Neither UNDP, EC, IDEA nor any person acting on their behalf is responsible for the use which might be made of the following information.

Transcription

1 Joint EC-UNDP Task Force on Electoral Assistance International Institute for Democracy and Electoral Assistance Workshop on Effective Electoral Assistance PARTICIPANTS MANUAL Organised within: With the support of:

2 UNDP, EC and International IDEA, as original co-authors of the content used in this Training Manual on Effective Electoral Assistance, agree that - UNDP shall hold the copyright for the content of this Training Manual on Effective Electoral Assistance on behalf of the Partners in accordance with the UN rules on copyright, in line with the provisions laid out in the Financial and Administrative Framework Agreement (FAFA), signed by EU and the UN on 29 April 2003 and with the first review of the EC-UNDP Operational Guidelines on Implementation of Electoral Assistance Projects and Programmes signed on 1 December 2008 by Ad Melkert (UNDP Associate Administrative) and Koos Richelle (Director General of EuropeAid). - The other partners within the subgroup on Effective Electoral Assistance in Train4Dev (Spanish Ministry of Foreign Affairs and Cooperation, CIDA, OAS and IOM) and SatElections may use the content of the Training Manual on Effective Electoral Assistance upon request and through the granting of a royalty-free basis use, for educational and non commercial purposes only. Every request for the use of this content of the Training Manual on Effective Electoral Assistance should be addressed to the Brussels-based office of the Joint EC-UNDP Task Force on Electoral Assistance. Neither UNDP, EC, IDEA nor any person acting on their behalf is responsible for the use which might be made of the following information. Joint EC-UNDP Task Force on Electoral Assistance Address: Square de Meeús, BE-1000, Brussels - Belgium Tel: info@ec-undp-electoralassistance.org Website: Graphic Design: Adelaida Contreras Pictures: Fabio Bargiacchi, Mário Rui Queiró, Domenico Tuccinardi and Paul Guerin

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4 ACKNOWLEDGEMENTS The manual draws mainly on the content of five core sources: the EC Methodological Guide on Electoral Assistance, the UNDP Electoral Assistance Implementation Guide, the International IDEA Handbook on Electoral Management Design, the ACE Focus on Effective Electoral Assistance and the Joint Task Force Operational Paper on Procurement Aspects of Introducing ICTs Solutions in Electoral Processes. Additional contributions were taken from International IDEA Electoral System Design, the ACE Electoral Knowledge Network ( UNDP-IFES CORE Cost of Registration and Elections, and several other publications and official documents of EC, UNDP and International Institute for Democracy Electoral Assistance (International IDEA). This manual is the result of successive versions prepared since 2005 by electoral specialists, advisors and staff of the European Commission, the United Nations Development Programme and International IDEA. Later on, input has also been provided by the Spanish Ministry of Foreign Affairs and Co-operation, the Canadian International Development Agency (CIDA), the Organization of American States (OAS) and International Organisation of Migration (IOM) - all part of the Train4Dev Subgroup on Effective Electoral Assistance. The manual would not have been possible without the core contributions of a number of electoral specialists, advisors and staff from the above-mentioned organizations who in the last years have provided ideas for the original concepts and drafted the different versions of the manual. Those individuals include Fabio Bargiacchi, Mette Bakken, Anne-Sofie Holm Gerhard, Paul Guerin, Domenico Tuccinardi, Ricardo Godinho Gomes, Jerome Leyraud, Linda Maguire, Aleida Ferreyra, Mario-Rui Queiro, Francesco Torcoli, Antonio Spinelli and Sara Staino. Useful insights and additional contributions have also been provided by Adhy Aman Dominiek Benoot, Jeff Fischer, Bruna Guterres, Victor Margall von Hegyeshalmy, Francesca Marzatico, Jesper Pedersen, Patricia Pena, Olivier Pierre-Louveaux and Dunia Ramazani. The graphic design of this manual was done by Adelaida Contreras. The website of the EC-UNDP Partnership on Electoral Assistance, designed and managed over the years mainly by Ana Paula Barros Ramos, Fabio Bargiacchi, Dalene Goosen, Yane Frenski and Mette Bakken with the support of all representatives of the Joint EC-UNDP Task Force on Electoral Assistance (JTF), mirrors the content and structure of this training manual and is being continuously uploaded with a larger quantity of significant information and relevant materials in order to complement the learning paths provided with this manual. It is accessible at Brussels, January 2011

5 Table of Contents About the workshop 9 I Background 11 Ii Global training platform 14 Iii Training objectives 15 Iv Content and specific learning objectives of the training 16 V How to use this manual and the dedicated web site 17 Vi Sources of the training 19 Introduction 25 I Context of electoral assistance 27 Ii Historical background of electoral assistance 29 III International obligations for democratic elections 32 IV Elections, violence and conflict management 34 V The electoral cycle approach EC and UNDP framework, lessons learned and new APPROACH Policy and strategic framework and criteria for involvement in electoral assistance UN and UNDP Needs Assessment Mission Activities Electoral assistance contexts EU and EC Activities Lessons learned UN and UNDP EU and EC Election observation Election observation and the UN EU election observation: background, methodologies and implementation Implementation arrangements Network for Enhanced Electoral and Democratic Support 66

6 2. Activities in Support of Electoral Cycles Access and participation Recipients and stakeholders Electoral Management Bodies Political entities Civil society organizations Domestic observer groups Media Other actors Equal access and participation Participation of women in the electoral process People with disabilities Legal Framework of Elections Electoral systems Key components and types of electoral systems Electoral system choice and electoral system reform Elactoral Management EMB independence EMB budgeting Support and assistance to EMBs Boundary delimitation Structure and rules for delimiting electoral districts Professional development of EMBs Strategic and operational planning Civic and voter education Voter sensitization and public outreach Voter registration Domestic observation Support to domestic observation Money in politics-political party and election campaign financing Media regulations, monitoring and support to media sector Media monitoring Interview of a media monitoring Assistance to Political Parties and Parliaments Support to political parties Support to parliaments Voting operations External voting or out of country voting Internationally supervised balloting Enfranchisement of internally displaced persons Managing results Electoral dispute resolution Post-electoral period 116

7 3. Technological Innovation in the Electoral Process Embracing appropriate technology Voter registration methodologies Biometric systems and AFIS Risks and challenges Creating synergies between voter and civil registries Auditing of voter list EC and UNDP involvement Electronic voting systems EC-UNDP Procedures for Programming, Identification, Formulation, Implementation and EVALUATION UN Resources and Services: Who does What? UNV volunteers in post-conflict electoral operations EC Resources and services: who does what? The Joint EC-UNDP Task Force on Electoral Assistance UNDP Global programmes Global Programme for Electoral Cycle Support Global Programme for Parliamentary Strengthening UNDP Programming: identification, formulation, implementation and monitoring Management arrangements and types of engagement Choosing implementing partners EC Delivery methods and financial modalities Financing modalities EC financial instruments EC and UNDP cooperation and Partnership in the field of electoral assistance Key components of EC-UNDP partnership in electoral assistance Procurement of Electoral Material, Global Tools and NETWORKS Cost of Elections and project budgeting Electoral budgeting Fund management Procurement of electoral materials Procurement principles Procurement strategy and planning Procurement process Technical specifications and their role UNDP electoral procurement UNDP electoral long term agreements: a tool for efficiency Global Tools: ACE Electoral Knowledge Network BRIDGE 210

8 Annexes 218 Biographies of contributors 219 List of acronyms 226 Glossary 229 Other actors 237 EC UNDP Operational Guidelines 243 Note of Guidance 252 Executive Summary, Conclusions and Recommendations Assessment of the European Commission (EC) United Nations Development Programme (UNDP) Partnership in Electoral Assistance and of the Joint EC-UNDP Task Force on Electoral Assistance 258 Bibliographies 266

9 About the workshop

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11 ABOUT THE WORKSHOP I Background The EC and UNDP have been collaborating in the field of electoral assistance Since Since 2004, with the implementation of a project in support of the electoral processes in the Democratic Republic of Congo, that the collaboration has been strongly intensified. The EC-UNDP partnership in electoral assistance relies heavily on the strong cooperation between services at the level of headquarters for the quality support mechanisms available. On 28 June 2004, the UNDP and the EC entered into a Strategic Partnership Agreement (SPA) through the signature of a Memorandum of Understanding (MoU) to set out and better define the relational focus between the two institutions. The objective of the partnership is to facilitate policy dialogue and specific collaboration at the global, regional and country level, with the appropriate involvement of partner countries, and is expected to bring harmonization and complementarity as well as financial cooperation between the two institutions. The MoU focuses on governance (including elections, parliament and governance indicators), conflict prevention and post-conflict reconstruction through regular policy dialogue, enhanced programme collaboration at all levels including financial cooperation. 11

12 About the Training The year 2006 marked the result of intense cooperation between UNDP and the EC in the area of electoral assistance. On 21 April 2006, EuropeAid Director General K. Richelle signed with the UNDP Associate Administrator Ad Melkert, the EC/UNDP Operational Guidelines for the Implementation of Electoral Assistance Programs and Projects. The Guidelines outline practical measures for the strengthening and the facilitation of the already established cooperation between the EC and the UNDP in the domain of electoral assistance. Ad Melkert (UNDP Associate Administrative) & Koos Richelle (Director General of EuropeAid) sign the EC-UNDP Operational Guidelines (2006) The EC-UNDP Partnership on Electoral Assistance is unique for its scope, and its achievements and ambitions in making electoral assistance more effective. This partnership is of increasing value to electoral assistance operations in partner countries due to a history of sector experience, specific attention to the lessons learned in previous projects and a mutual understanding of each otherís approaches, roles and capacities. 12 The partnership allows for rationalization of interventions in the area and leads to more effective and timely formulation, implementation and monitoring of projects which are consequently more homogeneous, effective, in harmony with overall EU and UN objectives and in line with the concepts of enhanced donor coordination of the March 2005 Paris Declaration on Aid Effectiveness and the subsequent 2008 Accra Agenda for Action. Ad Melkert (UNDP Associate Administrative) & Koos Richelle (Director General of EuropeAid) sign the revised EC-UNDP Operational Guidelines (2008) This partnership also contributes to the better comprehension and improvement of the management of the complex set of interactions among EC and UNDP services, Electoral Management Bodies (EMBs), other electoral assistance providers, multilateral and bilateral development agencies, partner countriesí governments, civil society organizations (CSOs), political parties, media and service providers. The appreciation of the sensitiveness and the proper management of these delicate relationships is one of the core issues for the provision of effective electoral assistance and require the development of specific skills that go well beyond the pure technical advice on electoral matters and financial support. It is therefore important to ensure that mutual expectations are met and that each project is effectively designed and implemented and adequately monitored. Based on the observations of EC and UNDP services at Headquarters (HQ) and field level, it was decided to strengthen the partnership by reinforcing the activities developed. The Joint EC-UNDP Task Force on Electoral Assistance (JTF) was established in January 2007 and is formed by EC and UNDP staff dealing with electoral assistance at HQ levels in Brussels, New York, Mexico City and Copenhagen. The JTF is coordinated by the UN/UNDP Brussels Office and its overarching purpose is to further strength-

13 About the Training en and facilitate the EC-UNDP partnership in the electoral assistance field and to improve the overall efficiency and adherence of the projects to the common EC/UNDP strategic approach. One of the main aims of the JTF is the preparation and delivery of training sessions on effective electoral assistance. In close collaboration with the International Institute for Democracy and Electoral Assistance (International IDEA), a Training in Brussels 2006 five-day training on effective electoral assistance was developed in 2005/06. This EC-UNDP-IDEA Joint Training on Effective Electoral Assistance, for which this training manual has been developed, was developed on the concept of the electoral cycle approach (see Introduction) and on the accumulated knowledge, experience and identified best practices of the EC, UNDP and IDEA. In , two thematic workshops were developed within the framework of the overall trainings on effective electoral assistance, namely on the Use of ICTs in Electoral Processes as well as Elections, Violence and Conflict Prevention. The target audience and beneficiaries of the trainings on effective electoral assistance are EC, UNDP and IDEA desk officers and staff working at HQ and in the field Staff of EU member states dealing with electoral assistance Staff from bilateral donor agencies and international organizations Representatives and officials of EMBs National authorities with electoral related responsibilities CSOs and political parties Electoral experts and practitioners 13 Altogether, the Joint Training on Effective Electoral Assistance has been organized eight times (Brussels and Dar es Salam in 2006; Brussels in 2007; Milan Maputo and Brussels in 2008; and Accra and Milan in 2009). The Thematic Workshop on the Use of ICTs in Electoral Processes has been delivered twice (Brussels 2009 and 2010) and the Theamtic Workshop on Elections, Violence and Conflict Prevention once (Barcelona 2010). As of January 2010, more than 800 persons have been trained on the principles of effective electoral assistance and on the institutional aspects of electoral assistance projects managed by UNDP with EC and other development partnersí contributions. The experience acquired through this unprecedented initiative represents an achievement that the EC, UNDP and IDEA want to further invest in and expand to include other partners and stakeholders. The methodology applied in the joint training on effective electoral assistance and related thematic workshops will be further expanded to cater for larger audiences and applied to wider initiatives in the domain of democratic governance and public administration reform. The course on effective electoral assistance has also been packaged into online, off-theshelf, e-learning course and further courses are under development that interested trainees can access on the internet and take in a self-paced fashion. On 1 July 2009, UNDP launched a three-year global initiative to help countries improve their

14 About the Training electoral laws, processes and institutions and enhance the participation of women in electoral processes. Related to the above, the Global Programme for Electoral Cycle Support (GPECS) will contribute significantly to the training and capacity development activities undertaken by the JTF. The programme is made possible through a generous contribution from the Government of Spain. The GPECS Project takes an electoral cycle approach to assistance, thus emphasizing the importance of integrating assistance into a wider framework of democratic governance. Activities will be implemented at the global, regional and country levels and have the following four main components: 1. Global level: Leadership, advocacy and capacity development at global level 2. Regional level: Regional knowledge development, exchanges and capacity 3. Country level: Electoral cycle support and lessons learned at the national level 4. Cross-cutting: Empowerment of women throughout the electoral cycle Read more about the GPECS Project in Module 4.3. II GLObal Training Platform 14 Considering the overall importance of donor coordination, as also reflected in the principles laid out in the Paris and Accra Declarations on Aid Effectiveness, the approaches and methodologies developed in the field rest within the donor community among both practitioners called to implement projects and among the recipients of the collaboration. In this context, and based on the experience of the joint training on effective electoral assistance and relying on their sector experience, the EC, UNDP and IDEA proposed to create a Global Training Platform on Effective Electoral Assistance during the 2007 Annual Conference of the Train4Dev organised by the Joint Donors Competence Development Network. Subsequently the EC and UNDP, as members of Train4Dev, proposed the establishment of a Subgroup on Effective Electoral Assistance. The objective of the subgroup is to further develop the already existing EC-UNDP-IDEA Training on Effective Electoral Assistance and related Theamatic Workshops into a Global Training Platform that meets the specific needs of the donors community and the partner countries in electoral assistance and democratic development to pursue aid effectiveness. The Global Training Platform will encompass the development and delivery of face-to-face, e-learning and blended training modules for the donor community but also for EMBs, universities, practitioners and local stakeholders. Through their generous contributions via the Global Programme for Electoral Cycle Support (GPECS), the Spanish Ministry of Foreign Affairs and Cooperation contribute to the Global Training Platform by providing resources for the transformation of the existing curriculum into differentiated thematic training modules with funding set aside for the carrying out of face-to-face trainings as well as the development of thematic elearning courses. As mentioned, the two first Thematic Workshops were developed in 2009 and 2010, and both will soon be available online. Through the GPECS, the Spanish Ministry of Foreign Affairs and Cooperation will facilitate the creation and support network of universities for knowledge dissemination in effective electoral assistance building on the work of the JTF. Read more about the GPECS Project and its various components in module 4.3.

15 About the Training The activities of the Global Training Platform are implemented by the JTF in collaboration with IDEA as well as the Canadian International Development Agency (CIDA), the International Organization for Migration (IOM) and the Organization of American States (OAS). The Global Training Platform has and will continue to benefit from the involvement of key bilateral actors in the area of electoral assistance, such as the Canadian International Development Agency (CIDA). CIDA is a key actor in promoting electoral assistance at country level as part of its governance programming. A 2006 survey of electoral practitioners in UNDP revealed that approximately half of UNDP electoral assistance project were implemented in partnership with Canada. Other bilateral and multi-governmental organisations with significant experience in the field of electoral assistance will be approached to become substantive and financial partners in the project. The content and methodology that is used for the development of the training modules will draw upon the experience of the JTF, International IDEA and the Practitioners Network of the ACE Electoral Knowledge Network, and of cutting-edge training instruments such as the Building Resources in Democracy, Governance and Elections (BRIDGE) project and the UNDP Virtual Development Academy. In addition, the Global Training Platform will serve to codify and disseminate knowledge products on key issues and in various languages to advance the learning agenda. The potential target audience for training activities will be considerably broadened beyond the original two institutions (UNDP and the EC) to include other development partners, national EMBs and expert consultants frequently contracted by development partners. Activities of the subgroup and all the training initiatives were discussed in greater detail at the annual meeting of the Train4Dev held in Washington in May 2008 that was co-hosted by the World Bank Institute and CIDA. 15 III TRAINING Objectives The general objectives of the joint training are to share experiences and to introduce to EC, UNDP and IDEA staff, staff of international and regional organizations, beneficiary EMBs, practitioners and other development agencies dealing with electoral assistance, the policy and strategy framework that governs both EU and UN involvement in elections and the electoral cycle approach in order to build capacity for formulation and implementation of future electoral assistance projects. 33 Key policies and strategic frameworks of EU/EC and UN/UNDP in electoral assistance 33 The election contexts where assistance takes place 33 The links between elections and democratic governance 33 Mitigation of election-related violence 33 Long term strategies 33 The use of Information and Communication Technologies (ICTs) in electoral processes 33 Best practices of implementation via EC and UNDP Training in Brussels Streamlining gender and minority components into strategies in the framework of equal participation

16 About the Training Cost of registration and elections Building realistic electoral and project budgets The challenges of programming operational planning Procurement of electoral material and services Support to parties and parliaments The participants learn about policies and strategies and become familiarised with activities that are commonly implemented in support of the electoral cycle, such as legal framework and electoral management design, strategic and operational planning, civic/voter education and media support, voter registration and assistance to political parties. IV Content and Specific Learning objectives of the Training The training consists of five modules and an introduction covering elections and governance, the historical background of electoral assistance, electoral standards in existing international and regional instruments and the electoral cycle approach. The electoral cycle and the concept of elections as an ongoing or cyclical activity rather than an isolated event, is the driving concept and key learning objective of this training. 16 The learning objectives of the five modules are: EC and UNDP Strategic Framework and Lessons Learned and New Approach The learning objectives of module one are threefold. The module presents the the broad framework of EC and UNDP electoral support in terms of main objectives, strategies and activities in the field. Second, it overviews the lessons learned by the EC and the UNDP over the last decade. Third and finally, it introduces a specific type of electoral support, namely election observation and in particular the goals, content and activities of EU observation missions. 2 Activities in Support of Electoral Cycles In module two, the main learning objectives are to become familiar with stakeholders of electoral processes, to appreciate the cross-cutting issues of participation and access and to identify activities likely to be implemented in support of the different phases of the electoral cycle, related among other things to the legal framework, the structure and design of electoral management and administration, strategic and operational planning, civic and voter education, voter registration, domestic observation, media monitoring, assistance to political parties and parliaments, voting operations, external voting, management of results and other activities carried out throughout the post-electoral period. 3 3 Technology innovation in the Electoral Process Module three introduces the topic of technological innovation in electoral processes. Whilst new technologies can be utilized in most segments of the electoral cycle, particular focus is placed on voter registration and electronic voting systems. The module accounts for the general advantages and disadvantages of the use of ICTs and emphasizes the importance of appropriate use of new technologies under various contextual circumstances.

17 About the Training EC-UNDP Pr o c e d u r e s f o r Pr o g r a m m i n g, Id e n t i f i c at i o n, Fo r m u l at i o n, Im p l e m e n t a - tion and Evaluation In order to understand the internal procedures of the EC and the UNDP, module four provides an overview over who does what in the field of electoral assistance in the two organizations. It also accounts for the main implementation and financing modalities. Based on the recent developments, in particular the deepening of the EC-UNDP collaboration through the EC-UNDP SPA and the Operational Guidelines, the latter part present the basis for and key components of this cooperation. 5 Procurement of Electoral Material, Global Tools and Networks In order to understand the internal procedures of the EC and the UNDP, module four provides an overview over who does what in the field of electoral assistance in the two organizations. It also accounts for the main implementation and financing modalities. Based on the recent developments, in particular the deepening of the EC-UNDP collaboration through the EC-UNDP SPA and the Operational Guidelines, the latter part present the basis for and key components of this cooperation. V How to Use This Manual and the Dedicated Web site Each module is introduced with a bullet-point overview over the main learning objectives that should be achieved at the end of the module. The learning objectives highlight concepts, facts and ideas that are put forward in the text. 17 Throughout the training manual, text boxes are used to identify (i) key concepts and ideas and (ii) further information. Towards the end of each module, the participant will find (iii) summary, (iv) issues for discussion, (v) quiz, and (vi) print and online resources. All of these are indicated with the following icons: Ke y Co n c e p t s & Id e a s Important concepts, ideas and advice relating to the different stages of the electoral cycle Qu i z A set of quiz questions allow the participants to test their knowledge level Fu r t h e r In f o r m a t i o n Additional or detailed information on specific issues Pr i n t & On l i n e Re s o u rce s List of the resources used and referred to in the specific modules Su m m a r y Summary of the most important issues As noted in the subsequent section, both the training and this manual build considerably on earlier published materials. Throughout the text, references will be made to the four main books which are part of the training package: a photo of the book and a page/chapter reference will

18 About the Training indicate where to learn more about different topics. References to further reading/other material are available in footnotes and at the end of each module. Both the manual and the training, as does the whole concept of effective electoral assistance, draw on the electoral cycle and the long-term cyclical approach to elections. Towards the end of each module, the most important features are encapsulated in the summary and a set of exercises that take the participants yet again through the main aspects covered in the module. Finally, a print and online resources section at the end of each module provides references to additional information on the specific topics. 18 To complement the training manual, a specific website dedicated to the EC-UNDP Partnership on Electoral Assistance has been prepared by the JTF. The website, is uploaded with significant extra background information and materials. All materials produced for the EC-UNDP-IDEA training, including the PowerPoint presentations, are posted on the site without delay and are easily available for immediate download. You will also find, ready for download, all the operational tools, handbooks and publications necessary for a better understanding and implementation of electoral assistance projects. In addition, the website provides descriptions of the global initiatives that the EC, UNDP and IDEA collaborate on, with the aim of generating, disseminating and applying knowledge in the field. Finally, the website also contains a historical background about the partnership, information about the EC-UNDP approaches to electoral assistance and their joint adoption of the electoral cycle approach and details of the activities carried out within the JTF. It is always suggested that participants get acquainted with the content of the website.

19 About the Training VI Sources of the Training The training is based on the structure and content of the EC Methodological Guide on Electoral Assistance, the UNDP Electoral Assistance Implementation Guide, the International IDEA Handbook on Electoral Management Design, the ACE Focus on Effective Electoral Assistance and the Joint Task Force Operational Paper on Procurement Aspects of Introducing ICTs Solutions in Electoral Processes. Throughout the training references will be made to these four main sources, but also to other additional and related sources important in the field of electoral assistance. EC Methodological Guide on Electoral Assistance The European Commissionís Methodological Guide on Electoral Assistance is part of the ongoing effort to place electoral assistance more firmly within the framework of democratic development and to become a pillar of the support to governance. The Guide develops the strategic operational framework in the field of electoral assistance, in order to rationalize and make Commission interventions more homogeneous, effective and in harmony with overall EU objectives. This Guide was prepared to offer, to all Commission staff and others whose work requires specific knowledge of particular EU electoral assistance issues, a tool to assist them with the policy and strategic framework in this area, issues and entry points for activities, as well as resources for their formulation and implementation. UNDP Electoral Assistance Implementation Guide 19 Electoral assistance is about more than supporting an election event. Ideally, such support should be embedded in a democratic governance strategy and provided throughout the electoral cycle. The UNDP Electoral Assistance Implementation Guide provides the how to fundamentals of planning and implementing electoral assistance using the concept of the electoral cycle, as well as specific guidance on project design, resources, partnerships, procurement, evaluation and other areas. Whilst this is designed as a guide for UNDP staff, others can learn from UNDP s approach and vast experiences in planning, formulating, implementing and monitoring electoral assistance. Electoral Management Design: The International IDEA Handbook Building trust and professionalism in the management of electoral processes remains a major challenge for EMBs and other institutions and/or bodies responsible for elections related activities. The diminished public confidence in the integrity and diligence of many electoral institutions and their activities is a common problem for EMBs around the world. The Electoral Management Design Handbook is written for electoral administrators, electoral assistance providers and other practitioners involved in the building of professional, sustainable and cost-effective electoral administrations which can deliver legitimate and credible, free and fair elections. It is a comparative study that shares best practices and know-how from around the world on, among other things, financing, structuring, strategic planning, training, auditing and evaluation of EMBs.

20 About the Training ACE Focus On Effective Electoral Assistance This Focus On, which has been developed by the EC, UNDP and IDEA within the ACE partnership, emphasises the need for capacity building, both at the development agency and partner country level. The initiatives implemented over the last three years in the field of electoral assistance by the EC, UNDP and International IDEA, and the recent establishment of the JTF are analysed in this context. This represents a first assessment of the way in which electoral assistance is delivered on the ground, and the effect that these new ideas are having in shaping other development agencies priorities in this field. Cost-effective knowledge services and capacity building tools like the ACE Electoral Knowledge Network and BRIDGE are playing an increasingly decisive role in making electoral assistance more effective. Operational Paper Procurement Aspects of Introducing ICTs Solutions in Electoral Processes 20 The Operational Paper on Procurement Aspects of Introducing ICTs Solutions in Electoral Processes was produced by the JTF in collaboration with IDEA and the ACE Electoral Knowledge Network in The paper is the result of operational lessons and best practices learned since 2004 through the EC-UNDP Partnership on Electoral Assistance. More specifically, the paper analyses the experiences from electoral assistance projects, especially in Sub-Saharan Africa, that included the introduction of ICTs for voter registration processes and the procurement of the related electoral material and services. While focusing primarily on UNDP rules, its major aspects involved in the procurement and the application of ICTs solutions in voter registration, of interest to stakeholders in partner countries as well as international, regional and bilateral institutions working in the field of electoral assistance and service providers. Getting to the CORE: A Global Survey on the Cost of Registration and Elections Produced by UNDP and the International Foundation for Electoral Systems (IFES), this step-by-step guide to election processes around the world explains what measures need to be in place, from voter registration to ballot-box security, and at what price, before the first ballot is cast. This study is intended to expand upon and complement research into election budgeting and financing issues that were discussed in Electoral Management Bodies as Institutions of Governance published by UNDP in Handbook for European Union Election Observation Democracy is not just about elections, but genuine elections are a necessary condition for democracy. EUs Election Observation Missionss (EU EOMs) have the task of observing and reporting on an election process in its entirety, enhancing transparency and providing an impartial assessment. This handbook is intended as a tool and a reference book with methodological guidelines and practical recommendations.

21 About the Training Compendium of International Standards for Elections International standards for elections provide the basis for the conduct and assessment of an electoral process. This compendium, provided by EUs NEEDS project, outlines the obligations established in universal and regional legal treaties and political commitments. It is an essential tool for EU election observation missions, but may also be used by other international and domestic observer groups, as well as election stakeholders more generally. The Work of Domestic Election Observer Groups Around the World Civil society is a vitally important outlet for democratic activity and civil society groups are central partners in the promotion and defence of democratic development ó from Latin America to Asia and from Europe to Africa. The aim of this publication from NEEDS is to highlight the work done by domestic election observers around the world, in terms of their scrutiny of the electoral process and their support for increased transparency and accountability in the political processes in their respective countries. Electoral System Design: The New International IDEA Handbook The choice of electoral system is one of the most important institutional decisions for any democracy. In almost all cases, the choice of a particular electoral system has a profound effect on the future political life of the country concerned, and electoral systems, once chosen, often remain fairly constant as political interests solidify around and respond to the incentives presented by them. The choices that are made may have consequences that were unforeseen as well as predicted. Electoral system choice is fundamentally a political process, and can have a significant impact on the wider political and institutional framework: it is important not to see electoral systems in isolation. Their design and effects are heavily contingent upon other structures within and outside the constitution. Successful electoral system design comes from looking at the framework of political institutions as a whole: changing one part of this framework is likely to cause adjustments in the way other institutions within it work. 21 Designing for Equality (IDEA) This publication aims to serve as a reference tool for all those who work to increase womenís representation in politics. Today, the average proportion of women members of parliaments stands at a mere 18.3 percent. Only 22 countries in the world have achieved the goal of over 30 percent womenís representation in national legislatures, a goal which was adopted by the Beijing Process in There are two important variables that affect womenís political representation: the electoral system and the use of quotas for women. Combined in different ways, these variables have different results on womenís participation. Designing for Equality provides an overview of how electoral systems function with different kinds of quotas for women. It assesses how womenís representation can be increased under different combinations of electoral systems and quotas.

22 About the Training Effective Electoral Assistance - Moving from Event-Based Support to Process Support - Conference Report and Conclusions (IDEA) The Ottawa Conference on Effective Electoral Assistance, held from 2 to 4 May 2006, brought together many electoral stakeholders to share thoughts and experiences on electoral assistance. Participants included representatives from donor agencies engaged in the provision or funding of electoral assistance, from EMBs and other organizations in countries that are or have been recipients of electoral assistance, from organizations which have been actively engaged in the provision and implementation of donor-funded electoral assistance, and from others, including national and international electoral observers and individual experts in electoral technical assistance worldwide. BRIDGE Building Resources in Democracy, Governance and Elections 22 BRIDGE is the most comprehensive profes-sional development course available in election administration. Its aim is to enhance electoral administratorsí professionalism and capacity to conduct their work in an effective and efficient manner. BRIDGE has been developed by experts and electoral administrators with wide experience of elections in many different countries and contexts. BRIDGE improves the skills, knowledge, and confidence both of election professionals and key stakeholders in the electoral process including members of the media, political parties, and electoral observers. While the main focus of the BRIDGE curriculum is on elections, it aims to put elections in context of governance and democracy. BRIDGE has been developed by International IDEA, the Australian Electoral Commission (AEC) and the United Nations Election Assistance Division (UN EAD). In 2008 the UNDP and IFES joined as partners. Read more about the BRIDGE Project in module 5. ACE Electoral Knowledge Network ACE, displayed through the popular website provides the worldís largest online repository of electoral knowledge: a comprehensive and systematic collection of both country and topic-specific information on nearly every aspect relating to the organization and implementation of elections, as well as other relevant aspects of electoral processes. The ACE Electoral Knowledge Network, a joint endeavour of eight partners,1 brings together election professionals from different countries ó with diverse and complementary experience and specialisation ó into the first ever global knowledge network in the field of elections. In addition, 10 regional electoral resource centres in Africa, Asia, Central 1 The eight partners are International IDEA, UNDP, the Electoral Institute of Southern Africa (EISA), Elections Canada, Instituto Federal Electoral (IFE), UN Economic and Social Development (UNDESA), International Foundation for Electoral Systems (IFES) and UN Electoral Assistance Division (UN EAD).

23 About the Training and Eastern Europe, Latin America and the Pacific act as regional hubs for the collection and processing of election-related information and offer opportunities for capacity development. The overarching aim of this global community of electoral practitioners is to generate, share and disseminate specialized knowledge, resources and expertise to promote professional, effective and sustainable management and administration of elections, and to provide ìreal timeî electoral advice. The wealth of knowledge generated by the ACE Network and the thousands of pages of information and resources made available on is primarily targeted at providing EMBs, electoral administration professionals, electoral assistance providers and key stakeholders (such as civil society, political parties and the donor community) with specialized knowledge, comparative best practices, resources and advice on elections and electoral processes. Read more about ACE in module 5. iknow Politics The International Knowledge Network of Women in Politics (iknow Politics) is an online workspace designed to serve the needs of elected officials, candidates, political party leaders and members, researchers, students and other practitioners interested in advancing women in politics. It is a joint project of the UNDP, the United Nations Development Fund for Women (UNIFEM), the National Democratic Institute for International Affairs (NDI), the Inter-Parliamentary Union (IPU) and International IDEA. The goal of iknow Politics is to increase the participation and effectiveness of women in political life by utilizing a technology-enabled forum. The iknow Politics website offers online resources and provides a platform for practitioners to discuss, share experiences and expertise through forums and access to a global community committed to the advancement of women in politics. Go to to read more. 23 Pro PALOP / TL Project in support of Electoral Cycle in the PALOP and Timor Leste The Pro PALOP/TL has a multi-county scope with the strategy of providing full electoral cycle activity support. The support offered by the project goes beyond those related only to elections and electoral events aiming instead to support the needs of the PALOP and Timor Leste electoral management bodies (EMBs) throughout their electoral cycle phases and activities. The project strategy is to put together and make available a body of existing international electoral knowledge and resources in Portuguese, adapting them to the PALOP and Timor Leste contexts. Finally, the project aims to anchor the project electoral assistance activities in the broader democratic governance framework through the strengthening of the legislatures (parliaments and parliamentarians, especially women), and to promote more efficient relations between media/parliament/elections and civic domestic observation.

24 About the Training Six (6) National Country Committees (one per beneficiary country) and one (1) Project s Steering Committee will ensure that the project s strategy and implementation will comply with the principles underlying the PALOP and Timor Leste cooperation in general and, more particularly, those agreed under the PALOP and Timor Leste Governance Initiative. The National Country Committees will also ensure strategic guidance and alignment between the project s activities and the specific countries needs, in particular when approving their own Annual Work Plan (AWP). The project will target common shortcomings and shared needs between the PALOP and Timor Leste, by using past/cumulated experiences, sharing knowledge, and exploiting synergies already existing within the longstanding PALOP and Timor Leste cooperation with both Portuguese and Brazilian EMBs. e-learning Course on Effective Electoral Assistance 24 Building on the structure and content of the faceto-face trainings, the elearning Course on Effective Electoral Assistance was set up in March-June. It represents the first of its kind and will contribute substantially to the spread of knowledge on the electoral cycle approach and activities carried out to support electoral processes in general and the procedures of EU/EC and UN/UNDP programming and projects as well as the EC-UNDP Partnership on Effective Electoral Assistance and the content of the Operational Guidelines more specifically. The learning material of the course spans a broad spectrum, ranging from text and audio, video clips (most of which were recorded during the face-to-face training that took place in Brussels in 2007), textboxes, images, figures and animations (going with the text/audio and with the videos). Games, review points and quizzes have been inserted to facilitate learning outcomes and substantial numbers of additional interactive tools have been added to engage the participants throughout the course. Learning outcomes are clearly set out and each course module provides a summary of the key items examined. The beta version of the elearning Course on Effective Electoral Assistance was finalized and put out for technical and external review in the period 8-19 June. The Technical Review Committee was composed by experienced graphic designers, elearning developers and software programmers. The External Review Committee, on the other hand, comprised practitioners in the field and potential audiences mainly drawn from the ACE Practitioners Network and members representing the ACE Regional Centers. The elearning Course on Effective Electoral Assistance is launched during the Accra workshop.

25 Introduction

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27 INTRODUCTION Learning objectives: To have a clear understanding of the concept of effective electoral assistance To recognize the relevance of the principles of the Paris Declaration in the area of electoral assistance To become familiar with the historical background and the international and regional commitments presiding over today s work in the field To understand the background and complexity of election related violence and conflict management To understand the concept of the electoral cycle and to appreciate the electoral cycle approach and its advantages with regards to the promotion of credible elections in specific and democratic governance more broadly I CONTEXT OF ELECTORAL ASSISTANCE Since the proclamation of the UN Universal Declaration of Human Rights in 1948, which provides the legal and moral justification for democracy assistance in its Article 21, the notion of international electoral assistance has undergone various changes and has lent itself to a number of interpretations, but it has always been firmly footed within the wider domain of democracy assistance efforts. Electoral assistance can be defined today as the legal, technical and logistic support provided to electoral laws, processes and institutions. It spans a broad spectrum ó from the establishment of the legal framework for the administration of elections, to inclusive electoral systems and voter registration processes, support to the institutions called to administer and adjudicate upon electoral processes, through the provision of financial resources, materials, equipment and expert advice, as well as technical and financial support to civil society engaged in civic and voter education, election observation and media monitoring, including technical assistance to political parties. 27

28 Introduction 28 Electoral assistance is the legal, technical and logistic support provided to electoral laws, processes and institutions. Effective electoral assistance encompasses all initiatives and activities intending to improve the quality and impact of electoral assistance. By effective electoral assistance we mean all the initiatives and activities that are intended to improve the quality and impact of electoral assistance to partner country electoral institutions and to effectively manage all the interactions between donors, EMBs, governments, international organizations, CSOs, political parties and service providers. In this sense, electoral assistance is part of the wider democratic development of the partner country, in accordance with the five key principles of ownership, alignment, harmonization, managing for results, and mutual accountability that inform the Paris and Accra Declarations on Aid Effectiveness. The international movement on general aid effectiveness expanded during the 1990s, and in 2003 the leaders of major multilateral development banks, international and bilateral development organizations as well as donor and recipient country representatives met in Rome for the first High-Level Forum on Harmonisation. The partners committed to take action in order to improve the management and effectiveness of aid through harmonization and streamlining of donor procedures and practices as well as through identifying ways to adapt institution and country policies and to implement good practices as a foundation for the harmonization process. At the second High-Level Forum in Paris in 2005, the Declaration on Aid Effectiveness was issued, setting out an agenda to make aid more effective and efficient by reducing duplication, transaction costs and misdirected aid. The essence of the Paris Declaration is a commitment by donors to help developing countriesí governments formulate and implement their own national development plans, using their own prioritization, planning and implementation systems wherever possible. The Paris Declaration commits signatories, more than 100 donor and recipient governments and multilateral aid organizations, to five principles: Ownership: Partner countries exercise effective leadership over their development policies, and strategies and coordinate development actions. Alignments: Donors base their overall support on partner countriesí national development strategies, institutions and procedures. Harmonization: Donorsí actions are more harmonized, transparent and collectively effective. Managing for results: Managing resources and improving decision-making for results. Mutual accountability: Donors and partners are accountable for development results. In September 2008, at the third High-Level Forum organized in Accra, stock was taken of the progress made since the previous meeting and the participants renewed their commitments to the principles laid out in the Paris Declaration. In addition, the Accra Agenda for Action (AAA) prescribed further steps to be taken in order to deepen aid effectiveness. The AAA pledges developing countries to commit themselves Polling personnel in Indonesia 2004

29 Introduction to take control over their own futures and donors to manage and coordinate their efforts more efficiently. Finally, it commits both parties to account to each other and to the citizens. The strategy for effective electoral assistance that supports electoral processes and that integrates interventions in a wider democratic governance perspective is gaining ground throughout the world. This strategy adheres to the principles of the Paris and Accra Declarations ó ownership, alignment, harmonization, managing for results and mutual accountability. Thus, it aims to increase respect for partner country leadership and to strengthen their capacities in managing their electoral processes; to provide support based on partner countriesí national strategies, institutions and procedures; to promote donor coordination and contribute to a division of labour between donors and partner countries in the electoral assistance field to avoid duplication of efforts and to rationalize activities; and to strengthen linkages between electoral support and assistance to broader democratic development. In the Accra Agenda for Action (AAA), three fields were of primary focus: 1. Strengthening country ownership over development To broaden the policy dialogue on development at the country level To strengthen the capacity of partner countries to lead and manage development To utilize partner countriesí own institutions and systems 2. Building more effective and inclusive partnerships for development To reduce fragmentation of aid To increase aidís value for money To welcome and work with all development partners To deepen the engagement with civil society To adapt aid policies for countries in fragile situations 3. Delivering and accounting for development results To focus on delivering results To be more accountable and transparent to the public for results To continue to change the nature of conditionality to support ownership To increase medium-term predictability of aid 29 II Historical Background of Electoral Assistance By the 1960s, almost all established democracies had, by the 1960s, included election assistance in the framework of their democracy assistance initiatives in favour of developing countries, as such assistance had been identified as an important stabilizing factor, a facilitator for economic development and a useful foreign policy instrument. An early form of electoral assistance was that lent to political parties in the 1960s and 1970s in many countries of Southern Europe and Latin America by the US government or by other agencies such as the German or British political party foundations (see Aiding Democracy Abroad, the Learning Curve, Carothers, 1999). After that, established democracies began providing support for referendum of constitutional elections through their respective development cooperation agencies or more often, through specific contribution to multilateral institutions. In fact, apart from the United States, one can clearly single out two multilateral actors that shaped the way electoral assistance has been justified and delivered since the 1960s: the UN, and starting from mid-1990s, the EC. Page 7-13

30 Introduction The UNís first involvement with electoral activities also officially began in the 1960s, when the Trusteeship Council2 started assisting with the observation or supervision of some 30 plebiscites, referenda or elections in various regions of the world. In the mid-1970ís, the UNDP commenced financing several small-sized projects that provided some form of assistance on specific technical aspects of electoral processes and on the establishment of the related infrastructure necessary to conduct elections. These activities found a primary form of codification at the UN level in 1988 with the introduction of an agenda item in the UN Human Rights Commission Resolution 89/51 and a General Assembly (GA) Resolution 44/146 of 1999 both named Enhancing the Effectiveness of the Principle of Periodic and Genuine Elections. Since then, the Secretary- General has reported biannually to the GA on ìappropriate ways and means of enhancing the effectiveness of the principle of periodic and genuine elections, in the context of full respect of the sovereignty of Member States. î Article 21 of the UN Universal Declaration of Human Rights 1948: FF Everyone has the right to take part in the government of his country, directly or through freely chosen representatives. FF Everyone has the right of equal access to public services in his country. FF The will of the people shall be the basis of the authority of government; this will shall be expressed in periodic and genuine elections which shall be by universal and equal suffrage and shall be held by secret vote or by equivalent free voting procedures. 30 It was not until the end of the 1980 s the UN started engaging itself in real electoral missions: between 1989 and 1990, the UN successfully provided large scale electoral assistance, including electoral supervision, to Namibia (UNTAG), Nicaragua (ONUVEN) and Haiti (ONUVEH). ONUVEN and ONUVEH were the first electoral missions undertaken in sovereign states at their request. This intervention mechanism, with a number of modifications and improvements, is placed under the supervision and policy control of a specific division within the Department of Political Affairs (DPA) the United Nations Electoral Assistance Division (EAD) since 1992, and has been replicated in many other countries. These interventions, always following a request of beneficiary countries, have relied heavily on UNDP s financial and personnel resources. Also important however, are the major UN electoral activities that have been implemented through Department of Peace Keeping Operations (DPKO) in the context of peacekeeping missions and, increasingly, in an integrated One UN manner that draws on the mandates and expertise of different parts of the UN family in a given country. Towards the end of the 1980s the US started to offer electoral assistance through the United States Agency for International Development (USAID), the Department of State and the National Endowment for Democracy. In those early days, the emphasis of the assistance was heavily placed on election observation missions and political party assistance through specialist NGOs such as the Carter Center, the National Democratic Institute (NDI) and the International Republican Institute (IRI). In 1987, USAID started considering the establishment of a more technicaloriented and professional NGO in the field of electoral processes thus paving the way for the establishment of the International Foundation for Election Systems (IFES). Towards the end of the 1980s, the United States started to offer electoral assistance through the United States Agency for International Development (USAID), the Department of State and the National Endowment for Democracy. In those early days, the emphasis of the assistance was 2 The Trusteeship Council, online at

31 Introduction heavily placed on election observation missions and political party assistance through specialist NGOs such as the Carter Center, the NDI and the International Republican Institute (IRI). In 1987, USAID started considering the establishment of a more technically oriented and professional NGO in the field of electoral processes, thus paving the way for the establishment of the International Foundation for Election Systems (IFES). Page The EC has been active for a decade and a half in the field of electoral assistance. All its activities have always been firmly inscribed within the larger domain of democracy promotion, which is eloquently set forth in Articles 6 and 11 of the European Union Treaty. Over this period, the forms through which this support have been provided have evolved considerably and become much more articulated than mere financial contributions to electoral assistance projects designed and managed by other organizations or agencies. The EC started to fund electoral support missions in 1993 with the observation of the first multi-party elections in Russia and in 1994 with the first multiracial elections in South Africa. In 1994, the EC also provided large financial and technical support to the legislative and presidential elections in Mozambique, and two years later it supported the Palestinian elections in terms of not only assistance but also observation. Since then, the EC electoral support activities have grown considerably in both number Electoral campaigning in Venezuela and scope. Electoral assistance projects were initially mainly supported through the development cooperation funds, but continued to be programmed on an ad hoc basis without any standardized and strategic approach for a number of years. In this context, the EC Regulation 976 of 1999 and the EC Communication 191 of April 2000 on Election Assistance and Observation marked a significant step towards the conceptualization of electoral assistance and observation as complementary activities and towards the harmonization of the interventions. Today, the EU is one of the leading actors in terms of electoral assistance and election observation worldwide. 31 The ECís position as also one of the key international donors in electoral assistance has strengthened in the course of the last four years with the creation of a focal point for quality operations support within the headquartersí implementation arm of the ECís development cooperation (EuropeAid or AIDCO). This has resulted in a steep increase in the volume of funding and number of electoral assistance operations, as well as the production of content and training tools in collaboration with other electoral assistance providers. In particular, the challenges faced in delivering an effective response to the daunting task of supporting the electoral processes in postconflict situations such as in the Democratic Republic of Congo and Haiti triggered the need to invest in the development of capacity-building tools and initiatives both for the partner countriesí institutions as well as for the officials of the development agencies involved. UNDP, the EC and IDEA are increasingly cooperating with the regional associations and organisations such as the Organization of American States (OAS) in the Americas and in the African region with the African Union (AU), the Economic Community of Western African States (ECOW- AS), the Economic Community of Central African States (ECCAS) and the Southern African Development Community (SADC), all of which are in the process of strengthening their efforts in and implementing election observation and electoral assistance activities. The General Secre-

32 Introduction tariat of the OAS has been providing electoral technical and observation to its members States since 1962, when the Dominican Republic requested the OAS to provide them with technical assistance for the free elections that were going to be held after the assassination of Rafael Leonidas Trujillo. OAS has, since its establishment observed more than 140 elections in the Americas. With the adoption of a new policy in 1989, OAS Electoral Observation Missions are characterised by their broad scope and the emphasis on an integral and comprehensive observation processes with a particular focus on the quality of electoral processes. A further step forward has been taken with the development of a systematic methodology which offers a comprehensive assessment of electoral processes in light of the standards enunciated in documents such as the Inter-American Democratic Charter and the Declaration of International Electoral Observation. OAS is increasingly expanding into the area of electoral assistance and is providing support in terms of administrative, technological, legal and institutional strengthening to many countries. OAS involvement in technical assistance has, throughout the 1990s, primarily targeted the professionalization and depolitization of EMBs and the promotion of horizontal cooperation among EMBs throughout the hemisphere. III International OBLIGATIONS FOR DEMOCRATIC ELECTIONS 32 International commitments for democratic elections stem from political rights and fundamental freedoms established by universal and regional treaties and political pledges. These commitments provide the legal basis for the provision of electoral assistance in a spirit of partnership, in the attempt to support the partner countries requesting assistance to meet the international commitments and obligations they have adhered to. At the same time, these commitments represent the principles upon which independent assessments of electoral processes by both international and domestic election observers are made, reiterating the conclusion that electoral assistance and electoral observation activities both serve the same overarching objective of promoting sustainable and continued democratic development in the partner countries. The main universal legal instruments that contain clear commitments for democratic elections are the Universal Declaration of Human Rights (UDHR) of 1948, much of which has the force of international customary law, and the International Covenant on Civil and Political Rights (ICCPR) of 1966, which has been signed and ratified by over 160 states and is legally binding on all ratifying countries. In addition to having legal force, these instruments have strong political and moral force. Other universal treaties also provide standards for the conduct of elections. These include the International Convention on the Elimination of All Forms of Racial Discrimination (ICERD) of 1966, the Convention on the Elimination of All Forms of Discrimination Against Women (CEDAW) of 1979 and the Convention on the Rights of Persons with Disabilities (CRPWD) of 2006.

33 Introduction Regional instruments Regional instruments, agreed to by states within a geographic region or as members of an international organization, include both treaties and political commitments. In addition to the individual member states, the regional organizations that have agreed on such instruments include the AU, e.g., the African Charter on Human and Peoplesí Rights of 1981), ECOWAS (the Protocol on Democracy and Good Governance Supplementary to the Protocol Relating to the Mechanisms for Conflict Prevention, Management, Resolution, Peace and Security of 2001), the SADC (the SADC Principles and Guidelines Governing Democratic Elections of 2004), the OAS (e.g., the American Convention on Human Rights of 1969), the Council of Europe (CoE ó- e.g., the Convention for the Protection of Human Rights and Fundamental Freedoms of 1950), the Organisation for Security and Co-operation in Europe (OSCE ó- e.g., the Document of the Copenhagen Meeting of the Conference on the Human Dimension of the OSCE of 1990), the Commonwealth of Independent States (CIS ó- the Convention of the Commonwealth of Independent States on Human Rights and Fundamental Freedoms of 1995), the League of Arab States (LAS ó- the Arab Charter on Human Rights of 1994), the Organization of the Islamic Conference (OIC ó- the Cairo Declaration on Human Rights in Islam of 1990) and the Commonwealth (the Harare Commonwealth Declaration of 1991). 3 In this context, the main objective of EC-UNDP electoral assistance projects is to provide a requested and agreed upon support to partner countries to carry out electoral processes that are aligned to the commitment and obligations signed by the specific partner country. 4 These commitments relate to the following: 33 The right and opportunity, without any distinction or unreasonable restrictions, for citizens to participate in government and public affairs through: Periodic elections Genuine elections Universal suffrage Equal suffrage The right to stand for election The right to vote The right to a secret ballot The free expression of the will of voters 33 The freedom of expression 33 The freedom of association 33 The freedom of assembly 33 The freedom of movement 33 The freedom from discrimination 33 The right to an effective legal remedy 33 Some of these commitments have been adopted at the international (universal) level, others at regional level, and the binding nature varies from that of legal obligation to political commitment. More recently, the Carter Center, in collaboration with other organizations in the field including UN EAD, EU and International IDEA, has made efforts to identify and articulate obligations and commitments for democratic elections arising out of existing public international law sources. 3 See EC Compendium of International Standards for Elections, available at observ/docs/compendium_en.pdf. 4 See also Handbook for European Union Election Observation, available at file.

34 Introduction The primary aims of this work have been to establish consistent and objective criteria for the assessment of elections, to provide long-term electoral assistance, and to provide guidance to national election administrators in their work on living up to international commitments and obligations their respective states have adhered to. Electoral best practices identify good methods for implementing principles for In the provision of assistance, EC-UNDP electoral assistance projects take also democratic electiontices operate at a different level from international commitments and obliga- into account the best practices for democratic elections. Electoral best practions. While international commitments seek to establish the principles by which elections should be conducted (for example, periodically, in a free and fair manner, etc.), best practices identify good methods for implementing these principles. Electoral processes can contribute to peace - or they can be catalysts of conflict The range of best practices in the electoral field is very broad, and there may be many different good practices and methods to achieve the same objective or electoral principles that are applicable in different institutional and regional contexts. The objective of effective electoral assistance programmes is to take into account the specific instance and needs that emerge from different regions. The website of ACE Electoral Knowledge Network ( offers a great collection of best practices for democratic elections and the ACE regional centres are mandated to bring regional best practices and demand-driven needs to the attention of assistance providers. 34 IV Elections, violence and Conflict Management When successful, electoral processes offer means of channelling social conflict into debate, persuasion and common rules for choosing authoritative representatives of the people who can serve in executive, legislative, and other institutions. Today, it is widely understood that the ultimate guarantor of social peace is robust democratic institutions such as elections. Elections have indeed a triple objective. First, to transfer the power to a democratic elected government, which has internal and international legitimacy and which is able to rebuild a country. Secondarily, elections must start and consolidate the democratic process and finally elections must foster the reconciliation between parties. But precisely because electoral processes are contests through which political power is retained or pursued, and social differences are highlighted by candidates and parties in campaigns for popular support, they can fuel underlying societal divisions and thus contribute to the escalation of conflict into violence. Indeed, it is quite clear that electoral processes in recent years sometimes catalyzed conflict before, during, and after voting day. Election-related violence can be defined as: Acts or threats of coercion, intimidation, or physical harm perpetrated to affect an electoral process or that arises in the context of electoral competition. When perpetrated to affect an electoral process, violence may be employed to influence the process of elections such as efforts to delay, disrupt, or derail a poll and to influence the outcomes: the determining of winners in competitive races for political office or to secure approval or disapproval of referendum questions. 5 5 See Elections and Conflict Prevention: A Guide to Analysis, Planning and Programming, UNDP, Bureau for Development Policy, Democratic Governance Group (forthcoming).

35 Introduction The first and foremost important characteristic that distinguishes electoral violence from other kind of violence, for example political one, is its purposes. The first objective of the electoral violence is indeed the electoral process itself. Every act of violence is made to control or influence the outcomes of the electoral process, from the very first activities, such as registration of voters or of candidates, to the last ones as the communication of results. To date there are few studies about electoral violence, and such situation prevent from generalizing which are the main causes, actors, resources and contexts in which electoral violence erupts. From the lesson learned in the last decades, it is any way possible to identify some common patterns for electoral related violence episodes. Firstly, in the cases in which there are countries in transition, post-conflict countries, or countries that have to ratify a peace agreement it is more common to have situations in which violence appear. At the same time, difficult situations can emerge in the cases in which wrong electoral system reforms have been implemented but still there is not a representative translation of votes into seats. Another reason for the appearance of electoral violence is the presence of too high or too low expectations toward the electoral processes. If we consider Electoral Assistance in the framework of peace-building operations is it possible to highlight other situations in which it is probable to face problems related to electoral violence. For example, the decision to organize premature elections can lead to the explosion of acts of violence. This attitude has been common in the past and depends on historical and political reasons. The fall of the Berlin wall led many western countries to look at elections as the most natural and easy way to end a conflict and to consider them as an exit strategy to military operations, without taking into consideration whether the counties were ready to face all the challenges that originate from electoral processes. 35 Another important aspect that deserves further attention is to identify the main actors that perpetrate electoral violence. Rarely they are just individuals. More often they are organizations made by political parties excluded from electoral competition or people from the political opposition that blame the presence of frauds during the electoral process or that contest the results. They can also be civil society organizations with ethnics or religious roots that want to take the power or that do not have equal representation. Actors can also be militants related to political parties or to civil society groups able to build relations between political officials and militias. To fulfill their aims, these actors usually have the availability of different kind of resources, which are at the same time material, such as weapons and drugs, or human, like unsatisfied, unemployed or poor young people. Election-related violence and the electoral cycle approach With the appreciation of the electoral cycle approach and hence the shift from event-based support to long-term capacity building, electoral assistance efforts have focused more on conflict or violence-related issues and shifted from crisis prevention to a continuous process of conflict management. The cyclical approach also reflects the notion that inclusiveness, transparency and impartiality are important not only on Election Day, but are core principles to be nurtured throughout the electoral process.

