ENHANCING LEGAL AND ELECTORAL CAPACITY FOR TOMORROW

Transcription

1 Islamic Republic of Afghanistan United Nations Development Programme ENHANCING LEGAL AND ELECTORAL CAPACITY FOR TOMORROW ELECT ID October 2006 December 2010 Substantive Revision Number 2 December 2008

2 Table of Contents Executive Summary 3 Signature Page 5 Acronyms 7 Part 1: Rationale of Revision 8 Part 2: Project Description 9 Background 9 IEC 10 Electoral System 10 Institutional Assessments 11 Political Appraisal 12 Social, Economic and Environmental Appraisal 14 Other actors 15 Part 3: Project Strategy and Appoach 16 Criteria and Eligibility of Contractors 19 Partnership Strategy 20 Sustainability / Exit Strategy 21 Human Rights and Gender 22 Part 4: Expected Results 24 Output 4 24 Outputs 5 and 6 26 Outputs 7 and 8 31 Part 5: Security Planning 38 Part 6: Risk Analysis 40 Part 7: Monitoring and Evaluation 41 Part 8: Management and Coordination Arrangements 43 Part 9: Financial Management Arrangements 50 Part 10: Procurement and Human Resources 50 Part 11: Assets Management 51 Results and Resources Framework 53 Page 2/67

3 Executive Summary This Substantive Revision deepens and consolidates the decisions made in Substantive Revision No 1 to extend the work of the UNDP/ELECT project to support the 2009 electoral process and a broader scope of activities with other electoral stakeholders. Security Council Resolution 1806 of 20 February 2008 provides for coordination of international electoral assistance to Afghanistan to be coordinated by UNAMA and the SRSG: The Security Council Decides further that UNAMA and the Special Representative of the Secretary-General, within their mandate and guided by the principle of reinforcing Afghan ownership and leadership, will lead the international civilian efforts to, inter alia: o Support, at the request of the Afghan authorities, the electoral process, in particular through the Afghan Independent Electoral Commission (AIEC), by providing technical assistance, coordinating other international donors, agencies and organizations providing assistance and channeling existing and additional funds earmarked to support the process; o Notes the leading role that the Afghan institutions will play in the organization of the next elections, encourages the Afghan Government, with support from the international community, to accelerate the planning and preparation of such elections, stresses the need to establish a permanent Civil Voter Registry (CVR) in accordance with the Afghanistan Compact, and emphasizes the importance of free, fair, inclusive and transparent elections in order to sustain the democratic progress of the country; The UNDP/ELECT project is the practical expression of the implementation of Resolution In this context, UNAMA s overarching oversight role is the coordination of political issues to ensure as best as possible that the conditions for elections are met and to provide the appropriate fora wherein political and development partners can discuss, assess and review the emerging political and electoral environment. UNDP/ELECT is the implementation arm of the UN coordination mandate in terms of project and program design and management, mobilisation of donor funding, activity coordination, the channeling of funds for electoral support to the ELECT project, and reporting. Duration: The Revision provides for activities over two years. However output 5: support to the 2009 electoral process, focuses principally on the requirements to deliver the 2009 elections. A further revision to provide a budget and activities for the 2010 processes will be submitted to donors in the last quarter of Outputs 1-3 of the original Project Document remain unchanged. Some qualifying commentary has been added to Output 4 and Outputs 5 8 are new. This Substantive Revision provides that the Outputs of the Project shall be: Output 4: Strengthen the IEC s capacity to design and implement a sustainable national voter registration program, to inform and engage the Afghan public, and to deliver a credible voter register in time for national elections in 2009 and Outputs 5 and 6: Support to the IEC and the electoral process through: Output 5: National elections concluded and 2010 elections concluded by the IEC with minimum disruption or controversy. Output 6 An increasingly self-reliant IEC with a post elections plan. IEC has a continuing mandate, an approved plan, access to financing and the management structure, staffing and inventory needed to better maintain its electoral function beyond The budget for this review in relation to Outputs 5 and 6 pertain only to the 2009 election. Outputs 7 and 8: Support to the broader electoral processes through: Output 7: A conducive environment for elections. Police, candidates/agents., domestic observers and the media each play a more positive role in the electoral process according to their mandates. Output 8: Informed Participation. Informed participation of the Afghan electoral in the 2009 and 2010 elections. The budget for this review in relation to Outputs 7 and 8 pertain to both 2009 and 2010 and envisage this activity as a two year process. Page 3/67

4 The project will be managed and implemented by a project technical team with Advisors situated at the Independent Election Commission headquarters and a supporting Project Management Unit located in UNDP premises. This arrangement will accommodate security and project operations while still providing for an effective and highly integrated work environment for the provision of technical assistance. UNDP/ELECT will support the IEC in establishing and maintaining a mechanism to effectively coordinate and harmonize the respective inputs of all implementing partners working in support of the IEC, and to promote efficient and effective resource allocation. Page 4/67

