Agencies that enforce the law, including electoral legislation, play an important part in safeguarding election integrity. Enforcement deters those thinking of subverting the system, and it identifies and punishes those who have broken the law.

Different agencies usually share responsibility for enforcement, depending on the nature and severity of the problem. An investigation may be launched by an oversight agency but later entrusted to an enforcement agency. For example, criminal cases uncovered during a routine audit may be referred to the justice system. If the prosecuting authorities decide to pursue a case, they could charge and prosecute the alleged perpetrator, and the courts may pass sentence if the defendant is found guilty.

Effective enforcement requires a functioning legal system and respect for the law. To ensure the integrity of the enforcement system, its independence must be safeguarded. In countries where the criminal justice system is inadequate, an electoral court or similar body can be empowered to enforce election laws. Following are the principal institutions in enforcement to maintain election integrity.

Election Management and Policy Bodies

Election management and policy bodies may be given enforcement powers. In Mexico, for example, the Federal Electoral Institute and the Federal Electoral Tribunal are mandated to oversee the enforcement of election legislation, consider challenges and apply sanctions in cases of administrative error.

In South Africa, the Chief Electoral Officer may institute civil proceedings before a court, including the Electoral Court, to enforce provisions of the electoral law.

Regulatory Agencies

Regulatory agencies have the power to enforce the regulations they issue. They may sanction individuals found guilty of violating the regulations and, depending on the circumstances, may levy fines or recommend criminal prosecution.

Investigative Agencies

Each country has institutions and procedures for investigating allegations of electoral wrongdoing or other misconduct. Investigators:

• investigate incidents and complaints to determine the facts and collect evidence against individuals or organizations; and
• report on facts found, evidence collected and investigation results to the administrator responsible for election investigations.

Prosecuting agencies use the investigation report, evidence and findings to determine whether to initiate civil or criminal proceedings against a person or group of persons. This task may be entrusted to a law enforcement agency or a specialized election investigation body. In Canada, for example, it is the responsibility of the Commissioner of Canada Elections, while in New Zealand it is the responsibility of the police.

Security Forces

Election security is the responsibility of the government and is usually handled by the police. Good security is essential for safeguarding election integrity. It assures voters and candidates that the campaign will be conducted in an open climate free of fear or intimidation. Good security can support voter turnout and the exchange of information. The primary roles of security forces are to:

• protect the physical safety of individuals, electoral sites and materials involved in an election;
• investigate crimes and, where applicable, arrest the suspects; and
• deter anyone thinking of resorting to violence or fraud as an electoral tool.

Prosecution

Prosecution of electoral wrongdoing is an essential part of enforcement. It tells those interested in manipulating or subverting the process that such actions will not be tolerated and will be punished. To maintain election integrity, the prosecuting authorities:

• initiate investigations (depending on the system);
• determine whether the evidence warrants a prosecution, and who should be prosecuted;
• establish priorities among pending cases for prosecution; and
• on behalf of the government, prosecute individuals accused of having violated election-related laws.

In most countries, the prosecutor is a government employee or elected official. If elected, the prosecutor is more sensitive to public opinion and the political context of each case. The prosecutor has some discretion in determining which cases to prosecute. The potential for abuse of this discretion can raise questions about the integrity of the enforcement process.

Courts

The judiciary must ensure that laws are enforced on the basis of impartial standards rather than political bias, and that those found guilty are punished. The role of the courts in safeguarding integrity varies according to each country’s electoral system and level of trust. In countries where there is little trust in the electoral management body and the justice system, specialized courts may need to be established, as they were in Mexico and Kenya. The specialized courts may play an active role in adjudicating electoral disputes that might otherwise be settled by an electoral management body.

In general, to safeguard election integrity, the courts:

• provide a non-political forum to hear cases on election law violations, whether criminal or civil;
• help resolve electoral disputes through recounts or certifying who won;
• interpret the election laws and determine their constitutionality; and
• depending on the system, determine guilt and sentence those found guilty.