36 Introduction In this context it is important to underline that there is not a precise moment in which electoral violence erupts. The risk of electoral related violence episodes is present all along the electoral cycle, and depending on the different moment, the intensity and the objectives of the attacks change. Figure A: Election-related violence and the electoral cycle. Long run-up to elections LONG RUN-UP TO ELECTIONS Campaign s final Campign s laps E-DAY final laps EDAY Awaiting results Proclamation of results Awaiting Post-electoral period results Post Electoral period Phase I Phase II Phase III Phase IV Phase IV Phase I The long run-up to electoral events (approx. 18 months to 3 months before e-day): During this phase, targets of electoral violence are usually incumbent state officials and party members. The objective of violent acts is to weaken or eliminate opponents across parties or within parties (e.g. between hard-liners and moderates within parties) in order to create a more favourable voting process. 36 Phase II The campaign s final lap (approx. 3 months before e-day): Violence during the campaigning period often results from rivalry between parties/candidates and between groups of supporters, and may also arise to influence voters and/or affect participation by creating insecurity. Violence tends to increase towards Election Day. Examples: Taiwan 2004; Pakistan 2007 Phase III Polling day(s): Common types of violence on polling day include rebel attacks to disrupt polling and to limit turnout, intimidation of voters and attacks on election administrators, and also physical attacks on polling material such as the destruction of ballot papers, boxes. Examples: Egypt 2005 Phase IV Between polling and proclamation: The period during Election Day and result proclamation can increase tensions among groups, especially when a second round of voting needs to take place thus extending the period of time. Clashes among political parties and rival groups of supporters as well as vandalism/physical attacks on the property of opponents are typical types of violence for the period. Example: DRC 2005 Phase V Post-election outcome and the aftermath: The post-electoral period is susceptible to violence, in particular if the election is perceived as fraudulent or stolen. At the same time, losses in the election may result in street protests by vehement groups supporting those who did not win. Government repression of protests creates the classical dilemma between mass action and government security imperatives. Example: Timor Leste 1999 Programming International electoral assistance provides a vital entry point for strategic planning for conflict prevention over the course of the electoral process. One line of action has been the mainstreaming of conflict prevention efforts carried out by an increasing number of actors and programmes (e.g., the UN, public policy networks and topic-related projects and organizations focusing on democracy and good governance, human rights, gender, etc.) to enhance spe-

37 Introduction cialization and coordination. Another line of action has been to focus on the core principles of procedural fairness (inclusion, tolerance, coexistence, honesty, impartiality and transparency). Finally, international and regional commitments and obligations provide useful norms and guidelines specifying conditions for credible elections and benchmarks against which electoral processes can be compared. Translating strategy and principles into programming involves thinking through various ways in which international assistance can be targeted to address the underlying, root causes of conflict, the institutional framework under which electoral processes unfold, the processes of political competition and the relationships among the key protagonists, and developing crisis management methods to deal with potential situations of conflict when they occur. While programming needs to be tailored to contextual surroundings, there are some general ways in which external assistance has been used to promote conflict prevention in electoral processes: Promoting social cohesion: Social cohesion is about the reshaping of relationships that makes it possible for people to overcome resistance to collaboration for the sake of developing the country as a whole in a sustainable manner. In societies deeply divided by fault lines of race, class and status, social cohesion programming should aim at strengthening the cross-stitching effect whereby new relationships across the divides are formed around issues that they have in common. Fostering social cohesion is one of the most effective safeguards against outbreaks of violence during times of high tension. Examples of electoral assistance programmes promoting social cohesion includes support to civic education programmes raising public awareness of human rights and freedoms; political party workshops fostering negotiations and the development of mutual acceptance and codes of conduct among electoral rivals; engagement with media on elections and conflict; the creation of structures for community conciliation in conflict-prone communities, etc. 37 Civil society and public engagement initiatives: The engagement of civil society is likely to enhance conflict mitigation and decrease election-related violence. Assistance to the establishment of multi-stakeholder forums, peace campaigns, religious/traditional leadersí forums as well as efforts in building capacities among the strategic leadership through training initiatives are typical activities under this section. Facilitating constitutional and legal reform: Assistance to the design and implementation of the constitutional and legal framework presents a crucial, structural approach to conflict prevention. Its imperative lies in the fact that the choices made in this exact moment may prove critical to the subsequent unfolding of the electoral process. Assistance can be provided to support: for example, pre-election pacts and a review of codes of conduct, party and campaigning rules and regulations and the electoral system (see module 2). Working with EMBs: Experience has shown that the structure, balance, composition and professionalism of EMBs are crucial to the legitimacy of the electoral process which, in the next step, is vital to the level of conflict experienced before, during and after Election Day. Support to EMBs can take various forms but includes amongst others the facilitation of a good working relationship between EMBs and other stakeholders in the election (see module 2). Security sector engagement and election-related security: The role of security forces (primarily the police but in some instances also the military) is critical to free and fair elections. Security forces have a complex mission with multiple objectives: to secure the electoral process (such as protecting voting places, officials, and the secure delivery of ballots and boxes); to protect candidates and prevent intimidation of voters; and to work carefully with other rule-of-law actors including investigators and prosecutors as well as judges and other dispute resolvers. The key to effective security sector engagement is the focus on (a) professionalism and standards, (b) clear rules of engagement for officers and other security personnel and (c) emphasis on the human rights aspects.

38 Introduction Election observation, monitoring or verification: The observation of elections by external, neutral organizations has come to be seen as an essential to transitional and post-war elections. Observers report impartially on incidences of violence and also, the mere presence of international observers can sometimes deter violence or fraud. Building on the experiences and recommendations of election observation reports, conflict prevention strategies can be effectively fed into assistance programmes in support of the subsequent electoral cycle (see module 1). Electoral dispute resolution (EDR): Juridical processes are often the most important formal method for resolving election-related violence. Procedures for handling electoral disputes through impartial, efficient, and legally valid and widely accepted mechanisms are crucial in all democracies (see module 2).6 V The Electoral Cycle Approach 38 The principles of the Paris Declaration together with the recognition that obstacles to the implementation of long-term assistance remained, led the EC, UNDP and International IDEA to the development of a visual planning and training tool that could help development agencies, electoral assistance providers and electoral officials in partner countries to understand the cyclical nature of the various challenges faced in electoral processes: this tool has become known as the electoral cycle. The electoral cycle appreciates elections as continuous processes rather than isolated events. At the most general level, the electoral cycle is divided in three main periods: the pre-electoral, the electoral and the post-electoral periods. Notably, the electoral cycle has no fixed starting or ending points, which is also true for the three periods and for the segments within the cycle. In theory, it may be said that one cycle ends when another beings. However, some post-electoral period activities may still be ongoing when activities related to the subsequent electoral cycle commence. Similarly, some segments, such as civic education and support to political parties, cut across the whole cycle and are therefore to be considered ongoing activities throughout all three periods. Elections are composed of a number of integrated building blocks, with different stakeholders interacting and influencing each other. Electoral components and stakeholders do not stand alone. They are inter-dependent, and therefore the breakdown of one aspect (for example the collapse of a particular system of voter registration) can negatively impact on every other aspect, including human and financial resources, the availability of supplies, costs, transport, 6 Read more about elections-related violence and conflict in the UNDP s Elections, Violence and Conflict Prevention: A Guide to Analysis, Planning and Programming (

39 Introduction training and security, and thus on the credibility of the election itself. In turn, if an electoral process suffers from low credibility, this is likely to damage the democratization process of the partner country and block its overall development objectives. The fusion and cross-cutting of electoral-related activities and the inter-dependence of the stakeholders highlights the cyclic nature of electoral processes and stresses the need for long-term capacity-building as opposed to shortterm event-based electoral assistance. Electoral assistance projects target one or more areas within the electoral cycle, ranging from legal reform, electoral administration, planning and operations, voter registration, political parties, training of election officials and voter education, domestic observation and media monitoring, polling activities, counting and results tabulation, electoral dispute resolution developing into post- and inter-election activities. It is important to keep in mind that electoral assistance should take stock of all the different steps of the electoral cycle and that interelection periods are as crucial as the build up to the elections themselves. This approach views electoral assistance as an ongoing or cyclical activity rather than being event driven at designated points in time. The strategy is to provide selected assistance activities throughout the different phases in which the electoral cycle is divided. Taking into consideration the different activities and phases of the electoral cycle allows for bette identification of needs and advance planning. The electoral cycle supports development agencies and partner countries to plan and implement electoral assistance within the democratic governance framework by thinking ahead 5 to 10 years, rather than reacting to each electoral event as it occurs. In order to achieve this, it is crucial to acknowledge at both the political and operational levels that every time a decision to support an electoral process is made, such a decision entails an overarching involvement and commitment to the democratic evolution of the concerned country far beyond the immediate event to be supported. Any decision to keep offering ad hoc electoral support, while this might still be acceptable at the political level, must be accompanied by the consideration that it will not solve the democracy gap in any partner country, but will instead trigger a more staggered process of development cooperation. 39 Indeed, the core mistake of past electoral assistance projects did not rest in the provision of ad hoc short-term support, but in the belief that such support alone would suffice to ensure the sustainability of the following electoral processes, enduring results in the independence and transparency of the EMB concerned and the consequent democratic development of the partner country. The conceptualization of the electoral cycle approach was completed with the publication of the EC Methodological Guide on Electoral Assistance, the International IDEA Handbook on Electoral Management Design and the UNDP Implementation Guide on Electoral Assistance. This approach has been officially endorsed by the EC and UNDP for every common electoral assistance project through the signing of the ìoperational Guidelines for the Implementation of Electoral Assistanceî in April 2006 which were reviewed in December The document recognizes that ìelectoral assistance has to take stock of all the steps of the electoral cycle and that inter-election periods are as crucial as the build up to the elections themselves, thus requiring regular inter-institutional contact and support activities before, during and after election periods, for the sake of lessons learned and inter-institutional memory aiming at improved electoral processes in beneficiary countries.î These guidelines are already acting as a catalyst in aligning other development agencies with the strategy and features of UNDP-managed electoral assistance projects.

40 Introduction In addition to that, the electoral cycle approach is in the Report of the UN Secretary-General Ban Ki Moon of 23 August 2007 to the UN General Assembly, Strengthening the role of the United Nations in enhancing the effectiveness of the principle of periodic and genuine elections and the promotion of democratisation. 7 The electoral cycle approach has also proved to be a formidable learning tool for electoral officials. Effective electoral assistance requires adequate transfer of know-how, through long-term capacity-building that enables electoral administrators to become more professional and to better understand, plan for and implement their core tasks. 40 The electoral cycle approach is a key instrument to facilitate understanding of the interdependence of different electoral activities, helping EMB officials and donors to plan and allocate resources for specific activities in a more timely fashion than in the past. In particular, it places an important emphasis on the post-electoral period as a significant moment of institutional growth as opposed to a vacuum between elections. Elections privide an important entry-point for wider interventions to support Lastly, and very importantly, elections provide an important entry point for democratic governance devel- wider interventions to support democratic governance development, such as the strengthening of civil society, the promotion of human rights (including issues of gender, minorities and indigenous peoples), support to parliaments, media and political party development, reinforcement of the rule of opment. law and justice, and more opportunities for political dialogue and conflict mitigation. Electoral assistance programmes should thus be designed to be broader than the traditional concept of an electoral assistance plan. The electoral cycle approach is valuable in engaging other stakeholders in the process and providing them with tools to improve their assessment of times and roles for their action. Consequently, financial support should be linked to a longer term and integrated strategy, which should include the electoral period as one phase of a longer term democratization process. 7 The General Assembly Resolution 60/162, Strengthening the role of the UN in enhancing the effectiveness of the principle of periodic and genuine elections and the promotion of democratisation, available at

41 Introduction SUMMARY Electoral assistance can be defined as the legal, technical and logistic support provided to electoral laws, processes and institutions. By effective electoral assistance we mean the initiatives and activities intending to improve the quality and impact of electoral assistance to partner country electoral institutions and to effectively manage all the interactions between donors, EMBs, governments, international organizations, CSOs, political parties and service providers. The Paris Declaration (2005) committed the signatories to five principles related to ownership, alignments, harmonization, managing for results and mutual accountability. During the third High-Level Forum meeting in Accra (2008), signatories renewed their commitments to the Paris Declaration. The first involvement with electoral activities by the UN officially began in the 1960s and in the UN engaged itself for the first time in real electoral missions and provided large-scale assistance to elections in Namibia, Nicaragua and Haiti. EU started to fund electoral support missions in in Russia, South Africa and Mozambique. Since then, the EUís work in the area of electoral support has grown considerably and it is now considered as one of the key international donors in the field. International commitments for democratic elections stem from political rights and fundamental freedoms established by universal and regional treaties and political commitments. 41 Summary Elections per se do not cause conflict, but the space for political activity that is created before, during and after an election exacerbates existing tensions and underlying societal divisions and can in particularly sensitive cases provoke the escalation of conflicts into violence. The electoral cycle approach, developed by EC, UNDP and International IDEA, provides a visual planning tool to assist electoral assistance providers and electoral officials in the partner country to understand the cyclical nature of elections, the interdependence of different activities and the integrated challenges confronted in electoral processes. The electoral cycle approach emphasizes that, instead of reacting to each electoral event as they occur, electoral assistance is more likely to contribute to solve the overall democracy gap when assistance providers plan 5 to 10 years ahead.

42 Introduction QUIZ 1. What is the essence of the Paris Declaration on Aid Effectiveness? ОО A commitment by donors to help developing countriesí governments formulate and implement their own national development plans, using their own prioritization, planning and implementation systems whenever possible ОО Increased aid efficiency by providing a framework for the coordination of joint basket funds for electoral assistance projects ОО A commitment by the donor community to double the contributions to developing countries electoral processes in the sub-saharan African region by The will of the people shall be the basis of the authority of government; this shall be expressed in periodic and genuine elections which shall be by universal and equal suffrage and shall be held by secret vote or by equivalent free voting procedures. From where have the above quote been deduced? ОО The Paris Declaration of Aid Effectiveness ОО The EC Communication 191 of April 2000 on Electoral Assistance and Observation ОО The UN Declaration of Human Rights 2. The notion of electoral assistance has undergone various changes and been interpreted in different ways. How is electoral assistance defined today? ОО As support to the technical operation and infrastructure on election day ОО As support to the pre-electoral period that aims to ease the running of election day for the partner country ОО As the legal, technical and logistical support provided to electoral laws, processes and institutions. 3. What do we mean by effective electoral assistance? ОО All initiatives and activities intended to improve the quality and impact of electoral assistance ОО All initiatives and activities that intend to effectively manage all the interactions between donors, EMBs, governments, international organizations, CSOs, political parties and service providers ОО Both the above Quiz 4. What is NOT right when it comes to international commitments for elections? ОО International standards for elections stem from political rights and fundamental freedoms established by universal and regional treaties and political commitments ОО International standards provide a basis for the assessment of election processes by both international and domestic election observers ОО The principal universal legal instruments are the UDHR and the ICCPR ОО In addition to having legal force, international standards have strong political and moral force

43 Introduction 5. ОО International standards identifies good methods for implementing the above principles What is the objective of the electoral cycle approach? ОО To assist development agencies, electoral assistance providers and electoral officials to understand the cyclic nature of elections ОО To emphasize the integrated nature of the building blocks and the interdependence of stakeholders in elections ОО To help assistance-providers in planning ahead ОО All of the above 6. Which of the following segments does NOT belong to the pre-electoral period in the electoral cycle approach? ОО Audits and evaluations ОО Planning and implementation ОО Voter registration ОО Training of domestic observers Which of the following activities is better suited to the post-electoral period in the electoral cycle approach? ОО Campaign coordination ОО Legal reform ОО Operational training for election officials ОО Registration of parties and candidates Which of the following principles is NOT among the five principles agreed to in the Paris/Accra Declarations? ОО Ownership ОО Harmonization ОО Independence ОО Alignment ОО Results ОО Mutual accountability 43 Quiz Right answers: 1=a, 2=c, 3=c, 4=c, 5=e, 6=d, 7=a, 8=b, 9=c

44 Introduction PRINT AND ONLINE RESOURCES 44 Print and Online Resources UN/UNDP Charter of the United Nations (1945) Department of Political Affairs of the United Nations Secretariat and the United Nation Development Programme: Note of Guidance on Electoral Assistance (2001) Note%20of%20guidance.pdf. UNDP and Electoral Assistance: 10 Years of Experience UNDP Electoral Assistance Implementation Guide (2007) Implementation-Guide.pdf. UNDP Essentials on Electoral Assistance (2003) ElectoralAssistance.pdf. Elections and Conflict Prevention: A Guide to Analysis, Planning and Programming (2009) EU/EC EC Methodological Guideline on Electoral Assistance (2006) documents/election-assistance-methodological-guide_en.pdf. International IDEA Effective Electoral Assistance: Moving from Event-Based Support to Process Support (2006) ACE Electoral Knowledge Network ( Focus on Effective Electoral Assistance Other The Universal Declaration of Human Rights (1948) IFESí White Paper Electoral Conflict and Violence ñ A Strategy for Study and Prevention (2002) The Role of Election Administration in Democratic Transitions:: Implications for policy and research OAS publications: Las Misiones de Observación de la OEA; una nueva era en observación Electoral Internacional, by Pablo Gutiérrez The Electoral Cycle in the Americas: A Review by the OAS General Secretariat, GS/OAS 2007 Methods for Election Observation: A Manual for OAS Electoral Observation, SG/OAS 2007

45 1. EC and UNDP framework, lessons learned and new approach

46

47 Learning objectives To become familiar with key policies and strategic frameworks of EU/EC & UN/UNDP involvement in electoral assistance To get to know why EU/EC and UN/UNDP are involved in electoral assistance To recognise the conditions for EU/EC and UN/UNDP electoral support To identify types of electoral assistance activities and to be able to distinguish between short-term and long-term activities To recognise the impact of contextual factors, particularly the level of democratic development, during need assessment evaluations to tailor-make assistance project To become familiar with the EU/EC and the UN/UNDP lessons learned in the field To learn about the objectives, conditions and implementation of EU election observation and to identify the criteria according to which observers gauge elections To be aware of the synergies between electoral assistance and electoral observation To be aware of the synergies between electoral assistance and electoral observation, and the challenges of integrating EU EOM recommendations in electoral assistance projects at the project formulation stage. MODULE Policy and Strategic Framework and Criteria for Involvement in Electoral Assistance UN and UNDP According to the Charter of the United Nations signed in 1945, the UN is committed to developing friendly relations among nations based on respect for the principle of equal rights and self-determination of people and to promote and encourage respect for human rights and fundamental freedoms for all. 8 This has been further developed in the Universal Declaration of Human Rights and in the International Covenant on Civil and Political Rights, where elections are considered to be a human right:...the will of the people shall be the basis of the authority of government; this will shall be expressed in periodic and genuine elections The Charter of the United Nations, available at charter. 9 Art. 21 The Universal Declaration of Human Rights, available at un.org/overview/rights.html. 47

48 MODULE 1 EC-UNDP-IDEA Joint Workshop on Effective Electoral Assistance EC and UNDP Framework, Lessons Learned and New Approach UN electoral assistance has two primary goals: ÕÕ To assist member states in their efforts to hold credible and legitimate elections in accordance with electoral standards in international and regional instruments; ÕÕ To contribute to building, in the recipient country, a sustainable institutional capacity to organize democratic elections that are genuine and periodic and have the full confidence of the contending parties and the electorate. The primary entry point for UNDP to advance the above goals is by either fostering the creation of a strong, professional and independent EMB and related public institutions, or by enhancing the independence and credibility of such institutions if they already exist. It is important to note that EMB independence should not be seen in purely structural terms, but more importantly in terms of the ability to undertake independent actions and freedom to autonomously perform its mandate functions. 48 At the same time, it must be recognized that well-run, credible and legitimate elections ó as critical as they are ó can only go so far towards contributing to the democratic governance fabric of a country. There also needs to be a focus on the overall political environment within which elections are organized and conducted. For this reason, addressing the institutional and professional capacity of an EMB in complete isolation does not necessarily produce free and fair elections that enjoy the acceptance and trust of the various electoral stakeholders. Efforts therefore should also be made to build capacities beyond the EMB. This involves reaching out to and working with other important actors and stakeholders, such as voters, political parties, media and civil society, as well as other actors and institutions of democratic governance Needs Assessment Mission Chapter 1 The UN only undertakes electoral assistance after a request has been received from a recognized authority (usually the host government and/or EMB). Before the UN can provide electoral assistance, it must first assess the political conditions in the requesting country to ensure that the UN is involved only in settings in which there is a genuine commitment to organize and conduct credible elections. EAD/DPA undertakes those assessments, in close consultation with the UN Resident Coordinator/UNDP Resident Representative. A Needs Assessment Mission (NAM) cannot be dispatched in the absence of either a Security Council or General Assembly mandate or a request for electoral assistance from an appropriate national authority (including signed Country Programme Documents (CPDs) and Country Programme Action Plans (CPAPs) that contain contemplated electoral assistance). Recommendations based on the assessments are submitted to the Under Secretary-General for Political Affairs ó the UN Focal Point for electoral assistance activities ó who determines whether or not UN assistance is justified and appropriate (see module 4 for more details on who does what in the field of electoral assistance in the UN system). The political/electoral assessment mission fielded by EAD/DPA may be accompanied by a UNDP representative who would then be responsible for formulating an electoral support programme based on the findings and recommendations of the political and technical assessment team. The collaboration between EAD/DPA and UNDP in these circumstances, and the ability

49 EC and UNDP Framework, Lessons Learned and New Approach MODULE 1 of the project designer to hear first hand the concerns of all stakeholders, can expedite the project design stage and help to ensure that the content and scope of the eventual programme reflects as thoroughly and clearly as possible the political and technical priorities as identified by the needs assessment. In terms of participation by other assistance providers and donors, NAMs are an internal UN mechanism, carried out exclusively by UN staff members and/or experts drawn from the UN electoral roster. If electoral missions deployed by other international organizations coincide with the NAM, members of the NAM may liaise with them as appropriate, while safeguarding the reality and perception of UN impartiality. Sometimes, a project formulation mission, conducted by relevant UN agencies (normally UNDP), will take place at the same time as the NAM. In such cases, EAD and UNDP will clarify to national and international stakeholders that these are two separate missions, with different composition, happening simultaneously. In all cases, particularly where NAMs and project formulation missions occur simultaneously, EAD retains the leadership over the NAM process and its results, and UNDP over the project formulation process. Any project formulated by a UNDP mission will be contingent on the findings and recommendations of the NAM. Recommendations should provide overall strategic guidance, address political considerations as well as technical, material and financial requirements and prioritize assessment areas. They may also include guidance on assistance that should not be provided because, for example, it may not be sustainable, cost effective, politically appropriate or essential in addressing the real needs of the country/territory. Five key areas should be considered. 1. Assistance Priorities: The most important recommendation is whether electoral assistance should be provided by the UN, and if so, what form it should take. Areas that could be covered include the following: 49 electoral laws and regulation reform electoral system design/redesign electoral administration and planning electoral budgeting civil and/or voter registration constituency delimitation professional development of election management bodies training of election officials civic and voter education inclusive participation (with a focus on greater participation by women and other underrepresented groups) public outreach working with political parties electoral dispute resolution training of judiciary training of security forces domestic observation election logistics and operations procurement of election materials election security media training/monitoring capacity building of civil society organizations coordination of donor funding 2. Coherence and coordination: This should include general direction concerning UN coherence in the delivery of assistance (who does what in the UN system), with the aim of ensuring timely and effective delivery as one ; guidance on the form, substance and implications of proposed UN partnerships with non-un providers/donors and direction on the overall coordination and coherence of assistance including proposals for international community coordination mechanisms.

50 MODULE 1 EC-UNDP-IDEA Joint Workshop on Effective Electoral Assistance EC and UNDP Framework, Lessons Learned and New Approach 3. Sustainability and cost effectiveness: A number of important points regarding costs and sustainability should be addressed, including (i) implications for programming of current and future fiscal and human resource capabilities; and (ii) to the extent possible, long-term targets for the handover to national capacity of the project or constituent elements. 4. Risk mitigation strategy: This should outline steps that could be taken to mitigate or remove any risks that have been identified in the UN providing electoral assistance. 5. Potential for election-related violence: This should cover electoral assistance or political interventions that could be implemented to reduce or mitigate the potential for election-related violence. Needs assessment considerations include, but are not limited to the following: 50 FF general conditions (e.g., key issues that may affect the electoral process; and recommendation of previous domestic/international observer missions) FF legal framework (e.g., consistency between electoral framework and the constitution; operational independence and perceived credibility of the EMB; electoral system; framework for resolution of electoral disputes; pressures for reform; and party regulation) FF participation by politically disadvantaged groups (e.g., key constraints on/engagement in political participation of minorities, indigenous and tribal peoples, women, young people, illiterate or poorly educated people and people living in remote communities) FF EMBs (e.g., the relationship between the EMB and the government, the citizens, political parties, CSOs, media, donors and other key stakeholders; management and operational structure, budgets, staff and human resources; and the level of institutionalization) FF voter registration (e.g., voter registration system and methods for data gathering and processing; criteria for voter registration (identify special issues related to citizenship, gender, ethnicity, internally displaced people, refugees, OCV registration; and the time-frame for voter registration) FF voting operations and compilation of results (e.g., logistic management; manual versus electronic voting; location of vote counting (at the level of polling stations or regionally) and vote counting transparency; impediments to rapid collation and announcement of results; and efficiency of the domestic observer groups) FF political parties (e.g., identification of the main political parties and their strength; differentiation between parties (ethnic, regional, ideology, policy); party funding; code of conduct for political parties; and nomination processes) FF media (e.g., media ownership (in particular the balance of state-owned versus independent media); general standard of journalism; lessons learned from previous media monitoring exercises; and the existence of a code of conduct for media in the election period) FF security (e.g., experience of violence in previous elections; locus of violence (geography, party-based, top-down versus grass-roots); and the effectiveness of the police and/or private security forces) FF coordination (e.g., identification of key stakeholders; donor commitment and funding approaches; need for specialized staff; and identification of appropriate management structures) When there is a reasonable possibility that the EC will contribute to a UNDP-managed basket fund for the delivery of electoral assistance, and where conditions permit, project formulation missions should be carried out jointly following a modality agreed upon in the ECñUNDP Op-

51 EC and UNDP Framework, Lessons Learned and New Approach MODULE 1 erational Guidelines for the Implementation of Electoral Assistance Projects. This allows for the development of a common understanding of the partner countryís needs and for the Country Office (CO) and EC delegation to negotiate from the outset the conditions for EC participation in the pooled project. It is the responsibility of the UNDP CO to help prepare and brief any EAD/DPA NAM and to arrange meetings with key stakeholders. Typically, NAMs produce the following outputs: Figure 1.1: UN election assistance procedure (standard technical assistance) REQUEST an assessment of the existing conditions for conducting elections in the country, including the legal, political, human rights and institutional contexts an assessment of the pre-election technical, operational and human resources requirements, including recommendations for practical and cost-effective means of offering targeted assistance REQUEST EVALUATION NEED ASSESSMENT MISSION FOCAL POINT DECISION PROJECT DESIGN ASSISTANCE IMPLEMENTATION SUPPORT EVALUATION REPORTING & INSTITUTION MEMORY Due to their ongoing or future interest in the electoral process, a number of different stakeholders need to be consulted during the course of any needs assessment. 51 The Note of Guidance, signed by the UN DPA and UNDP in 2001, and reviewed in 2010, provides an overview over roles and responsibilities of the different UN institutions with particular reference to the UN Focal Point, DPA/EAD and UNDP as well as procedures for UN involvement in electoral assistance Activities Technical assistance, the type of electoral support most frequently requested from UNDP, covers a broad range of short- and long-term activities. It is important to differentiate between direct short-term election support and longer term capacity-building projects. The former is linked to a specific electoral event and is principally aimed at assisting EMBs in the planning, preparation and conduct of an election (often with limited capacity effects). Longer term capacity-building projects, on the other hand, are likely to look beyond the election per se to focus on development outcomes, notwithstanding possible immediate electoral support. UNDP has been providing electoral assistance to an annual average of 40 to 50 countries as diverse as Armenia, Bhutan, Cambodia, DRC, Mexico, Timor-Leste, Togo, Yemen and Zambia. Of this assistance, approximately half was focused on an election event and half on longer term electoral cycle support. It is becoming more common, however, for these short- and long-term approaches to be combined into one continuous approach that covers a time period of perhaps five years or so and provides cyclical support depending upon the needs vis-à-vis both specific electoral events and capacity development. 10 Download the New Note of Guidance:

52 MODULE 1 EC-UNDP-IDEA Joint Workshop on Effective Electoral Assistance EC and UNDP Framework, Lessons Learned and New Approach In cases where UN support to an electoral process is specifically mandated by the General Assembly or the Security Council, the electoral component is typically established within the context of either a DPKO or DPA mission, supported by EAD. Recent examples include DRC, Nepal, Sierra Leone and Timor-Leste. In these specific contexts, UNDP has worked in close collaboration with the DPKO or DPA mission to ensure that UNDP assistance is designed to support the overall UN electoral mandate and that adequate measures are put in place to guarantee the sustainability of UN support. Normally, this support is provided through the UNDP CO and/or UNDP election-support project upon the termination of the mandate of the peacekeeping or political mission. Electoral assistance provided by UNDP includes, but is not limited to: support to electoral administration and planning; voter registration; voter and civic education; advice on drafting of electoral legislation/regulations; election budgeting; training of officials; compilation of results and procurement of electoral materials; coordinating and leveraging support through bilateral and multilateral donors and agencies, civil society (including international and national NGOs) and public institutions Electoral assistance contexts Electoral assistance takes place in a variety of different circumstances. The scope of technical and financial assistance depends on the type of election (e.g., national or subnational, presidential, parliamentary or local); the environment in which the election takes place (e.g., postconflict, transition, third or fourth post-transition/post-independence election); and other prevailing conditions (size of electorate, health of the national economy and national funding available for elections, state of voter register and electoral institutions, physical constraints, etc.). The scope and effectiveness of the assistance also depends on the extent to which the political actors in the country are supportive of democratic processes per se so that, for example, they are willing to see a good process as ultimately more important then achieving an outcome that favours them. The text box below illustrates how an electoral assistance project might segue from certain activities into others whilst sustain some areas as a country moves from a transitional environment to a more ëstableí or developing environment. Hastily planned, poorly designed elections in post-conflict or newly created states may actually exacerbate the problems they are intended to help address. Careful attention needs to be paid to the timing and conduct of post-conflict elections, along with the important factors of building strong democratic institutions, forming long-lasting relationships with civil society and strengthening political parties. Working with political parties in this context may be especially difficult, given that some parties may be converted from armed movements and, therefore, have members that in the past were members of militia groups with no tradition of democratic practices. Getting these actors to accept the rules of the democratic game is crucial and represents a key challenge of this work. However, UNDP also needs to be mindful of the risk of legitimiszng former warlords and should take this into account when assistance is planned.

53 EC and UNDP Framework, Lessons Learned and New Approach MODULE 1 Often post-conflict elections take place in countries where the UN has either a peacekeeping mission (such as the 2006 elections in DRC) or a UN political mission (such as the 2007 elections in Timor-Leste). In such elections, there is normally a Security Council resolution giving the peacekeeping or political mission the mandate to lead or coordinate electoral assistance, under the guidance of EAD/DPA. UNDP works in close collaboration with EAD/DPA in supporting the electoral component of the UN mission according to an agreed division of labour. UNDP support could include traditional technical electoral assistance to the electoral authorities, management of a basket fund on behalf of donors, and/or discrete projects supporting political party development or enhancing womenís participation. Sample elements of electoral assistance projects in transitional environments: Sample elements of electoral assistance projects in stable/developing environments: FF FF FF FF FF FF FF FF FF FF Constitutional/legal reform Capacity-building of political parties Capacity-building of EMB Voter registration Civic and voter education campaigns Setting up electoral dispute mechanisms Election security Election logistics and infrastructure Integration of new technologies Media and elections FF FF FF FF FF FF FF FF Capacity-building of EMB Integration of new technologies Institutionalised civic education Transitioning to continuous voter registration systems Enforcement of campaign finance regulations* Regular boundary delimitation Training for women candidates and political leaders Strengthening and institutionalising electoral dispute resolution mechanisms 53 * Note that this is mostly undertaken in post-conflict and transitional elections, but is less often an area of support in a stable and developing environment where enforcement mechanisms (such as the EMB s audit section, the anticorruption commission and the judiciary) are stronger. Post-conflict elections typically involve extremely high costs due to the number of activities that need to be carried out for the first time as well as the higher costs associated with securing the integrity of the vote and the safety of the voters. Tight deadlines, lack of adequate infrastructures and assets, and a volatile security environment can further drive up costs. High capital costs associated with (but not unique to) post-conflict elections include setting up the election administration and its operational and territorial structure; the first voter registration exercise; registration of parties and candidates; procurement and distribution of election materials; recruitment and training of inexperienced staff; development of stakeholdersí capacity; extensive voter information and education campaigns; communications and transportation (including vehicles, boats, helicopters and/or planes); security for people and materials.

54 MODULE 1 EC-UNDP-IDEA Joint Workshop on Effective Electoral Assistance EC and UNDP Framework, Lessons Learned and New Approach EU and EC Chapter 1 Electoral support is a central feature of the EU democratic governance strategy, and promoting democratic governance is a key concern in all EC development cooperation programmes. Key governance principles such as accountability, transparency, ownership and public participation are mainstreamed in all EC cooperation programmes. The role played by the EC is particularly prominent regarding the promotion of democracy. This is done through political dialogue and diplomatic process and démarches; mainstreaming of democratic principles; Poverty Reduction Strategy Papers (PRSPS) based on participatory decision making, involving civil society, parliamentarian oversight and independent control mechanisms; financial and technical cooperation programmes; democratic institution building; civil society programmes. 54 The EC believes that support to the electoral process is an essential step in the democratization process since it represents a crucial opportunity for political participation and representation (organization of the political process, political discourse, media) and an important entry point in the full enjoyment of a wide range of human rights such as freedom of expression, assembly and association, and has a significant impact on the rule of law. The success relies on legitimacy and strengthening of institutional frameworks and in creating opportunity to offer an example for other sectors of a partner countryís institutional structure. The key legal instrument for the EU electoral support is provided by the EC Communication 191 of April 2000 on Electoral Assistance and Observation. This Communication responded to a specific request by the European Parliament to the Commission to assess and take stock of the lessons learnt through EU participation in election observation missions in the 1990s, and contributed to the definition of a coherent European policy line in electoral support activities through a proper approach involving a strategy and methodology. The promotion of genuine democracy and respect for human rights is not only a moral imperative; it is also the determining factor in building sustainable human development and lasting peace. Actions in support of democratisation and respect for human rights, including the right to participate in the establishment of governments through free and fair elections, can make a major contribution to peace, security and the prevention of conflicts. EU support for human rights, democracy and the rule of law is established in the Treaties. Article 6 of the Treaty on European Union (TEU) clearly states that the principles of liberty, democracy, respect for human rights, and the rule of law are fundamental European values. Human rights field missions and election missions are accepted as part of the mandate of the EU whoís Treaty considers the protection and promotion of human rights as well as support for democratisation as corner stones of EU foreign policy and EU development co-operation. 11 The EC electoral support has two components: electoral assistance and election observation. The synergies and complementarities between the two have been highlighted and promoted in recent years, while keeping a clear distinction between the roles and responsibilities associated with each of these activities. This new approach has been inaugurated with the Working Paper on the Implementation of the EC Communication 181/2000 and later on codified with 11 COM(00)191 EC Communication on EU Electoral Assistance and Observation, available at com2000_0191en01.pdf.

55 EC and UNDP Framework, Lessons Learned and New Approach MODULE 1 the publication of the EC Methodological Guide on Electoral Assistance. 12 The dual form of involvement of EU institutions, rather than giving way to potential conflicts of interest is in reality a significant value added for the promotion of governance and development objectives. On this it is important to underline that EU EOMs are independent and run by a Chief Observer who is also a member of the European Parliament. On the other hand, delegations and national authorities supported by the EC services at HQ are responsible for electoral assistance projects Activities In this context, election assistance is defined by the EC as the technical or material support given to the electoral process. Electoral assistance may imply professional help to establish a legal framework for the elections and it may take the form of a general input to the national electoral body, such as providing voting material and equipment, or helping in the registration of political parties and the registration of voters. It may also imply support to NGOs and civil society in areas such as voter and civic education or training of local observers, as well as support to media monitoring and training of journalists. EU election observation is the political complement to election assistance. Its main goals are the legitimization of an electoral process, where appropriate, the related enhancement of public confidence in it, the deterrence of fraud, the strengthening of respect for human rights, and contributing to the resolution of conflicts. EC defines electoral assistance as the technical/ material support to electoral processes. EU election observation is the political complement to election assistance. 55 EU election observation involves the assessment of the strengths and weaknesses of an electoral process and the presentation of recommendations of electoral reforms. The EU observation recommendations increasingly provide an important basis for deciding on further assistance after the elections. In recent years, EU electoral missions have grown in frequency and in impact under the auspices of the Common Foreign and Security Policy and thanks to the development and continuous refining of a strong methodology. The EU strategy for electoral support is provided through a partnership between the EU and the partner country, and involves development of national capacity, support to national election commissions and CSOs, long-term sustainability after an election, promotion of pluralism, partnerships with NGOs and support to local observers, importance of electoral registration and fair delimitation of electoral boundaries and promotion of mechanisms of self-regulation. Since the adoption of the 2000 Communication, the EC has raised its profile as a worldwide provider of electoral support due mainly to the success and visibility of its election observation activities. As shown in figures 1.2 and 1.3, EC electoral assistance has increased in volume and number since its start in 1992 and extends across the world with a lion s share of the funding finding its way to the sub-saharan African region. This region has also been the primary receiver of assistance that EC has channelled through the UNDP (figures 1.4 and 1.5). UNDP remains, by far, the ECís primary partner when it comes to implementing projects in this field. 12 See also the EC Handbook for EU European Union Election Observation, available at election_ass_observ/docs/handbook_en.pdf.

56 MODULE 1 EC-UNDP-IDEA Joint Workshop on Effective Electoral Assistance EC and UNDP Framework, Lessons Learned and New Approach The criteria of the EU for involvement in electoral support are the following: ÕÕ ÕÕ ÕÕ ÕÕ ÕÕ ÕÕ ÕÕ ÕÕ ÕÕ ÕÕ ÕÕ A request from the host government A general agreement of main political parties and the other stakeholders to an electoral assistance project Previous EU political monitoring or EU development programmes in the host country Adequate time-frame for preparation Freedom of movement and access to actors Access to information Safety of the technical assistance team The existence of complementary national funds and coordination with other donors and members states (exception for post-conflict elections) Respect for the ultimate objective, namely improvement in the expression of popular will through a transparent electoral process The extent to which assistance may impact as a conflict prevention tool The degree to which the requesting countries display minimum democratic space and political will to allow genuine elections to take place 56 EC-UNDP collaboration in the field of electoral assistance is unparalleled. In the period , EC has contributed more than 764 meuro to UNDP managed basket fund in this particular area alone. As mentioned in the introductory module, the collaboration intensified during , during which the EC supported the democratic elections in DRC with 165 meuro. This resulted eventually to the establishment of the Strategic Partnership Agreement and the signing of the Operational Guidelines (read more about these developments in module 4). Figures below provides an overview over the collaboration in a graphical format. Figure 1: EC-UNDP Collaboration before and after the Partnership was established Meuro 23 Projects Meuro 70 Projects

57 EC and UNDP Framework, Lessons Learned and New Approach MODULE 1 Figure 1.2: contributions to UNDP managed basket funds as per number of projects, Figure 1.3 :contributions to UNDP managed basket funds in euro, Figure 1.4: Budget allocation of EC-UNDP electoral assistance projects per region,

58 MODULE 1 EC-UNDP-IDEA Joint Workshop on Effective Electoral Assistance EC and UNDP Framework, Lessons Learned and New Approach Figure 1.5:: EC contributions to UNDP managed basket funds per country, Lessons Learned UN and UNDP Good practices are built on lessons collected over time. Together, those lessons provide a basis for action principles. 13 The term good practice is used intentionally because it is difficult if not impossible to declare that something is a best practice when country contexts differ so considerably. Generalizations are not always helpful. To a certain degree, the lessons that guide the principles for action must be contextualized for each country. Lessons learned from UNDPís experience in electoral support: Increased focus on long-term capacity development is essential to contribute to a countryís ability to organize future elections with little or no external help Electoral assistance is a strategic entry point for broader governance programming, e.g., to cultivate relationships required to support governance reform efforts in sensitive areas such as human rights and judicial independence and also to promote human development/poverty alleviation Civic and voter education programmes supported by UNDP increase general awareness of electoral and democratic processes and enhance the citizensí ability to defend their rights. It also promotes citizensí interests in electoral and ther democratic processes and contributes to society through civic action UNDP assistance to the conduct of elections provides i) valuable donor coordination and resource mobilisation services, ii) essential backing and expertise to the implementation of technical assistance programmes, including the necessary operational and procurement planning, as any delay or shortfall in the implementation could have serious implications on the electoral schedule 13 Electoral Systems and Processes: Practice Note, available at See also UNDP and Electoral Assistance: Ten Years of Experience, available at

59 EC and UNDP Framework, Lessons Learned and New Approach MODULE 1 Increased focus on sustainability when supporting the purchasing/implementing of ICT solutions, and the importantance of applying already existing international ICT standards and practises Electoral assistance has been most effective with a lead time of at least one year prior to elections Continuity of leadership among UNDP resident representatives and COs is important to extend UNDP electoral assistance beyond the specific event of an election and help the programme country build long-term capacity to conduct future elections Increased/systematized information-sharing to enhance institutional memory which will increase the organizationís ability to provide effective electoral assistance in the future EU and EC Chapter 2 In the majority of cases where the EC has intervened, intervention has taken place after those of other international donors and electoral assistance providers and has been designed in response to specific requests for assistance submitted by the relevant authorities. In some cases, the ECís input in the design of jointly funded operations has been diminished by excessive delegation of responsibilities and lack of electoral assistance knowledge. Also the internal institutional set up of the EC, the variety of financial instruments to be used and the related rigidity of EC contractual-financial procedures has hampered the Commission in being properly equipped to play a more important role in the electoral assistance field and to react swiftly enough to change this general perception. Common features of many EC electoral assistance interventions have been 59 lateness of the identification and formulation phases; absence of a strategic approach within which specific interventions can be placed; implementation through contributions to common pool funded projects (clear advantages in terms of coordination of activities and pooling of resources and expertise); limited emphasis on the inclusion of adequate monitoring and evaluation mechanisms in the electoral assistance process. The EC has not always been prepared to acknowledge the political significance of the electoral process resulting in a failure to appreciate the political impact of technical aspects linked to, for instance, delimitation of boundaries, voter registration, candidate registration, tabulation of results and electoral dispute mechanisms. The internal operational knowledge that helps to understand and interpret certain events makes the difference in deciding the areas and delivery methods for the support to be provided. This has been largely proved by the comparative success of those assistance projects where specific electoral expertise has been at the disposal of the delegations from the early stages of a given electoral event. Based on lessons learned and in order to address these challenges, the EC has adopted the New Operational Approach which targets increased focus on early programming and long-term strategies as well as maintenance of ad hoc programming; increased attention towards pre-electoral and post-electoral activities; increased collaboration with global and regional players in the field;

60 MODULE 1 EC-UNDP-IDEA Joint Workshop on Effective Electoral Assistance EC and UNDP Framework, Lessons Learned and New Approach the formalization and negotiation of de facto and new partnerships; taking advantage of and further developing the EC Methodological Guidelines on electoral assistance and the electoral cycle approach; increased internal capacity-building through specific training on effective electoral assistance; adaptation to the changing electoral process environment in particular with reference to the use of ICTs. 1.3 Election Observation The presence of domestic and international election observers in evolving democracies tends to bring credibility and legitimacy to the election process and serves to deter overt acts of electoral fraud especially during the polling. However, the practice of election observation is much more than a simple evaluation exercise. It forms the analytical basis for validating or challenging the legitimacy of an elected government. It offers a mechanism to professionally, objectively and independently assess and report on the integrity of the various elements of an electoral process and it provide the essential ëstamp of approvalí strongly required by that process. 60 Election observation entails (1) the purposeful gathering of information of an electoral process and (2) the making of informed judgments on the conduct of such process on the basis of information collected by persons who are not inherently authorised to intervene in the process and whose involvement in mediation and technical assistance activities should not jeopardise their main observation responsibilities. 14 The most widely accepted distinction between election observation, election monitoring and election supervision refers to the role and the mandate of the different missions in terms of the level of intervention in the electoral process: The mandate of election observers is to gather information and make an informed judgment without interfering in the process. The mandate of election monitors is to observe the electoral process and to intervene if laws are being violated. The mandate of election supervisors is to certify the validity of the electoral process. Notably, different organizations use different definitions of these terms and in some cases the terms are used interchangeably Election Observation and the UN The UN does not observe elections unless specifically mandated by the General Assembly or Security Council. If observation is mandated, it does not generally observe elections to which it has also provided technical assistance because to do so would constitute a conflict of interest. It may, however, choose to appoint an independent Electoral Certification Team or Electoral Expert Monitoring Team, as has been done recently in Nepal and Timor-Leste. 14 See International IDEAís International Electoral Standards: Guidelines for Reviewing the Legal Framework of Elections, available at idea.int/publications/ies/index.cfm.

61 EC and UNDP Framework, Lessons Learned and New Approach MODULE 1 Earlier in this manual we have indicated the differences between supervision, observation and monitoring. Within the UN, confusion has been most recently augmented with the implementation of an additional type of activity that observe elections The UN does not has been labelled certification and has been mandated in the cases of the unless specifically mandated High Representative for elections in Côte díivoire first and the UN Mission to Côte díivoire later, as well as in the Electoral Certification Team in Timor Leste. In addition to these two recent mandates, the UN has been called to field an by the General Election Expert Monitoring Team to Nepal. Assembly or Security Council. The term supervision was developed during the UNís involvement in ascertaining the legitimacy of popular consultations in the context of decolonization. Supervision was understood to mean direct involvement in establishing the mechanisms of the election, such as the date, the issuing of regulations, wording of the ballot, monitoring polling stations, counting the ballots, and assisting in the resolution of disputes. 15 Observation was less direct, and excluded direct involvement though, like supervision, a report was issued at the end of the mission characterising the fairness of the process. The active involvement of the UN in the provision of electoral assistance began to take shape in the 1950s and 1960s during the decolonization era and was conducted along similar patterns over that period of time. A different operation was introduced with the involvement of the UN in Namibia, which was still within the realm of decolonization, and used the concept of supervision. In August 1978, the Secretary-General submitted a plan to administer the elections for a Constituent Assembly, according to which a Special Representative of the Secretary-General (SRSG) was to work closely with the Administrator-General appointed by the South African Government to ensure the orderly transition to independence. The Special Representative was further responsible for overseeing the entire political and electoral process. At each stage, the SRSG had to declare that the conditions were appropriate to continue and in addition was authorized to make recommendations regarding any aspect of the process. 61 Following the signature by Costa Rica, El Salvador, Guatemala, Honduras and Nicaragua of the Esquipulas II Agreement (1987), where the signatories agreed to ìinvite Ö the United Nations Ö to send observers to verify that the electoral process (in each country) been governed by the strictest rules of equal access for all political parties to media and ample opportunities for organising public demonstrations and any other type of political propagandaî, there was a change in the involvement of the UN in the field of electoral assistance. Voter register, Sierra Leone 2002 In March 1989, Nicaragua requested that the Secretary-General establish a group of international observers to verify the electoral process so as to ensure that was ìgenuine during every stage.î In response to this request, ONUVEN was established with a mandate of verification of the entire electoral process. Following ONUVEN, in the period between 1989 and 1995, there were seven missions in particular that had important electoral observation components. 15 Decolonization Bulletin No. 19, cited in the ìthe United Nationsí Response to Requests for Assistance in Electoral Matters,î unpublished, by Jon M. Ebersole, 1992.

62 MODULE 1 EC-UNDP-IDEA Joint Workshop on Effective Electoral Assistance EC and UNDP Framework, Lessons Learned and New Approach An attempt was made to define the various definitions in a 1991 report 16 of the Secretary-General, Enhancing the effectiveness of the principle of periodic and genuine elections. The United Nations involvement in elections has basically been of two kinds: electoral verification, involving the presence of United Nations observers in the territory or country concerned; and electoral assistance, encompassing the provision of a variety of technical or advisory services, but not involving any verification functions. The report noted that the terms ësupervisioní, ëobservationí, ëverificationí and ëmonitoringí are often employed almost interchangeably. It tried at least to make a clear distinction between ësupervisioní and ëobservationí: UN Peace Keeping Mission supporting the electoral process in Central African Republic 62 The term ësupervisioní generally has been employed to describe United Nations presence encompassing the whole process of popular consultations. In some of these cases [...] a commissioner or a commission was appointed, the basic electoral provisions for the organization and conduct of the electoral process were drawn up in consultation with the United Nations Commissioner and the wording of the question in the ballot to be put to the voters in the case of a referendum was formulated or approved by the appropriate United Nations organ, which afterwards endorsed or approved the results of the vote. An ëobservationí was usually more limited in scope, and the mission was headed by a chairman appointed by the Trusteeship Council [...] or by the Chairman of the Special Committee [...]. At the conclusion of the exercise, the mission compiled a report of the relevant organ of the Organization with an account of the visit to the Territory and its observation of all the aspects and phases of the consultation, together with conclusions and recommendations as appropriate. These definitions were made, however, at a moment when the UNís electoral work was changing rapidly. The definitions were heavily influenced by the previous generation of electoral mandates. While the work of the UN in post-conflict electoral observation has greatly developed in recent years, there have not been many attempts within the organization to revise these definitions based on the changing and refined methodologies. As seen above, the United Nations Transition Assistance Group in Namibia (UNTAG) had the mandate that was very close to a certification exercise. Bearing in mind that, in a domestic context, certification is a techno-legal process by which a national authority approves the final results of an election, it can be noted that in the case of Namibia, the use of this term was appropriate because the UN was at that time, by virtue of a General Assembly mandate, the de jure repository of sovereignty. It was therefore logical that the UN also certify the elections: Resolution 435 (1978) established UNTAG ìto ensure the early independence of Namibia through free elections under the supervision and control of the United Nations. In other words, certification was recognized as a legal process and the UN was given the practical means and the legal power ó including the power to block administrative processes if it was not satisfied with their appropriateness ó to credibly carry out certification. It is important to keep in mind both the singular legal status of Namibia at the time, as well as the uniquely explicit UNTAG mandate compared to the mandates of the other missions, when considering how the UN might carry out certification today. 16 At the time the report was written, the UN had only provided limited electoral support, most of which was in the context of decolonization.

63 EC and UNDP Framework, Lessons Learned and New Approach MODULE 1 In cases where the UN is requested to observe, monitor or certify elections, DPA/EAD would respond to the request and lead any ensuing effort. However, UNDP does at times help to coordinate and provide logistical support (normally through the establishment of a secretariat) to other international election observers (e.g., observers sponsored by member states, resident staff of the diplomatic missions present in the country, intergovernmental and NGOs) that together may comprise a Joint International Observer Group (JIOG). 17 UNDP has done this type of work in different ways, such as limited training and sensitization of observers drawn from the diplomatic corps (e.g., for the 2007 commune council elections in Cambodia) or technical support for the coordination of the different electoral observation missions ó for example, in 2006 in Ecuador, where UNDP performed this function for the OAS, Participación Ciudadana and the Qíellkaj Foundation. During the DRC electoral process in 2006, UNDP provided a financial pass-through mechanism for an elections observersí project implemented by UN Office for Project Services (UNOPS) and directly overseen by the national elections steering committee. At the request of the European Commission, UNDP also provides support to the implementation of some EU Election Observation Missions (EU EOMs) EU Election Observation: Background, Methodologies and Implementation The EU has been active in election observation since 1993, with observing elections in the Russian Federation. Following EC communication 181/2000, the Commission developed a standard methodology for election observation. This covers all phases of the election cycle: pre-election, election day, and immediate post-election. Since then, and with a total budget of over 90 million, 57 EU EOM and 10 special support missions have been deployed to countries in Africa, the Middle East, Central and South America and Asia, involving the participation of over 5,000 EC election observation experts and observers. The EU EOMs have achieved well-deserved success and visibility as well as significant political impact in the partner countries, thus showing a standard setting methodology and highly efficient operations. 63 EU election observation, in line with electoral commitments in international and regional instruments, is based on the principles of full coverage, impartiality, transparency and professionalism. EU election observers do not just serve in the election day but observe the whole process and thus also assess the state of democratic development in a given country at a particular point in time. 17 See also UN Declaration of Principles for International Election Observation and the Code of Conduct for International Election Observers, available at

64 MODULE 1 EC-UNDP-IDEA Joint Workshop on Effective Electoral Assistance EC and UNDP Framework, Lessons Learned and New Approach The aims of the EU EOMs are the following: ÕÕ ÕÕ ÕÕ ÕÕ ÕÕ provide independent, neutral and professional assessment of the election process enhance public confidence deter fraud, irregularities and intimidation contribute to conflict prevention and resolution recommend possible improvements EU election observation is based on the principles of full coverage, impartiality, transparency and professionalism. In order for the EU to set up an observation mission there must be firstly an invitation by the government or the election authorities of the country. It is a clear prerequisite for any observation activities. Secondly, a number of conditions should be met to assess whether deploying an EU EOM is advisable, useful and feasible. The minimum conditions which must be taken into consideration and can be summarized as follows: Franchise is generally universal. Political parties and individual candidates are able to take part in elections. There is freedom of expression and movement. There is reasonable access to the media for all. Local conditions (logistics, security etc.) do not hamper EU EOM accessibility. 64 The final decision is taken by the EC Commissioner of External Relations (RELEX). Once the EU EOM has been approved, an MoU detailing the rights of observers and the host government and the adequate cooperation between both parties has to be signed between the EC as well as the foreign ministry of the host country. An MoU with the UN must be signed where necessary Implementation arrangements The number of observers in each mission largely depends on the country size and the number of polling stations to be covered. The following are the various components of an EU EOM: The Chief Observer is present in the country during all key moments of the mission. The Core Team of experts, including Deputy Chief Observer is usually present in the country for two months to assess the election process. The Long Term Observers are usually deployed four weeks before election day and EC election observation remain after the election results are official to observe the resolution of electoral disputes. The Short Term Observers are usually deployed to observe polling day and the early counting of ballots and remain in the country only for a few days. The elections are assessed against electoral commitments in international and regional instruments and the host countryís national laws.

65 EC and UNDP Framework, Lessons Learned and New Approach MODULE 1 When assessing the validity of an election, EU EOM observers consider all the relevant factors that affect the electoral process, including, but not limited to ÕÕ the administration of the election and the degree of impartiality shown by the EMB; ÕÕ the campaign, in particular the fairness of access to state resources made available for the election and the degree of freedom of political parties, alliances and candidates to organize, move, assemble and express their views publicly; ÕÕ the media, in particular the degree of media independence and fairness of access for political parties, alliances and candidates to the (state) media; ÕÕ the registration of voters without discrimination on the basis of gender and racial or ethnic origin; ÕÕ the conduct of polling and counting of votes; ÕÕ the compliance of the electoral process with the legal framework; ÕÕ Complaints and appeals. An initial assessment of the pre-election period and the election(s) is presented by the Chief Observer in a press conference shortly after election day, usually within 48 hours after the election. This is probably the most important document issued by the EOM and also has a high visibility. The final report contains the EU EOMís final conclusions and recommendations regarding the whole electoral process. It is delivered after the EU EOM has closed its activities on the ground. This report gives guidance for electoral reform and possible future assistance. The significance of the observersí recommendations in shaping future electoral reforms and electoral assistance is growing. They often represent the basis for the establishment of the reform agenda (especially after the first and second generations of elections), as well as a platform for the international community to programme the next series of interventions to be discussed with the national authorities. Within EU electoral support, electoral assistance and election observation are always clearly distinguished and managed by different services so as to fully guarantee that no conflict of interest between assistance projects and the work of the EU EOMs 65 Figure 1.7: EU EOM Implementation timeline

66 MODULE 1 EC-UNDP-IDEA Joint Workshop on Effective Electoral Assistance EC and UNDP Framework, Lessons Learned and New Approach arise. It is important to establish even stronger synergies between the EU-funded electoral assistance and EU EOMs to ensure that the EC delegations and national authorities are equipped to follow up and formulate their intervention by taking those recommendations into account Network for Enhanced Electoral and Democratic Support The overall long-term objective of the NEEDS Project is to ensure that electoral observation has a real impact on the democratic development agenda pursued by the EU in beneficiary countries through targeted recommendations for electoral and democratic reforms. Another major expected output of the project is the establishment of significant synergies between electoral observation and electoral assistance in the long-term development strategies of EU external cooperation programs. The new three-year round of the NEEDS Project (NEEDS III), which is led by International IDEA in collaboration with IOM, Internews Europe, EISA and IIDH/CAPEL, 18 aims to enhance the quality and capacity of EU EOMs and domestic election observation in view of a systematic assessment of elections against international and regional obligations for genuine and democratic elections. The NEEDS Project will also contribute to enhance the skills of the EU observers and bring consistency in the overall selection and recruitment criteria for observation missions across all EU member states. 66 Building on the previous NEEDS, the NEEDS III Project intends, among other things, to contribute to the consolidation of a consistent methodology used by EU EOMs, in line with international and regional obligations and commitment for democratic elections (including links with electoral assistance); contribute to the development and promotion of strategies for the implementation of EU EOM recommendations and link them to electoral assistance activities of the postelectoral period in beneficiary countries; contribute to the democratic dialogue in third countries, through targeted support provided to domestic observers groups and other relevant CSOs, in particular with regard to their enhanced capacity to monitor elections and post-election institutional developments, and the possibility they offer to ensure effective follow-up and implementation of EU EOM recommendations in EU EOMs-targeted countries.; improve EU observersí capabilities, through development of a common EU approach in recruitment and training of observers, also through the development e-learning training modules and training platforms for EU election observers and domestic observer organizations. 18 Institute for Democracy and Electoral Assistance (IDEA), International Organisation for Migration (IOM), Electoral Institute of Southern Africa (EISA), Instituto Interamericano de Derechos Humanos (IIDH), Centro de Asesoría y Promoción Electoral (CAPEL).

67 EC and UNDP Framework, Lessons Learned and New Approach MODULE 1 Summary The overarching goals of electoral assistance are to enhance democratic development and promote human rights. The basic foundation for involvement in electoral assistance projects is (i) a request from recognized authorities and (ii) the existence of political will and commitment to organize and conduct credible elections in the requesting country. Subsequent to the fulfilment of these conditions, additional evaluations are carried out before the organizations determine whether to approve or reject a given assistance request. Electoral assistance covers a wide range of activities throughout the electoral cycle, such as support to the electoral administration, planning and budgeting, voter registration and the procurement of electoral materials, voter and civic education and training of officials, support to the compilation of results and legal advice during the drafting of electoral legislation/regulation. The context is crucial to electoral assistance strategies and activities thus emphasizing the importance of tailor-made electoral assistance programmes. In particular, post-conflict countries, transitional and more stable or developing democracies have different assistance needs. Building on lessons learned in the field, there is a general trend towards long-term capacity-building. 67 The UN does not observe elections unless specifically mandated by the General Assembly or the Security Council. Summary Election observation is for the EU the political complement to electoral assistance. Its main goals are to contribute to the legitimization of an electoral process and the related enhancement of public confidence in it, to strengthening of respect for human rights generally and to deter fraud, irregularities and intimidation more specifically, to contribute to conflict prevention and resolution, and to recommend possible improvements. The NEEDS project aims to enhance the quality and capacity of EU EOMs and domestic election observation in view of a systematic assessment of elections against international and regional obligations for genuine and democratic elections.