5 Signature Page The Signature page on pp 3 and 4 of the Substantive Revision No 1 is cancelled and replaced by the following: UNDAF OUTCOME: Area of Co-operation: Governance, Rule of Law and Human Rights Outcome 1: By 2008, transparent, effective and efficient legislative and policy frameworks and processes are established and implemented UNDAF INDICATOR(S): Both chambers of National Assembly democratically elected and functioning; Provincial and district councils established as per Constitution EXPECTED CP OUTCOME: State capacity enhanced to promote responsive governance and democratization APPLICABLE FOCUS AND KEY AREAS: Democratic Governance Strengthening accountable and responsive governance institutions EXPECTED CPAP OUTPUT: Democratic assemblies and electoral institutions strengthened at national and sub-national levels (Parliament operational, efficient and recognised by all the people; Provincial councils elected and functional; Village Chiefs elected and officially recognised; Independent Electoral Commission institutionalised and autonomous) EXPECTED CPAP OUTPUT(S) INDICATORS: Indicator 1.5. Independent Electoral Commission (IEC) fully integrated in administrative, financial and budgetary systems of the Afghan Government. Indicator 1.6. IEC staff is able to design and manage quality voter registration. IMPLEMENTATION MODALITY: Direct Implementation OTHERS PARTNERS: Independent Election Commission of Afghanistan Programme Period January December 2009 Programme Component Project Title Democratic Governance: Strengthening accountable and responsive governing institutions (ELECT) Project ID Page 5/67

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8 Acronyms AFIS ANA ANP CEA CEO CP CPAP CSO CVR DCSE DIM ECC ELECT ELJ EMC IDP IEAT IEC IFES JEMB JEMBS MoD MOI MYFF NGO PEC PESG SNTV SOG SRSG TAF UNAMA UNDAF UNDP VR VRSC Automatic Fingerprint Identification System Afghan National Army Afghan National Police Chief Electoral Advisor (UNDP) Chief Electoral Officer (IEC) Country Programme Country Programme Action Plan Central Statistics Office (Ministry of the Interior) Civil and Voter Registration Democratisation and Civil Society Empowerment Direct Implementation Election Complaints Commission (IEC) Emergency Loya Jirga Electoral Management Committee Internally Displaced Persons International Election Assistance Team Independent Election Commission International Foundation for Electoral System Joint Electoral Management Body Joint Electoral Management Body Secretariat Ministry of Defence Ministry of Interior Multi Year Funding Framework Non Government Organisation Provincial Election Commission Post Election Strategy Group Single Non-Transferable Vote Security Operations Group Special Representative of the Secretary General (United Nations) The Asia Foundation United Nations Assistance Mission in Afghanistan United Nation Development Assistance Framework United Nations Development Programme Voter Registration Voter Registration Security Centre

9 PART 1: Rationale of the Substantive Revision Donors agreed in July 2008 that while Substantive Revision 1 of the Project Document would focus on the Voter Registration exercise, they also agreed to elaborate further areas of work in the next Revision. After extensive consultation with the IEC and donors, this Second Substantive Revision delineates the current voter registration exercise; identifies a sustainability and capacity-building strategy for the IEC; support to the 2009 electoral process, and to highlight the role of stakeholders in the broader electoral environment. Additionally, i. Recognising Security Council Resolution 1806 that provides for electoral assistance to Afghanistan is to be coordinated by UNAMA and the SRSG; ii. Following agreement to support the voter registration process starting October 2008 reflected in Substantive Revision Number 1; iii. iv. In anticipation of the scheduled 2009 and 2010 elections and the need to establish the international framework of support to those processes, and Recognising the value of including a broader scope of activity that engages other stakeholders in the electoral process, UNDP, the IEC and donors have agreed to expand the scope of the UNDP/ELECT project with activities that continue to build the capacity of the IEC in its mandate for the conduct of elections, and to strengthen the capacity of other stakeholders to create a more cohesive, informed and participatory electoral process. The new outputs reflected in this Substantive Revision No. 2 are: 4. Eligible men and women (including harder to reach groups) who do not have a voter registration certificate are given the opportunity to obtain one in time for 2009 elections and 2010 elections concluded by the IEC with minimum disruption and controversy. 6. IEC has a continuing mandate, an approved plan, access to financing, management structure, staffing and inventory need to better maintain its electoral functions beyond Police, candidates agents, domestic observers and the media each play a more positive role in the electoral process according to the their mandates. 8. Informed participation of the Afghan electorate in the 2009 and 2010 elections. Outputs 5 and 6 are designed specifically to support the IEC in the administration and management of the electoral processes. Outputs 7 and 8 are designed to contribute towards the overall credibility and integrity of the electoral processes by Enhancing the awareness of democratic processes through civic empowerment, with a view to enable a more informed voter participation in elections and an increased acceptance of the election results as well as an increased satisfaction with the electoral process and its ultimate outcome Enhancing political accountability through developing the capacity of the political actors to play an integral role in the electoral process Enhancing electoral transparency through enabling electoral observation Enhancing free access to elections through developing the capacity of the police to provide electoral security. Page 9/67

