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Encyclopaedia   Electoral Integrity   Enforcement of Electoral Integrity   Investigations  
Investigator's Analysis

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.