This question is posted by ACE on behalf of ACE user Sarah Johnson.

Original Question:

What are the range of powers that election commissions have to enforce a code of conduct for political parties and candidates?  How widespread is it that election management bodies have real and substantial enforcement powers for a code of conduct?

Summary of Responses:

Many practitioners state that code of conduct violations are prosecuted by the election management body.  Prosecution in the civil or criminal courts is limited by the short time frame of the election cycle, resulting in increased enforcement by the electoral management body such that sanctions are levied prior to election day. In most cases, serious conduct violations are referred to the criminal justice system or special electoral courts. Practitioners emphasize the importance of clearly defined functions and powers of the electoral management bodies responsible for monitoring and sanctioning political parties and that sanctions are clearly defined in the code of conduct which all parties sign.  

One practitioner cites that in his experience, the electoral management body is able to levy fines, remove of candidates from party lists and bar candidates or parties from participating in future elections among other punishments. He cites that an effective method of enhancing enforcement was the barring of candidate or party registration in subsequent elections until fines are paid.

In Peru, code of conduct violations are first referred to the National Jury of Elections for sanctions after which the case is referred to the criminal courts if there is grounds for a criminal charge. Similarly, Ecuador’s National Electoral Council is responsible for the enforcement of the code of conduct while sanctions are levied by the Electoral Council and the Electoral Court which decides appeals.  

Both Ecuador and Kenya have expanded the code of conduct to encompass all actors in the electoral process, including all political parties, candidates, supporters, electoral officials and any additional persons with a role in the process, enhancing the ability to enforce the code.  Another practitioner cites that Kenya has expanded sanctions to political parties as well as candidates increases the efficacy of the code of conduct. Additionally, only parties and candidates which have subscribed to the Code are permitted to contest the election. The Electoral Commission has an internal Code of Conduct Committee focused exclusively on the enforcement of the code of conduct, further enhancing enforcement.

The Indian constitution prohibits judicial interference in elections until after the election cycle is complete thus all code of conduct violations are handled by the Election Commission. Citizens are able to report violations through an application on the Commission’s website which expands enforcement, however most sanctions are limited to naming and shaming, minor fines, and warnings issued by the Commission. In the event of large-scale violations the Commission can reschedule the poll but is unable to disqualify candidates.

Mexico represents a unique case as they do not have a code of conduct and electoral law is instead enforced by different branches of government in a checks and balances system. Similarly, Zambia relies on different government agencies to punish those who violate the code of conduct. The practitioner asserts that the extended delay for punishment does little to discourage violators and results in heightened levels of violence.

Contributing members:

Sean H Gralton

Fredy Martin Giraldo Rivera

Charles Ochieng

Nancy Kariuki

Dr. Noor Mohammad

Francisco Morales Gomez

Atem Oben Henry Ekpeni

Ahmed Jazouli

Sameer Dwaikat

Suryakrishnamurty Kottapalli

Juan José López Gutiérrez

Abdiwahidi Hussein

Nchimunya Michelo Silenga

 

Victor Hugo Ajila Mora

In my experience, code of conduct violations were incorporated into the larger category of electoral violations.  These were violations that could be punishable directly by the electoral authorities without resorting to the criminal or civil courts, whether by the electoral management body (EMB) on its own authority or under order from a separate electoral dispute resolution body(EDRB).  Sanctions could include a warning, fines, removal of candidates from a party list, and barring a candidate or party from participating in current or future elections. Fines were enforced by preventing a candidate/party from registering in subsequent elections until all fines were paid.

EN PERU, el Jurado Nacional de Elecciones (Tribunal Electoral) es quien impone las sanciones correspondientes. En materia electoral, basta con una resolución para incluso retirar a un candidato de la contienda electoral. Si sanciona y a su vez encuentra que hay materia para una acusación penal, pues remite lo actuado a las instancias judiciales penales correspondientes.

I share sentiments  of Sean h.. gralton above and would like to add that it may be necessary sometimes for administrative sanctions to extend to the party also.we know from our experience in Kenya where there is lack of political goodwill and firm leadership of government institutions that when sanctions are meted only to the violating candidates without the same extended to the party sponsoring such candidates the penalty will not be effective as deterrence as sometimes the violations are the behest of the sponsoring party.

What are the range of powers that election commissions have to enforce a code of conduct for political parties and candidates?  How widespread is it that election management bodies have real and substantial enforcement powers for a code of conduct?