10 These intended activity areas are drawn with a view to what might realistically be achieved in the context of Afghanistan s current political and security environment, noting that it will be important to reassess the priority needs of support for 2010 at a later stage. An evaluation of the support and results achieved for the 2009 election will feed into conceptualising/refining the strategic objectives for PART 2 Project Description 1. Background / Situation Analysis ELECT ELECT Substantive Revision Number 1. Part 2 (1) Background / Situation Analysis p 7, dated July This section is cancelled and replaced by the following: a) Background H.E. President Hamid Karzai presented the Afghanistan Compact at the international donor conference Building on Success, The London Conference on Afghanistan (31 January-1 February 2006). The Compact, which was agreed by the Islamic Republic of Afghanistan and the international community, succeeds the Bonn Agreement of 1380 (2001), in providing a framework for the international community to assist Afghans in the creation of a legitimate government. Having successfully completed the Bonn Process, Afghanistan and its international partners renewed their mutual commitments to continue their joint state building and development efforts. The Afghan Government articulated overarching goals for the well-being of the Afghan people as stated in the Afghanistan Millennium Development Goals Country Report: 2005-Vision Consistent with those goals, The Afghanistan Compact identifies three critical and interdependent areas (or pillars) of activity for the next five years: 1. Security; 2. Governance, Rule of Law and Human Rights; and 3. Economic and Social Development. Through the Compact, the Afghan Government has committed itself to realizing this shared vision of the future. In return, the international community committed itself to provide the resources needed to accomplish the range of goals outlined in the Compact. Under the Governance, Rule of Law and Human Rights pillar, the Compact states that: The Afghan Independent Electoral Commission will have the high integrity, capacity and resources to undertake elections in an increasingly fiscally sustainable manner by end -2008, with the Government of Afghanistan contributing to the extent possible to the costs of future elections from its own resources. A permanent civil and voter registry with a single national identity document will be established by end The focus of United Nations electoral assistance to Afghanistan has to date been directed to ensuring that the commitment by the Islamic Republic of Afghanistan through its Constitution in holding democratic elections and the electoral timeframe set by the Bonn Agreement be respected to the extent possible. In order to ensure that the timeframe envisaged through the Bonn Agreement was met, the model adopted by the national and international stakeholders in undertaking the elections in 2004 and 2005 was largely focused on bringing in international personnel and experts to conduct successful elections. Despite the limited timeframe in delivering the 2005 elections activities, each aspect of the electoral operation was planned to have a capacity building aspect so that the National Assembly elections would serve as a training ground for Afghan staff. In this vein, the Joint Election Management Body 1 Building on Success, The London Conference of Afghanistan (London, 31 January-1 February 2006), The Afghanistan Compact: Governance, Rule of Law and Human Rights Page 10/67

11 (JEMB) and the Joint Election Management Body Secretariat (JEMBS) implemented a capacity building programme, which included a series of courses coinciding with the phases of the election process and study trips to visit election administrations in other democracies. However, the short timeframe for the elections meant that the planned focus on building national capacity was significantly reduced. Similarly, with little time to conduct public outreach activities, the emphasis of civic education activities was placed on explaining the process at hand rather than the broader context of what it means to be a candidate and the roles of elected representatives in the democratic process. While the focus on immediate operational issues allowed elections of international standards to be held in Afghanistan, it also meant that the issue of developing a distinctly Afghan national capacity to conduct future elections would be left to the Independent Election Commission (IEC). As early as mid 2005 the final report of the JEMB, as well as that of the Post-Elections Strategy Group (PESG), (a group of Afghan and international experts established in June 2005 to develop a comprehensive postelection strategy for the Afghan electoral institution), recommended that a base of international expertise would be needed to support the IEC in future elections. Having fulfilled its obligations under the Bonn Agreement, it is timely for the international community to address benchmarks established under the Afghanistan Compact which calls for assisting the IEC as it develops the capacity to conduct future elections in a more financially sustainable manner. A lesson learned from the previous election process is that reliance on the international community to deliver the elections is costly and unsustainable. Thus the focus of ELECT is to prepare the IEC to fully assume and manage its responsibility for the organization and conduct of elections in Afghanistan. The IEC, UNDP and partner implementing organizations consulted thoroughly in evaluating the 2004/2005 Voter Registration and Elections Project with the aim of identifying key areas for support which would best prepare the IEC for the rigors of managing Afghanistan s electoral process well into the future. b) The IEC The IEC is the principal partner of UNDP/ELECT. The organisational structure and a contemporary assessment of the IEC has been provided in the October 2008 Institutional Assessment of the Independent Election Commission undertaken by IFES. (relevant extract attached). The extract attached includes an overview IEC structure and describes in detail the role and functions of the IEC. The current electoral law was drafted in 2004 amendments for which have been under discussion in the parliament during the course of The project will keep appraised of these amendments and adjust the program accordingly if required. Ongoing assessments are being done by IFES at present and will be shared as they are finalized and approved. c) The electoral system The Afghan electoral system is the Single Non -Transferable Vote (SNTV) applying to all elections except the Presidential election which is the Two Round System (TRS). Under an SNTV system voters cast ballots for individuals rather than political parties. Voters cast a single vote for one candidate in a multi-member constituency. Afghanistan s 34 provinces are the constituencies for the provincial council and lower house elections. Each province is allocated a number of seats based on population. The candidates with the highest votes in each province are elected. A number of seats in each province are set aside for women. These seats go to the top votewinning female candidates. Under SNTV, political grouping must spread the votes of their supporters between candidates if they are to win seats representative of the number of votes won. SNTV is not a proportional system. In the Two Round System applying to the Presidential election, the president is elected according to a two-round system (TRS). A candidate is elected in the first round with more than 50% of valid votes. Page 11/67

