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Electoral Management Overview of Electoral Management Guiding Principles of Electoral Management Context of Electoral Management Structuring of Electoral Management Bodies (EMBs) What is an electoral management body (EMB)? Independent Model EMBs What an Independent Model EMB Is, May Be, and Is Not Governmental Model EMBs What a Governmental Model EMB Is, May Be, and Is Not Mixed Model EMBs Examples of Formats for a Mixed Model EMB What Can Be Expected of the Different EMB Models? Factors that influence EMB behaviour Permanent and Temporary EMBs Centralised or Decentralised EMBs EMBs in Federal Countries Transitional International EMBs and National EMBs Representation of the EMB to Cabinet and the Legislature Summary: Structuring of Electoral Management Bodies The Legal Framework: The Context for the EMB’s Role and Powers International Treaties and Agreements The Constitution Electoral Laws: Acts and Ordinances Checklist for Electoral Management Legal Framework EMB Rules, Regulations and Proclamations Summary: The Legal Framework How Legal Instruments Define Electoral Processes The Powers, Functions and Responsibilities of an EMB EMB Powers and Functions Extent of Powers and Functions Responsibility for Voter Registration Responsibility for the Registration and Funding of Political Parties Election Campaign Responsibilities Voter Education Responsibilities Validation of Election Results Supervision of Political Party Candidate Selections Responsibility for Boundary Delimitation Electoral Observation Responsibilities International Activities Community Responsibilities of EMBs Avoidance of Conflicts of Interest Gender Balance Responsibilities Account of Ethnicity Issues Equality and Equity Broadly-based Access Direct Democracy Instruments Functional Divisions between Electoral Institutions Summary:The Powers, Functions and Responsibilities of an EMB EMB Composition and Roles EMB Membership Status of EMB Members The EMB Chair: A Special Role? EMB Members: Respected Experts or Watchdogs on Each Other? EMB Members: Respected Experts or Watchdogs on Each Other? Multiparty-based EMBs Expert-based EMBs EMBs with Both Expert and Multiparty Membership Advantages and Disadvantages of Multiparty, Expert, and Combined EMBs Full-time or Part-time EMB Members? How Many EMB Members? Term of Office of Members of Permanent EMBs Recruitment and Appointment of EMB Members Recruitment through Open Advertisement Nomination of Candidates for EMB Membership by the Head of State and Confirmation by or in Consultation with the Legislature Unilateral Appointments of EMB Members by One Branch of Government Involvement of Other Actors in EMB Appointment Qualifications for Appointment Conditions of Service and Security of Tenure for EMB Members Oath/pledge-taking or Affirmation EMB Decision-Making Processes Meetings of EMB Members Meetings of EMB Members Closed or Open EMB Meetings EMB Member Committees EMB Members Relationships With The EMB Secretariat Internal Regulations Summary: EMB Composition and Roles Planning and Implementing EMB Activities The EMB Secretariat The EMB Secretariat and the Public Service The EMB Secretariat and the Public Service Possible Advantages and Disadvantages of Using Public Servants as EMB Secretariat Staff Structuring the Secretariat Developing an EMB organisational structure Alternative Functional Divisions Organisational Structure Charts The Election Calendar – A Planning Assistant EMB Internal Rule Making Codes of Conduct for EMB Members and Staff Strategic Planning Operational Planning Operational Concept EMB Budget Staffing of EMBs Procurement by the Election Management Body (EMB) Communications and Public Relations The Media Records Management Report Writing Summary: Planning and Implementing EMB Activities EMB Staffing and Development of Professional Electoral Management Staffing of EMBs Use of Public Service Staff for EMB Secretariats Permanent and Temporary Staff Conditions of Employment: EMB-Specific or Public Service Staff Staff Pensions Procedures for Recruitment of EMB Staff Appointment of EMB Secretariat Staff Procedures for the Appointment for EMB Secretariat Staff Staff Appointment Formalities What Is a Professional Electoral Administrator? Staff Training and Development EMB Organisational and Staff Development for Permanent Staff Identifying Training Requirements Internal Training of EMB Staff Written Materials Practical Exercises Oral/visual Training External Training of EMB Staff Information Exchange Training Courses and Events Education and Development Courses for EMB Staff External Election Advisers, Consultants and Trainers Using International Experience Mentoring Secondment of Staff Handbooks and Specialist Publications Factors Which May Inhibit EMB Professionalism Summary: EMB Staffing and Development of Professional Electoral Management Financial Management of EMBs Common EMB Financing Issues What Electoral Costs Need to be Financed? Attributes and Examples of Electoral Core, Diffuse and Integrity Costs Who Finances EMBs and How? Method of Disbursing State Funding Approval of EMB Budget Proposals Integrated or Distributed Electoral Budgets Donor Funding Donor Funding Some Key Advantages and Disadvantages of International Donor Funding for Electoral Processes Other Sources of EMB Funding Budget Formulation Methods for EMBs The Process for Budget Formulation and Approval Availability of Budget Funds Control of EMB Funding EMB Financial Control Measures Asset Management Principles for EMB Financial Management Audit and Evaluation Summary: Financial Management of EMBs EMB Stakeholder Relationships Who are the Stakeholders and What Is Their Role In the Electoral Process? Political Parties and Candidates as EMB Stakeholders The EMB’s Staff Executive Branch of Government The Legislature – An EMB Stakeholder Electoral Dispute Resolution Bodies The Judicial System Election Monitors and Observers The Media – An EMB Stakeholder The Electorate As an EMB Stakeholder Civil Society Organisations as EMB Stakeholders Donor Community – A Key Stakeholder Secondary EMB Stakeholders Managing Relationships With Stakeholders Principles of Stakeholder Management How To Deal With Difficult Stakeholders Summary: EMB Stakeholder Relationships Assessing EMB Performance Principles and Best Practices for EMB Accountability Stakeholder Accountability Performance and Financial Accountability Internal Performance Accountability External Performance Accountability Internal Financial Accountability External Financial Accountability Auditing EMBs Performance Audits Performance Audits Methodology and Scope of a Performance Audit Election Performance Audits: Potential Criteria and Specific Issues Performance Audit Outputs Financial Audits Internal Quality Controls Programme Evaluation by EMBs Post-election Reviews EMB’s Post-Election Review Cycle Checklist: Responsibility and Action Peer Reviews External Oversight Issues Accountability for the Use of Technology-based Systems Summary: Assessing EMB Performance The Sustainability of EMBs What is sustainability? Why is EMB sustainability important? Needs assessment Electoral sustainability and donor support Practices favouring sustainability Staffing for Sustainability Electoral Materials Structural and Technological Implications of Sustainability Automated Voting and Counting Processes Summary: The Sustainability of EMBs Cooperation through EMB Networks What Are Electoral Networks and Why Do they Matter? National Electoral Networks Regional EMB Networks Global Electoral Networks Electoral Support Networks Summary: Cooperation through EMB Networks Reforming Electoral Processes What Is Electoral Reform? Failing EMBs The EMB’s Role in Electoral Reforms The Scope of Electoral Reform Managing Electoral Change Summary: Reforming Electoral Processes Electoral Management Case Studies Afghanistan: An Electoral Management Body Evolves Bosnia and Herzegovina: A Success Story for the Independent Model Cambodia: Tensions Around the National Election Committee Canada: Stability, Independence and Public Trust Costa Rica: A Powerful Constitutional Body Fiji: A New System Under Pressure Republic of Georgia: A Commission in Tranistion India: The Embodiment of EMB Independence Iraq: International Institution Design Japan: Mixed Model Electoral Management for a Mixed Parallel Electoral System Kenya: Compromised Independence of the EMB Lesotho: Building a Reputation Mozambique: A Need for Depoliticization Nigeria: A Need for Modernization Senegal: Independence Strengthened in a Mixed Model of Electoral Management Spain: Mixed Model Electoral Management Becomes Well Established Sweden: Governmental in Form, Independent in Practice: A Decentralized Election Management System The United Kingdom: Electoral Modernization The United States: Decentralized to the Point of Being Dysfunctional Uruguay: The Electoral Court - A Fourth Branch of Government? Yemen: An Emerging Independent EMB Vanuatu: Limitations to the Independence of the EMB Zimbabwe: A New Era in Election Management Contributors to Electoral Management

