Election Investigations Guidebook
Uniform Guidelines for Investigations stipulate that the decision on whether
to pursue an investigation in any context should be made in accordance
with the “rules, policies, and procedures of the Organization.”49 Extending
this principle into the electoral context, the legal and regulatory framework
should give the investigative body the discretion to develop its own uniform
standards for the triage, assessment, and investigation processes. However,
the decision of the investigative body must be reviewable by a court, as needed, although the investigators should be given authority to determine the
standards and manner by which they prioritize and conduct investigations.
One complicating factor in this process is that many EMBs still limit access
to information and evidence.
Often, regulations provide the legal authority for proceeding with an investigation but do not provide specific, uniform guidelines on how to systematically
exercise this authority. Investigative bodies should, therefore, establish their
own procedures for investigating complaints. In its complaints procedure,
the National Election Commission (NEC) in Liberia states that “the hearing,
investigation and determination of challenges and complaints by the NEC
[are to be] organized according to rules of procedures issued by the NEC.”50
Investigators of the Australian Electoral Commission rely not only on the
regulatory framework but also on the guidelines, policies, charters, and codes
of conduct to inform their election complaints process.51
The roles of investigators and election officials should be clear and open
to the scrutiny of any interested parties—from the relevant authorities and
dispute resolution bodies to the public at large.52 In 2014, both the Federal
Public Prosecutors’ Office and the Federal Police in Brazil had an investigative
mandate, with researchers finding that such institutional multiplicity appears
to facilitate increased monitoring and investigation of corruption—in part
because the mandate and rules of each body are clearly known.53
49
Uniform Guidelines 2009, supra note 25, ¶ 31.
50
Election Comm’n of Liberia, Complaints Regulation ¶ 9.1 (2005).
51
Australian Election Complaints Management Policy, supra note 8; see generally Better Practice Guide to Complaints Handling, Commonwealth Ombudsman (2009) (outlining Australian standards for handling complaints in organizations, AEC Privacy
Policy, AEC Service Charter, and Australian Public Service Code of Conduct).
52
See Violaine Autheman, IFES, The Resolution of Disputes Related to “Election Results:” A Snapshot of Court Practice in
Selected Countries Around the World 6 (2004), http://aceproject.org/ero-en/topics/electoral-dispute-resolution/ConfPaper_Indonesia_FINAL.pdf.
53
Mariana Mota Prado & Lindsey Carson, Brazilian Anti-Corruption Legislation and its Enforcement: Potential Lessons for
Institutional Design 8 (International Research Initiative on Brazil and Africa [IRIBA], Working Paper No. 09, 2014).
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