12 If no candidate wins more than 50%, a second round is held between the top two vote-winning candidates in the first round. The winner of the second round is elected president. The UNDP/ELECT project in Outputs 4-6, supporting voter registration and the 2009/10 electoral processes, aims to support the IEC on the conduct of its full range of activities as enunciated in the Electoral Law through the provision of technical assistance and advice across the IEC departments and the Commission itself. In particular the UNDP/ELECT project will support the IEC in the conduct of the elections due to be held in the next two years, they being: The Presidential Election currently scheduled for early fall 2009 The Provincial Council elections due to be held concurrently with the Presidential elections The Parliamentary and District Council elections scheduled for late summer d) Institutional and Capacity Assessments and Appraisals In the development of this Substantive Revision, the content reflects the significant degree of expert input provided by consultants supported by DfID and CIDA including comprehensive considerations on Support Options for Afghanistan s 2009/2010 Broader Electoral Processes by Catinca Slavu for DfID; consultations have been conducted with the IEC, and a number of key assessments drawn on including the October 2008 Institutional Assessment of the Independent Election Commission undertaken by IFES, and the AREU Briefing Paper of November 2008 by Grant Kippen entitled Elections in 2009 and 2010: technical and Contextual Challenges to Building Democracy in Afghanistan. In brief, these assessments highlight that some of the challenges ahead include: Security: this is the primary operational and political constraint and is addressed in the Risk Analysis Section of this document. For the most of the past 30 years violence has permeated every aspect of Afghan society. The security situation has the potential to affect the electoral environment in a number of way including inhibiting free and open campaigns; offering insurgency opportunities; preventing election support programmes; limit election monitoring and reporting; limit the IEC s operational capacity and voters freedom of movement, and an increased potential for ethnic-based violence. Capacity: For the IEC a major challenge is transitioning from a mostly inactive entity to a fully functioning, operationally-focused organization with a presence in every district. Staff retention; staff recruitment; training and operationally tasks will impact on the IEC s limited current capacity. International advisors working with the IEC at HQ and in the field will be able partially cover for this inexperience however a strong focus on capacity development and skills transfer is expected of the programme. Establishment of a permanent, accurate and cost effective voter register before the next election. The voter registration exercise currently being conducted by the IEC does not address flaws in the previous registration exercise; Creation of a base of knowledge and expertise in election administration specialties such as the delimitation of constituency boundaries; Development of IEC both Commissioners and Secretariat staff -- expertise in the various specialties of election administration and management; Retention of experienced core staff who have already acquired substantial election administration and its various specialties; Construction of electoral infrastructure at both the national and sub-national level; Revision of the election law and the resulting revision of procedures; Reaching agreement on mechanisms for cooperation between the IEC and other Government of Afghanistan GOA) entities; Building better coordination among key national and international stakeholders who provide support for electoral activities. Page 12/67

13 The absence of accurate district boundaries, required for district elections in 2010 Additionally, the following issues are also a factor in addressing support to the 2009 election processes and to the broader scope of work: A public disillusioned with the democratic processes (including the performance of the state institutions); Poor perceptions of the independence of the IEC; Unsatisfactory progress in the process of disbanding illegal armed groups, advancing the rule of law and the transitional justice agenda; the amount of illegal money and corruption ; Possible challenges to the freedom of expression ; A potential increase in voter fraud or attempts to commit fraud; Continued relations of patronage between powerbrokers and communities; Personality-driven rather than ideological political agendas not conducive to the establishment of a democratic multi-party political system; unsatisfactory progress in strengthening the democratic functioning of political parties; A police force with insufficient capacity to provide community security; A voter register unable to be adequately corrected through the 2008/9 VR exercise. e) Political Appraisal: The 2004 Presidential Elections and the 2005 National Assembly/Provincial Council Elections represented enormous achievements for Afghanistan. Millions of voters across the country exercised their democratic right to elect legitimate representatives to institutions that will govern the country at the national and provincial levels for the years to come. The last electoral process built a strong foundation for the future of a democracy in Afghanistan that is currently being capitalized on to further develop a democratic political culture as well as to entrench strong electoral processes. The first symbol of such entrenchment was the transition of electoral management from the Joint Electoral Management Body (JEMB) to the Afghan Independent Election Commission (IEC). The JEMB was formally dissolved 30 days after the inauguration of the National Assembly in December 2005 at which point the IEC became the national institution responsible for Afghanistan s elections. Unfortunately, the transition of the IEC into a state and budgetary entity was incomplete by the 21 March 2006 deadline forecast by the Post Electoral Strategy Group (PESG) and was later extended to 20 October Reasons for the delay included late approval of the National Budget by the National Assembly; slow action by the Independent Administrative Reform and Civil Service Commission (IARCSC) to enact Priority Rank and Reform (PRR) and Super Scale salaries; recognize the qualifications and credentials of IEC staff who had already been processed through two prior UNsanctioned open competitions; and other unnecessary obstacles which prevented the IEC from retaining some key technical staff. Unlike the previous electoral exercise which was a joint Afghan and UN administered election through the Joint Electoral Management Body (JEMB), the upcoming elections will be managed by the IEC with the UN in a supporting and coordinating role, providing technical assistance and capacitybuilding. At the request of President Karzai, and in accordance with UNSCR 1806 (2008), UNAMA has committed to lead and coordinate all its international partners to ensure coherent and integrated support to the IEC and other Afghan authorities in the electoral process. The UNDP Enhancing Electoral and Legal Capacity for Tomorrow (ELECT) Project will provide direct technical assistance and capacity building to the IEC for all electoral activities with overall supervision by UNAMA/SRSG. Page 13/67

