Each
jurisdiction will need to consider best practices that suit its particular
circumstances and context, and ensure that the fundamentals of a results
process are maintained and that the integrity of the election is not
compromised due to deficiencies in the various steps of a results process.
The
manual count remains the most common and widespread method of vote counting. However,
depending on the general level of development, calculators or computers are
used to calculate results, and computers are used for the distribution of
seats. For a discussion of machine-assisted vote counting, see Application of Technology.
Social and Political Context
The
social and political context is important to consider when choosing an election
results system. For example, local political considerations will determine
whether it is desirable to sacrifice some accuracy for speedy transmission of
provisional results, or whether security should be tight or less restrictive.
One of the most important criteria is to ensure that the citizens, political
parties and candidates understand the process and have faith in it. In
addition, local conditions and recent electoral history can affect the level of
anti-fraud measures to be deployed, and determined the place where counting and
tabulation of results will take place. If the risk of fraud and intimidation of
voters are substantial, the results management system must be designed to
overcome these challenges. In addition, if either the EMB’s impartiality or
professionalism is in doubt, the results generating process must pay special
attention to transparency-promoting actions, as well as plan for an effective
training program of all staff categories making up the results system teams at
national, regional and local levels.
Security
Security
is an important factor in every election, but more so in a country emerging
from civil strife. It is important to ensure that every stage in the electoral
process, including the crucial results process, is secure, transparent, and
reliable. As such, this part of the electoral cycle often warrants special
attention in the EMB’s security plan. In its liaison with relevant security
providers for the results process, security risks must be identified. Besides
voting stations, a sufficient and appropriate security umbrella is also
extended to include transportation of sensitive results material and stationary
security of counting centres. The National Media Centre, which sometimes doubles
up as the EMB’s national results centre, must have special attention given its
strategic importance to the results process. Furthermore, this Centre is often
frequented by national and international dignitaries requiring a heighten level
of security, in addition to a special protocol for VIP delegations arriving
with armed close protection teams.
Security
permitting may be desirable to hold the count as close to the citizens as
possible, for example with a manual count at the voting station level in full
view of voters, national and international electoral observers, and party and
candidate representatives. If this is not possible due to threat levels
directed at the facility, the count could be conducted at ward or district
level instead. If there is a possibility of repercussions to the voter for
voting in a certain way at voting station level, then the mixing of ballot
boxes from different areas before counting could be considered (see Procedures
for Vote Counting at Counting Centres).
Security
provisions included in legislation and procedures should include security of
the vote (and voter) and security of the process. In some countries, the police
force is under the command of the EMB during election period while in other
societies the standard operating procedures for police is developed in close
collaboration between Ministry of Interior and the EMB. An international best
praxis is emerging as to the security protocol in voting stations. The local
police force, or any security personnel that is responsible for security in
election day, is responsible for area security in the vicinity of voting
stations and is only allowed inside upon request by a presiding officer,
thereby avoiding concerns of potential intimidation of voters by security
personnel.
Unless
security personnel are formally part of the chain of custody protocol for
sensitive election material it should never be left solely in the care of the
police or military. Normal praxis is that sensitive material be accompanied at
all times by an election official, while political party and candidate
representatives and national and international electoral observers can be
present.
Legislation
should ensure that elections are not jeopardized, even if individual voting
stations come under attack, or need to be closed due to fire, flooding, or any
other legitimate reasons. Provisions should be made for the speedy rerunning of
elections in those stations shortly after the emergency. Protocol on how to
proceed in these situations should be part of the EMBs training to electoral
officials. In some countries, emergency preparedness is part of the electoral
legislation, for example, in the United States; eleven states have emergencies
during elections clauses in their legislations[1].
Literacy
Low
literacy levels and limited exposure to ICT-solutions are important factors to
consider when designing the results system. Where such limitations exist, a
simple paper-based results system will facilitate accuracy, but recount and
rechecking procedures should still play in integral part of the process. Both
information and education material will need to be considerate of illiterate or
semi-literate members of the public, to ensure that the electoral messages and
information are conveyed to the largest number of members of the public. In
addition, party agents and national observers need to be able to understand and
follow the results process observed, unless in cases where the transparency
could be undermined.
