Best practices in the use of ICTs in elections are still developing. However, drawing on
recent experience of election practitioners, the ACE project identifies several guiding
principles for the adoption and use of ICTs in an electoral context.21 When an EMB considers
introducing and procuring technology, these principles provide a useful starting point.
They can help to establish and maintain public confidence in the electoral process.
These guiding principles are:
- take a holistic view of the new technology
- consider the impact of introducing new technologies
- maintain transparency and ensure ethical behaviour while adopting new
technology
- consider the security issues related to the new technology
- test the accuracy of results produced by the use of technology
- ensure privacy
- ensure voter privacy in electronic and internet voting
- ensure there is clarity on what service is to be provided by the technology
- ensure inclusiveness
- consider the technology cost-effectiveness
- evaluate efficiency
- evaluate sustainability
- evaluate the flexibility of the technology to adapt to new election regulations
It is worth elaborating on some of these issues in turn.
1. Take a holistic view of the new technology
Technology is just a tool and therefore it is not an end in itself. When technology is applied
to any activity related to electoral administration and elections, it is important to consider
carefully the electoral context in which the technology is used. For example, if technology
is being considered for vote counting, the guiding principles that apply to vote counting
also apply to the technology.
It is also good to keep in mind that electoral processes involve more than just operations
and technology. They include relevant laws, regulations and guidelines, social and political
contexts, the organisational culture of the body implementing the technological solution,
the procedures developed to complement the technology and the training of technicians
and users.
2. Consider the impact of introducing new technologies
When a new system is being considered to replace another, an evaluation is needed to
assess the impact of the change on all stakeholders. Once the system is adopted, the
transition phase needs to be carefully managed to ensure that problems do not occur and
that all functions can continue to be effectively carried out.
Some strategies that can be used by electoral administrators to minimize the impact of
new systems, new technology and changes on electoral processes are:
- Allow plenty of time for implementation and avoid adopting the system too
close to the election
- Keep in mind that implementation of a new project often takes longer than
expected
- Plan for new systems to be finished well before the earliest practicable election
date and enforce cut off dates after which no system changes are allowed
- Have alternatives ready to be implemented in case the new system cannot be
used for whatever reason
- Manage information about the technology and changes so that stakeholders
do not have unrealistic expectations and do not impose impossible deadlines
- Avoid imposing a new, untried or unsuitable technology
- Schedule enough time to thoroughly test new systems
- Provide training for staff and users as needed
A system implementation schedule can be influenced by whether there is “fixed term” or
“variable term” election systems. With fixed term elections, implementation schedules can
be set around a known election date while with variable term elections, new systems should
ideally be in place and ready to go before the earliest likely date for the election.
3. Maintain transparency and ensure ethical behaviour while
adopting new technology
Transparency – meaning openness and accountability – is a key feature for the credibility
of democratic elections. An indicator of transparency can be the access afforded to
electoral observers, both domestic and international, to all procedures at every stage of
the electoral process.
With manual processes, transparency is relatively straightforward, as the processes are
usually visible and it is not difficult to provide meaningful access to observers. By contrast,
with the use of some technologies it may be more difficult or even impossible for observers
to testify that the outcome is correct. Electronic voting systems are one example where in some cases it can be very difficult to ensure that the vote that is registered is indeed
the vote cast by the voter and, therefore, that the resulting vote count is accurate. On the
other hand, the use of technology may enhance transparency once the data entry into
the respective system is proved to be accurate and large quantities of data can produce
meaningful reports with very few errors.
It is useful to compare “micro” and “macro” perspectives when analysing the transparency
of manual and electronic systems. With manual processes, transparency is relatively
straightforward at a micro level. For example, observers or party agents can easily observe
operations in a paper-based voting station, and compare results in that station to those
published centrally. However, a macro-level perspective is more difficult. Results are not
immediately available and there are no assurances that unobserved voting stations that
haven’t been observed directly are presenting accurate results.