14 Since the transition in 2006 and in preparation for elections, a number of key electoral issues have been in the forefront of discussions and they include the following: (1) Electoral Calendar In effort to reconcile the electoral calendar, in the beginning of 2007, the President urged the National Assembly to consider possibilities of harmonizing the electoral calendar in essentially one of three ways; (1) agree to reducing their term by a year so that it falls in line with Presidential elections required in spring 2009, (2) reduce the National Assembly term by 6 months and extend the Presidential term by 6 months so that both elections fall in line with the Provincial Council Elections due in the fall 2009 or (3) extend the Presidential term for one year to fall in line with the National Assembly elections in spring In mid-february, the Wolesi Jirga voted against harmonization, reasoning that such a decision would be extra-constitutional without amendment of the Constitution by a Loya Jirga. The international community did not take a stance on this issue other than highlighting that from a purely technical point of view, harmonization would be more cost-effective and sustainable but that the decision would have to be an Afghan decision. On 9 April, the Independent Election Commission, after many months of consultations with the Government, Supreme Court, the National Assembly and prominent Jihadi leaders announced that elections would be held separately rather than simultaneously. Taking into account constitutional and climatic considerations, the IEC announced that Presidential and Provincial Council Elections would be held in the fall of 2009 while Wolesi Jirga and District Council Elections would be held in the late summer of (2) Electoral Law and IEC Structure Law The Electoral Law was amended by the IEC through a long consultative process under which political parties, civil society, parliamentarians, international stakeholders and others reviewed options via roundtables in different provinces. Based on such discussions, the IEC included provisions for modified mixed proportional representation system which was then sent to the Ministry of Justice (MoJ) for review and subsequent submission to the Cabinet for debate. Subsequently, the law was returned to the IEC to be redrafted to include a pure SNTV system rather than mixed PR. This SNTV draft was then finalized by the MoJ and passed Cabinet scrutiny. Presently the draft law is in the Wolesi Jirga (Lower House) and ten articles out of the 70 articles have been approved including retaining SNTV as the electoral system. In the months prior to the debate of the law in the Wolesi Jirga, the Electoral Sub-Committee of the Wolesi Jirga Legislative Commission publicly appealed for inputs to the law by all Afghan political stakeholders and civil society in an attempt to aggregate differing public views on contentious issues such as the electoral system. Debate on the law has been stalled since April 2007 pending a resolution to the Kuchi/Hazara dispute over the allocated 10 reserved seats for Kuchi representation in the Wolesi Jirga. The law is still awaiting debate and will need to be endorsed by both Houses of the National Assembly and then the President. In accordance with article 109 of the Constitution, the Electoral Law cannot be amended 12 months prior to the election date. A draft IEC Structure Law was also submitted to the National Assembly and it has been passed by both Wolesi Jirga and Meshrano Jirga. However, there are conflicts in amendments between the two houses, most notably with the Wolesi Jirga voting to include confirmation hearings for IEC Commissioners and the Meshrano Jirga voting to overturn that amendment. Currently, IEC Commissioners are appointed by the President. The conflict in amendments will be debated in a Joint Commission of the Wolesi and Meshrano Jirga before being sent to the President for endorsement. (3) IEC Commissioners On 18 January, the term of the IEC Commissioners expired and the President was asked to appoint or re-appoint Commissioners in consultation with the National Assembly. On 18 May, the President issued a Presidential Decree announcing the new IEC Commissioners. The decree named the following Commissioners: Mr. Ayoub Asil re-appointed as Deputy Chair, Ms. Momina Yari re-appointed as a member, Ms. Mastoura Setankazi re-appointed as a member, Judge Solaiman Hamed newly appointed as member and Professor Muhammad Hossein Garziwani newly appointed as member. Chairman Azizullah Lodin and Commissioner Manawi had been appointed earlier. All together, there are now seven Commissioners comprising of three Pashtuns, one Hazara, one Tajik, one Uzbek and one Aimaq. (4) Voter Registration vs. Civil/Voter Registration Page 14/67

