Managing Technology

Increasingly, technology is among an organisation’s most important resources. As such, it needs to be properly managed in order to meet the organisation’s objectives in an efficient way.

Electoral management bodies (EMBs) can follow these steps to benefit from the use of technology:

• conduct detailed needs assessment studies to identify the required environment, regulations, procedures, and tasks
• prepare a business plan with a cost estimate and a benefits/risk analysis
• secure the financing necessary to acquire and maintain the chosen technology
• obtain adequate staff with technical expertise
• secure transportation, warehousing and distribution of equipment, if applicable
• ensure adequate testing procedures before any technology is adopted
• implement proper security procedures
• create a training plan for staff and user training
• establish proper maintenance and backup procedures are in place
• give users access to a help desk
• provide a sufficient supply of peripherals and consumables materials, if applicable
• prepare adequate replacement plans and procedures for equipment that can become obsolet

The importance of managing even common technology is sometimes lost in the rush to adopt new technology and yet this could be essential to a successful implementation process.

There may be additional complications when managing technology for electoral administration. The level of external scrutiny of specific technologies may be high and approval by the legislature as well as other stakeholders in the electoral process may be needed.

The electoral environment is also relatively unusual in that technology might be obtained for a specific electoral event. In that case, the technology may have to perform once only on a specified day, when any system failure would spell disaster. Testing, verification and backup plans have to be thorough and reliable to make sure that the electoral event takes place without a hitch.

The importance of elections and the need for accuracy, security and transparency, management of technology dictates high standards.

The following topics cover the main issues related to managing technology in the electoral environment. Checklists can be developed to identify the main concerns of technology management that enable a successful electoral event.

• Planning and Development Strategies
• Quality Assurance
• Management Structure
• Computer Systems Administration
• Staffing, Training and Support
• Managing Obsolescence
• Evaluation and Audit

Choosing and Acquiring Technology

Choosing and acquiring technology can be a major undertaking for an election management body (EMB). Before committing to a large technology purchase, an EMB may find it most effective to adopt a structured approach to selecting and purchasing technology.

Steps include:

• establishing whether there is a need for technology
• selecting cost-effective technological solutions
• evaluating local infrastructure and any limitations it might impose
• considering sustainability issues
• acquiring the chosen technology
• following correct purchasing processes

Generally, the first part of a project’s development is to establish the need for a new technology.

Technology has many benefits and many applications, and most EMBs make use of technology for various purposes to good effect. However, it is possible that personal interests and outside influence may prevail over the real need for a technology.

Once an EMB has decided to acquire new technology, the next step is to select the most cost-effective technological solutions available. Before making a commitment to its implementation, it is important to fully calculate all the likely costs and savings to determine whether the new technology is viable. 

The readiness of the EMB and its clients to assimilate technology will also need to be determined.

Sustainability is another key consideration. Excluding special circumstances, a technology adopted for an upcoming election is supposed to continue to be useful in future elections.

Considerations on Technology Solutions

Need for a technology based solution

Infrastructure Considerations

Readiness to Assimilate Technology

Need for a technology based solution

Technology is not necessarily the solution to every electoral administration problem. While technology often enables administrative, financial and electoral processes to run faster, more efficiently and more effectively, it can also be costly and fail to live up to expectations.

Manual, non-technological processes may still have a place in electoral administration. Depending on the environment and available infrastructures, manual processes may be cheaper, more transparent and less likely to fail than technological ones. Particularly, where access to technology is not widely available or is unreliable it can create an unequal situation among users (particularly voters). In other cases a technological solution might not be sustainable in the long term, or legislative barriers may prevent the adoption of technology.

Electoral management bodies (EMBs) may want to assess the suitability of a proposed technology before it is adopted. This includes analysing the costs and benefits, determining the availability of skills to implement and run the technology and ascertaining the likelihood that potential users will accept the new technology.

It is essential for EMBs to consider the physical infrastructure and socio-political environment of a country before choosing a new technology, since these factors may limit the appropriateness of some technologies. A country with an intermittent power supply, for example, may not be the best location to implement a wide area computer network that requires a reliable power source. High humidity or high levels of dust or sand may also restrict the choice of technology. Furthermore, an electoral process may be disrupted if there is a deep distrust of technology by election stakeholders.

Infrastructure Considerations

Some of the infrastructures to take into consideration to ensure that the chosen technological solution performs adequately under local conditions include:

Telecommunications

Several types of telecommunications infrastructure may be relevant to the technology under consideration:

• telegraphy and telephony using fixed lines or broadcast signals to transmit voice, faxes, images and data

• radio systems, including public broadcast radio and person-to-person radio communication

• computer networks, including local area networks (LANs), wide area networks (WANs), intranets and extranets that connect various groups of computers together to share data and communicate

• the Internet—the electronic communications network that connects computer networks and organisational computer facilities around the world—that enables the sharing of information, access to e-mail and  the transmission of messages, images and data

• television systems

• satellite systems

Physical environment

Computers and other technology are sensitive to the physical environment, such as temperature and humidity levels.

Power generation

Technology that is powered by electricity (this includes most electoral technology) requires a reliable power infrastructure. Even in developed countries with well established power grids, power can be cut-off without warning. In less developed countries the power supply can be erratic, intermittent or non-existent. In places where a continuous power supply is essential, backup power supplies should be an integral part of the technology system.

Maintenance facilities

The availability of maintenance facilities to service a chosen technology is another essential piece of infrastructure to consider.

If a chosen technology breaks down and maintenance services are nonexistent or poor, the technology is likely to be of no use. Maintenance facilities may need to be imported to support the technology. If this is the case, the cost-effectiveness of this option needs to be scrutinised.

Technical skills

The availability of technically skilled personnel to operate and manage a new technology is also an important factor.

If the local work force is inexperienced and insufficiently trained to support a chosen technology, EMBs   may have to import personnel with the appropriated skills or train their personnel. Even if skilled workers are available locally, it may still be necessary to rely on external service providers.

Training staff in-house may be costly, time consuming and difficult to achieve in the short-term, but more sustainable in the long-term. Once the staff acquires the necessary skills, the ongoing cost of maintaining technology in-house may be lower than relying on external providers.

An EMB might need to ensure that it has the ability to maintain in-house expertise and that staff turnover does not deplete its needed skills base.

Importing skilled labour may ensure success in the short term, but may be less cost-effective and less sustainable in the long-term. An EMB will need to include these costs in the budget provisions. External providers who are only needed intermittently may be less expensive and more reliable than in-house staff and more likely to be experts in their field than in-house staff. However, external providers who are needed regularly or on a full-time basis may cost significantly more than in-house staff who perform the same functions.

If external providers are working in a competitive market, an EMB may be able to reduce costs by regularly reviewing its contracts and suppliers. On the other hand, if providers have a monopoly over their product or if an EMB is locked into an open-ended contract, costs may higher than otherwise necessary.

Readiness to Assimilate Technology

EMBs adopting a new elections technology must be sensitive to the readiness of the stakeholders to assimilate the technology. In some circumstances, people will expect more from a technology than it can realistically deliver. In other cases, people may be distrustful or suspicious of a technology, or they may be poorly equipped to adopt it.

Unrealistic expectations of a technology can result in new technology that is not capable of fulfilling its intended functions. This can happen if the technology chosen is not appropriate for its intended tasks, or if it cannot be maintained after installation due to inadequate support mechanisms.

A distrust or suspicion of technology can lead to delays in implementation or can halt a project altogether. When stakeholders are poorly equipped to adopt new technology, due, for example, to the absence of trained staff or reliable infrastructure, technology can easily fail to fulfil its promise.

To maximize the chances of success, there are strategies to reduce unrealistic expectations, suspicion and distrust.

Overcoming resistance to change

Bureaucratic opposition to innovation or change may occur when there are vested interests in retaining the current system. A common fear is that the adoption of technology will lead to job loss. This may happen and should be addressed by the EMB in negotiations with staff who may be affected.

Adopting technology often changes the nature of a workplace without necessarily reducing the workforce. The number of staff employed with manual tasks may decrease, while the number of staff needed to manage the technology may increase. In some cases, these staff members will be the same people, and no jobs will be lost. In other cases, new staff with different skills may need to be employed.

When the adoption of technology is expected to lead to significant changes in work practices, it is advisable for EMBs to modify their management strategy. The most important aspect of this is to regularly consult with all affected stakeholders, starting early in the process. Stakeholders who are fully informed about the reasons for change and the expected benefits are more likely to be supportive, particularly if they are given the opportunity to make meaningful contributions at the planning and implementation stages.

There may also be political opposition to innovation or change. Elections by their nature are politically sensitive, and it is possible that a new technology will be perceived as having a political impact and affecting voting patterns. It is important to consult with stakeholders at an early stage and to secure their agreement to change, if possible. Since major changes—such as the introduction of electronic voting—usually require legislative action, securing political support is essential.

The reluctance to adopt technology may also stem from a distrust of the new technology. This may be due to a misunderstanding or lack of knowledge about the technology. Again, the best solution is to consult with stakeholders and explain the rationale behind the technology. In cases where new technology will have significant implications for the electoral process, such as an electronic voting system , trust will often need to be earned by conducting thorough, transparent evaluations of the proposed system that are, ideally, independently verified.

When the considered technology affects the public, it is important to include them as stakeholders and to gain their trust in the new system. This may entail a large-scale communications campaign to inform the voting population of the proposed changes. Before launching such a campaign it may be useful to test proposals with focus groups or survey samples of the population.

Major changes, like the introduction of new voting methods and equipment, may be subject to public inquiries, such as a commission of inquiry or a parliamentary committee inquiry. Public inquiries are a good opportunity to gauge public reaction through public submissions and the media interest generated by the conduct of the inquiries. Effective cooperation by EMBs with public inquiries also promotes trust and understanding of proposed technologies.

The maturity of the political environment will also have an impact on the acceptance of new technology. A society in a transitional phase may have very high expectations, or conversely, an elevated distrust. It is good to be aware of these possibilities and to be prepared to work with them.

In more mature political environments with greater political stability, there may be a resistance to innovation on the basis that the current system works well. In this case, change has to be persuasively presented, and stakeholders have to be convinced that tangible benefits can be expected from adoption of new technology.