 An understanding of Kenyan range of legal powers that Electoral Commission has to enforce a code of conduct for political parties and candidates

Electoral code of conduct is defined as a set of guidelines laid down by an Elections management body   to govern the conduct of political parties and candidates in the run-up to an election. It also applies to all political parties, their candidates, supporters, electoral officials and all persons with a role in elections.

An electoral code of conduct purposes to ensure that election management bodies, incumbent government, the political parties, the armed forces, police officers , bodies, civil society, organized and unorganized groups accept and support the electoral process and not undermine it through violence, intimidation or any other unlawful means.

In Kenya, the Constitution which is the supreme Law of Kenya  requires that elections are conducted in free and fair manner , being free from violence, intimidation, improper influence or corruption;

In addition to an Election Offences Act which outlaws electoral violence, intimidation, improper influence or corruption, Kenya has enacted a Code of Conduct as a part of the country’s Elections Act

 

Every political party and every person who participates in an election or referendum under the Constitution of Kenya and the Elections Act is required to subscribe to and observe the set out Electoral Code of Conduct in such manner as the Commission may, determine.

 

The enacted Electoral Code of conduct  binds the Government and every political party, leader, office bearer, agent and member of a political party or a person who supports a political party, and every candidate nominated under the electoral laws for any election.

 

Further, all registered political parties as well as electoral or and referendum committees are required to execute the enacted Code through the hand of their respective registered officials, to signify their acceptance to be bound by the provisions of the Code and their commitment to strive to ensure that their members and any person who supports the political party abide by the code at all stages of elections and referendum.

 

Any  political party that is eligible to nominate candidates under the Constitution of Kenya , the Elections Act or any other written Kenyan law are not eligible to contest in any election unless the political party and the candidate have subscribed to the prescribed Electoral Code of Conduct.

For better enforcement of the electoral code of conduct, the Electoral Commission has a Code of Conduct Committee

 

The following is the range of powers that election commissions have to enforce a code of conduct for political parties and candidates.

Where, in the opinion of the Commission, any political party participating in any election or the leader, office-bearer or member of a political party or person who supports the political party or any candidate at any election, in any way infringes any provision of the enacted  Code of conduct , the Commission;

 

(a) in the case of a political party , and in the case of the leader, any office-bearer or member of a political party or person who supports the political party  or candidate, impose upon that political party one or more of the following penalties or sanctions;

                    i.        a formal warning;

                   ii.        a fine determined by the Commission;

   iii.        notwithstanding the provisions of any other written Kenyan  law,

·       an order prohibiting the political party, whether permanently or for a specified period, from utilizing any public media time, through the television or radio broad purposes;

 

·       an order prohibiting the political party, or candidate from;

v holding particular public meetings, demonstrations or marches, or any kind of meeting, demonstration or march;

v entering any specified electoral area for purposes of canvassing for membership, or for any other electoral purpose;

v erecting placards or banners, or from publishing and distributing campaign literature;

v publishing or distributing campaign literature and electoral advertising or limiting the rights of the political party to do so, in the affected places or electoral areas for purposes of the Act;

 

(b) Where a political party, referendum committee, leader or any office bearer, member or person who supports the political party, referendum committee or any candidate at an election fails, neglects or refuses to comply with the orders of the Commission, the Commission is required to impose upon the defaulting party any of the following sanctions;

 

·                 in case of fine imposed, prohibit the defaulting party from, participating in ongoing and future elections as candidates in case of a defaulting candidate or prohibit the political party or the referendum committee official from participating in ongoing elections and referendum, and future elections or referendum or any activity facilitated by the Commission until such fine has been paid;

 

(i)              in case of failure to comply with any other sanctions imposed, cancel the right of such political party or candidate to participate in the next election; and File execution proceedings in the High Court to enforce the recovery of the fine.

 

A fine imposed by the Commission under the electoral code of conduct is required to be registered in the judicial High Court.

 

 In addition, the Commission may either of its own motion or in consequence of any report made to it, institute proceedings in the Judicial High Court as may be appropriate in the case of any alleged infringement of the electoral Code of conduct by a political party or by the leader, any office-bearer or member of a political party or person who supports a political party or any candidate and where the High Court finds the infringement of the provisions of this Code—

·                 in the case of a political party, any act or omission involving violence,  intimidation or a gross or systematic violation of the rights of any political party, candidate or voter, the Court may, in addition to or in substitution for any other penalty or sanction specified

·                 in the case of the leader, any office-bearer or member of a political party or person who supports the political party or of any candidate, that any act or omission involving violence or intimidation or gross or systematic violation of the rights of any political party candidate or voter, the Court may in addition to or in substitution of any other penalty or sanction specified make an order disqualifying, in the case of a person who is a candidate, that person from being a candidate or deleting the name of that candidate from the list or lists of candidates concerned.