15 In order to meet the Afghanistan Compact benchmark to establish a Civil and Voter Registry (CVR) by the end of 2009, the UNDP ELECT Project conducted a CVR Pilot Project designed to test the best modality for a future CVR. The Pilot Project began in July 2007 and was completed in September Two types of systems were tested during the Pilot Project; an automated system using laptop computers, printers, facial and iris scanning cameras and a paper-based system using facial photos and hardcopy data collection. The Pilot Project was conducted in three target districts of Kabul, Jalalabad and Bamyan for two months. The pilot revealed that although a joint civil and voter registry is an important goal, there is simply not enough time to conduct a joint exercise that would yield a credible voter register in time for elections. In February, the IEC with the support of UNDP technical consultants began planning for a stand-alone voter registration exercise to occur in two phases (cold areas then warm areas) from August- November 2008 in preparation for 2009 elections. A voter registration operational plan was completed and was finalized by the IEC in early May On 12 May 2008, the Cabinet decided to have the IEC and MoI review the feasibility of conducting a joint civil and voter registry despite an earlier decision in June 2007 calling for the separation of these two exercises. After months of debate, the Cabinet voted not to combine the two processes due to capacity issues in the MoI civil administration department and limits on time to produce a credible voter registry in time for the 2009 elections. (5) Security Planning Since early this year, the IEC, Ministry of Interior, Ministry of Defense, National Directorate of Security, international military forces, UNAMA and UNDP have been meeting regularly coordinate planning for voter registration security. On 24 August, a Joint Order for Voter Registration Security was signed by the Ministry of Interior, Defense and NATO/ISAF where the Afghan National Police will provide onsite security, with perimeter support from the Afghan National Army and in extremis support by NATO/ISAF. f) Social, Economic and Environmental Appraisal The current Afghan government inherited social and economic devastation from the Taliban. Decades of war left the education system in ruins. An estimate 11 million Afghans aged 15 and above are illiterate. Education and literacy rates present challenges to an electoral process and will be taken into account by the project and the IEC. Afghanistan s infrastructure is still basic. Although some roads have been rebuilt since 2001, transport links are underdeveloped and often dangerous. This complicates the distribution and retrieval of election materials, and the ability of candidates to campaign across the country. Many Afghans suffer extreme poverty. Eighty percent live in rural areas, mostly engaged in agriculture. Recent reports have highlighted the danger of food shortages in some parts of the country. Since 2001, over 5,000 Afghans have been killed or injured by anti-personnel mines. Despite advances in disarmament, small weaponry is prevalent across the country. Formal social protection arrangements are sparse or non-existent. The health sector has taken some steps towards recovery in the past few years, with approximate 85% having access in their district to a basic health package. However, life expectancy at birth is just 47 for men and 45 for women. The vast majority of the country is socially conservative. Women play a limited role in public life. Work of gender specialists within ELECT and the IEC will attempt to counterbalance this. Community links are likely to influence the conduct of the elections. During the previous electoral cycle, the loyalty of some electoral staff was more closely aligned to their ethnicity or tribe than to the democratic process. Patronage networks will also play a role, with traditional practices of patronage to local powerbrokers having the potential to undermine electoral transparency. This could be exacerbated by the choice of electoral system, the single non-transferable vote, for parliamentary elections. The system is widely thought to encourage individual, personality- rather than policy-based politics. Page 15/67

16 g) Other Actors IFES is an international NGO specializing in electoral support. It is funded by USAID though a separate program and works in partnership with UNDP/ELECT in the IEC. The Asia Foundation (TAF) is an international NGO funded separately through USAID and working as one of the three implementing partners within the IEC. The contracts of IFES and TAF reflect the leadership and coordination role of the UN in electoral support. The ANP (Afghan National Police) is one of the security actors supporting the IEC. The ANA provides security at registration and polling stations. The ANA (Afghan National Army) is one of the security actors supporting the t IEC. The ANP provides regional security. ISAF provides strategic security support to the VR and electoral processes. The NBS attends all IEC Security Coordination Meetings and provides high level advice and support to the coordination processes. i) UNDP/ELECT Working together, the IEC, UNDP, IFES and The Asia Foundation identified three main areas for cooperation with each other in support of the IEC: I. Capacity building of all institutional levels, II. Review of the legal structure and III. a civil and voter registration pilot project. The UNDP/ELECT Project was developed with the objective of working with the IEC and it s other assistance providers to become a fiscally and institutionally sustainable administration with high integrity, capacity and resources to undertake elections in an increasingly fiscally sustainable manner by end-2008, with the Government of Afghanistan contributing to the extent possible to the cost of future elections from its own resources. The UNDP/ELECT Project is also guided by Security Council Resolution 1806 of 20 February 2008 which provides for coordination of international electoral assistance to Afghanistan to be coordinated by UNAMA and the SRSG: The Security Council Decides further that UNAMA and the Special Representative of the Secretary- General, within their mandate and guided by the principle of reinforcing Afghan ownership and leadership, will lead the international civilian efforts to, inter alia: o Support, at the request of the Afghan authorities, the electoral process, in particular through the Afghan Independent Electoral Commission (AIEC), by providing technical assistance, coordinating other international donors, agencies and organizations providing assistance and channeling existing and additional funds earmarked to support the process; o Notes the leading role that the Afghan institutions will play in the organization of the next elections, encourages the Afghan Government, with support from the international community, to accelerate the planning and preparation of such elections, stresses the need to establish a permanent Civil Voter Registry (CVR) in accordance with the Afghanistan Compact, and emphasizes the importance of free, fair, inclusive and transparent elections in order to sustain the democratic progress of the country; Page 16/67

