Election Investigations Guidebook
integrity and impartiality of the triage process by shielding the investigative
body from political and social pressures that may interfere with the impartial
assessment of complaints. General investigation standards, like the Uniform
Guidelines for Investigations and the UNDP’s OAI Investigation Guidelines, can
inform the electoral investigations process.70
A well-coordinated triage process may also facilitate early identification
of systemic problems in the electoral process, ensuring that there is time to
address them. It also enables investigators to prioritize the use of resources in
order to address issues of fraud or malpractice that might be outcome-determinative. To achieve these objectives, the triage process should track and review
the facts alleged in individual claims and include an initial assessment of the
available information and evidence.71 Because the purpose of the triage stage
only involves the process of categorization, further investigative steps (such
as interviews, responses to allegations, and forensic examinations) should be
delayed until a formal investigation is instigated.72
Preliminary Assessment
Given the short timeframe for electoral investigations and adjudication, efficient
preliminary assessment is crucial for an investigative body to act within the
legal framework. The objectives of the preliminary assessment are to:
✓
Identify the basic allegations of a complaint;
✓
Identify any inconsistencies or outstanding issues in a complaint;
✓
Establish basic evidence and decide whether it suggests that a specific electoral offense or dispute exists; and
✓
Determine whether the evidence presented justifies further investigation.73
One example of a well-established preliminary assessment process comes
from the Australian AEC, which adopted a Complaint Management Policy that
70
See generally Uniform Guidelines 2009, supra note 25, ¶ 30 (applying principles specifically to auditors and investigators
within the U.N. system); UNDP Investigation Guidelines 2012, supra note 6, ¶ 8.3 (providing guidance on internal oversight of
UNDP operations).
71
Canadian Investigators’ Manual Ch. 3, supra note 21, at 2 (providing guidance to investigators as a complement to the
Canada Elections Act).
72
UNDP Investigation Guidelines 2012, supra note 6, ¶ 8.2 (identifying key components of the formal investigation stage).
73
8.1.
See Canadian Investigators’ Manual Ch. 3, supra note 21, at 1–9; UNDP Investigation Guidelines 2012, supra note 6, ¶
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