Communication of Results
In an increasingly fast-paced world, election
management bodies are feeling the pressure to deliver rapid (if not immediate)
transmission of results. Technical innovations in electronic voting, counting,
tabulation and transmission are facilitating speedy results. Speed, however,
should be carefully balanced against other important considerations such as:
- Voter convenience and inclusiveness, for example citizens
away from home or unable to visit a voting station (tendered votes, voting by
mail, and other means that delay results),
- The infrastructure of the country,
- The importance of transparent (often manual;
step-by-step) procedures,
- The dangers of a premature (incorrect) result making a
process of verification of interim results prior to release essential.
- The complexity of certain electoral systems (such as the
alternative vote, the single transferable vote), which in turn affect the speed
of the count,
- The confirmation that voting and tabulation was conducted
correctly across the country, that is, the absence of challenges to the voting
process that could affect the results.
Administrative Considerations
Clear vote counting procedures are instrumental for
credible results system. Achieving such an objective often requires essential
administrative considerations, such as careful planning thorough training, good
facilities, and appropriate equipment. Unfortunately, the results process is
often given a lower priority than it deserves. Considering its importance in
ensuring confidence in the result of an election is critical to give the
results-generating process high administrative priority to ensure success.
What
is administratively expedient can vary greatly between countries, not the least
due to the EMB’s own organizational structure and capabilities that varies
considerably from country to country. In addition, the results management
system to be used often depends on the time and resources available, as well as
the EMB’s assessment of the results system utilized in the most recent
election.
Here are some generic truisms regarding the
administrative implications of choices in vote counting procedures:
- The simpler the system, the easier to organize and
administer the vote counting.
- The greater the use of existing infrastructure and
telecommunications, the simpler to administer at a lower cost.
- Permanence and continuity (of the results process)
between elections provides for a more routine and professional conduct of vote
counting.
A complicated results system will have administrative
implications in terms of increased training needs, additional personnel, longer
hours, more elaborate voter education and public information campaigns, and a
proficient command and control capability. Introducing ICT- solutions to a
results system often impact across all of the EMB’s departments, as it affects
operational planning, procedures and regulations developments, budget (capital
and recurrent), new training requirements, changes to public outreach material
and potentially the fraud risk profile of the results system.
Infrastructure Requirements
Planning for a results process needs to take into
account the available assets in a given country. The infrastructure, such as
road network, airport facilities and transportation capabilities within private
and public sectors are important factors when developing the operational plan.
In some instances the EMB can tap into the motor pools of state institutions,
as well as access the defence force’s aircrafts. In other countries, the EMB is
largely depending on the private sector. However, accessibility to various
parts of a country can vary significantly due to seasonal conditions. During
the rainy season, or the winter, the infrastructure situation could be vastly more
restrictive than during more favourable parts of the year, something planners
must keep in mind.
Given
the increasing use of Internet, email and mobile phone services during the
results generating process, the availability of various telecommunication
networks across a country forms an important part of the results management
system. EMBs need to factor in reliability of the networks in question, as
Election Day often experiences peak traffic and therefore could prove less
reliable than during normal workload when the networks are less stressed.
Availability
of electricity can also vary greatly within a country. If procurement of
generators is considered as back-up power-source, it can have significant
budgetary implications, as generators and fuel need to be procured, service
contracts awarded, and transportation obtained.
Election
is a national event and often tens of thousands of voting stations are opened.
The material used for voting, counting and tabulation is not only numerous but
often bulky thereby requiring significant warehousing capacities across the country.
Even if the system used is predominately paper-based, the storage
specifications are still rigid as water damaged results forms and soaked ballot
papers could effectively stop election from moving forward. Depending on the
type of results system used, an EMB might also require significant space for
its counting and tabulation of results operations should these processes be
conducted at constituency or provincial levels. These centres often require a
canteen, ablution facilities, praying rooms as well as suitable lighting and
temperature enabling a suitable working environment for staff.
Obtaining
suitable buildings at sub-national levels can prove challenging in some
situations and therefore require significant lead-time, especially if buildings
must be refurbished. EMBs introducing ICT-solutions might find server rooms
specifications particularly challenging to meet, as such equipment require a
controlled environment both in terms of an air-conditioned and dust-free
environment.
