Principle 1: Prompt Investigation
sets out the principles and processes that investigators must follow when they
manage a complaint.74 Complaints are classified into five broad categories: (1)
complaint of a general nature; (2) complaint of a legal nature; (3) complaint regarding fraud; (4) complaint regarding breach of privacy; and (5) complaint outside of AEC responsibilities.75 One of the first steps taken when the AEC receives
a complaint is to assess the urgency and/or seriousness of the complaint as well
as its complexity. While the Policy does not specifically refer to an examination
of whether a complaint may have an impact on the results of an election, this
would, conceivably, be considered when looking at the urgency or complexity
of the claim. This assessment then determines the specific timeframe needed
to resolve the complaint (either within three working days or more than three
working days) and the level of investigation needed to resolve the complaint.
Uniform and well documented decision-making during an investigation process increases transparency and trust in the overall electoral dispute resolution
process. Elections Canada requires special investigators to document findings
through “preliminary assessment report[s]”76 that offer a recommendation to
the Commissioner.77 The Chief Investigator is responsible for producing timely,
comprehensive reports to the Counsel to the Commissioner on any significant
trends relating to oral complaints and for recommending the appropriate
course of action.78
Similarly, the UNDP OAI provides guidance on general standards for decision-making in electoral investigations. Following a preliminary assessment,
the UNDP OAI recommends producing internal, confidential documentation
of decision-making, which would entail either: (a) a closure note or—if the
assessment has shown that there is sufficient evidence to warrant a formal
investigation—(b) a work plan for each complaint.79
74
Australian Election Complaints Management Policy, supra note 8.
75
Id.
76
Canadian Investigators’ Manual Ch. 3, supra note 21, at 5.
77
Canadian Investigators’ Manual Ch. 4, supra note 32, at 4.
78
See, e.g., Canadian Investigators’ Manual Ch. 3, supra note 21, at 1.
79
UNDP Investigation Guidelines 2012, supra note 6, ¶ 8.
45