The investigator must
determine whether the information uncovered in the investigation substantiates
the complaint and whether the file should be referred to the prosecutor. This
is an important responsibility and the decision should be made objectively based on
the basis of facts and the evidence obtained. A biased or sloppy analysis may
have a serious impact on integrity, leading perhaps to prosecution of an
innocent person or allowing a guilty person to escape justice.
Thorough
and Objective Analysis
The evidence collected should
undergo comprehensive analysis to determine the facts. During analysis, investigators generally check whether:
- the official records are
in the specified format and meet stipulated requirements;
- the official records have
been tampered with and, if so, by whom;
- financial statements are
supported by receipts, invoices, cancelled cheques, accounting books and
bank account statements; and all deposits, withdrawals and corrections are
accounted for;
- there are explanations
for omissions, discrepancies, anomalies or irregularities;
- the records seem to
contain false or misleading information; and
- records were signed by
authorized persons, or there seem to be grounds to believe that an
unauthorized person provided recorded information (including signatures).
Substantiated
Findings
In part, analyzing the
evidence involves determining whether an offence was committed and whether
prosecution should be recommended. The assessment requires an objective review
of the facts but in some cases the investigator may have to make a subjective
judgment.
The analysis will be
used to determine whether to initiate legal proceedings so it is important for
the investigator to record the findings in a written report. The report enables
prosecutors and other enforcement officials to make an informed decision based
on factual information. This type of report generally includes a summary of the
allegation, details on the identity of the suspect and the complainant, the
outcome of the investigation, a list of the events and evidence, and a summary
of each offence and the link to the suspects.
The report also usually
includes the investigator’s recommendation on whether the investigation should
be continued or discontinued, plus an assessment of the availability,
credibility, competence and reliability of potential court witnesses, as well
as mitigating circumstances if any.
If the investigation shows
that the allegations are unsubstantiated, generally the case is closed. If the
investigation shows that the allegations are substantiated, generally the
complaint should be referred to the prosecutor’s office.
On reviewing the assessment
before referring the case for prosecution, the investigator’s supervisor may
find inaccurate or unsupported analysis. To ensure integrity and avoid the
possibility that a supervisor might bury a case ready for prosecution, some systems
have an internal mechanism for higher-level review if investigator and
supervisor disagree on the recommendation.
Safeguarding
the Secrecy of the Vote
When investigators examine
electoral documents, including the voter registry, absentee ballots and tally
sheets, they must take the measures necessary to maintain the secrecy of the
vote. This is especially true in the case of an investigation of possible
absentee voting fraud.
Confidentiality
Reports and information from
ongoing investigations are usually kept confidential. This is to protect the
privacy of witnesses and avoid the destruction of potential evidence, which
would make the investigation less effective and weaken public confidence in the
administration of justice. Leaking information on an investigation during an
election could also affect election results.
In particular, the following
information should be kept confidential until the conclusion of an
investigation:
- information on evidence
collected that could be used in a trial;
- information that could
sully the character or reputation of the accused or witness; and
- information that could
jeopardize an ongoing investigation or the safety of enforcement
officials.
