8.6.1.3 Effective Case Flow Design

An effective, well designed case flow will ensure that the investigation is thorough without being overly complicated, that procedural fairness is respected, and that decisions are taken at the appropriate time and level. It is also necessary to understand the case flow system in order to develop appropriate work tools and establish the data collection system.

The specific design will depend, at least in part, on the model of the institution chosen, the legislative authority that the institution has, local practices and requirements and the degree to which decision-making may be delegated. However, it would typically involve these stages:

• Intake, during which basic information on the complaint is gathered and a determination on jurisdiction is made;
• Preliminary jurisdictional decisions (where the NHRI decides whether to deal with cases that are out of jurisdiction according to the law);
• Early resolution and ADR (good offices interventions or early mediations to resolve cases quickly);
• Investigation, during which fact-finding takes place and a report is prepared;
• Decision-making and follow-up when a decision is made as to whether a human rights abuse has occurred; and
• Enforcement procedures, depending on the authorities granted the institution, to ensure that the findings are implemented fully.

One key to the success of an effective case flow design is an internal complaints committee: this is in part a function of the organisational structure. Many NHRIs have internal complaints committees (including the senior member or official, directors of investigation, legal and policy, for example, as well as the Registrar or equivalent position). The committee is responsible for reviewing the progress of cases on a regular basis and for addressing problems, delays and or ensuring policy formulation. They identify cases that appear to raise the same issues repeatedly, i.e., with fact patterns and systemic issues, cases that are aged (usually as a result of complexity, political sensitivity or obstruction by respondents), and serve as a warning light when caseloads are rising faster than the system can cope.

Implications for the Establishment Phase: UNCTs may support NHRIs to establish an effective case management process and prepare manuals. Sometimes, special advisors are retained through UN projects who work closely with NHRIs on the development and design of the case management process and assisting, where requested, to support decision-making. Efforts to improve organisational structures can include information from other jurisdictions about how internal complaints committees function. More information on the role and selection of special advisors may be found in Chapter 6.