Media
Results Centres have their own requirements, beyond an extra-ordinary strain on
electric power and wiring. These centres will cater for 100s of individuals
representing political parties, media, observers, VIPs and EMB personnel of
which all need access to internet, power, toilets, space to sit and work. The
press conference area often requires some refurbishments. In some instance also
a catering facility need to be arranged. Telecommunications requirements at
such facilities are significant – both cellular phone capacity and Internet
connectivity must be significantly increased.
Personnel and Training Requirements
The
credibility of any election results process depends largely upon the
performance of its staff. The challenge facing an EMB is to identify, recruit,
train and supervise a large and diverse set of staffing categories across the
width and breadth of a country. As more ICT-equipment and solutions are
introduced the recruitment training programs must evolve accordingly. Having
said that, irrespective of position to be filled and staff member to train
certain fundamentals remain constant. All staff must ensure impartiality,
professionalism and integrity, as the services that they will provide are
essential to the overall perception of the election results process.
Based
on the result system’s operational plan the EMB leadership will determine the
types of personnel categories to be hired and the number of positions. Jointly
with its Training and Human Resource Departments, and with input from
line-departments responsible for the staffing category in question, the EMB
develops two important documents: a recruitment plan and training plan.
Recruitment Plan
A
recruitment plan often describes how the EMB will ensure a transparent
recruitment process resulting in suitable individuals commence work according
to timelines outlined in the overarching operational plan. A distinction is
often made between filling permanent positions and the many ad-hoc personnel
required during an election year. The former process is often significantly
more time-consuming and regulated, while hiring temporary workers on short-
term contracts often offer more flexibility.
In
societies affected by large number of unemployed and a state bureaucracy
alleged to hire staff based on patronage EMBs are well-advised to ensure a
transparent recruitment process. The commission could advertise widely for the
various positions utilizing media and traditional means of disseminating
information. Terms of references, qualification requirements, duration and
remuneration packages, as well as how to apply are information often included
in such communications. As part of its recruitment planning exercise, the EMB
needs to figure out how to pay tens of thousands of people in a timely manner.
If not, ad hoc workers can threaten to down tools, be demotivated and do a
poorly job during election day, or refuse to hand over documents of critical
importance to the results process before they are satisfied with the payment
and payment mechanism.
Men and
women should be recruited on an equal basis, according to their ability to
carry out the required duties in an unbiased and professional manner. Other
criteria may include speaking at least one of the local languages and previous
electoral experience. Special attention should also be made to offer employment
to persons with disabilities, or other previously disadvantaged groups.
Some
jurisdictions require that voting station staff be qualified voters and/or live
within the same electoral district where they will be working on Election Day.
These criteria should then be publicized and known to all candidates and
political parties involved, in order to preserve the transparency of the
process.
In a
jurisdiction that is emerging from conflict, these requirements may not always
be appropriate and it may be expedient to have people from outside the area
working as voting station and counting staff. However, the visiting staff must
be properly trained and made aware of social and cultural context. Local
customs and circumstances could also impact the recruitment process as men and
women traditionally interact in a more formalized setting thereby necessitating
teams exclusively made up of men and women-only.
In
places where several languages are spoken, it is important to recruit staff
with appropriate language skills. Senior students, civil servants, teachers,
health workers, and retired people are often recruited because they satisfy
these requirements.
Appointment
of civil servants can raise questions about whether they are non-partisan, depending
on the professional reputation and public perception of the public service, and
whether positions are filled on merit or on the basis of partisanship. Even if
well-qualified civil servants are recruited, they will still need training in
counting procedures and other aspects of their duties in the electoral process.
The
electoral laws may restrict who can be recruited as a voting station and/or
counting staff and can thereby affect the recruitment plan mentioned above. In
some jurisdictions, voting station and/or counting staff are nominated by
political parties in proportion to the number of votes or seats won at the
previous election. The parties draw up lists and refer the names of acceptable
personnel to the responsible local election official.
Workers
who are nominated by a political party, but appointed by the local electoral
management body, must agree to carry out all their duties in a neutral and
non-partisan manner. The Code of Conduct is particularly relevant and important
under such regulatory framework. In some countries, persons who are seen to be
politically active are not permitted to work as voting station and/or counting
officials.
In some
countries, the EMBs are legally required to publish the names of presiding
officers and poll workers, while in other jurisdictions the EMB voluntarily
publishes this information. Publishing names of personnel recruited to perform
important tasks in the election results process increases the level of
transparency. Furthermore, this gives the general public and other stakeholders
an opportunity to inform the EMB about concerns they might have related to
certain recruitments. Societies emerging from conflict, the publication of
names might be security concern and therefore the integrity and safety of the
recruited staff must be weighed against the need for transparency.