In contrast, electronic systems can facilitate transparency at the macro-level. For example,
electronic systems can allow for results to be easily generated almost immediately after
polling stations close, with results for the entire country tabulated and presented at
different regional levels all the way down to individual stations. But one downside of
electronic systems is that an observer may not always be confident that the vote cast by
the voter is indeed the resultant vote counted at the end of the process.
If a random sample of the equipment is tested and found to be accurate, however, then
an observer can reasonably assume that the rest should behave similarly. Whether an
electronic system is observed or not it will behave the same way. By contrast some argue
that a manual process may be affected by whether or not it is observed. For example, voting
station staff may pay more attention to adhering to rules and regulations and accurately
counting the votes while they are being observed, and less so if left to their own devices.
Knowing that a small percentage of voting stations observed operated correctly does not
necessarily extrapolate to the remaining percentage of unobserved stations.
With the use of technologies, transparency may be achieved in different ways depending
on the technology. This may involve the use of techniques, such as the creation of
audit trails, creation of log files, code verifications, digital signatures and compilation
checks, among others. As a result, the skills needed by observers of electoral processes
using various technologies, may be completely different than those needed to observe
manual processes. To ensure transparency, the election management body may seek the
assistance of specialized experts or auditors able to verify the accuracy of their systems
and to provide special training to observers.
In addition, auditing the implementation of technology is required. External audits are
recommended. Regarding issues of transparency and trust, EMBs are expected to follow
appropriate ethics when implementing new technology. For instance, when choosing
technology suppliers, EMBs should ensure that the tendering process is fair and open,
without favouritism or corruption, and that all government purchasing procedures
applicable to the selection of technology are followed.
When buying hardware and software, EMBs should ensure that proper licenses are
obtained. Apart from the legal and ethical issues with using unlicensed or unregistered
software, users also run the risk of not being notified of known bugs, software fixes or
upgrades. Antivirus software should be used for laptops and desktop computers. A
complication is that most antivirus software programmes will not update their virus
definition files without an internet connection. This poses a serious problem for laptopbased
kits deployed to remote regions without internet access.
4. Consider the security issues related to the new technology
Computer systems used for elections must include high levels of security. Unauthorised
persons must be prevented from accessing, altering or downloading sensitive electoral
data. Demonstrable security levels are another way of ensuring that election IT systems
are transparent and trustworthy.
Various mechanisms exist to provide for computer security. These include password
protection, encryption, verification programmes and physical isolation.
5. Test the accuracy of results produced by the use of technology
Accuracy is vital to the credibility of an election, particularly for voters’ lists, vote recording,
vote counting and the reporting of election results. To ensure that technological systems
are trustworthy, there must be ways to test and verify that data is recorded properly and
that the manipulation of this data produces accurate outputs.
System accuracy may be tested by randomly entering known data into the system and
verifying that the resulting outputs are correct. In addition, for voting systems, a test should
be performed to verify that the same set of data processed through several randomly
chosen, similar but independent systems produces the same results.
On the whole, it should be expected that accuracy increases as new and improved
technologies are adopted.
6. Ensure privacy
Electoral computer systems often contain sensitive personal data for large numbers
of individuals, which can include names, addresses and other personal details. Many
countries have privacy laws and policies that place restrictions on access to personal
information, under the general principle that every person has the right to personal
privacy. If a person’s privacy is invaded by improper use of electoral data, both the person
and the respect accorded to the electoral process may suffer.
Accordingly, security features in electoral computer systems should take account of the
need to protect the privacy of personal data. Audit trails can be built into systems containing
personal data to track and monitor which individuals have accessed or modified personal
data and to prevent any unauthorised invasion of privacy.
7. Voter privacy in electronic voting/internet voting
Conflicts arise when an electoral IT system needs to ensure that a person that voted is a
citizen, has the right to vote, and did not vote more than once. To ensure this security, the
system should know the identity of the voter. But the system should not, however, know
how the voter voted.
There are solutions for these issues, but EMB’s and voters need to be educated on these
solutions. EMBs need proof that the electoral IT system ensures a valid voting process, and
the voter needs to be ensured of his voting privacy.
