Whenever an electoral management body (EMB) considers the use of technology to facilitate and improve the electoral process, it is advisable to follow several guiding principles that have been identified over the years and that 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 inclusiveness
- consider the technology cost-effectiveness
- evaluate efficiency
- evaluate sustainability
- evaluate the flexibility of the technology to adapt to new election regulations
- consider the service provided to the users and their trust in the new technology
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 context, organisational culture, procedures developed to complement the technology and training of technicians and users.
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.
These are some strategies that can be used by electoral administrators to minimize the impact of new systems, new technology and changes on electoral processes:
- Allow plenty of time for implementation and avoid startingavoid starting implementation too close to Election Day.
- 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.
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 by 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 is almost impossible to insure that the vote that is registered is indeed the vote cast by the voter and, therefore, that the resulting vote counting 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.
With the use of technologies, transparency may have to be provided in completely different ways depending on the technology. This may involve the use of techniques, such as 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.
Related to the issues of transparency and trust, EMBs are expected to follow appropriate ethics when implementing new technology. For instance, when choosing technology suppliers, EMBs are supposed to ensure that the tendering processes are 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 have to ensure that proper licences are obtained. Apart from the legal and ethical problems with using unlicensed or unregistered software, users also run the risk of not being notified of known bugs, software fixes or upgrades.
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 systems are transparent and trustworthy.
Various mechanisms exist to provide for computer security. These include password protection, encryption, verification programs and physical isolation.
Test the accuracy of results produced by the use of technology
Accuracy is vital to the credibility of an election, particularly 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 is supposed to 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 would be expected that accuracy would increase as new and improved technology was adopted.
Ensure privacy
Electoral computer systems often contain sensitive personal data on large numbers of individuals, which can include names, addresses and other personal details. While many countries have privacy laws and policies that place restrictions on access to personal information, as a general principle, 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 built into electoral computer systems should take account of the need to protect the privacy of personal data held on them. 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.
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 are to be taken into account when adopting new technology to ensure that people with special needs are included.
Consider the technology cost-effectiveness
Depending on the application, the use of technology may imply a substantial upfront investment, even if the benefits are considerable and possible long-term savings can outweigh the initial cost. In addition, relatively low-cost technology can also replace high cost, low-tech processes, leading to savings in the long-term. Costs with ongoing maintenance also need to be considered and may be much higher than expected.
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:
- basic up-front costs of the technology itself
- expected costs with add-on equipment such as peripherals and communications
- installation and implementation costs
- expected on-going troubleshooting and maintenance (addition of new features, and performance and capacity optimization) costs over system life span
- expected costs of warehousing related equipment
- expected costs related to documentation, design of new procedures, staff training and user training
- expected financial benefits from increased efficiency
- comparative costs of other available technologies that offer the same functionality
In addition, the following related studies might also prove useful:
- cost-benefit survey
- assessment of expected improvements in efficiency or service versus extra costs
- likelihood of funding during the project life span
- evaluation of likelihood of sharing the new system and related maintenance costs with other agencies or organizations
- assessment of the opportunity for joint ventures that could reduce costs without compromising integrity
- evaluation of similar solutions, if they exist, implemented by either other election management bodies or other organizations
These considerations and the results of these studies can help to identify additional functions, benefits and user satisfaction to be provided by a technology under investigation. These considerations can also help to provide a realistic estimate of expected costs or savings needed for a thorough evaluation of a 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 is also supposed to 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.
In addition, before accepting a technology purchase, there is a need to ensure that there are available funds to cover implementation costs as well as ongoing maintenance. Generally this implies commitments through the relevant government budgetary process.
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.
Evaluate sustainability
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 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 initial implementation, but also for the foreseeable life 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 need 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.
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 may be implemented to ensure that the new technology does not reduce flexibility by limiting the number of options available. For example, it may be more desirable to introduce electronic voting as another option to using manual ballots, rather than completely replacing manual ballots with electronic voting, to ensure that users without electronic skills or access are not disadvantaged.
Consider the service provided to the users 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—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 ensure trust:
- assessment of stakeholder receptivity to review specific technologies
- clear definition of technology objectives
- use of open and regular consultation process with all relevant stakeholders
- verification of legal implications of adopting a specific technology
- use of rigorous technology evaluation processes including need for and implementation risks
- provision of appropriate levels of security for the electoral process different tasks
- verification of funds availability to cover all implementation, maintenance and training costs
- setting up transparent tendering and purchasing processes accepted by all stakeholders
- organization 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 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.