 

In making its decision regarding appropriate penalties or sanctions, the Commission or, as the case may be, the High Court shall have regard to any other legal consequences that may result from civil or criminal proceedings instituted by reason of the same occurrence

 

 

The High Court shall ensure that any proceedings initiated by the elections Commission are dealt with in priority to all other matters brought before it, and that the decision of that Court is given before the date of the election concerned.

Nancy kenya

India offers an interesting experience. Article 329 of the Indian constitution prohibits intervention by courts till elections are over and after election on can go in election petition before a court of law. In that case all complaints of electoral offenses and electoral mal-practices have to be entertained by the Election Commission. The Commission reacts to any complaints or media reports and first verifies through its field observers and Election Machinery and when the complaint is found to be correct, it disposes these complaints by a speaking order and the same is uploaded on the Commission's website for every one to say. This adds credibility to the complaints disposal system. A new IT application ensures that time lines given by the Commission are adhered to.

Coming to violation of code, we have one code for political parties and candidates. Poll staff is governed by their service rules because they are drawn form the government servants and there is no separate code for them. Media can be controlled by Press Council through Press Council Act and the Commission has no role in this regard. The Electronic Media is almost impossible to control in absence of effective laws and code of conduct. Thus Code for political parties and candidates is enforced by the Commission - This code was initially drafted and agreed by the political parties to regulate allotment of campaign sites and processions but later on the Commission took upon itself to enforce it. The Commission added one part to enforce a check on the ruling party so as to create a level playing field and Supreme Court of India ordered for regulation of manifestos of political parties by the Commission. This now is an additional responsibility of the Commission.

Process adopted by the Commission is as listed above and speaking order is passed in all cases of violations. Violations that come under electoral offenses, the matter is referred to the law implementing agency and other matters are disposed of by the Commission at its level. In most cases the punishment is limited to naming and shaming, warning for good behavior, reimbursing expenses for unauthorised use of government machinery, censor only. If there is large scale violation to the extent that the electoral process has vitiated in the opinion of the Commission, the poll can be countermanded in a few polling stations or the entire constituency and a fresh poll is ordered at a later date. Candidature cannot be cancelled by the Commission. Such issues can be entertained by the Courts after election is over.  

En mi país, Ecuador el Consejo Nacional Electoral en el proceso eleccionario es la primera autoridad,que esta por sobre las demás funciones del Estado, se encuentra envestida de todas las facultades y capacidades constitucionales para imponer las sanciones que correspondan de conformidad al tipo de infracción o delito electoral que sea cometido por las organizaciones políticas, candidatos, ciudadanos comunes, servidores y autoridades electorales, miembros de las fuerzas armadas y policía. Este sistema de conducta que se impone, partiendo del silencio electoral, la publicidad que no ese¡ autorizado por el organismo electoral, la inversión de montos superiores a los determinados para candidato que se utilice en la propaganda, el monitoreo de espacios en radio y televisiòn le da el pautaje regulado para cada partido o movimiento politico.

Para la sanciòn de las infracciones y delitos electorales, existen dos organismos encargados de investigar y procesarlos; uno el Consejo Nacional Electoral que en via administrativa conoce de las denuncias que se formulan por la violaciòn a las normas dispuestas para el efecto; luego que este organismo dictamina sobre el hecho, se puede apelar ante el Tribunal Contencioso Electoral, organismo jurisdiccional que en ùltima instancia determina la sanción que debe cumplir el sujeto político infractor.

Este mismo organismo de encontrar el cometimiento de delitos electorales, como el fraude, el financiamiento de la campaña electoral, con recursos provenientes del narcotráfico, lavado de activos o de actos ilícitos, esta obligado a correr traslado a los organismo de justicia ordinaria para la sustanciación, procesamiento y sanción correspondientes.

Esto es que la conducta de la ciudadanía, de los sujetos políticos intervinientes en el proceso electoral, funcionarios, autoridades y servidores electorales están sometidos a las mismas reglas de juego.

