Election Investigations Guidebook
kinds of records should be retained? How long should these documents be
kept? Who will have access to them? To resolve these questions, it is critical
for an election investigation body to adhere to a comprehensive document
retention and records management policy. Legislations or regulations often
address these requirements. Regardless of the approach adopted, investigators must abide by the relevant laws and regulations and states should
take proactive steps, such as providing training, to ensure that investigators
understand their legal obligations.
Costa Rica’s extensive document retention policy, tailored specifically to
the electoral context, exemplifies many of the recommended principles and
standards for retention and management. To facilitate access to information,
the Supreme Electoral Tribunal issued regulations establishing a Central
Archive.273 Pursuant to national legislation, it also created an Institutional
Committee for the Selection and Deletion of Documents—a team of individuals
responsible for populating the archive.274 The Supreme Electoral Tribunal then
issued a procedure manual that details the process the committee should use
in evaluating and assessing documents and in developing tables of disposition
schedules for different types of legal documents.275
Preservation of Records
Among other things, the obligation to “keep secure” investigative records
necessitates “well-designed storage processes” and a “well-managed environment.”276 The warning issued in Costa Rican regulations of the Central
Archive of the Supreme Electoral Tribunal applies equally well to all states:
“The place designated for the Central Archive should take into account the
conditions necessary to guarantee optimal document preservation, among
them: the humidity of the air, the temperature, pollution, light, insects, or
similar situations. Additionally, there should be technological measures for
extinguishing fires and preventing theft.”277
273 Manual de Procedimientos para la Selección y Eliminación de Documentos [Procedures Manual for the Selection and
Deletion of Documents], ch. II, art. 2 (adopted in Sess. No. 44-2010, promulgated by Circ. No. STSE-0032-2010) (2010)(Costa
Rica).
274
Id. ch. VIII, art. 13.
275
Id.
276 U.N. Dep’t of Mgmt. Archives & Records Mgmt. Sec., Guideline on Preventing, Detecting and Treating Insect Infestation in
Records and Archives Centers (2012), https://archives.un.org/content/our-policies-standards-and-guidelines.
277 Decreto No. 2-95, Reglamento del Archivo Central de Tribunal Supremo de Elecciones [Regulation on the Central Archive
of the Supreme Electoral Tribunal], ch. III, art. 5, La Gaceta, Diario Oficial [L.G.] No. 206 (1995)(Costa Rica).
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