68 MODULE 1 EC-UNDP-IDEA Joint Workshop on Effective Electoral Assistance EC and UNDP Framework, Lessons Learned and New Approach Quiz 1. What is the primary objective for UN electoral assistance? ОО To foster the creation of a strong, professional and independent EMB and related public institutions or to enhance the independence and credibility of such where they already exist ОО To provide economic assistance and expertise in setting up the budget for the technical operation of the election process ОО To control the tabulation of results and to handle complaints and appeals in order to bestow legitimacy upon election results and enhance independent management of election-related enquiries ОО To foster the participation of people living outside the country borders in elections ОО To ensure a professional and independent media 2. What is the basic requirement for the EC and UNDP to be able to provide electoral assistance? ОО A request from recognized authorities and the existence of a political will and commitment to hold genuine and credible elections ОО An independent EMB and the existence of a budget ОО That elections are organized for the first time, either after a democratic break down or a conflict situation Who makes the final decision upon requests for UN electoral assistance? ОО The NAM ОО The EAD ОО The Under-Secretary General for the DPA (the UN Focal Point for electoral assistance activities) ОО The UNDP CO 4. Which of the following is NOT a criterion for EU electoral assistance involvement: ОО Adequate time-frame for preparation ОО Freedom of movement ОО Access to main actors ОО Financial independence of EMBs ОО The existence of complementary national funds (except in post-conflict settings) ОО A general agreement among the stakeholders to the assistance project Quiz What is correct as regards UN and election observation? ОО The UN does not observe elections ОО The UN does not observe elections unless specifically mandated by the General Assembly or the Security Council ОО On the basis of the NAM, the Focal Point for electoral assistance activities makes decisions as to whether the UN shall be involved in observation missions ОО The UN deploy only long-term observers What are the basic principles of EU election observation? ОО Full coverage ОО Impartiality ОО Transparency ОО Professionalism ОО All of the above

69 EC and UNDP Framework, Lessons Learned and New Approach MODULE Who of the below does not play a role in conduct of EUís election observation missions? ОО Chief observer ОО Core team of experts ОО Needs Assessment advisors ОО Long-term observers ОО Short-term observers What is the primary task of the UN NAM? ОО To determine whether or not to provide electoral assistance ОО To analyse the needs of and provide assistance to political parties throughout a given election campaign period ОО To assist in determining the overall requirements in the requesting country It has been said that post-conflict settings require substantial financial contribution for the conduct of the first election. Why is this? ОО Because it entails the first voter registration exercise ОО There is a substantial need for civic and voter education ОО There is a substantial need for training of inexperienced staff ОО Because extra security is required, both for people and material ОО All of the above 10. ECís New Operational Approach aims to tackle some of the challenges faced in earlier projects with particular reference to the lateness of identification and formulation, the absence of a strategic approach, implementation through common pool funding and limited focus on monitoring and evaluation. Which of the following targets is NOT part of ECís New Operational Approach? ОО Increased focus on early programming and long-term strategies ОО Increased attention towards to the inter-election and post-election phases ОО To support EMBs in introducing ICTs at the latest stage of the pre-electoral period ОО To increase collaboration with other players in the field of electoral assistance ОО All of the above The mandate of an election observer is ОО to gather information and make an informed judgment without interfering in the process ОО to observe the electoral process and to intervene if laws are being violated ОО to certify the validity of the electoral process Quiz The mandate of election supervisor is ОО to gather information and make an informed judgment without interfering in the process ОО to observe the electoral process and to intervene if laws are being violated ОО to certify the validity of the electoral process How does EC perceive the relationship between electoral assistance and election observation? ОО As two important components of EC electoral support: assistance and observation advances synergy effects and thereby promotes good governance

70 MODULE 1 EC-UNDP-IDEA Joint Workshop on Effective Electoral Assistance EC and UNDP Framework, Lessons Learned and New Approach ОО ОО Electoral assistance and election observation activities are separate entities of development assistance that should never be mixed Electoral assistance and observation is one thing ó there is no conceptual distinction between assistance and observation 14. What is right when it comes to EC electoral assistance and election observation? ОО Electoral assistance and election observation must always take place in combination ó there can be no assistance without observation and no observation without assistance ОО Electoral assistance can be provided without being followed by observation and observation can take place without having been preceded by an assistance project ОО Elections ó both in democratizing states and established democracies ó should always be supported with electoral assistance and election observation from the EC 15. Following the EC Communication 181/2000, the EC developed a standard methodology for election observation. This covers ОО the pre-election period and the election day ОО the pre-election, election day and immediate post-election periods ОО the whole electoral cycle EU election observation missions have several aims. Which of the below does NOT belong to the list? ОО To contribute to the legitimatization of the electoral process (whenever appropriate) ОО To enhance public confidence in the elections ОО To strengthen the respects for human rights ОО To deter fraud, irregularities and intimidation ОО To enhance women participation and election ОО To contribute to conflict prevention and resolution 17. The final report from the EU EOM is delivered after the EU EOM has closed its activities on the ground and ОО provides final conclusions and recommendations regarding the whole electoral process ОО gives guidance for electoral reform and possible future assistance ОО both of the above Quiz 18. When are the recommendations provided by the EC EOMs particularly useful? ОО During the pre-electoral period ОО During the electoral period ОО During the post-electoral period Right answers: 1=a, 2=a, 3=c, 4=d, 5=b, 6=e, 7=c, 8=c, 9=e, 10=e, 11=a, 12=c, 13=a, 14=b, 15=b, 16=e, 17=c, 18=c

71 EC and UNDP Framework, Lessons Learned and New Approach MODULE 1 Print and Online Resources Print and Online Resources Core Reading UNDP Electoral Assistance Implementation Guide Implementation-Guide.pdf - Introduction (pages 1-8) - Chapter 1: The Assessment Process (pages 9-20) EC Methodological Guide on Electoral Assistance documents/election-assistance-methodological-guide_en.pdf - Chapter 1: Policy and Strategic Framework (pages 11-27) - Chapter 2: EC Electoral Assistance: Retrospective and Perspective (pages 28-33) ACE Focus On Effective Electoral Assistance (pages 15-17) The EC-UNDP Partnership on Electoral Assistance Web site - EU-EC approach: php?option=com_content&task=view&id=40&itemid=71 - UN-UNDP approach: php?option=com_content&task=view&id=42&itemid=73 - Projec ts: php?option=com_content&task=view&id=15&itemid=30 - Electoral cycle approach: =16&Itemid=31 UN/UNDP Charter of the United Nations (1945) Department of Political Affairs of the United Nations Secretariat and the United Nation Development Programme: Note of Guidance on Electoral Assistance (2001) UN Declaration of Principles for International Election Observers and Code of Conduct for International Electin Observers docs/code_conduct_en.pdf UNDP and Electoral Assistance: 10 Years of Experience UNDP Electoral Assistance Implementation Guide (2007) Implementation-Guide.pdf UNDP Essentials on Electoral Assistance (2003) ElectoralAssistance.pdf New Note of Guidance (2010) 71

72 UNDP New Note of Guidance on Electoral Assistance (2010) (available in printed version only) EU/EC Communication from the Commission on EU Election Assistance and Observation (2000) EC Handbook for European Union Election Observation (2008) docs/handbook_en.pdf EC Methodological Guideline on Electoral Assistance (2006) election-assistance-methodological-guide_en.pdf Print and Online Resources International IDEA Effective Electoral Assistance: Moving from Event-Based Support to Process Support (2006) IDEA Electoral Management Design Handbook (2006) ACE Electoral Knowledge Network Focus on Effective Electoral Assistance: Other The Universal Declaration of Human Rights (1948)

73 2. Activities in Support of Electoral Cycles

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75 About the Training Learning objectives To become familiar with the main stakeholders of electoral processes To appreciate the cross cutting issues of participation and access To understand the different steps of the electoral cycle and identify activities likely to be implemented in support of its different phases To appreciate the difference between different electoral systems To understand the role and structure of electoral management bodies and the importance of professionalisation To get an understanding of strategic planning, civic and voter education, voter registration, domestic observation, media monitoring, assistance to political parties, voting operations, external voting, management of results and related electoral assistance support activities 75 MODULE Access and Participation Recipients and Stakeholders The stakeholders of electoral processes are those individuals, groups and organizations that have an interest or ëstakeí in the operations and results of elections. Some of those stakeholders are also recipients of electoral assistance. Stakeholders trust in electoral processes and institutions is crucial for the success of electoral activities. Fostering this trust, with the aim of ensuring the support of stakeholders in the electoral Page 15 Page processes and in those institutions managing elections,, is important for the overall confidence and credibility of an electoral event and the process as a whole. Supporting a genuine and open dialogue with and among stakeholders and promoting good relations can contribute to the increase of confidence and trust among stakeholders and trust in electoral processes and institutions. 75

76 MODULE 2 EC-UNDP-IDEA Joint Workshop on Effective Electoral Assistance Activities in Support of Electoral Cycles There are a number of basic actions that can be taken to maintain good relationships with and among electoral stakeholders, most of which electoral assistance providers can foster and support. These include fostering open communication and regular consultation with and among stakeholders; being sensitive to stakeholder needs and concerns; seriously considering stakeholder views when making decisions; treating stakeholders equitably; maintaining the highest standards of ethics, respect for human rights, impartiality and care in relationships with stakeholders. Figure 2.1: Recipients & Stakeholders 76 It is advisable for electoral assistance providers to develop an operational culture that makes electoral assistance responsive to the expectations and needs of its stakeholders and recipients. This is best done through assessment, open dialogue and regular consultation Electoral Management Bodies Electoral management bodies (EMBs) ó the institutions/authorities responsible for the conduct of elections ó are the main recipient of assistance where electoral assistance is provided. The assistance to EMBs can be grouped in four categories: funding of electoral operations technical advice training procurement of materials EMBs are the main recipient of assistance In some cases, the assistance provided to EMBs can encompass all four categories. The EMB can also be a significant stakeholder in many electoral projects targeting civil society. As the institution that organizes and conducts elections, it is important for an EMB to foster close cooperation with other stakeholders in order to ensure their support for its policies and programmes. Unless the EMB makes a genuine effort to create and sustain sound relations with its stakeholders, there are likely to be misunderstandings and suspicions about its activities, which may ultimately generate lack of public confidence and trust in the electoral process. For this reason it is important for electoral assistance providers to always consider ways of supporting an EMB with the aim of increasing its professionalism, transparency and the trust and credibility that it enjoys from key stakeholders.

77 Activities in Support of Electoral Cycles MODULE Political entities Political parties, candidates and coalitions are essential components of any electoral process. Despite the importance of including them as beneficiary groups in standard electoral assistance projects, it is difficult to persuade development agencies representatives and assistance providers to always include them for their obvious direct involvement/interest in the process and its outcome. Political parties are often perceived as a sort of counterpart to the other categories of stakeholders Civil society organizations Civil society organisations (CSOs) and non-governmental organisations (NGOs) are often the recipients of electoral assistance projects, and should always feature as project stakeholders. CSOs or NGOs are the privileged conduit to disseminate voter information and promulgate civic education at a grass-roots level or to target groups which may not be covered by the general public campaign. Donors often like to support civic education projects which are run by CSOs and NGOs as it is an area which is often neglected by the national authorities. Furthermore, such projects offer the donors the opportunity to support the electoral process without being seen as supporting government or biased EMBs. A small NGO might also be targeted as a recipient of technical assistance projects before it qualifies to conduct civic education or voter information activities. Often a specific training on electoral procedures will enhance accuracy and consistency of the sensitisation exercises sponsored Domestic observer groups 77 Domestic observer groups are essential to enhance the transparency and integrity of the electoral process. They fulfil a very specific and important function in the electoral cycle as they can cover the entire spectrum of the electoral activities more extensively than any international observer group. One of the goals of international observation is in fact to become progressively redundant and leave the observation duties in established democracies to regional and national groups Media Media play a very influential role in any electoral event and need to be monitored and supported in equal measure. Freedom of speech and equal access to media are cornerstones of any meaningful democratic process. Without the guarantee of these civil and political rights the conditions for a credible election will be compromised Other actors There are a number of national institutions, so far not mentioned, that can be involved in electoral assistance programmes, depending on the activities to be implemented and the kind of aid delivery method chosen. Typically, the ministries of planning and the interior are involved in the electoral logistic operations, while the ministries of finance and foreign affairs are counterparts in the case of financial support and procurement actions funded with external funds but carried out according to the countriesí national rules. Security forces can also be called in to support lo- 19 A Guide to Civil Society Organisations Working on Democratic Governance, available at GOV_Booklet.pdf.

78 MODULE 2 EC-UNDP-IDEA Joint Workshop on Effective Electoral Assistance Activities in Support of Electoral Cycles gistics and security of materials as well as polling and counting centres. In post-conflict environments, the police and to some extent the army, are also likely to play an important role securing the elections and improving public confidence in the likely peacefulness of the exercise. Other subjects of potential support include media regulatory agencies and in certain cases the judiciary, when the support is directed to media development or to electoral complaint bodies. The legislature (parliament) may also be considered suitable for electoral assistance support in relation to the production or revision of electoral laws. A ministry of education can be involved in authorizing, implementing and monitoring civic and voter education in schools, and decentralized state institutions can also be involved in electoral operations, thus deserving attention in assistance programmes Equal Access and Participation The issue of equal access and the protection of civil and political rights of disadvantaged or marginalized groups, such as women, disabled persons, elderly, prisoners and political or ethnic minorities, remains a largely neglected activity during the implementation of electoral assistance programmes. The time constraints so typical of event-driven assistance projects are mainly to be blamed for this neglect, but this also reflects an inability from the providers of assistance to implement effective measures for disadvantaged groups. 20 Page The main challenges facing marginalized groups are the following: ÕÕ needs omitted ÕÕ lack of funds ÕÕ low-priority issue ÕÕ no resources for specialist NGOs This set of issues encompasses all the various components and stages of the electoral cycle and all electoral processes should give adequate consideration to the issue of equal access and to effective implementation and measures, and should not focus only on the legal framework. The starting point is that the legal framework explicitly guarantees equal rights for women and minorities, including civil, political and electoral rights. The aim should be to facilitate equal rights, and to achieve the participation of all disadvantaged groups in activities such as voter registration (including the ability to register and vote close to where they reside); adequate representation in political parties and on party lists; allocation of seats (quotas) in national parliaments and local chambers; participation to political gatherings, access to media, security and freedom of movement, opportunity to work in the election administration and not only as polling station staff; inclusion in voter information or targeted civic education campaigns; respect of the secrecy of the individual vote; removal of architectural barriers to all the above-mentioned activities. 20 See also UNDP and Access to Information, available at

79 Activities in Support of Electoral Cycles MODULE Participation of women in the electoral process Among the various equal access issues, gender-related themes remain extremely relevant politically and numerically preponderant. Mainstreaming them in electoral assistance projects requires time and dedicated resources. It is highly unlikely that short-term projects could address these issues properly, apart from last minute arrangements to open special polling stations or to disseminate specific posters targeting women. In order to achieve any meaningful result, there are at least three areas that deserve prior study and analysis that must be followed by initiatives to be put in place. 21 Women participation in election, Sierra Leone Possible areas of intervention regarding the participation of women in the electoral process are (1) political participation, (2) number of women in election administration, and (3) access to voter information and education. A first area of intervention includes political participation themes, starting from the assessment of the percentage of previously elected women candidates, to their access to political partiesí nomination mechanisms, and then expanding a possible review of the legal framework to facilitate the participation of women (for instance consideration of specific provisions such as quota systems). It has to be remembered that political participation goes beyond parties. Women are often active in civil society, and this can act as a stepping stone for their participation in the political process. The media and the trade unions can provide avenues for womenís political participation and are also good in allowing women to cut their political teeth. 79 A second area of intervention is directed at assessing the preparedness and the quantity of women working in the electoral administration, reviewing recruitment policy and selection criteria of the institution and assessing the capacity or eventual limitations for women applicants to respond to applications. This will form the basis for decisions as to whether targeted training or access courses are required. A third area of activity is access to voter information and education. An assessment of the media landscape and partiesí information campaigns could assess what messages are likely to enhance womenís knowledge of, and participation in, the electoral process and where and how women are prone to get the information they need to make their choices. Studies of womenís participation based on previous registration and voter turnout in different areas could be the platform upon which to provide specific support to womenís groups or NGOs with a specific focus on informing, educating and supporting women See IDEA publications series The Implementation of Quotas, available at IDEA Designing for Equality, available at Electoral Financing to Advance Womenís Political Participation: A Guide for UNDP Support, available at download&gid=56&itemid, Womenís Political Participation and Good Governance: 21st Century Challenges, available at governance/docs/gender-pub-21stcentury.pdf, and DPKO/DFS-DPA Joint Guidelines on Enhancing the Role of Women in Post-Conflict Electoral Processes, available at 22 See IDEA Voter Turnout since 1945, a Global Report, available at

80 MODULE 2 EC-UNDP-IDEA Joint Workshop on Effective Electoral Assistance Activities in Support of Electoral Cycles Page In these three different areas, there are additional factors that strongly influence all the aspects mentioned above and that need to be taken into account, either by the EMB or by CSOs. Typical examples are literacy levels and education (level of knowledge of their political and civil rights, reluctance of women to vote for other women), freedom of movement and security (ability to leave the house/family for meetings, political or social intimidation), and financial independency (where and how to obtain the resources to stand as a candidate, and how to ensure security for their families in this process) People with disabilities Extending the right to vote to citizens with disabilities is an emerging area for assistance. Following are some considerations regarding access by the disabled: 80 The existing legal framework should be reviewed for potentially discriminating regulations. Efforts should be made to determine how such regulations can potentially be defused or eliminated. Disability access should be mainstreamed into the electoral process as much as is feasible, including in areas such as voter and civic education. Electoral authorities may need assistance in identifying specific strategies to enfranchise voters with disabilities. There may be opportunities to partner with and engage organizations involved in advocacy for the disabled to seek their inputs on different areas of the electoral process. The needs of the disabled should be considered in the process of selection of polling places. Guidelines for officials at polling places should include instructions on how to extend special help to elderly, hospitalized and disabled voters. If feasible, efforts may be made to provide tactile ballot paper templates so the blind can vote in secret. In addition, consideration could be given to providing training or voter education materials in Braille or through deaf signers. Efforts to develop the capacity of disabled people s organizations may be supported to strengthen demands for inclusion in the development of government and political party policies. 2.2 Legal Framework of Elections Page The foundation of every democracy lies in its constitution and in the legal-institutional framework that governs the electoral process. Support projects in this field might represent a very delicate and rather intrusive form of assistance, but are often fundamental to breaking a deadlock or starting the democratic development process. In particular, it is crucial to define the basic rules of the democratic game where there is a change of regime or a new state emerging from the breakup of a previous larger entity. 23 Over the last 10 years, there have been several cases where international institutions were clearly mandated through peace agreements (Bosnia, Kosovo) or other types of negotiated 23 See also International Electoral Standards: Guidelines for Reviewing the Legal Framework of Elections, available at publications/ies/index.cfm and ACE Electoral Knowledge Network:

81 Activities in Support of Electoral Cycles MODULE 2 accords to directly shape the constitutional and legal set up of newly formed states or newly emerging democracies. In Afghanistan, Cambodia, Iraq, Mozambique, Timor Leste and other cases, electoral assistance and general legal reform programmes provided less visible but significant legal advice to the legislative bodies and to the electoral administration to change and modify their constitutional and legal framework. The main danger associated with this type of assistance is related to the possible allegations of partiality in the case of reforms perceived as being in support of a particular party, or by the attempt of importing reforms whose rationale lies in the constitutional arrangements and electoral systems of mature western democracies rather than the particular characteristics and special needs of the beneficiary country in question. Electoral support activities in this area might include the drafting of constitutional provisions and enacting of temporary constitutions and reform of electoral legislation embracing topical issues such as the system of representation; the electoral authority; voter eligibility rules; boundary delimitation; competencies and functions of electoral tribunals; complaints bodies. In addition, it is more and more frequent that this support might entail advice on the drafting of political party laws; political finance laws and audit regulations for political partiesí expenditure; media laws and public administration laws. 81 In post-conflict scenarios, it is of vital importance that a legal framework or a new constitution is not imposed on the basis of internationally driven agendas but that it is built upon domestic consensus and consultation with all relevant stakeholders. The citizens should also have access to information about the process and a chance to be heard, by means of referenda and in other ways Electoral Systems The electoral system determines how votes cast in an election are translated into seats won. Owing to the wide implications electoral systems have on future democratic developments - in particular with respect to fair representation, effective government, party development and the linkages between voters and representatives, but also because the electoral system may be decisive to the final electoral outcome in terms of who wins an election- the choice of electoral system has been described as ìone of the most important institutional decisions for any democracy See Electoral System Design: the International IDEA Handbook, available at and UNDP and Electoral Systems and Processes:

82 MODULE 2 EC-UNDP-IDEA Joint Workshop on Effective Electoral Assistance Activities in Support of Electoral Cycles While in the past the choice of the electoral system was often the result of a combination of circumstances, in more recent years there has been a clear movement towards more conscious electoral design and towards developing consensus on the system to be adopted. The relevance of such an approach has become clearer to many emerging democracies which often inherited or adopted the electoral system of their former colonizer or powerful neighbours Key components and types of electoral systems 82 The key variables of electoral systems are i) the electoral formula used; ii) the ballot structure; and iii) the district magnitude The key variables of electoral systems are the electoral formula used (e.g., whether a plurality/majority, proportional, mixed or other system is used, and what mathematical formula is used to calculate the seat allocation), the ballot structure (e.g., whether the voter votes for a candidate or a party and whether the voter makes a single choice or expresses a series of preferences) and the district magnitude (not how many voters live in a district, but how many representatives to the legislature that district elects). Other elements are fixed thresholds of representation (a specified minimum of support needed for a party to win seats) and tier structure (single versus multiple levels from where representatives are elected as well as the type of connection, if any, between multiple tiers). Based on these components, there are countless variations and different combinations. The main electoral systems that have been used in the world are displayed in Figure 2.2. Three broad families can be identified: proportional representation systems plurality-majority systems mixed systems Figure 2.2: The electoral system family FPTP: First Past the Post, TRS: Two-Round System, AV: Alternative Vote, BV: Block Vote, PBV: Party Block Vote, PARALLEL: Parallel System, MMP: Mixed Member Proportional, LIST PR: List Proportional Representation, STV: Single Transferable Vote, SNTV: Single Non-Transferable Vote, LV: Limited Vote, BC: Modified Borda Count.

83 Activities in Support of Electoral Cycles MODULE 2 Electoral systems differ when it comes to their main advantages and disadvantages. In general terms, proportional systems tend to ensure the highest possible correspondence between a partyís share of valid votes and the seats assigned to it but limit the chances for the creation of close linkages between voters and representatives. Plurality-majority systems tend to ensure that the highest vote winner has the possibility to govern and to advance voter-representative relations, but, on the other side, these systems are inclined to compromise fair representation. Finally, mixed systems have been praised (and criticized) for combining the pros (and cons) of the other two families. The way in which electoral systems work varies from context to context. Thus, electoral system designers have to evaluate the advantages and disadvantages of the different system and especially the trade-offs between the pros and cons played out within the specific circumstances in question when one system is chosen over another. Consequently, there is no such thing as a perfect electoral system ó it all depends on the socio-economic and political situation of each and every country. There is no such thing as a perfect electoral system - it all depends on the socio-economic and political situation of each and every country Electoral system choice and electoral system reform The way in which an electoral system is chosen and reformed may affect not only the well-being of the democracy, but many also determine who will win or lose future elections. As the electoral system finally come about as a political compromise, whereby the politicians themselves determine how they will be elected, the choice is destined to be an object of both the self-interest of politicians and political parties (in particular the ruling party) on the one side and their genuine interest in promoting democratic governance on the other. Any new democracy must choose (or inherit) an electoral system to elect its representatives. Equally, political crisis within an established democracy may lead to momentum for electoral system change, and even without political crisis, campaigners for political reform may attempt to put electoral system change onto the political agenda. In post-conflict settings, the electoral system chosen is almost always the result of a compromise reached to satisfy opposing interests and it is frequently the case that after one or two electoral cycles the shortcomings of the system chosen becomes apparent, requiring reforms and adjustments. Electoral system choice is a fundamentally political process, rather than a question to which independent technical experts can produce a single correct answer. 83 As a post-conflict country stabilizes, it is important that adequate attention is paid to changing elements of the electoral system in a manner that could accompany and facilitate rather than hamper democratic development. The need to change or modify the electoral system often clashes with the interests of the groups in power. In this context, mediation and the guarantor role played by the international community could be fundamental to reaching a compromise among the parties that further democratic development. Whilst whole-scale electoral system reforms remains infrequent, electoral systems in use are often subject to modifications. Whether large-scale change or minor modification, it is important to note that electoral system change may affect other areas of electoral laws: the choice of electoral system influences the way in which district boundaries are drawn, how voters are registered, the design of ballot papers, how votes are counted, and numerous other aspects of the electoral process.

84 MODULE 2 EC-UNDP-IDEA Joint Workshop on Effective Electoral Assistance Activities in Support of Electoral Cycles The choice of an electoral system is a fundamentally political process, rather than a question to which independent technical experts can produce a single ëcorrect answerí. In fact, the consideration of political advantage is almost always a factor in the choice of electoral systems ó sometimes it is the only consideration ó while the menu of available electoral system choices is often, in reality, a relatively constrained one. Equally, however, calculations of short-term political interest can often obscure the longer term consequences of a particular electoral system and the interests of the wider political system Electoral Management After the cold war, the conduct of democratic elections started to be seen as a central element of transitions from authoritarianism, and they came to be more closely scrutinized by political parties, the media and international and domestic election observers than ever before. 84 With the increasingly critical attention of the media and election observers, and by the emergence of global and regional organisations promoting democracy, it became clear that electoral administration and existing procedures required a rethink. As scrutiny of elections increased, it also became clear that there was not only a lack of knowledge in the technical know-how to manage elections, but also a credibility gap for many electoral institutions and a diminished public confidence in the integrity and diligence of their activities. Reform and professionalization of the machinery for organizing and administering electoral events have become increasingly important since then, and the main trend has been to move towards the establishment of autonomous EMBs with wide-ranging powers and responsibilities. These efforts have aimed towards the delivery of higher-quality and efficient electoral services while concurrently enhancing the freeness and fairness of electoral events. As was the case for electoral systems, many electoral management structures have been established as a result of influential colonial powers and neighbours, but in many cases they are also the consequence of an existing system of state administration. Today it is recognized that some systems may be more or less appropriate than others and that the form of the EMB should preferably be the result of a holistic and contextualised design process. Electoral Management Body is the term currently in use to describe the authority mandated in a given country to organize and conduct electoral processes. EMBs are legally responsible for managing one or more of the following elements for the conduct of elections, and of direct democracy instruments. 25 These elements include determining votersí eligibility; political parties and candidates registration and verification process; conducting polling; counting and tabulating votes. If these elements are allocated to various bodies, then all bodies which have a share of these elements can be considered as EMBs. As was elegantly put by Rafael López-Pintor at the Global Practice Meeting in Manila 2004: In the case of direct democracy, instruments such as referenda, citizensí initiatives, and recall votes are part of the legal framework. The EMB is legally responsible for their conduct and organization. 26 See also Electoral Management Bodies as Institutions of Governance, available at pdf.

85 Activities in Support of Electoral Cycles MODULE 2 The complexity of electoral management and the specialist skills which it requires necessitates the designation of an institution or institutions to take responsibility for electoral activities. Such bodies come in various shapes and sizes, with a wide range of titles to match, including, ëelection Commissioní, ëdepartment of Electionsí, ëelectoral Councilí, ëelection Unití, and ëelectoral Boardí. The terms ëelectoral management bodyí or EMB have been coined to refer to the body or bodies responsible for electoral management, whatever wider institutional framework is in place. In addition to the above mentioned elements, an EMB may undertake other electoral tasks, such as FF identification and registration of voters; FF conducting voter information/education; FF delimitation of electoral district boundaries; F F development and maintenance of a national electoral register; FF registration of political parties; FF regulation of financing of political parties; FF regulating the conduct of political parties and candidates; FF regulating the conduct of the media during elections; FF accreditation and regulation of the conduct of election observers; FF announcement and certification of election results; F F adjudication of electoral disputes; FF advising the government and legislature on electoral reform issues; FF participating in international electoral assistance services. A body that only undertakes ëadditionalí electoral tasks, such as voter and civic education or dispute resolution, cannot by this definition be considered an EMB. For example, a national population or statistics bureau which produces electoral registers as part of the general process of population registration is not considered to be an EMB. Where electoral functions are assigned in the legal framework to more than one EMB, or when ëadditionalí electoral tasks are delegated to institutions separate from the EMB, the legal and policy framework needs to be very clear on each institutionís functional responsibilities. 85 Figure 2.3: The three models of electoral management

86 MODULE 2 EC-UNDP-IDEA Joint Workshop on Effective Electoral Assistance Activities in Support of Electoral Cycles While there are many variations of detail, there are three broad types or models of EMB: independent governmental mixed A key characteristic of an independent model EMB is that it is institutionally independent from the executive branch of government. A governmental model EMB, on the other hand, is part of and accountable to the executive branch of government. Mixed model EMBs typically consist of a component similar to the independent model, with varying policy and/or monitoring powers, and an implementation component similar to the governmental model. There are many types of EMBs within the three broad models and each of them has its distinctive attributes and behaviour. EMBs may for example be permanent or temporary, and may be centralised or decentralized to varying degrees. Each structure has its advantages and disadvantages that need to be carefully assessed according to the particular countryís conditions EMB independence It is important to have in mind that the issue of independence is a hotly debated issue. In the context of electoral management the term embraces two different concepts: Structural independence: The structural independence of an EMB is measured in relation to the extent to which it is independent from the executive branch of government. This is a formal independence that can only be found in the constitution or the electoral law. Structural independence is therefore closely related to the independent EMB model. 2. Fearless (or behavioural) independence: Fearless independence refers to the degree to which EMB decisions and actions are not influenced by governmental, political and partisan interests. This normative type of independence is expected of all EMB models. Other factors influencing EMB behaviour and independence of decision and action are the way in which commissioners are selected and appointed; status and qualifications of commissioners; strength and unity of leadership; political commitment to allow the EMB to act freely and impartially; sources of funding and EMBs possibilities to manage funds; the range of powers and functions given to an EMB; recruitment procedures, qualifications and responsibilities of senior staff; security of tenure of commissioners and their terms of office; the oversight and accountability framework; level of transparency; whether the EMB has a legal personality and is thus able to sue and be sued.

87 Activities in Support of Electoral Cycles MODULE 2 No matter what model is used or what the attributes are, all EMBs need to follow the following guiding principles: ÕÕ ÕÕ ÕÕ Independence Impartiality Integrity ÕÕ ÕÕ ÕÕ Transparency Efficiency Service-mindedness The guiding principles form the basis of electoral administration and are essential to ensure both the actual and the perceived integrity of the electoral process. Sometimes the guiding principles are more fully achieved under an independent EMB model than by other models, and for this reason independent EMB model has become increasingly popular EMB budgeting There are two main approaches to EMB budgeting: Baseline budgeting takes as its basis the last funding periodís allocation and simply adjusts for the next period. A number of factors have been put forward arguing that this approach is less effective or even inappropriate because: As EMB tasks varies greatly from one year to another, depending on the electoral cycle, the previous funding period may not be adequate to predict the preceding period. Basing budgets on elections taking place three, four or five years Baseline budgeting takes as earlier runs the risk of failing to take into account environmental and technological changes, inflation and the like. The changing nature of electoral processes creates new tasks and its basis the last new costs which may be difficult to estimate on the basis of past funding period s allocation, needs. Owing to new technologies in the field of voter registration, inwhile zeroformation communication and management systems, voting and result transmission, costs are likely to vary substantially from one base budgeting treats each election to another. By changing EMB working methods, new technologies may increase costs in some fields while reducing them in funding period as a clean others. Notwithstanding these considerations, many EMBs still use the baseline budgeting approach because EMB budgeting tends to reflect that of the public slate. sector in the country. 87 Zero-based budgeting treats each funding period as a clean slate and estimates funds required to achieve the strategic planís objectives for that period. Thus, zero-based budgeting recognizes that circumstances ó and costs ó change from funding period to funding period and from one election to another. Moreover, it encourages a ìprogrammeî or ìperformanceî approach to budgets whereby costs are linked to specific output targets such as ballot paper printing and distribution, staff training and/or information programmes for political parties. This orientation towards

88 MODULE 2 EC-UNDP-IDEA Joint Workshop on Effective Electoral Assistance Activities in Support of Electoral Cycles output greatly improves election cost effectiveness. By requiring all divisions within the EMB to put up their own individual work plans tailored to the EMB strategic goals, the zero-based approach makes it easier to determine how effectively funds have been expended and thereby contribute to the overall accountability for the EMB. With respect to EMB funding control, there is a distinction between situations where A. EMB expenditure and cash flows are controlled by a government ministry; B. EMBs are themselves in control over their own payments. In emerging countries, government financial control may lead to delays in disbursement which can create major problems in the administration of the election. Funding delays may contribute to the hold-up of vital decisions, to insufficient time for high-probity tender processes, to organize for acceptable quality goods, to disruptions to supply, late staff payments and the like. Besides leading to faster payment processes, financial control within the EMB itself enhances its credibility as being independent of the government. However, it also places additional workloads on EMBs in terms of control on the EMB to ensure that payments are made correctly, on time, and to the highest standards of probity. The transferring of financial control to EMBs requires that EMBs are equipped with sufficient resources, skills and control systems including internal and external auditing systems Support and assistance to EMBs Electoral activities are often concentrated to a single Central Election Commission or other body responsible for managing elections. Electoral assistance provided to an EMB will depend on the scope of its powers and responsibilities, but could encompass support to any of the following: voter registration capacity development of staff strategic planning procurement voter information and civic education setting up a media centre logistics and operational activities dispute resolution revision of electoral laws and regulations boundary delimitation Boundary Delimitation The term boundary delimitation usually refers to the process of drawing electoral district boundaries. However, it can also be used to denote the process of drawing voting areas (also called polling areas, districts or election precincts) for the purposes of assigning voters to polling places. The term has also been employed to describe the process of demarcating administrative boundaries such as state, county or municipality lines See also ACE Electoral Knowledge Network:

89 Activities in Support of Electoral Cycles MODULE 2 The periodic delimitation of electoral boundaries, or redistricting, is necessary in any representative system where single-member districts or uniformly small multimember districts are used. If electoral boundaries are not periodically adjusted, population inequities develop across districts. Adjusting district boundaries can have major consequences not only for the legislators who represent the districts, but also for the individual and community constituents of the districts. Ultimately, election results and the composition of the legislature are affected by the selection of district boundaries. But the importance of the redistricting process is seldom recognized outside of political circles. Since electoral systems that feature districts often produce disproportional election outcomes, it is essential that the delimitation process be considered fair if the result is to be deemed legitimate by stakeholders and voters. This means that the criteria for the delimitation process should be preset and as transparent as possible, with the methodology and guidelines clearly established and publicized in advance. Incorporating public hearings into the process to allow stakeholders to offer comments for the boundary authority to consider is also important. Electoral boundaries should not be drawn in a manner that discriminates against any particular minority group. For example, dividing a geographically concentrated minority group among several electoral districts so that the group constitutes a minority of the voters in every single electoral district should be prohibited. Of course, electoral systems that rely exclusively on single-member districts cannot guarantee even a minimal percentage of seats for minority groups or minority political parties in the population. However, this fact should not open the door to active discrimination against a given minority group. Due to the fact that delimitation, or redistricting, practices vary greatly around the world, there are few universal principles to guide the delimitation process. Countries disagree on fundamental issues, such as how impartial and independent the process can and should be from the legislative and political concerns. But there are several generally accepted principles: 89 ÕÕ ÕÕ ÕÕ ÕÕ ÕÕ representativeness equality of voting strength independent, impartial boundary authority (or, at a minimum, reciprocity) transparency non-discrimination Structure and rules for delimiting electoral districts Countries that delimit districts must establish a formal structure and a set of rules for carrying out the delimitation process. Because different sets of districts can produce different election outcomes, even if the underlying vote patterns remain constant, the choice of delimitation practices is important. Electoral legislation outlining the formal structure and rules for delimitation should address the following issues: Who will draw the district lines or boundaries? Should it be the EMB or a separate authority? Who will have the ultimate responsibility for selecting the final districting plan? Should the persons who draw the districts be independent from the legislature? Should the boundary authority be politically neutral?

90 MODULE 2 EC-UNDP-IDEA Joint Workshop on Effective Electoral Assistance Activities in Support of Electoral Cycles Should the legislature have any formal role at all in the process? Should some mechanism exist for public input into the process? Should criteria be adopted for the line drawers to follow? If so, what should these delimitation criteria be? How often should districts be redrawn and how long should the redistricting process take? In the United States, for example, legislators are usually responsible for drawing electoral district lines. Partisan politics and the protection of incumbent legislators play a large role in the redistricting process. By contrast, politicians in many Commonwealth countries have opted out of the delimitation process. Districting is left to independent commissions with neutral delimitation criteria for guidance. The reasons for these differences are best explained by social, political and cultural norms. 2.3 Professional Development of EMBs 90 Page Meticulous and accurate implementation of electoral procedures, and suitable skilled staff, are both key elements for the delivery of credible elections. EMBs need to ensure that all election officials, whether core staff or temporary workers, are well trained and acquainted with the necessary skills to apply high professional standards in the implementation of their technical work. Professional EMB members and staff need appropriate skills and, most importantly, a commitment to the principles of electoral management, including integrity, impartiality, independence, transparency, efficiency and service-mindedness. Professional training prompts public trust that the entire process is in good hands and visible professionalism in an EMB gives political parties, civil society, voters, donors, the media and other stakeholders the confidence that electoral managers are capable of undertaking their tasks effectively. A lack of visible professionalism in electoral management, on the other hand, will lead to public suspicions of inaccurate and perhaps fraudulent activity Lack of trust will, in turn, make it easier for complaints from election losers to find public support, whether the complaint is valid or not. Page EMB staff requirements are cyclical, with very high peaks in the beginning of an election period and EMBs typically need to provide operational training quickly for large numbers of electoral event staff. Several training methods can be applied. Mobile team training requires a relatively long training timetable, and simultaneous training a relatively large number of trainers. Cascade training is commonly used, although it requires strict timing and quality controls to ensure that accurate and complete information reaches the lower levels of the cascade in a timely manner. Operational training, especially for temporary staff, has been found to be most effective if it concentrates on specific technical processes, and includes simulations, backed by good-quality materials such as manuals and checklists, instructions, appropriate audiovisual aids and rigorous training evaluation. The EC, UNDP and International IDEA are working on the development of elearning modules on Election Administration to be customised for different contexts. This innovative way of training electoral staff was initiated through the collaboration with the European Space Agency (ESA).

91 Activities in Support of Electoral Cycles MODULE 2 Given changes in electoral procedures and increasing sophistication of the processes are such that even the most experienced staff cannot rely on experience alone in order to adequately perform their tasks. Furthermore, EMBs must cope with the typical brain drain that often leads the most qualified staff to move to better paid positions in the private sector or with international organizations, and the consequent loss of institutional memory. The benefits of training and professional development activities are not immediately tangible and offer little visibility for development agencies, unlike ballot boxes or voter education and information materials. EMBs in partner countries generally have a difficult time persuading governments to approve budgets that contain sufficient funds for these activities. It is a typical area where external assistance is requested, sometimes at a very late stage in an electoral cycle, when electoral officials are already too absorbed by operational duties related to the upcoming electoral event. Furthermore, a lack of qualified personnel in other sectors of the partner countryís structure can be an additional factor preventing the sharing of other partner countriesí resources in electoral processes. Effective electoral assistance in this sector should mean greater awareness of the professional development and institutional capacity needs of recipient EMBs rather than focusing solely on training needs for procedures related to a given electoral event. Organizational and staff development (OSD) for the EMBís long-term staff should address their capacity-building and skills requirements, and also take into account staff career development. OSD aims to unify the EMBís strategic objectives and the skills required to attain these through the career development goals of its staff. The tendency for electoral assistance providers and development agencies to focus too much on national elections, envisioning top-down democratization, also requires careful reconsideration. Local elections can be as important as national ones for the democratic development of a partner country and also require targeted capacitybuilding programmes. Page One of the key issues for effective assistance in this area is the promotion of legislative reforms that provide the EMB s highest officials with the means to protect institutional memory and continuity. This can be achieved by introducing staggered terms for EMB members or a clear delineation of responsibilities between the Electoral Commission (or Board of Commissioners) and the EMB Secretariat. It is crucial to help the EMB develop a coherent vision for its role between elections which may form part of long-term electoral reform proposals. The possibility of enhancing the career development of EMB staff should be identified and supported, including through potential international or regional secondments. Long-term capacity development in the post-electoral period, investment in EMB staff training and development is critical for improving overall EMB effectiveness. Such strategies could be implemented through: internal courses; professional associa tions; academic qualifications; mentoring and skills transfer by consultants and senior managers; electoral management curriculums, such as the BRIDGE course (see module 5).

92 MODULE 2 EC-UNDP-IDEA Joint Workshop on Effective Electoral Assistance Activities in Support of Electoral Cycles EMB training needs EMBs need trained and skilled personnel at various levels to perform the following activities, among others: FF FF FF FF FF FF FF FF FF FF FF FF FF prepare electoral budgets procure electoral equipment conduct voter registration understand party and campaign financing perform polling and counting operations conduct or supervize voter and civic education help manage and coordinate stakeholder activities engage in public outreach and communication conduct training needs assessments manage logistics for the election, including result reporting and tabulation advise and enact (when applicable) electoral law reform facilitate electoral observation activities engage in global/regional networking activities with other EMBs Strategic and Operational Planning Strategic planning refers to all the preparatory activities for a forthcoming electoral cycle/event(s) which should take place after the conclusion of the previous electoral cycle and ideally after a reform process that refine and adjuste for inconsistencies and problems that emerged during the previous cycle. A strategic plan is a public document that stands as a record of what the EMB stands for, what it does and why, and what it intends to achieve. It is a management tool from which fundamental decisions on EMB activity flow ómainly operational planning and prioritizing, resource allocation and service standards. The strategic plan should be based on the EMBís legally defined responsibilities, and be consistent with its mandate. The strategic plan, which is the basis for the operational plan, should include: Page Page vision; purpose (objective/mission); values; outcomes and focus areas Key results Indicators EMB data Performance management strategy (PMS) The strategic plan should usually cover more than one national election cycle, thus assisting the EMB to operate in and understand its changing environment. A strategic plan is the basis for operational planning. In post-conflict situations, planning elections is a rather unique activity, as it usually involves high levels of international assistance and, in general, it enjoys attractive conditions, in operational, logistical and financial terms. This being well endowed in terms of human and financial resources can cause problems for EMBs tasked with planning electoral events in the post post-conflict situation when the international assistance is already drastically cut.

93 Activities in Support of Electoral Cycles MODULE 2 In the context of emerging and transitional democracies, strategic planning typically includes the identification of the new activities and the preparation of the budget for the future electoral event. The budget preparations for a new cycle are a very delicate and time-consuming activity for an EMB, in view of the complexity and the breadth of this exercise. Often, the budget needs to be approved by the legislature, and the identification and planning of the assistance programs depend on the approved national budget. The reality is that, in the majority of cases, electoral assistance programmes tend to fill the gaps left open by the national budget rather than planning it in coordination. Contingency planning is also important to anticipate any possible scenario within reason. A proper strategic plan for the electoral process must then consider risks such as security and political unrest. In these cases it is recommended to conduct a SWOT analysis considering the strength, weaknesses, opportunities and threats facing the EMBs and the electoral process to be supported. Lastly, effective strategic planning can reduce vendor/donor influence which tries to weaken the influence of state ownership. 28 Operational planning is setting out clearly the implementation of the strategic plan against specific objectives. The key issue is to specify each EMB task/ activity, each activity timeframe, and the manager of the unit responsible for completing it and possibly identify links between activities. The strategic plan is a record of what the EMB stands for, what it does and why, and what it intends to achieve. Operational planning is setting out clearly the implementation of the strategic plan against specific objectives. Operational plans should be fully integrated with the electoral cycle. The operational concept may divide an electoral process into several phases, including the establishment of the legal and administrative framework, the staffing needs, the budgeting exercise, the logistics activities, including preparations for and conduct of voter registration, preparations for polling and counting, polling and counting and announcement of results, candidate registration, political campaign and post-election activities. 93 Proper planning and budget preparations are essential to determine several timelines/deadlines, as the financing availability determines the kind of operations to be launched. The determination of an election calendar/timeline is essential to the efficiency and legality of an election. It is good practice for EMBs and electoral assistance providers to plan the entire electoral calendar starting backwards from the tentative electoral date. Problems which may arise due to poor planning are FF F F FF FF FF FF FF FF FF lack of coordination; incorrect assumptions; insufficient or unrealistic budget; underestimation of time needed to complete certain operations; delayed disbursement of funds; Timelines available late procurement of materials and recruitment of personnel; unclear or complicated procedures. Raise funds and support during the post-electoral period/donor fatigue 28 See also Aid Delivery Methods, available at

94 MODULE 2 EC-UNDP-IDEA Joint Workshop on Effective Electoral Assistance Activities in Support of Electoral Cycles The main challenge is how to insert the planning process of an election as a standard or routine element of the electoral process. Beyond good planning there are external factors that may affect the electoral process such as political upheavals coups, terrorist attacks and natural disasters. A good planning strategy is two-faceted strategic and operational which are very distinct but equally important. Finally, when EMBs are assisted there is a risk of loss of institutional memory and of a failure to document processes. Electoral assistance should work to minimise such losses and avoid replacing their functions by supporting the EMBs in organising and filing relevant information; drafting/publishing complete (structured) reports that contribute to the preservation of the institutional memory; and training of staff etc 2.5 Civic and Voter Education 94 To facilitate the understanding, some distinction needs to be made between voter information, voter education, and civic education. Certainly, each falls along a continuum of educational activities in support of elections and democracy and is mutually reinforcing. Thus, it would be correct to assume that voter education, for example, should be one component of a broader civic education programme. But the terms are not necessarily interchangeable and involve some nuanced differences in goals, audience, message, approach, timing, and/or institutional mandates. 29 Voter information refers to basic information enabling qualified citizens to vote, including the date, time, and place of voting, the type of election, identification necessary to establish eligibility, registration requirements and mechanisms for voting. These constitute Civic and voter education targetting women basic facts about the election and do not require the explanation of concepts. Messages will be developed for each new election. These activities can usually be implemented quickly (although sufficient planning is still required). Voter education typically addresses voters motivation and preparedness to participate fully in elections. It pertains to relatively more complex types of information about voting and the electoral process and is concerned with concepts such as the link between basic human rights and voting rights; the role, responsibilities and rights of voters; the relationship between elections and democracy and the conditions necessary for democratic elections; secrecy of the ballot; why each vote is important and its impact on public accountability; and how votes translate into seats. Such concepts involve explanation, not just a statement of facts. Voter education requires more lead time for implementation than voter information and, ideally, should be undertaken on an on-going basis. In societies where there have been major changes to electoral systems, processes and procedures, and also in the context of of newly enfranchised and first time voters, both voter information and voter education programmes will need to thoroughly address both facts and concepts. 29 See ACE Electoral Knowledge Network:

95 Activities in Support of Electoral Cycles MODULE 2 Civic education deals with broader concepts underpinning a democratic society such as the respective roles and responsibilities of citizens, government, political and special interests, the mass media, and the business and non-profit sectors, as well as the significance of periodic and competitive elections. It emphasises not only citizen awareness but citizen participation in all aspects of democratic society. Civic education is a continual process, not tied to the electoral cycle. Voter information and voter education, however, may be part of larger civic education endeavours. Civic and voter education programmes are costly activities and cannot always be the sole burden of the election authority. It is best done by an alignment of all the available resources in a country, and in most cases civic and voter education is done by a wide variety of organizations and individuals. It can be supported and sponsored by election administrators, democratically elected governments through various state agencies and/or offices, constitutionally established bodies such as human rights commissions, and international, regional and domestic CSOs. The election authority will select ways in which to achieve this alignment by introducing regulations, incentives and information that only they can provide. Some election authorities have found it easier to organize and stimulate voter information and education programmes than to ensure that the contestants in an election participate vigorously and fairly. In general it can be said that EMBs are typically required to provide voter information and voter education, although contestants in the elections and CSOs will also do so. Civic education on the other hand is likely to be carried out through the school and university system, through CSOs, and perhaps by some state agencies, although not necessarily the election management body. Page Voter sensitization and public outreach Public outreach takes place to assist the election management body in its task of delivering a free, fair, efficient and cost-effective election. It encompasses the basic voter information that every voter must have in order to arrive prepared at the voting station and vote. Voter sensitization provides the background attitudes, behaviour, and knowledge amongst citizens that stimulate and consolidate democracy. During an election, this sensitization will ensure effective organization and activism by citizens in support of parties and/or causes, behaviour by citizens that is appropriate to a peaceful election, acceptance of the results, and tolerance of competition and opposition. Sensitization on its own cannot sustain democracy. However, sensitization can protect democracy when citizens are supported in their activity by a responsive and democratic state. Indeed, an educated citizenry can even overcome inadequacies in administrative preparations for an election. Public outreach must be matched, however, by the development of a climate of election activity and a public debate about the issues and contestants. Election authorities should encourage partisan activities to sensitize voters as well as the necessary non-partisan sensitization programmes over which they preside.

96 MODULE 2 EC-UNDP-IDEA Joint Workshop on Effective Electoral Assistance Activities in Support of Electoral Cycles 2.6 Voter registration Voter registration is arguably the most crucial and expensive component of an electoral process and the one to which the sustainability studies of the most advanced electoral administrations are increasingly turning their attention. 30 Voter registration is the activity directed at the identification of those citizens who are eligible to vote in a given election. It is generally aimed at the production of lists and of a register of voters based on the eligibility rules in force in a given country. As one of the more costly, timeconsuming and complex aspects of the electoral process, it often accounts for a considerable portion of the budget, staff time and resources of an election authority. If conducted well, voter registration confers legitimacy on the process. If the registration system is flawed, the entire process may be perceived as illegitimate. In the context of the electoral cycle, it is an activity that falls within the early stages of the pre-electoral phase. Page Given its high costs, voter registration is one of the activities where donor intervention is most often sought by EMBs in partner countries. It is, in fact, an area of growing demand for external electoral support and the trend is expected to continue. Voter registration can often be a highly contested activity and one of the major sources of complaints. 96 In basic terms, there are two methods for creating voting registers. Active registration requires citizens to express their intentions to participate in an election through a positive act of registration. Passive registration, on the other hand, occurs when voter lists are simply derived from the civil registry or another general database of citizens which is kept by central or local administration services and where no active action is required from the voter. The former is found in many emerging and transitional democracies and especially in cases of countries emerging from armed conflicts where civil registers are often absent of flawed. In such countries, voter registration is kept as a separate activity and it is generally conducted by the election administration. Passive registration is diffused mainly in more established democracies. More specifically, there are three options one could consider for the establishment of a voter register: a periodic register, a permanent register and a civil registry. A civil registry is produced and maintained by the government. If a civil registry is in place, producing a voters list is relatively efficient and cost-effective as it can be easily extracted from the civil registry. Some countries give the same institution responsibility for both registers whereas others choose two agencies, each with responsibility for one of the lists. Notably, data-sharing among government institutions may give rise to controversy. Concerns may be expressed about the loss, or potential loss, of privacy and misuse of information held. Therefore partisan and public support is essential for confidence in the system. A permanent register is established, maintained and regularly updated by the EMB. This system depends that appropriate infrastructure and financial means is provided to the EMB to maintain the list. Maintenance typically involves the addition and deletion of names and data annually or more often. Consequently there is no need for election specific registration although the list may well need to be displayed immediately prior to an election. The permanent list may be maintained locally or centrally. To facilitate list updates, the EMB could form data-sharing partnerships with other government bodies, particularly those involved in civil registration. This makes it possible to update the electoral register without any direct contact between the voter and the election authority. 30 Further information on voter registration is available in ACE Electoral Knowledge Network:

97 Activities in Support of Electoral Cycles MODULE 2 A periodic registry is produced immediately prior to each new electoral event and not maintained between elections. Periodic registration is relatively expensive and time consuming since it requires direct contact with all eligible voters before an electoral event. It can be useful in countries where infrastructure is lacking, where population mobility is high (with particular reference to Internally Displaced Persons (IDPs) and refugees) and/or where there is a (political) opposition towards the production and maintenance of lists of citizens by the government. In the absence of any voter registry, the eligibility of the votes can only be determined on election day at the polling station. This sometimes happens in post-conflict elections, such as in Bosnia 1996 and Afghanistan 2004 (external voting). Notably, it may cause serious frauds and legitimacy problems. Even if there are still relevant cases where ad hoc, periodic voter registration exercises are organized in order to conduct specific electoral events, the establishment and maintenance of a permanent, continuously updatable register or list of voters is now acknowledged as a common goal for many election administrations. It is also an area where most often international assistance is called upon to provide support. 2.7 Domestic Observation The forming of domestic groups with capacities to monitor their own country s elections is an essential part of democratic development. In this regard, domestic observation is vital for the transparency and ownership of the electoral process in addition to the activities of the political party agents. 97 The presence of international observation is in several cases indispensable. This is particularly so in elections in countries where peacekeeping forces are operating and/or where a difficult transition is ongoing, and also where non-partisan civil society groups are virtually non existent or non-functional. Page In the long run, however, domestic observation has a significant advantage over international observation. Domestic observer groups can more easily gather larger numbers and they know by heart the political culture, language and territory of the country. Consequently they are capable of seeing many things that may pass unnoticed by foreign observers. Domestic observer groups are also often better equipped than international observers to carry out particular types of specialised observation efficiently. Examples include verifying the voter roll, monitoring the complaint process, documenting instances of intimidation and human rights abuses and media monitoring. In addition, national civic organisations have an important role to play in educating voters and promoting the rule of law. Domestic observers should play a neutral role and report objective findings, which can either highlight shortcomings in the elections or alleviate the rise of potential conflicts. This can however be hard sometimes as domestic observers can be subject to local pressure as they may live in the area and may also be perceived to lack credibility for being associated with CSOs and/or political and social activist groups. The methodology employed, the accuracy of the findings set out in the reports, the presentation of reports, and the holding of press conferences will all influence the credibility of any domestic observation. If handled unprofessionally it can weaken the credibility and importance of their role.

98 MODULE 2 EC-UNDP-IDEA Joint Workshop on Effective Electoral Assistance Activities in Support of Electoral Cycles Domestic observation is vital for the transparency and ownership of the electoral It is essential that domestic observation groups enjoy the respect and confidence of the public. In some cases, organizations running domestic observation projects have been able to recruit persons with high profiles and good reputations to lead the work of the organization. Well-known and highly respected individuals tend to bring increased visibility to the efforts undertaken by the organisation as well as legitimacy to the specific project ongoing. process. Domestic observers require training on their tasks and the purpose and objective of election observation project. More highly specialised methodology and training is required for certain activities, such as monitoring of media and adjudication of electoral disputes as well as campaign expenditure monitoring. A code of conduct should also set out the main rights and duties of observers, based on neutrality and objectivity Support to domestic observation For several years, the support to domestic observation provided by the EC has been a strong point of EC support to electoral processes. In recent years, the emphasis on this kind of support has moved towards technical assistance and local empowerment. The EC has gained valuable experience in observation in the past decade and is well placed to provide technical assistance to facilitate better coordination, to enhance credibility of domestic observers, and to empower. Via the NEEDS 31 Project, the EC has also organized a series of forums around the world, designed to increase the capacity of domestic election observer groups. 98 Looking at UNDP and its efforts to support domestic observation, it often includes in its projects an element of training or logistical support to umbrella CSOs. There is a window of opportunity when designing and implementing election support projects for strengthening national observation capacities through limited and time-bound support. Tailored training programmes for domestic observation groups and administrative/logistical support can be carried out with limited human and financial resources while having significant impact on the process, in particular with regard to the perception of the exercise by voters. In The Gambia (2006), a comprehensive training programme was developed by UNDP in collaboration with NGOs and the election commission (including the printing of a domestic observation manual) and direct support (administrative cost/per diem for observers) provided to help deploy domestic observers countrywide. Support to domestic observation groups can be linked to support initiatives for civil society, in particular in the area of voter and civic education, where synergies in identifying local partnerships and implementing voter education programmes can be easily put in place. 31 Network of Europeans for Electoral and Democracy Support (NEEDS),

99 Activities in Support of Electoral Cycles MODULE Money in Politics - Political Party and Election Campaign Financing The role of money in politics is a longstanding issue in both new and more established democracies. Political financing can be defined in its most basic sense as political party and electoral campaign funding. However, it is also a much broader issue, involving a wider range of actors seeking to influence public policy agendas and legislative changes, as well as electoral outcomes. A number of trends have brought the issue of political financing to the forefront in recent years: increasing costs of election campaigns, concerns about inappropriate influence and the linkages with broader corruption issues affecting politics and government (e.g., proceeds from illegal activities, misuse of public funds), and greater public demand for transparency and regulation of the financial aspects of politics. When discussing political party or election campaign financing, there are a number of issues to consider such as transparency, sources of income, campaign expenditure limits and monitoring, sanctions and enforcement. Transparency: Voters increasingly want to know the sources of political party income and forms of expenditure ó from who the political parties and candidates are who are receiving their funding and how they are using the money or non-cash benefits they receive. Political parties and candidates are expected to be accountable for their financial affairs. Disclosure, either through an EMB and/or publicly available reports, is a fundamental way to ensure transparency. Political parties are required to prepare and make available annual accounts and election campaign accounts (where these are separate). There are nonetheless limitations to this tool, since financial information is historical and usually is not available until several months after an election. These challenges relate both to public funding and mixed funding (public and private) regimes. Where private sources of income are allowed, disclosure of donations and other income is a key concern. Political parties can be required to maintain a catalogue of donations (cash and noncash) and report these on a regular basis (e.g., quarterly or weekly during an election campaign). Regular reporting of party income ensures up-to-date information is available to voters. Disclosure, either through an EMB and/or publicly available reports, is a fundamental way to ensure transparency. 99 The media and CSOs play a key role in ensuring transparency. Media are often the first to uncover political financing issues, bringing them to the attention of the general public and/or the EMB. Election observation groups, particularly where they undertake long-term missions, can include the observation of campaign advertising and the use of public resources, noting those candidates and/or political parties that appear to have the most financial or in-kind resources at their disposal. Freedom of information laws also increasingly allow for greater public access to the financial information relating to elections, particularly where the electoral management body or the government (e.g., the ministry of finance, the national audit body) holds this information.

