Principles of Electoral Integrity

The political and personal stakes are high in any election, and they can lead to many integrity problems, including unethical personal behaviour aimed at swaying the election result. Hence the need for a set of standards of good conduct—widely accepted ethical behaviour—to maintain election integrity. But standards of conduct alone are not enough. The process itself needs to be based on the principles and values inherent to a fair, equitable and competitive election. The most important value and principle is fairness; this fosters public trust in the electoral process and ensures that all electoral administrators, election officers and participants are held accountable for their actions.

Ethical Behaviour

Ethical behaviour is essential to election integrity. Ethics embodies the ideals we should strive for and how we should behave. Standards for ethical behaviour vary depending on the social and political context of each country. However, some common basic principles are required for free and fair elections.

Electoral administrators and others involved in election administration must adhere to their country’s constitution and laws, which provide the framework for their efforts. Electoral administrators and election officers must perform their duties for the public good, and must not use their position for personal or partisan gain.

Most electoral systems formalize principles of ethical behaviour in codes of conduct that spell out the details of the behaviour expected. Codes of conduct vary by system and country, but there are usually codes for political parties, lobbyists, the media and accredited observers.

The codes incorporated into the legal or regulatory framework have binding legal force. They specify penalties and sanctions for code violations. Other codes are standards of behaviour, which participants follow voluntarily. They are usually the outcome of negotiations between the stakeholders in the electoral process. The ethical conduct of voters is regulated by each country’s laws protecting persons and property; it is enforced through the justice system.

The following standards of ethical behaviour are usually expected during a free and fair election:

Standards for Electoral Administrators and Election Officers

• Uphold the constitution and abide by the legal framework, its rules and regulations.
• Maintain a neutral approach in performing the duties of office. This includes not giving any preferential treatment or displaying political party logos, symbols or colours.
• Do not accept anything of value (money, offers of employment, gifts, travel, etc.) in exchange for preferential treatment or access to official or non-public information.
• Do not discriminate against anyone on the basis of race, colour, religion, class, gender, national origin, age or disability.
• Hire staff for their professional skills, not their political affiliation.
• Use office facilities (time, space and equipment) to perform office duties, not for personal or partisan purposes.
• Do not pressure other officials or personnel to favour a particular candidate, and do not intimidate them from doing so.
• Disclose financial information on a regular basis, as required by law.
• Inform the appropriate authorities of cases of waste, fraud, abuse or corruption.

Standards for Political Parties and Candidates

• Abide by the legal framework and electoral regulations.
• Reject all violence, and do not incite supporters to violent or criminal behaviour.
• Respect the rights of other parties and avoid interfering with other campaigns. Refrain from negative campaigning and personal attacks on other candidates or their supporters.
• Respect the right of voters to obtain information. Do not pressure them to vote for a particular party or candidate, and do not intimidate them from doing so.
• Respect the right of the media to cover campaigns.
• Facilitate the work of domestic and international observers, and do not obstruct monitoring by other political parties.
• Abide by the official election results.

Standards for Lobbyists

• Abide by the legal framework and related regulations.
• Maintain a professional approach in dealings with other participants in the electoral process.
• Fully disclose funds spent during lobbying activities, as required by law.
• Reject all violence, harassment or intimidation directed toward other participants in the electoral process.
• Respect the right of voters to obtain political information. Do not pressure them to endorse or vote for a particular party or candidate, and do not intimidate them from doing so.
• Respect the right of the media to carry varied political reports on the campaign, and to present opposing opinions and advertisements.
• Accept the official election results.

Standards for Observers

• Respect the sovereignty of the country, its laws and its legal framework for elections.
• Obtain accreditation before entering electoral sites.
• Observe and monitor in a professional and neutral manner that will not disrupt the electoral process.
• Intervene only when a law or electoral procedure is being violated or ignored.
• Disclose the observation goals and objectives in reporting on all dealings with political actors, the public and the press.
• Report accurately and without exaggeration, after observing enough of the process and visiting sufficient electoral sites to ensure that the report is representative of the actual situation.
• Remain independent (non-partisan).

Standards for the Media

• Respect the laws of the country and the principles of freedom of the press.
• Ensure that voters have access to news about the electoral process.
• Provide accurate and balanced reports that substantiate published facts and figures, identify sources, and distinguish between fact and rumour.
• Label opinions as opinions, and limit them to the editorial or opinion pages.
• Avoid being manipulated by politicians, political parties or special interest groups.
• Do not accept gifts from newsmakers, politicians or others that might compromise journalistic integrity.
• Avoid bidding for stories or paying for information.
• Provide equal treatment to all political advertisers, including advertising access and rates.
• Clearly label advertising so that it is not confused with news.

Fair Process

Fairness is an essential component of election integrity. All participants must be treated equally, and integrity safeguards must apply to all participants and the entire process. This means following three basic standards:

• acceptable legal framework
• neutral administration
• equal treatment

Acceptable Legal Framework

A legal framework is the basis for the electoral system. To protect election integrity, the framework must safeguard the principles of a free, fair and competitive election. It must be non-partisan, and must fairly and impartially define the rights and authorities of all participants in the electoral process. It must provide for institutional mechanisms to protect electoral integrity (oversight, enforcement, and a system of checks-and-balances). The legal framework, with its laws and regulations, must guarantee equal treatment for all participants in the electoral process.