Assessing EMB Performance

Like all public and corporate bodies whose policies and practices affect the public, the EMB is required to periodically account to its various stakeholders on its performance, including the way it uses public funds. Accountability means that the EMB is responsible for its activities, and must periodically provide evidence to its stakeholders and the public that its activities are effective and meet its prescribed legal, ethical, service, and financial standards. The principle of accountability requires that the EMB provide comprehensive public information on its policies, their intended outcomes, its performance, and the resources it has used and intends to use, including public and other funds.

EMBs are accountable for the development of policy decisions to give effect to their mandate, and for how they implement those decisions. They are accountable for electoral administration and how that administration functions, and they are accountable for their compliance with all relevant laws and regulations. Most importantly, they are accountable for delivering good-quality electoral services to voters and other stakeholders.

Accountability has a number of positive effects on the structure and operations of the EMB. It aids the transparency of the EMB in its performance, funding, and expenditures. Sometimes the lack of proper accountability mechanisms leads to accusation of poor operational transparency. Accountability positively influences the general public perception about the EMB’s independence, good governance, and non-partisanship and assists the EMB to gain the confidence of the public and important stakeholders, particularly political parties and government ministries.

To meet internal and external accountability requirements, an EMB needs mechanisms that can assess its activities, and assure itself and its stakeholders of the quality, effectiveness and probity of its operational and financial management. These mechanisms include:

audits;
internal quality controls;
evaluations;
post-election reviews;
peer reviews; and
external oversight.

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