Managing high expectations

While some people may be distrustful or suspicious of technology, others may expect too much. This may be particularly true for people who have not had much exposure to technology and have an unrealistic expectation that technology will solve a specific problem. This can lead to a lack of trust in the overall electoral process.

EMB officials can lower unrealistic expectations by being transparent and effectively consulting with and informing stakeholders about the opportunities and risks of adopting new technology solutions.

Overcoming structural problems

Usually, new technology is most successful when there are sufficient human and physical resources to properly manage the technology. Staff or contractors who can correctly implement and operate the technology need to be available. If this is not possible, an adequate workforce will need to be trained.

If external contractors are expected to be used, their cost needs to be taken into account when adopting new technology. In this case, contractors may be needed not only to set up the technology, but also to operate, maintain and upgrade it.

Scanning local security environment

The security environment may also have an impact on the success of a new technology, particularly in countries that are in transition to democracy. If there is a risk that the election process may be disrupted by civil unrest or sabotage, a robust and flexible technology will need to be chosen that can function if part of the system becomes inoperable. This may involve developing strategies such as maintaining multiple backups of data at several different sites, or ensuring that networks operate even if one or more links are down. A manual back up system may work best to safeguard the system in the event of an unrecoverable system failure.

Peacekeeping missions can be difficult and complicated environments to implement a new technology due to the lack of infrastructure, and the need to accomplish a large logistic exercise in a short time. Many of the strategies described above may be necessary to achieve a satisfactory result.

Costs and Benefits of Technology

Introducing a new technology for electoral administration and voting operation purposes can increase or decrease costs. This will depend on the expenses needed to acquire and maintain the new technology compared to the expenses needed to maintain the old system.

However, there are other factors besides cost to consider. A new technology may bring benefits such as improvements in service delivery or transparency that are worth extra expenses. Ann assessment of the cost-effectiveness and potential benefits should be made before committing to a new technology.

Technology may appear to be expensive at the implementation stage, but may save money in the long-term, particularly where a low-cost technological solution can be found to replace a high-cost, low-tech application. Election management bodies (EMBs) need to weigh the costs and savings associated with introducing technology. These include the initial costs of purchasing hardware and software, the hiring of consultants to set up the new system and ongoing maintenance and management costs.

The expected life-span of the technology should be determined. A technology that can be re-used for more than one purpose or for more than one election will be more cost-effective than one that can only be used only once before it needs to be replaced.

Many technological solutions may cost significantly more than the equivalent manual processes that they replace. An EMB does not have to implement a high-cost, high-tech solution if a low-cost, low-tech alternative is acceptable.

Before purchasing a technology, an EMB needs to ensure that it has the funds to cover the initial implementation stage and the ongoing maintenance costs. This will generally involve obtaining commitments through the relevant government budgetary processes. A cost-benefit analysis will be required in most cases when seeking funds from the government.

A cost-benefit analysis of new technology could take the following form: 

• state the purpose of the technology acquisition  
• state why its acquisition is desirable  
• describe the process that the new technology would replace  
• state the possible problems or risks involved with continued use of the current process 
• describe how the new technology would work 
• state the benefits of the new technology  
• state the possible problems or risks involved in adopting the new technology  
• analyse whether the new technology will increase or decrease the transparency of the electoral process  
• estimate all of the costs involved in introducing the new technology—including the relevant hardware, software  and infrastructure necessary for communications, transport, staff, external contractors, ongoing maintenance and future upgrades 
• estimate the costs that involved if the technology fails
• explain the costs associated with the current processes  
• identify any costs that would be offset by adopting the new technology  
• detail a timeline for implementing the new technology 
• discuss the sustainability of the new technology, and indicate its expected life-span
• identify any external events necessary for the project to proceed, such as approval by stakeholders or enactment of legislative change

Planning and Development Strategies

The first step towards implementing a new technology is to prepare a plan that sets out goals and ways to achieve them.

The planning process begins with a needs assessment (also described as an “environmental scan”) that answers the following questions: What are you currently doing? What do you want to improve? What do your stakeholders expect of you? How do your managers and your staff feel about implementing new technology? Can new technology meet your identified needs and expectations? At the end of this assessment process you might (or you might not) conclude that new technology is what you need.

Once the decision is taken to introduce new technology or update existing technology, a detailed plan for securing stakeholder agreement, obtaining funds and implementing the chosen technology will be needed

After new technology has been purchased and installed, it will have to be developed and maintained. A development strategy is needed to ensure the effective deployment of the technology.

Source: "Management of Advanced Technology in Elections", Harry Neufeld, Management Consultant, Canada (British Columbia's Chief Electoral Officer since 7 November 2002)

Information Technology Strategy

Ideally, the implementation of a particular item of technology should be part of an overall information technology strategy.  Sometimes referred to as a strategic information systems plan, such a plan is generally a publicly documented vision of how information technology will be strategically managed in an organisation. 

Some jurisdictions now require all government agencies to prepare and publish a strategic information systems plan. 

An overall information technology strategy will encompass all aspects of an election management body's (EMB's) information technology needs. Mapping out these needs in general terms will serve to identify opportunities for obtaining new or upgraded technology, and will also indicate where economies can be achieved by pooling resources and using various items of technology for multiple uses.

Areas that could be covered in an overall information technology strategy include:

Management structure

• computer systems administration
• hardware acquisition
• hardware maintenance
• software acquisition
• software maintenance
• manual contingency systems
• general office automation systems (such as word processing, desktop publishing, spreadsheet and presentation software)
• specialised task-specific systems (of which there may be many, such as election specific systems like voter registration, polling place management, electronic voting and vote counting systems, as well as more generic finance and personnel systems)

Data management

• systems integration and compatibility
• system verification and testing
• server management
• stand alone systems
• quality assurance
• ensuring reliability of data
• data archiving, backup and version control
• systems maintenance

Communications management

• network administration
• cabling
• Internet

Staffing

• selection and recruitment
• training and development

User management

• user support
• help desk services

Computer supplies and consumables

Managing obsolescence

• evaluation procedures

Security

• encryption
• virus protection
• physical environment concerns
• insurance

Public assurance measures

• privacy standards
• public information policy

Communication systems

Email

Audio visual applications

Strategies for special needs groups (for example, people who need language services, hearing assistance or visual assistance)

Financial Management

• estimates and budgets
• expenditure control
• financial reporting
• audit procedures
• supply and inventory management
• procurement policies
• contract management

Warehousing and distribution control

Voter identification systems

Boundary delimitation systems

Geographic information systems

Publications

Public inquiry systems

Scanning systems

Mailing systems

Forms design

Research

Source:
"Management of Advanced Technology in Elections", Harry Neufeld, Management Consultant, Canada. Reviewed by Pedro Guarda.

Implementation Methodologies

After an election management body (EMB) has identified a need for a new or upgraded technology, the next step is to prepare a project development and implementation strategy.

Project development and implementation timeline

A project development and implementation strategy can be mapped out using a project timeline.

The project timeline ideally extends past the expected life of the technology. This enables all of the expected tasks and costs to be identified and also indicates what tasks and costs can be expected when the technology is due to be replaced or upgraded.

Here is a sample project timeline for a technology to be used at a specific electoral event:

• identify the need for new technology

• determine that the proposed technology is affordable

• establish that the proposed technology is achievable and appropriate to local needs

• prepare a business case, including an analysis of costs and benefits and examination of alternative options

• create a detailed budget

• gain approval by all relevant internal and external stakeholders

• obtain the necessary funding for the life of the project

• secure an amendment of relevant legislation, if any

• produce a detailed project management plan

• prepare detailed specifications of the desired technology

• publish a call for tenders

• evaluate tenders and select chosen tender

• *negotiate and sign a final contract

• take delivery of the prototype system

• test and evaluate the prototype system

• seek approval of the prototype by stakeholders

• receive the production version of the system

• *install and test the production version of the system

• have independent auditors verify the integrity of source codes and escrow source codes, as appropriate

• train users in the operation of the new system

• conduct a public education campaign, if appropriate

• deploy the system in the operating environment

• ensure that the back-up systems are in place, if necessary

• operate the system at the electoral event

• make certain that technical and maintenance crews are available during operation to ensure successful conduct of the event

• back up data as appropriate

• conclude electoral event

• debrief system users and evaluate the operation of system

• prepare a proposal to enhance the system, if needed for the next electoral event (and repeat any of the above steps necessary to seek approval and funding for such enhancements)

• maintain the system as appropriate

• implement any approved enhancements

• repeat the above steps for operation and evaluation of the system at the next electoral event

The main milestones in project development and implementation of new technology are:

• needs assessment

• specifications and development process

• testing process and implementation process

Needs Assessments, Business Cases, and Specifications

The first stage in a project development and implementation strategy is a needs assessment (also described as an 'environmental scan'). A needs assessment often starts with an analysis of the existing process to identify any shortcomings and areas that could be improved. What are you currently doing? What do you want to improve? What do your stakeholders expect of you? How do your management and your staff feel about implementing new technology? Can new technology meet your identified needs and expectations?

This is followed by an appraisal of the available technology and, if possible, an evaluation of similar solutions implemented by other (election management bodies) EMBs and organisations elsewhere.

At this stage, it is possible to follow several different strands of inquiry simultaneously:

• Technical advisors can determine whether a proposed technological solution is suitable for the intended purpose.

• Financial advisors can estimate the cost of the proposed technological solution and determine whether it is affordable.

• Project managers can determine whether there is support within the EMB for introducing the proposed technology.

• Senior management can consult with external stakeholders on the proposed changes, if appropriate.

• Alternative solutions can be explored to determine whether there are any better or less expensive options available which may not include technological ones.

• At the end of the needs assessment stage the EMB is expected to have a sound understanding of the need for change and a firm indication of a preferred option to meet that need. This information can be used to prepare a business case, which is the next stage in the project development and implementation strategy.

Business cases

A business case is used to persuade both internal managers and external stakeholders of the usefulness of adopting the proposed new technology. A business case needs to be logical and persuasive, showing clearly all of the costs and benefits of the proposal but it should not contain too much detail as to be counterproductive. If possible, the proposal may include an estimate of all costs through the expected lifetime of the proposed solution and not just the costs for the current financial year.