Recruiting
tens of thousands of ad hoc workers across the country is a daunting challenge
for most election authorities. As a result many EMBs often focus on identifying
and recruiting the exact amount of workers required. Experiences have shown
that EMBs are better served by recruiting an average of ten per cent of the
staff needed. Some people will not show up for the training because they are
sick or found another job; and in spite of a rigorous screening process a
number of individuals will not perform satisfactory during the training and
thus are not employable. As the EMB recruited a surplus it will not be forced
to resort to emergency trainings in the midst of final preparations for Election
Day. In addition, if ad hoc workers know they are not guaranteed a slot on the
team they tend to focus more diligently on the training to ensure they pass the
test.
Training Plan
The
training plan developed for the various processes of the results system
incorporates requirements both for affected permanent staff of the EMB, as well
as ad hoc personnel. The former training requirements are often part of the
long-term human resource efforts to continuously improve officers’
professionalism. However, also permanent EMB officials would require refresher
training prior to election as 4-5 years could have passed since the most recent
election was held. In general, the more extensive the changes are to the
results managements system the more exhaustive the training must be for both
permanent and ad hoc workers.
Even if
EMBs strive to simplify forms and streamline procedures and regulations
elections in general, and election results processes in particular, are often
highly structured requiring officials to complete tasks in a specific order and
fill out multiple forms correctly. The success of a training program is
dependent on the quality of trainers, training methodology applied and training
materials used.
Large-scale
training programs mostly utilize a cascade-style program based on a
train-the-trainer approach. The EMB’s Training Department will train its
Masters Trainers who will be responsible for training Trainers in the
provinces. These trainers will subsequently be training a vast majority of the
ad hoc workers in the field. The cascade-based training program can train very
large number of individuals within a relatively short period of time, in some
instances 400.000 – 500.000 poll workers are being trained in four weeks.
The
main concern raised against the cascade training approach is the difficulty to
ensure trainings of sufficient quality. EMB leadership needs to include several
management tools enabling them to effectively monitor the training program.
Each training must report statistics (number of successfully trained by
position and gender, at a minimum). This can be done via a form, phone call or
a simple SMS-application. Based on this information the EMB can track if the
training is on track, or not. However, unannounced spot-checks at actual
trainings continue to be an effective quality control. During these mandatory
training sessions ad hoc workers ought to be informed about their Code of
Conduct and sign that document, which will be stored by the EMB.
Experiences
have shown that hands-on simulations, using the very same materials they will
use during the actual work is probably one of the most effective pedagogical
techniques to use. By working in smaller groups and actually conducting the
very tasks to be performed, trainees are obtaining and retaining the required
skill-sets. Combining simulations with interactive lecture-style modules is an
efficient method of increasing the success rate of the training. The group-size
is often recommended not to exceed thirty, as the interaction of the sessions
is hampered when the group-size is larger. In order to standardize certain
segments of the training a training video can be produced. It can also be made
available online should trainees wish to refresh their minds at a later stage.
However, the most common cornerstone of cascade-style training programs is the
training manual. As a result, training departments spend a significant amount
of time developing manuals that are user-friendly. The language is simple,
examples numerous and visual aids included.
One
important aspect sometimes overlooked is the importance of pre-testing training
programs, including the training manual. EMB officials developing training
programs and training tools are often extremely well-versed in the subject
matter and can therefore often overlook issues and miss certain challenges that
the temporary worker would face as a trainee. It’s therefore advisable to
always test the actual training program, materials and tools on the intended
target audience before printing tens of thousands of copies of a training
manual and order a large number of training kits.
The
election results process often rely on non-EMB personnel for parts of the
process, such as the security forces for point and area security, as well as
during transportation. Therefore, it is often advisable to collaborate with
their respective training unit to ensure that the trainings offered to their
personnel is in accordance with the rules and regulations governing the results
management system process.
[1] National Association of Secretaries of States. "NASS Summary of State Emergency Response Statutes Pertaining to Elections". February 2013. http://www.nass.org/elections-voting/nass-task-force-on-emergency-preparedness-for-elections/