17 The first Substantive Revision followed a government decision and agreement by the international community to support a voter registration exercise as the foundation of the 2009 and 2010 elections. It also reflected the agreements reached at the June 2008 Paris Conference at which the international community underlined the importance of the holding of elections in 2009 and 2010 as a crucial step to consolidate democracy for all Afghans and pledged its strong support to the electoral processes. In addition, donors have agreed that a broader approach to electoral programming support that recognizes the role of other key stakeholders including civil society, the media, observers, political parties and others, will strengthen the overall electoral environment and help create a more meaningful and cohesive approach to electoral support.. Again, this reflects the Paris Conference pledge to ensure greater civil society participation in the nation building process and wherein the international community welcomed the strong commitment of the Afghan Government to continue a productive dialogue with civil society and communities, and to reach out to disaffected groups to promote peace and participation of the people in shaping a democratic and pluralistic Islamic society. Donors agreed in July 2008 that while Substantive Revision 1 of the Project Document would focus on the Voter Registration exercise. They also agreed to elaborate further areas of work in the next Revision. To that end, initially three additional areas of support were added: IV. Strengthen the IEC s capacity to design and implement a sustainable national voter registration program, to inform and engage the Afghan public, and to deliver a credible voter register in time for national elections in 2009 and 2010; V. Support the IEC in the delivery of credible, sustainable electoral processes in 2009 and 2010, and VI. Support the broader electoral framework through capacity building, engagement with and support to civic and voter education, media development, political parties, domestic observation and emerging issues as agreed. In commending the three areas of activity above, donors also agreed that that the second Substantive Revision would elaborate on the 2009 and 2010 activities. These activity areas are: These intended activity areas are drawn with a view to what might realistically be achieved in the context of Afghanistan s current political and security environment, noting that it will be important to reassess the priority needs of support for 2010 at a later stage. An evaluation of the support and results achieved for the 2009 election will feed into conceptualising/refining the strategic objectives for Part 3 Project Strategy and Approach ELECT Substantive Revision Number 1. Part 2, Project Strategy and Approach p 11, dated July This section is cancelled and replaced by the following: With this revision, the five outputs (4-8 incl) 2 are added to ELECT and the the three activity areas of Substantive Revision 1 have become five new areas in this Revision. They are: Output 4: An updated voters register: Eligible men and women (including harder to reach groups) who do not have cards are given the opportunity to obtain one in time for the 2009 elections. 2 Page 17/67

18 Output 4 is intended to increase the credibility and public acceptance of electoral results by enabling eligible men and women voters (including harder to reach groups) turn out to register in a process which produces a credible register in time for the 2009 elections. Outputs 5 and 6 also aim to increase the credibility and public acceptance of electoral results by supporting the IEC to conclude the 2009 and 2010 elections with minimal disruption or controversy and by helping to create an increasingly self-reliant IEC with a post elections plan by ensuring the IEC has a continuing mandate, an approved plan, access to financing, and the management structure, staffing and better inventory needed to better maintain its electoral function beyond Support to the IEC in the administration and management of the electoral processes has been embraced within Outputs 5 and 6 which have been grouped together as they both focus on the IEC, but separated to distinguish between operational and capacity-building support process though: Output 5: National elections concluded and 2010 elections concluded by the IEC with minimum disruption or controversy. Output 6 An increasingly self-reliant IEC with a post elections plan. IEC has a continuing mandate, an approved plan, access to financing and the management structure, staffing and inventory needed to better maintain its electoral function beyond The budget for Outputs 5 and 6 pertain only to the 2009 electoral process. A further Substantive Revision will be made following the evaluation of the 2009 election process. Outputs 7 and 8 will contribute to increased credibility and public acceptance of results through the creation of a conducive environment for public participation by providing support that helps police, candidates/agents, domestic observers and the media each play a more positive role on the electoral process according to their mandates. In addition, the impact will be assisted by better informed participation of the Afghan electorate in the 2009 and 2010 elections. Support to the broader electoral processes will be achieved through the implementation of Outputs 7 and 8 which are designed to contribute towards the overall credibility and integrity of the electoral processes by: Output 7: A conducive environment for elections. Police, candidates/agents., domestic observers and the media each play a more positive role in the electoral process according to their mandates. Output 8: Informed Participation. Informed participation of the Afghan electoral in the 2009 and 2010 elections. Outputs 7 and 8 are intended to : Enhance the awareness of democratic processes through civic empowerment, with a view to enable a more informed voter participation in elections and an increased acceptance of the election results as well as an increased satisfaction with the electoral process and its ultimate outcome Enhance political accountability through developing the capacity of the political actors to play an integral role in the electoral process Enhance electoral transparency through enabling electoral observation Enhance free access to elections through developing the capacity of the police to provide electoral security. These intended activity areas are drawn with a view to what might realistically be achieved in the context of Afghanistan s current political and security environment, noting that it will be important to reassess the priority needs of support for 2010 at a later stage. An evaluation of the support and results achieved for the 2009 election will feed into conceptualising/refining the strategic objectives for Page 18/67