Most of the work needed to prepare a business case is supposed to be undertaken at the needs assessment stage. Business cases and needs assessments are meant to be persuasive, but they are intended for different audiences. Nevertheless, if a needs assessment succeeds in persuading the authors of the appropriateness of their proposal, it can go a long way towards providing the basis for a business case to sell the proposal to others.

A typical business case may contain the following elements:

• a clear statement of the needs

• a clear statement of the proposed option

• a clear statement of any other relevant background to the proposal

• an examination of other options, and a discussion of the reasons that make the proposed option the preferred one

• a statement of the non-monetary costs and benefits of the proposed option

• an assessment of the monetary costs and savings associated with the proposal, including a full costing of the proposal for the life of the project, plus future years

• an indication of what steps are necessary for approval of the proposal, such as approval by cabinet or passage of enabling legislation by parliament

• a statement of what stakeholder consultation has taken place and/or needs to take place, and an indication of stakeholder support or opposition expressed to date

• a project timeline

• a recommendation to proceed with the proposal

Specifications

Once a business case has been approved by the relevant authorities and funds have been secured, the next step is to select a supplier or suppliers of the necessary goods and services. Depending on the size, cost and complexity of the project, this may involve issuing a tender. Smaller projects may be progressed simply by seeking quotes from suppliers.

A key component of a request for tender or quote is the definitive set of specifications of the required technology. Specifications are generally intended for technical purposes rather than for informing non-technical managers. Consequently they tend to be technical and detailed. Good specifications will spell out clearly and without ambiguity exactly what products or services are being sought.

The content of specifications will vary widely depending on the products or services required. As a general rule of thumb, specifications may contain:

• a clear statement of the required products or services, giving all necessary detail

• a clear statement of the intended purpose of the products or services

• a clear statement of any other relevant background

• if appropriate, an indication of the expected cost of the required products or services, including a full costing of the proposal for the life of the project, including future years

• an indication of whether any steps still have to be undertaken before the project can proceed, such as approval by a government institution or passage of enabling legislation by parliament

• a project timeline

• an indication as to whether the various specified requirements are mandatory or optional

• a statement as to whether the goods or services have to conform to any recognised standards or quality controls

• a list of any testing requirements that have to be satisfied before implementation can proceed

• a description of the required levels of security applicable to the project, if any

• a description of any documentation that may be required, such as technical manuals, users manuals or contractors' reports

• an indication of whether training is required as part of the service

• an indication of how proposals submitted by suppliers will be evaluated

• a request for a quote on how variations to the specifications may affect the cost of the project (for example, if extra work is undertaken, what extra costs will be incurred?)

The above list is by no means exhaustive, and other considerations may be applicable to a particular case.

The most important information to include in any specifications is the details of the desired product or service. If possible, it is advisable to anticipate all likely variations to a project's specifications and include them in request fro proposal (RFP) from the beginning. Cost over-runs often occur when specifications are altered after the initial specifications have been prepared and the suppliers have been chosen. Careful consideration at the specification stage may save a project from running over budget, and will maximise the chance of the project's success.

Development

The development stage is the second major step towards acquiring new technology for electoral applications. It follows the needs assessment and approval process that results in choosing a supplier and it precedes the testing and implementation stages.

The complexity of the development process will depend on the complexity of the technology being implemented. If the technology is a standard off-the-shelf product, the development stage will already have largely taken place. However, many electoral applications of technology involve more than standard products. In some cases, standard products may have to be adapted or modified to perform tasks other than those for which the products were designed. In other cases, new products may have to be designed and built to meet a specific electoral need.

The development process generally involves the election management body (EMB) working with the suppliers of the products or services to ensure that the products or services are fit for their intended purposes. This may be a short process, for standard products, or a long one, where a product has to be designed and/or manufactured especially for the EMB's purposes.

Prerequisites for project development

At the start of the development process, the following steps will likely already be in place:

• The need for the new technology has been identified.

• It has been determined that the proposed technology is affordable.

• It has been established that the proposed technology is achievable and appropriate to local needs.

• A business case has been accepted by the appropriate authorities and approval has been gained from all relevant internal and external stakeholders.

• Funding has been secured for the life of the project.

• Amendment of relevant legislation has been secured, if necessary.

• A detailed project management plan has been prepared.

• Detailed specifications of the desired technology have been prepared.

• Suppliers of the desired technology have been chosen, following an appropriate selection process and contracts have been finalised.

If the project specifications have been thorough and complete, they can be used as blueprints for development and as yardsticks against which project completion can be measured. If the specifications are sketchy or incomplete, the development stage will be more difficult.

Project development methodology

The project management plan will set out the steps necessary to develop the new technology. These steps could include:

• establish a management team with overall responsibility for the project

• appoint a technical team (which could involve internal or external staff or consultants) for technical management of the project

• determine a development timetable

• agree with suppliers on a payment schedule based on the achievement of significant milestones

• set up appropriate liaison mechanisms with the suppliers, which could be a regular meeting structure

• consult with users to determine their needs and to keep them informed of developments—this could be achieved by setting up a user group

• liaise with suppliers to ensure specifications are clear and understood

• provide suppliers with more detail and/or amend specifications as necessary as development continues

• loan EMB staff to the suppliers to work closely with them on development, if appropriate

• give feedback to suppliers on prototypes, mock-ups or draft products

• arrange with suppliers for timely delivery of products or services ready for testing, ensuring sufficient time remains for testing, evaluation and implementation before the products are due to be used in production

At the end of this process, the suppliers will have provided a product ready for testing. It may be a final or close to final version of the product, or it may be a prototype, depending on the complexity and originality of the product. In either case, the EMB must test the product to ensure that it is fit for its intended purpose.

Testing

The testing process is the third major step in the technology project development. It follows the development process and precedes the implementation stage.

As with the development process, the complexity of the testing process will depend on the complexity of the technology being implemented. If the technology is a standard off-the-shelf product, it will already have undergone considerable testing. While standard products may not be perfect, most likely their limitations will be well known.

However, many electoral applications of technology involve more than standard products. In some cases, standard products may have to be adapted or modified to perform tasks other than those for which the products were designed. In other cases, new products may have to be designed and built to meet a specific electoral need. These kinds of products will require rigorous testing for the election management body (EMB) to be satisfied that they are fit for their intended purpose.

The testing process generally involves the EMB working with the suppliers of the products or services. The process can vary greatly in length, depending on how rigorous the testing.

For most items of technology, a structured, documented testing strategy should be prepared before the technology is delivered for testing. The testing strategy ought to be designed to test that the product correctly performs all of the required functions as per the specifications.

In particular, where the technology is to be used in large quantities or in high-pressure situations involving tight deadlines or large quantities of data or users, it is wise to subject the technology to load tests to ensure that the technology will stand up to the pressure of the real event. Given the high-pressure nature of elections, this aspect of technology testing is crucial to the success of the electoral process.

The testing strategy, which is part of the overall project management plan, sets out the necessary steps to test the new technology:

• allocate responsibility for testing to appropriate technical committee

• take delivery of prototype system or production version of system, as appropriate

• assemble the system in a test environment

• apply structured tests to system, noting in writing where the system does or does not meet the specifications

• establish a panel of users to test the system in a simulation environment

• include external stakeholders in the testing process, if appropriate

• request that suppliers correct any identified problems and resubmit the system for further testing

• conduct high-load tests (after initial low-load testing indicates the product is fit for purpose), simulating as close as possible the maximum load expected under real conditions

• have independent auditors verify the integrity of source codes and escrow source codes, as appropriate

• provide the technical committee and the management committee with a report on the results of the testing

• move towards implementing the system once it has passed all tests and management has agreed to proceed,

If tests up to this stage have involved only prototypes or limited quantities of the required product, the production version of the system will need to be tested again after installation, particularly where the product is networked and/or geographically dispersed.

Once the production version has been delivered and passed testing, the implementation stage can begin.

Implementation

The implementation process is the final major step in technology project development following the testing process. Despite all the work necessary to reach this point, the this stage can be the most difficult, since it incorporates the actual use of the technology in production mode.

As with the development and testing processes, the complexity of the implementation process will depend on the complexity of the technology being implemented. If the technology is a standard off-the-shelf product, it may be relatively easy to deploy and use. Users may also be familiar with the technology, if it does not depart dramatically from technology previously in use.

However, where the technology being implemented is new, untried or a significant departure from previous practice, the implementation process will have to be managed carefully.

The implementation strategy, which should set out in the overall project management plan, will provide the steps necessary to test the new technology. An implementation strategy for a new technology system to be used at an electoral event could include the following steps:

• allocate responsibility for implementation to an appropriate technical committee and an appropriate management committee

• take delivery of the production version of the system

• assemble and deploy the system as needed

• conduct final tests of all elements of the production version of the system

• customize the system, if necessary, and test and approve any changes

• prepare the system documentation, such as technical manuals, user manuals and training materials

• recruit or appoint staff to operate the system, as necessary

• train users in the operation of the new system

• demonstrate the operation of the new system for stakeholders, if appropriate

• conduct a public education campaign, if appropriate

• enter data in the system as needed (this data could be “set-up” data, such as polling place details, as well as “live” data, such as election results)

• verify data as needed (for example, keying all data twice and comparing the two versions, or requiring a second officer to check data entered by another officer, or running computerized “logic checks” on data)

• back up system programs and data as appropriate before the electoral event

• control any update processes through careful “version control”, ensuring that all relevant equipment uses the correct hardware or software version

• conduct system maintenance according to a documented maintenance schedule, as needed

• ensure that back-up systems are in place, if necessary—these could include alternative manual systems

• guarantee alternative power supplies, if necessary

• operate the system at the electoral event

• make sure that technical and maintenance crews are available during operation to assure successful conduct of the event

• back up data as appropriate during and after the electoral event

• conclude the electoral event

• debrief system users and evaluate operation of the system

• prepare a proposal to enhance or reuse the system, if needed for the next electoral event

• maintain the system as appropriate

• implement any approved enhancements

Development and Implementation Timeframes

New technology cannot be implemented quickly without running the risk of failure, in most cases. This is particularly true in the electoral field, where election-specific technology must work effectively the first time. With an election, there is usually only one chance to get it right.

The amount of time needed for the development and implementation of new technology will depend on the complexity of the technology being implemented. If the technology is a standard off-the-shelf product, it may be implemented relatively quickly.