100 MODULE 2 EC-UNDP-IDEA Joint Workshop on Effective Electoral Assistance Activities in Support of Electoral Cycles Sources of income: There are broadly two sources of funding for parties and candidates: public (direct and indirect) and private income/donations from individuals or legal entities (organizations, businesses etc.). Political parties and candidates generally need to meet certain thresholds to have access to public funds or to get their election expenses reimbursed (e.g., be a registered party, receive 5 percent of the vote, have at least one member of parliament). This is often contentious ó for example, in some countries, party and candidate registration processes can be slow or made difficult for those opposing the existing regime, and therefore they do not receive public funds. Under a well-regulated system, the definition of income also includes non-cash or in-kind benefits, for example, free broadcasting time and donation of professional services (legal, accounting, consulting). Anonymous and foreign donations are usually prohibited, as a means of ensuring transparency and preventing undue external influence in domestic politics. There are often limits on the amounts that individuals or legal entities can donate to parties or candidates. This ensures that no single individual or business interest exerts excessive influence on the electoral process and subsequent public policy. 100 Campaign expenditure limits: In many countries there are rules concerning the amount that parties or candidates can spend during an election campaign period and/or the types of expenditure that can be incurred. This is designed to ensure a level playing field and to allow for the participation of a wider range of political parties and candidates. A worldwide trend towards increasingly expensive elections has brought the issue of campaign limits to the fore and some countries are revisiting their existing rules to ensure that the upward creep does not continue. It is important to note that research to date has not shown a direct correlation between ever-increasing campaign spending and electoral success ó elections cannot be bought ó although it can often be difficult for newer and/or smaller parties to secure sufficient resources to mount effective election campaigns. Monitoring, sanctions and enforcement: The regulation of money in politics can only be as strong as its monitoring and enforcement mechanisms. In turn, these mechanisms can only be effective if they have sufficient resources and capacity. Where its mandate includes political financing regulation, the EMB will have powers to verify political party and candidate income and expenditures. These can range from the authority to review annual party accounts to a much more substantial powers to require parties to submit information regarding donations, election campaigns, and ongoing financial data. The nature of the EMBís monitoring and enforcement role will depend to a large extent on whether it is independent, governmental or a mixed model. In some countries the financial aspects of elections are delegated to another body, for example, a national audit body, ministry of finance, electoral court or anti-corruption body. It is important to remember that the regulation of political financing is still a relatively new phenomenon and to date there are few examples of significant enforcement or sanctions in this area, particularly in the developing world. Legislation can provide for different types of sanctions: administrative, fines, criminal, political (barred from running for office, or loss of seat). Unfortunately, it is often the case that legislation is difficult to enforce, either because sanctions are (a) not specified, (b) too weak to dissuade parties, or (c) too severe and therefore unlikely to end in conviction because of the level of evidence required.

101 Activities in Support of Electoral Cycles MODULE 2 All of this points to the need for flexible and proportionate enforcement regimes, incorporating a variety of mechanisms. Traditional legal recourse can be complemented by alternative approaches. Options include codes of conduct between political parties on financial matters, joint agreements regarding campaign reporting, the design of common forms for annual accounts, and projects to establish a dialogue between political actors, civil society and the media on political financing accountability and transparency. The global trend is towards greater regulation, and strengthening of oversight procedures and mechanisms. Debates about the relative merits of public vs. private funding differ from country to country, but in many cases authorities favour a mixed funding system with some limits on private sources of income. Overall, the most important issue faced by governments is the need for legislation that provides a realistic, practical framework for the regulation of money in politics, to ensure public confidence in this important aspect of the electoral process. 2.8 Media Regulations, Monitoring and Support to Media Sector The mass media are essential to the conduct of democratic elections. A free and fair election is not only about casting a vote in proper conditions, but also about having adequate information about parties, policies, candidates and the election process itself so that voters can make an informed choice. A democratic election with no media freedom would be a contradiction in terms. Nevertheless, in order to ensure that freedom, a degree of regulation is required. For example, state-owned media, funded out of public money, should be required to give fair coverage and equitable access to all the parties and/or presidential candidates. Sometimes regulators may decide to restrict media coverage of the parties/candidates (for example exit polls or early results) on the day of elections before every vote has been cast, in order not to inordinately influence voters. 32 Page The mass media are usually understood to refer to the printed press, radio and television. In recent years, the definition has become broader, encompassing the Internet and other forms of electronic distribution of news and entertainment, such as short message services to mobile telephones. There are four dimensions to media activities that require attention in relation to elections. 1. The first concerns the media as a mechanism for the initial dissemination of information to voters, and the more general dissemination of election information. The voters have the right to full and accurate information and the media can be used to provide information to the electorate, expose incompetence and corruption, build or destroy political parties and candidates, and calm or inflame a particular situation depending upon its actions. 2. The second dimension to the media relates to the use of the media by political groups to disseminate particular political messages. Parties and candidates are entitled to use the media to get their messages across to the electorate. The legal framework within which elections are organized should include a media law covering how outlets are 32 See also Supporting Public Service Broadcasting: Learning from Bosnia and Herzegovinaís Experience, available at governance/docs/a2i_pub_publicservicebroadcasting.pdf.

102 MODULE 2 EC-UNDP-IDEA Joint Workshop on Effective Electoral Assistance Activities in Support of Electoral Cycles funded and licensed and how space is allocated to political parties in electoral campaigns. Equal or equitable access to media is an issue which needs more coherent and continued support and which can only be analysed by methodologically sound media monitoring programmes. 3. The media themselves have a right to report freely and to scrutinize the whole election process. This scrutiny is itself an important additional safeguard against interference or corruption in the management of the election. 4. A fourth dimension concerns the relationship between the EMB and the media. The relationship of the EMB to the media is a fairly complex one. Potentially, election authorities may stand in three distinct relations to the media: ÕÕ As regulator: the EMB may sometimes be responsible for developing or implementing regulations governing media behaviour during elections (particularly relating to direct access to the media by parties and candidates). It may also be responsible for dealing with complaints against the media. ÕÕ As communicator: the EMB has a crucial need to communicate information to the electorate and to a variety of other groups, including the political parties and the media themselves, and will also, invariably, want to use the media as a vehicle for communicating its messages to the electorate., ÕÕ As news target: the EMB will be a focus of media interest throughout the election process. The media will be interested in the information that the EMB can provide, as well as trying to scrutinize the EMBís performance and the efficiency and integrity of the elections. 102 Better communication will lead to an improved public image for the EMB, which brings obvious advantages in various aspects of its work. However, there are also two main reasons why EMBs have an obligation to communicate: Voters have a right to information about how they are to exercise their right to vote. This includes information about the work of the EMB. The EMB is accountable to all stakeholders in the electoral process, including the voters and the candidates or political parties. With accountability comes an obligation to be transparent in its workings Media monitoring Four main groups may undertake monitoring of the media during elections: EMBs Independent media regulatory authorities International electoral observation missions CSOs Election authorities will sometimes monitor the media themselves in order to determine whether they have adhered to the regulations or laws governing media behaviour during elections. When EMBs have a direct regulatory function, they will use their monitoring findings to make sure that media comply with the required standards. If independent media regulatory authorities are in place, it may be their primary role to oversee

103 Activities in Support of Electoral Cycles MODULE 2 the performance of the media and their adherence to media laws, licensing requirements, as well as legal mechanisms regulating coverage of the elections. If this is the case, mechanisms for cooperation between the EMB and the media regulatory authorities should be agreed well in advance of the election period. International observers are also concerned with media compliance with national rules and laws. However, they are also more broadly concerned with monitoring the contribution that the media make to a free and fair election. They have no powers of enforcement and will usually withhold their monitoring findings until after the election has taken place. The value of media monitoring by international electoral observation missions is that it integrates the question of fair media coverage into an overall assessment of whether the election was fairly conducted. When EMBs have a direct regulatory funcion, they will use their monitoring findings to make sure that media comply with the required standards. NGOs and other CSOs have more freedom in the way that they can monitor election coverage. They can devise more varied methodologies to determine different types of media bias. Civil society monitors, unlike international observers, can also make their findings public whenever they choose, not being restricted until after the election has been held. They can communicate their findings directly to the media. This means that civil society monitoring can often be used as part of an effort to raise journalistic standards while the election campaign is still going on, as well as affording the opportunity to raise criticisms in a timely fashion about the role of the government and political parties/candidates in providing accurate and reasonable information to the voters, Media monitoring, Indonesia 2004 in order to assist them in making their electoral decision Overview of a media monitoring methodology For the purposes of media monitoring during elections, a standard methodology has been developed which focuses on a quantitative and qualitative analysis of media coverage. Quantitative analysis is a straightforward method of assessing media coverage and often has the greatest impact. It entails counting and measuring election coverage in the media the number and length of items devoted to different parties, length in column inches, timing and number of direct access programmes and so on. The amount of coverage each party or candidate receives is usually the first criterion that will be looked at in order to evaluate allegations of bias. Qualitative analysis is an approach that measures the tone of the coverage that parties and candidates receive. A qualitative evaluation will look at the language used and the message conveyed, using this to qualify the tone used by the media towards the party/candidate in terms of

104 MODULE 2 EC-UNDP-IDEA Joint Workshop on Effective Electoral Assistance Activities in Support of Electoral Cycles ëpositiveí, ëneutralí or ënegativeí. So, for example, it is important to be able to demonstrate that although Party X received the most amount of coverage on TV Channel A, a large part of that coverage was negative. This somewhat alters the picture, in terms of determining media bias. Inevitably the measurement of bias is more subjective than assessing the quantity of coverage, so clear rules for this assessment must be used by the monitors. It is nevertheless a very important part of the media monitoring exercise. Quantitative analysis is a straightforward method of assessing media coverage and often has the greatest impact. Qualitative analysis is an approach that measures the tone of the coverage that parties and candidates receive. 2.9 Assistance to Political Parties and Parliaments In the popular imagination, free and fair elections represent the culmination of the democratic process. For fledgling democracies and countries recovering from crisis, however, elections are not an end, but rather a beginning in the transition to democratic governance. Realizing the promise of democracy requires investments in long-term democratic development, in particular the consolidation of governing institutions like parliaments. 104 A viable political party system capable of representing different groups, interests and opinions and with strong links to the grassroots is an essential part of a democratic multi-party system. 33 Building political parties and strengthening parliaments is especially critical to democratization in post-conflict situations Support to political parties The transition to political party membership from militia membership may be the essential first step towards a lasting peace in fragile communities. While the provision of support to political parties is a delicate and often controversial exercise, donors recognize that political parties are essential elements of democratic societies and a primarily vehicle for the expression of public will. It should be recognised that intergovernmental organizations (e.g., UNDP, OAS) are not the main actors in the area of political party assistance. Historically, this assistance has been delivered primarily by party-based, partisan NGOs (e.g., German party foundations, National Democratic Institute NDI), multi-partisan NGOs (e.g., Netherlands Institute for Multiparty Democracy, Westminster Foundation for Democracy). Current best practices in political party assistance concentrate on non-partisan and inclusive approaches. In deciding how to support political parties it is important to investigate the full range of political actors that could be involved in and benefit from assistance programmes. This does not need to be limited to formal political parties other forms of groupings may be appropriate, particularly in emerging democracies where political parties are still nascent. It may also be crucial to involve local political actors as well as those at the national level, particularly in federal systems. Finally, programmes should recognize that political parties are multi-layered organizations with party officials, leaders, youth groups etc., and target activities to the appropriate audience. 33 See also UNDPís Engagement with Political Parties, available at pdf, and A Handbook on Working With Political Parties, available at

105 Activities in Support of Electoral Cycles MODULE 2 Support to political parties can be extended to a wide variety of areas including establishing a dialogue between parties on electoral reform and other policy issues; integrating human development and gender equality principles into internal party activities and platforms; internal operations of parties ( organizational leadership functions, day-to-day systems and procedures, financial management, fundraising, campaign planning, candidate selection and training and transparent appointment processes); long-term capacity development, particularly in the area of policy development; media outreach; specific initiatives for women, youth and political party finance. There is also a purely technical dimension to assisting political parties. This dimension includes (1) training on the electoral system and its consequences for voter information campaigns of the parties, (2) electoral management structures and financing and the importance of EMB independence, (3) voter registration procedures and enfranchisement rules, (4) candidates registration and partiesí procedures, (5) media law and regulations to ensure fair and equitable access to media, (6) rules on political party finance and disclosure of contributions, and (7) party platforms and policy positions. Assisting in these activities is to be viewed as an important way to foster democratic development and pluralistic discourse in any society and might guarantee partiesí participation and acceptance of the specific rules of the game of an electoral process. Political party assistance should recognize the linkages and potential synergies with parliamentary assistance, since the role of elected candidates in parliament will be shaped by the their political affiliations and understanding of how democratic processes work. Working with political parties is a somewhat delicate area within electoral assistance owing to the sensitive issue of impartiality. 105 An effective way to provide support to political parties while ensuring the neutrality of the project and of the assistance provider could in some cases be to channel support through EMBs or identify another cross-party/nonpartisan mechanism for delivering assistance. Political entities are generally not the target of EC-funded assistance for obvious reasons of neutrality and for fear of the EC being portrayed as supporting one or another political faction. An effective way to provide this type of support while ensuring the neutrality of the project could be to channel the support through the EMB. This could be a good promotion vehicle for the EMB itself and add considerably to its credibility. However, the interests of EMBs and political parties can conflict if the parties contest the EMBsí procedures. So, channelling the support through the EMBs may raise distrust among the parties. The most significant technical needs can often be addressed by specific information and training programmes. Some of these needs are related to voter registration procedures, political partiesí registration requirements as legal entities, political parties/candidate verification requirements for specific electoral events, financial disclosure and campaign funding provisions, and appeal and complaints procedures. One of the main rules of UNDP involvement in the area of party support is that if support is to be provided, it should aspire to the principles of impartiality of All assistance should be capac i t y - b u i l d i n g, technical or advisory in nature

106 MODULE 2 EC-UNDP-IDEA Joint Workshop on Effective Electoral Assistance Activities in Support of Electoral Cycles the UN. While it may not always be possible or practical to provide equal support to all political parties, particularly when there are large numbers of parties and only few that have national representation or viability, the criteria for supporting political parties should be very clearly defined and should be conveyed to all stakeholders in a public and transparent manner. Under UNDP projects, funding should never be provided directly to political parties and activities that would clearly be seen as a direct endorsement of a specific party must be avoided. All assistance should be capacity-building, technical or advisory in nature. In some places, UNDP has put resources (in the form of libraries, vouchers for print shops, transportation expenses etc.) at the disposal of political parties on an equal or equitable basis and based on strict eligibility criteria. 34 Basic principles to apply to cooperation with political parties are 106 FF FF FF FF FF FF FF FF FF assessing impartiality; emphasizing indirect and/or issue-based support in situations that are sensitive or otherwise difficult to call; respecting the democratic process and always bearing it in mind as the ultimate objective of support; working with parties that behave responsibly and have a ëproject for societyí; clearly demarcating the line between capacity development and endorsement; practising transparency and accountability; refraining from supporting one party in a way that blocks out whole groups of other parties; being practical and realistic about institutional capacity to interact skilfully with parties; identifying opportunities for encouraging dialogue amongst parties and developing joint understandings of policy issues, even if they disagree about approaches Support to parliaments Parliaments serve three chief functions: they express the will of the people, they pass laws and they hold government, particularly the executive, to account. Parliaments also control and administer national budgets. As directly elected representatives of the people, parliaments have a critical role to play in mediating different constituency interests, allocating resources fairly, curbing the power of the executive, fostering the development of more just and equitable societies, and adopting reforms to relieve ethnic, religious, and economic tensions. Parliaments sometimes have insufficient capacity to perform these vital functions. When they are ineffective or controlled by special interests, parliaments can contribute to rather than prevent poor governance and conflict. Severe resource constraints, embedded systems of patronage, a lack of autonomy, and, after conflicts, asymmetry of power in relation to the executive and armed groups are some of the obstacles nascent parliaments face. By consequence, over time, parliaments have been increasingly recognised as key elements of democratic development and the need for support contributing to effective and viable parliaments is becoming gradually more recognised within the donor community. Further, election cycles shape partly the parameters of parliamentary programs. As elections near, the focus of parliamentarians inevitably shifts to campaigning, and engagement in longer term institutional change management can be low, followed by a possible major turnover of MPs in an election. In some cases however, parties are willing to make a political compromise 34 See also UNDP Handbook on Working with Political Parties, available at

107 Activities in Support of Electoral Cycles MODULE 2 on parliamentary reform, to take effect after the elections, if it is not necessarily clear whether reform may work to the benefit or detriment of a particular party. In addition, in the campaign period, parties are often willing to publicly commit to reforms, which might be difficult to commit to during other periods. Although focusing on the parliamentary secretariat during the pre-election period is often a successful strategy, even those activities that engage only with the parliamentary secretariat can be disrupted during an election campaign with the changing demands on the institution made by parliamentarians. A new post-election parliament can be the opportunity to establish relationships within a new parliament, such as through an induction training session for new parliamentarians or the initiation of a new project or new phase of a project, to allow for larger scale parliamentary reform programmes. In designing parliamentary programmes, it is important to take heed of the political electoral cycle: The opening of a new parliament can be an opportunity to introduce new procedures or bring new mechanisms into force (provided there was adequate planning for them prior to the election). The run-up to an election changes the political incentives; certain types of programming (such as support for constituency relations) may become too politically sensitive during this time. It is noteworthy that different political systems, societal frameworks and incentives structures create different challenges for parliaments. In assessing par- I n t e r n a t i o n a l consensus is liaments, international standards provide useful and detailed considerations for the minimum characteristics of a democratic parliament. Parliamentary gradually emerging on norms and development has traditionally not used a rights-based or standards-based approach, but international consensus is gradually emerging on norms and standards for standards for democratic parliaments thus allowing donors to focus on supporting partner countries in meeting these norms. In particular, the recommended benchmarks of the Commonwealth Parliamentary Association (CPA) liaments democratic par- in particular, developed with UNDP support, provide detailed criteria for powers of democratic parliament. The power or strength of the parliament can be measured in two different dimensions: policy-making and popular support. 107 So, parliamentary support can tackle different aspects of parliamentary life including, but not limited to development of the parliamentary institutional and legal framework; development of the parliament s three core functions: (1) the legislative role, (2) the representative role, and (3) parliament-government relations and oversight; development of parliamentary infrastructure; assistance to members of parliaments (mps) in doing their job; development of the parliament s transversal roles, for example, (1) development of MGDS and pro-poor policies, (2) promotion of defence of human rights, (3) development of gender-responsive processes and policies, (4) strengthening of minority participation in politics as well as minority rights and protection policies, and (5) crisis prevention, peace-making, conflict management and recovery role.

108 MODULE 2 EC-UNDP-IDEA Joint Workshop on Effective Electoral Assistance Activities in Support of Electoral Cycles Parliamentary support in Niger In Niger, UNDP worked with the National Assembly to organize broad public consultations on proposed decentralization legislation. Multipartite teams of government officials and 65 MPs visited over 30 communities, each time drawing crowds in excess of 500 people. The process resulted in an amended decentralization law that better reflected citizensí views, enhanced public confidence in the parliament and increased the transparency of the legislative process. In order to ensure political neutrality, many programmes are designed with M u l t i - p a r t y the secretariat of the parliament as the national implementing partner. However, even with this partner, there are challenges. In the majority of coun- initiatives are the best way to tries, the secretariat is a neutral body and an excellent partner in delivering bring in opposition political outcomes and activities to a parliament. But in a small number of countries the secretariat is a highly politicized institution and care must be taken in understand how the secretariat is perceived amongst all parliamentary groups parties in a nondiscriminatory prior to agreeing to work with the institution as a partner. manner Multi-party initiatives are the best way to bring in opposition political parties in a non-discriminatory manner. On sector specific issues, multi-party initiatives, perhaps through engaging with the parliamentary committees, can be an avenue for forcing opposition input into a potentially politically sensitive agenda. 108 Finally, programme sustainability, particularly in political environments, requires local ownership and engagement in parliamentary strengthening. It is important to understand that in some contexts, there can be a difference between national ownership (as expressed by a multiparty body of parliament) and government ownership. There are three main approaches to promoting local ownership: FF International standards provide a basis upon which parliaments and developoment partners can use as the joint reference point and upon which the two parties can avoid being criticized for donor imposition. Where parliaments have been part of the consideration and/or have adopted international or regional benchmarks, these can form a particularly useful point of reference for the parliamentary support programme. F F Strategic development plans or multi-party parliamentary reform committees represent the basis of another useful approach. Multi-party reform committees can be an extremely useful mechanism for a parliament to decide on and institutionalize the parliamentís own priorities for development; they provide UNDP with an institutionalized multi-party interlocutor, thus ensuring that there is opposition input and support for the parliamentís development aims; they can improve the transparency of parliamentary development by providing information about parliamentary development activities to all the main political parties; and finally they can also be helpful in promoting a degree of donor coordination. Annual workplans can then be drawn from this strategic plan, which will clearly tie activities to strategic objectives and overall institutional development. The strategic development approach also encourages consistent review of achievements and clearly identifies areas where progress is lagging. FF Regional programmes may lead to increased engagement in parliamentary development. Moreover, linking local parliamentary development goals to regional programmes can increase national awareness of institutional challenges and weaknesses facing a parliament.

109 Activities in Support of Electoral Cycles MODULE 2 Page Parliamentary development has become a robust area of UNDPís democratic governance practice. UNDP currently supports over 65 parliaments around the world. The organizationís work aims at helping parliaments, thanks to its neutral stance, to have the capacity, resources and independence required to carry out their core functions effectively. UNDP supports the three functions of legislatures ó oversight, law making and representation. The Global Programme for Parliamentary Strengthening (GPPS) I ( ) and II (2004ñ2008) has played a significant role in the growth of parliamentary development programming in UNDP and in developing UNDPís expertise in this field. The third phase ( ) of the GPPS has as an overall objective the strengthening of the capacity of parliaments for deepening democracy and delivering human development. Particular emphasis will be put on parliamentsí contribution to government effectiveness, MDGs and womenís political empowerment Voting Operations This is the culminating stage of every electoral process and as a highly complex combination of processes, voting operations require careful planning and trials of proposed solutions before implementation. 35 In the run-up to election day, the main challenges relate to the nationwide logistical movements of election material, both sensitive and non-sensitive, their secure storage and timely delivery. There might still be cases where assistance from international agencies to voting operations might be required by the national authorities at a very Election day, Indonesia 2004 late stage in the process. Although such late assistance should not be discouraged, it should be made clear from the outset that this form of cooperation cannot have any real impact on the democratic development of the partner country unless it is inscribed in the larger context of longer term assistance. 109 It goes without saying that the challenges of voting operations are much more complicated in post-conflict situations, where usually tight timelines, poor infrastructure and the potentially volatile security situation cause an additional set of concerns that require tailor-made solutions. In these cases, voting operations rely on an almost military style and costly operational plan with solid and secure logistical support such as helicopters, armoured vehicles, military or police escorts. The integrity of the ballots papers and ballot boxes becomes premium to the credibility of the election, especially if political parties or guerrilla/terrorist groups attempt to sabotage the process. Assistance to voting operations requires a different skills set from the one increasingly required in electoral assistance projects. 35 See also ACE Electoral Knowledge Network:

110 MODULE 2 EC-UNDP-IDEA Joint Workshop on Effective Electoral Assistance Activities in Support of Electoral Cycles The main way to support voting operations and the distribution and recollection of materials, is to provide financial and technical means to facilitate the timely procurement (and/or the physical provision) of communication and transport equipment. This is done through logistical, operational planning and management where support can be made available. Some of the challenges encountered in this highly stressful period are mainly related to poor planning, the use of inappropriate and non-sustainable technologies, the high cost of lastminute deliveries, late, missing or wrongly delivered materials, poorly trained or biased staff not following procedures, disenfranchised voters not on the voters list or not knowing where to vote, irregularities and/or fraud, and the potential for conflict. In terms of assistance, donors and governments often use their assistance to bail out the EMB by providing emergency funds for logistics, like the hiring of helicopters or the provision of other emergency transport solutions External Voting or Out of country Voting 110 External voting provides the means for citizens residing abroad to participate in their countriesí elections. It can apply to three main types of election: parliamentary and presidential elections, local elections, and electoral processes for instruments of direct democracy such as referendums and recalls. 36 According to Voting from Abroad: the Internation- Page al IDEA Handbook, some form of external voting is permitted in 115 out of 214 states and territories. External voting in legislative elections is the most common practice among the four. There are four basic options for the procedure for external voting: ÕÕ voting by proxy ÕÕ personal voting ó voting in person in diplomatic missions or military bases ÕÕ postal voting ÕÕ electronic voting The external electorate can be identified in inclusive or restrictive terms. The inclusive terms require only proof of citizenship for eligibility. Otherwise, external voting is restricted to government or diplomatic officials, or military personnel. Another factor in determining eligibility is the length of stay for the voter outside of the home country. To be eligible, the length of stay can vary from only provisional stays abroad to requirements that voters must have been out of country for months or years to be eligible to vote. There are several categories of external electors in the world and different approaches to categorising them. According to the categorization made by International IDEA, there are four main groups of people staying or residing abroad who are entitled to vote. These are migrant workers; refugees (including internally displaced persons IDPS); individuals in certain professional groups, such as military personnel, public officials or diplomatic staff (and their families); all citizens living or staying abroad, temporarily or permanently. 36 There are also elections to supranational institutions but the European Parliament is the only such institution which permits external voting for the election of its membership. Source: Voting from Abroad: The International IDEA Handbook (2007), available at from_abroad/upload/voting_from_abroad.pdf.

111 Activities in Support of Electoral Cycles MODULE 2 Since 1996, IOM has assisted hundreds of thousands of eligible nationals in 74 different countries to exercise their right to vote, in a combination of mail and in-person operations in the largest external voting programmes to date. The experience is broad, starting with elections in Bosnia in 1997 and reaching up to the latest OCV voting programme for Iraq and Ecuador. The enfranchisement of external voters poses a fundamental political and administrative dilemma. From a human rights standpoint, if citizens have been displaced outside of the home country by war, poverty, or natural disaster, their political empowerment is essential to re-establish themselves in society, a process which paves the way for both socio-political stability and an affirmation of individual rights. Enfranchisement facilitates such political empowerment, as well as producing a mechanism for reflective social and developmental initiatives. The practical implementation of registration and voting services for refugees is always destined to clash with the legal framework of the legislation of the host countries, and guaranteeing a level of accessibility, equity, security, transparency and integrity equal to the one afforded to in-country voters is often an insurmountable task. Special negotiation skills are required to smooth out the practical implementation of these operations which must generally, be formalized through an MoU. Apart from the specific problems linked to the specific host countriesí legislation, the main legal problem in large external voting operations is the determination of the votersí eligibility. External registration and voting operations can be implemented in various forms, according to the logistics and the time available in advance of the election date. Implementation of the external vote is complicated by factors such as the number of voters, their locations, the distances involved and the complexity of the voting system. Planning becomes a two-tiered process as tasks for the internal vote are duplicated, under very different circumstances, for the external vote, and requires a carefully integrated approach to ensure that it is as transparent and administratively correct as the internal vote. 111 There is no best procedure for external voting and the implementation issues will vary depending on the methods of registration and voting. It is however clear that implementation is best done through professional agencies that have a sound logistical basis and that can couple specific expertise in the refugee protection field Internationally supervised balloting Another form of external voting is internationally supervised balloting for refugee, asylum seeker, and diaspora communities. This model of external voting was first employed by the Organization for Security and Cooperation in Europe (OSCE) and the Bosnia and Herzegovina 1996 elections. The provisions of the Dayton Peace Accords enfranchised refugee and asylum seekers communities and in-person voting was held in countries contiguous to Bosnia and Herzegovina, while postal voting was available for Bosnians displaced into around 50 other countries. The Iraqi diaspora was enfranchised in the January 2005 elections for the Transitional National Assembly (TNA) and the December 2005 elections for the Council of Representatives. There was in-person registration and voting in about 15 countries with the highest concentration of Iraqis in residence. For the January election, the initiative to conduct external voting was made by regulation from the Independent Electoral Commission of Iraq (IECI). However, for the December election, diaspora voting was mandated by the electoral law adopted by the TNA.

112 MODULE 2 EC-UNDP-IDEA Joint Workshop on Effective Electoral Assistance Activities in Support of Electoral Cycles Other examples of internationally supervised balloting are East Timor in 1999, Kosovo in 2000ñ2001 and Afghanistan in Regardless of the implementation and support agencies carrying out the out-of-country and external voting operations and regardless of the variations in methodology, security and privacy issues are central to the process and the procedure that best meets the needs of its electorate need to be carefully considered. OCV voting in Afghanistan (2004) On 21 July 2004, the United Nations Assistance Mission in Afghanistan (UNAMA) and the IOM entered into agreement on the conduct of the 2004 Afghan OCV presidential elections in Pakistan and Iran. The task of conducting this exercise was entrusted to the IOM, which implemented the programme on behalf of the Afghan Joint Electoral Management Body (JEMB) and UNAMA. An MOU was signed between the government of Afghanistan, UNAMA and the governments of Iran and Pakistan respectively. This memorandum ensured that the two host governments would provide widespread support for the Out of Country Registration and Voting Programme (OCRV) including providing and securing registration and polling locations as well as escorts for material transport. IOM-OCVR successfully registered 737,976 Afghan voters in Pakistan alone. A total of 846,776 Afghans voted in both Iran and Pakistan in Afghanistanís first democratic elections. This IOM operation was the largest OCV registration and voting programme ever held Enfranchisement of internally displaced persons There are currently no widely accepted electoral policy and practices norms regarding the enfranchisement of IDPs. This inconsistency persists despite the affirmations by the UNís Guiding Principles on Internal Displacement. The Guiding Principles define IDPs as persons or groups of persons who have been forced or obligated to flee or to leave their homes or places of habitual residence, in particular as a result of or in order to avoid the effects of armed conflict, situation of generalized violence, violation of human rights or natural or human-made disasters and who have not crossed an internationally recognized state border. Pertinent to electoral rights is Guiding Principle N 0 22 which states that IDPsí ìright to vote and to participate in governmental and public affairs, including the right to have access to the means necessary to exercise this right.î However, even as this right is affirmed in the Guiding Principles, IDP voters can be considered as potentially subject voters. Subject voters are enfranchised but dependent upon the government in power for their shelter, food and other life support. In order to identify policies and practices where IDPs have been enfranchised, it is necessary to examine elections with an international supervision or assistance dimension. Although there are examples of natural disasters displacing voters in advance of elections, most cases of IDP enfranchisement occur in a post-conflict context. Even in these cases with an international dimension, the policies and practices are not consistent. However, an approach to IDP enfranchisement can be described by exploring the experiences of these international electoral interventions.

113 Activities in Support of Electoral Cycles MODULE 2 IDP enfranchisement must be mandated and described in a peace agreement, UN resolution, national constitution, electoral law, and/or regulation. These documents constitute the legal framework for the election and mandate for IDPsí political rights. Through the elements of the framework that each of these documents offer, IDP electoral eligibility, identification, ballot, registration/polling modality, results reporting, and appeals process should be set forth. In order to implement such programs in post-conflict or post-disaster environment, IDP enfranchisement requires a collective effort of electoral, humanitarian, and security organizations. The electoral organizations have responsibility for the conduct of the registration, balloting, and tabulation. Within the terms of the legal framework, it is their responsibility to organize operations that will effectively reach displaced electorates. Humanitarian organizations can assist election organizers by identifying the locations, resident modalities, and channels of access to IDP communities. IDPs are also vulnerable populations. Registration and election operations must be coordinated with international and national security forces to assure that IDP registrants and voters are not victimized by violence or intimidation. The legal mandate must identify the ballot or ballot options available to the IDP. International practices have seen three options: ballot for place of home residence ballot for current location ballot for future intended residence It can be argued that the most compelling option is the ballot for the place of home residence based upon the assumption that IDPs desire to return to their homes. However, if their homes have been destroyed or taken over by an adversary, other options can be offered. 113 OM has devised a training course on Enfranchising Displaced Electorates. This course describes policies and practices that can support the enfranchisement of IDPs. IDPs can be resident in camps or dispersed through familial or ethnic communities. Each displacement pattern drives a different approach to the conduct of registration and balloting. If IDP populations are resident in camps, then an in-person, camp-based operation can be envisioned. However, if the IDP communities are dispersed, either IDPs are permitted to cast ballots with regular voters at the conventional polling stations, or they are segregated into IDP voting centres. If IDP voting occurs in camps or segregated polling centres, the results of these centres should be mixed with those of the general electorate. Although centre-based accountability and transparency is reduced by this procedure, the post-election protection of IDP voters from the threat of retaliation is a greater concern. Most cases of IDP enfranchisement occur in a postconflict context. Finally, if conventional judicial avenues of electoral appeals by IDP communities are not available, the electoral organization must establish adjudication mechanisms to assure that any IDP grievances about registration or voting are heard with equal weight to other voters.

114 MODULE 2 EC-UNDP-IDEA Joint Workshop on Effective Electoral Assistance Activities in Support of Electoral Cycles 2.12 Managing Results Page The results verification process is an activity that spans from the counting and announcement of results at the polling station level to the final allocation of the seats announced by the designated authority. In the middle, there is the aggregation of the results at various intermediate levels, the national aggregation and the announcement of preliminary results by the EMB, the final announcement of results by the delegated authority and the eventual challenges to the final results. All steps of this process require transparency, expediency and effectiveness. The credibility of the entire electoral event might depend on how these activities are dealt with. Even without any political interference or bias, a poorly managed results verification exercise will create undue suspicions and can negatively impact the elections. In post-conflict cases, this represents often the most sensitive stages, especially when there is no time to ensure adequate transparency in all stages of the process and the electoral officials might not be in full command of the procedures. Case study: Failure of managing results in Cote d Ivoire One recent example that sheds light on the importance of credible result management processes are the developments that unfolded in the aftermath of the presidential run-off elections in Cote d Ivoire in 2010, The Independent Electoral Commission announced the provisional results of the contest on the 2nd December and declared the victory of the former Prime Minister, Alassane D. Ouattara, but the results were invalidated by the Constitutional Council which, one day later, proclaimed that the former President, Gbagbo, had won the elections. Both claimed they were the legitimately elected President of the country, made themselves sworn in as Presidents, and established two separate governments with two different prime ministers. Demonstrations and violence broke out in the country with several persons being killed in clashes between the two political opponents. As this training manual went into press, the situation was still not solution to the political situation in the country. The main challenge of any results verification process is how to balance speed with accuracy and transparency. This turns very often into a communication problem as well: how to present an image of efficiency and transparency in such a stressful and delicate moment. Again, this is particularly true in post-conflict scenarios where incautious announcements might trigger off unnecessary violence. Assistance to the results aggregation process could be combined with the establishment of a media and results centre to provide the media in real time with all the information available on the various stages of the process. The general trend in established democracies is a movement towards automated process of results aggregation that would increase remarkably the speed of the results aggregation, always maintaining, at the same time, full access of the process to observers and political parties. Assistance to the results aggregation process could be combined with the establishment of a media and results centre to provide the media in real time with all the information available on the various stages of the process. This activity is generally part of a good communication strategy that serves the purposes of highlighting to the general public the overall efforts that the electoral administration put in place to organize a transparent and efficient electoral process and also commit the EMB to a transparent policy with regard to the announcement of results. In

115 Activities in Support of Electoral Cycles MODULE 2 post-conflict elections with a large international presence, slow but transparent counting and vote verifications operations are to be preferred, even though this might prolong the process for several days or even weeks. In extreme cases, such as Iraq and Afghanistan, forms of centralized counting might be preferred for security reasons whilst normally this solution is adopted only for special category of voters like refugees, absentees and special needs voters. The types of assistance which can be offered are mainly related to software development, auditing procedure and the setting up of a system which ensures a secure transmission of results. Apart from its user friendliness and security, software applications for results aggregation must also be auditable and open to scrutiny. Specific electoral assistance projects can deal with the entire results verification process from the transmission of results to the announcement of them to the media. Support of the electoral complaint mechanisms is also not to be underestimated and can be easily detached by other electoral projects. Alternative activities to be supported that could play an important role to enhance the transparency of the process are the so called ìparallel vote tabulationî or ìquick countî. These are basically results survey based on the selection of a statistical sample of polling stations, generally to be implemented by CSOs or domestic observation groups. EDR mechanisms should be supported throughout the electoral cycle Electoral Dispute Resolution Destructive disputes can sometimes be constructive because they may help ensure proper management of elections and provide checks towards the free and fair principles of elections. Electoral disputes are inherent to electoral processes and yet, electoral dispute resolution (EDR) mechanisms have often been a neglected area of assistance. EDR mechanisms should be designed and put in place to effectively deal with challenges that arise throughout the various stages of the electoral process, not only after the announcement of the results. For example, disputes over voter registry have been dubbed by many observation reports as being frequent and yet, minimal attention has been provided by the EMB, observers and EDR bodies themselves to anticipate them. Registration of election participants and candidacy, which often occur long before election day, may also be highly contentious affairs. To be more effective, it is important to establish EDR mechanisms and support them sufficiently in advance as they are the ultimate guarantor of the principle of free and fair elections If EDR mechanisms were absent, aggrieved election participants would have nowhere to lodge their complaints. The consequence would be that they would either argue amongst themselves or, worse, that they may commit vandalism and violence out of frustration. In such situation (and also in normal conditions) a natural pick for the blame would be the EMB. Therefore, at any given situation, an EMB should be equipped with EDR procedures and resources. Better yet, these procedures need to be prescribed by law and resources made available by the state. EDR mechanisms can be both formal and informal. More attention has been given towards formal mechanisms because they are perceived as the optimum method for adjudication of electoral complaints, like judicial systems in general. However, in practice, many disputes are resolved informally through negotiations among the parties in dispute or even mediated by civic leaders or other respected personalities. 37 See also Electoral Justice: The IDEA Handbook:

116 MODULE 2 EC-UNDP-IDEA Joint Workshop on Effective Electoral Assistance Activities in Support of Electoral Cycles Unlike formal mechanisms, informal mechanisms are rarely recorded and by nature, often happen on an ad-hoc basis. Should the outcome of an informal EDR be unsatisfactory to one of the parties, they would still have the option to go funnel their grievances through the formal mechanism, provided such mechanism exists. This is probably why more attention has been given towards formal mechanisms. However, informal mechanisms in less complicated disputes, such as disputes over rally location or over a small argument between supporters of different candidates, may prove to be an efficient and expedient dispute resolution mechanism. The resolution of electoral disputes is delivered through the following bodies: the EMB itself or special permanent or temporary electoral bodies mandated by the election law ordinary administrative and judicial bodies operating under special procedures permanent electoral court commissioned directly with the resolution of electoral disputes the constitutional court or council a legislative body mixed systems which allow legislatures to review and rule over electoral appeals, while maintaining judicial intervention at some point of the process There can be different bodies empowered with EDR, depending upon the legal system, history and culture in the country, but they should all follow these key principles: 116 ÕÕ ÕÕ ÕÕ ÕÕ independence of EDR bodies, including impartiality of its members and staff accountability of EDR bodies, which include transparency and efficiency of the processes as well as integrity and professionalism of its members and staff equal treatment to all complainants and a level playing field in terms of procedures and filing fees effective enforcement of decisions, including where disputes are resolved informally, all parties involved adhere to the agreed settlement Electoral assistance towards EDR should focus on all three periods of the electoral cycle. Postelection evaluations and review would contribute dearly towards future improvements and reform. Ensuring the existence of efficient EDR mechanisms with high integrity and optimum capacity of EDR bodies through development of legal framework, procedures and professionalism would be desirable. However, it is also important to ensure complainants understand their rights and the procedures for making effective complaints. Potential complainants often lack knowledge on what constitutes proper legal complaints, what evidence is required, how to record evidence and so on. Not knowing these aspects may result in their lodging unsuccessful complaints as the burden of proof often lies on the complainants. Some EDR bodies make the effort to inform political parties, candidates and election monitors of the procedures and evidence required, but it would require the interest of the recipients as well to make it effective. Other EDR bodies do not have the resources or willingness, which present opportunities for assistance providers to step in.

117 Activities in Support of Electoral Cycles MODULE Post-Electoral Period The post-electoral (or in-between elections ) period has been long considered a grey area, which often occupies a temporal space larger than all the other stages of the cycle together. The electoral cycle approach has re-evaluated the importance of this period for electoral assistance as the real beginning of the new cycle of assistance. The post-electoral period is, in fact, not the end but the real beginning of a new cycle and plays a crucial role in taking on board lessons learned and recommendations for a range of different issues, both in post-conflict contexts and developing democracies. From legal reform to technological development to EMB internal strategic planning and funding, the period between electoral events provides a perfect opportunity to tackle many issues which could not be dealt with before due to lack of time or resources in the previous run up to the elections. For an EMB, the post-electoral period would be the perfect moment to discuss and promote electoral reform with the legislative, introduce new technologies or modifications to existing ones, implement functional and structural changes and commence institutional strengthening and capacity development. The challenge is to overcome the election fatigue and lack of motivation that hits electoral administrators and the elected legislative bodies alike, since the participation of these stakeholders must be fully committed to the reforms and changes to be introduced. The second, often insurmountable problem is related to the lack of funding. Unfortunately, the same lack of motivation and political disinterest that is found at the national level is also present among the donors. In the best case, there is always a shift in the funding priorities to other sectors and other activities. It is important to overcome the challenge of election fatigue and lack of funding throughout the post election period. 117 Gaining from the momentum of post-election consolidation activities and observers recommendations, international development agencies and electoral assistance providers could play a crucial role in the identification of those aspects of the process that require reform, or radical change, at a time when there is less political tension and a greater interest among political parties to seek out compromise positions. This is typically a good time for the international actors to discuss with the national counterparts in the context of an ongoing dialogue, a specific action plan, a possible peer review, or other audit or reform activity which could address the identified weaknesses of the previous electoral event in the respective partner country.

118 MODULE 2 EC-UNDP-IDEA Joint Workshop on Effective Electoral Assistance Activities in Support of Electoral Cycles Summary Electoral management bodies are the main recipients of assistance. Other subjects of potential support include civil society, domestic observer groups, media, and in some cases political parties, national institutions and security forces. Support projects to the legal-institutional framework might represent a very delicate and rather intrusive form of assistance, but are often fundamental to break a deadlocking or starting the democratic development process. The key variables of electoral systems are the electoral formula used, the ballot structure and the district magnitude. A normative, fearless independence of decision and action is expected of all EMBs, no matter the model, and cannot be guaranteed only by adopting a structurally independent model EMB. The periodic delimitation of electoral boundaries, or redistricting, is necessary in any representative system where single-member districts or uniformly small multimember districts are used. 118 The EMBís strategic plan is a record of what the institution stands for, what it does and why, and what it intends to achieve. Operational planning, on the other side, is setting out clearly the implementation of the strategic plan against specific objectives. Civic and voter education programmes are costly activities and cannot always be the sole burden of the election authority. In most cases civic and voter education is done by a wide variety of organizations and individuals. In the long run, domestic observation has a significant advantage over international observation. Domestic observer groups can more easily gather larger numbers, they know the political culture, language and territory. Summary Election authorities may stand in three distinct relations to the media: as a regulator; as a communicator and as a news target of media stories. The steps in determining involvement with political parties include: investigating impartiality issues and considering how to shape a programme to be as inclusive as possible. The main way to support voting operations is to provide financial and technical means to facilitate the timely procurement of communication and transport equipments. External voting is best done through professional agencies that have a sound logistical basis and that can couple specific expertise in the refugee protection field. The main challenge of any results verification process is how to balance speed with accuracy and transparency. The types of assistance which can be offered to the results aggregation process are mainly related to software development, auditing procedure and the setting up of a system which ensures a secure transmission of results.

119 Activities in Support of Electoral Cycles MODULE 2 Quiz 1. Who are the stakeholders in elections? ОО Those responsible for organising the election ОО All those individuals, groups and organisations that have an interest in the operations and results of the election ОО Only people with voting rights 2. What is the common name of the authority responsible for organising elections? ОО Electoral Management Body ОО Election Administration Board ОО Electoral Managerial Association ОО The Ministry of Interior 3. What of the following is NOT considered a key variable of an electoral system? ОО Seat allocation formula ОО District magnitude ОО The number of years for which representatives are elected ОО Ballot structure 4. Which is the best electoral system? ОО First-Past-The-Post ОО Proportional Representation ОО Single Transferrable Vote ОО Two-Round-System ОО Alternative Vote ОО It depends on the circumstances The strategic plan should ideally cover: ОО one specific period in the electoral cycle: the pre-electoral period, the election period or the post-electoral period ОО one electoral cycle ОО more than one electoral cycle 6. Voter education: ОО refers to the basic information enabling qualified citizens to vote ОО addresses voters motivation and preparedness to participate fully in elections ОО deals with the broad concept underpinning a democratic society Quiz 7. The relationship between EMBs and media is fairly complex. Election authorities may stand in three distinct relations to the media which does NOT belong in the below list? ОО As regulator ОО As financial contributor ОО As communicator ОО As news target

120 MODULE 2 EC-UNDP-IDEA Joint Workshop on Effective Electoral Assistance Activities in Support of Electoral Cycles 8. What are the typical challenges encountered on Election Day? ОО Poor planning ОО Use of inappropriate and non-sustainable technologies ОО High costs of last-minute deliveries ОО Late, missing or wrongly delivered materials ОО Poorly trained or biased staff ОО Disenfranchised voters not on the voting list or not knowing where to vote ОО Irregularities and fraud ОО All of the above 9. What does EDR stand for? ОО Electoral Districting Regulations ОО Electoral Dispute Resolution ОО Effective and Direct Reform 10. Assistance to EMBs typically relates to ОО Funding of electoral operations ОО Technical advice ОО Training ОО Procurement of materials ОО All of the above Which are possible area(s) when it comes to increasing women participation in elections? ОО Political participation: focus on nomination and election of women in (previous) elections and the way in which the general legal framework facilitate women participation ОО Administration of elections: focus on the quantity and preparedness of women in EMBs, recruitment policy and selection criteria ОО Access to voter information and education: focus on messages from media/ political parties and the way in which they are likely to enhance women s knowledge ОО All of the above 12. What is iknowpolitics? ОО A web-based network aiming to serve the needs of officials, candidates, political party leaders and members, researchers, students and other practitioners interested in advancing women in politics ОО A knowledge management system aiming at increasing political awareness among electorates world-wide ОО An organization aiming to party candidates in successful electoral campaigning Quiz 13. How can EMBs and donors enhance the participation of disabled? ОО Make sure that discriminating regulations are abandoned ОО Build capacity in/cooperate with CSOs/NGOs working with disabled ОО Base polling station plans on considerations regarding to disabled persons ОО Provide guidelines to officials at polling stations outlining instructions on who to provide extended assistance ОО All of the above

121 Activities in Support of Electoral Cycles MODULE International institutions are: ОО never involved with setting up a country s constitution for the sake of impartiality ОО under specific circumstances involved in writing constitutions ОО always involved in reforming parts of the constitutional and legal framework when assistance to elections are provided 15. What is meant by conscious electoral system design? ОО That electoral systems are set up and/or changed based on considerations as regards how it is believed to function with particular reference to the promoting a sustainable democracy ОО The involvement of international experts during the set-up of electoral laws ОО Political parties consciously decide upon electoral rules in order to maximize their number of seats in the legislature the subsequent election. 16. What does plurality mean when we are talking about electoral systems? ОО That seats are distributed to political parties on a proportional basis ОО That a candidate wins the election if (s)he get the most votes of all candidates in the district ОО That a candidate wins required that (s)he gets at least 50 percent of the votes 17. What is particular with the French style Two-Round-System? ОО It requires the organization of a second round of election when none of the candidates have passed a certain threshold, usually set to 50 percent of the votes, in his/her constituency ОО It distributes seats on a proportional basis ОО It has two components whereby some representatives are elected on a proportional basis whereas others are elected based on plurality rules EMBs have four core responsibilities and many additional elements to take care of for the conduct of elections. Which of the following five items does NOT belong to the CORE responsibilities? ОО Determining the voters eligibility ОО Verifying party and candidate registers ОО Campaign for political parties that endorse democratic principles ОО Conducting the poll ОО Counting and tabulating the results Quiz 19. There are three broad types or models of EMBs. Which does NOT belong to the list? ОО External ОО Independent ОО Governmental ОО Mixed

122 MODULE 2 EC-UNDP-IDEA Joint Workshop on Effective Electoral Assistance Activities in Support of Electoral Cycles 20. Which are the core guiding principles of EMBs ОО Independence ОО Impartiality ОО Integrity ОО Transparency ОО Efficiency ОО Service-mindedness ОО All of the above 21. When EMBs exhibit structural independence, it means that they are formally independent of the executive branch of government true or false? ОО True ОО False 22. The term boundary delimitation refers to: ОО the establishment of fixed boundaries between EMBs on the one hand and government executive branches on the other in order to ensure impartiality ОО the setting up of boundaries for the campaign period with particular reference to financial spending rules ОО the drawing of electoral districts Problems that may arise due to poor planning are: ОО lack of coordination ОО insufficient or unrealistic budgeting ОО underestimation of time needed to complete certain operations ОО delayed disbursement of funds ОО late procurement ОО late recruitment of personnel ОО All of the above 24. Voter information: ОО refers to the basic information enabling qualified citizens to vote ОО addresses voters motivation and preparedness to participate fully in elections ОО deals with the broad concept underpinning a democratic society 25. Civic education is likely to be carried out by the EMB true or false? ОО True ОО False Quiz 26. Which of the following is often the most costly expenditure made by election administrators? ОО Voter registration ОО Boundary delimitation ОО Training of domestic observers and media monitors ОО The counting process ОО Party financing

123 Activities in Support of Electoral Cycles MODULE A periodic registry is: ОО established, maintained and continuously updated by the EMB ОО derived from the civil registry ОО time and cost effective ОО produced immediately prior to each new electoral event and not is maintained in between elections ОО acknowledged as a common goal for many election administrators 28. A common goal for many EMBs is to establish a: ОО periodic registry ОО permanent registry 29. International observers, as opposed to domestic observers, are often indispensable in post-conflict or difficult transitional settings because: ОО they exhibit first-hand knowledge in terms of the country s culture, language and territory ОО they can easily reach large numbers ОО non-partisan civil society groups are virtually none-existent or non-functional 30. Which of the following groups may be involved in media monitoring during elections? ОО EMBs ОО Independent media regulatory authorities ОО International election observation missions ОО Civil society organizations ОО All of the above Which of the following is generally regarded as the most professional and responsible approach to reporting inflammatory political speeches? ОО Report the speech accurately, but add context and balancing comments ОО Refuse to report the speech ОО Report the speech accurately 32. Which of the following media monitoring institutions have most freedom in the way they can monitor election coverage both as far as methodology and publication of findings are concerned and thereby contribute to raise journalistic standards while the election campaign is still going on? ОО EMBs ОО Independent media regulatory authorities ОО International electoral observers ОО NGOs and CSOs Quiz 33. Which of the following media monitoring institutions will usually withhold their findings until after the election has taken place? ОО EMBs ОО Independent media regulatory authorities ОО International electoral observers ОО NGOs and CSOs

124 MODULE 2 EC-UNDP-IDEA Joint Workshop on Effective Electoral Assistance Activities in Support of Electoral Cycles 34. Quantitative analysis of media: ОО entails counting and measuring election coverage according to for example the number and length of items devoted to different parties, length in column inches, timing and number of direct access programmes and so on and so forth ОО is an approach that measures the tone in terms of positive, negative and neutral reporting of media s election coverage 35. International electoral assistance to political parties is a problematic area because; ОО political parties are expensive to run ОО of issues related to impartiality ОО because it is too difficult to coordinate ОО because parties usually are not able to redistribute the money downwards in their organizations owing to lack of internal democratic procedures 36. International electoral assistance to political parties can entail training on: the electoral system and its consequences and its consequences for voter information campaigns of the party ОО voter registration procedures and enfranchisement rules ОО candidate and party procedures ОО media law and regulations to ensure fair and equitable access to media ОО rules relating to party finance and disclosure ОО All of the above Which of the following statements is FALSE when it comes to EC/UNDP political party support? ОО Support to political parties ought to aspire to the principles of impartiality ОО Activities that would clearly be seen as a direct endorsement of a specific party must be avoided ОО Funding should always be provided directly to political parties 38. There are four basic options for the procedure for external voting. Which of the following should be removed from the list? ОО Voting by proxy ОО Personal voting voting in person in diplomatic missions or military bases ОО Postal voting ОО Electronic voting ОО Voting according to party choice made during registration Quiz 39. The main challenges as far as managing results relates to ОО Speed ОО Accuracy ОО Transparency ОО All of the above 40. When centralised counting procedures are implemented, this usually owes to: ОО the expectation that the incumbents will win the election ОО security considerations ОО lack of finances for local counting procedures on behalf of the EMB

125 Activities in Support of Electoral Cycles MODULE What kinds of activities are typical in the post-electoral and early pre-electoral periods? ОО Civic education, voter registration and training of staff ОО Vote counting and result aggregation as well as result verification ОО Legal reform and technological development as well as EMB internal strategic planning and funding 125 Quiz Right answers: 1=b, 2=A, 3=C, 4=F, 5=c, 6=b, 7=b, 8=h, 9=b, 10=e, 11=d, 12=a, 13=e, 14=b, 15=a, 16=b, 17=a, 18=c, 19=a, 20=g, 21=a, 22=c, 23=g, 24=a, 25=b, 26=a, 27=d, 28=b, 29=c, 30=e, 31=a, 32=d, 33=c, 34=a, 35=b, 36=f, 37=c, 38=e, 39=d, 40=b, 41=c

126 MODULE 2 EC-UNDP-IDEA Joint Workshop on Effective Electoral Assistance Activities in Support of Electoral Cycles 126 Print and Online Resources Print and Online Resources Core Reading UNDP Electoral Assistance Implementation Guide Guide.pdf. - Chapter 1: The Assessment Process (page 15) - Chapter 3: Capacity Development and the Electoral Cycle (pages 41-53) EC Methodological Guide on Electoral Assistance - Chapter 3: A New Approach Towards Sustainable Electoral Processes (pages 50-55) - Chapter 4: Issues and Entry Points (pages ) Electoral Management Design: the International IDEA Handbook - Chapter 1: Who Organizes Elections? (pages 5-25) - Chapter 5: Planning and Implementing EMB Activities (pages ) - Chapter 6: The Development of Professional Electoral Management (pages ) - Chapter 8: Stakeholder Relationships (pages ) ACE Focus On Effective Electoral Assistance (pages 20-21) UN/UNDP A Guide to Civil Society Organisations Working on Democratic Governance A Handbook on Working With Political Parties DPKO/DFS-DPA Joint Guidelines on Enhancing the Role of Women in Post-Conflict Electoral Processes Electoral Financing to Advance Womenís Political Participation: A Guide for UNDP Support docman&task=doc_download&gid=56&itemid=. Electoral Management Bodies as Institutions of Governance Supporting Public Service Broadcasting: Learning from Bosnia and Herzegovinaís Experience The UNDP Handbook on Working with Political Parties (2006) UNDP and Access to Information UNDP and Electoral Systems and Processes

127 Activities in Support of Electoral Cycles MODULE 2 UNDPís Engagement with Political Parties pdf. Womenís Political Participation and Good Governance: 21st Century Challenges EU/EC The Work of Domestic Election Observer Groups Around the World Print and Online Resources International IDEA Electoral Justice: The IDEA Handbook Electoral Dispute Resolution Systems: Towards a Handbook and Related Materials Electoral System Design: the International IDEA Handbook International Electoral Standards: Guidelines for Reviewing the Legal Framework of Elections The IDEA Voter Turnout since 1945: a Global Report (2002) Funding of Political Parties and Election Campaigns (2003) Effective Party Assistance: Stronger Parties for Better Democracy (2007) The Implementation of Quotas, the African Experience (2004) The Implementation of Quotas, the Asian Experience, IDEA, (2003) The Implementation of Quotas, the Latin American Experience (2003) ACE Electoral Knowledge Network ( Legal Framework: Boundary Delimitation: Civic and Voter Education: Voter Registration: Voter Operations: Other NEEDS: Capacity Building for Election Observation: NEEDS: The Work of Domestic Election Observer Groups Around the World: Aid Delivery Methods: IFES: Political Money and Corruption by Dr. Marcin Walecki: Pinto-Duschinsky, M.: Financing Politics: A Global View, in Journal of Democracy, vol.13, 127

128 MODULE 2 EC-UNDP-IDEA Joint Workshop on Effective Electoral Assistance Activities in Support of Electoral Cycles number 4 (2002): 128

129 3. Technological Innovation in the Electoral Process

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131 Learning objectives To become familiar with the general shoulds and should nots of the introduction of new technologies in electoral processes To distinguish between different types of voter registration methods To be aware of the intervention points of electoral assistance to the registration process To learn about the main advantages and disadvantages of electronic voting systems To appreciate the impact of context upon appropriate use of new technologies 3.1 Embracing Appropriate Technology 131 MODULE 3 Any effort to make electoral assistance more effective must also tackle the issue of the increasing use of technology in electoral processes. The accelerating development of ICT applications available for electoral purposes and the appeal Page that such applications have for the partner countriesí EMB are factors to be reckoned with by all EMBs, development agencies, electoral assistance providers and practitioners. ICT has already dramatically changed the way elections are conducted in many developed countries. This process is likely to continue and affect more and more emerging democracies, regardless of their level of preparedness to introduce such applications, and the cost implications, which can be horrendous. EC and UNDP have increasingly received requests, in particular from ACP countries, regarding the introduction or upgrading of technological solutions for electoral processes. Notably, requests do not only come from emerging democracies but also from post-conflict contexts. With this in mind, there is a need to obtain more information about the best practices for the introduction and use of ICTs in various contexts and also on issues related to costs and sustainability.