8. What services are to be provided by the technology?
Elections are largely about providing a service for its clients, the voters. When choosing a new
technology, the level of client service, including the ”ease of use and voters’ satisfaction”, as
well as how the technology is perceived by its users’, needs to be a priority consideration for
the EMB in order to ensure that the credibility of the electoral process is not jeopardized.
There are a number of strategies that can be adopted to reduce users’ unrealistic
expectations or suspicion, and in order to ensure trust. There should be:
- An assessment of stakeholder receptivity to review specific technologies
- A clear definition of the technology’s objectives
- Open and regular consultation with all relevant stakeholders
- Verification of the legal implications of adopting a specific technology
Use of rigorous technology evaluation processes, which also includes analysis
of the implementation risks
- Provision of appropriate levels of security for the different electoral process tasks
- Verification of funds availability to cover all implementation, maintenance and
training costs
- Setting up of transparent tendering and purchasing processes that are
accepted by all stakeholders
- Organisation of effective training strategies, both to electoral administrators
and users
- Assessment of references, use of external audits and verification checks to assert
the trustworthiness of external vendors, technical staff, software programmers
and consultants involved in supplying and/or maintaining the technology
Besides a rigorous and well-structured implementation process, the successful adoption
of a new technology requires the acceptance, trust and satisfaction of its users.
9. Ensure inclusiveness
Where a technology with impact on internal and/or external users is being adopted, it
is advisable to organize a consultation process with those users or their representatives
to ensure that their needs are met and that they are satisfied that the new system is
acceptable and reliable. It is important to provide sufficient information to users to enable
them to feel included in the process and therefore increase the likelihood that the new
technology will be successfully implemented.
Since election technology has the potential to directly affect the political process, it is
important to engender a sense of ownership in its users, much more so than might be
considered for other government systems.
In addition, access and equity considerations should be taken into account when adopting
new technology to ensure that people with special needs are included.
10. Consider the technology cost-effectiveness
Therefore, before making a commitment to implement new technology, it is important to
determine whether it is financially viable, by getting a complete account of all likely costs
and savings, namely:
- The basic up-front costs of the technology itself
- The costs of the add-on equipment such as peripherals and communications
- The installation and implementation costs
- The estimated on-going troubleshooting and maintenance (addition of new
features, and performance and capacity optimization) costs over the system
life span
- The expected costs of warehousing-related equipment
- The expected costs related to documentation, design of new procedures, staff
training and user training
- The expected financial benefits from increased efficiency engendered as a
result of the introduction of the new technology
- The comparative costs of other available technologies that offer the same
functionality
In addition, carrying out the following studies might also prove useful:
- A cost-benefit analysis of the proposed technology solution
- An assessment of the expected improvements in efficiency or service versus
the extra costs of introducing the technology
- The likelihood of funding for the maintenance costs throughout the project
life span
- An evaluation of the likelihood of sharing the new system and the related
maintenance costs with other agencies or organisations
- An assessment of the opportunity for joint ventures that could reduce costs
without compromising the integrity of the system
- An evaluation of similar solutions, if they exist, implemented by either other
election management bodies or other organisations in similar contexts
These considerations and the results of these studies can help to identify additional
functions, benefits and user satisfaction to be provided by the technology under
consideration. These considerations can also help to provide a realistic estimate of the
expected costs or savings needed for a thorough evaluation of the proposed technology’s
cost/efficiency ratio. This, in turn, can help determine whether the technology is
worthwhile, viable and affordable.
Relatively minor improvements may not justify the extra cost and by the same token, if a
low-cost, low-tech solution is available and it is acceptable for the specific task, there may
not be a need to implement a proposed high-cost, high-tech solution.
Whenever possible, the expected life-span of the technology should also be determined.
In principle, a technology that can be re-used for more than one purpose or for more than
one election is more cost-effective than one that can only be used once before it needs
to be replaced.