However, many electoral applications of technology involve more than standard products. In some cases, standard products may have to be adapted or modified to perform tasks other than those for which the products were designed. In other cases, new products may have to be designed and built to meet a specific electoral need.

In these cases, the amount of time needed to complete a project development process should not be underestimated.

Checklists provide a good indication of the number and complexity of tasks that must be completed before electoral technology can be implemented.

The tasks required to implement a complex technological project such as a computerised voter register or an electronic voting system may take months or even a year or more to implement. In many cases, the more time available, the more likely that the project will be a success.

It is not practical to predict the average time needed to implement an electoral technology project, since this will vary with the complexity of the project and the available resources. However, some examples of real-life electoral technology projects can provide guidance.

The implementation of a particular type of electoral technology is supposed to be part of an election management body's (EMB's) overall information technology strategy, and EMB’s need to ensure that time and resources are available for the project.

Each EMB's particular electoral cycle will impact on the time available to complete projects. For EMBs with a short election cycle (two years between major elections, for example), a choice has to be made as to whether it is possible to implement new technology within that short window of opportunity, or whether it is better to plan for the next election in the cycle.

EMBs that have longer election cycles—fouror five years between major elections—have the luxury of significantly longer windows of opportunity.

It may be a mistake, however, to allow too much time to complete an electoral technology project. The rate of change in technology in the 2000s is so rapid that some items of technology only have a one-to-three year life-span. This factor is a reason to delay the actual purchase and installation of hardware and software until the last practical moment. This does not, however, mean that planning and development stages have to wait until the last moment. A project plan can commence and the early stages of the project can be completed in anticipation of more advanced technology becoming available towards the end of the project cycle.

There are essentially fourstages to the recommended project development and implementation methodology:

• needs assessments, business cases and project  specifications

• development process

• testing process

• implementation process

Sufficient time needs to be allocated to each stage to ensure that the technology is implemented effectively.

The first stage, which includes preparation of a needs assessments, a business case and project  specifications, can take more time than expected. External stakeholders may have to be consulted during this stage and other events often have to occur, such as government approval and the passage of legislation. As a result the EMB often has little power to speed up the process.

In particular, requests for funding may have to conform to the standard governmental budget cycle, which means there may only be one opportunity in a fiscal year to seek funds. If that window is missed, an EMB may have to wait until the next year.

One way to speed up this stage of the project is to undertake several strands of the process at the same time. For example, once the need for new technology has been established and (in-principle) approval has been gained, other elements of the project such as business cases, financial approval, stakeholder consultation, specifications and legislative or regulatory changes can be pursued concurrently. However, an EMB needs to be careful not to over extend itself—a sloppy business case, for example, could lead to refusal to finance the project.

The timing of the second stage, project development, will depend on the complexity of the project. Potential suppliers should be able to provide an indication of expected timeframes for particular projects. Again, off-the-shelf products will be developed more quickly than products that have to be specially designed, programmed or manufactured.

The EMB may have to provide staff resources to assist suppliers to enable them to meet development deadlines, particularly where products are being tailored to the EMB's particular circumstances.

The third stage, the testing process, may also take longer than expected. The amount of time needed will depend on the complexity and novelty of the project. A specially tailored product will generally take weeks or months to testi. More time will be needed for further development and testing if trials indicate that the product requires amendments or changes.

It is very important to resist the temptation to cut corners at the testing stage Thorough testing identify flaws that could otherwise prove disastrous.

Liaison with other EMBs or agencies in other fields may identify similar projects to the one under consideration, which may help to determine the amount of time needed for the various stages of the project implementation.

At the implementation phase the technology is deployed and readied for use. The list of tasks to be completed at this stage is long and varied. As effective implementation is crucial to the success of the project, sufficient time should be allowed for this process.

It should be possible at the implementation phase to conduct several activities simultaneously. For example, system deployment can occur concurrently with user training, preliminary data entry can take place during backup planning, and so on. However, some activities have to transpire before others. For example, the preparation of training documentation and staff recruitment has to happen before user training can begin.

In summary, developing and implementing new technology generally takes longer than expected, and every effort should be made to devote the maximum amount of time possible to any new technology project.

Data Conversion

The adoption of a new technology for electoral purposes may result in incremental or radical changes.  In either case, there may be a need to convert data from the old system format to the new one. This conversion can consume time and resources and needs to be carefully considered when choosing and evaluating new technologies.

When switching from one office automation software to another, the issue of converting data might not be too important, because this software comes often with automatic converter programs.

However, where data is stored on out-of-date systems, particularly those no longer supported by the companies that created them, data conversion can be a serious issue. In these cases, it may be difficult if not impossible to convert the data into a format that can be read by the new software.

There are a number of strategies that can minimize the problems of data conversion:

• regularly back up data in a standard non-proprietary format, such as ASCII (American Standard Code for Information Interchange)

• consistently update software to ensure not only that it conforms to current standards but that related data can be automatically converted to the newer formats

• use standard data formats across applications

• document the data collection, storage and archive practices, so that information on the data hold by the office and its characteristics is kept.

• clearly label archived data, so that it can be identified in the future

• ensure that data is stored in a current storage medium so that they can be read at a later time. While new and more efficient data storage devices are being developed, often the old devices are no longer supported by the current technology. This is the case with many types of magnetic tapes that were once widely used to store data. As a result, several institutions can no longer access important data that was stored for future use.

• ensure that the computer operating systems are capable of sharing data with the newer operating systems, since data stored using an out-of-date operating system may be unrecoverable

• ensure the conversion of data stored in a system that is going to be replaced by a new one. This includes not only the storage medium but also the hardware and software that make it possible to manipulate the data.

• keep hardcopy records of crucial data so that if all else fails, there is a possibility to convert the data by re-keying or scanning data from hardcopy records.

Often conversion issues arise when there is a need to update systems using products from different companies. Many software products include conversion programs that convert data stored under another program into their own format, but this usually only includes the most widely used ones.

When new software is being considered, it is important to check if existing data will need to be converted into a new format and how this can be done. Even where conversion facilities exist, some functions may not be supported by the new software. As a result, some data may be lost and a great deal of work may have to be put into converting the data.

Systems Integration and Compatibility

There are a number of different technology systems that can be used for electoral purposes. Many of these systems have the capacity to share common data and common software. The power of technology can be amplified if these systems are integrated and compatible with one another.

The best way to achieve this is to include these two elements in the organisation's overall information technology strategy. This strategy can be used to ensure that compatible hardware and software is purchased throughout the organisation for the various systems in use.

Systems integration

Most electoral computer systems are dependent on data. Much of the information held by election management bodies (EMBs) is used for more than one purpose. For example, lists of electorate names are used for voter registration, ballot design, polling place management, staff assignment, candidate nominations, election results and so on.

By integrating the various systems used by EMBs, it is possible to minimise data entry and maximise data accuracy by ensuring that particular kinds of data are entered, stored and maintained in only one location. Thus a data file containing lists of electorate names can be entered and maintained by the staff responsible for redistricting and shared by all other applications that need to use that data file. The same principle can be applied to any data file in an integrated system.

There are numerous advantages to avoiding the duplication of data. It can significantly reduce staff costs by removing the effort required to enter data several times. It also reduces the risk that contradictory or out-of-date data are held by the EMB.

Another benefit of systems integration is that, for the user, the differences between the various systems may be smaller than for separate stand alone systems, and in some cases the differences might be invisible. Systems can be integrated to the point where, as far as the user is concerned, there is only one system. This can reduce training costs and increase productivity.

System integration and the sharing of data by various systems has some risks. The integration needs to be carefully planned and documented, so that changes in one system do not have unintended consequences in others.

The amount of work needed to change an integrated system tends to be greater than for stand alone systems. Integrated systems are also susceptible  to widespread failure if trouble occurs in one part of the structure—another problem that does not occur in stand alone systems. However, in many cases the advantages of integrated systems outweigh the costs.

Systems compatibility

Systems compatibility is related to the issue of integration. In order to share data between systems and for users to have access to seamless systems with common interfaces, the various systems must be compatible. In this context, compatible means sharing compatible hardware, operating systems and software.

One way to ensure compatibility is to use hardware with common operating systems and capabilities, often by purchasing all hardware from one supplier, and at the same time to use integrated software suites from the one supplier. While this approach can lock an EMB into a long-term relationship with a particular set of suppliers, thereby reducing the opportunity for achieving savings by competition, it maximises the compatibility of the various components of the systems.

Another advantage of using compatible systems throughout an EMB ( or throughout a wider set of government agencies if appropriate) is that it has the potential to significantly reduce maintenance and upgrade costs. Where systems are common, technical staff will need to be familiar with a smaller set of hardware and software than if a wider variety of systems were in use. Economies of scale can also result where the same hardware and software is purchased in bulk.

Training costs are also reduced if various systems are compatible. In particular, if all software in use is from the same supplier, common commands and processes will generally apply throughout, thus making it easier for users to be trained and become accustomed to them.

Compatible software is useful even where systems are not integrated. Use of compatible software ensures that various kinds of files such as word processing documents, spreadsheets, data files and email can be shared between staff in various locations without any concerns about data conversion or inability to read others' files.

An issue to keep in mind is compatibility between different versions of the same item of software. Software is regularly upgraded, many on average every two to three years. Between major upgrades, minor upgrades or “service packs” can be released, mainly intended to correct problems or bugs. It is important to manage this process, known as “version control”, to ensure that all users are equipped with the same version of the software. If different users have different versions, compatibility problems can arise, even within the same software.

Efficiencies can also be gained by choosing systems that are compatible with external agencies. Some governments have adopted whole-of-government technology standards that enable the benefits and economies of scale of using common systems to be realised across a range of agencies.

Quality Assurance

Technology  is often crucial to the successful conduct of the election. Therefore election management bodies (EMBs) need to ensure that the quality of the technology they use is of the highest standard.