132 MODULE 3 EC-UNDP-IDEA Joint Workshop on Effective Electoral Assistance Technological Innovation in the Electoral Process In general terms, ICT applications in the electoral process can be categorized into three broad groups: communications, telecommunications, radio, networks and the internet computer hardware and software, word processing/spread sheets, database management systems specialized electronic/mechanical devices, non-electronic innovations and materials 132 The biggest challenge is how to ensure a sustainable, appropriate, cost effective and transparent use of technology, particularly in post-conflict elections and in fragile and emerging democracies. There is no fixed solution that can be applicable everywhere: different situations require different solutions. As a general rule, the level of technological upgrades suitable for a given partner country should always Voting registration in Sierra Leone 2002 be directly related not only to the capacity, but also to the trust and independence enjoyed by its EMB. These elements are decisive to the acceptance of the use of ICTs by the public and, as a consequence, influence the level of trust in the electoral process. Providing that technologies are legally supported, operational appropriate, cost-effective, implemented in a timely manner, transparent and sustainable, they can build credibility by improving the speed and efficiency of the electoral process. There is no fixed solution for the use of appropriate technology: different situations require different solutions. Technology can build credibility by improving the speed and efficiency of the electoral process. However, too much attention to technology applications may divert the EMBs from other important matters, and may drain development agenciesí or EMBs budgets. Costs associated with purchasing and distribution, system defects, poor design or testing may leave development agencies captive to increasing costs in order to save what they have already invested in. There is a need to skill up staff to implement sustainable systems, and this may not be easy given the short timetables that are often involved. Moreover, undue influence in favour of one solution or another may be exerted by interested vendors or even by development agencies who wish to introduce a technology similar to the one in use in their own country. Finally, it might be so that political groups in power view the use of technology as the ultimate and the most effective method to control the electoral process. Within this framework of possibly conflicting interests, EMBs, development agencies, practitioners, academics and electoral assistance providers have an important role to play in influencing the technological choices to be adopted in a given electoral process, so that it fulfils the appropriate needs of the country. Added conflicting interests appear when developing technical specifications, validation testing, budgets and available timelines for appropriate implementation.

133 Technological Innovation in the Electoral Process MODULE 3 Technology should be Technology should NOT be: ÕÕ ÕÕ ÕÕ ÕÕ ÕÕ ÕÕ ÕÕ implemented in a timely fashion; before an election; legally supported; operationally appropriate; cost effective; transparent and add to integrity; sustainable. ÕÕ Driven by vendor or donor interests ÕÕ Considered a proof of development ÕÕ Suppress more important needs ÕÕ Introduced too close to election day A good understanding of the electoral cycle helps to identify the best circumstances in which a partner countryís EMB can embark on a technological upgrade. Technological upgrade ideally takes place in the post-electoral and early pre-electoral periods to allow for testing and training. However, these circumstances may not be in line with the typical development agenciesí planned financial commitment shortly before an election. Technology and the sociocultural dimension: The one aspect of introducing technology applications in electoral processes that has been strongly neglected to date is the sociocultural dimension. Too often, heavy investments in technology are not further supported by adequate attention to confidence-building activities aimed at explaining to the stakeholders and the electorate the purpose and the functions as well as the security control mechanisms associated with every technology upgrade. This can generate new distrust which can sometimes be the most difficult problem to overcome in transitioning to a new system and might lead to a dangerous loss of credibility for the electoral institution. Another problem has to do with the fact that too much may be expected all at once from technology upgrades improved security, transparency and efficiency and public expectations may be unrealistic. 133 The EC and UNDP have are already received and will continue receiving requests from recipient countries for support in funding and/or implementing technology-based civil and voter registration activities, electronic voting and electronic tabulation of results. In line with the most recent progress achieved in terms of technological solutions for electoral-related purposes by developed countries, the EC and UNDP will be more and more frequently requested to provide financial and technical support for such activities, especially in the countries of the African- Caribbean-Pacific Regions. The inevitable increased use of ICTs in civil and voter registration represents an opportunity not only to improve accuracy and expediency, but also to establish higher standards of transparency and accountability. There are several benefits to be attained, all leading to a general improvement of public administration services and the promotion of enhanced good governance objectives. However, the use of new technologies poses many challenges that need to be taken into consideration when deciding what the methodologies should be adopted. In fact, if such systems are not properly designed, managed and implemented, opportunities for manipulation of personal data, mismanagement in public affairs and electoral fraud, may actually increase with computerization.

134 MODULE 3 EC-UNDP-IDEA Joint Workshop on Effective Electoral Assistance Technological Innovation in the Electoral Process Infrastructure and capacities of the partner country Effective technology upgrades cannot be introduced without an honest evaluation of the degree of IT literacy and infrastructure that already exists in the partner country. Long-debated issues like feasibility as well as long-term technical and financial sustainability can be properly addressed through transparent and open tendering procedures (including pilot and validation tests) and through serious training and capacity-building measures to be required as part of the service. A fascinating debate remains open on whether it is appropriate to introduce a level of technology that is aligned with the existing capacity of the partner country or whether such capacity should be increased for the purposes of introducing a technological upgrade that can serve the partner country beyond the immediate needs of the electoral event. This debate is particularly heated over crucial aspects of the electoral process such as voter registration, voting, vote tabulation and results aggregation. Less controversial areas are communications and logistics, voter and civic education, and even training, where technology can be introduced more smoothly as a tool to improve effectiveness and product delivery without requiring legal changes. 3.2 Voter Registration Methodologies 134 Page As mentioned in module 2, voter registration is arguably the most crucial and expensive component of an electoral process and the one to which the sustainability studies of the most advanced electoral administrations are increasingly turning their attention. Voter registration is also one of the areas of the electoral cycle where the influence and the application of ICT is growing continuously. The combination and the temporal sequence of registration activities vary considerably according to the specific system and methods chosen for gathering votersí data. These methods can be divided into three broad categories based on the level of technology applied to the process: Low-tech: Manual transcription of votersí data onto paper performed at the voter registration centres. This was often chosen in the first generation or post-conflict elections when the technology was not available or far too expensive Medium-tech: Recording of votersí data by using standardized paper forms later scanned through various technologies, Optical Mark Reader (OMR) 38 or Optical Character Recognition (OCR) 39 or Intelligent Character Recognition (ICR)) 40 at the local level and then scanned and aggregated in national votersí lists maintained at the central level but available for updates at the local Voting registration level 38 Optical mark recognition is the process of capturing data by contrasting reflectivity at predetermined positions on a page. By shining a beam of light onto the document the scanner is able to detect a marked area because it is more reflective than an unmarked surface. 39 Optical character recognition involves computer software designed to translate images of handwritten or typewritten text captured by a scanner into machine-editable text, or to translate pictures of characters into a standard encoding scheme. 40 Intelligent Character Recognition is an advanced optical character recognition system that allows fonts and different styles of handwriting to be learned by a computer during processing to improve accuracy and recognition levels. Most ICR software has a self-learning system referred to as a neural network, which automatically updates the recognition database for new handwriting patterns.

135 Technological Innovation in the Electoral Process MODULE 3 High-tech: Immediate data-entry performed at the voter registration centres through notebook computers, sometimes with the information transmitted in real time to a centralised processing facility or stored electronically for periodical delivery through external memories or compact discs. These systems often involve digital picture taking, biometric recognition features (such as fingerprints) and can include the production and distribution of votersí cards on site with implementation of the AFIS for double-entry check at regional and national level The intervention points to support a registration process can be classified at three different levels, corresponding to the different temporal span at which intervention is recommended prior to an election: ÕÕ ÕÕ ÕÕ ÕÕ Support to both the EMB and the relevant government ministry/agency that manages the civil registry to examine ways to merge both the civil and voter registries, or allow for the voter register to be generated automatically from the civil registry (at a particular point in time) Support to the EMB to design a new permanent registration system (during the post election phase and up to 18 months before the next elections) Support to the EMB to conduct a specific voter registration process which requires the use of new technology and a change in the approach of system (until one year before elections), including simulation exercises to adapt the methodology according to the results obtained of the simulation Simple procurement of voter registration material (up until six month before the election) or technical support to domestic groups observing voter registration (between one year to six months before elections) Biometric systems and AFIS 135 All the above considerations about the correct and adequate use of technology apply specifically to an area of rapidly growing interest which has significant financial implications: the introduction of biometric features in voter and civil registries. Biometric systems are used to measure physical characteristics and behaviours (fingerprints, speech, face, iris and the like) with the objective of recognizing patterns to distinguish those that match closely enough to be considered identical from those that are different enough to be considered non-identical. Biometric systems have proven particularly useful in two specific segments of the electoral cycle, namely voter registration and voting operations. Automatic Fingerprint Identification System (AFIS) refers to software applications capable of establishing the identity of an individual through fingerprints by the use of biometric functions. Automated Fingerprint Identification Systems (AFIS) have been included in many voter registration processes in the last years, and in some cases they have been included in the legal provisions governing voter registration. Biometric systems are in fact increasingly considered to be the definitive solution to voter impersonation and multiple voting practices. They are especially popular in post-conflict countries and emerging democracies with either very limited or non-existent forms of civil registry identification, such as Angola, DRC, Togo, Guinea Conakry, Nigeria, Mozambique and Pakistan, and are under consideration in a large number of developing countries. Examples of biometric systems and AFIS in use:

136 MODULE 3 EC-UNDP-IDEA Joint Workshop on Effective Electoral Assistance Technological Innovation in the Electoral Process Nigeria is one country in which AFIS has been used for election purposes. The EMB identifed and removed milions of duplicates from the voters register based on decentralized datasets (using a number of local government areas rather than the whole country as one dataset) using AFIS. AFIS has also been used in the voter registration process in DRC and Venezuela and electoral rolls have in previous elections been produced by Pakistan s National Database and Registration Authority (who has systems including fingerprint biometrics) on behalf of the Elections Commission of Pakistan. It was also considered for the 2003 elections in Yemen to address problems with the current voters register. In Yemen, the issue was not to develop a new AFIS system, but rather to explore the possibility to merge the voter registration with the existing AFIS-based civil registry system. Recently biometric digital voter registration and AFIS have similarly been introduced in Guinea-Conakry, Cote d Ivoire, Togo, Zambia, Benin and several PALOP countries. Read more at The main considerations to be made with regard to AFIS relate to 136 Cost: The introduction and use of AFIS are likely to have high costs attached and it is important to go through a thorough procurement process to find the most appropriate and cost effective system. Time. A realistic understanding of the time required to introduce an accurate afis is necessary. It may take months or even years to develop the system and produce ID cards based on it. Accuracy and credibility. Achieving acceptable levels of accuracy needs thorough consideration and it is important that there are realistic expectations of what AFIS can deliver, both by the EMB and other stakeholders Risks and Challenges While technology could be an important tool to reduce costs and improve sustainability, the danger for EMBs, electoral assistance providers and donors is that they become hostages to vendors, who have been known to opt for technological solutions which might not be standard compliant, suitable, cost effective and/or sustainable for the partner country in the long run. It is important to remember that the depreciation costs are high in terms of the equipment procured and are aggravated by a failure to properly store and look after this equipment. In this context it is convenient to study at the identification/formulation stage, the institutional context of a given country, its capacities and the potential and synergies ICT can offer. Another risk is the failure of the whole system due to the low quality of the collected votersí data or mistakes in its processing during registration updating, which jeopardize the significant investments made in technology. Thus, a careful feasibility and sustainability analysis covering the whole electoral cycle should be made before embarking on large-scale support to medium-tech or high-tech solutions. 41 Read more at ACE Practitioners Network, at

137 Technological Innovation in the Electoral Process MODULE Creating synergies between voter and civil registries There is a growing interest among government, electoral management bodies and donors to explore possible synergies between voter and civil registration. The civil registry (or population registry) refers to a repository of vital statistics (e.g., birth, death, marriage etc.) over a stateís citizens and residents. As noted in module 2, civil registries can be used to easily extract voter registry in a cost-efficient manner. The current EC-UNDP-IDEA Study on The Use of ICTs in Electoral Processes aims to address the lack of comparative and balanced assessments of the main advantages and disadvantages of the potential synergies between civic and voter registries. In particular, the study aims to tackle issues related to sustainability and cost effectiveness as well as its political, institutional and financial implications. Additionally, it seeks to contribute to the effective handling of the complex and delicate set of interactions connected to this specific area of technical assistance among the EC, UNDP, EMBs, other assistance providers, multilateral and bilateral development agencies, partner country governments, CSOs, political parties and vendors. The study emphasizes the importance of legal support to data sharing among government departments and institutions. Data sharing may give rise to controversy. In particular, the citizenry may have concerns regards loss or potential loss of privacy and/or misuse of information. Legal and public support is therefore essential as well as institutional collaboration. It puts the assessment and comprehensive audit of the process of the civil registry and registration process at the core of the debate. If civil registry is not up to standards, then the extracted voter registry will be unsatisfactory. 137 Finally, it highlights that, irrespective of the civil and voter registrations integration approach, it is considered a best practice that the electoral administration remains responsible for generating the votersí lists. In many countries, the public administration responsible for the civil registry (e.g., the ministry of the interior) is also the institution that produces the voter registry. This type of arrangement, however, makes the lines of responsibility unclear. Critical issues when considering the advantages and the limitations of technological innovations applied to civil voter registration as well as the introduction and use of ICTs in electoral processes in general are the following: ÕÕ ÕÕ ÕÕ ÕÕ ÕÕ ÕÕ ÕÕ ÕÕ ÕÕ ÕÕ ÕÕ the level of politicization and public confidence enjoyed by the public administration and EMBs the average level of computer literacy of national civil servants the development of the ICTs and other infrastructure needed to support such projects long-term sustainability of the hardware and software applications to be introduced compliance with existing international standards storage (and maintenance) of the material selection criteria of the service providers level of security and data protection features to be introduced synergies and cooperation between different ministries and state agencies overall costs (both immediate upfront costs, as well as, longer term costs), and who would cover them role of private companies signing Build Operate Transfer direct agreements with relevant ministries

138 MODULE 3 EC-UNDP-IDEA Joint Workshop on Effective Electoral Assistance Technological Innovation in the Electoral Process Auditing of Voter List Auditing of voter registration is of prime interest to stakeholders of the electoral process. It provides the opportunity to understand the processes for establishing/updating voter registers as well as assessing the resulting votersí register. Given the role played by the voter registry in elections, several attempts have been made to standardize their auditing procedure. However, up to now, there is no systematic approach to their verification. This is in part due to the complex process leading to establishing or updating votersí registers. The approach suggested to auditing voter registration is based on first assessing the process itself and later using statistical testing as a tool to collect auditing metrics (i.e., evidence) to enable interpretation of facts discovered when evaluating the registration process. The auditor uses a conceptual model that enables the analysis of the process (operational concept), how it is implemented in practice (reports and summaries) as well its outcomes (votersí databases, votersí lists, etc.). The procedure is complemented with statistical testing which requires sampling. An approach for calculating the appropriate sample size is based on existing electoral mathematics. These are adapted to the voter registration context. This auditing process can be performed at three different stages of the electoral cycle, namely: 138 pre-registration to assess the problems in the votersí registers and identify corrective measures; post-registration to verify that suggested improvements have been indeed implemented and provide evidence of the quality of the votersí register prior to an election event; post-electoral, where using the post-electoral period of the electoral cycle, the election administration tries to understand, using a scientific approach, the lessons learned and the weaknesses of the voter registration process as well as its influence on the election results EC and UNDP involvement The EC and UNDP recognize the importance of the use of new technologies in public administrations, civil registration and in electoral processes, and consider these activities as a critical intersection between enhanced citizensí participation in political life and interlinked goals of poverty alleviation, human development and the achievement of the MDGs. Moreover, the two organizations appreciate the role and the added value of supporting national institutions in charge of civil registration and EMBs in charge of voter registration. For several and sometimes understandable reasons, these two processes has been carried out separately in the recipient countries. This is especially so if the country has recently been emerging from a conflict, without any synergies planned or implemented. The costs of supporting parallel and sometimes unsustainable activities of voter and civil registration in post-conflict and transitional countries have at times been incredibly high and not cost effective nor sustainable in the longer term.

139 Technological Innovation in the Electoral Process MODULE Electronic Voting Systems Although recent developments might give the impression that e-voting is an invention of the last decades, in fact this was one of the first applications of computers in public environments. The first voting machines date back to the end of 19th century and the idea of modernizing elections through electronic means has generated thinking about the way in which electronic voting can change the nature of democracy. Electronic voting can be divided in two broad categories: voting in controlled environments (e.g., polling stations and other Electronic voting machine, Venezuela 2004 public places under the control of polling officials by using Electronic Voting Machines, EVMs) and in uncontrolled environments (e.g., Internet and mobile phone voting). In the last 15 years, e-voting has been successfully introduced in very large democracies either wholly (Brazil, India and Venezuela) or partially (Switzerland and the United States). Estonia was the first country to adopt a countrywide system of Internet voting in Typical motives for implementing electronic voting procedures are, for example, to 139 increase voter turnout; reduce cost; enable mobility of voters; facilitate the participation in elections from abroad; widen access for citizens with disabilities; increase the speed and accuracy of the results; prevent fraud. The key challenges to electronic voting are (1) transparency, (2) the need for training and voter information, (3) the vendor dictatorship and (4) the increased potential for central manipulation. Although security is very important, trust in e- voting processes is not dependent on the actual level of security but on the degree of trust users have in the security of the system. This belief is largely dependent on the transparency of a system and is directly related to the confidence that the public opinion has in the EMB. Recent examples of elections held in contexts with a high Electronic voting in Brazil 42 An overview over the scope, basic principles, stages and the concept of e-voting as well as procedures and software development in Estonia is available at ( E-Voting Systems: Overview, published by the Estonian National Election Committee).

140 MODULE 3 EC-UNDP-IDEA Joint Workshop on Effective Electoral Assistance Technological Innovation in the Electoral Process degree of polarization and mistrust in the role of the electoral administration such as in Venezuela and some US counties are a good testimony of this. Another critique of e-voting is its complicated nature. However, this assumption might as well be proved wrong, as EVMs can be designed in a very voter-friendly manner. In the interests of transparency and security, it is now considered necessary to insert in all e- voting processes an audit paper trail. The most effective and transparent forms of audit in this respect are the so-called ëvoter verified audit trailsí (VVATs), also known as ëvoter verified paper ballotsí. VVATs entail the production of paper records of the vote, to be verified by the voter after casting the vote, which can be used for eventual recounts in case of challenges. It is, in simple words, the link between the casting of the ballots and the compilation of the results. A slightly different version of this mechanism is when the vote may be verified by the voter but it is not mandatory (ëvoter verifiable audit trailí). Both versions can only be used in controlled environments as the voter has to be physically present to verify the vote. VVATs must be considered necessary every time consideration is given to providing assistance to the installation of an automated voting process in a partner country. The general impression is that, in years to come, emerging/transitional democracies and post-conflict countries are likely to adopt e-voting only in isolated cases and in controlled environments, i.e., with the use of EVMs in polling places, owing to the costs involved and the level of trust in EMBs There are a number of clear advantages and disadvantages in adopting e-voting systems and the decision must be carefully weighed in light of the specific context where such introduction is considered. In general terms, the advantages include: efficiency, counting accuracy, speed in results delivery, potential synergies with other electoralrelated activities and lower electoral costs in large democracies. The main disadvantages include high initial costs, high dependence on suppliers and vendors in terms of maintenance and upgrades, limited ability of the national staff to operate such applications, doubts over long-term sustainability and the degree of mistrust that the forced minor transparency might cause in the electorate. Electronic voting represents a new challenge for election observation. Observer organizations will need to develop new methodologies to respond to these innovations. This may necessitate the recruitment of computer specialists and the establishment of new oversight rights, for example for observers to check the software programmes used and data transmission systems. 43 Many of the points raised on e-voting are more extensively accounted for in the ACE Electoral Knowledge Network web site. Visit ace-en/focus/e-voting/default.

141 Technological Innovation in the Electoral Process MODULE 3 Summary The use of ICTs in electoral processes in developing, transitional and post-conflict settings poses new opportunities but also new challenges for electoral assistance. In terms of the electoral cycle framework, ICTs are particularly useful in the pre-election period (e.g., voter registration) and on election day (e.g., voting, vote tabulation and result aggregation). When introducing ICTs, it is important to identify what kind of technology is suitable for a specific country, taking into account the level of infrastructure and the electoral system in place. New technology should be (i) timely in implementation, (ii) legally supported, (iii) operationally appropriate, (iv) cost effective, (v) transparent and (vi) sustainable. Choices on technological upgrade ought to reflect circumstantial factors as different contexts require different solutions. The level of infrastructure and the independence and trust of EMBs ought to guide the decisions. Voter registration often accounts for a considerable proportion of the budget, staff time and resources of an EMB. Given the complexities and high costs, it is one of the activities where donor intervention is most often sought by EMBs in partner countries. Voter registration methodologies can be categorized according to the level of technology applied in the process: (a) low-tech, (b) medium-tech, and (c) high-tech. 141 AFIS refers to software applications capable of establishing the identity of an individual through fingerprints by the use of biometric functions. There is a growing interest among governments, EMBs and the donor community in exploring possible synergies between civil and voter registries. Summary When biometric systems are procured, there are many issues that need to be taken into consideration, for example the recruitment of the ICT Advisor or Specialist, local versus international competition, technical specifications, existing IT standards, technical assitance by vendors and required training, and cost-effectiveness in the procurement process. Voter registration audits provide the opportunity to understand and assess the process as well as the resulting registry. E-voting entails the use of an electronic device by which voters cast their ballots in elections. E-voting can take place in controlled environments, such as polling stations or other public spaces, through the use of for example Electronic Voting Machines (EVMs), or in uncontrolled environments through Internet voting and mobile phone voting.

142 MODULE 3 EC-UNDP-IDEA Joint Workshop on Effective Electoral Assistance Technological Innovation in the Electoral Process Typical motives for introducing e-voting relate to increasing turnout, reducing costs, enabling voter mobility, facilitating participation from abroad, enhancing access for citizens with disabilities, increasing the speed and accuracy of the results and preventing fraud. The main challenges of e-voting are lack of transparency, the need for training and voter information, the vendor dictatorship and the potential for central manipulation. Voter Verified Audit Trails (VVATs) are necessary to ensure transparency and security of e-voting. 142 Summary

143 Technological Innovation in the Electoral Process MODULE 3 Quiz 1. EMBs use technology to ОО Compile voter lists ОО Draw electoral boundaries ОО Manage staff ОО Count and aggregate election results ОО Publish election results ОО All of the above 2. Which of the below represents good strategies for introducing new technologies in electoral processes? ОО Planning enough time for implementation of new systems and new technologies ОО Keeping information about the new systems from reaching the voters ОО Evaluation of technology by parties and candidates Technology in electoral processes should be ОО Technology-driven ОО Demand-driven ОО Donor-driven ОО Vendor-driven ОО All of the above E-voting in controlled environments entails ОО voting by touch screen in the polling station ОО Internet voting ОО voting via mobile phone E-vote in uncontrolled environments means ОО voting via external means e.g., internet and mobile phone voting ОО in public places under the control of polling officials by using electronic voting machines ОО in embassies and diplomatic bodies 6. When should support to EMBs to design new permanent registration systems take place? ОО During the voter registration period ОО About six months to one year before the next election ОО Immediately after the end of an electoral cycle and up to 18 months before the next election Quiz 7. E-voting is ОО a viable alternative that protects election integrity by facilitating the vote and drawing out the voter who is less inclined to go to the polling station ОО an option that could increase voter turnout and reduce costs but whose protection mechanisms are not yet perceived as guaranteed ОО an infeasible alternative since it cannot protect the secrecy of the vote

144 MODULE 3 EC-UNDP-IDEA Joint Workshop on Effective Electoral Assistance Technological Innovation in the Electoral Process 8. High technologies used for the registration of votersí data means ОО recording of votersí data by using standardised paper forms later scanned through various technologies ОО data entry performed at the voter registration centres through notebook computers, and/or transmitted in real time to a centralised processing facility where it is stored electronically for processing and establishment of votersí lists ОО manual transcription of voters data onto paper performed at the voter registration centres 9. It is important to test the accuracy of results produced by new technology especially for ОО voter lists ОО vote recording ОО vote counting ОО report of election results ОО all of the above ОО none of the above Low tech methods for the registration of votersí data means ОО recording of votersí data by using standardized paper forms later scanned through various technologies ОО data entry performed at the voter registration centres through notebook computers, and transmitted in real time to a centralized processing facility or stored electronically for periodical delivery through external memories ОО manual transcription of voters data onto paper performed at the voter registration centres 11. Which are NOT typical motives for implementing electronic voting procedures? ОО To increase voter turnout, reduce cost and enable mobility of voters ОО To facilitate the participation in elections from abroad ОО To decrease EMB procedures and administration, staff member presence and training Quiz Right answers: 1=f, 2=a, 3=b, 4=a, 5=a, 6=c, 7=b, 8=b, 9=e, 10=c, 11=c

145 Technological Innovation in the Electoral Process MODULE 3 Print and Online Resources Core Reading UNDP Electoral Assistance Implementation Guide Implementation-Guide.pdf. - Biometric Systems and Voter Registration (pages 43-44) EC Methodological Guide on Electoral Assistance documents/election-assistance-methodological-guide_en.pdf. - Embracing Appropriate Technology for Electoral Processes (pages 56-71) Joint Task Force Operational Paper on Procurement Aspects of Introducing ICTs Solutions in Electoral Processes. Print and Online Resources Joint EC-UNDP Task Force/International IDEA Operational Paper on Procurement Aspects of Introducing ICTs Solutions in Electoral Processes: the Specific Case of Voter Registration article&id=143&itemid=153&lang=en ACE Electoral Knowledge Network ( Voter Registration: Focus on e-voting: Elections and Technology: Other Estonian National Election Committee: E-voting Systems: Overview ICPS: E-Voting: the Last Electoral Revolution 145

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147 4. EC-UNDP Procedures for Programming, Identification, Formulation, Implementation and Evaluation

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149 Learning objectives To become familiar with the who does what in the UN and EC organisations in the field of electoral assistanc To become familiar with the role of the EC-UNDP Joint Task Force on Electoral Assistance To be able to distinguish between different implementation procedures and financing modalities To learn about the basis for and objective of EC-UNDP cooperation To become acquainted with the key components of the EC-UNDP Operational Guidelines for the Implementation of Electoral Assistance Projects and Programmes MODULE UN Resources and Services: Who does What? The Under-Secretary-General for Political Affairs is the designated UN Focal Point for electoral assistance activities. The Electoral Assistance Division of the Department of Political Affairs (EAD/DPA) supports the Focal Point in ensuring consistency in the handling of requests; channelling requests to the appropriate office or programme; developing and maintaining a roster of international electoral experts; maintaining contact with regional and intergovernmental organizations; and maintaining the organizationís institutional memory. As per the General Assembly mandate, UNDPís involvement in electoral assistance can only occur in response to a (written) request from a recognized authority. Even when the request for assistance is channelled through UNDP, as it is in many cases, it must be forwarded to the Focal Point and EAD/DPA for official response. A copy of the request should also be sent to the relevant Regional Bureau and the Democratic Governance Group (DGG) of the Bureau for Development Policy (BDP). When responding to country requests, EAD/DPA is responsible for determining the political factors that affect, and political ramifications of, UN electoral assistance. 149

150 MODULE 4 EC-UNDP-IDEA Joint Workshop on Effective Electoral Assistance EC-UNDP Procedures for Programming, Identification, Formulation, Implementation and Evaluation EAD/DPA consults with the UN/UNDP Resident Coordinator/Resident Representative and the relevant divisions of DPA and UNDP HQ about the pre-electoral conditions in the requesting country. Based on the assessment and consultations, the Focal Point decides whether the UN should be involved in providing electoral assistance and under what conditions. These decisions take into account whether there is a clear need for UN assistance; it will improve electoral practices; political actors support international assistance; UN norms will be respected through the provision of such assistance. In those cases where EAD/DPA determines that the UN should be involved, this decision is conveyed in writing by the Focal Point directly to the initial requestor for assistance, with a copy to the UNDP country office. Read more about the Needs Assessment Mission and the division of labour between EAD/DPA and UNDP in Module 1. UNDP partners with EAD/DPA and occupies a distinct role that includes the provision of technical assistance to specific electoral events and to longer term electoral processes, including donor coordination, institutional strengthening and capacity development of EMBs and the involvement of civil society in electoral processes. Other UN actors involved either directly or indirectly in electoral assistance are the DPKO, the United Nations Volunteers (UNV), UNIFEM, UNFPA, UNOPS, the UN Department for Economic and Social Affairs (UNDESA) and the UN Democracy Fund (UNDEF). 150 Figure 4.1: UN Departament of Political Affairs, organisational chart Under- Secretary-General Offi ce of the Under Secretary General Poli cy Planning Unit Executi ve Offi ce Assista nt Secretary General Assista nt Secretary General Americas & Europe Division Asia & Pacific Division Division for Palestinians Rights Africa 1 Division Africa 2 Division Security Council Affairs Division Electoral Assistan ce Division Decoloniz ation Unit

151 EC-UNDP Procedures for Programming, Identification, Formulation, Implementation and Evaluation MODULE 4 Figure 4.2: UNDP organisational chart ADMINISTRATOR Associate Adminstrator Operations Support Group Bureau for Resources and Strategic Partnerships Bureau for Development Policy UNDP Africa UNDP Arab States UNDP Europe and the CIS UNDP Latin America and the Caribbean Bureau of Management Bureau for Crisis Prevention and Recovery 151 United Nations Capital Development Fund (UNCDF) United Nations Development Fund for Women (UNIFEM) United Nations Volunteers (UNV) Special Unit/ Technical Cooperation among Developing Countries (ISU/TCDC) UNV volunteers in post-conflict electoral operations Working with UNDP, the UN Secretariat and national electoral authorities, the UNV programme is a major implementing partner in supporting democratic electoral processes in post-conflict countries. UNV has played a key frontline role in nearly every major UN-supported election since the early-1990s, with UNV volunteers assigned to support the planning, organization, supervision, and observance of local, regional and national elections. In doing so, UNV partners with UNDP (BDP and COs), EAD/DPA and DPKO. Since 1992, more than 8,000 UNV volunteers have assisted more than 50 UN or other internationally supported electoral processes in areas such as civic/voter education, technical/logistical preparation, administration, coordination, training, monitoring and observing. A more recent feature of UNVís work in this area includes strengthening the skills and capacities of national personnel through advisory roles (e.g., in Nepal and Timor Leste in 2007 and 2008, where all the volunteers were advisors to national electoral bodies), thereby helping establish a sustainable local base for future elections.

152 MODULE 4 EC-UNDP-IDEA Joint Workshop on Effective Electoral Assistance EC-UNDP Procedures for Programming, Identification, Formulation, Implementation and Evaluation While high-end profiles and cost efficiency are often a consideration in deploying UNV volunteers, managers should also take into account the added value of the spirit of volunteerism that UNV volunteers bring to the work of the UN system and its partners and particularly as it relates to the implementation of electoral assistance in post-conflict environments. Such interventions by UNDP, UN Missions and/or partners often requires a level of local, communitybased presence throughout the country, to build confidence, partnership and capacity with the local stakeholders. UNV volunteers are often the ideal interlocutors to deliver constructive messages about participatory processes, democratization, building trust and promoting dialogue, civic responsibility, etc., because the underlying foundation of all these concepts is precisely voluntary engagement. Local community interaction by UNV electoral support volunteers enhances the engagement of local people, and strengthens the impact, effectiveness, accountability and sustainability of the UNís interventions, including positive image aspects of the UN within communities. UNV volunteers are particularly strategic in fostering civic engagement at the local level, serving as the locator and catalyst between the UN and national electoral bodies, and local communities and stakeholders, through (a) providing access to services and opportunities; (b) fostering local inclusion and participation; and (c) mobilizing local volunteers and voluntary action in constructive civic engagement. UNV involvement in the referendum in South Sudan, January In January 2011, altogether 214 UNV Volunteers from 70 different countries were deployed throughout Sudan to support the South Sudan Referendum. The legal framework for the organisation of the election was established in a Referendum Act, and the Southern Sudan Referendum Commission (SSRC) managed the process. The SSRC, based in Khartoum, works closely with the Southern Sudan Referendum Bureau situated in Juba. At the request of the SSRC, the UN assisted the process through the UN Integrated Referendum and Electoral Division (UNIRED), a joint team with UN Mission in Sudan (UNMIS) and UNDP. UNIRED advises the SSRC on matters related to public outreach, voter information, public information and external relations. Other important areas in which UNIRED assists the SSRC and its subsidiary bodies are operational planning, logistics, procedures, field coordination and training. The UN Volunteers represented the majority of UNIRED personnel in the field, and in some areas they were the only face of the UN. The UNVs were deployed throughout the country, including all 10 state capitals and several of the 79 counties of South Sudan and, in addition, also in five locations in the Northern Sudan and the Protocol areas EC Resources and Services: Who does What? In the area of electoral assistance, the ECís primary role is to support institutions, agencies and consortia that implement electoral assistance activities. EU delegations worldwide are now operating under the de-concentration principle. They thus have the leading role, together with the relevant national authorities, over the identification, formulation, implementation and evaluation phases of electoral assistance programming. At HQ level, the support to delegations and national authorities is handled by a number of different services according to the different phases of the operationsí cycle. The activities and the responsibility for them are shown below. 44 Read more about UNVs work in Sudan here:

153 EC-UNDP Procedures for Programming, Identification, Formulation, Implementation and Evaluation MODULE 4 Programming: Each delegation together with specific geographical/country service in the Directorate General for External Relations (DG RELEX) and the Directorate General for Development (DG DEV) is responsible, in consultation with RELEXís Human Rights and Democratisation Unit (RELEX B1), for the programming of electoral assistance within each country strategy paper. RELEX B1 has the general responsibility of mainstreaming electoral assistance in the programming exercises. It is also chef de file for the programming of the European Initiative on Democratisation and Human Rights (EIDHR) funds for all the EU EOMs and for small-scale electoral assistance activities implemented by CSOs mainly on domestic observation and voter education. Identification, formulation, implementation and evaluation: These tasks are the responsibility of the de-concentrated EU delegations in cooperation with the national counterparts. The EuropeAid Cooperation Office s (EuropeAid, or AIDCO) geographical services, via their geographic coordinators, are responsible for providing support to the EU delegations over the operational phases under the various financial instruments (the European Development Fund (EDF) and the EU Community s general budget) available. The exception is the EIDHR where the central management unit, EuropeAid F2, deals with EU EOMs (centrally managed, minor involvement of delegations) and with specific centrally managed small scale projects related to electoral assistance implemented by CSOs. Quality support operations: EuropeAid addresses the need to provide quality support by concentrating sector/thematic knowledge in a specific directorate. The creation of the Unit for Governance, Human Rights, Democratisation and Gender within the Directorate for Operations Quality Control has expanded internal expertise in the field of electoral assistance. The objective and various activities carried out by the unit are targeting the anticipation of the needs and the facilitation of the tasks of EU delegations, geographical coordinators and country desks at HQ when dealing with electoral assistance issues. The unit focuses on four types of support: The EC s primary role is to support institutions, agencies and consortia that implement electoral assistance activities. 153 operational guidance and implementation strategies for the management of projects and programmes, themes and mainstreaming. This guidance, drawing from general sector policies defined by DG RELEX and DG DEV, provide quality standards for projects and programmes, templates for key documents and reviews of best practices (including those concerning approaches, procedural matters and training) for HQ staff and delegations quality support, upon demand, at all stages of the programme cycle in order to provide assurance in the application of the recommended quality standards support upon demand in all phases of the operations cycle monitoring of activities 4.3 The Joint EC-UNDP Task Force on Electoral Assistance The success or failure of electoral assistance projects whereby the EC contributes to the UNDP managed basket fund impacts upon the global partnership between the two organisations. It is therefore important to ensure that mutual expectations are met and that each project is effectively designed and implemented and adequately monitored. Based on the observations of EC and UNDP services at Headquarters and field level, it was decided to strengthen the partnership through the establishment of the Joint EC-UNDP Task Force on Electoral Assistance (JTF).

154 MODULE 4 EC-UNDP-IDEA Joint Workshop on Effective Electoral Assistance EC-UNDP Procedures for Programming, Identification, Formulation, Implementation and Evaluation The focus of the JTF is to provide identification, formulation and implementation support for joint EC-UNDP projects on electoral assistance. The JTF is formed by EC and UNDP staff dealing with electoral assistance at HQ levels in Brussels, New York and Copenhagen. The overarching purpose of the JTF is to further strengthen and facilitate the EC-UNDP partnership in the electoral assistance field. It aims to improve the overall efficiency and adherence of the projects to the common EC/UNDP strategic approach. The focus of the JTF is to provide identification, formulation and implementation support for joint EC-UNDP projects on electoral assistance whenever needed and requested by EU delegations and/or UNDP country offices. The lessons learned will be consolidated and codified so that they can effectively feed into the implementation of the new electoral assistance projects, various joint EC-UNDP training exercises and the ACE Electoral Knowledge Network. The specific tasks of the JTF are: a) to provide operational guidance and implementation strategies for the management of joint EC-UNDP electoral assistance projects, b) to liaise and interact with the different services involved, at headquarters and field level, throughout the operations cycle to ensure the application of the recommended quality standards, and c) to provide training, development of content and dissemination of information. Specific tasks of the JTF: 154 a) Op e r a t i o n a l g u i d a n c e FF Support the relevant EC and UNDP services at HQ and field levels in the drafting process of Project Identification Fiches and Financial Proposals, EC-UNDP Contribution Agreements and UNDP Project Documents (including definition of operational procedures, selection of necessary personnel/contractors, and resource mobilization for the project). FF Ensure contractual compliance with EC-UNDP contribution agreements in the electoral assistance fields. FF Collaborate with UNDP/PSO and UNOPS for procurement related issues and in particular for the drafting of technical specifications. FF Develop model terms of reference for commonly required services. FF Develop model terms of reference for joint formulation missions in terms of budgeting, risk assessments and planning. b) Liaison FF Liaise with UNDP/BDP, regional centres and UNDP subregional resource facilities SURFs and relevant EC services for monitoring and assessing EC-UNDP electoral assistance projects in view of providing support and cross-fertilization of best practices. FF Collaborate and liaise on initiatives and networks for the development of knowledge products and services for the support of electoral processes, such as the ACE Electoral Knowledge Network. FF Collaborate with other services of EC and UNDP, DPA/EAD and International IDEA on the definition of performance indicators for electoral assistance projects. FF Liaise with EuropeAid, UNDP/BDP for the EC-UN internal rosters of electoral administration/assistance experts. FF Reinforce synergies and complementarity between electoral observation and electoral assistance activities. FF Facilitate the communication and interactions between EC and UN services at HQ and field levels. c) Tr a i n i n g, development o f c o n t e n t a n d dissemination o f i n f o r m a t i o n FF Disseminate and implement the EC-UNDP Operational Guidelines. FF Develop the content and contribute to carry out the required HQ and regional sessions of the EC-UNDP Joint Training on Effective Electoral Assistance and related Thematic Workshops. FF Liaise with the NEEDS project for the preparation and delivery of effective electoral assistance sessions within the training of core team and long/short-term observers of EU election observation missions.

155 EC-UNDP Procedures for Programming, Identification, Formulation, Implementation and Evaluation MODULE 4 FF Develop operational tools to support staff (templates). FF Liaise with UND/BDP, regional centres and SURFs and relevant EC services for the development of information and dissemination of products on electoral assistance (leaflets, publications). FF Increase the amount of joint activities that could include joint launch of reports, provisions of joint press release, joint meetings with partners and specialized think thanks. FF Collaborate on initiatives and networks for the development of knowledge products and services for the support of electoral processes, such as the ACE Electoral Knowledge Network. FF Undertake studies and publications on issues of mutual interest, such as those on the synergies between civil and voter registration, on the increased use of ICTs in electoral processes, on the issues of conflict and security and elections, on disadvantaged groups and elections or on the support to regional and local elections. Expec ted results FF More effective electoral assistance through better and more timely formulation, implementation and monitoring of projects FF Improved mutual EC-UNDP understanding and knowledge of the respective policies and procedures on electoral assistance FF At the national level: positive policy development regarding electoral processes, improved situation regarding adherence to international standards and norms and strengthened national capacity in electoral administration FF Professional development of EC and UNDP staff and improved knowledge of the institutional aspects of electoral assistance projects and principles of effective electoral assistance FF Cross-fertilization of projects through appropriate dissemination and application of best practices and lessons learnt FF Improved homogeneity and harmonization of project design activities with overall EC-UNDP strategic approach FF Higher visibility of operations and in particular of the input from EC FF Development of operational tools and knowledge content to support staff FF Increased communication and exchange of information among EC-UNDP and to the outside world through website and publications FF Consolidation of networking relations with other actors in electoral assistance FF Coordination and synergies reinforced between EU EOM and electoral assistance activities UNDP Global Programmes Credible, transparent and fair elections and functioning democratic parliaments are two pillars of a democratic governance system in any country around the world. It is important to underline that for fledgling democracies and countries recovering from crisis, elections are not an end, but rather a beginning - a very critical but nonetheless preliminary step in the transition to democratic governance. Realizing the promise of elections and minimizing the risk of public disillusionment with the democratic process requires investments in long-term democratic development, in particular the consolidation of governing institutions like parliaments. Electoral assistance and parliamentary support can therefore be considered as ideal entry points for the strengthen of democratic governance in a country. Their primary role in assisting the development of a democratic system explains why the international community support for both areas has increased significantly over the last years.

156 MODULE 4 EC-UNDP-IDEA Joint Workshop on Effective Electoral Assistance EC-UNDP Procedures for Programming, Identification, Formulation, Implementation and Evaluation UNDP launched several global programs in the area of democratic governance, including on rule of law and justice, local governance, governance assessment. Assistance to elections and Parliament are part of this network. Based in Brussels, the Global Program for Electoral Cycle Support (GPECS) and the Global Program for Parliamentary Strengthening (GPPS) are looking at ways to strengthen democratic governance systems in collaboration of and with the facilitation of the Joint EC-UNDP Task Force on Electoral Assistance. Both based in Brussels, the Global Program for Electoral Cycle Support and the Global Program for Parliamentary Strengthening are looking at ways to strengthen democratic governance systems in collaboration of and with the facilitation of the Joint EC UNDP Task Force on Electoral Assistance Global Programme for Electoral Cycle Support On 1 July 2009, UNDP launched a three-year global initiative to help countries improve their electoral laws, processes and institutions and enhance the participation of women in electoral processes. The programme is made possible through a generous contribution from the Government of Spain, as well as the support of the CIDA. 156 The Global Programme for Electoral Cycle Support (GPECS) seeks to enhance the credibility, transparency, effectiveness and sustainability of electoral institutions and processes, with a particular emphasis on capacity development, south-south exchanges, inclusive participation and women s empowerment. The GPECS takes an electoral cycle as opposed to election day approach to assistance, while seeking also to integrate electoral assistance into a wider framework of democratic governance. Activities are implemented at the global, regional and country levels. At the global level, GPECS develops and maintains an innovative policy agenda, global knowledge products and tools in cutting-edge areas, and the elections community of practice. At the regional level, the GPECS focuses on the exchange of good practices, peer networking and knowledge creation and dissemination in all regions Africa, Asia-Pacific, Arab States, Latin America/Caribbean and Europe/CIS. At the country level, the GPECS seeks to reinforce the capacity of electoral management bodies to play their role in the professional, transparent and credible administration of elections at the national and local levels; to enhance the relationships between electoral management bodies and key electoral stakeholders such as political parties, civil society and the media; and to reinforce women s political and civic participation. The focus of the country-level activities is in Sub-Saharan Africa, given the volume of UNDP s electoral assistance in this region. GPECS also bolsters UNDP internal capacity to deliver effective electoral assistance by placing additional electoral and gender expertise in headquarters units and in the regions to support country offices and national stakeholders. While led by the Democratic Governance Group of BDP, the GPECS is a joint endeavour between BDP, the UNDP Regional Bureaus and Regional Centres, UNDP Brussels and the PSO in Copenhagen. It is implemented in close collaboration and coordination with the EAD/DPA and draws on and supports ongoing global and regional initiatives such as the ACE Electoral Knowledge Network, the BRIDGE project and the JTF. The Programme Management Team of the GPECS is based in Brussels and co-located in the same office premises of the JTF.

157 EC-UNDP Procedures for Programming, Identification, Formulation, Implementation and Evaluation MODULE 4 The GPECS supports the work of the JTF to ensure that country and, in some cases, regional level projects designed through the country window of the GPECS benefit from the early collaboration of other potential partners such as donors to this Programme. GPECS supports the regionalisation of the work of the JTF through expanding the reach of the JTF with additional staff and consultants based in the Brussels UN/UNDP office. A closer coordination and harmonised cooperation between the JTF and the GPECS advisors in the regional centres also strengthens the JTF work. Due to the expertise that the JTF has acquired during the last years in the areas of resource mobilization, operational support, training activities, guidance for formulation and implementation of projects and having in mind the overall benefits to national electoral processes from performance of JTF, the GPECS delivers the electoral cycle support at the national level drawing on the expertise of the JTF. The JTF is working in close coordination with, and supported by and will in turn provide support to the UNDP Regional Centres in Dakar, Johannesburg and Bangkok, which are the frontline providers of Africa and Asia/Pacific regional and country level support and which also represent UNDP as JTF s members in various JTF activities in the regions. The GPECS provides further support to the JTF to perform its duties following the revised Operational Guidelines, particularly for formulation missions; joint monitoring and Quality Support Mechanisms; implement research and studies on issues related to the role of the contribution of the EC and EU Member States in UNDP electoral assistance programmes at country level; deliver and further develop training on effective electoral assistance and related thematic workshops; interact and coordinate with the ACE Electoral Knowledge Network and Training Programme of IFE Mexico; and cooperation with regional institutions Global Programme for Parliamentary Strengthening 157 Among the main instruments through which UNDP supports parliaments is the GPPS, launched in Currently, the programme is enhancing the institutional capacity of parliaments via a number of programmes at the global, regional and national level. At the global level, GPPS proactively supports the development of an international consensus on minimum standards for democratic parliaments, in partnership with several regional interparliamentary institutions. The Assemblée Parlementaire de la Francophonie (APF), the Commonwealth Parliamentary Assembly (CPA) and the Southern African Development Community Parliamentary Forum (SADC PF) have concluded or are in the process of planning regional parliamentary benchmark exercises. These activities, combined with efforts from World Bank Institute (WBI), the National Democratic Institute (NDI) and the Inter Parliamentary Union (IPU), are part of a broad movement to produce harmonized standards for democratic parliaments. A second major priority for GPPS is the development of a multi-lateral Parliamentary Development Web Portal. Based upon intensive consultations with interested parliaments and institutions, the UNDP parliamentary team in Brussels is developing a web-based platform where parliamentarians, parliamentary staff, development practitioners and national actors can access information, enhance coordination and seek advice with regard to the functioning of open and transparent parliaments. The web portal is envisaged to be launched worldwide in February In the Arab Region, GPPS is working with the UNDP Programme on Governance in the Arab Region (POGAR) to create and support thematic parliamentary networks focused on improving

158 MODULE 4 EC-UNDP-IDEA Joint Workshop on Effective Electoral Assistance EC-UNDP Procedures for Programming, Identification, Formulation, Implementation and Evaluation parliamentary oversight and promoting transparency and accountability. A network of Arab parliamentarians against corruption is up and running, as are working groups on budgetary oversight, security sector reform, and political party legislation. The Arab Political Parties Database and Legislative Database is now available. A new Arab Parliamentary Bulletin has been launched. The Arab parliamentary knowledge portal has further increased its outreach, and provides user-friendly access to a host of parliamentary development resources, such as studies, policy guidance, translated documents, and links to networks and databases. 45 In Central-America and the Arab Region, GPPS in cooperation with UNDPís Bureau for Conflict Prevention and Recovery (BCPR) has launched a new programme on the role of parliamentarians in conflict prevention and community security. The program supports like-minded parliamentarians to enhance their skills in law review, in drafting new legislation related to community security, and document and promote best practices at the regional level. The programme will also build the capacities of relevant national parliamentary committees in both regions. A similar programme to strengthen the role of parliamentarians in situations of conflict recovery, small arms control and community security commences in West Africa in early GPPS works intensively with a number of selected parliaments. In Lebanon, GPPS supports the parliament to integrate the human rights approach and proceed with the national action plan for human rights; and to develop the capacity for public participation including on national dialogue. In Mauritania, GPPS aims at building the weak capacities of the parliamentary administration, with priority attention for training courses for the civil servants in the field of ICT as well as for the different sessions services. The project also supports the work of Committees and Political Groups. In Algeria, Niger, and Rwanda UNDP aims at strengthening the capacity of the parliamentary administration, the legislative development skills of MPs and drafting/revising the parliamentís strategic development plan. GPPS fosters in particular the inter-regional South-South exchange of experience. 4.4 UNDP Programming: Identification, Formulation, implementation and Monitoring Identification starts during the needs assessment phase (see module 1) and the production of the project document which specifies the objectives of a given electoral assistance project and identifies measurable indicators according to which it is evaluate on a later stage. The project document must be approved by EAD and the LPACs. Initial discussions with development agencies and assistance providers about possible financial support for electoral assistance should start during the needs assessment phase. More detailed negotiations will ensue once project arrangements, the related project budget and donor positions have become clearer. Donors may choose to fund electoral assistance in different ways: usually through direct bilateral support of the respective governments, through civil society, through the UN, or a combination of the three. Regardless of how funding is channelled, it is important to ensure close coordination and information-sharing among all partners involved so that assistance is delivered in a timely and efficient manner. When donors decide to channel funding through UNDP, funding is received and managed based on two possible scenarios determined by the related programmatic arrangement/set-up: 45

159 EC-UNDP Procedures for Programming, Identification, Formulation, Implementation and Evaluation MODULE 4 It is important to ensure close c o o r d i n a t i o n and information sharing among all partners involved so that assistance is delivered in a Direct execution (DEX): DEX sees UNDP taking on the full responsibility for project implementation and is the default modality for election-specific projects. It is considered appropriate when (I) activities require unique technical sector experience, specific management capacities and/or access to international networks, (II) government lacks required management and/or substantive capacity (with particular reference to EMBs), and (III) the parties prefer agency execution for other reasons (such as neutrality). The senior staff of the Programme Management Unit (PMU) reports to the UNDP (resident representative and/or deputy resident representative) and to the donors through the steering committee. timely and efficient manner. National execution (NEX): NEX entails overall responsibility and assumption of accountability for the formulation and management of UNDP-supported programmes and projects by the host government and is the UNDPís standard operating modality. NEX is considered appropriate when there is adequate capacity in the host government to undertake the functions and activities of the project and is considered particularly useful for projects aiming at long-term capacity development. The key objectives of NEX implementation are (I) capacity-building, self-reliance and sustainability, (II) ownership and internalization of external input, and (III) relevance and impact. Under NEX, the project is managed by the EMB, and UNDP works closely with the managing body when it comes to identifying specialist support and contracting such personnel. Specialist experts report to the EMB but should have a good working relationship also with UNDP MANAGEMENT ARRANGEMENTS AND TYPES OF ENGAGEMENT The choice of implementation modality assigns the policies and procedures to be followed when implementing UNDP-supported programmes and projects. UNDP can arrange for its support to programmes/projects in one of the following four ways, using the following implementing partners (or institutions): Implementation/execution by government or national entities: National execution/implementation (NEX/NIM) refers to arrangements where the overall responsibility and assumption of accountability is on the host government for the formulation and management of UNDPsupported programmes and projects. NEX/NIM is considered appropriate when there is adequate capacity in the host government to undertake the functions and activities of the project and is considered particularly useful for projects aiming at long-term capacity development. The key objectives of NEX/NIM implementation are: (a) capacity-building, self-reliance and sustainability, (b) ownership and internalisation of external input, and (c) relevance and impact. Under NEX/NIM, the project is managed by the EMB, and UNDP works closely with the managing body when it comes to identifying specialist support and contracting such personnel. Specialist experts report to the EMB but should have a good working relationship also with UNDP. Whilst NEX/NIM is the norm for UNDP, it is not for electoral assistance projects (see implementation/execution by UNDP below/dex/dim). Implementation/execution by UNDP itself: Direct execution/implementation (DEX/DIM) is undertaken in the context of special development situations. DEX/DIM is the default modality for electoral assistance. With this modality, UNDP takes on the full responsibility for project im-

160 MODULE 4 EC-UNDP-IDEA Joint Workshop on Effective Electoral Assistance EC-UNDP Procedures for Programming, Identification, Formulation, Implementation and Evaluation plementation. Note that the implementation spoken of here refers to the activities as set out in the project document, not the actual implementation of the elections themselves, which, of course, remains in the hands of the EMB. DEX/DIM refers to full responsibility by UNDP for project implementation and is considered appropriate where: There is a situation which calls for speed of delivery and decision-making where UNDP management is necessary for mobilizing resources National authorities lack the capacity to carry out the project The project cannot be carried out by another United Nations agency The UNDP Country Office has adequate capacity to manage, report and achieve the expected outputs of the project Under DEX/DIM, the senior staff of the Programme Management Unit (PMU) reports to the UNDP (resident representative and/or deputy resident representative) and to the donors through the steering committee. UNDP will always continue to pursue national capacity development under DEX/DIM, which is the default modality in electoral assistance. However, UNDP can, if it deems it necessary, engage with other implementation partners under DEX/DIM. The use of implementing partners is initially identified during the formulation of the project. 46 Implementation/execution by non-governmental organisations: NGO execution, refers to national and international NGOs to carry out activities on behalf of UNDP 160 Implementation/execution by UN agencies: Agency execution refers to management by UN agencies, where activities require technical sector expertise Choosing implementing partners The aim of the sector approach is to broaden the g o v e r n m e n t s ownership over electoral policy and resource allocation decisions within the electoral sector. The term implementing partner in the harmonized regime (that is, where a Country Programme Action Plan, CPAP, exists) is equivalent to ëexecuting entityí in the non-harmonized regime (no CPAP). By implementing partners UNDP means those institutions or companies that were implementing entities in the non-harmonized regime. Implementing entities are essentially contractors, and a competitive process (procurement) will apply unless they are government institutions or UN agencies. The UNDP CO and the PMU must review the capacities needed for performing all election-related tasks. In doing so, the CO and the PMU should analyse each task, determine which of the capacities applies to the task, and assess if the applicants encompass the proper capacities. If capacities are not adequate, it should be determined what additional measures need to be taken and a follow-up action plan should be designed. 46 For further reference on DEX/DIM and NEX/NIM modalities, see the UNDP Programme and Operation Policies and Procedures, Selecting an Implementing Partner: org/go/userguide/results/ppm-overview/implementing-partner

161 EC-UNDP Procedures for Programming, Identification, Formulation, Implementation and Evaluation MODULE 4 Necessary capacities include the following: F F Technical capacity: ability to carry out and monitor the technical aspects of assistance F F Managerial capacity: ability to plan, monitor and coordinate activities F F Administrative capacity: ability to prepare, authorize and adjust commitments and expenditures; procure, manage and maintain equipment; and recruit and manage the best-qualified personnel F F Financial capacity: ability to produce project budgets; ensure physical security of advances, cash and records; disburse funds in a timely and effective manner; and ensure financial recording and reporting When contracting with the implementing partners, UNDP personnel should discuss and record the relationships and costs. These may include the following: roles and relationships with the government, the EMB, political parties, CSOs, the media, the public, the PMU and all other stakeholders an honest evaluation of the actual deliverables should be submitted to donors frequency and scope of reporting and data collection work plans and deadlines staff contracts and staff rules 4.5 EC Delivery Methods and Financial Modalities Figure 4.3: The EC delivery methods Figure 4.3 shows the different delivery methods of the EC. The balance of aid delivery methods (approaches and financing modality) to be used by the EC should be based on an assessment of the social, economic and political/electoral development context of the specific partner country and the respective priorities of the other development agencies involved in the process. With respect to electoral assistance, the decision on the delivery method is crucial as it entails the setting into motion of implementation via financing/operating modalities. These might differ from one another and offers examples of overlapping elements. Three of the main considerations to be balanced in this decision include 161 the degree of control which the delegations wish to maintain over their resources; the level at which delegations and their partners wish to engage in dialogue policy or project; the level of transaction costs associated with managing EC and other donor funds. These considerations are summarized in figure 4.4 above, following the three aid delivery mechanisms for the EC, project approach, sector approach and macroeconomic budgetary aid. In the electoral assistance field, the EC is considering that the different activities implemented are mainly carried out via a sector approach. The sector approach is defined as a way of working together with the government and other partners. The aim is to broaden the governmentís ownership over electoral policy and resource allocation decisions within the electoral sector,

162 MODULE 4 EC-UNDP-IDEA Joint Workshop on Effective Electoral Assistance EC-UNDP Procedures for Programming, Identification, Formulation, Implementation and Evaluation Figure 4.4: EC s three aid delivery mechanisms in order to increase coherence between policy, spending and results. The sector approach is implemented by the EC via participation in dialogue and coordination. This can be defined as an interaction between governments, EMBs, partner donors and other stakeholders in the electoral process, in order to develop or to update the sector policy and action plan. A sector approach needs to include an approved sectoral policy document and overall strategic framework; a sectorial Medium Term Expenditure Framework (MTEF;) a government-led donor coordination process. 162 Experience shows that any sector programme requires (i) a reasonable degree of macroeconomic and political stability, (ii) consensus between government and donors over the key sector issues, (iii) commitment of involved partners including at the political level (perhaps involving a MoU) and (iv) strong and effective leadership at the sector level Financing modalities There are four financing modalities to implement sector programmes related to electoral assistance: (i) implementation via budget support, (ii) via common pool funding, (iii) via EC contractual and financial procedures, and (iv) different combinations of financing modalities and visibility. 1. Implementation via budget support This involves resource transfers to the budget of the beneficiary state that are managed independently by the beneficiary country through the exclusive use of its budget and financial management systems. This method aims at maximizing national ownership and consistency with national development policies and minimizes at the same time the transaction costs, answering to the mutual concerns of recipient governments and donors to concentrate resources. 2. Implementation via common pool funding In many electoral assistance projects, funds are channelled through other international agencies belonging to the UN family that have more flexibility to set up quickly and manage basket funds to deliver electoral assistance. This modality has advantages in terms of donor coordination, management of resources and recruitment, and it yields competitive advantages in situations where electoral assistance has to be delivered fast and efficiently such as, for example, in snap elections.

