Regulations are the set of procedures and rules that institutions adopt to implement the responsibilities given to them in the legal framework. Generally, executive agencies or ministries have independent power to issue regulations without requiring legislative action. These regulations fill in the details - the how to - of, in this case, election administration.
The electoral policy or management bodies are authorized by the Constitution, or relevant electoral laws, to issue electoral regulations. These regulations govern the conduct of the elections and the political parties competing in the elections. Regulations, by either these electoral bodies or other election-related bodies, also apply to the other aspects of an election, such as the media, campaign finance and lobbyist registration.
Regulations should follow the same principles for integrity found in the Principles for a free and fair elections and in the legislative framework. To be effective, they are clear, equitable and minimize restrictions on the political freedoms of the candidates and voters. Good regulations can help ensure the fairness of the process, equality of opportunity and accountability of all participants. Since regulations are issued by an agency, they are easier to change and update than the formal legislation, and provides election managers with an effective tool to address new integrity problems as they arise.
Regulations are similar to legislation. They authorize electoral officials to do a certain task, but they also limit their discretion for independent action. Regulations need to be enforced and enforcement helps ensure the accountability of election officials and others involved in the electoral process. The penalties and sanctions for noncompliance are usually included in the regulation. These can range from fines to imprisonment depending on the infraction. (More information on this is available at Administrative Regulations.)
In the Mexican electoral system, Dr. Andreas Schedler has identified three regulatory checks on election administrators that help maintain integrity in the system. These are:
- bureaucratic record keeping of actions, materials and electoral events, which enables political parties to trace problems back to their source;
- identity controls for every document and voter to eliminate things such as forged ballots or voter fraud (i.e., to ensure each voter is qualified and has only one card); and
- time schedules for every action which provides power for action, such as registering to be a candidate. But the schedule also limits power as the registration must be done within the time specified by the regulations. 82
Decrees
Governmental decrees are used in some systems and are similar to regulations in that they are an executive branch order that has the force of law. In Argentina, for example, a Presidential Decree in 1997 created a National Office of Public Ethics. This office, located within the Office of the President, elaborates national rules of public ethics and monitors their enforcement. 83