11. Evaluate efficiency
Although it is often expected that a new technology is more efficient than the old one, it
might not be the case in practice. It is possible to replace an efficient manual process with
an inefficient automated one if the new process is not carefully thought through. When
deciding to implement a new technology, it is important to ensure that the new system is
more efficient than the one it replaces.
One of the anticipated benefits of technology is the ability to perform accurately large
complex tasks in a relatively short time compared to the time needed to undertake the tasks
manually. While this may enable EMBs to reduce costs by deploying fewer staff, it may also
lead to additional pressure on staff as productivity rises and more is expected of them.
12. Evaluate sustainability
Evaluating sustainability is one of the most important criteria in the adoption of new
technologies. In his 2009 report on elections, the Secretary General expressed his concern
that some of the world’s poorest countries are adopting some of the most expensive
technology for elections. Technology is generally expensive to acquire, but if it is
sustainable, and able to be used for more than one purpose or more than one election, it
can be more cost-effective in the long term.
New technology may also require the use or availability of other technologies or specific
infrastructures, such as communications and electrical energy networks. For example, if a
country has an intermittent power supply, implementing a network of personal computers
may not be the best choice. High humidity or high levels of dust or sand may also restrict
the choice of appropriate technology.
In general, local infrastructure must be capable of supporting a chosen technology. If it is
not, it could mean that the technology being considered is not appropriate or that there
is a need to upgrade the infrastructure, in which case additional costs and benefits should
be carefully assessed.
There is also a need to evaluate the technical and financial capacity of the electoral
management body (EMB) to maintain a new system during an agreed upon or required
time span. Usually, it is desirable for an adopted technology to be used for several years;
therefore funds will need to be secured, not only for the initial implementation, but also
for the foreseeable lifespan of the technology. These funds need to be budgeted for and
guaranteed before committing to a new technology.
Another aspect related to the sustainability of a new system is the availability of
appropriately skilled staff to run and maintain it, either by the EMB or by outside service
providers. The costs associated with keeping staff skills up-to-date and the capacity of
both EMB and service providers to retain trained staff needs to also be considered.
Another potential pitfall is attempting to do too much too quickly. Instead of implementing
a radically new technology (compared to the existing local technology) in one step, it may
be more appropriate to gradually implement change over a series of electoral events.
13. Evaluate the flexibility of the technology to adapt to new
election regulations
A technology that is flexible is also more likely to be cost-effective and sustainable. It may
be desirable to adopt a technology that has the potential for more than one use if this
does not compromise the primary need for the technology.
In cases of transitional environments, where the future of election management methods
is uncertain, it is desirable to avoid purchasing technology that is highly specialised and
inflexible, and to purchase instead more generic products that can facilitate the use of a
wide range of applications.
Another of the perceived advantages of using technology for elections is its ability to
provide users with greater flexibility and more options. Therefore, procedures should be
implemented to ensure that the new technology does not reduce flexibility by limiting
the number of options available.
14. Ensure the legal ownership of the output of the system as well
as the system itself
EMBs, Government agencies, donors and UNDP need to ensure that the product of
implementation of high-tech IT systems – the databases that contain the registration details of potentially millions of citizens, remain under the control of the EMB and/or Government bodies
at all times, and are accessible indefinitely regardless of the interfaces, software platforms,
encryption methods or other hosting systems put in place by the vendors/suppliers of the
system. EMBs and their partners should never remain permanently tied to one supplier. Scope
and opportunity should always exist for the EMBs/Government agencies to “move” supplier
in the future, if there is a day to day management component built into the supply contract,
should the management and day to day operation of the system lead to implementation
difficulties that may lead the national authorities to consider switching the managers of the
system. In any case, high-tech solutions, no matter how “cutting edge” today, will eventually
require upgrading, and possible re-tendering, at some point in the future.
Legal advice should be employed at the outset, including at all stages of the procurement
process and particularly upon contract signing, to ensure that the national authorities have the
right to eventually consider “taking” the file databases in the future to a new system manager,
without having to request of citizens to return to register all over again, under the system of a
new supplier.