163 EC-UNDP Procedures for Programming, Identification, Formulation, Implementation and Evaluation MODULE 4 Over the last five years, pool fund management through UNDP has enabled the EC to provide very significant contributions to electoral support which have positively influenced the conduct of elections and democratic development in many partner countries. However, the great majority of these contributions were formulated and agreed upon in speed and directed to support events rather than processes. The time constraints that have typically characterized EC-UNDP cooperation in electoral assistance to date have sometimes caused misunderstandings at the implementation level, in particular with reference to limited visibility of the EC contribution and/or lack of political say of the EC during the decision-making process. The different language and definitions used by the two organizations in the respective project proposals have often been the source of confusion. The EC funds are channelled to UNDP according to the procedures and regulations set out in the Financial and Administrative Framework Agreement (FAFA) between the EC and the UN. The EC delegations and UNDP COs are supported respectively by the Directorate for Quality Support Operations of EuropeAid and relevant expertise from UNDP bureaus, such as the BDP, in New York, and the Bureau for Resources and Strategic Partnerships (BRSP, Brussels). The UNDP has a competitive advantage in view of FF the longest experience in providing electoral assistance of all the international organizations, private and non-profit agencies; FF the largest production of guidelines, handbooks and tools on electoral assistance; FF the mandate to coordinate electoral assistance efforts at the country level through the Resident Coordinator system; FF the flexible procedures in procurement of services and material; FF the low costs of general management services in comparison to other implementing agencies; FF the capacity to establish a good working relationship with the local authorities; FF its participation in global network initiatives aiming to improve the way electoral assistance is implemented on the ground (ACE, BRIDGE, Global Training Platform on Electoral Assistance, EC-UNDP partnership etc.); FF its mandate for donor coordination (where UNDP services are very often requested by the partner country); FF its ability to advance funds once the contribution agreement with the EC is signed Implementation via EC contractual and financial procedures In cases where it is politically important for the EC to intervene alone and where there is sufficient time and resources, implementation of assistance projects based upon EC contracting and financial procedures has proven to be successful. The approach requires longer term preparation and the consistent commitment of the delegation, both in terms of project formulation and in terms of implementation and evaluation, which might considerably strain the EC resources in an electoral year. On the other hand, it pays high political dividends. It has worked well in contexts where the EC has equipped itself with specifically recruited electoral expertise. Examples include electoral assistance projects undertaken in Lebanon, Sudan and Ghana. The difficulties in implementing projects in such a manner are generally linked to late requests for electoral assistance from the national authorities and EMBs, Late requests for electoral assistance from national authorities and EMBs generally complicate the implementation via EC contractual and financial procedures.

164 MODULE 4 EC-UNDP-IDEA Joint Workshop on Effective Electoral Assistance EC-UNDP Procedures for Programming, Identification, Formulation, Implementation and Evaluation late and/or erroneous technical specifications for the procurement of electoral material and services, and the relative scarcity of implementing agencies in electoral assistance for the management of large contracts. Financing via contractual and financial procedures requires negotiations on the submission of an early request from the national authorities and EMBs and is further facilitated by early identification and formulation of projects (including precise technical specifications for the procurement of electoral material and services), the adoption of the electoral cycle approach and efforts to apply accelerated procedures for procurement. 4. Different combinations of financing modalities and visibility Some very important success stories of EC electoral assistance are the result of mixing financing modalities. This has allowed the EC to formulate the assistance packages with various degrees of control and engage in dialogue with the partner countries at different levels and with different actors according to the situation. A standard example of mixing aid delivery modalities combines contributions to multi-donor basket funds with separate calls for proposals for the implementation of projects to support specific issues such as civic education and voter information, domestic observation and media monitoring organizations. The combination of different financing modalities is an option that has proved to be feasible in several contexts and carries the advantage that it requires coordination with other donors on the implementation of the main electoral tasks while leaving the EC free to pursue EU objectives by assisting non-state actors and supporting the development of civil society in general. 164 The EC delegation needs to ensure the appropriate EC visibility during the implementation phase, regardless of delivery methods selected. Specific measures and initiatives shall be undertaken to ensure participation and adequate perception of the EC efforts among all the stakeholders of the electoral process. Expenses for visibility actions are considered eligible project expenses to target the beneficiary population, the EU decision makers plus the international donor community and the European taxpayers EC financial instruments For the 2007 to 2013 financial perspective, the EU has adopted a package of five new instruments for the implementation of external assistance in the field of governance/democratisation. The European Neighbourhood and Partnership Instrument (ENPI) provides EU assistance to 17 countries: Algeria, Armenia, Azerbaijan, Belarus, Egypt, Georgia, Israel, Jordan, Lebanon, Libya, Moldova, Morocco, the Palestinian Authority, Russia, Syria, Tunisia and Ukraine. It comprises a specific cross-border co-operation component covering border regions of the EU Member States. Based on the Cotonou agreement, which provides the bedrock of EU co-operation with African, Caribbean and Pacific (ACP) countries, the European Development Fund (EDF) supports assistance to the Union s 78 ACP partner countries and the overseas countries and territories of member states. Cotonou has three essential - human rights, rule of law and democracy - and one fundamental element - good governance. Development Cooperation Instrument (DCI) covers three main components. The first is to provide assistance to South Africa and 47 developing countries in Latin America, Asia and Central Asia, and the Middle East (only those countries not covered by the ENPI or the EDF) Secondly,

165 EC-UNDP Procedures for Programming, Identification, Formulation, Implementation and Evaluation MODULE 4 it supports the restructuring of sugar production in 18 ACP countries. Thirdly, it runs five thematic programmes: investing in people, environment and sustainable management of natural resources including energy, non-state actors and local authorities in development, food security and finally migration and asylum. The five DCI thematic programmes support actions in all developing countries (including those covered by ENPI and the EDF), global actions and external projections of as well as global actions and the fleshing out of EC internal policies. The key features of EDF, ENPI and DCI (for its geographical dimension) are the following: ÕÕ ÕÕ ÕÕ joint management mutual obligation security of funds European Instrument for Democracy and Human Rights (EIDHR) contributes to the development of democracy, the rule of law, respect for human rights and fundamental freedoms. It has been designed to complement the various other tools for implementation of EU policies in this area, which range from political dialogue and diplomatic démarches to various instruments of financial and technical cooperation, including both geographic and thematic programmes. EIDHR is managed at the central level by EuropeAid. The Instrument for Stability (IfS) aims to contribute to stability in countries in crisis by providing an effective response to help preserve, establish or re-establish the conditions essential to the proper implementation of the EUís development and cooperation policies. In the context of stable conditions for the implementation of EU cooperation policies in third countries, the IfS helps to build capacity both to address specific global and trans-regional threats having a destabilizing effect and to ensure preparedness to address pre- and post-crisis situations (the ëglobal and regional trans-border challengesí component). The ëcrisis response and preparednessí component is managed by Directorate General External Relations. The ëglobal and regional trans-border challengesí component is managed by EuropeAid EC and UNDP Cooperation and Partnership in the Field of Electoral Assistance The EU and the UN are natural partners. They are united by the core values laid out in the 1945 Charter of the United Nations and the 1948 Universal Declaration of Human Rights. Member states and the Commission are the largest contributors to the UN system. A total of 1.5 billion was approved by the EC to be channelled to the UN in Europe plays an active role in both shaping and implementing international standards for human rights worldwide. The increased collaboration over the past ten years between UN and the EC should be seen against the background of Europeís policy towards the UN. As expressed in the Commissionís communication of 2001, Building an effective partnership with the UN, reinforced in 2003 by a further Communication entitled EU-UN relations: The choice of multilateralism, the EU has established itself as a major partner of the UN. The latter communication called for a comprehensive strengthening and mainstreaming of EU-UN relations by systematic policy dialogue and greater cooperation in the field, mainly through

166 MODULE 4 EC-UNDP-IDEA Joint Workshop on Effective Electoral Assistance EC-UNDP Procedures for Programming, Identification, Formulation, Implementation and Evaluation political engagement at the highest level: contacts between the institutions for the EU and the UN Secretary-General and Deputy Secretary-General; exchanges on country-level policies: interviews between the Commission, the Council and UN departments of political affairs and peace-keeping operations respectively; furthering policy dialogue and cooperation: formal strategic partnerships have been signed aimed at furthering policy dialogue and strengthening cooperation (to date six strategic partnership agreements have been signed); regular exchange of draft documents between the Commission and the UN team in Brussels for the purpose of mutually contributing to policy formulation; cooperation between country delegations and UN Country Teams in defined development cooperation strategies on the ground, as well as in the programmatic portfolio. 166 The Financial and Administrative Framework A g r e e m e n t (FAFA) provides a single shared legal, financial and administrative framework for all programmatic cooperation between the Commission and the UN. To facilitate programmatic cooperation between the EC and the UN, an updated FAFA was agreed in Signed on 29 April by Deputy Secretary General Fréchette and Commissioner Nielson, the FAFA applies to all contributionspecific agreements signed between both organizations after that date. The agreement provides a single shared legal, financial and administrative framework for all programmatic cooperation between the Commission and the UN. Since its entry into force the FAFA has made cooperation more efficient, ensuring faster start up of activities and ensuring administrative consistency across operations. On 28 June 2004, the UNDP and the EC entered into a Strategic Partnership Agreement (SPA) through the signature of an MoU to set out and better define the relational focus between the two institutions. The objective of the partnership is to facilitate policy dialogue and specific collaboration at the global, regional and country level, with the appropriate involvement of partner countries and is expected to bring harmonization and complimentarity as well as financial cooperation between the two institutions. The MoU focuses on governance (including elections, parliament and governance indicators), conflict prevention and post-conflict reconstruction through regular policy dialogue, and enhanced programme collaboration at all levels including financial cooperation. The Strategic Partnership Agree- On the 21st April 2006, EuropeAid Director General K. Richelle signed with the UNDP Associate Administrator Ad Melkert, the EC-UNDP Operational Guidelines for the Implementation of Electoral Assistance Programs and Projects. ment (SPA) sets The Guidelines outline practical measures for the strengthening and the facilitation of the already established cooperation between the EC and the UNDP out and defines in the domain of electoral assistance (in full respect of the provisions laid out the relational focus between EC aspects, tighten up and improve the EC-UNDP collaboration on electoral as- in the existing FAFA between the EC and the UN). They clarify implementation and UNDP. sistance so as to further promote the effectiveness of electoral assistance initiatives through better and timely planning, formulation and implementation of activities. Furthermore, they aim to rationalise the de facto partnership that existed at country level and provide for more concrete involvement and influence of the EC in the preparation and implementation phases of electoral assistance projects.

167 EC-UNDP Procedures for Programming, Identification, Formulation, Implementation and Evaluation MODULE 4 The EC/UNDP Operational Guidelines for the Implementation of Electoral Assistance Programs and Projects clarify implementation aspects, tighten up and improve the EC-UNDP collaboration on electoral assistance so as to further promote the effectiveness of electoral assistance initiatives through better and timely planning, formulation and implementation of activities. They aim to rationalize the de facto partnership that existed at the country level and provide for more concrete involvement and influence of the EC in the preparation and implementation phases of electoral assistance projects. The guidelines in particular facilitate the position of EU delegations vis-à-vis UNDP country offices by addressing problems such as ÕÕ ÕÕ ÕÕ ÕÕ ÕÕ ÕÕ difficulties in the appraisal process (not enough involvement of the EC); discrepancies between the UNDP project document and EC financing proposal, leading to uncertainties regarding the EC-UNDP contribution agreement; misunderstandings in the use of the UNDP pre-financing modality linked with the use of the EC retroactivity clause; difficulties in the selection process of the required electoral expertise; difficulties in securing adequate participation and voice of the EC delegation in the steering committee of the project; difficulties in ensuring the visibility of EC funding. EC and UNDP agreed to monitor, assess and take the necessary corrective measures on the implementation of the Operational Guidelines every calendar year. As a partner of both UNDP and the EC in electoral assistance, although not a party to the Guidelines, EAD/DPA is always invited to participate in the review of the Guidelinesí implementation. 167 A meeting of the SPA review between the EC and the UNDP was held in Brussels in December 2007 at the presence of the UNDP Administrator, Kemal Dervis, and the relevant EC services from the General Directorates of DG DEV, DG RELEX and EuropeAid. The outcomes indicated a recognition that the EC-UNDP partnership has matured in its scope and depth in terms of the policy and programmatic work undertaken together; a recognition that the EC-UNDP programmatic portfolio has seen significant developments in terms of the size of the funding from the EC through UNDP, the amount of sectors we are partnering on and the amount of countries we are working in together; an understanding that the EC-UNDP partnership has now spread to some 70 countries and is largely focused on democratic governance (particularly electoral assistance) and crisis prevention and recovery activities, proving that the sectors covered by the SPA were correct; an endorsement of the fact that electoral assistance represents a best practice of the strategic partnership (with its JTF and a myriad of joint initiatives and products) that need to be further supported and replicated in other areas where the EC and UNDP agree on approaches; the need to take the opportunity offered but not be limited by the cyclical approach of electoral assistance to work together in other closely related governance areas, such as parliamentary strengthening as well as justice and security sector reform.

168 MODULE 4 EC-UNDP-IDEA Joint Workshop on Effective Electoral Assistance EC-UNDP Procedures for Programming, Identification, Formulation, Implementation and Evaluation A director level dialogue between the EC and the UNDP on Africa was held in Brussels, on 14 March This dialogue was agreed by both institutions during their SPA review meeting that took place in December 2007, held as always in Brussels. The purposes of the meeting were to (a) keep Africa at the centre of the joint EC-UNDP partnership, at this important time when the continent is showing so much promise in its development efforts; (b) identify themes for maximizing common synergies and complementarities at HQ and country level; (c) share information and best practices of this partnership in Africa, such as the cooperation on electoral assistance (with the JTF, joint initiatives and products). The key outcomes of the dialogue were the following: 168 FF A significant level of similarities on themes and priorities of both institutions was noticed, including in their respective overarching policy frameworks, the Joint Africa-EU Strategy and the UNDPís Africa Action Plan, which provides a major opportunity to strengthen collaboration between EC and UNDP. FF Existing cooperation in Africa was reviewed and examples of best practices were provided. The following common themes of interest for increased cooperation were identified: (i) democratic governance, including capacity-building and local governance; (ii) fragile situations. FF UNDP was recognized to have extensive expertise on governance, particularly on the three main areas that will be part of the forthcoming EC Communication on Local Development, namely local governance, decentralization and territorial development. FF Electoral assistance and the EC/UNDP partnership in this area were highlighted as a governance best practice. FF The current strategy for long-term involvement and integration into a broader governance strategy, where electoral assistance is a component of broader democratization assistance should be supported. Agreement to explore possibilities of formulating and designing joint initiatives that take into account this broader approach was obtained. FF The value of EC instrument of governance incentives was recognized as well as UNDPís role in strengthening statesí capacity, thereby supporting African countries in making the most of this EC initiative. FF The importance of continuously building on the present cooperation in the field of conflict prevention and recovery was stressed, particularly by taking existing policy and methodological cooperation to its concrete application in the field. FF Joint UN-EC training on climate change at the country level can contribute to develop a common vision on this topic, which could help African countries to mainstream disaster preparedness into national policy framework. FF The EC expressed interest in using UNDPís expertise and forward-looking approach to African development for its study on situations of fragility in developing countries, such as Burundi, Guinea Bissau and Sierra Leone. At the end of 2006, the European Commission commissioned an evaluation study to an external company aimed at providing an overall independent assessment of its external cooperation with partner countries through the organisations of the UN family. The study covers the partnership between the Commission and the UN to the extent of the Commission s funding of UN interventions. It focuses on development cooperation funds managed by DG RELEX, DEV and AIDCO. The period covered is Several recommendations emerge from the evaluation study. Among them, the following are related to EC-UNDP partnership on electoral assistance: Regarding the general channelling framework, the Commission should redefine its general framework and build on positive experiences such as the Operational Guidelines for the Implementation of Electoral Assistance;

169 EC-UNDP Procedures for Programming, Identification, Formulation, Implementation and Evaluation MODULE 4 With regard to the general channeling framework, the Commission should redefine its general framework and build on positive experiences such as the Operational Guidelines for the Implementation of Electoral Assistance; With regard to the legal framework, as cooperation intensifies, specific arrangements between UN bodies and Commission Services should be signed to better define the scope and objectives and to provide guidance on specific issues. The Operational Guidelines for the Implementation of Electoral Assistance are referred to as best practice. In areas where cooperation is considered by both parties to be worth extending, repeating or strengthening in future, it is suggested to use a bottom-up approach and avoid a one-size-fits-all approach. An example of best practice is the EC-UNDP Operational Guidelines for the Implementation of Electoral Assistance programmes and projects. The evaluation study states that this agreement, which emerged from practice and was set up jointly by the two partners, capitalizes on joint experience to date in this area. In cases where the Commission wished to intervene in areas in which the UN had the leading thematic expertise developed over time in accordance with the objectives assigned to it by the international community, it benefited from that leading UN expertise. The Commission has, for instance, benefited in the area of elections from UNDP expertise (cf. EC/UNDP Operational Guidelines for the Implementation of Electoral Assistance Programs and Projects ). It is recommended that a common understanding is ensured of the reasons, objectives, and means of the partnership and of the main aspects of the legal and administrative framework, especially at the operational level. The organization of joint EU-UN trainings is presented as best practice Key components of EC-UNDP partnership in electoral assistance Based on the experiences of more than two years of practical implementation of the Guidelines, this section describes how the most recent joint EC-UNDP projects are being implemented and the next steps in this partnership. A. Joint formulation missions The parties agree that it is mutually beneficial, where any new action of electoral assistance is to be launched in a partner country, and following a due request of the respective national authorities and the respective internal decisional processes of the parties, to undertake joint project formulation missions. These missions would be carried out by members of the JTF according to the specific needs of the project/programme being discussed and will rely on preparatory work from the EC delegation and UNDP CO in terms of information to be exchanged with HQ and initial drafting of parts of the project documentation related to the political scenario, complementary actions, the economic and social situation and development policy of the beneficiary country. The missions will identify the overall results sought from the electoral assistance, the activities to be carried out and the related operations, implementation methodologies and needed technologies for the implementation of the given electoral A joint formulation mission will identify the overall results sought from the electoral assistance, the activities to be carried out and the related operations, methodologies and technologies needed for the implementation.

170 MODULE 4 EC-UNDP-IDEA Joint Workshop on Effective Electoral Assistance EC-UNDP Procedures for Programming, Identification, Formulation, Implementation and Evaluation assistance. They will assess the needs and capacity of the EMBs and CSOs, as well as the timing, costs and procurement aspects of the registration and electoral processes. A joint report will be produced reflecting the common position of both organizations and, if possible, a list of electoral experts drawn from the rosters maintained by DPA/EAD and EuropeAid will be submitted to the UNDP COs and EC delegations for selection and subsequently agreement with the national authorities. The joint formulation missions will usually last eight to ten working days which can be eventually extended with the input of external expertise, specifically recommended by the JTF. A close collaboration has been established with the DPA/EAD in order to evaluate the overall environment to hold democratic elections in the given country and to provide a realistic assessment of the existing conditions for the conduct of elections including legal, political, human rights, material and institutional situations. The collaboration is context specific, but in broad terms, DPA/EAD could submit for Focal Point approval UNDP electoral assistance based on a needs assessment mission (see Module 1) or desk review in advance of a potential joint formulation mission by UNDP and the EC in case EC contribution is foreseen. Detailed discussions on the results of the needs assessment mission (if one is undertaken) would take place prior to the fielding of the EC-UNDP mission. 170 The joint missions will support both the UNDP country offices and the EU delegations while liaising with all the other stakeholders of the electoral assistance project in the given beneficiary country. The UNDP country offices will be supported in the production of the Project Document and the related budget and in reinforcing the links with the EU delegation. Where applicable and desirable, the mission supports the UNDP country offices in the formulation of a MoU between development partners supporting the electoral assistance project/programme and the relevant national authorities. The EU delegation is supported in the production of the Project Identification Fiche, of the Financing Proposal and its budget and for the preparation of the first draft of the Contribution Agreement to be signed with the UNDP services. For UNDPís part, any project commitment for electoral assistance requires a decision by the UN Focal Point on Electoral Assistance, which is based on a UNDPA-EAD assessment of the overall environment and conditions to hold democratic elections in the country. For the ECís part, formulation of projects will take due consideration of the experience gained from previous projects and recommendations of EU Election Observation and Assessment Missions previously deployed in the country. In the case of m u l t i - d o n o r contributions, a basket fund will be established to manage the pooling of resources among d e v e l o p m e n t partners. B. UNDP and EU/EC project/programmes documentation The parties agree that the wording and content of their respective official project documents to be signed separately with state authorities should be harmonised to ensure an efficient follow up within their respective organisational channels and reflect complementary actions. It is understood that the format of the respective documents will remain unaltered. The parties agree that the projects/programmes are financed through the existing standard Contribution Agreement signed between the EC and UNDP. In the case of multi-donor contributions, a basket fund is established to manage the pooling of resources among development partners. Contributions to the basket fund is based on existing standard UNDP cost-sharing and/or closed trust fund agreements.

171 EC-UNDP Procedures for Programming, Identification, Formulation, Implementation and Evaluation MODULE 4 The first draft of the Contribution Agreement is produced by the EU delegations following the content of the UNDP Project Document, the related project budget and the EC Financing Proposal. The draft is submitted to the UNDP country office and have to be cleared by the UNDP Brussels Office before signature takes place. In consideration of the particular nature of the electoral assistance activities, it is preferable that the text of the final draft Contribution Agreement is available by the end of the joint formulation mission to ensure that it is signed immediately after the adoption of the EC Financing Agreement. The EC and UNDP project documentation should refer to the relevant articles of the Operational Guidelines adapted to the country context. Where appropriate and desirable, and in addition to the UNDP Project Document and Contribution Agreement, an MoU can be signed between UNDP, the EU and all development partners contributing to the basket fund, EMBs and other partners at country level, to elaborate on the results sought from the electoral assistance and necessary financial and management arrangements. This MoU, the UNDP Project Document and the UNDP-EC Contribution Agreement should be aligned. The activities and performance indicators are set out in the UNDP Project Document following agreement with the electoral management bodies of the given country. They can be elaborated upon in the MoU where appropriate. The UNDP Project Document should also integrate the appropriate EU/EC standard indicators for aggregating the effects of external aid projects financed by the EU/EC. It is recommended that projects/programmes within the scope of the Operational Guidelines should be directly executed by UNDP or have UNDP as the implementing partner. In this context, the EU delegation might, where appropriate, adopt a modality of centralised management being allowed by the national authorising officer to sign on its behalf the Contribution Agreement directly with UNDP. The MoU, the UNDP Project Document and the UNDP-EC C o n t r i b u t i o n A g r e e m e n t should be aligned. UNDP country offices will ensure necessary project/ p r o g r a m m e implementation capacity and will be responsible for setting up and managing the technical assistance team. 171 UNDP country offices ensure necessary project/programme implementation capacity. Preferably, a technical assistance team (taking the form of a programme management unit (PMU) or a small team of advisors) is established and the first jointly selected electoral experts should be in the country when the joint formulation mission leaves or no later than 20 working days after this date. The technical assistance team is composed of electoral experts as needed and will be constituted as the day-to-day management component of the project. When developing their work, the experts provide support and transfer knowledge and skills in a capacity development perspective in favour of the EMBs and/or the beneficiary CSOs dealing with the electoral process. UNDP country office senior management is responsible for setting up and managing the technical assistance team. C. UNDP financial and technical input for preparatory activities The sensitivity of electoral assistance which is often a critical part of the stabilization and/or reconstruction of a country as well as the frequently complex environment in which it takes place, often means receiving a late request for assistance from the local authorities. Therefore, whenever the EC financial contribution cannot be mobilized with sufficient anticipation for the project identification and formulation phases, UNDP could mobilize resources for preparatory activities.

172 MODULE 4 EC-UNDP-IDEA Joint Workshop on Effective Electoral Assistance EC-UNDP Procedures for Programming, Identification, Formulation, Implementation and Evaluation The parties agree that it is possible to start up an agreed project/programme through a limited use of core or other resources of the UNDP CO to support the identification and formulation phases leading to the signature of the EC-UNDP Contribution Agreement. The activities will cover the costs of specific electoral assistance expertise through the JTF for the drafting of the necessary project documentation and monitoring activities in liaison with UNDP CO, EC delegations, local authorities and EMBs. The resources applied by UNDP in this instance are considered a UNDP contribution and would not be considered pre-financing of the joint initiative. They would not, therefore, be reimbursed after a contribution agreement is signed. In a second phase, on the basis of a duly signed contribution agreement between the EC and UNDP, and in accordance with UNDPís and ECís Financial Regulations and Rules, UNDP will be in the position to advance funds from the day of the signature of the contribution agreements that will be reimbursed when the resources of the EC contribution become available. The UNDPís Executive Board (EB) decision 2007/18 on cost recovery directs UNDP to adopt a rate of 7 percent for the recovery of indirect general management support (GMS) costs for new third party contributions and trust funds. This constitutes a change from previous guidelines in that the 5 to 7 percent GMS ërangeí practiced thus far is now eliminated. This change took effect immediately for all new third party contribution agreements. 172 The 7 percent rate is the general standard applicable to all third party cost sharing and trust fund contributions. The EB expects UNDP to adhere fully to this standard with the objective of reaching proportionality of support costs. Exceptional circumstances may arise which would call for a modified GMS rate to take into account specific priorities, modalities incurring lower indirect costs, and harmonization goals. In such circumstances, the Board has indicated that UNDP will retain the authority to grant waivers to the cost recovery rate. All such exceptions must be reported to the Board in the annual financial reporting. Such authority will only be exercised through a caseby-case review of the specific circumstances that would truly warrant its use. D. EU participation in the steering and monitoring of the projects and visibility issues UNDP acknowledges the importance of ensuring the appropriate EC tenure and visibility during all phases. The parties agree that specific measures and initiatives shall be undertaken to ensure participation and adequate perception of the EU efforts among all the stakeholders of the electoral process. These measures are discussed and agreed upon by EU delegations and UNDP country offices. UNDP is strengthening the important objectives for a broader EU visibility and seek to communicate the positive results of the EU/EC-UNDP cooperation, in line with the Joint Visibility Guidelines for EC-UN Actions in the Field. To this extent, expenses for visibility actions are considered eligible project expenses. This aside, it is recommended that UNDP country office submits a specific electoral assistance visibility plan to the local EU delegation for consideration within the first month of project start up. This visibility plan can be evolving throughout the project s implementation and could include joint press releases, TV spot, joint presentations, photo opportunities and policy type publication in specialist press. UNDP will ensure that any internal required political clearance regarding public statements related to election matters is sought.

173 EC-UNDP Procedures for Programming, Identification, Formulation, Implementation and Evaluation MODULE 4 In this context, EU delegations are encouraged to take a more proactive role in promoting EU/ EC-funded activities implemented through UNDP. EU delegations may take on additional responsibilities in steering committees and increase efforts to follow technically the implementation of the programmes/projects, also with the support of external expertise. Moreover, the EU delegations may consider recruiting electoral operations experts that would liaise with the EMBs and the UNDP country offices in the follow-up of the project. The parties agree that for any future collaboration specific steering and technical committees shall be formed. The steering committees include the relevant EMBs and development partners supporting the respective project/programme. Where appropriate, the UNDP chairs the committee together with the representative of the local EMBs as relevant and provides the secretariat with the support of internal or externally recruited electoral assistance expertise. The decisions within the steering committees are preferably be taken by consensus. However, in the absence of a consensus and as a last resort, there is a weighted vote linked to contributions made the result of which must have UNDP s backing as it is responsible for the management of the project. The parties agree that restricted technical committees are formed and can include the respective electoral experts of the major donors plus the representatives of the EMBs. These committees are tasked with preparing the issues to be discussed within the steering committee. E. Selection of electoral assistance experts for the programme management unit 173 The parties agree that the selection of electoral assistance experts to work in projects/programmes shall be done in collaboration and in agreement between UNDP country offices, the EU delegations, other developments partners contributing to the UNDP managed basket fund and especially with the local EMBs, with specific support from DPA/EAD and the EC-UNDP Joint Task Force. It is recommended that a pre-selection of candidates be done in a coordinated manner between EAD and the JTF, which both maintain a roster of international experts, in accordance with the requirements of competitive review and diverse applicant pools. EAD, in coordination with the JTF, will aim to submit a list of candidates to UNDP country offices, EU delegations and local EMBs for consideration and selection in a fifteen working days timeframe after the end of the joint formulation mission. To this end, EAD and the JTF agreed to collaborate towards the establishment of a comprehensive shortlist of experts for the sake of efficiency. The selections are carried out by the UNDP country office, EU delegation, other developments partners contributing to the UNDP managed basket fund and local EMBs, within a standard timeframe of maximum fifteen days after a suitable candidature has been proposed to or by DPA/EAD and the EU/EC services. To respect this calendar, the feedback on a potential candidate should be provided within seven days. UNDP agrees that clearance for the selection of experts shall be provided in an expeditious manner and the selection of the entire set of experts required may be completed at different stages in order to allow the immediate implementation of the project. Recruitment of experts shall be done in accordance with UNDP regulations, rules and procedures.

174 MODULE 4 EC-UNDP-IDEA Joint Workshop on Effective Electoral Assistance EC-UNDP Procedures for Programming, Identification, Formulation, Implementation and Evaluation F. Performance indicators, benchmarks and phased disbursements UNDP agrees that the disbursement of the EC financial contribution may be subject to the meeting of specific performance indicators, conditionalities and/or benchmarks previously set by the EC (e.g., in country strategy papers, national indicative programmes, EC financing agreement). These will be indicated also in the UNDP Project Document, and, where applicable, MoUs, and devised during the formulation stage of the project via a consultation process with the electoral management bodies. The EC agrees to undertake a periodical review of such benchmarks, in accordance with the related developments of the political situation. G. Reporting requirements The parties agree that, in addition to the standard reporting requirements laid out in the FAFA, specific reporting mechanisms may be agreed upon by the UNDP COs with the EC delegations during the project formulation phase. In general terms, the reporting will follow the indications of the joint guidelines on reporting obligations under the FAFA presently in preparation between the EC and the UN family organizations. Preferably, the technical assistance team should act as a common information point for all development partners supporting the respective project/programme. The technical assistance team can take responsibility for circulating information to the relevant partners as appropriate. The reports should be also sent to the permanent members of the JTF and include, but are not limited to the following: 174 one page reports that could be used as a basis for joint press statements also to be reissued at HQ levels whenever justified technical progress reports (monthly) outlining progress of activities against the outcomes and performance indicators articulated in the UNDP Project Document substantive reports (quarterly) reflecting the status of the activities funded within the wider context of electoral preparation and implementation, drawing attention to any key issues that would impact on elections calendar implementation and providing provisional financial information decisions and proceedings of steering committee meetings. It is recommended the establishment of a project website to be updated according to the needs H. Procurement of specific election material The parties agree that the procurement of sensitive or highly specific or costly election materials should preferably be done in close collaboration and involvement of the UNDP/PSO and, where applicable or desirable, conducted via UNDP/PSO. Where the services of UNDP/PSO are requested by the UNDP CO, UNDP shall ensure that timely and resumed information on the tendersí results and selection process shall be provided to all development partners including the EC delegation and relevant EC services. In the event of very costly procurement actions for highly technical electoral materials, the parties furthermore agree that particular additional mechanisms such as pilot and validation tests shall be put in place to enhance transparency of the process before the selection of the vendor is completed, in line with UNDP procurement procedures.

175 EC-UNDP Procedures for Programming, Identification, Formulation, Implementation and Evaluation MODULE 4 Where requested, UNDP/PSO can provide to UNDP COs ad hoc training courses on UNDP rules and regulations related to elections procurement. Also it can assist UNDP COs in developing procurement plans to ensure timely and cost-efficient deliveries of electoral equipment. I. Enhanced collaboration on the production of content and participation in specialized networks The parties agree to continue collaborating on initiatives and networks for the production of knowledge products and services for the support of electoral processes, such as the ACE Electoral Knowledge Network. The parties intend to continue supporting ACE using materials and tools derived from their experience of project implementation, from the EC and UNDP guides on electoral assistance and from the training on effective electoral assistance. It is expected that EU delegations and UNDP country offices dealing with electoral assistance projects and local EMBs benefit significantly from this package of initiatives, which is enhanced by interaction with specifically the existing ACE Regional Electoral Resources Centres, strategically located throughout the globe (see Module 5). The parties agree to undertake studies of mutual interest, such as those on the synergies between civil and voter registration linked to the increased use of ICTs, on the issues of conflict, security and elections and on the issues of disadvantaged group and elections etc. J. Joint training and global platform on effective electoral assistance The parties agree to continue collaborating towards the refinement and delivery of joint training curricula on effective electoral assistance for the respective officers in charge of electoral assistance projects at headquarters and country levels. Cooperation, interaction and synergies are sought with International IDEA and the ACE network. The objectives of these curricula are to introduce UNDP and EC staff with the current policy framework that governs both EU and UN involvement in elections, to share experiences, and to sensitise practitioners to the electoral cycle approach. The trainings are particularly focused on the respective procedures for implementing electoral assistance activities, the procurement of specific electoral material and services, voter registration methodologies and the importance and methods of strengthening the capacities of EMBs and civil society. 175 The parties co-chair, together with International IDEA, the Train4Dev Subgroup on Effective Electoral Assistance of the Joint Donors Competence Development Network (JCDN) and promote the development of training activities and knowledge development with other JCDN partners through the Global Training Platform on Effective Electoral Assistance. Finally, the parties collaborate on the SatElections project (see below) and will ensure the coordination and synergies with the related activities developed through Train4Dev/Global Training Platform. K. Evaluation of the Partnership and the work of the JTF In 2009, the EC and UNDP decided to launch an independent assessment aiming at: Providing an overview over the past performance of the EC-UNDP on Electoral Assistance and the work carried out by the JTF focusing on the impact upon EC-UNDP cooperation in the field of electoral assistance as well as the JTF efforts in regards to 1) operational guidance, 2) liaison and interaction and 3) training and information

176 MODULE 4 EC-UNDP-IDEA Joint Workshop on Effective Electoral Assistance EC-UNDP Procedures for Programming, Identification, Formulation, Implementation and Evaluation Identifying key lessons learned and propose practical recommendations to further facilitate EC-UNDP collaboration as well as to promote the work carried out by the JTF The final Report submitted in July 2010 highlighted the way in which the Partnership and the JTF have contributed to deepening the collaboration between the two institutions. At the same time, it identified bottleneck areas during the implementation phase of joint electoral assistance projects at the field level and provided recommendations in relation to the further development of the knowledge development agenda. The findings of the report were used as the background for the establishment of the JTF strategic and operational plan for the period The summary of the evaluation can be found among the Annexes to this Training Manual. Based on the recommendations of the above mentioned report, another assessment was launched during the last months of 2010 that targeted the specific component related to country-level support and the formulation, implementation and evaluation of electoral assistance project at the field level. Two evaluators were recruited and visited four countries: DRC, Moldova, Guinea Bissau and Togo. In addition to evaluating the advantages and challenges confronted within the Partnership context, the report is expected to provide an overview over the implementation of the electoral cycle approach. The recommendations will provide a sound ground from where to re-think the electoral cycle approach in practice to further build successful electoral assistance projects in the future. 176 See Annex: Executive Summary, Conclusions and Recommendations Assessment of the European Commission (EC) United Nations Development Programme (UNDP) Partnership in Electoral Assistance and of the Joint EC-UNDP Task Force on Electoral Assistance

177 EC-UNDP Procedures for Programming, Identification, Formulation, Implementation and Evaluation MODULE 4 Summary Particularly relevant UN actors in the field of electoral assistance are the UN Focal Point for Electoral Assistance, EAD/DPA, UNDP and the country offices but also DPKO, UNV, UNIFEM, UNOPS, UNDESA and UNDEF. Upon a request for electoral assistance, the UNDP forwards the request to the Focal Point who, with support from EAD/DPA and the need assessment mission, determines whether support is granted. Initial recommendations of activities are put forward in the needs assessment period and further identified in the project document. The choice of implementation modality assigns the policies and procedures to be followed when implementing UNDP-supported programmes and projects.undp can arrange for its support to programmes/projects through 1) national implementation/execusion (NEX/NIM), 2) direct implementation/execusion (DEX/DIM), 3) implementation/ execution throuh NGOs/CSOs, or 4) through other UN agencies. DEX/DIM is the default modality for electoral assistance programmes and projects. When choosing among implementing partners, focus ought to be placed on technical, managerial, administrative and financial capacities. Particularly relevant EU/EC actors in the field of electoral assistance are the EU delegations, RELEX, DEV, EuropeAid, EIDHR and EDF. 177 EU financing modalities comprise implementation via i) budget support, ii) common pool funding, iii) contractual and financial procedures or iv) a combination of financial modalities Summary Milestones in UN/UNDP and EU/EC collaboration to promote effective electoral conditions include the Financial and Administrative Framework Agreement (2003), the EC-UN- DP Strategic Partnership Agreement (2004) and the EC-UNDP Operational Guideline for the Implementation of Electoral Assistance Programmes and Projects (2006, reviewed in 2008). The establishment of the Joint Task Force aimed to increase the overall efficiency and adherence of the projects to the common EC-UNDP strategic approach. The partnership establishes the possibility for and desirability of establishing joint formulation missions and harmonisation of project and programme documentation as well as rules regulating financial and technical input for preparatory activities and retroactivity, the selection of electoral assistance experts and the PMUs and also procurement for election material. The EC, UNDP and IDEA agree to continue collaborating on initiatives and networks for the production of knowledge products and services for the support of electoral processes.

178 MODULE 4 EC-UNDP-IDEA Joint Workshop on Effective Electoral Assistance EC-UNDP Procedures for Programming, Identification, Formulation, Implementation and Evaluation QUIZ 1. Who is the designated Focal Point for electoral assistance activities in the UN? ОО The UN Secretary General ОО The Under-Secretary General for Political Affairs ОО The Administrator of the UNDP ОО The country representative for the country in question 2. What are the main criteria against which the Focal Point makes decisions as to whether provide UN electoral assistance? ОО There is a clear need for UN assistance ОО It will improve the electoral process ОО Political actors support international assistance ОО UN norms will be respected through the provision of such assistance ОО All of the above Who has the leading role in the EU when it comes to the identification, formulation, implementation and evaluation phases of electoral assistance programming? ОО The EU delegations together with the national authorities ОО The Directorate General for External Relations (DG RELEX) together with the national authorities ОО The Directorate General for Development (DG DEV) together with the national authorities ОО EuropeAid Cooperation Office (also known as AIDCO) together with the national authorities 4. The primary aim of the EC-UNDP Joint Task Force on Electoral Assistance relates to: ОО strengthening and further facilitating the Partnership on Electoral Assistance and improve the overall efficiency and adherence of joint projects ОО operational guidance ОО liaison ОО training, development of content and dissemination of information ОО All of the above Quiz 5. What is DEX? ОО A strategy of choosing implementation partners on the basis of their technical, managerial, administrative and financial capacity ОО An execution modality placing the overall responsibility for formulation and management of UNDP supported programmes and projects in the hands of the host government ОО An execution modality by which UNDP takes the full responsibility for project implementation

179 EC-UNDP Procedures for Programming, Identification, Formulation, Implementation and Evaluation MODULE 4 6. Which of the following EC financing modalities involves resource transfers to the budget of the beneficiary state that are managed independently by the partner country? ОО Budget support ОО Common pool funding ОО EC contractual and financial procedures ОО Different combinations of financing modalities 7. What are the main documents regulating the relationship between the EC/EU and the UN/UNDP cooperation in the field of electoral assistance? ОО The Financial and Administrative Framework Agreement (FAFA) ОО The EC-UNDP Strategic Partnership Agreement ОО The EC-UNDP Operational Guidelines for the Implementation of Electoral Assistance Programmes and Projects ОО All of the above Who signs the EC-UNDP contribution agreement? ОО The EU delegation and the UNDP country office (after clearance from the UNDP Brussels office) ОО RELEX and UNDP Brussels office ОО The EU Commissioner of External Relations and the UNDP Administrator ОО The EU Commissioner of Development and the UN Focal Point for Electoral Assistance Who is the preferred partner when it comes to the procurement of sensitive or highly specific or costly election material? ОО UNV ОО UNDP/PSO ОО EIDHR Which is the main partner when it comes to the EC-UNDP initiative for production of knowledge products and services for the support of the electoral process? ОО EU EOM ОО DG DEV ОО ACP ОО ACE Electoral Knowledge Network Quiz 11. In which ways does the EAD/DPA support the Focal Point ОО In ensuring consistency in the handling of requests ОО In channelling requests to the appropriate office or programme ОО When it comes to developing and maintaining a roster of international electoral experts ОО Regarding the maintenance of contact with regional and intergovernmental organisations ОО In maintaining the organisations institutional memory ОО All of the above

180 MODULE 4 EC-UNDP-IDEA Joint Workshop on Effective Electoral Assistance EC-UNDP Procedures for Programming, Identification, Formulation, Implementation and Evaluation 12. Which of the following EC actors is the main provider of quality support in the electoral assistance field? ОО DG RELEX ОО DG DEV ОО EuropeAid ОО All of the above 13. What types of projects are undertaken by the European Initiative on Democratisation and Human Rights (EDIHR) in the electoral support sector? ОО Large-scale training programmes ОО EU EOMs and small-scale electoral assistance activities implemented by CSOs particularly in the area of domestic observation and voter education ОО Media training ОО Technical upgrade 14. What is the default modality for election-specific projects when donors decide to channel funding through UNDP? ОО DEX ОО NEX ОО Through CSOs Under which circumstances is the NEX execution modality considered the most appropriate implementation modality? ОО When activities require unique technical sector experience, specific management capacities and/or international networks ОО When governments lacks required management and/or substantive capacity ОО When there is adequate capacity in the host government to undertake the functions and activities 16. What is the primary aim of the so-called sector approach (as opposed to project approach)? ОО To increase EC visibility ОО To ensure full control of the UN country representatives in terms of financial support and decision-making ОО To broaden the government s ownership over electoral policy and resource allocation decisions Quiz 17. When it comes to EC financing modalities, which is the one maximising EU/EC visibility? ОО Budget support ОО Common pool funding ОО EC contractual and financial procedures ОО Different combinations of financing modalities

181 EC-UNDP Procedures for Programming, Identification, Formulation, Implementation and Evaluation MODULE What is the main advantage of combining different financing modalities? ОО It maximises EU/EC visibility ОО It maximises national ownership and consistency with national development policies and minimises transaction costs ОО It maximises donor coordination and yields competitive advantages in situations where electoral assistance has to be delivered fast and efficiently ОО It combines coordination with other donors on the implementation of the main electoral tasks with the possibility for the EC to pursue specific EU objectives The Operational Guidelines aimed to address some problems that had surfaced in previous EC-UNDP cooperation in the field of electoral assistance. Which of the below has NOT been identified as a problem? ОО Lack of involvement of the EC in the appraisal process ОО Gaps between UNDP project documents and EC financial proposals leading to misunderstandings with respect to contribution agreements ОО Misunderstandings with respect to UNDP pre-financing modalities linked to the use of the EC retroactivity clause ОО Lack of adequate financial contributions from the EC to UNDP electoral assistance programmes and projects ОО Problems in the process of selection of electoral expertise ОО Difficulties in securing adequate participation and voice of EC delegations in the steering committees ОО Problems with ensuring the visibility of EC funding Within the framework of the Strategic Partnership Agreement (SPA), one particular region has received additional attention. Which region? ОО Central Asia ОО South-East Asia ОО Africa ОО Latin America ОО The Pacific Islands Besides producing the report on the joint EC-UNDP stance, what is the primary objective of the joint missions? ОО To choose among implementing partners ОО To set up the steering committee ОО To locate contributors to the funding of the project ОО To liaise with stakeholders and to providing support to the production of the various project documents Quiz 22. Which of the below is NOT among the regular documents for joint EC-UNDP projects in the field of electoral assistance? ОО The UNDP project document ОО EC s project identification fiche ОО EC s financial proposal ОО The EC-UNDP contribution agreement ОО The Strategic Partnership Agreement

182 MODULE 4 EC-UNDP-IDEA Joint Workshop on Effective Electoral Assistance EC-UNDP Procedures for Programming, Identification, Formulation, Implementation and Evaluation Who is responsible for setting up the EC-UNDP contribution agreement specifying actions and financial overview? ОО The UNDP country office ОО The EC delegation ОО RELEX in cooperation with EuropeAid ОО UNDP Brussels office From when is UNDP in the position to advance funds from the joint EC-UNDP programme/project? ОО From the day that it is agreed that a joint project will be carried out ОО From the day that both the UNDP project document and the EC project identification fiche are finalised. ОО From the day that the EC financial proposal has been forwarded ОО From the day that the contribution agreement is signed The electoral assistance visibility plan aims to facilitate EC efforts in face of earlier shortcomings in widespread acknowledgement of the work the organisation is doing in the field of electoral assistance. Who is responsible for setting up the visibility plan and who receives it? ОО The EC delegation submits the visibility plan to UNDP country office ОО The EC delegation submits the visibility plan to the Joint Task Force ОО The UNDP country office submits the visibility plan to the EC delegation ОО The Joint Task Force submits the visibility plan to the EC delegation and the UNDP country office Who are most frequently represented in the steering committee? ОО Representatives from the partners supporting the programme/project ОО Representatives from the partners supporting the programme/project as well as representatives from the EMBs ОО Representatives from the partners supporting the programme/project as well as representatives from the EMBs and the national government ОО Representatives from the partners supporting the programme/project as well as representatives from the EMBs and the national government, representatives from CSOs, the media and the main political parties Quiz Who are involved in the process of selecting electoral assistance experts for the programme management unit (PMU)? ОО UNDP country offices ОО EC delegations ОО Other development partners contributing to the UNDP managed basket fund ОО Local EMBs ОО EAD/DPA ОО The Joint Task Force ОО All of the above

183 EC-UNDP Procedures for Programming, Identification, Formulation, Implementation and Evaluation MODULE What kinds of reports are relevant during the implementation phase? ОО One-page reports that can be used for joint press statements ОО Monthly technical progress reports that outlines activities and outcomes according to the assessment indicators as put forward in the UNDP project document ОО Quarterly substantive reports reflecting the status of the project/programme in the wider context of electoral preparation and implementation as well as key issues ОО Reports on decisions made by the steering committee ОО All of the above 183 Quiz Right answers: 1=b, 2=e, 3=a, 4=e, 5=c, 6=a, 7=d, 8=a, 9=b, 10=d, 11=f, 12=c, 13=b, 14=a, 15=c, 16=c, 17=c, 18=d, 19=d, 20=c, 21=d, 22=e, 23=b, 24=d, 25=c, 26=b, 27=g, 28=e

184 MODULE 4 EC-UNDP-IDEA Joint Workshop on Effective Electoral Assistance EC-UNDP Procedures for Programming, Identification, Formulation, Implementation and Evaluation Print and Online Resources 184 Print and Online Resources Core Reading UNDP Electoral Assistance Implementation Guide - UN Electoral Mandate (pages 3-4) - Global Initiatives (pages 55-57) EC Methodological Guide on Electoral Assistance election-assistance-methodological-guide_en.pdf. - Chapter 5: Resources, Services and Delivery Methods (pages ) The EC-UNDP Partnership on Electoral Assistance Web site - The Partnership: org/index.php?option=com_content&task=view&id=13&itemid=28. - Who does What?: org/index.php?option=com_content&task=view&id=14&itemid=29. - Global Tools: index.php?option=com_content&task=view&id=21&itemid=38. Other EC ñundp Operational Guidelines for the Implementation of Electoral Assistance Programs and Projects Joint Visibility Guidelines: For EC-UN Actions in the Field docman&task=doc_download&gid=58&itemid=. Joint Guidelines on reporting obligations under the FAFA reporting_en.doc. Guidelines on Recovery Orders and Recovery by Offsetting under FAFA recoveries_en.doc.

185 5. Procurement of Electoral Material, Global Tools and Networks

186

187 Learning objectives To understand the impact and context of electoral costs, with particular reference to first generation as opposed to second and third generation elections To understand the functioning of the different co-financing modalities utilised by UNDP and to become aware of their main advantages and disadvantages To become familiar with the modality by which EC provides funding to UNDP projects To be able to identify the main phases of procurement in the electoral process and to become familiar with the process of creating a procurement plan To get to know the ACE Electoral Knowledge Network and the BRIDGE Project in terms of how they may assist with respect to providing knowledge in the field and building specific capacities of electoral actors to administer free and fair elections and general capacities of key electoral stakeholders 187 MODULE Cost of Elections and project budgeting Elections, apart from their social importance and political sensitivity, are often one of the most complicated logistical undertakings that a country might get engaged in. According to the Cost of Registration and Election (CORE) Project, the cost of elections per voter in established democracies ranges from $1 to $3 per registered voter, depending on a number of logistical and geographical factors but also on the particular choice of electoral system. In contrast, elections in Haiti in 2005 and in Afghanistan in 2004 cost $11 and more than $20 respectively See Getting to the CORE - A Global Survey on the Costs of Registration and Elections, available at pdf and ACE Focus On Cost of Registration and Elections:

188 MODULE 5 EC-UNDP-IDEA Joint Workshop on Effective Electoral Assistance Procurement of Electoral Material, Global Tools and Networks The main expenses related to elections held under normal circumstances fall into the following categories: voter registration (staff costs, materials, equipment and software, training costs, building hire) boundary delimitation voting operation, (staff costs, materials, training costs, building hire), vote counting and tabulation of results security (may or may not be attributed to the EMB) dispute adjudication voter education and information election dispute mediation domestic and/or international observation establishment of election office infrastructure if they donít already exist election material purchase and distribution, particularly ballots, ballot boxes and polling station materials and equipment. candidate registration voter education 188 First generation The most expensive activities as listed above typically relate to the setting up of the election administration and its territorial structure (the so-called securization of the elections), the first voter registration exercise for the deter- elections tend to be the most mination of the lists of eligible voters from scratch, the procurement and distribution of election materials and equipment, the recruitment and training expensive elections. of inexperienced staff, the development of an initial stakeholdersí capacity, extensive voter information and education campaigns. Other relevant costs that might have a big impact on the budget are transportation (including vehicles, boats, helicopters or and planes) and security. In some extreme cases like Afghanistan and Iraq, these costs might reach almost 50 percent of the budget. The most expensive type of elections that the international community is called to contribute to are first generation elections carried out in post-conflict countries or in newly formed states. These tend to be much more expensive because (1) a number of activities need to take place for the first time and usually within a relatively short time frame and (2) the security environment in these circumstances is often highly volatile. First generation elections may also choose a more expensive election system than would be used long term, such as open lists in Afghanistan 2004 which resulted in an approximate extra spend of $10 million compared to if closed lists had been used. During these elections it was also not known where the voters were, so spare capacity was built into the system across the country costing more than the next elections when the location of voters had become known. Second or third generation elections in partner countries, might still incur high implementation costs related to, for example, higher voter registration rates and systematic improvements to existing technology. But in general terms, cost reductions should arise over time due to improvements in planning and training, the re-use of equipment and polling station kits and the like. Ideally, a country should aim to bring its electoral costs down to an average of $3 to $5 per registered voter within two, or a maximum of three, electoral cycles. However, there are many relevant logistical (e.g., security concerns, geographical extension of the country, weather conditions) and technical/political factors (e.g., electoral systems and voter registration systems) that might work to keep costs high.

189 Procurement of Electoral Material, Global Tools and Networks MODULE 5 Electoral systems and electoral system reforms impact the costs. Some electoral systems are more expensive to operate than others. For example, the Some electoral Two Round System (TRS) requires the holding of two election days providing systems are more that no candidate receives the required majority (50 percent) of the vote in expensive to operate than others the first round. Costs may also rise when the electoral system is reformed. This is particularly true when the change involves the creation of new constituencies. Since it is important that voters know how the electoral system works, changes in the counting rules, constituency reforms and/or the introduction of new types of ballots require extensive voter education and information campaigns. Figure 5.1 illustrates the potential cost and administrative implications of the main electoral systems. As mentioned, cost reductions should be achieved through improvements in planning and training which are often not among the priorities in first time elections. Many lessons can be learnt from the conduct of previous elections, but they need to be streamlined with the countryís history, social structures and political context in order to adapt to new challenges and a holistic institutional capacity development plan. By supporting these activities, electoral assistance can make a real difference in building a foundation for making elections an almost routine exercise in partner countries. Voter registration is perhaps the most expensive activity in an electoral process and it can provide another example of how a methodological change can impact the electoral costs. A switch from an ad hoc periodic voter registration system to a permanent system of registration has enormous financial implications for the first electoral cycle of introduction, as it will require the purchase of technological applications ranging from OMR scanners to digital registration kits and the establishment of one or more data processing centres for the registration forms. However, once established, such a change may help bring down the costs significantly in future elections. 189 Figure 5.1: Cost and administrative implications of electoral systems Drawing Electoral Boundaries Voter Registration Ballot Paper Design and Production Voter Education Number of Polling Days By-elections The Count FPTP BV TRS AV PBV List PR STV Parallel MMP BC SNTV LV Key: =Low cost and complexity =Medium cost and complexity =High cost and complexity

190 MODULE 5 EC-UNDP-IDEA Joint Workshop on Effective Electoral Assistance Procurement of Electoral Material, Global Tools and Networks Voter registration is perhaps the most expensive activity in an electoral proccess Other key operational decisions to be taken by the EMB can considerably affect the electoral budget, such as the decision to print and distribute voter cards to the entire voting population. Moreover, a decision aimed to facilitate polling by reducing the number of voters allocated to each polling station would require an augmentation of polling sites and of polling staff, and potentially more security staff to be trained and paid to man the extra sites. Increased security features to be applied on the ballot papers will also result in a serious increase in the printing costs. The majority of these decisions should be taken during the planning stages in order to draw a realistic schedule of activities and a consequent budget plan Electoral budgeting 190 So how do we budget the costs? As displayed above, implementing an election is extremely costly and anticipating the specific costs for all activities related to the implementation of an election can be tremendously challenging. However, an EMB cannot be run nor can an election be implemented without a credible budget. If external funding is required this will be one of the first things donors and development partners will ask for. The production of a realistic and accurate (as far as possible) budget is crucial before any election and for any interaction with donors or other forms of assistance. The budgeting exercise will take place in the pre-election phase of early planning but the budget will be a dynamic document and subject to constant adjustments throughout the election lifespan in ever-changing political and operational environments. A budget is typically divided into two parts: one part covers the fixed running costs of the EMB structure, i.e., routine operational costs, and another part covers specific costs related to the implementation of the election itself which can be both fixed and variable costs. The budget can be further distinguished between types of budget: a project budget, an electoral event budget or an electoral cycle budget. Sometimes a calendar year can even contain several electoral events and thus have several sub-event budgets. The project budget is a top-down approach that is focused on project outputs, isolated from other relevant budgets. The event budget assesses the costs of a specific electoral exercise, where as a consolidated event budget would include all electoral financial requirements and aggregate the funding requirements for both EMB and miscellaneous assistance projects into a consolidated budget. In this way, the consolidated budget is covering the electoral exercise from a bottom-up approach, and makes project budgets become complementary to the EMB budget and thereby easier ensure avoidance of overlapping activities and identify financial gaps. The electoral cycle budget will assess funding from a longer term perspective and include the ëlow season in-between for capacity-building activities which an EMB will need to carry out, and, ideally include development of institutional synergies with other support activities. Great caution should be taken when consolidating electoral event budgets to include all electoral financial requirements, as UNDP will most often have an electoral cycle budget including components reserved for support for the election event/s; however, the EMB budget would in most cases not entail simar capacity building initiatives. As these budgets are interlinked but not comparable it can be a complex task to merge all the ëundp soft electoral cycle capacity-buildingí activities or gender components into the overall comprehensive electoral budget. Therefore, some activities may be integrated whereas others remain out or noted with a reference to indicate reserves put aside for the post-electoral activities. In this case, there would be both a consolidated electoral event budget and an electoral cycle budget, partially merged.

