bodies—more directly
390
U.N. Handbook on Police Accountability, Oversight, and Integrity, supra note 343, at iv.
391
OSCE Guidebook for Democratic Policing, supra note 336, ¶ 84.
392
Merloe, supra note 92, at 33.
393
Cf. OSCE Guidebook for Democratic Policing, supra note 336, ¶ 86.
394
Id. ¶ 85.
115