Clear and precise language helps ensure that the framework’s provisions are unambiguous and interpreted according to the spirit of the law. Many integrity problems can be avoided with an up-to-date legal framework that reflects current circumstances within a country—for example, a framework that requires electoral districts to be delineated according to the equality of votes principle.

Neutral Administration

The legal or institutional framework is only as good as its implementation. The electoral authorities are responsible for implementing the election process as prescribed by law. They must fulfill this responsibility impartially and objectively, without political interference.

A neutral administration treats all political parties and candidates equally without discrimination or favouritism. If the administration is seen as partisan, this perception can destroy public trust in the system.

Electoral systems may adopt various mechanisms to ensure a neutral administration. In countries where citizens trust the government to be impartial, it often administers elections itself. This is the case in France, Norway and Sweden, where electoral administration is entrusted to government officials at the national or local level. [1] Where there is a history of manipulation of the process, it may be appropriate to form an independent electoral commission, putting election administration beyond the ruling party’s influence. Several East European countries set up independent commissions in 1989-90, during their transition to democracy. [2] This approach helps build a sense of trust in the elections and confidence in their impartiality.

According to a number of election observation specialists, an independent electoral commission ensures a more accountable administration. Nonetheless, a commission cannot be protected from all political interference whatsoever. [3]

If persons recognized as impartial cannot be found, a solution is to ensure political balance by giving representatives of the different parties a role in administering the election. Their participation serves as one of the checks-and-balances on the government. Many systems combine the two approaches, that is, an independent commission and political balance. Some systems try to ensure the neutrality of the key electoral administrators by distancing them from politics. They may be appointed for a set number of years, with the government unable to remove them except through extraordinary measures, such as a judicial hearing. For example, the Election Commission of India is a permanent constitutional body. The President appoints the Chief Electoral Commissioner and the Election Commissioners to serve six-year terms, or up to age 65. The Chief Electoral Commissioner can be removed from office only if impeached by Parliament.

Other systems bar the key electoral administrators from participating in politics. In Canada, the Chief Electoral Officer and the Deputy Chief Electoral Officer are not allowed to vote in federal elections. Electoral administrators may also be required to give up political party positions while serving in an electoral management body.

Equal Treatment

Another component of a fair election is equal treatment, including equal opportunity and access. This means that all participants receive the same treatment from electoral administrators and election officers, and have the same opportunities to participate. All must have equal access to information, the media, electors, a genuine voter registration process, voting facilities and complaint mechanisms. A basic requirement for equality is that all parties must compete under equal conditions. Most countries have a number of major parties, and smaller ones must make extra efforts to get established and present their messages to voters. Larger and smaller parties have different levels of human and financial resources, as well as different organizational capacity and outreach strength. Even if there is equal opportunity, the inequality of resources may create a sense of unfairness.

NOTES

[1] Goodwin-Gill, Guy S., Free and Fair Elections: International Law and Practice, Inter Parliamentary Union, 1994.

[2] Ibid.

[3] On the importance of independent electoral administration, see Elklit, Jorgen and Andrew Reynolds, “The Impact of Election Administration on the Legitimacy of Emerging Democracies,” Commonwealth and Comparative Politics, 40(2), 2002, p. 86-119; López-Pintor, Rafael, Electoral Management Bodies as Institutions of Governance, New York, New York: United Nations Development Programme, 2000; Mozaffar, Shaheen and Andreas Schedler, “The Comparative Study of Electoral Governance—Introduction,” International Political Science Review, 23(1), 2002, p. 5-27; Pastor, Robert A., “The Role of Electoral Administration in Democratic Transitions: Implications for Policy and Research,” Democratization, 6(4), 1999, p. 1-27.

Accountability

Accountability is another important aspect of election integrity. Elections are, after all, the means by which citizens hold their elected officials accountable. Electoral administrators and policy makers are accountable for the type of electoral process they design and administer.

The public needs to know whether government funds are being handled in accordance with laws and regulations, whether electoral agencies are achieving the expected results, and whether they are operating economically and efficiently.

Electoral administrators use public resources for public purposes and are accountable for the use of those funds. They are responsible for the decisions they make and the consequences of those decisions. They are responsible for election administration and the smooth functioning of elections. They must comply with all laws and regulations, and ensure that their systems are in compliance.

Accountability usually requires officers to report on their actions to official oversight agencies and the agency that provides funding. Accountability can be ensured by regular monitoring and through audits of financial and performance reports. Both help to assess the integrity and proper stewardship of the electoral management body.

Political parties, candidates and lobbyists are accountable for how they participate in the electoral process. Observers are accountable for how they observe and report.

A few countries grant immunity to elected or public officials. It may be advisable to review this approach in order to ensure that it does not conflict with accountability or undermine the integrity of the electoral process.