Enforcement agencies 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 violation. An investigation may be launched by an oversight or supervisory body but later transferred 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 impose a 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 of legal enforcement to maintain election integrity:

Election Management and Oversight Bodies

Election management and oversight bodies may be accorded 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.

EMBs may have enforcement powers, usually acting on the basis of a submitted complaint.  While EMB-imposed sanctions are usually limited to administrative actions (including disciplinary referrals) or minor civil penalties, EMBs may also refer electoral violations to the prosecutors in appropriate cases.

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 often have the power to enforce their own regulations, subject to appropriate procedural requirements. EMBs with regulatory power may also sanction individuals found guilty of violating regulations and, depending on the circumstances, impose administrative sanctions, levy fines or make referral for criminal prosecution.

Investigative Agencies

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

• investigate incidents and complaints to determine the facts and collect evidence against individuals or organizations; and
• make findings of fact, summarize evidence collected and report the results of investigation to the responsible administrator, including an EMB.

Administrative and prosecutorial agencies use investigatory reports, evidence and findings to determine whether to initiate administrative, civil or criminal proceedings against a person or group. 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 confidence in the secrecy of the voting. The primary roles of security forces during elections 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
• provide a deterrent against resort to violence or fraud as an electoral tool.

Prosecution

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

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

In most countries, the prosecutor is a government employee or elected official. (If elected, the prosecutor is inherently more sensitive to public opinion and even the political context of cases.) The prosecutor has considerable discretion in determining which cases to prosecute. Abuse of this discretion can raise questions about the integrity of the enforcement process.

Courts

The Judiciary ensures that laws are enforced on the basis of impartial legal standards, rather than political or other factors. The role of the courts in safeguarding electoral integrity varies according to each country’s electoral system and degree of trust in the justice system. In countries where there is little trust in the EMB or regular justice system, specialized courts may be established, as they were in Mexico and Kenya. Such 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 may:

• provide a non-political forum to hear cases on election law violations, whether criminal or civil;
• help resolve electoral disputes through special remedies such as recounts or certifying results;
• interpret the election laws and even determine their constitutionality; and
• depending on the nature of the violation, determine responsibility and sentence those found guilty of a criminal violation.