Some steps that can be taken to ensure quality assurance include:

• prepare and follow an overall information technology strategy  
• appoint management and technical teams with responsibility for the project 
• prepare and follow a detailed project plan that is consistent with the overall information technology strategy—include expected standards and performance measures 
• prepare detailed and all-inclusive specifications for the project  
• work closely with suppliers during the project development phase to ensure that the products meet the specifications 
• conduct a thorough, documented testing process, ensuring that all aspects of the technology are tested and that it is fit for its intended purpose—this includes load tests that simulate as close as possible the real life use of the technology  
• follow a structured implementation process and ensure that all stages are carried out to the standards set out in the project plan 
• after technology is ready for use, conduct further tests to be sure that the production version meets the standards set by the test product  
• follow a regular maintenance and monitoring program as appropriate to ensure that the technology remains effective over time  
• regularly review the technology to determine whether it has become obsolete or needs upgrading or replacing 
• employ specialist technical experts and/or external auditors to provide independent advice at any of the above stages 
• consult with stakeholders at appropriate stages to ensure their needs are met

Financing Technology

Elections technology can range from being relatively inexpensive to very expensive. As a result, financing technology can become a crucial part of the implementation process.

In the long-term, the use of technology is likely to reduce costs and increase the efficiency and productivity of electoral administration. In the short term, however, acquiring and implementing technology are likely to lead to significant cost increases. In particular, costs can increase substantially when new systems or hardware have to be developed and purchased and when a new system is introduced in tandem with an old one.

Securing the funds necessary to implement new technology or upgrade existing technology is an essential component of any technology implementation plan. Secure and ongoing finance must be acquired before technology acquisition can proceed beyond the planning stage.

There are several steps involved in securing the funds necessary for acquiring technology.

Affordability

Before committing to implement a new or upgraded technology, election management bodies (EMBs) must determine its affordability.

Indicative costing quotes of the proposed technology needs to be obtained to assess whether the estimated expenditure is realistic given the particular circumstances. Where several new technologies are being considered, it may be necessary to prioritise the available options and if necessary, discard those that are not affordable given the funding restraints.

How easily a quote can be obtained depends on the complexity of the technology. If the technology is a readily available off-the-shelf product, such as standard software or computer equipment, prices are usually easily obtained from local suppliers. Comparing quotes from a number of different suppliers—if possible, at least three suppliers—is a good practice.

Obtaining quotes for specialised or customised technology can be more difficult. There are a number of different strategies that can be used in this instance. For example, it may be possible to find other EMBs or organisations that use the same or a similar kind of technology to the one being considered. These other organisations may be willing to provide the cost of the systems they use.

Another method is to approach possible vendors and ask them to provide a quote based on a draft of the specifications for the proposed system. Care needs to be taken to ensure that the proposed system is described in sufficient detail to enable a quote to be relatively accurate.

A request for proposal (RFP) is a more formalised approach to seeking quotes and is not as binding as a tender process. This process involves issuing a set of specifications similar to, but not as detailed, as tender specifications and asking for cost proposals from suppliers that meet the project specifications. RFPs not only supply quotes for budgeting purposes but may also help refine the specifications for the technology being considered.

When determining whether a proposed technology is affordable, the cost of the technology over its whole life needs to be calculated. In most cases, this will include not only the purchase or lease cost but also maintenance costs, peripherals, consumables, software development, communications, upgrade costs and disposal costs.

Budgeting

After deciding that a particular technology is affordable, the next step is to prepare a detailed budget that takes account of both the immediate and the ongoing costs associated with the chosen technology.

There are four components to a technology budget: the list of goods and services to be purchased, the cost of each item, the schedule of payments, and any expected savings related to the new technology. Except in the case of items that are only to be used on one occasion and then disposed of, most items of technology will require ongoing funding for maintenance. Funds will also need to be secured for the life of the technology.

Funds acquisition

Once a detailed budget has been prepared, the next step is to acquire funds from the appropriate government or non-government source. The success of this process depends on preparing a strong business case with clearly identified benefits and a thorough budget.

Therefore a business case needs to justify the need for new technology to the funding authorities.  If there are increased costs with the use of a new technology, the non-material benefits, such as increases in accuracy, speed and efficiency, need to be stressed. Other circumstances may be easier to justify, for example, when a less expensive technology replaces a costly manual process. However, it is important to ensure that all costs are properly factored in the budget.

It may be possible, in some situations, to use innovative funding mechanisms, such as joint ventures or leaseback arrangements provided there is no perception, justified or not, that the EMB is behaving unethically.

Once agreement has been obtained to provide funds, funding will need to be available in time for adequate development, testing and implementation of the new technology.

International funding

Depending on the circumstances, international funding may be available. This usually applies where external funding is an option, particularly where aid is being provided by other governments or by non-governmental organisations (NGOs). In these cases special issues may arise, such as foreign exchange issues, uncertainty of funding availability, or the potential for conflicts or impositions regarding, for example, the sourcing of suppliers.

Depreciation and amortization policies

When calculating budgets for the life of a project or a technology, depreciation and amortisation policies will impact on the calculations of costs and benefits, particularly in future years.

At the end of the life cycle of a technology item, the question arises as to whether it is more economical to use or dispose of obsolete equipment. As improvement in computer technology accelerates, this issue can emerge within a year or two of purchase. In cases where the technology continues to perform satisfactorily, notwithstanding that it is obsolete, it may be worth retaining. In other cases, it may be desirable to upgrade the technology and resell the old equipment while it retains some value.

The issue of when to upgrade obsolete equipment must be taken into account in a budget, since it will impact on the cost of the technology in the long-term.

Budgeting

After deciding that a particular technology is affordable, the next step for an electoral management body (EMB) is to prepare a detailed budget. The budget needs to take account of both the immediate and the ongoing costs associated with the chosen technology.

There are four components to a technology budget: the list of goods and services to be purchased, the cost of each item, the schedule of payments, and any expected savings associated with the new technology. Except in the case of items that are only to be used on one occasion and then disposed of, most items of technology will require ongoing funding for maintenance. Funds will also need to be secured for the life of the technology.

Budget items

Depending on the type and scope of the technology being considered, these items may appear in the budget:

• hardware (purchased or leased) —for example, computers, monitors, printers, scanners, photocopiers, fax machines, communications equipment, electronic voting devices, touch screens

• software (licensed, purchased or leased) —for example, office automation, database, finance, personnel, proprietary, Internet, communications

• hardware upgrades

• software upgrades

• communications - for example, network charges, satellite links, cabling, radio, telecommunications

• peripherals - for example, keyboards, modems, speakers, amplifiers, disk drives, disk writers, backup storage devices, ergonomic aids, emergency power supplies

• consumables - for example, printer ink and toner, paper, disks

• support  for example, repair technicians

• maintenance - for example, technicians

• salary - for example, payment of staff who will be partly or wholly dedicated to working with the new technology

• consultants - for example, project management consultants, technical consultants or independent auditors

• transport - for example, transport from place of purchase to place of storage and to place of use

• energy - for example, electricity to operate the technology and associated lighting and air conditioning, power generators for emergency use or for use where local power supplies are unreliable

• storage - for example, storage during and between use

• training - for example, training full time and part-time staff to use the new technology

• public information - for example, conducting a public education campaign on the use of a new electronic voting system

• documentation - for example, system specifications, technical maintenance manuals, user manuals, training manuals

• printing - for example, documents designed to be used with the technology, such as machine readable ballots or forms

• back-up systems - for example, alternative systems such as manual systems to fall back on if technology fails, as well as systems for backing up and storing data in the event of system failure

• disposal costs - for example, costs associated with disposing of or selling obsolete technology

• depreciation and amortisation estimates - for example computer equipment expected to last three years has a cost that can be written off in a three years period which is equivalent to a depreciation of environ 33% par an.

Estimating costs

Once all the possible items of expenditure have been identified, costs, estimated for the expected life of the equipment or project, need to be assigned to each item.

Project timeline

In most cases, not all new technology costs need to be paid up front. After the initial purchase and set-up costs, usually there are ongoing maintenance and development costs over the life of the project. The long-term budget can be calculated following a timeline with project milestones payment schedules.

Where the project involves a testing and/or evaluation stage, it is desirable to make progressive payments dependent on achieving the set milestones. If there is a provision to halt a project in the event that the system fails to pass testing, the payment schedule has to be structured so as to minimise the cost to the election management body.

Final payment to suppliers is supposed to be delayed until after the successful completion of the project. This ensures that suppliers commit to the completion of the project. Penalty clauses can also be inserted in the delivery contract, to be invoked if crucial milestones are not met.

The project timeline is expected to extend up to and ideally past the expected life of the technology. This enables all of the possible costs to be identified and also to recognize future costs involved in replacing or upgrading the technology.

This timeline can be used to identify points in the project schedule where it would be appropriate to make payments for system implementation and maintenance.

Possible savings

As good practice, the budget for a new technology identifies any offset savings that can be achieved in the course of the project. For example, costs may be offset by the savings achieved by discontinuing a manual process that is being replaced with a technological solution. In some cases, the cost of the new system may be less than the old system, leading to a net saving. This is the easiest kind of new system to get funding for.

It is probable that, in the short-term, a new system incurs greater costs than the old system. This is particularly true when the old and new systems are run in parallel before converting fully to the new system. In addition, there are often significant onetime set-up costs for a new system. It is particularly important to calculate the estimated cost of the project over its whole life, as well as the projected savings, when it is more likely that net savings may be achieved in the long-term.

Funds Acquisition

Once a detailed budget has been prepared, the next step is to acquire funds from the appropriate government or non-government source. The success of this process depends on preparing a strong business case and a thorough budget, which are more likely to persuade the funding entities to provide the necessary cash.

The business case needs to clearly set out the costs and benefits of introducing the technology. When there are increased costs, the non-material benefits of the new technology such as increased accuracy, ease of use and efficiency need to be stressed. In other cases, particularly where technological applications replace costly manual processes, thereby substantially reducing expected costs, care needs to be taken to factor  all costs into the budget.

It may help to justify a new proposal if the election management body (EMB) is able to identify similar applications successfully in use in other jurisdictions. Pointing to the implementation of similar systems elsewhere serves both to clarify costs and to prove the feasibility of the proposal.

It may be possible in some situations to use innovative funding mechanisms, such as joint ventures or leaseback arrangements, but these mechanisms cannot compromise an EMBs integrity either as a purchaser of goods and services or as an electoral authority.

Once there is an agreement to provide funds, it is important that funding be available to adequately develop, test and implement the new technology. A common, and often disastrous, scenario can occur when funding is provided late in the electoral cycle and there is insufficient time to do the above. The amount of time required for introducing new technology needs to be carefully estimated.

It is useful to learn how long it has taken other EMBs to implement a similar system elsewhere. In general, plenty of time needs to be available, since the implementation of new technology often takes longer than expected.

