Oversight of the electoral process is an important way of safeguarding integrity. In most electoral systems, a particular agency is mandated to oversee the electoral process. This agency may be located within the electoral management or policy body, or in a separate institution, such as an auditor general’s office or an independent commission. In Canada the Commissioner of Canada Elections bears this responsibility; in Mexico the Federal Electoral Tribunal has the same role. Official oversight plays an important part in checking that election integrity is maintained. However, it is important to ensure that oversight is non-partisan and is used only to enhance integrity, not to obstruct or manipulate the process.

Oversight agencies may look for integrity problems in:

• election administration and management;
• voter and candidate registration;
• election campaigns and candidates’ financing;
• voting and vote counting.

Oversight agencies may provide routine oversight of the electoral process or undertake investigations when formal complaints are made. To be effective, oversight agencies may need to have:

• freedom to decide what must be reviewed;
• access to information needed for reviews;
• the ability to publish review findings and recommendations without censorship or political interference;
• no personal or institutional stake in the outcome of the electoral oversight.

To protect election integrity, oversight agencies have the following tasks.

Provide independent oversight of the electoral process

This must be done through:

• ongoing, non-partisan monitoring of the electoral administration to check that objectives are met, resources are protected, laws and regulations are followed, and mechanisms are in place to safeguard the process and its assets;
• regular, independent and objective auditing of the electoral administration and financial operations—plus specific audits and investigations conducted as needed to deal with complaints or concerns identified during routine monitoring; and
• independent assessment of the performance of the electoral administration in order to obtain information needed for improving public accountability and facilitating decision making and corrective action.

Audit compliance with legislation and regulations

Oversight agencies review electoral and administrative policy to check compliance with legal requirements. They also check whether the administration complies with performance requirements and submits financial reports as stipulated by law. These measures promote accountability on the part of the electoral administration.

In Canada, for example, the objective of the oversight officer, the Commissioner of Canada Elections, is “to assist in maintaining the confidence of the public in the fairness of the electoral process by seeking compliance with the Act and the resolution of contraventions through remedial rather than punitive measures, where appropriate, and by enforcing the Act through injunctions or the authorization of prosecutions when that is in the public interest.” [1]

Detect and prevent problems, including corruption, abuse of power and discriminatory practices

Oversight agencies promote the effective and economic use of administrative assets and systems; they seek to detect and prevent waste, fraud and abuse. They may review legislation and regulations, and make recommendations regarding the impact of these on economy and effectiveness in the electoral administration and operations. They may recommend policies to promote economy, or to detect and prevent fraud and abuse.

Depending on the agency’s mandate, oversight may deal with such issues as misconduct by election officers, vote buying, election fraud, obstruction of justice and other breaches of public trust related to elections.

Promote transparency and credibility of the election process

Public access to oversight reports makes the election process more transparent, and builds the credibility and legitimacy of the results. The public must be able to check whether the decisions made by the electoral management body comply with procedures and legislation, and whether they discourage discrimination, fraud and abuse.

Oversight reporting highlights problems stemming from programs and operations, and brings them to the attention of the electoral management body and principal electoral administrators, as well as all others with a need to know (such as Parliamentary oversight committees and parliamentarians).

In countries in transition, confidence in the process can be bolstered and voter turnout can be increased with the help of oversight by a neutral and professional mechanism that has gained the trust of political parties and electoral administrators through its objective work.

Ensure compliance with the legal framework

Oversight agencies may play the same role as enforcement agencies if they have the power to determine accountability for actions, as well as punitive powers. The actual enforcement power of an oversight agency depends on its mandate but may include imposing sanctions, such as fines or suspensions, on violators. In serious cases, the oversight agency may recommend termination of employment or refer the matter to the criminal justice system for prosecution.

Monitor compliance with codes of ethics

Some electoral systems have oversight committees that monitor the conduct of electoral administrators and candidates. These committees or agencies may be citizen bodies or a government office/inspector. They monitor the enforcement of codes of ethics included in the electoral system.

The U.S. city of Seattle, for example, has created an Ethics and Elections Commission. This citizen body interprets, administers and enforces the Seattle Elections Code, Code of Ethics and other related codes. It investigates complaints received about code violations, and can settle a complaint either directly with the employee or through a public hearing. The Commission can set sanctions for any violation but it has no disciplinary powers. It can only recommend disciplinary action to the employer, which may then report back on the action taken.

NOTES

[1] Elections Canada, Investigators' Manual, 2004, p. 5.