191 Procurement of Electoral Material, Global Tools and Networks MODULE 5 The starting point of any budget is to know the operational plan in as much detail as possible. Only then can line items, timings and quantities be written into the budget. As the operational plan changes, so will the budget, and close coordination between the operations team and the budget team is essential. It is worth noting that when trying to minimize costs from a financial point of view, the cost to the country of a flawed or non-transparent election often means that more expensive material and human costs are used to ensure no loss of integrity. It is experienced operations staff who need to make this point and for the budget staff to understand why certain costs cannot be reduced. The budgets can then be further broken down into main activities, e.g., one overall budget for voter registration, one for voter education and public outreach activities etc. For each main activity, several projects can be listed and then the breakdown costs for each project listed. For example, under the main activity of public outreach activities, several separate project activities could setting up a call centre, producing radio jingles, printing leaflets and posters, etc. Whatever model is most useful for the particular context should be chosen but naturally the more breakdowns of costs the easier it will be to adjust budgeted costs according to reality and unexpected developments. The budget formulation can be done according to financial figures extracted from previous budgetary operations in that particular country and context, which often is a helpful guide. This we define as baseline budgeting. However, often budget formulations are done without reference to any previous exercises. This we define as zero base budgeting. These types of budgeting are also mentioned under module 2, EMB budgeting. 191 When the initial categories of cost and list of activities are established for the election budget, whatever type is chosen, the budget template should be linked to a staffing table which should include all staff including polling staff, cleaners, maintenance people etc. Furthermore, there are four different kinds of costs which need to be distinguished, even though these are usually not divided in a budget: ÕÕ ÕÕ ÕÕ ÕÕ direct costs diffused costs integrity costs core costs Direct costs are basically everything that readily can be identified to be included in the electoral budget. Diffused costs are very difficult or almost impossible to assess or to quantify and include the actual costs hidden beneath operations and hence usually included in the electoral budget as estimates, e.g., use of postal services, police force etc. Integrity costs relate to the public trust and ensuring conditions for a safe and politically neutral voting environment, e.g., minimizing polling intimidation factors including trustful voting procedures and trustworthy ballot boxes and unique ballots. Core costs, usually integrated in direct costs, are more fixed than variable and include the costs routinely associated with implementing the elections, e.g., production of voterís lists, procurement of polling material, voter education and public outreach. In particular, the procurement planning can have a major impact on the budget if not carefully planned well in advance.

192 MODULE 5 EC-UNDP-IDEA Joint Workshop on Effective Electoral Assistance Procurement of Electoral Material, Global Tools and Networks One of the main challenges of establishing a credible budget is assessing financial needs against specific outputs or activities, and working on ëaccurateí assumptions. As displayed above, some types of costs are also almost impossible to list in the budget, e.g., integrity costs which could influence the budget. At times it is almost about visualizing scenarios in order to get a better overview of full financial requirements. It has to be kept in mind that though we must aim at working on as accurate budgets as possible, a budget will most likely go through many revisions. Needless to say, that one of the main reasons for working on as accurate assumptions as possible is that once governments or donors have committed or allocated funds it is rather complex to go back and request for more. Furthermore, it is very difficult to raise funds when there is no election on the agenda for the in-between elections activities, especially in connection with long-term major electoral operations where the issue of ëdonor fatigueí is commonly experienced. For these reasons and the fluid nature of an election budget it is immensely important to include a contingency line item in the budget, and similarly ensure funding for this in advance. 5.2 Fund management 192 Chapter 3 Initial discussions with donors about possible financial support for electoral assistance should start during the needs assessment phase. More detailed negotiations will ensue once project arrangements, the related project budget and donor positions have become clearer. Regardless of how funding is channelled, it is important to ensure close coordination and information sharing among all partners involved so that assistance is delivered in a timely and efficient manner. When donor funding is raised in support of a UNDP project, then UNDP has two principal instruments to receive and manage such funding: Cost-sharing is the standard co-financing modality under which contributions can be received for specific UNDP projects in line with UNDP policies, aims and activities. Donor governments as well as other donors ó such as private sector entities, foundations and CSOs, usually referred to as ëthird partiesí because they are not parties signing the project document ó contribute with funds to UNDP projects. These funds are multi-donor in nature, meaning that as many donors as possible or necessary can contribute to a given set of agreed results and project outputs. Funding is co-mingled and can include funds from UNDP. Trust fund is a co-financing modality that establishes a separate accounting entity under which UNDP receives contributions to finance UNDP programme activities specified by the donor. Trust funds may be established by the executive board or by the administrator for specified purposes consistent with the policies, aims and activities of UNDP. Each trust fund is established either on the basis of a written agreement signed on behalf of UNDP and one or more donors or by the issuance of the Terms of References (ToR) for the trust fund in anticipation of receipt of contributions from prospective donors. Any contribution from the EC has to be received on the basis of a standard ëclosed trust fundí arrangement. Such an arrangement implies that the trust fund allows receipt of only one contribution from one donor in support of one particular project. In other words, it is ëclosedí to other donors and projects. Closed trust fund contributions are treated the same way as costsharing contributions in ATLAS. Both arrangements are considered project-level co-financing with financial reporting at the project level. Basket fund arrangements in the context of electoral assistance aim to improve coordination among donors and partners involved in the implementation of these very complex, politically sensitive and

193 Procurement of Electoral Material, Global Tools and Networks MODULE 5 A basket fund a r r a n g e m e n t enables development partners to provide electoral assistance in close formal cooperation with each other. highly visible projects. To emphasize their cooperation in supporting a particular electoral assistance project, donors and partners sign a MoU with UNDP to that effect. Basket funds do not represent a new funding mechanism. Funding continues to be received on the basis of UNDPís standard cost-sharing or closed trust fund arrangements described above. A basket fund arrangement enables a number of development partners to provide electoral assistance in close formal cooperation with each other. The enhanced coordination structure of a basket fund, reflected in the Basket Fund Coordination Committee, helps resolve issues caused by the ad hoc and sometimes disjointed nature of informal collaboration. It assists in providing maximum efficiency in resource use and service delivery, thereby helping to eliminate duplication of efforts and over-supply of certain activities. The basket fund model embraces the advantages of network linkages and collaboration. Such arrangements provide a common voice and presence for donors in what can be a volatile environment. Clearance process EC contributions to UNDP are received as trust fund contributions. When receiving these funds, UNDP (either through UNDP Brussels or the CO) signs a detailed trust fund agreement that sets out all key financial and reporting obligations as well as other project details. As these EC agreements have many implications for the CO, they are required to undergo a clearance process before the UNDP Associate Administrator grants approval for them to be signed. Given the volume of agreements and lengthy clearance process, simplified procedures for clearing EC agreements, where they conform to the standard FAFA format, was called for. With the help of UNDP Brussels and BRSP, the UNDP Executive Office has reviewed the process and agreed on a solution aiming to reduce clearance time from the current average of three weeks to less than a week. The new clearance process has two guiding principles: 193 FF Standard EC agreements which conform to the FAFA and UNDP regulations and rules will undergo an expedited clearance process. Non-standard contribution agreements will go through the existing clearance process. FF The quality of the clearance exercise will be improved through clear lines of responsibility and accountability. 5.3 Procurement of Electoral Materials Procurement and distribution of election materials is often the most costly part of the electoral process, apart from the payment of election workers and the voter registration exercise per se. Any delay or shortfall in the procurement or distribution of materials and equipment could have serious implications on the rest of the electoral schedule, thus potentially affecting the outcome of the election, or even be the reason that the election is not implemented at all. Procurement is however, not only related to purchasing materials and equipment procurement of services such as printing, logisitics, database management and training under UNDP procurement rules is similarly processed through a competitive tendering process. Annex 5

194 MODULE 5 EC-UNDP-IDEA Joint Workshop on Effective Electoral Assistance Procurement of Electoral Material, Global Tools and Networks Procurement of goods and services for elections can be divided into five main categories, corresponding to five different activities of the electoral process: Election administration: Equipment and refurbishing of buildings, hardware and software equipment, vehicles, communication tools, printing services, staff training (e.g., BRIDGE) Civic and voter registration: Technical equipment, material for call centres, development of websites, design and printing of posters, leaflets, banners etc. production of TV spots, radio jingles, conferences etc. Voter registration: Hardware and software equipment, means for printing and distribution of registration forms, voter cards and data processing, potentially even establishment of data entry centers, as well as other materials depending on the type of voter registration used, training, technical assistance, logistics and distribution Election day activities: Ballot boxes, voting screens, polling kits, indelible or invisible ink, tamper-proof materials, materials for alternative polling station structures, means for printing and distribution of ballot papers, polling forms, procedural manuals, electoral lists, candidate lists, training of polling staff, logistics, distribution, storage and security Result tabulation: Software, results and media centre hardware and other communication equipment 194 Professional advice from technical and procurement experts should be sought for the production of comprehensive, generic and adequate specifications for products and terms of references for services.. The need for different specifications for each individual context is often neglected. The inclusion of a procurement strategy and the consultation of procurement experts already in the project document formulation phase/initial planning stage is thus crucial to the success of any electoral assistance project in order to assess the division of activities between the operational and programmatic framework from the outset. Procurement costs can dramatically increase or decrease depending on the lead time available, production timelines/stock available, full chartering of flights, etc. The most commonly experienced risks and challenges in electoral procurement processes, which in principle need to be addressed already at the initial programming stage involve decisions on implementation methodologies, timing for development of technical specifications/terms of references, timelines, sufficient budgets for procurement needs, national ownership and capacities. Further risk and challenges: Structural risks related to the one-time event of an election, while implementation structure/s may be oriented towards a more regular/long term programme or project. As such the one time event of an election may require human resources, technical expertise, logistics and procurement structure to be built up from scratch. In relation to this further challenges could be: staffing a PMU with competent staff, including knowledge of materials and services required, country-specific knowledge to anticipate and resolve local aspects affecting specifications, logistics, and experience in electoral processes, environment and issues; coordination between the various actors involved local stakeholders, especially the EMB, and including international organizations (if providing technical assistance to the procurement process); achieving the support of all stakeholders through the process; planning and organizing management of the supply chain, including transportation and delivery in-country, packing, in-country distribution, interim warehousing at both central and regional level for various types of material, as well as secure storage in-between elections.

195 Procurement of Electoral Material, Global Tools and Networks MODULE 5 Risks related to market distortion caused by intense lobbying by suppliers which may lead to a prejudicial outcome of the tender process; Risks of unrealistic expectations or unawareness on the procurement rules and regulations and the marketplace, which may negatively impact the overall project time line; Risks caused by unrealistic timeframes and inflexible deadlines (voter registration and elections dates) which often is used by critical stakeholders as a tool to exert pressure on procurement agents without giving thought that it can cause serious implementation issues and value for money predicaments, preventing cost-effectiveness through a transparent and competitive process; Risks of political pressure and tension, particularly in post-conflict environments; Reputational risks for UNDP and the donor community, especially if the media and certain stakeholders misinterpret the procurement actions and results; Risks of uncertain or insufficient budgets or late disbursement of funds available for procurement processes; Risks of erroneous or incomplete technical specifications and terms of references for procurement needs, which impact the total quality and quantity of goods and services to be procured. Typical challenges include: Early development of fully adequate and clear requirements and specifications for electoral goods and services ensuring confidence and agreement among all stakeholders that the defined items are appropriate. Ensuring that that the procurement process complies with the legal framework of the country. Consideration of environmental aspects, including disposal Risks of inappropriate introduction of technological high-tech solutions and innovations without a complete overview/understanding of operational running costs and sustainability, for example due to: Lack of proper analysis of potential transfer of technology and skills to EMBs, rather than only seeking total solutions; Imbalance or lack of consideration of long-term sustainability and its relation to operational cost effectiveness, quality assurance, possible alignment with other similar national initiatives and expertise, etc PROCUREMENT PRINCIPLES Public procurement principles are generally built upon the same ideology and values and reflect an increasing concern over how public funds are being managed in general and how much of development funds are utilized for procurement of goods, civil works and services. The EU procurement directives relating to award of contracts for public works, supplies and services set rules for competitive tendering procedures, open up the EUís public procurement market to competition, prevent restrictive policies and promote the free movement of goods and services, as well as to fostering quality, transparency and fairness. Similarly, the World Bank focuses on non-discrimination between bidders, transparency of procurement proceedings, economy of government contracting, effectiveness of procurement processes and accountability of both the private and public sectors. The UNDP principles that guide its procurement activities similarly cover aspects of main concern in public procurement, and fully apply to electoral-related procurement addressing challenges mentioned earlier. UNDP principles in procurement are the following:

196 MODULE 5 EC-UNDP-IDEA Joint Workshop on Effective Electoral Assistance Procurement of Electoral Material, Global Tools and Networks 196 Best Value for Money, which is the core governing principle and means selecting the offer which presents the optimum balance of quality and costs meeting the requirements of the organization, especially in terms of timely delivery in this case Fairness, related primarily to the treatment of suppliers. Fair and open competition is the default procurement method in UNDP, aiming at the widest possible access to UNDP contract opportunities for the supply community through open competitive procurement processes, broad advertisement, unbiased specifications, clear and unambiguous evaluation criteria, etc. Integrity, as demonstrating the core values of the UN in daily activities and behaviours: act without consideration of personal gain; resist undue political pressure in decisionmaking and actions taken; not to abuse power or authority; stands by decisions that are in the organizationís best interest; and takes prompt action in cases of unprofessional or unethical behaviour Accountability, as taking ownership of all responsibilities and commitments and proper documentation of the procurement process: delivering outputs for which one has responsibility within prescribed time, cost and quality standards; operating in compliance with financial rules and regulations Transparency, as demonstrating openness to stakeholders in the procurement process and in compliance with rules and regulations. Transparency is especially relevant in the solicitation stage in demonstrating the fairness and integrity of the process to bidders through clear instructions, release of information and the evaluation process (e.g., public bid opening), vendor protest procedures and publication of contract awards Effective International Competition is the default solicitation method of all UNDP procurement applicable for contracts exceeding $ This involves providing all eligible prospective vendors globally with timely and adequate notification of UNDPís requirements and fair and equal opportunity to bid for the required goods, works or services The Best Interest of the Organization. Procurement is ultimately a support function, albeit a strategic function, that supports economic and efficient delivery of UNDPís programmatic and organizational outcomes International public procurement principles may enhance national processes in some developing countries, hence transfer of such practices and principles to the EMB would improve sustainability, involvement and understanding of procurement processes conducted by for example UNDP. Compatibility of UNDP, EC and international procurement principles with any local procurement regulations that the EMB will have to comply with must also be considered. Ensuring the most cost-effective and efficient procurement, while fostering local development, are two objectives that sometimes clash. While the procurement has to be undertaken on the basis of above-mentioned principles i.e., ensuring transparent competition, achieving value for money and mitigating procurement risks, it does not always support ëlocal developmentí or capacity-building. Therefore, electoral procurement, as part of electoral assistance, typically is and should be understood as a different programme than local business development. Yet, in some cases, overall development objectives can influence the procurement strategy e.g., limiting international competition for particular product categories to support the local economy and build local capacities by encouraging supply of products from developing countries/local sourcing, or other means of promoting local partnerships to achieve better value for money locally. The decision would be dependent on a country context specific analysis of risks involved based on the complexity of product types and local capacities.

197 Procurement of Electoral Material, Global Tools and Networks MODULE 5 Local procurement is however only possible through proper procurement planning and early start of procurement activities. Nonetheless, this is not always possible as some requirements, e.g., ballot boxes, may not be manufactured locally and it may not make sense to set up big production facilities that may not be used or needed later. Furthermore, while some materials, e.g., stationary items, are low technology and may be available locally, the very large volumes required, the requirement of ëkits assemblingí in a short period of time, and quality/ price levels make it in many occasions only possible for international suppliers to respond to the requirements. In any case, the development mandate should be determined at the outset of programme. This analysis would need to be included in the overall country program PROCUREMENT STRATEGY AND PLANNING For each procurement project a procurement strategy must be defined from the start. A successful procurement strategy should effectively address the above aspects and instrument the full accomplishment of the principal objective of delivering of all goods and services of the required quality and standards in compliance with the established deadlines for voter registration, voting operations or any electoral process without delay or shortfall. A joint planning process between programme and operations (procurement) in the early strategy stages, along with a continuous, good communication flow is essential to a successful procurement analysis, strategy, operational/ procurement plans, and becomes vital to programme delivery. The inclusion of a procurement strategy and the consultation of procurement experts in the planning stage are crucial to the success of any Identification of procurement needs and strategies, analysis of associated electoral assistance projects. procurement risks, supply chain management constraints or implementing partnerís procurement capacity (to mention some) need to be planned upfront at the point of project formulation. This should cover needs for materials, services and expertise to implement the project. Planning also involves the selection of the procurement method, which influences the timelines and resources needed to conduct the procurement accordingly. 197 In summary, the following aspects must be considered and duly addressed through the procurement strategy and operationalized in a procurement plan: procurement objectives procurement methods timelines requirements and legal framework of the elections, in which procurement will be conducted roles and responsibilities of different actors and stakeholders risks assessment and contingencies costs, considering not just the purchasing price, but the so-called total cost of ownership technical specifications and quality requirements disposal and retrieval logistics sustainability

198 MODULE 5 EC-UNDP-IDEA Joint Workshop on Effective Electoral Assistance Procurement of Electoral Material, Global Tools and Networks Time, cost and quality, the same pillars that define the best value for money, are crucial factors to be considered when planning procurement for electoral processes. Each of them interrelates and influences the other two, resulting in a matrix of relations which needs to be factored in from the start, at the planning stage: 198 First, timing affects the complete project implementation, the pricing and total costs, the credibility of the electoral process, and ultimately the results. Timing is not only considered as delivery time but also the time needed for further inland distribution, especially when goods are consolidated from all over the world, as well as time needed for mobilization of staff and preparedness. UNDP representatives should inform and agree with the EMB and the donors on the procurement stages and requirements that must be followed. Major system enhancements ó e.g., new IT systems and/or voter registration systems ó should aim to start as early as possible in the post-election period to maximize the time for testing, procedural development, training, cultural acceptance, as well as durable and institutionalized adoption of the solution. All these will have a great impact on sustainability. In relation to costs and pricing, in the case of electoral processes, a considerable part of the materials sourced may be low-tech and relatively easy to produce, hence low cost a priori. However, the urgency and need for expedited response and consolidation capacity for typical items in elections enables only a limited number of specialized suppliers to respond under such circumstances. To conduct the process, produce or transport under constrained availability of time, costs increase due to the need of applying expedited methods, increase production shifts, purchase parts from priority stocks or from several sub-suppliers, handle higher risks, and ship via airfreight and other urgent means. Last but not least, quality requirements need to be factored in the procurement plan, as they determine major aspects including what is to be sourced, where it can be sourced, the appropriate methods, etc. The overall implementation of the project will highly depend on having procured the right items for the job, i.e., the right quality in broad meaning. In terms of quality issues then, procurement plans should consider, for example, the implications of the quality level/standards required on the range of available products/ equipment and responsive suppliers; interrelations with cost and time, i.e., the higher the quality requirement the more that prices and timelines tend to increase; considerations in terms of necessary testing; considerations of alternative solutions; and quality specifications such as material, size, performance and standards, in order to minimize involved risks. Figure 5.1: Procurement Process Procurement planning also means that key objectives, time-frames, roles and responsibilities are clearly identified and operationalized in the plan. Procurement plans, like operational plans and budgets, are dynamic documents that need continuous updating through the project, in order to reflect changes and address any new challenges that may arise. PLANING SPECIFY SOLICITATION CONTRACT AWARD Tactical procurement process Capacity to influence cost-quality-time PAYMENT & ADMIN. INVENTORY & DIPOSAL Operational procurement process

199 Procurement of Electoral Material, Global Tools and Networks MODULE 5 As shown in the figure, planning represents the highest savings potential of the procurement process, as the earlier we find ourselves in the process the more we can influence costs, quality and timelines. Therefore, appropriate planning at the start of the process contributes to timely procurement and a better allocation of resources, avoiding the risks of unjustified higher costs due to late action, and without compromising established regulations or quality levels. Joint planning processes in Zambia: The recent example of Zambia illustrates a case of a cross-institutional joint strategiszng process, along with an early analysis of technical specifications, market research, testing and validation of biometric registration technology, and an analysis of associated risks to the process. The process was facilitated by the Joint EC-UNDP Task Force which undertook a number of missions in Zambia during 2008 and 2009, and UNDP PSO conducting the procurement in support to and in collaboration with UNDP Zambia, with the direct involvement of the Electoral Commisison of Zambia (ECZ). Within the electoral assistance project formulation and identification covering the electoral cycle in Zambia, activities performed included the following: FF FF FF FF FF FF FF FF FF immediate strategic and technical support to the Electoral Commission of Zambia (ECZ) and the Department of National Registration, Passports and Citizenship (DNRPC) of the Ministry of Home Affairs definition of an operational concept that took into consideration the phasing out of Polaroid systems used by both institutions introduction of digital registration kits digitization of the existing civil register, currently only in paper form synergies with the existing OMR-based election information management systems used within ECZ development of technical specifications and planning budgeting procurement road map planning covering both goods and services direct procurement support in conducting processes from A to Z, including contract management during registration 199 Zambia is thus among one of the most promising case studies both in terms of the integration of the civil register and the voter register going forward in a seamless manner, and for the related programme/operational/procurement planning and implementation PROCUREMENT PROCESS Similarly to other entities conducting public procurement, UNDP uses principles and procedures that help in streamlining the procurement processes, mitigating risks, ensuring optimal quality of the process and the result. We can distinguish the following key steps in UNDP procurement processes, in line with international public procurement practice which defines the order, flow and control points of the process:

200 MODULE 5 EC-UNDP-IDEA Joint Workshop on Effective Electoral Assistance Procurement of Electoral Material, Global Tools and Networks Figure 5.2: Procurement process Identify needs & start planning Write specifications TOR & SOW Sourcing & choose a procurement method Prepare solicitation documents Internal approval Evaluate offers & samples/validation testing Tender period incl. clarifications Negotitation & award of contract Contract administration (implementation) Monitor and evaluate the procurement process Identifying needs and developing a strategic approach to the procurement thereof through appropriate and timely planning is a key element to successful procurement, regardless of whether it is goods and/or services. Early and detailed planning should ideally address challenges and facilitate open, efficient, effective, and transparent procurement. 2. Define specifications: In accordance with the procurement plan and strategy, the procurement request must be defined from start through Technical Specifications (for Goods and Equipment) or Statement of Works (SoW for Works) or ToR for Services. In practical terms, this is typically prepared and finalized with the involvement of procurement personnel and technical experts as necessary, responding to the needs defined and considering the allocated or available funding. In relation to this, procurement officers should be encouraged to develop the necessary understanding of supply markets and products through market research, and include such factors in the corresponding procurement plans. When defining specifications, in the case of goods, the description should include all technical specifications; norms, practices and standards; functional guarantees; performance, design details, inspection requirements; the avoidance of use of brand or trade names as far as possible, provision of samples, handling of defects, etc. In the case of services, requests should include in short background and objectives, the ToR (including statement of works (SoW), quality standards, etc.), qualification and experience of consultants required, time period, deliverables/output of reports, provisions for monitoring and evaluation, etc. 3. Sourcing and Method: Once a request has been approved, funding assured and specifications, and the SoW or ToR prepared, a method of procurement or a modality must be decided by which to solicit offers for the required goods, civil works and/or services. Depending on the nature and value/size of the project and its procurement elements,

201 Procurement of Electoral Material, Global Tools and Networks MODULE 5 commonly used methods of solicitation include (1) Local Shopping (for minor amounts), (2) Request for Quotation, (3) Invitation to Bid, and (4) Request for Proposal. All depending on the nature and size of the project and its procurement elements, the commonly used competitive methods include local and/or national competition or open international competition and limited international competition. 4. The tender (bidding) period initiates with the issuance/publication of the solicitation documents, which will include among other sections, the corresponding instructions to bidders, terms and conditions, technical specifications or TORs/SOWs, price schedule, and evaluation criteria. Also, essential aspects such as technical, commercial and qualification documents need to be provided; and quantities, terms of delivery and conditions to be detailed, contributing to minimizing risks and ensuring quality. Once the bidding period closes, bids received will be correspondingly opened and handed over to procurement staff for evaluation. 5. Evaluation: UNDP defines Evaluation of Bids, as ìthe process of assessing offers in accordance with the established evaluation method and evaluation criteria, with a view to obtain best value for money for the organization. The process needs to be conducted in a fair and transparent manner to ensure equal treatment of all bidders.î Evaluation results in the selection of supplier/s considering the specified evaluation criteria and based on procurement principles including best value for money. 6. Negotiation and contract award: A contract or purchase order can be awarded to the selected supplier/s only following internal approval from the corresponding contract committees. 201 If necessary, negotiations may be conducted with the selected supplier to finalize matters before a contract or purchase order is issued. 7. Contract administration or management is an often ignored but important stage of the procurement process that ensures that the time, cost and quality criteria are met. This will involve monitoring and liaison as necessary with the supplier and end user to ensure that all parties in a contract fully understand and fulfil their respective obligations. In electoral procurement processes, from the definition of requirement, through solicitation documents, to evaluation and contract management, every effort should be employed to minimize risks and ensure best value for money. During evaluation and monitoring of the procurement process stage, the procurement responsible should assess the results, lessons learned and prepare improvements for similar future processes TECHNICAL SPECIFICATIONS AND THEIR ROLE Technical specifications, as the principal means to define the procurement requirement, deserve special attention for its important role in procurement, particularly for complex equipment and new technologies.

202 MODULE 5 EC-UNDP-IDEA Joint Workshop on Effective Electoral Assistance Procurement of Electoral Material, Global Tools and Networks Specifications can be categorized as Functional, Performance, or Technical, but the three types are typically combined to define the requirement with the necessary level of details to ensure full understanding and coordination among parties. In electoral assistance projects managed by UNDP, where UNDP conducts the procurement under UNDP procurement procedures as support to an EMB, the technical specifications should be developed at the earliest stage possible and jointly by UNDP and the EMB, before the procurement exercise is advertised and launched. This approach ensures involvement, participation and agreement with the solution by the beneficiary in this case the EMB. Technical specifications must be agreed and signed off by the EMB before the procurement request is issued to the suppliers. It is also pursued to transfer know-how to the EMB on the procurement process, items and technology sourced, for the future. Representatives from EMBs normally also participate in the evaluation process as observers. Participation is strongly encouraged to ensure that EMBs provide the necessary technical inputs and are familiar with the goods or services offered. In some cases, under UNDP Procurement Rules, UNDP may authorize voting rights to EMB representatives as evaluation panel members. In such case, UNDP shall maintain the majority vote in the team at all times, as UNDP is the responsible and accountable procuring entity. Specifications, wherever possible should use internationally accepted standards (for e.g., regarding quality levels) to provide a recognized and measurable reference for compliance, remove uncertainty and provide a clear benchmark the suppliers should meet. 202 Specifications should as well consider standardization of practices and processes and avoid vendor lock type of situations after contracting, or that the vendor defines the specifications, limits competition, and eventually develops a monopoly situation. The signed-off technical specifications form the backbone from which the evaluation criteria are established. Attempting to draw up such evaluation criteria in the absence of a pre-established, signed-off, technical specification can be troublesome. In addition, absence of clear and agreed specifications will, for example, prevent development of proper offers from suppliers and complicate evaluation, the supplier selection phase and after-delivery stages: Once the physical product is received, different members of the EMB may have had different interpretations of what the product would feature. An adequately and detailed signed-off specification avoids such a situation. Offers may not conform to the requirements and criteria of the electoral law, if such was not properly captured in the specifications. It follows that if the base criteria that must be met by each supplier are not known then it will be difficult to assess if a supplier actually meets these mandatory criteria in a quantifiable fashion. In the absence of such specifications, the selection process may degenerate into decisions driven by softer issues (for example, which product looks smarter or well-polished) instead of which product meets (or best serves) the basic mandatory criteria dictated by the electoral law and best practice. The criteria embodied within the specifications will minimize disagreements regarding the evaluation result/decision. It is important to factor into the discussions with stakeholders involved the difficulties that will arise if there are attempts to change the specifications after the document has been published

203 Procurement of Electoral Material, Global Tools and Networks MODULE 5 and sent to suppliers. Often, ill-prepared technical specifications only come to light when potential suppliers themselves raise concerns and point out some inconsistencies, which of course is only possible after they have received the document. In this case, potential contractors (in this case, UNDP) are under obligation to answer queries from suppliers and send copies of both the query and its response to all receivers of the tender documentation. This may require allocating additional time for suppliers to return bids, affecting the overall timeline for the project, which may not be affordable under the legal framework. There are additional advantages when a technical specifications document is drawn up and it forms an integral part of the procurement process and order placement. For example, in an ideal world it should be possible to fully test a productís conformity before sign-off and deployment. In practise however this is not always feasible and maybe only limited testing is possible to conduct. Despite sign-off based on such limited testing or samples, if during implementation a product is discovered not to adhere to the specifications then the purchaser has the recourse to request the supplier to meet the originally agreed to specifications. Solicitation documents forming an integral part of the contract become legally binding once signatures are stamped as a contract accepted by both parties UNDP ELECTORAL PROCUREMENT UNDP has over the years developed an extensive understanding and experience in providing technical assistance and support to the conduct of democratic A key area of elections, as part of the Democratic Governance practice area, through UNDP electoral either UNDP HQ or its COs. While UNDP maintains a highly decentralized structure, a key area of support from central level is the procurement of electoral ma- assistance is the terials and equipment, ranging from ballots and ballot boxes, ink, stationery, to procurement of digital photo or biometric voter registration equipment. UNDP has increased its focus on the crucial pre-polling period of planning and budgeting, which also reflects an increasing concern over how public funds are being managed electoral materials. in general; recognizing that, by far, the greatest share of an electoral budget is taken up by the procurement of electoral materials, equipment and services such as logistics, system development, or the engagement of CSOs/NGOs for civic education and training. 203 UNDP has reinforced the procurement function and related advisory services by revamping and restructuring the Procurement Services Office (PSO) in New York and Copenhagen. The Global Procurement Unit (GPU) as part of the PSO office in Copenhagen offers both direct procurement support and procurement advisory services. PSO focuses only on UNDP practice areas, electoral procurement and assistance being one of them. Advantages experienced from such ëcentralizedí set up include channelled and consolidated demand and subsequent increased negotiating power in front of potential suppliers. UNDP PSO becomes a more permanent representation of UNDP for many actors at international level, who otherwise would only work ad-hoc with one or another UNDP CO; accumulated experience and best practices in specific key support areas, including different voter registration systems, technical solutions, and different political, institutional and security landscapes; development of procedures and tools, such as Long Term Agreements (LTA) for highly specialized or high-demand goods;

204 MODULE 5 EC-UNDP-IDEA Joint Workshop on Effective Electoral Assistance Procurement of Electoral Material, Global Tools and Networks continued Contracts and Vendor management; development of markets and products-related knowledge and monitoring of tendencies and experiences in a wide range of countries. The GPU ElectionTeam provides continuous assistance to UNDP COs supporting EMBs through advice and support on procurement planning, timelines, on-site training and assess- ment missions relating to procurement, capacity and operations; direct procurement support to UNDP COs. When requested, GPU conducts full procure- ment processes, management of suppliers and logistics until delivery and completion of contracted services, including support in planning, development of specifications, on-site evaluation processes, validation tests and liaison with EMBs during the procurement process. a. b. As per data from PSO GPU procurement, figure 5.2 shows which items represented the main overall expenditures in recent years, in the area of electoral procurement. Among them, the volume of biometric registration equipment and technology is noticable, being the product group that concentrates most of the costs by large. This confirms a trend towards an increasing use of biometric/digital registration technology, and of overall budget expenditure around this highly costly technology investment. Counting recent past and current projects, and as mentioned in module 3, several African countries have been or are introducing biometric civil/voter registration technology, including Benin, Cote díivoire, DRC, Guinea, Kenya, Togo and Zambia. 204 Figure 5.2: Products procured by the UNDP PSO through the GPU and its predecessor, IAPSO. Support from a central office should include longer term focus and activities as a top priority, such as continued resources development and coordination at the institutional level. With regard to this fundamental aspect, UNDP PSO GPU collaborates with the Joint EC-UNDP Task Force on Electoral Assistance, the DGG of the BDP, UN/UNDP Brussels Office, UNDP regional centres and COs, and participates ad hoc in joint missions with a procurement focus, and regularly in workshops and other initiatives within the field of electoral assistance. PSO GPU continuously collaborates as well with the GPECS advisers. In this sense, close collaboration is especially maintained with the GPECS Electoral Operations & Procurement Advisor in the same location as the PSO office, which mainly supports Electoral Assistance Projects with strategic and op-

205 Procurement of Electoral Material, Global Tools and Networks MODULE 5 erational planning, implementation methodologies and related procurement strategies/plans, EMB budgeting/project budgeting, targeted exploratory formulation and assessment missions (projet document formulation etc), compliance with FAFA and Operational guidelines, EC-UN- DP trainings and thematic workshops, development of knowledge products, etc. The accumulated wide-ranging knowledge and experience enables the PSO GPU team in developing extensive resources and expertise with rapid response mechanisms based on key lessons learned and continued contract management through longer term business relations with suppliers. The GPU team seeks to raise awareness about procurement having a much larger scope than generally acknowledged, and at the same time seeks appropriate integration between programme and procurement UNDP ELECTORAL LONG TERM AGREEMENTS: A TOOL FOR EFFICIENCY LTAs are framework agreements maintained with one or more suppliers for a certain commodity, service, or group of them for a period of up to three years typically. The purpose of establishing LTAs includes, among others, ensuring effectiveness and efficiency in the procurement process; reducing processing timelines within the boundaries of UNDP procurement rules and regulations; limiting repetitive tendering exercises for standardized equipment and services; ensuring the necessary quality standards are met, by including them under the agreements and therefore receiving the LTAs guarantee quality assurance and quality control. 205 UNDP/PSO GPU for example, maintains LTAs with several expert suppliers for a vast range of strategic and essential electoral materials typically required. The main focus of LTAs in the past has been to cover commonly procured items for manual registration and polling day. Materials requested are in most cases highly diverse, requiring consolidation and special packing/consolidation for later distribution. Short timelines and large volumes also characterize procurement of such items. This typically involves complex logistics. Examples of electoral materials and equipment covered by LTAs include ballot boxes and seals, voting booths, indelible ink, registration/polling kits, IT equipment, power supplies, etc. Recent needs assessments, mapping exercises, analysis on conducted procurement and feedback from field missions, show a trend towards higher technological solutions, e.g., using OMRs or introducing comprehensive digital biometric voter registration solutions. Hence, the strategic focus in the recent past has been to increase the scope of procurement tools, such as LTAs/prequalification lists, etc. to include items of higher level of technology, higher production complexity and higher security requirements where convenient and practical. Another potential area of expansion for procurement tools and agreements is consultancy services in the field of elections, for example the provision of support and training for domestic observers, training of political parties on voter registration and polling procedures, media support and monitoring services, and support to civic and voter education services. Nonetheless, tendering processes will continue to be routinely launched responding to the different needs and individual character of each project, its complexity, volume, timelines, importance and convenience of promoting local involvement, etc.

206 MODULE 5 EC-UNDP-IDEA Joint Workshop on Effective Electoral Assistance Procurement of Electoral Material, Global Tools and Networks Complex procurement example: Procurement of biometric voter registration systems. The example below illustrates how previously mentioned important aspects in procurement become highly critical in the case of procuring Biometric Voter Registration systems (complex procurement): Figure 5.3: Procurement costs Purchase price Acquisition Installation Maintenance Disposal 206 The identification of needs and the developing of a strategic approach to the procurement of Biometric Voter Registration systems through appropriate and timely planning with expert technical input is a key element to successful project implementation. Early and detailed planning should facilitate open, efficient, effective, and transparent procurement. In defining specifications, the description should include all technical specifications; norms, practices and standards; functional guarantees; performance, design details, inspection requirements; the avoidance of use of brand or trade names as far as possible, provision of samples, handling of defects, etc. in order to avoid risks and poor results, leading to high expenditure wastage. Findings from the EC-UNDP-IDEA study on the Use of ICTs in Electoral Processes highlights that the selection of the ICT Specialist or Advisor is important to ensure that the project benefits from adequate experience and knowledge. The person will be responsible for establishing the specifications for the procurement of materials and equipment, to organize the validation testing and, more generally, for making decisions with far-reaching implications and also to advice on large ICT investments. Thus, sufficient budgets and time should be set aside for the recruitment of the ICT Specialist or Advisor. Local versus international competition should be considered. In case the corresponding analysis proves local capacity to supply some of the equipment required, the procurement responsible should consider such possibility and if convenient organize a pre-bid conference with prospective local vendors to clarify solicitation documents and requirements to enhance their participation.

207 Procurement of Electoral Material, Global Tools and Networks MODULE 5 A substantial number of ICT standards exist, which are crucial in defining the minimal requirements. Special effort should be deployed in ensuring relevant standards are utilized as to ensure proper definition and targeting of the right equipment and proper response from the industry/bidders. Cost-effectiveness need to be carefully assessed. Costs are not only related to the purchase price. As figure below shows, additional costs are also to be considered in the Total Cost of Ownership, for example costs related to the purchase of add-on equipment, installation and implementation costs, expenditures for troubleshooting and maintenance, storage and disposal, security, documentation, design of procedures and staff training. On the other side, financial benefits from increased efficiency also need to be taken into account. 5.4 Global Tools: ACE Electoral Knowledge Network The ACE Electoral Knowledge Network ( org) is the worldís largest online repository of electoral knowledge. It is a comprehensive and systematic collection of both country- and topic-specific information on nearly every aspect relating to the organization and implementation of elections, and other relevant aspects and cross-cutting issues of electoral processes. The knowledge services online offer a framework for the design, planning and implementation of electoral projects consistent with the maintenance of the core principles of transparency, professionalism and accountability. 207 ACE does not only provide comprehensive and authoritative information on elections, but also promotes networking among election-related professionals and offers capacity development services. ACE is a joint endeavour of eight partner organizations: International IDEA, UNDP, EISA, Elections Canada, IFE, UNDESA, IFES, and EAD. European Commission is ex-officio partner and a significant funder of the project. Financial contributions to the regional dimension of the project have also been granted by UNDEF. ACE provides the following: 1. Encyclopaedia of elections covering the key steps of the electoral cycle with 12 core topics and complementary Focus Onís, forming almost 10,000 pages of election information, with an emphasis on the issues of sustainability, professionalism and trust in the electoral process. The encyclopaedia also includes a glossary, interactive electoral quiz and help desk. 2. Country and region specific information for more than 200 countries and territories, highlighting election-specific and related information, highlighting news and events and providing links and access to relevant external databases. The country pages aim to provide a one-stop shop for all one needs to know on elections. Electoral materials 3. form more than 150 countries. A constantly expanding database of electoral materials gathered from around the world. The type of materials accessible on the ACE web site range from laws and regulations, ballot papers, training manu-

208 MODULE 5 EC-UNDP-IDEA Joint Workshop on Effective Electoral Assistance Procurement of Electoral Material, Global Tools and Networks als, election posters, administrative guidelines, electoral forms and codes of conduct to country case studies, policy papers, electoral observation reports and technical assessments. 4. Comparative data is a systematic collection of data providing comparative information on how countries worldwide manage their elections. It provides a global overview of a number of aspects on elections and allows comparing one country to another. 5. Electoral advice online allows electoral management bodies and other elections professionals, CSOs, political parties, governments and any other stakeholders in need of electoral advice, as well as electoral assistance providers and election experts, to send a query to the ACE Practitionersí Network. 6. Election calendar provides updated information on past and upcoming elections. ACE Encyclopaedia of Elections includes 12 core topic areas: FF FF FF FF FF FF electoral systems legal framework electoral management boundary delimitation civic and voter education voter registration FF Voting operations FF Parties and candidates FF Vote counting FF Media and elections FF Electoral integrity FF Elections and technology 208 ACE is the first ever global knowledge network established in the field of New electoral topics to be launched shortly are electoral dispute resolution, external voting and electoral observation. The ACE Electoral Knowledge Network brings together election professionals from different countries into the first ever global knowledge network established in the field of elections, the ACE Practitionersí Network. elections. International IDEA, as the leading ACE partner for the development of the regional dimension (as well as of the PractitionersíNetwork), also established in a regional infrastructure of 10 affiliated ACE Regional Electoral Resource Centres. The regional centres are hosted by existing electoral institutions around the world and other reputable regional organizations active in the field of democracy promotion, and are located strategically throughout the globe. These regional centres bring an important regional dimension to the ACE Network. The aim of this global community of electoral practitioners and regional centres is to generate, share and disseminate specialized knowledge, resources and expertise to promote professional, effective and sustainable management and administration of elections, and to provide real time electoral advice. Members of the Practitionersí Network share common interests, common goals and common professional responsibilities and are, together with the ACE Regional Centres, the source for generating and sharing knowledge, global experiences and best practices. Through the facilities and services provided through the Electoral Advice section, members of the Practitionersí Network interact and discuss election-related subjects and share expertise and know-how on elections. Their interaction generates election-related knowledge that is then codified and

209 Procurement of Electoral Material, Global Tools and Networks MODULE 5 adapted to be applied in local contexts and re-used by other election practitioners who are confronted with the same or similar challenges with the goal of adapting them to meet local challenges in the form of expert advice, best practices, lessons learned and peer review. ACE is interactive and can be used by anyone, but is targeted at providing EMBs, electoral administration professionals, key stakeholders and electoral assistance providers with specialized knowledge, comparative best practices, resources and advice on elections and electoral processes. The regional centres are the regional knowledge hubs of ACE. The main purpose for their establishment is the generation and dissemination of electoral knowledge with a specific regional perspective, and the provision of regionally tailored services to election practitioners and electoral assistance providers. Their two main objectives and tasks are: (1) to ensure that the electoral expertise that exists within their regions is included in ACE and shared with other countries and regions and with election practitioners around the world; and (2) to make sure that the knowledge already available and constantly generated within ACE is translated, disseminated and applied regionally where it is needed most. Through the collection, generation, translation and dissemination of both new and already existing electoral knowledge recourses and materials, partnership-building with key stakeholders in the region, and research, assessment and the identification of challenges, needs and trends within their regions, the regional centres will be well positioned to identify ways forward for capacity-building and target areas for effective electoral assistance and support. The vision is that the regional centres of ACE will have a prominent role as a catalyst of change in their respective regions. The ACE Regional Centres are located in the following regions and hosted by the following electoral institutions/organizations: 209 FF FF FF FF FF FF FF FF FF FF Central and Eastern Europe: The Association of European Election Officials (ACEEEO) - Hungary Eastern Africa: Institute for Education in Democracy (IED) - Kenya West Africa: Goree Institute - Senegal Central Africa: Commission Electorale Independante (CENI) - DRC Southern Africa: Electoral Institute of Southern Africa (EISA) ñ South Africa South Caucasus and Central Asia: Resource Building Institute in Democracy Governance and Elections (RBI) - Armenia South-East Asia: The Centre for Electoral Reform (CETRO) - Indonesia Central America: Instituto Federal Electoral (IFE) - Mexico South America: Jurado Nacional de Elecciones (JNE) - Peru The Arab World: Al Urdun Al Jadid Research Centre (UJRC) - Jordan ACE places particular emphasis on the power of training, professional advisory services and peer partnerships especially among EMBs to increase the capacity of electoral actors to administer free and fair elections. The objective of the capacity development aspect of ACE is to more forcefully take advantage of the wealth of knowledge and expertise both in the materials and networks of ACE, as well as of the BRIDGE training curriculum (see below), which in many ways is closely linked with ACE, and of the expertise and experience of the partner organizations, whom are leaders in the provision of targeted technical assistance in elections management. The basic concept is to support the capacity of regional organizations to strengthen delivery of quality electoral services to their respective constituencies.

210 MODULE 5 EC-UNDP-IDEA Joint Workshop on Effective Electoral Assistance Procurement of Electoral Material, Global Tools and Networks 5.5 GLOBAL TOOLS: BRIDGE Capable and professional election administrators are essential for organizing elections, and without the right skills in place election processes can be undermined. To achieve effective, sustainable electoral administrations, the development of the capacity of their staff needs to be prioritized. Until the turn of the millennium, there were few formal opportunities available for comprehensive professional development in election administration. In response to this, the International IDEA, the AEC and the UN EAD developed the Building Resources in Democracy, Governance and Elections Project, more commonly known as BRIDGE. BRIDGE is the most comprehensive professional development course available in election administration. The original aims of the project were to strengthen election administrationsí capacity, to enhance professionalism and to build networks within election administrations. Since then, the scope of the training has been advanced to improve the skills, knowledge, and confidence not only of election professionals but also of key stakeholders in the electoral process, such as members of the media, political parties, CSOs and electoral observers. The BRIDGE Project has 23 modules covering all aspects of the electoral process. The modules can be organized in four groupings: 210 ÕÕ ÕÕ ÕÕ ÕÕ Introduction: (i) introduction to electoral administration and (ii) strategic and financial planning Electoral architecture: (i) legal framework, (ii) electoral system, (iii) boundary delimitation, (iv) electoral management design, and (v) electoral technology Electoral stakeholders: (i) access to electoral processes, (ii) voter information, (iii) civic education, (iv) electoral contestation, (v) electoral observation, (vi) media and elections, (vii) electoral assistance, (viii) gender and elections and (ix) electoral dispute resolution Electoral operations: (i) voter registration, (ii) pre-election activities, (iii) training of officials, (iv) external voting, (v) polling, counting and results, (vi) post-election activities and (vii) security The BRIDGE Project builds an understanding of the standards and principles which underpin good electoral administration and has been developed by electoral administrators themselves, people with wide experience in elections in many different countries and contexts. The aims of the BRIDGE Project are to ÕÕ strengthen the capacity of electoral administrators to conduct their work in an effective and efficient manner; ÕÕ enhance the professionalism of electoral administrators; ÕÕ build teams and networks that strengthen the capacity of electoral administrators to conduct their work in an effective manner; ÕÕ Build an understanding of the standards and principles that underpin good electoral administration.

211 Procurement of Electoral Material, Global Tools and Networks MODULE 5 The BRIDGE Methodology... is not prescriptive. It encourages participants to develop creative and appropriate solutions to challenges. is flexible. The course has been developed in modules, and can be taught so as to cover all aspects of electoral administration, or to focus on specific elements of the electoral process. is adaptable to regional and cultural contexts. It can be modified to meet the specific needs of clients. is activity-based. There is very little traditional lecturing in the course. Participants are called on to play an active role in the course, the aim being to draw on their own skills and experiences. is practically focused. The course seeks to develop skills in areas which are important in an electoral administrators day-to-day work. It emphasizes an understanding of the relationships between different tasks as a vital tool for meeting tight deadlines effectively. emphasises teamwork and network building. Participants get to know each other, and have the chance to build networks either within their own organization, or between different organizations, countries and cultures. is global in scope and seeks to use comparative examples to illustrate options. best practice uses content developed by electoral experts from around the world. 211

212 MODULE 5 EC-UNDP-IDEA Joint Workshop on Effective Electoral Assistance Procurement of Electoral Material, Global Tools and Networks Summary First generation elections, undertaken in post-conflict settings or by newly independent states, are expensive affairs because a number of activities have to be undertaken for the first time (e.g., securisation of the election, the first voter registration exercise, the training of inexperienced staff, etc.) and because elections in these circumstances often require high focus on security issues. Second and third generation elections ought to bring down costs, but logistical, technical and political circumstances may impede cost reduction. A budget is distinguished into different types project budget, electoral event budget (consolidated), and electoral cycle budget. The two funding arrangements available when donor funding is raised in support of UNDP projects are cost-sharing and trust funds of which the former is the standard cofinancial modality. Any contributions from the EC to UNDP-managed projects are received on the basis of closed trust funds arrangements which imply that these projects are blocked for other donors. 212 Basket funding is a joint fund set up by multiple donors and partners that embraces the advantages of network linkages and collaboration. UNDP-managed basket funds are regulated by an MoU signed by all donors and partners contributing to the fund which usually stipulates the main objectives, area of cooperation, implementation arrangements, administrative, monitoring and reporting requirements and the like. Procurement of goods and services are divided into four main categories: election administration, voter registration, election day activities and result tabulation. Summary The specification of a procurement strategy and consultation with procurement experts in the planning stage is important to ensure appropriate, timely and cost-effective procurement. Drafting a procurement plan is a mandatory step in project design and involves the selection of procurement method taking into account the objectives, requirements (needs and legislative framework), risks, costs, logistics, timing and the like. The ACE Electoral Knowledge Network provides comprehensive and authoritative information on elections, promotes networking among election-related professionals around the world and offers capacity development services. The BRIDGE Project is the most comprehensive professional development course available in election administration.

213 Procurement of Electoral Material, Global Tools and Networks MODULE 5 Quiz 1. What is the cost of elections per voter in established democracies? ОО $1 $3 ОО $3 $5 ОО $5 $10 2. Cost reductions should arise over time due to improvements in planning and training, the re-use of equipments, etc. In general terms, within how many electoral cycles should a country be expected to reach an average cost per voter between $3 and $5? ОО By the second electoral cycle ОО Between the second and third electoral cycles ОО By the fourth election 3. What are the typical causes behind the high costs of first generation elections? ОО Costs related to the updating of the voter registry ОО Technical upgrade ОО The extensive planning period ОО The need to undertake election-related tasks first the first time and in a volatile security environment ОО All of the above 4. Which of the following operations are considered to be, in most cases, the most expensive undertaking of the whole electoral process? ОО Electoral system reform ОО The training of domestic observers ОО Operational training of election officials ОО Voter registration ОО Party and candidate registration ОО Counting and tabulation of results Which of the below is NOT among the two standard principal funding mechanisms that UNDP receives and manage funding? ОО Cost-sharing ОО Trust funds ОО Basket funds Quiz Drafting a procurement plan is ОО considered good practice ОО an optional step in project design ОО a mandatory step in project design When is the right time for procurement planning? ОО In the post-electoral phase that follows the previous electoral cycle or in the early pre-electoral period of the electoral cycle in question as early as possible ОО In the middle of the pre-electoral period when the problems related to logistics are visible ОО As close as possible to the election day to ensure flexibility in delivery

214 MODULE 5 EC-UNDP-IDEA Joint Workshop on Effective Electoral Assistance Procurement of Electoral Material, Global Tools and Networks 8. The UNDP PSO has been established in response to the recognition of the importance of election procurement for the success of electoral assistance projects. Which of the following statements regarding the PSO is NOT correct? ОО The PSO is located in New York and Copenhagen. ОО The PSO is divided into two sub-units: the Special Advisory Team (SAT) and the Global Procurement Unit (GPU). ОО The SAT provides advice on issues related to planning and budgeting of procurement, support for on-site trainings for UNDP COs and EMBs. ОО The SAT takes part in the NAMs and the formulation phase of projects. ОО The GPU represents the operational arm of the PSO. ОО The GPU provides procurement support for free. 9. What is ACE Electoral Knowledge Network? ОО A network of former EMB staff ОО A comprehensive professional development course in election administration ОО A network that offers authorative information, promotes networking among election-related professionals and provides capacity development services ОО All of the above What is the main aim of the BRIDGE project? ОО To strengthen the capacity of EMBs and other stakeholders working with elections ОО To enhance professionalism of EMBs and other stakeholders working with elections ОО To build networks among EMBs ОО To build networks between EMBs and other stakeholders working with elections ОО All of the above 11. First generation elections are often the most costly ones and costs are expected to decrease as countries moves towards the second and third electoral cycles. However, under some circumstances, cost reduction may not take place as expected. What are the factors that can impede on cost reduction in second and third generation elections? ОО High voter registration rates ОО Technological upgrade ОО Logistical factors ОО Political factors ОО All of the above Quiz 12. Which of the following statements about the costs of the electoral system are correct? ОО Two-Round Systems are costly because they may require election authorities to organize an additional election day. ОО The First-Past-The-Post electoral system may be financially demanding because of re-districting and voter registration procedures as well as, in the event of a MP withdrawal or death, FPTP requires the holding of by-elections since voters vote for candidates rather than parties. ОО In addition to the costs related to re-districting, voter registration and by-elections of the First-Past-The-Post electoral system, countries using Alternative Vote, because of the complicated ballots involved, are required to organize large-scale voter-education campaigns. ОО The PR system is, in general, among the least expensive electoral systems. ОО All of the above.

215 Procurement of Electoral Material, Global Tools and Networks MODULE Which of the following operational decisions of the EMB may decrease the costs of elections? ОО A decision to print and distribute voter cards instead of relying on full registries and identification cards ОО A decision to decrease the number of polling stations ОО A decision aimed at increasing the security features of the ballot papers 14. What is the basic principle of cost-sharing funding arrangements? ОО Cost-sharing is a co-financing modality under which contributions can be received for specific UNDP projects in line with UNDP policies, aims and activities. ОО Cost-sharing is a co-financing modality that establishes a separate accounting entity under which UNDP receives contributions to finance UNDP programme activities specified by the donor. ОО Cost-sharing arrangements establishes a multi-donor fund by which all donors and partners sign a MoU with the UNDP which usually prescribes the main objectives, implementation strategies, and modes for administration, monitoring and reporting etc. 15. Basket funding is ОО a co-financing modality under which contributions can be received for specific UNDP projects in line with UNDP policies, aims and activities ОО a co-financing modality that establishes a separate accounting entity under which UNDP receives contributions to finance UNDP programme activities specified by the donor ОО a joint multi-donor fund by which all donors and partners sign an MoU with the UNDP which usually prescribes the main objectives, implementation strategies, and modes for administration, monitoring and reporting etc What is NOT best practice when it comes to procurement planning? ОО To acknowledge the need for different kind of specifications in different contexts ОО To take on board advice from procurement experts ОО To start procurement planning at an early stage to allow for proper and timely implementation ОО To consider appropriateness, quality, timing, cost-effectiveness and sustainability ОО To ensure maximum transparency ОО To ensure the use of goods and services produced in donor countries Quiz 17. What is ACE Encyclopedia? ОО A repository of information covering twelve themes in the realm of election management with emphasis on issues of cost, sustainability, professionalism and trust in electoral processes ОО A systematic data collection on how countries worldwide manage their elections made availableby the EPIC project ОО A news resource featuring articles, electoral happenings and an electoral calendar ОО A virtual library serving as the focal point for the sharing of knowledge and information on election-related topics ОО A toral calendar ОО A virtual library serving as the focal point for the sharing of knowledge and information on election-related topics Right answers: 1=b, 2=e, 3=a, 4=e, 5=c, 6=a, 7=d, 8=a, 9=b, 10=d, 11=f, 12=c, 13=b, 14=a, 15=c, 16=c, 17=c, 18=d, 19=d, 20=c, 21=d, 22=e, 23=b, 24=d, 25=c, 26=b, 27=g, 28=e

216 Print and Online Resources Print and Online Resources Core Reading UNDP Electoral Assistance Implementation Guide Guide.pd.f - Electoral Budget (pages 31-33) - Chapter 5 : Resource Mobilization (pages 67-72) - Chapter 6: Procurement and Logistics (pages 73-77) EC Methodological Guide on Electoral Assistance - Cost of Elections (pages ) - Budget Preparations and Cost Assessments (pages ) - Procurement of Electoral Materials ( ) - Considerations when Funding the Procurement of Services and Materials (pages ) - Electoral Procurement Assistance (page 174) - Suppliers of Electoral Materials (page 175) The EC-UNDP Partnership on Electoral Assistance Website - GlobalTools: indexphp?option=com_content&task=view&id=21&itemid=38. UN/UNDP Getting to the CORE: A Global Survey to the Cost of Registration and Elections (with IFES) - UNDP s website on procurement: procurement/. ACE Electoral Knowledge Network: ( - Focus on Cost of Registration and Elections: org/ace-en/focus/core. - Focus on Elections and Security: focus/elections-and-security. - Focus on e-voting: voting.