In some countries EMBs may have the opportunity to seek funding from sources outside normal government channels, such as from other governments or by non-governmental organisations (NGOs). In some cases, the acquisition of new technology may only be possible with external assistance. However, care must be taken to avoid compromising the electoral process.

The certainty and timeliness of funding for new technology is crucial. Before committing to new technology, funding for the life of the project needs to be guaranteed, otherwise there is a serious risk that the technology will not be implemented successfully. Similarly, funding has to be available early enough in the election cycle to ensure that the technology can be selected, supplied and tested before an electoral event.

If external funding cannot provide these guarantees, EMBs run a significant risk in using them If the EMB decides that the risks are worth taking, manual back-up processes will be needed to protect against a technology failure that could jeopardise the overall electoral process.

In some cases, external funding may, require that a particular supplier, product or supply source be used. These arrangements should not compromise the EMB integrity either as a purchaser of goods and services or as an electoral authority. In addition these conditions are not supposed to restrict the EMBs ability to service, maintain and upgrade any technology adopted.

If there are funding through foreign currencies,  there is a need to take in account that exchange rates fluctuate with a possible  impact on the funding value of external assistance. Sufficient funds may need to be available regardless of currency fluctuations.

Depreciation and Amortization Policies

Disposal of obsolete equipment

The issue of when to upgrade obsolete equipment has to be taken into account when budgeting, as it impacts on the likely long-term cost of the technology.

Once a decision has been taken to dispose of obsolete equipment, it may be possible to achieve some return on the investment made on that equipment by selling it. Technology that may be obsolete in one jurisdiction or industry may be still an improvement on technology in use elsewhere. While any returns to be gained are unlikely to be a significant offset on the original purchase price, there may still be value in selling obsolete equipment rather than simply destroying it or giving it away.

Governments often have agencies that specialise in disposing of obsolete equipment on a whole‑of‑government basis. Some governments distribute obsolete equipment to other jurisdictions as a form of aid. Other agencies under the same government umbrella may be happy to accept obsolete equipment. For example, schools may be interested in receiving out-of-date personal computers for student use.

If these options are not available or feasible, it may be possible to sell obsolete equipment by tender or auction, or simply by setting a reasonable market price on the equipment and advertising it for sale.

Management Structure

A crucial element of implementing new technology is the appointment of a responsible management structure for the project.

The type of management structure adopted for any particular project will depend on the size of the organisation and the complexity of the project. However, there are some general principles.

A major technology project management structure should include or report directly to the chief executive of the election management body (EMB). This is a reflection of the importance of technology in electoral administration. Technology has become so crucial to the successful conduct of elections that senior management should be heavily involved in its implementation.

An EMB's technology management structure can be established under the EMB's overall information technology strategy. This will ensure that there is a consistent approach across the EMB to managing technology and that appropriate managers are aware of the overall context in which a particular project sits.

A typical EMB technology management structure might include:

• a high‑level policy committee chaired by the chief executive (or reporting directly to the chief executive) and including appropriate senior managers, responsible for setting overall policy, receiving reports from lower‑level committees and giving approval to projects

• a medium‑level committee for each major project or set of projects, chaired by the responsible senior manager (a member of the high‑level committee) and including a mix of managers and technical officers from all areas with a stake in the project, responsible for overseeing the project, reporting to the high‑level committee, receiving reports from the lower‑level technical committee and giving approval to more detailed aspects of the project.

• a lower‑level technical committee for each project, chaired by a member of the medium‑level committee and including a mix of project and technical officers with direct involvement in the project, responsible for day‑to‑day oversight of the technical operation of the project and for reporting to the medium‑level committee

The main purposes of a technology management structure are to set the overall information technology strategy, and to approve and monitor the various stages of project development and implementation. Higher level committees concern themselves with issues of general policy and strategic direction, medium level committees ensure that projects are being conducted according to the specified project strategy, and lower‑level technical committees make sure that all the technical details are covered.

In particular, technology management committees ensure that timelines are followed and standards are met. Projects that run late, skip crucial tests or cut corners on standards are recipes for disaster in the electoral field. It is management's responsibility to set realistic timelines and standards in the first place. Management is also supposed to be responsible for contingency planning in case problems arise.

It is important that responsibilities are clearly defined, so that officers in charge are able to proceed with certainty and that all aspects of a project are covered. Areas of responsibility can be outlined in the project development and implementation plan.

Senior managers involved in technology management do not have to possess technology skills or knowledge, but these skills are a distinct advantage. As electoral operations become more and more dependent on technology, so will management policies and decisions increasingly come to involve technological issues. Managers without direct technology skills or knowledge will have to rely on technical advisors. To avoid complete dependence on others or making poorly informed decisions, managers will benefit from gaining technological skills of their own.

The number of senior managers without technical expertise is likely to decrease over time. As technology becomes more common in EMBs and other agencies, and as a wider range of staff become more dependent on technology, staff being recruited to senior management will be more likely to have a background in technology. This should serve to improve the management of technology in the future.

Computer Systems Administration

As Election Management Bodies (EMB) need to use several computer systems, they also often need dedicated administration services.  Some of the best practices recommendations for managing computers include:

• Identification of the services that need to be automated;
• Ensuring that information technology (IT) has the support of all stakeholders and users, and that they understand the role of IT in getting the work done;
• Estimation of total costs including maintenance and specific software development contracts;
• Preparation of a complete inventory of computer equipment and peripherals;
• Setting of standards for computer hardware and software;
• Preparing clear documentation on all procedures needed to be followed in a regular basis to run the computer systems and to maintain the computers and peripherals;
• Monitoring compliance with set information technology policies;
• Preparing user manuals and documentation to support the computer systems, so that a new staff that needs to use the system can get to speed in a short time;
• Planning for computer system replacements;
• Assessing staff expertise needed to develop, implement, run and maintain the computer systems;
• Organizing a programme of ongoing training to maintain staff up to date;
• Organizing training for users as needed;
• Assessing computer system's security risks, installing firewalls and antivirus software and ensuring that security software is regularly updated;
• Developing security procedures including control of access to the systems, backup procedures and disaster recovery plans.

This said, depending on the size and budget of the EMB it can be more convenient and cheaper to outsource some of these tasks to private service companies, so that the EMB can afford the service of highly specialized experts without incurring the full cost of a permanent in house expert.

Depending on the computer platform used, there are specialized software that can be used to monitor and manage an election management body's (EMB's) computer systems.  This software can perform diagnostics, analyse and report on system performance and system availability and can identify whether there are any problems that need to be addressed.  As demands on computer systems increase, monitoring of system performance becomes more important, as such monitoring may identify the need to upgrade or modify system capability to meet the greater demand.

If the EMB decides to outsource management of its computer systems, relations with vendors  need to be set in a carefully drafted contract and its implementation regularly monitored to decrease the risks involved with relying on a third party for technology services.

Other Considerations

Computer systems are complex, and the number of different tasks involved in developing and implementing them make computer systems administration an important element of managing technology.

Depending on the EMB size, it is advisable to establish an EMB's computer systems administration and an overall information technology strategy. This is needed to ensure that there is a consistent approach across the EMB and that administrators are aware of the overall context in which a particular computer system sits. 

All computer technology relies on hardware.  As a result, hardware management is a significant part of technology implementation.  Typical hardware can include:

• Personal computers (networked or stand alone;
• Network servers;
• Backup storage devices;
• Printers;
• Photocopiers;
• Computer peripherals;
• Voting machines;
• Scanners;
• Communications equipment

Ideally hardware is purchased in accordance with the organisation's overall information technology strategy.  Hardware sourced from common manufacturers or suppliers is more likely to be compatible with each other than if a range of suppliers or manufacturers are used.

Asset registers can be used to keep track of hardware.  Bar codes placed on hardware assets and read with bar code readers are a useful method of conducting checks on assets.

Covering all these items of hardware in a documented maintenance program and scheduling routine upkeep and inspection by trained technicians can be an effective means of ensuring their proper working order. 

Server management is particularly important.  As networked systems rely on the smooth operation of their servers, building reliable server systems will likely be a key priority.  Server systems generally include a range of backup methods to ensure that network down time is minimized or eliminated and that data is regularly backed up.  These methods can include using batteries of servers (or 'server farms') with data mirrored on various hard drives and computers, and alternative cabling routes from workstations to servers.

Tele Communications Management

Communications management is very important where systems are networked and/or work locations are geographically dispersed. Communications can refer to any system for distributing sound, images or data. In the electoral context it usually refers to any communication sent by cable or transmitted by radio or microwave.

Network administration is especially crucial to the smooth operation of a networked computer system, particularly where data is shared on servers. If the network fails, this can stop an organisation from functioning effectively.

Network administration is a specialised function that should be handled by trained technicians. Consult appropriate network specialists for advice on your particular needs.

Database Management

Database management is another important element of computer systems administration. Databases have many applications for electoral purposes, and the potential size and complexity of these databases require careful management to maximise their potential.

Effective databases will be carefully designed and documented. Common standards such as field names and field structures need to be established and adhered to.

Ideally, an EMB's databases will be integrated across the range of applications used by the EMB so that common data is shared across applications. This will ensure that data duplication is minimised, and data is kept as accurate as possible.

A database management structure is often an effective means to approve and coordinate database design that ensures standards are kept and data is not unnecessarily duplicated.

Help Desk

An important element in any computer systems administration is the help desk facility. The help desk has at least a twofold purpose: to resolve any problems users have with the system, and to assist them to use the system more effectively. The help desk may also be responsible for providing users with access to systems by allocating login rights and passwords.

In a small EMB, the help desk may be one officer. In a large EMB, a help desk may need many staff. In some cases there may be several help desk teams, dedicated to different functions or different regional offices. The help desk function may be staffed internally, or may be outsourced to contractors. Help desks may also be shared with other agencies, particularly where whole-of-government computer systems are in place.

Help desks are generally most effective when they are staffed by officers with the skills necessary to provide help quickly, or who are able to seek help from appropriate technical staff as needed. In some cases, help can be provided immediately. In others, calls for help may have to be logged and dealt with when appropriate staff are available.

Where calls for help have to be prioritised, having a formal structure in place will enable help desk staff to decide which calls to deal with next. This formal structure will often be most effective if it is negotiated with and agreed to by users, so that they know what sort of priority to assign to calls for help and what level of help can be expected.