En mi país, Ecuador el Consejo Nacional Electoral en el proceso eleccionario es la primera autoridad,que esta por sobre las demás funciones del Estado, se encuentra envestida de todas las facultades y capacidades constitucionales para imponer las sanciones que correspondan de conformidad al tipo de infracción o delito electoral que sea cometido por las organizaciones políticas, candidatos, ciudadanos comunes, servidores y autoridades electorales, miembros de las fuerzas armadas y policía. Este sistema de conducta que se impone, partiendo del silencio electoral, la publicidad que no ese¡ autorizado por el organismo electoral, la inversión de montos superiores a los determinados para candidato que se utilice en la propaganda, el monitoreo de espacios en radio y televisiòn le da el pautaje regulado para cada partido o movimiento politico.

Para la sanciòn de las infracciones y delitos electorales, existen dos organismos encargados de investigar y procesarlos; uno el Consejo Nacional Electoral que en via administrativa conoce de las denuncias que se formulan por la violaciòn a las normas dispuestas para el efecto; luego que este organismo dictamina sobre el hecho, se puede apelar ante el Tribunal Contencioso Electoral, organismo jurisdiccional que en ùltima instancia determina la sanción que debe cumplir el sujeto político infractor.

Este mismo organismo de encontrar el cometimiento de delitos electorales, como el fraude, el financiamiento de la campaña electoral, con recursos provenientes del narcotráfico, lavado de activos o de actos ilícitos, esta obligado a correr traslado a los organismo de justicia ordinaria para la sustanciación, procesamiento y sanción correspondientes.

Esto es que la conducta de la ciudadanía, de los sujetos políticos intervinientes en el proceso electoral, funcionarios, autoridades y servidores electorales están sometidos a las mismas reglas de juego.

Enforcing a code of conduct by an EMB must be provided for by the legal instrument establishing and defining the functions and powers of the EMB. This form of code of conduct may be formulated by the EMB and distributed to stakeholders and competing parties and candidates. Another form that is legally binding is that which stakeholders and key players themselves agree on and sign to abide by the code of conduct which the EMB monitors and sanctions. However, sanctioning defaulters of such code of conduct may be problematic if the electoral law limits the EMB's capacity to sanction a political party or candidate besides rejecting their list or candidature if they fail to meet legally specified requirements. This may be even more difficult if the envisaged sanctions are not included in the agreed code of conduct signed by the parties concern.

In both cases, the EMB is best placed and capable of sanctioning defaulters of a code of conduct provided either the EMB initiated code of conduct is derived from its mandate in the law or one that is agreed upon and signed by the parties and include possible sanctions. In my experience sanctions emanating from the non compliance of a code of conduct are rare and codes of conduct are the minimum ethical obligations that parties are expected to fulfill, adhere to or implement to provide the desired atmosphere for elections to be conducted.

Question:

What are the range of powers that election commissions have to enforce a code of conduct for political parties and candidates?  How widespread is it that election management bodies have real and substantial enforcement powers for a code of conduct?

Answer:

The issue for respect of codes of conducts appear when there are violations.  In this case, the presumption of innocence should be preserved. At the same time, there's a need to ensure respect of codes of conducts. I think that electoral commission should have the authority to launch judiciary investigations and then refer cases to the judiciary for decision.

Of course, drafting code of conducts should consider what should be included in the code of conducts. Binding legislations (penal law, electoral laws ... etc) include enforcement measures. The codes of ethics/ codes of conducts are for promoting the good behaviors. In this case, they should cover what cannot be covered by binding legislation, especially matters that are between the person and himself and where no witness can be or no proof can be found.   In these cases, promoting the conde and sensitizing target group in only way to ensure codes respect.  

Yes, the election commission in any country can be played using the means to implement the code of conduct between the parties by way of indirectly through the use of its powers in the electoral complaints before the Public Prosecution and judicial authorities concerned are those bodies through the application of the law can achieve the goals to protect the electoral process is the goal of the Commission and partners.

Example: respect for judicial rulings, a crime for those who have not respected in the issue of elections.

Since the code of conduct is primarily voluntarily adopted by political parties and candidates, the role of the electoral management body or election commission is more like a referee in a football match. Though a code of conduct cannot substitute for the laws, it is more like a “nudge” to political parties and candidates to carry out their election campaigns according to some accepted norms. Where norms are violated, the election commission can give a rap on the knuckles or publicly censure the conduct of a political party or candidate. The effectiveness of the code of conduct is based on public perception about the neutrality of the election commission, social acceptance of the norms and civic awareness.

Of course where there is a violation of law, the election commission can direct the filing of criminal cases especially where the regular law enforcement machinery is not very keen to take on the ruling political party. The election commission cannot annul the result of an election nor can it disqualify a candidate for violation of code of conduct; only a court of law is empowered to decide.

