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204 207-2

Arresting and detaining individuals

 

Capacities Main issues and sample questions
Enabling Environment 
Social, economic and political context: Capacity to investigate corruption ACA investigations need to be free from political interference.
Political support for ACA investigations will strengthen the institution’s standing in public opinion.

Sample questions:
  • Is the political establishment supportive of corruption investigations?
  • Have any political statements undermined on-going corruption investigations?
  • Has there been any interference by politicians in the conduct of investigations?
Institutional arrangements and coordination mechanisms: Capacity to collaborate closely with other national institutions ACA investigations depend on close collaboration with other institutions such as the Prosecutor General’s Office, the police and the financial institutions.

Sample questions:
  • Does the anti-corruption agency sometimes collaborate with the police to investigate cases?
  • How does the police support corruption investigations?
  • What is the role of the prosecutor in the investigation process?
  • Do any prosecutors support the investigation process?
  • Is the prosecutor generally satisfied with the investigation files forwarded to his/her office? Have any investigation files been returned for further investigations?
  • Does the anti-corruption agency work closely with the Financial Intelligence Unit?
  • Are the banks collaborative in responding to requests for financial information?
  • Are national institutions collaborative in responding to requests for documents?
Legal framework: Capacity undertake investigations A legal mandate is required for ACAs to undertake investigations.
Many ACAs lack a legal mandate to undertake investigations.
Investigations need to be circumscribed by an agency of law on privacy, human rights, and witness protection.

Sample questions:
  • Does the law authorize the anti-corruption agency to undertake investigations?
  • Which offences is the anti-corruption agency authorized to investigate?
  • What is the agency of law that governs corruption investigations?
  • Are there any specific laws on special investigative techniques?
  • Are there any laws on state secrets which hamper effective corruption investigations?
  • What date protection and privacy laws are applicable in the country?
  • Does the anti-corruption agency have the legal power to request documents from other institutions?
  • Does the anti-corruption agency have the legal power to request financial information from Banks on suspects?
  • Is there any whistle-blower protection legislation?
Accountability: Capacity to review delayed or closed investigations

ACAs are accountable for the investigations led under their leadership.
Any delays or lack of progress in specific investigations needs to be fully justified.

Sample questions:

  • Is any oversight agency able to review slow progress on specific investigations?
  • Is any oversight agency authorized to review the decision to end an investigation into a specific case?
  • Is any oversight agency authorized to order the re-opening of a closed investigation?

 

Organizational level
Leadership: Capacity to support investigations The leadership may be under pressure from the government not to investigate specific cases.

Sample questions:
  • Is the leadership sufficiently independent from the executive to support investigations into high-profile corruption cases
Strategic planing: Capacity to plan investigations

Investigations are resource intensive undertakings. They need to be properly planned.

Sample questions:

  • What is the budget allocation for investigations?
  • Is the budget linked to the number and complexity of on-going investigations?
  • Has there ever been any budget shortage to undertake investigations?
  • How are investigations planned?
  • Is there an investigation team for every case with clearly defined roles for every team member?
  • Do the investigators fill out investigation reports and investigation progress reports?
Organizational structure: Capacity to investigate corruption Without proper procedures for investigation, the investigators risk making professional mistakes or abusing their powers or both.
Templates for investigations actions facilitate the investigation work.
ACAs are responsible for the personal safety and physical integrity of the persons they interview or detain.

Sample questions:
  • Does the anti-corruption agency have SOPs or Manuals for conducting investigations?
  • What system is used to keep records?
  • Is there a computerized case management system?
  • Does the anti-corruption agency have adequate interviewing rooms with CCTV?
  • Does the anti-corruption agency have secure accommodation and files?
  • Does the anti-corruption agency have any detention facilities?
Human resources management: Capacity ro conduct investigations Investigators need to avoid any conflicts of interests in corruption cases under their investigation.
Investigations need to be properly planned and adequate allocation of staff resources is required to avoid ineffective investigations and overburdened. investigation staff.

Sample questions:
  • How many staff are assigned to investigate corruption?
  • Do investigators have to fill out a conflict of interest declaration before taking up specific cases?
  • What are the main responsibilities of these staff?
  • What are the internal work allocation criteria?
  • Is team work used?
  • Who allocates cases?
Knowledge and information management: Capacity to undertake pro-active investigations Based on data analytics or system studies, it may be possible for ACA investigators to conduct pro-active investigations.

Sample questions:
  • Does the anti-corruption agency undertake proactive investigations?
  • What is the percentage of reactive and proactive investigations?
Monitoring and evaluation: Capacity to monitor and evaluate the contribution of investigations to the anti- corruption work of the agency ACAs need to follow-up on their investigation findings to ensure these lead to convictions in the court; M&E the investigation work may lead to improved procedures and higher success rates in conviction of suspects.

Sample questions:
  • Does the anti-corruption agency monitor and evaluate its investigation activities?
  • What are the lessons learned and success stories in terms of investigation?
  • Is the outcome of investigations monitored as the files move on for prosecution and adjudication?
  • How many investigations have ended up in successful convictions?
Training and mentoring: Capacity to conduct investigations in accordance with standard procedures and the laws Investigation into corruption can be very complex and technical, hence proper training for all investigators is required.

Sample questions:
  • Are all staff involved in the investigation of corruption properly trained on standard operating procedures, techniques and applicable legislation?
  • Is any mentoring taking place (or required) in the case of investigation of corruption?

 

Individual level
Technical capacities:
  • Forensic accounting expertise
  • Ability to read financial statements
  • Familiarity with procurement rules and regulations
  • Legal knowledge about all possible corruption offences
  • Ability to use interception technologies
  • Ability to do data analytics
  • Ability to undertake surveillance actions
  • Ability to write investigation reports
  • Ability to integrate data in a computerized case management system
  • Ability to arrest and detain individuals