It is often useful for calls for help to be logged by the help desk and records kept of types and numbers of requests, and of the time taken to provide the assistance. This will help to identify problem areas that might need fixing by training or improving hardware or procedures.

System Library and Distribution

Where software is loaded onto a number of computers in an organisation, it is very desirable that the same software version is used on each. Use of a common version ensures that various kinds of files such as word processing documents, spreadsheets, data files and email can be shared between staff in various locations without any concerns about data conversion or inability to read others' files.

The way to achieve this commonality within an organisation, particularly a large one, is to establish a system library of software and control the distribution of that software through a documented process.

This process is aimed in particular at keeping track of different versions of the same item of software. Software is regularly upgraded, on average every 2-3 years. Between major upgrades, minor upgrades or service packs can be released, mainly intended to correct problems or bugs. It is important to manage this process, known as version control, to ensure that all users are equipped with the same version of the software. If different users have different versions this can lead to compatibility problems, as even within the same item of software files created in one version may not be compatible with another.

The most effective way to manage version control is to deny users the right to upgrade software or install new software themselves. Software upgrades must then be carried out at the instructions of the systems administrators in a controlled manner according to the documented technology strategy plan.

This then raises the issue of when to update software to a new version.

User Management

Users have to be managed by their system administrators. Some of the user management issues to be considered include:

• Providing users with login identities and passwords
• Managing user access rights (ensuring users are only able to access data they are entitled to see, by for example creating different file directories with varying access rights)
• Allocating disk space to users and ensuring users do not exceed their entitlements
• Ensuring users follow standards of system requirements (such as file name and file structure) and etiquette (such as acceptable language and content)

Computer Supplies and Consumables

Expenditure on computer systems does not stop with the initial purchase of the hardware and software. Various computer supplies and consumables are needed to keep a computer system operating. These include:

• paper for printers, photocopiers and fax machines
• ink and toner for printers, photocopiers and fax machines
• lubrication oil for various machines with moving parts
• spare replacement parts for various items
• storage disks of various kinds, such as floppy disks, tapes and CDs
• cables of various kinds
• cleaning materials
• tools for maintenance purposes

Maintenance

Computer systems do not look after themselves - they have to be maintained. Computer systems maintenance can be divided into three broad categories:

• Hardware maintenance
• Systems maintenance
• Maintaining information

Hardware Maintenance

The organisation's overall information technology strategy could document a hardware maintenance schedule. Each item of hardware will likely require routine maintenance. The manufacturers or suppliers of hardware generally provide instructions on the maintenance needs of each item of hardware.

Responsibility for routine maintenance can be set out in the information technology management structure. It is preferable (and in many cases essential) that maintenance be carried out by qualified technicians. This will usually necessitate contracting external assistance.

In some cases regular maintenance can be included in the purchase or lease arrangements associated with the supply of hardware. This practice is often very desirable as it ensures that maintenance is included in the initial budget for the hardware and avoids the risk that funds may not be available for maintenance at a later date.

Maintenance may also be necessary when hardware breaks down or performs below standard. Response arrangements to such non-routine maintenance can also be included in the organisation's overall information technology strategy. Ongoing arrangements with maintenance and repair technicians will allow problems to be dealt with quickly. Prioritizing needs in advance will allow requests for maintenance to be dealt with as quickly as needed, at a pre-set price.

For example, a schedule could be drawn up showing crucial items that must be fixed within an hour of breaking down, other important but less crucial items that must be fixed within 24 hours, and less important items that must be fixed within a week. The cost of these varying levels of service will generally be higher when a faster response is required.

Systems Maintenance

Computer software systems require constant maintenance. Some of the tasks required include:

• Establishing logical file structures and ensuring users are aware of how they are to be used
• Controlling user access to systems
• Obtaining software licences and ensuring that licence conditions are not breached
• Maintaining consistency across various systems to ensure they are compatible and work is not duplicated
• Maintaining network servers and responding to problems as they arise
• Monitoring available system resources, such as disk storage space and system speeds, to ensure that disks do not become over full or that system performance is unacceptable
• Responding to requests for assistance from users
• Managing interfaces with other systems, such as internet, email and intranets
• Identifying and repairing bugs or faults in software
• Upgrading software as necessary
• Providing, monitoring and upgrading security measures such as virus protection, encryption, firewalls and hacker prevention

Maintaining Information

Computerised information, particularly data and computer programs, must also be maintained to ensure that problems do not arise and that data is available for users when they need it.

Data backup

It is generally accepted that data should be regularly backed up at least once each working day, or even more often if crucial data is being collected, such as during an electoral event. Data can be backed up on a wide variety of formats, including removable disks of various kinds, multiple hard disks, or magnetic tapes.

The organisation's overall information technology strategy could document a formal backup regime. Ideally, data backup can be automated to ensure that human error does not cause problems. However, regular checks of automated backups can also be undertaken to ensure that computer error does not also cause problems.

Live data can also be backed up as it is created, by use of mirrored hard disks, which could be located on the same server or on separate servers. Using mirrored disks, the same data is simultaneously stored on two or more disks. This means that, if one disk fails, data can be restored from the other. It is preferable to use separate servers rather than the same server for mirrored disks, as a second server can be used if the first server fails completely.

Software programs, both commercial programs and those developed in-house, can also be backed-up so they are available to reload if the production versions of the programs are lost or corrupted. Most programs come loaded on disks (although increasingly programs can be downloaded from the internet, in which case backup copies should be stored locally as there is no guarantee that the same programs will be available in future). Program disks can be stored in a data library and be managed by a responsible officer or staff unit. If needed, program disks can then be easily found and used to correct problems.

Care should be taken, when backing up program data, that software licences are not breached. Most licences include permission to keep backup copies of software.

Data security measures

Another aspect of maintaining data is keeping it secure. Computer systems can be protected by security systems to ensure that only authorised users have access to them.

Staffing, Training and Support

Technology equipment might be stand alone but it still needs people to start its functioning and to operate it. Therefore, election management bodies (EMBs) need to employ staff to look after their technology and to use the technology.

All users of electoral technology need training. This may include permanent staff, casual staff, consultants, contractors, voters, candidates, political parties or the media. The level of training required differs with the complexity of the technology as well as with the kind of user interaction.

Even after a user has been trained, there is a need for ongoing support since there may be occasions where a user requires further assistance.

Staffing

One of the technology staffing decisions facing an EMB is whether to use internal staff or external staff, such as contractors or outsourced suppliers. There are advantages and disadvantages to either course, and there might be a need to use a mix of both.

Where there is a need for full-time assistance to fulfil a technology related function, depending on locally applicable regulations, it is probably more cost-effective in the long-term to employ permanent staff. Besides the fact that external contractors tend to have a higher per-hour cost than permanent staff to compensate for lack of tenure and contract overheads, the acquired experience, institutional memory and knowledge is more easily lost.

However, where the need for technology related staff is intermittent, particularly during the implementation and training phase of technology use, it may be more cost-effective to use external contracted staff. Use of external staff for purposes with a limited life span avoids the need to find other employment for those staff when the project ends, or to pay severance.

Another advantage to using external staff, particularly for highly specialised functions, is that they are more likely to have the necessary expertise than in-house staff. This is most relevant when the technology under consideration is new to the EMB, and internal staff is unlikely to know how to deal with it. However, even with ongoing systems, external staff with an exposure to a wide range of clients and access to specialised training may be more effective than internal staff for specific work.

Conversely, an advantage of using internal staff, particularly for ongoing use of technology, is that internal staff is more likely to have a thorough understanding of the EMB's specialised systems and needs than external consultants would have. This is especially so where an EMB uses customised systems that are not in general use elsewhere.

When internal staff is used there is a risk of relying on a small number of individuals with the relevant knowledge. This can be dangerous, as all staff members move on eventually, by choice, accident or design. EMBs can take steps to ensure that the departure of key individuals do not place the operation of their technology at risk by requiring that they document their knowledge systematically so that others can operate the systems in their absence.

Another solution is to ensure that a range of staff, internal or external, are able to operate each system, so that individuals do not have a monopoly of knowledge about a system.

Since there are pros and cons to using either internal or external staff, most EMBs tend to employ a mix.

In summary, internal staff is best used on ongoing functions when there is a need to preserve institutional memory while external staff are best used for short-term tasks such as implementation and training, but they are also useful for specialised tasks requiring technical qualifications or wide experience.

An EMB might also need to employ a range of staff whose main purpose may not be to implement or operate technology, but who nevertheless may use technology every day in their occupation. Virtually all clerical and policy staff use technology on a daily basis although they are not technology specialists. In these cases, the decision to use internal or external staff depends on their main function, rather than on their technological skills. Nevertheless, as technology use becomes more prevalent, the technology skills of such staff are likely to become more relevant to their selection and ongoing employment.

Training

As mentioned above, users of technology may need to be trained.  The level of training required depends on the complexity of the technology and the degree of interaction the user has with it. Training levels can range from obtaining university degrees and extensive hands-on experience to completing intensive course work or day-long courses.

Ideally, for the general user, technology is designed to be user-friendly and to require a minimal amount of training. This is particularly important where the technology is expected to be used by large numbers of people and for a short time. For example, an electronic voting system should be simple enough for any voter to use without the need for any external training. Similarly, any technology operated by large numbers of casual polling staff should be easy to use with minimal training.

Training casual staff

The training needs of casual staff such as polling officials are very different from the needs of permanent staff. Technology training has to be tailored to the limited tasks they perform, which can mean delivering training in a short, easily-digested form and recognizing that it may not be practical or cost-effective to deliver intensive, lengthy training. In this case, it is advisable to choose technology that is simple to use and requires little supervision so that minimal training will be needed.

Often technology training for casual staff is designed as a module in their overall training. If appropriate and possible, training materials, static or interactive, could also be delivered using software from a CD or over the Internet.

Training permanent “non-technical” staff

The majority of full-time or long-term electoral officials, those who perform clerical, administrative, operational, and supervisory and policy work often use technology such as word processors, spreadsheets and other office automation software tools in their daily work. In this case, technology is a tool to complete a task and some sort of formal training can help significantly to improve productivity and to extend the range of tasks that can be undertaken by “non-technical” staff.