Pregunta, ¿el código de conducta a que te refieres es exclusivo para partidos políticos y candidatos?. Determinar esto es esencial, ya que si se circunscribe a esta etapa (pre campañas y campañas electorales) en México no existe un instrumento de esas características en el ámbito federal. Las instituciones que regulan el comportamiento de militantes, simpatizantes y candidatos en estas etapas son los propios partidos políticos, a través de sus estatutos. Nuestra autoridad administrativa a escala federal; el Instituto Nacional Electoral recibió una ampliación de facultades en el año 2014 y la nueva legislación le permite intervenir para determinar sanciones en el pautado de spots y mensajes en medios masivos de comunicación por contenidos calumniosos y por rebase de tope de gastos de precampaña y campaña, pero un Código de Conducta como tal no existe.

In Kenya the Code of Conduct for political parties and candidates is enshrined in Article 84 of the Constitution of Kenya. Further, the Election Act section 110 provides for a Code of Conduct that is expounded in the 2nd Schedule of the Act. In summary, the EMB uses two organs to enforce code 1.The Code of Conduct Enforcement Committee comprised of 5 Commissioners/Board Members whose Chair must be qualified to be a Judge of the High Coirt. The Board can appoint an officer from the secretariat to be the Secretary. 2.Peace Committees at sub county (single constituency) level which mostly deal in resolving minor conflicts and mediating or escalate serious violations to the Enforcement Committee Whereas the powers of the Commission to enforce ranges from warnings, fines or bar parties or candidates where they don't pay fines among the sanctions, the real challenge has always been the issue of robust implementation. In my personal opinion ,things are not made easy by the fact anyone(suspected candidate or party) can go to court to obtain any manner of legal injunctions or orders from the courts as well as perceived lack of capacity or lack of adequate mechanisms by the EMB to make enforcement a reality. This makes the EMB be perceived as a toothless dog by citizens and stakeholders who are keen to have the code enforced. In Conclusion: The Code of Conduct if well enforced is a powerful tool to safeguard the integrity and credibility of the electoral process but it all depends on the courage and commitment of the EMB stewardship as well as the state of the wider electoral justice architecture in general

Zambia gives an interesting experience. The Electoral Commission which is the body mandated to run and manage elections does not have power to punish offenders. It ends at reporting them to security wings. This has led to so much violence because the offenders know it takes a while before the law visits them especially if they are from the ruling party. The Commission can not even suspend a Candidate or party or anybody else for breaking the Code of Conduct. Meanwhile, in Ghana, the Electoral Commission has a little more power in that the it can remove a political party from a race as we saw in the 2016 election where several parties were not included on the ballot paper for failure to meet certain conditions. Most interesting was no matter how much they made the Commission stood its ground.

Deseo complementar lo que se ha escrito sobre el Ecuador respecto de la pregunta planteada. En primer lugar es necesario determinar el ámbito y alcance de un código de conducta por el origen del mismo. Si se trata de una norma jurídica emitida por el Legislativo o por el propio organismo electoral, estamos ante un caso de cumplimiento obligatorio por la naturaleza de norma jurídica. Esto significa que son disposiciones obligatorias -código de conducta- que obligan a todos y su incumplimiento genera como efecto una sanción. En este caso, en Ecuador posee abundante legislación que obliga a todos los actores de un proceso electoral, por ejemplo a los partidos políticos, candidatos, medios de comunicación, empresas encuestadoras, magistrados y funcionarios de los organismos electorales, etc. El poder que tiene el organismo electoral para hacer cumplir sus normas es coercitivo.

Por otra parte, cuando un código de conducta tiene su origen en acuerdos voluntarios, pactos éticos, entre los actores de un proceso electoral, estamos frente a un conjunto de acuerdos o directrices que tienen un valor ético y referencial; en caso de incumplimiento solo se puede aplicar la censura pública pero de ninguna manera se generan efectos jurídicos. La eficacia y cumplimiento de los pactos éticos depende en gran parte de: la voluntad política de los involucrados, la credibilidad del organismo electoral cuando promueve este tipo de pactos, y de la vigilancia ciudadana para exigir que se respeten tales acuerdos.

Por ejemplo, un organismo electoral llama a un pacto ético entre los partidos y candidatos que intervienen en un proceso electoral, pero ese pacto no se concreta porque existe la sospecha de que el organismo electoral es parcializado hacia el gobierno de turno que también tiene candidatos en las elecciones.

Por último, comparto un trabajo de la Unión Interparlamentaria que se refiere a los códigos de conducta en elecciones.

Saludos cordiales

Sin embargo,