217 Annexes

218

219 ANNEXES The core contributors in alphabetical order to this training manual are: Biographies of contributors Mette Bakken is working as Electoral Assistance Officer at the Joint EC- UNDP Task Force on Electoral Assistance. Mrs. Bakken contributes to the JTF in the areas related to operational guidance to Country Offices on assistance projects to electoral processes and parliamentary strengthening; liaison and interaction with partner organisations; and finally training and knowledge dissemination. With regards to the latter, Mrs. Bakken works extensively with the preparation and organisation of the face-to-face Joint EC-UNDP Trainings on Effective Electoral Assistance as well as the elearning Course on Effective Electoral Assistance that was released in October Within the framework of the Global Programme for Electoral Cycle Support, she support the capacity development component with particular attention towards the development of thematic face-to-face and elearning modules. Mette Bakken has carried out substantial research in the field of electoral system design and reform both in western established democracies and in the developing world. Mrs. Bakken is a Norwegian national. Fabio Bargiacchi Since January 2007 is serving as Senior Electoral Assistance Advisor at the UN/UNDP Brussels Office with the main task of coordinating the activities of the EC-UNDP Joint Task Force on Electoral Assistance. His work aims at increasing the overall efficiency and adherence of the projects electoral assistance to the common EC-UNDP strategic approach. His activities focus on the identification, formulation and support to the implementation of all EC-UNDP electoral assistance projects. From October 2004 till December 2006 he worked as the Election Specialist at the Directorate for Operations Quality Support of the European Commission. Mr. Bargiacchi has been the project coordinator and co-author of the EC Methodological Guide on Electoral Assistance, the co-drafter of the EC-UNDP Operational Guidelines for the Implementation of Electoral Assistance Projects and of the ACE Focus on Effectve Electoral Assistance and he contributed to the UNDP Implementation Guide on Electoral Assistance. Mr. Bargiacchi has also a previous extensive experience in election observation and electoral assistance with the EU, the UN and the OSCE. Since 1997 he served in positions such as, for instance, Senior Election Operations Expert in West Bank & Gaza, Training/Reporting Advisor in Tanzania, Coordinator of Election Observers in Indonesia, Suriname and Zimbabwe and Electoral Logistician in Haiti. He also has broad experience in managing projects in the Democratic Governance fields gained, in particular, from working for the Delegation of the EC in Mozambique for two years. Mr. Bargiacchi dealt with electoral and democratization processes in more than 30 different countries between Europe, Sub-Saharan Africa, South-East Asia, Latin America and the Middle East. Mr. Bargiacchi graduated in Political Science following studies at the University of Florence and at the Universite Libre de Bruxelles and holds a MA on Society, Science and Technology from the University of Oslo. 219

220 ANNEXES Aleida Ferreyra is a Research Analyst at the Democratic Governance Group in UNDP s Bureau for Development Policy in New York. She has been involved with the research, writing and production of several knowledge products in the area of electoral assistance and governance, including the Electoral Assistance Implementation Guide, Making Democracy Deliver: Innovative Governance for Human Development and Governance for the Future: Democracy and Development in the Least Developed Countries. She has also produced the Electoral Systems and Process Module for UNDP s Virtual Development Academy. From 1996 to 2002, she worked as regional coordinator and international electoral observer for several electoral missions with the OAS, including Ecuador, Guyana, Honduras, Peru and Suriname. Prior to her work at UNDP, Aleida taught Comparative Political Systems and Institutions at the New School for Social Research in New York and worked as programme coordinator of the Janey Program for Latin American Studies. She holds a MA and MPhil in Political Science and Government from the New School for Social Research in New York. 220 Ricardo Godinho Gomes is working as Electoral Assistance Expert supporting the Joint Task Force in the project activities in favour of the electoral cycles of the PALOP/TL countries. In addition, he will ensure support to formulation/implementation issues, evaluations and lessons learned exercises in the broader JTF s training and knowledge dissemination activities, especially on the face to face and elearning training modules. Ricardo Gomes has joined UNDP in 2006 as an electoral assistance project manager. Since 2007 he has been the Guinea-Bissau s UNDP CO Democratic Governance programme officer responsible for the electoral assistance project and for the parliamentary capacity development programme. He is a political scientist with published articles regarding the Guinea-Bissau s electoral system and he was the national consultant responsible for the 2006 National Human Development Report democratic governance chapter. Paul Guerin joined IDEA as Senior Programme Officer, Design of Democratic Institutions & Processes in January His work at IDEA includes Effective Electoral Assistance and organised the conference in Ottawa and subsequent joint training with EC and UNDP. Prior to joining IDEA, his work for the past 15 years has been primarily focused on electoral assistance programmes and observation in transitional and post-conflict countries, in Africa, Eastern Europe, Middle East and South East Asia for the United Nations, the European Commission and others. He is co-designer of BRIDGE, a modular course on electoral processes, part of the development team of ACE Electoral Knowledge Network and co-author of EC Methodological Guide for Electoral Assistance. He has worked in Armenia, Australia, Bosnia, Cambodia, Croatia, East Timor, Fiji, Indonesia, Iraq (Jordan), Madagascar, Montenegro, Mozambique, Nepal, Nigeria, Palestinian Territories, South Africa and Tajikistan, Tanzania and Yemen.

221 ANNEXES Anne-Sofie Holm Gerhard has recently started to work with the UNDP as an Electoral Operations & Procurement Advisor for the Global Programme on Electoral Cycle Support. In her previous position with the Procurement Support Office (PSO) at UNDP Copenhagen, Mrs. Holm Gerhard worked on the activities of the EC-UNDP Joint Task Force on Electoral Assistance, and more specifically working towards increasing the overall efficiency and adherence of the projects to the common EC-UNDP strategic approach and the introduction of procurement as an integral part of project planning. Her activities focused on the identification, formulation and support to the implementation of all EC-UNDP electoral assistance projects and supporting UNDP Country Offices particularly in the pre-election period of planning, sourcing, budgeting and implementation of electoral procurement needs and timelines. Prior to UNDP Mrs. Holm Gerhard worked since year 2000 in the UN system in the field of government support and post conflict governance. Key focus areas has been post conflict electoral management, institution-building and capacity building. In recent years she has provided electoral technical assistance to several rounds of elections in Iraq, Afghanistan, The Palestinian Territories, and Nepal and has furthermore undertaken several electoral advisory missions in Africa, the Middle East, South-East and Central Asia and the Balkans. Anne-Sofie Holm holds a M.A. in Governance and Development, specialized in Institutional Design and Conflict Management. Jerome Leyraud, a technical cooperation specialist and electoral practitioner, with extensive experience in programme formulation and project management in post conflict environment, has been working for 18 years with international organisations in the Balkans, Middle East, Central America, West Africa, and Central and Southern Asia. Over the last decade, he specialised in electoral assistance, providing advisory services and technical support to large-scale internationaldriven operations. After working in Bosnia-Herzegovina and East Timor, he actively participated to the electoral exercise in war-torn Afghanistan managing a USD 184 million project. He was later on called as Chief Technical Adviser to the Democratic Republic of Congo to launch the voter registration and oversee a USD 270 million multi-donors basket fund. Since 2005 Mr. Leyraud has been providing freelance consultancies. He is graduated from the Paris Institute of Political Studies (Third Cycle-DEA, 1992) and the Grenoble Institute of Political Studies (MA, 1986). 221 Linda Maguire is the Electoral Advisor in UNDP s Democratic Governance Group, Bureau for Development Policy, at headquarters but is currently based in Mexico City. She provides policy and project advice on elections to UNDP country offices and their national partners, undertakes a research agenda, and maintains partnerships between UNDP and organisations within and beyond the UN. Maguire is the current project coordinator for the ACE Electoral Knowledge Network a joint venture on the cost and administration of elections between UNDP, International IDEA, IFES, Democracy at Large, Elections Canada, the Instituto Federal Electoral (Mexico), EISA (Southern Africa), the UN Department for Economic and Social Affairs, the UN Electoral Assistance Division and the European Commission. She has coordinated the production and has been the co-drafter of several UNDP publications in electoral assistance, the most recent of which were the UNDP Electoral Assistance Implementation Guide and the ACE Focus on Effective Electoral Assistance. Before joining UNDP, she served as

222 ANNEXES a Senior Program Officer for West Africa with the National Democratic Institute for International Affairs (NDI), where she managed the electoral assistance programs in Côte d Ivoire and Mali, as well as provided support to legislatures, political parties and civil-society initiatives in the region. 222 Mário Rui Queiró joined the European Commission 10 years ago and worked previously with the European Parliament, always in Brussels, in different positions dealing mainly with institutional relations and, since 2001, when he joined EuropeAid (the cooperation office of the EC), in the area of development and cooperation. He was initially project manager for Lebanon and Yemen and later in charge of the EC Thematic Network on Good Governance, where he was responsible for development of the EC Handbook on promoting Good Governance. He is currently working as Quality Support Officer in the unit Governance, Security, Human Rights and Gender where he covers mainly democratisation issues. His tasks include the quality support to programmes and projects in the area of democratic governance - participating in the identification and formulation of projects, following the EC activities in this area and providing feed-back to EC Delegations on the analysis and lessons learnt. Another considerable part of his work regards the development and dissemination of methodological tools in the domains of democracy promotion and the design and implementation of training programmes for these tools. He contributed to the EC Methodological Guide on Electoral Assistance and has been actively involved in the EC-UNDP relations in this area, with the signature of the Operational Guidelines between the two institutions, the creation of the EC-UNDP Task Force and the development of the Joint Training on Effective Electoral Assistance. Antonio Spinelli specialises in the management of electoral support projects in emerging democracies and in transitional and post-conflict environments. For the past 16 years his work has primarily focussed on the formulation and implementation of electoral assistance programmes, electoral assessment and planning missions, peacekeeping missions and on the provision of technical advisory services to national electoral institutions in a wide number of countries. He has held several senior-level position and undertaken numerous assignments for the United Nations, the European Commission, the Institute for Democracy and Electoral Assistance (International IDEA), the Organisation for Security and Cooperation in Europe (OSCE), IFES - Democracy at Large and other international organisations in Africa, the Americas, Asia, Europe and the Middle East. Sara Staino is a Policy Specialist and Facilitator of the ACE Electoral Knowledge Network. She has worked for the Electoral Processes Programme of International IDEA since early Ms Staino is co-author and editorial anchor of the IDEA handbook on Electoral Management Design published in For the past four years Ms Staino has also worked intensively on the conceptualisation and development of the ACE Electoral Knowledge Network. In this capacity, she has performed several functions: as a member of the ACE Project Management Committee; as a Lead Writer drafting the Electoral Management topic area of the ACE Encyclopaedia; and as a Project Manager of the ACE Course Correction process. In parallel to her commitments with IDEA, Ms Staino has worked as a University Lecturer in Political Science at the University of Örebro, Sweden, teaching International Politics and International Election Observation

223 ANNEXES Francesco Torcoli works, since February 2010, in the Governance Section of the EU Delegation to Ghana where he is responsible for Electoral Support programs to the Ghana Electoral Commission. From 2007 until January 2010 he has worked as Electoral Assistance Specialist/Quality Management Officer at the Europe Aid Cooperation Office of the European Commission, within the Governance, Security, Human Rights and Gender Unit. Mr. Torcoli has more then fifteen years of experience in the fields of electoral assistance, election observation and human rights gained in more then 30 countries in Africa, Latin America, the Balkans, Eastern Europe Middle East, Pacific and Caribbean. Mr. Torcoli worked with different International Organisations EC, UNDP and OSCE/ODIHR in different capacities such as: Chief Technical Advisor for UNDP in Mali in 2006 for the preparation of the Presidential and Legislative elections, Deputy Project Director in West Bank and Gaza in 2003 for an EC funded project to support the Palestinian Election Commission and Senior Human Rights Officer within the Kosovo Verification Mission in Mr. Torcoli holds a Ph.D in International Relations and a Master degree in Political Science from the University of Pisa (Italy) where he has also been teaching History of International Relations for more than four years. Mr. Torcoli has authored and co-authored a wide range of articles and books on International Relations. Domenico Tuccinardi Project Director for the NEEDS Project, is responsible for the delivery of all NEEDS Project results, the integrated functioning of each of the Project s units, for the overall coordination with the relevant EC services and the Consortium s partners. Mr. Tuccinardi has extensive experience in managing electoral observation and electoral assistance programs in several regions of the world. Among his main appointments, Mr. Tuccinardi directed the OSCE external registration and voting programmes in Bosnia between 1999 and As OSCE Deputy Director of Elections in Bosnia ( ), he designed the transfer of the election administration functions to the newly created Election Commission of Bosnia and represented the OSCE as Delegated Commissioner. Mr. Tuccinardi was also the Election Administration Specialist of the Planning Team for the Iraq Transitional Elections of 2005, and later on led the EU project in support of the same elections. More recently he was Special Advisor for the EU to the Ad Hoc Referendum Commission on the Independence of Montenegro and managed the ACE Practitioners Network. Among his main appointments in electoral observation, Mr. Tuccinardi was Deputy Chief Observer for the EU Election Observation Missions in Venezuela (2005) and Nicaragua (2006). Mr. Tuccinardi is also one of the co-authors of the EU Methodological Guide on Electoral Assistance, the EC-UNDP-IDEA Training Course on Effective Electoral Assistance and collaborates on other specialised publications in the field of electoral management, voter registration and technology. 223

224 ANNEXES Additional contributions have been provided by: Jesper Pedersen joined UNDP/IAPSO as a procurement analyst in November He is part of UNDP/ IAPSO s electoral support group responsible for sourcing electoral materials on behalf of UNDP country offices. He has participated in several missions supporting UNDP country offices in developing procurement plans and budgets for electoral projects including Nigeria, Mauritania, Sierra Leone and Guinea. Back in 1998 Mr. Pedersen had his first contact with UNDP and electoral assistance when he was working as a research assistant in UNDP Indonesia. Besides his responsibilities in electoral procurement assistance, Mr Pedersen works directly with Governments to improve their own procurement capacity and is a tutor at UNDP/IAPSO s regular procurement training. 224 Patricia Peña has over 10 years experience in the field of elections. After completing a Master s degree at the London School of Economics, she joined the Local Government Boundary Commission for England, overseeing reviews of local government electoral boundaries. Patricia later joined the UK Electoral Commission and worked there for over 7 years in a variety of policy and management roles. During this time, Patricia lead a large-scale review of government structures in Northern England, prior to a referendum on creating new regional governments, and was appointed Director of Regulatory Services overseeing the financial regulation of political parties and elections in the UK. She has served as an expert consultant for the Council of Europe, Group of States Against Corruption (GRECO) on corruption in political financing since Patricia is currently a Senior Analyst at the Canadian International Development Agency, advising on democratic governance and electoral matters relating to the Government of Canada s international development assistance. She is based in Ottawa, Canada. Olivier Pierre-Louveaux joined the UNDP Brussels Office as Parliamentary Development expert and acts as focal point for the New-York based Parliamentary Development team. He is a lawyer and constitutional specialist who has worked for the last 6 years within Parliaments. Within UNDP, he participates in the coordination of the various components of the Global Programme for Parliamentary Strengthening, facilitates to bring new development and partnership perspectives such as with the EC-UNDP Partnership in Electoral Assistance and provides as well policy analysis and technical backstopping to UNDP Country Offices. He previously worked with the OSCE Parliamentary Assembly and most recently was an advisor on constitutional and international issues within the Belgian Senate. Olivier has also undertaken a series of parliamentary capacity development missions namely in Congo (DR), Kosovo and Iraq and worked as Project Officer of Caritas in Western Sahara. Dunia Ramazani is recruited by the European Commission to work with the Joint Task Force on the production of a handbook on the use of ICTs in civil/voter registration and data transmission. Dunia holds a Ph.D. in Computer Science from the University of Montreal, Canada. He has more than 14 years of experience in the private sector developing complex hardware and software systems. He specialises in the management of projects with high technology content in both private and public sectors. After leaving Siemens Innovation Telecommunications where he also headed the department of research and development in Canada, he joined the public administration in Democratic Republic of Congo as well as the Polytechnic Faculty of Kinshasa as Associate Professor. He has provided consultancy services to various ministries (Ministry of External Commerce, Ministry of Industry and Small businesses, Ministry of Interior, Ministry of Finances, Ministry of Transportation, and Ministry of National Defence) and State Agencies including the State Security Committee. In 2005, he joined the Independent Electoral Commission of DRC as Manager of the National Data Processing Centre. This position enabled Dunia to acquire large experience in various aspects of electoral processes and In 2007, he served as Voter Registration Expert for UNDP Togo. Between 2007 and 2008 he participated to several formulation missions carried out by the EC-UNDP Joint Task Force and he joined the UNOPS Elections Needs Assessment mission to Sudan.

225 ANNEXES He lectures on elections and technology and he also provided lectures in three of the five Joint EC- UNDP-IDEA Training sessions on Effective Electoral Assistance. Victor Margall von Hegyeshalmy is Leader of the Electoral Team within the Global Procurement Unit in UNDP s Procurement Support Office (PSO) office in Copenhagen, Denmark. He is responsible for coordination, monitoring and management of Electoral Procurement projects in support to UNDP Country Offices, involving corresponding missions and liaison with EMBs, suppliers and other relevant stakeholders. Other key responsibilities for PSO and for Mr. Margall von Hegyeshalmy are to provide advice on procurement strategy to UNDP COs, development of tools, such as Long Term Agreements, internal knowledge base and guidelines. In addition, he supports UNDP-EC Joint Task Force missions and workshops as part of the PSO office. Mr. Margall von Hegyeshalmy joined UNDP in 2006 to work with LTAs development and strategy, and Content Management of UNWEBBUY (electronic procurement platform). He also managed the GFATM Procurement Team in GPU, while being focal point for GPU s LTAs, previous to his full involvement in elections procurement. Mr. Margall von Hegyeshalmy joined the UN system in 2003 at UNICEF Supply Division as a Consultant for Contracts Management and review of SD s Global Procurement Strategy in Immunization. Prior to UN, he worked in the private sector, for instance 3 years as Sales/Markets Analyst at IBERIA (Spanish Airlines). Mr. Margall von Hegyeshalmy holds an MBA Masters Degree from ESADE (International Business School, Barcelona), and a Cand. Merc. Masters Degree in International Management and Marketing from CBS (Copenhagen Business School). 225

226 ANNEXES 226 List of acronyms AAA Accra Agenda for Action ACE The Electoral Knowledge Network (formerly the Administration and Cost of Elections) ACP African Caribbean Pacific countries AEC Australian Electoral Commission AFIS Automated Fingerprint Identification System AIDCO EuropeAid Cooperation Office AU African Union AV Alternative Vote BA Budgetary Aid BC Borda Count BDP Bureau for Development Policy (UNDP) BRIDGE Building Resources in Democracy Governance & Elections BRSP Bureau for Resource Mobilisation and Strategic Partnership (UNDP) BV Block Vote CAPEL Centro de Asesoría y Promoción Electoral CEDAW Convention on the Elimination of All Forms of Discrimination Against Women CIDA Canadian International Development Agency CIS Commonwealth of Independent States CoE Council of Europe COM Communication CORE Cost of Registration and Elections CPAP Country Programme Action Plan CRPWD Convention on the Rights of Persons with Disabilities CSO Civil Society Organisation DCI Development Co-operation Instrument DESA (UN) Department of Economic and Social Affairs (UN) DEX Direct Execution (UNDP) DFiD UK Department for International Development DFS Department of Field Support DGG Democratic Governance Group (UNDP) DG DEV Directorate General for Development DG RELEX Directorate General for External Relations DPA (UN) Department of Political Affairs DPKO Department of Peace Keeping Operations DRC Democratic Republic of Congo EAD Electoral Assistance Division (of DPA at UN) EB Executive Board EC European Commission ECCAS Economic Community of Central African States ECHO European Commission Humanitarian Aid Department ECOWAS Economic Community of West African States ECZ Electoral Commission of Zambia EDF European Development Fund EDR Electoral Dispute Resolution EIDHR European Initiative on Democratisation and Human Rights EEMT Election Expert Monitoring Team EISA Electoral Institute of Southern Africa

227 ANNEXES EMB Electoral Management Body ENPI European Neighbourhoods and Partnership Instrument EPIC Electoral Process Information Collection ESA EUROPEAN Space Agency EU European Union EU EOM EU Election Observation Mission EuropeAid Aid Cooperation Office (EC) EVM Electronic Voting Machine E-Voting Electronic Voting EVS Electronic Voting System FAFA Financial and Administrative Framework Agreement FP Financing Proposal FPTP First Past The Post ENPI European Neighbourhoods and Partnership Instrument GA General Assembly GMS General Management Support GPPS Global Programme on Parliamentary Development GPU Global Procurement Unit (of UNDP/PSO) HQs Headquarters ICCPR International Covenant on Civil and Political Rights ICERD International Covenant on the Elimination of All Forms of Racial Discrimination ICPS International Centre for Policy Studies ICR Intelligent Character Recognition ICTs Information and Communications Technologies IDEA (International) Institute for Democracy and Electoral Assistance IDP Internal Displaced Person IEC Independent Electoral Commission IFES Democracy at Large (formerly the International Foundation for Electoral Systems) IfS Instrument for Stability IIDH Instituto Interamericano de Derechos Humanos IOM International Organization for Migration IPU Inter-Parliamentary Union IRI International Republican Institute IT Information Technology JCDN Joint Donors Competence Development Network JEMB Joint Electoral Management Body JIOG Joint International Observer Group JTF Joint Task Force LAS League of Arab States LPAC Local Project Appraisal Committee LTAs Long Term Agreements LV Limited Vote M Millions MDGs Millennium Development Goals MONUC United Nations Mission in the Democratic Republic of Congo MMD Multi-Member District MMP Mixed Member Proportional MoU Memorandum of Understanding MTEF Medium Term Expenditure Framework NDI National Democratic Institute for International Affairs NEEDS Network of Europeans for Electoral for Democracy Support NEX National Execution (UNDP) NGO Non-Governmental Organisations OAS Organisation of American States OCR Optical Character Recognition OCRV Out of Country Registration and Voting Programme OCV Out of Country Voting ODA Official Development Assistance ODIHR Office for Democratic Institutions and Human Rights (OSCE) OIC Organisation of the Islamic Conference OKV Out of Kosovo Voting Programme OMR Optical Mark up Reader ONUVEN United Nations Observer Mission to Verify the Electoral Process in Nicaragua ONUVEH United Nations Observer Mission to Verify the Electoral Process in Haiti OSCE Organisation for Security and Cooperation in Europe OSD Organisational Staff Development PAC Project Appraisal Committee PBV Party Block Vote PMU Programme Management Unit PMS Project Management System PR Proportional Representation PRESS Political Rights Enfranchisement Strengthening System (IOM project) PRSP Poverty Reduction Strategy Paper PSO Procurement Support Office PVT Parallel Vote Tabulation RELEX External Relations SADC Southern African Development Community 227

228 ANNEXES 228 SAT Special Advisory Team (of UNDP/PSO) SG Secretary General SMD Single-member district SMS Short message service SNTV Single Non-Transferable Vote SPA Strategic Partnership Agreement SRSG Special Representative of the Secretary General STV Single Transferable Vote SURF Sub-regional Resource Facility (of UNDP) SWOT Strengths, Weaknesses, Opportunities and Threats TA Technical Assistance TEU Treaty on European Union ToR Terms of Reference TOT Training of Trainers TRS Two-Round System UDHR Universal Declaration of Human Rights UK United Kingdom UN United Nations UNAMA United Nations Assistance Mission in Afghanistan UNCDF United Nations Capital Development Fund UNDAF United Nations Development Assistance Framework UNDEF United Nations Democracy Fund UNDESA United Nations Department for Economic and Social Affairs UNDP United Nations Development Programme UNDP/PSO UNDP Procurement Support Office UNFPA United Nations Population Fund UNIFEM United Nations Development Fund for Women UNMIN United Nations Mission in Nepal UNMIT United Nations Integrated Mission In Timor-Leste UNOPS United Nations Office for Project Services UNTAG United Nations Transition Assistance Group US(A) United States of America USAID United States Agency for International Development UNV United Nations Volunteers VVRT Voter Verified Audit Trail VVAT Voter Verified Audit Trails

229 ANNEXES Accreditation: Document(s) providing authorisation for presence in an electoral site (polling station, tabulation centre, etc.). Agent (for a party or candidate): A person who represents a political party or candidate during different aspects of an electoral process, e.g., as an ob server of the voting or counting processes in polling stations. An agent may have authority to act and take decisions on behalf of the party or candidate. Aggregation: It is the process of collecting and adding the totals of election results following the counting of votes. Alternative Vote (AV): A candidate-centred, preferential plurality/majority system used in single-member districts in which voters use numbers to mark their preferences on the ballot paper. A candidate who receives an absolute majority (50 per cent plus 1) of valid first-preference votes is declared elected. If no candidate achieves an absolute majority of first preferences, the least successful candidates are eliminated and their votes reallocated until one candidate has an absolute majority of valid votes remaining. Appeal: a legal submission to a higher authority that seeks to challenge or overturn the decision of a lower body. Audit trail: A sequence of verifiable records that are maintained to track activities, for example, movement and numbers of electoral materials, tabulation of electoral results, changes to computerised records, maintenance of financial records and determination of policies. Automatic Fingerprint Identification Systems (AFIS): Software applications capable of establishing the identity of an individual through fingerprints by the use of biometric functions. 229 Ballot structure: The way in which electoral choices are presented on the ballot paper, in particular whether the ballot is candidate-centred or party-centred. Baseline budget: A budget formulation method in which the funding allocation by the financing authority for the previous funding period is taken and adjusted to give the estimate for the next period. Basket fund: The organisation of funding aimed at improving donor coordination whereby donors and partners sign a MoU with (here) UNDP under either cost-sharing or trust fund arrangements. Glossary Biometric systems: Systems relying on measures of physical characteristics (e.g. fingerprints, speech, face, iris and the like) with the objective of recognising patterns to distinguish those that match closely enough to be considered identical from those that are different enough to be considered non-identical. Biometric systems have proven useful in the voter registration and voting operations processes. Block Vote (BV): A plurality/majority system used in multi-member districts in which electors have as many votes as there are candidates to be elected. Voting is candidatecentred. The candidates with the highest vote totals win the seats. Borda Count (BC): A candidate-centred preferential system used in either single- or multi-member districts in which voters use numbers to mark their preferences on the ballot paper and each preference marked is then assigned a value using equal steps. For example, in a ten-candidate field a first reference is worth one, a second preference is worth 0.9 and so on, with a tenth preference worth 0.1. These are summed and the candidate(s) with the highest total(s) is/are declared elected. Boundary delimitation: The process by which a country, local authority area or area of a supranational institution is divided into electoral districts.

230 ANNEXES Budget (electoral): A document containing an itemised summary of proposed electoral incomes and expenditures in relation to specified activities by a specified organisation or part of an organisation, for a defined future period. Budget support: Financial support that involves resource transfers to the budget to a partner country that is managed independently by the partner country through the exclusive use of its budget and financial management system. Calendar (electoral): A document containing a sequence of tasks and the dates and deadlines for their performance during the planning, implementation and completion of an electoral event. Campaign (electoral): Political activity, including meetings, rallies, speeches, parades, broadcasts, debates and other media events designed to inform the electorate of or gather support for the platform of a particular candidate or political party in an election or to promote a choice available to voters in a direct democracy instrument. Candidate: A person who is nominated to contest an election either as a political party representative or independent of any political party s support. Cascade training: A method of training in which a core central group of trainers are trained in both electoral technical matters and training techniques, who in turn train others face to face at a lower level. The second level trains the third level and so on, until all targeted staff is trained. Chief observer: Holds overall responsibility for an EU EOM, usually a Member of the European Parliament (MEP). 230 Civic education: An information and/or educational programme which is designed to increase the comprehension and knowledge of citizens rights and responsibilities. Civil registry: A centrally held master database containing information generated by the administrative infrastructure of a country involving the mandatory collection of information from many sources and containing information such as the name, gender, nationality, age, marital status and address of all citizens. Electoral registers and other documents may be drawn from it when required. Closed list: A form of List PR in which electors are restricted to voting only for a party or political grouping, and cannot express a preference for any candidate within a party list. See also open list. Code of conduct: A set of principles and/or expectations that are considered binding on any person who is a member of a group such as an election management body, political party, or an election observation mission. Common pool funding: A funding modality aiming to improve coordination among donors and partners involved in the implementation of projects. To emphasise their cooperation in supporting a particular electoral assistance projects, donors and partners sign a MoU with UNDP. Complaint: an expression of dissatisfaction, for example with the actions of an electoral management body, which may be made informally or formally through an official complaints procedure. Constituency: A synonym for electoral district used predominantly in some Anglophone countries. See Electoral district. Constitution: Law determining the fundamental political principles, nature, function and limits of a government. Contingency planning: Planning that takes into account all possible scenarios and thus considers risks such as security and political unrest. Core team: A group of independent specialists recruited specifically for an EOM who provide the main analytical and logistical frameworks and substance of the mission.

231 ANNEXES Cost-sharing: The standard co-financial modality under which contributions can be received for specific UNDP projects in line with UNDP policies, aims and activities. Delimitation: Demarcation of the boundaries of electoral units, a process also sometimes referred to as districting. Democratic consolidation: The process by which a country s political institutions and democratic procedures become legitimised, stable and broadly accepted by both political actors and the wider population. Deputy Chief Observer: the principal political and technical advisor to the chief observer who deputises for the chief observer in his/her absence. Has management responsibility for the political, analytical, methodological, operational and security aspects of the EU EOM and for the coordination of the activities of all mission members and the implementing partner. Direct execution (DEX): An UNDP project management scenario that can be utilised when when donors channel funding through the UNDP. Direct execution, as opposed to national execution, sees UNDP taking on the full responsibility for project implementation and is the default modality for election-specific projects. Disenfranchise: To deprive a citizen of a right of citizenship; in particular; the right to vote. District magnitude: The number of representatives to be elected from an electoral district. Domestic observer: An individual or representative of an organisation who is authorised and accredited to observe and assess the performance of the election process in her/his own country. Donor: A country or intergovernmental or non-governmental organisation which provides support in the form of money, in kind contribution and/or technical assistance to the electoral process in another country. 231 EAM: EU Election Assessment Missions are 1) deployed in countries where, for logistics and security or political reasons it is not possible to deploy a full fledged EU EOM. (They are an alternative to EU EOMs). 2) Independent in their conclusions and findings and make public recommendations, evaluating the process of a given election, upon invitation of the authorities, and 3) guided by the EU election observation methodology and are deploying a LIMITED number of observers. EEM: EU Election Expert Missions 1) are sent to countries where an informed reporting and analysis on the aspects of the election cycle is requested (including pre-electoral phase, voter registration and legal electoral framework analysis), 2) do NOT replace EU EOMs or EU EAMs, they aim at different objectives, 3) are sent in order to provide guidance to the policy of the EU in a given country, 4) are not making public recommendations, 5) have their own methodology, based on the experts skills and experience and are building upon International standards and good practices for elections, 6) are composed of electoral experts and do not deploy observers, even though in exceptional case, they may be providing guidance on the deployment of diplomatic watchers from EU member states, and 7) do not need to be invited by the authorities of the country. Electoral administration: The measures necessary for conducting or implementing any aspect of an electoral process. Electoral court: Court of justice or other body before which an electoral actor may dispute the validity of an election, or challenge the conduct of candidates, political parties or the EMB. Electoral cycle: The full series of steps involved in the preparation, implementation and evaluation of an election or direct democracy instrument, viewed as one electoral event in a continuing series. In addition to the steps involved in a particular electoral process, it includes pre-electoral activities such as the review of relevant legal and procedural provisions and electoral registration, as well as post-electoral evaluation and/or audit, the maintenance of institutional memory, the process of consultation and the planning of the forthcoming electoral process.

232 ANNEXES Electoral dispute resolution: The process of hearing and adjudication of any complaint, challenge, claim or contest relating to any stage of the electoral process. Electoral district: One of the geographic areas into which a country, local authority or supranational institution may be divided for electoral purposes. An electoral district may elect one or more representatives to an elected body. See single-member district and multi-member district. Electoral formula: That part of the electoral system dealing specifically with the translation of votes into seats. Electoral law: One or more pieces of legislation governing all aspects of the process for electing the political institutions defined in a country s constitution or institutional framework. Electoral management: The process of execution of the activities, tasks and functions of electoral administration. Electoral management body (EMB): The organisation tasked under electoral law with the responsibility for the conduct of elections. The EMB in most countries consists either of an independent commission appointed for the purpose or of part of a specified government department. Electoral period: That central part of the electoral cycle containing a series of steps involved in the implementation of a particular electoral process, usually starting with the official announcement of polling day and ending with the announcement of final results. Electoral process: The series of steps involved in the preparation and carrying out of a specific election or direct democracy instrument. The electoral process usually includes the enactment of the electoral law, electoral registration, the nomination of candidates and/or political parties or the registration of proposals, the campaign, the voting, the counting and tabulation of votes, the resolution of electoral disputes and the announcement of results. 232 Electoral regulations: Rules subsidiary to legislation made, often by the electoral management body, under powers contained in the electoral law which govern aspects of the organisation and administration of an election. Electoral system: That part of the electoral law and regulations which determines how parties and candidates are elected to a body as representatives. Its three most significant components are the electoral formula, the ballot structure and the district magnitude. Electorate: May have one of two distinct meanings: a) the total number of electors registered to vote in an electoral district or b) a synonym for electoral district used predominantly in some Anglophone countries. Electronic voting: Any method of voting using electronic means, including the use of electronic machines, the Internet, telephones, mobile phones or digital television. Often referred to as e-voting. EOM: EU Election Observation Missions are 1) independent in their conclusions and findings and make public recommendations, evaluating the process of a given election, upon invitation of the authorities, and 2) guided by the EU Election observation methodology and are deploying observers. EuropeAid (also known as AIDCO): The Directorate-General of the European Commission responsible for implementing most aid programmes and projects in countries outside the EU. ExM: Exploratory Missions are sent 1) in order to assess the usefulness, necessity and feasibility of an EU EOM, an EU EAM, and 2) upon the invitation of the government. External voting: A mechanism by which voters who are permanently or temporarily absent from a country are enabled to cast a vote, also called out-of-country voting. First generation election: The first election taking place post-conflict countries or newly formed states.

233 ANNEXES First Past The Post (FPTP): The simplest form of plurality/majority electoral system, using single-member districts and candidate-centred voting. The winning candidate is the one who gains more votes than any other candidate, even if this is not an absolute majority of valid votes. Franchise: The right to be able to vote in an election. Fraud: Intentional deception to gain unjust advantage. Governmental model of electoral management: An electoral management model where elections are organised and managed by the executive branch of government through a ministry, such as the Ministry of the Interior, and/or through local authorities. Independent model of electoral management: An electoral management model where elections are organised and managed by an EMB which is institutionally independent and autonomous from the executive branch of government, and which has and manages its own budget. Institutional memory: The ability of an organisation to retain understanding, expertise and physical records in order to be able to access and use these even after the passage of time or after a major or total change of personnel. Internally Displaced Person(s) (IDP): Persons who have been forced or obliged to flee or to leave their homes or places of habitual residence, who have not crossed an internationally recognised state border. In particular as a result of /or/in order to avoid the effects of armed conflict, situations of generalised violence, violations of human rights, or natural or human-made disasters. International observer: Representative of an international organisation, association, government or professional body, who is authorised and accredited to observe and assess the preparation for or conduct of an electoral process in a foreign country. International standards: International standards for elections stem from political rights and fundamental freedoms which are enshrined in universal and regional instruments. These instruments establish legal and political commitments to meet specific standards in relation to elections. Impartial: Not biased or prejudiced towards any side in a contest or conflict. 233 Legal framework: The collection of legal structural elements defining or influencing an electoral process, the major elements being constitutional provisions, electoral laws, other legislation impacting on electoral processes, such as political party laws and laws structuring legislative bodies, subsidiary electoral rules and regulations, and codes of conduct. Limited Vote (LV) An electoral system used in multi-member districts in which electors have more than one vote, but fewer votes than there are candidates to be elected. The candidates with the highest vote totals win the seats, in the same way as in a Block Vote system and in SNTV. List Proportional Representation (List PR) A system in which each participant party or grouping presents a list of candidates for an electoral district, voters vote for a party, and parties receive seats in proportion to their overall share of the vote. Winning candidates are taken from the lists. See closed list and open list. Media monitoring: Qualitative and quantitative analysis of media coverage of the election including time and space allocated to each political contestant, the tone of coverage, compliance of media with relevant legislation and analysis of the legislation itself and the degree to which it allows for compliance with international law obligations. Memorandum of understanding (MoU): The written agreement between the host country and the European Commission which defines the roles and responsibilities of both parties during deployment of an EU EOM. This is not legally binding. Mixed model of electoral management: An electoral management model with a dual structure which has a policy, monitoring or supervisory EMB that is independent of the executive branch of government (like an EMB under the Independent Model or Mixed Model of electoral management) and an implementation EMB located within a department of state and/or local government (like an EMB under the Governmental Model of electoral management).

234 ANNEXES Mixed system: A system in which the choices expressed by voters are used to elect representatives through two different systems, one proportional representation system and one plurality/majority system. There are two kinds of mixed system: parallel systems and mixed member proportional (MMP) systems. Monitoring (election): An activity which involves the authority to observe an electoral process and to intervene in the process, if relevant laws or standard procedures are being violated or ignored. Multi-member district: A district from which more than one representative is elected to a legislature or elected body. See also single-member district. National execution (NEX): An UNDP project management scenario that can be utilised when donors channel funding through the UNDP. National execution, as opposed to direct execution, entails that the overall responsibility and accountability for the formulation and management of UNDP supported projects lies at the host government. NEX is the UNDP s standard operating modality. Needs assessment: A method to address institutional sustainability, by which an organisation informs itself of its current management capabilities and the resources, financial, technological and human, necessary to organise and conduct its activities. Nomination: Putting forward name(s) for candidacy, selection or appointment to another body or to a position. Non-governmental organisation: A private organisation, independent from the government. Generally refers to non-profit-making social and/or cultural groups and includes charities. 234 Observation (electoral): A process under which observers are accredited to access an electoral process, and may assess and report on the compliance of the electoral process with relevant legal instruments and international and regional standards. Observer: A person accredited to witness and assess, but not intervene in, the proceedings of an electoral process. See domestic observer and international observer. Open list: A form of List PR in which voters can express a preference both for a party or grouping and for one, or sometimes more, candidates within that party or grouping. See also closed list. Operational plan: A plan that defines the responsibilities and time periods for all activities that needs to be undertaken to meet an organisation s strategic objectives. Out-of-country voting: A mechanism by which voters who are permanently or temporarily absent from a country are enabled to cast a vote, also called external voting. Paper audit trail: An audit trail where records are kept in printed or written form and not solely in an electronic form. Parallel System: A mixed system in which the choices expressed by the voters are used to elect representatives through two different systems, usually one plurality/majority system and one proportional representation system, but where no account is taken of the seats allocated under the first system in calculating the results in the second system. See also Mixed-Member Proportional. Parallel Vote Tabulation (PVT): Observers record the results from a scientific sample of polling stations and independently tabulate these results in parallel to, and for comparison with, the official results of the election authorities. Partisan: Biased in support of a political party, candidate or position. Party Block Vote (PBV): A plurality/majority system using multi-member districts in which voters cast a single party-centred vote for a party of choice, and do not choose between candidates. The party with most votes will win every seat in the electoral district. Periodic registry: A voter registry produced immediately prior to a new electoral event and not maintained between elections.

235 ANNEXES Permanent registry: A voter registry established, maintained and regularly updated by the EMB. Plurality/majority systems: Plurality/majority systems are based on the principle that a candidate(s) or party with a plurality of votes (i.e. more than any other) or a majority of votes (i.e. 50 per cent plus one an absolute majority) is/are declared the winner(s). Such a system may use single-member districts for example, First Past The Post (FPTP), Alternative Vote (AV) or the Two-Round System (TRS) or multimember districts for example, the Block Vote (BV) and Party Block Vote (PBV). Political party: An organised group of people with at least roughly similar political aims and opinions that seeks to influence public policy by getting its candidates elected to public office. Polling district: An area in which all electors are allocated to vote at a single polling station. Polling official: A member of staff who participates in the administration of a polling station on polling day. Polling officials may or may not be members of the staff of an EMB. Polling station: A venue established for the purpose of polling and controlled by polling officials. Postal voting: A mechanism for voting in which a voter completes his or her ballot paper and returns it by post to an official designated to conduct the election. Post-electoral evaluation: A retroactive evaluation of the conduct of an electoral process, or specified parts of that process that is completed after the electoral period. Post-electoral period: One of three periods of the electoral cycle, during which audit and evaluation takes place and during which legislation, regulations and administration are reformed and developed. Pre-electoral period: One of three periods of the electoral cycle, during which planning and preparation for the conduct of elections take place, and during which legal and procedural provisions are reviewed. Procurement: The process by which goods and services are purchased. 235 Programme Management Unit (PMU): The group of experts leading a given assistance project on the dayto-day basis. Proportional Representation (PR): An electoral system family based on the principle of the conscious translation of the overall votes of a party or grouping into a corresponding proportion of seats in an elected body. For example, a party which wins 30 per cent of the votes will receive approximately 30 per cent of the seats. All PR systems require the use of multi-member districts. There are two major types of PR system, List PR and the Single Transferable Vote (STV). Registration of political parties and candidates: The act of accepting the applications to participate in an election of political parties and candidates that meet defined criteria. RELEX (DG External Relations): the Directorate-General of the European Commission responsible for formulating the external relations policy of the European community. Second or third generation election: Elections taking place second or third in post-conflict countries or newly formed states. Sector approach: A way government and development partners may work together with the overall aim to broaden government ownership over public sector policy and resource allocation decisions, to increase the coherency between policy, spending and results and to reduce costs. The sector approach involves progressive development of a comprehensive and coherent sector policy and strategy, or a unified public expenditure framework for local and external resources and of a common management, planning and reporting framework. Single-member district: An electoral district from which only one member is elected to a legislature or elected body. See also multi-member district.

236 ANNEXES Single Non-Transferable Vote (SNTV): An electoral system in which voters cast a single candidate-centred vote for one candidate in a multi-member district. The candidates with the highest vote totals are declared elected. Single Transferable Vote (STV): A preferential candidate-centred proportional representation system used in multi-member districts. Candidates that surpass a specified quota (see Quota (a)) of first-preference votes are immediately elected. In successive counts, votes are redistributed from least successful candidates, who are eliminated, and votes surplus to the quota are redistributed from successful candidates, until sufficient candidates are declared elected. Stakeholders: Those individuals, groups and bodies which have an interest or stake in the operations of an organisation and/or which affect or are directly affected by the activities, policies and practices of the organisation. Strategic plan: A document used by an organisation to state the organisational vision, mission, values, priorities and objectives from which its structure and budget are derived. Tabulation of results: The process of compiling the result of counting of votes cast in an electoral process. Threshold: The minimum level of support which a party needs to gain representation in the legislature. A threshold may be a formal threshold, which is a figure laid down in the constitution or the law, usually in the form of a percentage of the valid votes cast, or an effective or natural threshold, which is a mathematical property of the electoral system in use. Transparency: Openness, visibility of process or event to the public. Improves accountability and trust. 236 Trust fund: A mechanism for aggregating individual donor contributions into a single pool of funds, held in trust and administered by an external organisation (e.g. the EC) for use in support of an electoral process. Turnout: The proportion of registered voters who voted. Two-Round System (TRS): A plurality/majority system in which a second election is held if no candidate achieves a given level of votes, most commonly an absolute majority (50 per cent plus one), in the first election round. Valid (ballot): An official ballot paper that clearly shows the intention of the voter and does not reveal the identity of the voter. Voter: A person who casts a vote at an election or under a direct democracy instrument. Voter education: A process by which people are made aware of the electoral process and the particulars and procedures for voter registration, voting, and other elements of the electoral process. Voter information: A short-term programme focusing on specific electoral information, which aims to give relevant factual information about an electoral process to voters on a timely basis. Voter registration: The activity directed at identification of those citizens who are eligible to vote in a given election. Voter registry: A register accounting for all citizens who are eligible to vote. See civic registry, periodic registry and permanent registry. Zero base budget: A budget formulation method which treats each funding period for an organisation as a clean slate, and estimates the funds required to achieve the planned outcomes for that period. See also baseline budget.

237 ANNEXES Below you will find an indicative and non-exhaustive list of international, continental and regional actors that directly or peripherally cooperate with the EC, UNDP and International IDEA in the field of electoral assistance over the last five years.1 International, Continental, Regional and Intergovernmental Organisations UN EAD/DPA, United Nations Electoral Assistance Division of the Department of Political Affairs, was established in 1992, initially as the Electoral Assistance Unit, to provide technical support to the focal point in carrying out his functions. The main role of the Division are to evaluate requests for electoral assistance, to identify and maintain United Nations electoral standards, to undertake needs-assessment missions, to assist the organizations of the United Nations system and other organizations in the design of electoral assistance project activities, to develop operational strategies for electoral components of peacekeeping operations, to maintain a roster of electoral experts, to facilitate the international observation of elections and to serve as the institutional memory of the United Nations in the electoral field. OSCE/ODIHR, the Office for Democratic Institutions and Human Rights, is the specialist institution of the OSCE dealing with elections, human rights, and democratisation. Based in Warsaw, Poland, the ODIHR promotes democratic election processes through the in-depth observation of elections and conducts election assistance projects that enhance meaningful participatory democracy. It also assists participating States in the implementation of their human dimension commitments by providing expertise and practical support in strengthening democratic institutions through longer-term Programmes to strengthen the rule of law, civil society, and democratic governance. www. osce.org/ odhir 237 Other actors IOM, International Organisation for Migration, established in 1951 as an intergovernmental organisation to resettle European displaced persons, refugees and migrants, IOM has now grown to encompass a variety of migration management activities throughout the world. Over the years, the International Organization for Migration has been actively involved in supporting elections in countries in post- conflict situations or political transition. IOM believes that the promotion of fair elections and democratic institutions can play an important role in encouraging popular participation and engagement in a country s political future and social and economic development, enhancing migration management, stabilizing communities and reducing the potential for future large-scale population displacement and consequent instability. Within this framework, IOM focuses its activities on providing access to voting to the Diaspora, supporting EU Election Observation Missions in third countries and assisting governments in the enfranchisement of disadvantaged internally displaced groups. The Election Support Unit (ESU) within the Operation Support Department (OSD) in Geneva is responsible for the planning, coordination and oversight of all election processes dealt by IOM. The unit provides support to Governments as part of their efforts to expand the access of migrant communities to democratic electoral process in their countries or territories of origin. OAS, Organisation of American States, is one of the main cooperating partners of UNPD, EC and IDEA. OAS has, since its establishment in 1962, observed more than 140 elections in the Americas. With the adoption of a new policy in 1989, OAS Electoral Observation Missions are characterised by their broad scope and the emphasis on an integral and comprehensive observation processes with a particular focus on the qual- 1 The content has been drawn from their official websites, the UNDP Guides on Political Parties, the UNDP Guide on Civil Society Organizations dealing with Electoral Systems and Processes, the Handbook on Election Management Design of IDEA and from and

238 ANNEXES ity of electoral processes. A further step forward has been taken with the development of a systematic methodology which offers a comprehensive assessment of electoral processes in light of the standards enunciated in documents such as the Inter-American Democratic Charter and the Declaration of International Electoral Observation. OAS is increasingly expanding into the area of electoral assistance and has to date provided support in terms of administrative, technological, legal and institutional strengthening to more than 10 countries. OAS involvement in technical assistance has, throughout the 1990s, primarily targeted the professionalization and depolitisation of EMBs and the promotion of horizontal cooperation among EMBs. Global, Regional and National Networks of EMBs and Association of EMBs ACEEEO, Association of Central and Eastern European Election Officials, is a nonpartisan association established in The main objectives of ACEEEO are to foster free, democratic and fair elections; to promote the institutionalisation and professionalization of democratic processes and procedures; to support the development of open and democratic election systems in the region; and to provide a non-partisan and politically neutral forum for the exchange of information among election officials and experts. Activities include support on electoral technology, campaign finance reform, and citizens participation in electoral processes UNIORE, Inter-American Union of Electoral Organizations, was established in 1991 to promote cooperation between the electoral organisations and associations created under the Tikal and Quito protocols. It extended the potential scope of cooperation to provide support and assistance, as far as practicable, to member organisations which requested them. The Costa Rica-based Centre for Electoral Promotion and Assistance (CAPEL), established in 1983, acts as the executive secretariat of these networks. ACEO, Association of Caribbean Electoral Organizations, was established in 1998 to promote cooperation and mutual assistance among electoral authorities in the Caribbean and the use of election processes that ensure free, fair and peaceful elections. These objectives are achieved, in part, through strengthening independent and impartial electoral organisations and administrators; promoting public confidence through transparent electoral procedures; providing a forum for the exchange of experiences, information and technology pertaining to elections; and establishing a Caribbean based resource centre for research and information. AAEA, Association of African Election Authorities, was founded in It is a membership organisation dedicated to the professionalization of election administration through information exchange and regional networking. The association promotes free and fair elections; independent and impartial elections by organisations and administrators; public confidence in the election process through open and transparent electoral procedures; and participation by citizens, political contestants, and non-partisan NGOs in electoral processes. Activities include election observation, training, roundtable discussions, and educational exchanges. SADC, the Southern African Development Community, was established in The SADC vision is one of a common future, a future in a regional community that will ensure economic well-being, improvement of the standards of living and quality of life, freedom and social justice and peace and security for the peoples of Southern Africa. SADC region has made significant strides in the consolidation of the citizens participation in the decision-making processes and consolidation of democratic practice and institutions. The Member States are Angola, Botswana, the Democratic Republic of Congo, Lesotho, Madagascar, Malawi, Mauritius, Mozambique, Namibia, Seychelles, South Africa, Swaziland, United Republic of Tanzania, Zambia and Zimbabwe. PIANZEA, the Pacific Islands, Australia and New Zealand Electoral Administrators Network, is a semiformal association of electoral administrators working in the Pacific region. The network was founded 1997 and its goal is to continue and maintain in the Pacific spirit, a close association of Pacific Electoral Administrators within an established networking arrangement to facilitate and encourage the free flow

239 ANNEXES of electoral information among member countries and to provide assistance where possible. American Samoa, Australia, Cook Islands, Fiji, French Polynesia, Guam, Kiribati, Federated States of Micronesia, New Caledonia, New Zealand, Niue, Republic of Palau, Papua New Guinea, Samoa and Solomon Islands are the administrations recognised as being members of PIANZEA and its secretariat is hosted by the Australian Electoral Commission. GEO, Global Electoral Organisation, the development of regional associations of electoral organisations and the increasing internationalisation of elections through advocacy for international standards for democratic elections led to the establishment of a global forum for discussion of EMB collaboration. The Conference of the Global Electoral Organisation (GEO) Network, which was first convened in Ottawa in April 1999, is a worldwide meeting of regional associations of election officers. In 2009, the GEO conference will be organised by UNDP and International IDEA. Elections Canada Instituto Federal of Mexico Australian Election Commission South African Election Commission and the Brazilian Supreme Electoral Tribunal are all independent electoral administration in their respective countries which in addition to domestic services have an international arm to provide electoral assistance. These have developed over the years a strong expertise in electoral support programmes and they generally provide capacity building and technical advice on demand and may second experienced staff to international electoral assistance missions. Specialised Organisations and Consortium With Global Coverage EC Framework Contract - LOT 7: Culture, Governance and Home Affairs: The EC for actions under EURO established a framework contract of consortium of companies and organisations that provided services for all the different steps of the project cycle, from identification to evaluation. As per electoral assistance the related lot is the n. 7 which, is the one called Culture, Governance and Home Affairs. Electoral support (election observation and electoral assistance) is dealt with the sub sector of support to democratisation including: democratisation processes (incl. civic education); social and political roots of conflicts (conflict prevention); elections (census, support to electoral processes and supervision ); role and functioning of the parliament and citizenship (representative legitimacy, participation and political accountability). The selected consortiums are composed of several companies/organisations selected on a two year basis. The selected consortiums for the moment are Berenschot International Solutions, IBF International Consulting, Transtec, Dialogue Consortium, B&S Europe, European Consultant Organization, Atos Origin Belgium. They respond to request of specific expertise and services in electoral support received generally by delegations but also by the EC HQ as per exploratory missions for EUEOMs. Their specific in house electoral assistance expertise depends on the presence of specialised electoral experts working full time in the organisations of the consortium. The current list of consortiums: ec.europa.eu/europeaid/work/framework-contract/beneficiaries/documents/lot_7_techn_descript_ en.pdf 239 IFES, the International Foundation of Electoral Systems, founded in 1987, is an international non-profit organisation dedicated to building democratic societies. Headquartered in Washington DC, IFES is a US organisation also registered in over 20 countries in which they have field offices. IFES provides technical assistance to new and developing democracies in the areas of election administration, civil society building, human rights, rule of law and governance. The Carter Center, the mission of the Carter Center is to help create a world in which every man, woman, and child has the opportunity to enjoy good health and live in peace. Founded in 1982, the Center is a charitable organisation that has helped to improve the quality of life for people in more than 65 countries. Through its Democracy Program, the centre conducts international election monitoring, works to strengthen the capacity of civic organisations to participate in government policy-making and promotes the rule of law. Observers analyse election laws, assess voter registration processes, voter education efforts, and the openness of campaigns focusing on competitiveness, unhindered participation in the election process, and access to the media.

240 ANNEXES The MacDougall Trust is an independent educational research charity established in The trust seeks to advance knowledge and encourage research in: political or economic science; the functions of government and the services provided to the community by public and voluntary organisations; methods of election and the selection of government and other representative organisation leaders; and, representative democracy, its forms, functions, development and associated institutions. It does this mainly by publishing a periodical entitled Representation: the Journal of Representative Democracy and by maintaining and developing the Lakeman Library for Electoral Studies. mcd ERIS, Electoral Reform International Services, is a division of the Electoral Reform Society of Great Britain and Northern Ireland (ERS), which was founded in 1884, to develop democracy in Britain and abroad. ERIS defined aim is to offer a comprehensive advisory service for all democracies. With a team of staff based in London and a regional office in Africa, ERIS works in partnership with national electoral commissions and civil society organisations or on behalf of international donors to provide specialist electoral and democratisation assistance. ENEMO, European Network of Election Monitoring Organisations, was set up as an international network of election monitoring organisations in The network promotes the involvement of civic organisations in election monitoring. As an effective way to engage, educate and empower citizens, ENEMO promotes election-monitoring standards of network members, supports international and exchange projects among ENEMO members, develops European-wide information resources on electoral legislation and systems, and provides international support to members NDI, the National Democratic Institute, is a US-based non-profit organisation supported by the US Democratic Party and works towards strengthening and expansion of democracy worldwide. Calling on a global network of volunteer experts, NDI provides practical assistance to civic and political leaders advancing democratic values, practices and institutions. NDI works with democrats in every region of the world to build political and civic organisations, safeguard elections, and to promote citizen participation, openness and accountability in government. With the Carter Centre, NDI has developed and implemented projects to empower domestic observer organisations to carry out parallel vote tabulation or quick counts. IRI, the International Republican Institute, is a non-profit organisation dedicated to advancing democracy worldwide. The IRI conducts a wide range of international programmes to promote and strengthen democratic ideals and institutions. IRI programmes are individually structured to meet the needs of the participants in the host country. These programmes include training on such issues as civic responsibility, the legislative process for newly elected government officials and the mechanics of organising political parties and election campaigns. Specialised African organisations EISA, Electoral Institute of Southern Africa, is a not-for-profit company established in Its mission is to strengthen electoral processes, good governance, human rights and democratic values. Activities include research, capacity building, advocacy and other targeted interventions. The organisation services governments, electoral commissions, political parties, civil society organisations and other institutions operating in the democracy and governance fields throughout Africa. Key programme areas include democracy, conflict management and electoral education; elections and political processes; and balloting and electoral services. AMwA, Akina Mama wa Afrika, is an international, pan-african, non-governmental development organisation set up in Co-ordinating local, regional and international initiatives, Akina Mama serves as a mobilising, networking, information, advocacy and training forum for African women, building their leadership capacities to influence policy and decision-making. In 1996, AMwA set up the African Women s Leadership Institute (AWLI) as part of its Africa Programme.

241 ANNEXES FAS, Femmes Africa Solidarité, was set up as an international NGO in FAS seeks to encourage women s participation in political processes. It also conducts peace and fact-finding missions to evaluate and redefine the role women play in conflict resolution and peace-building in post conflict areas. Key activities include voter education, election observer missions, training workshops, and support for information and experience exchange among women and their associations in numerous parts of Africa. Gender Links, was established as a non-profit organisation in The organisation aims to increase participation and representation of women in the electoral process and in political office. It also seeks to transform gender relations in and through the media by conducting research on gender disparities in the internal structures and editorial output of the media. Areas of activity include efforts to strengthen the media and communication skills of gender activists and women in decision-making. In addition, Gender Links leverage its skills and expertise by providing research and advisory services on gender and governance more broadly. IED, Institute for Education in Democracy, is an NGO established in Its mission is to promote democracy in Africa. Since its inception, IED has provided non-partisan leadership in monitoring the democratic process in Kenya and other parts of Africa through programmes on electoral processes, voter education, research and provision of technical assistance. It is committed to a non-partisan approach and promotes the view that an informed citizenry is an empowered citizenry that can take part in the development of their country. GERDDES-Africa, Research Group on the Democratic, Economic and Social Development of Africa, set up in 1990, is a non-partisan, pan-african network that seeks to promote democracy in the service of social and economic development, and cultivates African expertise in conflict prevention and management. The GERDDES programme organ, the International Research Centre on Democracy and Development (IRCD), takes part in organising and monitoring elections and engages in social and political mediation SARDC, Southern African Research and Documentation Centre, is an independent regional information resource centre which seeks to enhance the effectiveness of key development processes in the Southern African Development Community (SADC) region. One of SARDC s key objectives is to assist governments, organisations and people of the SADC region to move quickly and effectively toward the empowerment and involvement of people in development. The Sustainable Democracy programme provides documentation and publications on elections in the southern African region. Other activities include collection and provision of relevant and accessible information, based on national and regional perspectives as well as capacity building for collecting, storing and accessing information on a sustainable basis. Specialised Asian organisations ANFREL, Asian Network for Free Elections, was formed in 1997 as a regional network of election monitoring and human rights organisations. Its aims are to support democratisation and related processes and initiatives in Asia. Activities include capacity building, training and support of election monitoring by local groups as well as lobbying and dissemination of election results and democracy-related information. ANFREL has represented international efforts to ensure the integrity, credibility and transparency of electoral processes in countries such as Cambodia, the Philippines, Indonesia, Sri Lanka, Nepal, Bangladesh, East Timor and Thailand. APCEN, Asia-Pacific Civic Education Network, is a network of civic educators within the Asia Pacific region. Its main purpose is to establish effective communication linkages between groups that seek to promote civic education in their respective countries. The primary activities of the network are to disseminate information about civic education reform through its electronic network and website as well as to organise and conduct conferences and workshops on civic education, democracy and democratic governance.

242 ANNEXES Specialised Latin American organisations CAPEL, Centre for Electoral Promotion and Assistance, is part of the Inter-American Institute of Human Rights, an independent NGO established in It offers technical electoral advice and promotes elections and the values of a democratic culture and full political participation without discrimination. Activities include election monitoring, research and analysis, as well as training courses and seminars for electoral officials in the Latin America and the Caribbean region. Conciencia, is a non-partisan, non-profit association that believes that responsible political participation constitutes a citizen s undeniable duty. Its mission is to increase peoples awareness about citizenship by transmitting democratic and republican ideals that encourage people to exercise their citizenship as a right and as a responsibility, and actively participate in community and civic life of Argentina. Conciencia carries out programme activities to inform and educate and has 36 chapters spread all over the country. It also established and supports a pan- American network in 16 countries

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