In many countries, training companies provide training in most popular software applications. This is generally conducted in computer labs where trainees are each allocated a computer on which they follow structured hands-on programs, with a trainer leading the session. These training courses may typically run for a half day, a whole day or several days on a particular topic, depending on its complexity. Courses are usually provided at beginner, intermediate and advanced levels to cater to the ability and knowledge of the trainees.

Computer training course companies usually supply a manual and sometimes sample computer files on disk for the trainees to take with them after the course, so that the knowledge gained in the course can be reinforced and revisited by the trainee afterwards.

Another way of accessing training in how to use office automation software, particularly where face-to-face training is not readily available or practicable, is through self-learning training techniques, such as written manuals, videos, software training packages and Internet training packages.

Where large numbers of staff need to be trained in a particular technology, it may be cost-effective to employ one or more trainers to come on site and conduct the training in the workplace, using real-life systems and examples. This can be preferable to more generic training, as it can be tailored to the particular needs of the workplace, making the training more useful and relevant.

Modern office automation software often comes with built-in “help” functions and with intuitive interfaces such as buttons, menus and help wizards that enable users to operate the various systems with little formal training. In a sense, the training to use these systems is built into the systems themselves. Many staff, particularly those who are performing relatively straight-forward tasks, are able to use these systems with little or no formal training.

One way in which modern software assists this process is through the use of common standards and conventions across different programs, so that, once a process (such as the cut and paste function, for example) is learned in one application, the same process can be used across a range of applications without the need for further training. This feature is an aspect to be considered when software is being purchased—software that uses common standards across a range of applications is generally preferable to software that does not use consistent common standards.

However, while many users can operate their office software to an acceptable level of productivity with little or no formal training, there are many features of modern software applications that are not readily apparent without some training. For example, mail merges can save a great deal of effort if used effectively. To make the most of mail merge programs, it helps to understand how to link the documents to a source data such as relational databases and how to use variable fields in the merge document. Formal training can help explain the intricacies of these and similar processes, leading to increased productivity with reduced effort.

Another important aspect of technology training is that it should be an ongoing process, rather than a “set and forget” approach. Particularly because software is regularly upgraded with new capabilities, it is important to ensure that staff regularly refresh and update their skills through training. One way to achieve this is to include technology training in each staff member's training and development plan, with a commitment from the staff member and management that technology training will be regularly refreshed.

Training technical staff

Technical staff, including permanent staff and external contractors, need more intensive training to enable them to perform effectively. This may take the form of university or technical college qualifications, or specialised training for technicians.

Some companies provide accredited training courses to a recognised standard. These qualifications can be used as a guide as to the level of technical skill obtained by potential staff, and can be used by employers as a means of determining the suitability of applicants for technology jobs.

As with non-technical staff, technical staff should also keep their skills up-to-date by regularly undertaking further training to refresh their knowledge.

Since all training targets adults, it is worth considering that the methodologies have to be adapted to them with an emphasis on methodologies using participative techniques that have been found to be more effective.  

Validating training

In order to ensure that time, effort and money invested in training is worthwhile, training should be validated. That is, any training program should be evaluated to ensure that it is meeting the identified needs and that it succeeds in raising productivity and delivers effective outcomes.

Care needs to be taken that technology training is appropriate to the needs of the trainee and the election management body as a whole and that it is relevant to the tasks to be undertaken by the trainee in his or her work. Since there might be a great variety of training programmes available it is important to choose those that can provide real benefits in the workplace.

Training can be validated a number of ways. One of the most important ways is to use performance measures to gauge the success of the process for which the training is being used. For example, measures of the success of training voters using an electronic voting system can include error rates, number of complaints from voters and number of requests for additional assistance; performance measures for in-house staff can include accuracy of voting results and speed with which election results are finalised.

Training should also be evaluated by the trainees. At the end of any formal training session, it is good practice for the trainer to provide the trainees with an evaluation questionnaire. This typically asks the trainee to rate a series of statements or questions about the training experience on a very good to very bad scale. This kind of evaluation lends itself to being computerised, so that results can be quickly amalgamated and analysed.

Training evaluation can be beneficial to both the trainer and the trainee. For the trainer, it gives valuable feedback about the effectiveness of the training session, from the perspective of the trainee. For the trainee, a good training evaluation will focus the trainee on how much he or she learned from the training and whether his or her training objectives were attained.

 User support

After technology has been installed and users have been trained, there will still be a need for ongoing user support. There will be many occasions where a user will need assistance with a problem occurring during his work.

Typically, user support is supplied at several levels, depending on the complexity of the problem. Support can be provided internally, by staff on site, and externally, by contracted technical experts.

 Internal user support

The first port of call for internal user support is usually a help desk facility. The help desk has at least a twofold purpose: to resolve any problems users have with the system and to help the users to employ the system more effectively.

Help desk staff can be either in-house staff or contracted external staff, but the help desk concept is best categorised as internal support as it is generally tailored to the needs of the particular organisation and familiar with its operations.

Many user requests for support from a help desk can be handled by phone. Users can be talked through solutions to problems. In more complex situations, depending on the structure of the computer system in use, where computers are networked, help desk staff or other technical staff may be able to fix problems remotely, from their own computers. In this case, off-site staff can manipulate software and systems used by local users and run diagnostics on their systems to identify faults. These kinds of support are less costly than support provided on site, as problems can be handled without help desk staff leaving their own locations.

However, some problems cannot be fixed remotely, and support staff will be required to provide on-site assistance. Where support staff is co-located with users, this may involve no more than a short stroll down a corridor. However, where support staff is not on site, particularly where an EMB has dispersed offices, provision of on-site support can be costly both in time and money. In this case, maximising the ability to handle problems remotely can help solve problems faster and more cheaply.

One way to maximise the ability to handle problems without on-site attendance by support staff is to train local users to handle common and/or minor problems themselves.

External user support

Depending on the level of internal user support available, for more complex problems, external user support may be required. External support is typically required when proprietary hardware or software needs to be serviced or repaired, or where problems are beyond the ability of internal support staff.

External support tends to be more expensive per hour than internal support. The time taken to respond to requests for external support can also be an issue. External support providers may not be available to fix problems when the EMB would like them fixed, as they have their own priorities. If external support is provided at urgent notice, this usually incurs additional cost.

One way to minimise the cost of external support and to maximise the chance of getting urgent assistance when it is needed is to negotiate a service level agreement (SLA) with an external support provider. Under an SLA, a service provider agrees to provide a guaranteed level of service for an agreed price. For example, different hourly rates can be agreed for responses to problems dependant on the level of urgency involved. In this way the EMB will know the cost of seeking urgent help compared to waiting a little longer, and can make a judgement about whether urgent assistance is really necessary, and whether it justifies the extra expense.

When hardware or software is being purchased, it may be possible to include a guaranteed level of external support in the purchase contract. Most items purchased will include a guarantee of some kind, at least covering quality of manufacture, and statutory provisions may require a minimum level of guarantee.

It is important to be aware of the items and services covered by any guarantee before a contract is signed. In addition to normal guarantees, it may also be possible to negotiate additional support guarantees as part of the purchase price, which may be cost-effective in the long run if ongoing support costs are consequently reduced.

Evaluation and Audit

A good technology management strategy will include an evaluation and audit strategy to ensure not only that the right technology was implemented according to plan, but that it also continues to operate according to plan throughout its useful life.

Evaluation and audit are essentially two sides of the same coin, however they have different emphases. Audit functions generally encompass an element of external or separate monitoring of an organisation or system. Evaluation, while used as an auditing tool, is not restricted to external or separate scrutiny and can be used by managers and users to measure the success of their own systems and improve performance.

Evaluation

Evaluation strategies may be built into the design and implementation strategy of any technology project. What is the technology intended to do? How do we measure whether it is meeting its intended purpose? What outputs of the technology are measurable? What performance  measurements or benchmarks  can we set?

If evaluation issues are considered before technology is purchased, this will help not only to measure its effectiveness after introduction, but it may also help to clarify whether the technology is appropriate for its intended task.

One of the best ways to evaluate the effectiveness of technology is to set realistic performance measurements and use them. Pitfalls include setting benchmarks that are difficult to assess, and failing to collect or report on those measurements  that have been set.

Evaluation procedures may also be built into the routine maintenance and reporting cycle of technology. Relevant managers should be responsible for ensuring evaluation is undertaken and for receiving that evaluation and acting on it if necessary. There is little point in evaluation if steps are not taken where problems are identified.

If problems are identified, evaluation results can be used to develop solutions. After improvements are made a second evaluation can help  judge the effectiveness of the changes.

Audit

As with evaluation plans, an audit strategy can be built into the design and development stage of a technology implementation program.

Auditors take the results of evaluation procedures and apply external or disinterested scrutiny to them. The role of auditors in electoral administration is particularly crucial where technology is used for election processes that require transparency and trust. Auditors can serve to validate electoral procedures by providing an independent assessment of the effectiveness of the technology.

Audits can be undertaken by internal or external staff. Where audits are undertaken internally, it is customary for auditors to not have a direct interest in the process being audited, in order to demonstrate the credibility of the audit. Internal auditors can be valuable because they can be expected to know the intricacies of an organisation's operations. However, internal auditors usually do not have the benefit of the credibility that totally independent external auditors can bring.

External auditors have the advantage of having no interest in the outcome of an audit beyond their own credibility and the fees earned. Consequently external auditors tend to have greater veracity than internal ones. Another point in external auditors' favour is that auditing is a skill, and the best auditors are highly trained and very experienced. This kind of expertise may not be held by internal staff unless those staff members are specially recruited for their auditing skills.

External auditors can be used to scrutinise any aspect of electoral technology that is capable of evaluation. In particular, where technology is used for crucial election functions such as recording and tallying votes, external auditors can play an important role.

Computerised systems for recording and tallying votes are only as effective and secure as the computer code used in their calculations. External auditors can be used to scrutinise the code used in these systems and verify that they perform appropriately. Computer code that has been externally audited can then be escrowed, that is, kept in secure off-site storage in an independent authority's control, so that the escrowed version of the code can be compared to the “live” version of the code used for an electoral event. In this way, it becomes possible not only to verify that computer code is free of any hidden flaws or deliberate attempts at manipulation, but also to verify after the code has been used that it has not been changed or tampered with since it was audited.