19 The budget for Outputs 7 and 8 pertain to the 2009 and 2010 electoral process and envisage the broader scope of work as a two year process. Detailed workplans for each Output will be developed for approval by the Project Board. The project will be guided by ten principles that emphasize coordination and capacity-building. These are: 1. Harmonisation and complementarity with on-going programmes. 2. Coordination with other actors and implementing partners. 3. Utilisation of local expertise and partnerships and the partnering of local institutions with any external service providers. 4. Local ownership and focus on long term capacity building. 5. A solid research base. 6. Continuous monitoring based on measurable objectives. 7. Programme and budget oversight and information sharing through a Steering Committee and higher level political exchange. 8. Gender equity. 9. Accessibility, especially for the disabled, non-urban dwellers and the illiterate. 10. Accountability through regular programme and budget reporting to IEC, participating agencies and donors. Prioritisation The international community, inspired by inputs from some donors, has responded supportively to the concept of a more meaningful program overall with the introduction of the broader scope of work However, support to the IEC s administration of the electoral processes including the provision of procurement, administration and financial structures is critical, as is ensuring that the necessary Electoral Complaints and Media Commissions functions are effectively operating in time. With that in mind, the political environment and imminent related decisions (especially about the election timing) will determine to what extent this broader scope of work is introduced in the early part of Equally of opportunity for all Afghans to participate in the election will be an important principle. Criteria and Eligibility for Contractors The modality for engaging partner organisations for Outputs 7 and 8 will primarily be through UNDP s Request for Proposal (RFP) process of competitive tendering or other competitive mechanisms. All proposals, to be technically qualifying, must not only conform to UNDP s procurement guidelines but must also honour the Programme Principles enunciated in this Document. In this context, especially for Outputs 7 and 8 in the area of civic empowerment, project appraisal will be an important part of ensuring the quality of programming. Project appraisal will require a deep understanding of: Democracy support, including governance and human rights The political, social and cultural context of Afghanistan today Media issues (freedom of the media, independence of the media, media capacity) Reputation of Afghan and international organisations applying for funding (or means of assessing it/ability to assess it), funding history and sources Ideally, project management, as well. Decisions to fund projects will take into account the following main aspects: An organisation s ability to meet the advertised objectives according to: o quality of programming (understanding of the fund s objectives; realistic identification of targets and indicators; balanced use of languages, ethnicities, inclusion, territorial Page 19/67

20 o o o o o o o o o o o o o coverage (where applicable), neutrality and impartiality, use of local/regional expertise, clarity of intentions and ability to put them into practice) expertise in the field of work experience in Afghanistan and understanding of the Afghan context credibility with/reputation within the civil society/targeted communities/beneficiary organisation/ institution, as the case may be demonstrated ability and a clear plan for developing the capacity of the Afghan implementing partners, with a view to ensuring the sustainability of project activities (where applicable) ability to monitor project implementation and to report transparently on results and expenditure ability to partner with other organisations in the interest of ensuring harmonised or coordinated programming and avoiding duplication of efforts an anti-corruption clause low levels of overhead fee a financial management clause. The potential for duplication of efforts or concentrating funds to either preferred organisations or provinces. For this purpose, a mapping of all bilaterally-supported programmes/projects in support of fostering democracy would be very useful. A mapping of state-run civic education programmes/projects would also assist. The need for balanced coverage in terms of gender; and, where applicable, geography; ethnic communities; language etc. Complementarities among various project proposals. The need for projects to be anchored in a long-term plan and to utilize local expertise and participatory techniques, enhancing the dialogue between the various stakeholders. UNDP/ELECT is built on a four- fold approach to help achieve the envisaged impact of the outputs. a) First, each of the departments of the IEC Secretariat will be supported by an international advisor(s) who will work with the departmental director in his/her day to day work and therefore gradually transfer capacity through a coaching, training and mentoring process. Responsibility for recruiting and fielding advisors is shared between TAF, IFES and UNDP in an agreed collaborative approach. The identification and selection of local and international consultants will be made in close coordination/consultation with the IEC. b) Second, each of the IEC s assistance partners has agreed to coordinate their efforts under the leadership of the UN as the coordinating body for international support to the electoral process and through the IEC Secretariat in order to ensure effective use of financial and human resources. Avoiding conflicts, programmatic overlap and gaps are seen as key elements in coordination. c) Two key cross-cutting advisory roles have been created to ensure the capacity development remains at the forefront of the project and that gender equity and access issues are mainstreamed within the IEC and the project. The Capacity development Advisor will both monitor the skills transfer and institutional growth of the IEC; plan and implement longer terms training programmes such as the Bridge Program, and will focus on the post election period and strategy development. d) Finally, there continues to be an acute need for strengthening the premises on which electoral processes can contribute to building a democratic state in a meaningful way. This requires meaningful and ongoing interventions at the diplomatic and other levels to continue to advocate for relevant legislative changes and encourage those responsible to pursue the Page 20/67