Oversight of the electoral process is an important integrity mechanism. Most electoral systems have empowered a specific office or agency to provide the official oversight of the election management body. This office can be located within the election management or policy bodies, or in a separate institution, such as an Auditor General that works for Parliament or an independent commission. Official oversight is an important check in the checks and balances of maintaining election integrity. However care needs to be taken to ensure oversight is nonpartisan and is used to improve integrity rather than to obstruct or manipulate the process (these issues are addressed in Integrity Issues in Oversight).
Oversight agencies can look for integrity problems in:
- election administration and management;
- voter and candidate registrations;
- electoral campaigns and campaign funding; and
- voting and the count.
Oversight agencies can ensure routine oversight of the electoral process as well as undertake specific investigations based on complaints. To be effective, oversight agencies require:
- the independence to determine what reviews need to be performed;
- access to the information needed to undertake a review;
- the ability to publish their review findings and recommendations without censorship or political interference; and
- no personal or institutional stake in the outcome of their electoral oversight.
The primary roles of oversight agencies in the protection of election integrity includes:
Independent oversight of the electoral process
This can be done through:
- continued nonpartisan monitoring of election administration and management to ensure its goals and objectives are met, resources are safeguarded, laws and regulations are followed, and adequate control and supervision mechanisms are in place to safeguard the process and its assets;
- regular independent and objective auditing of election administration, its management and financial operations; with specific audits and investigations done on an as needed basis because of complaints or concerns identified during routine monitoring; and
- independent assessment of the performance of the election administration in order to obtain information to improve public accountability and facilitate decision-making and corrective action.
Ensures compliance with the legislative and regulatory frameworks
In this role, it reviews election policy and management for compliance with the legal requirements for administration and the process. It also reviews election management for compliance with the performance and financial reporting required by law.
In Canada, for example, the objective of its oversight office, the Commissioner of Canada Elections, is 'to assist in maintaining the confidence of the public in the electoral process and to achieve compliance through measures which are remedial rather than punitive and to enforce the Canadian Elections Acts by undertaking investigations and authorizing prosecutions of offences.' 92
Detects and deters integrity problems including corruption, abuse of power and discriminatory practices
Oversight agencies promote the efficient use of assets, and the effectiveness of management systems to ensure they are economic, effective and efficient, and to uncover and prevent waste, fraud and abuse. They can also review existing and proposed legislation and regulations, and make recommendations regarding their impact on the economy and efficiency in election administration and operations. They can also recommend policies to promote economy or to prevent and detect fraud and abuse.
Depending on its mandate, oversight can include such issues as official misconduct, vote buying, election fraud, obstruction of justice and other breaches of public trust related to elections.
Promotes accountability
Oversight agencies can:
- identify and report on noncompliance with rules and regulations, especially those that deal with election integrity issues. Those responsible for noncompliance can be identified in their reporting;
- identify and report on whether public funds and assets were managed properly and in compliance with laws and regulations. Reports can identify problem areas within the organization, and the persons or offices responsible;
- audit the reporting of the election management body and independently verify the contents of its reports, and identify problems such as inadequate or inaccurate reporting;
- identify and report on asset management and whether the management and control systems promoted integrity, economy and efficiency and whether there was fraud, waste and abuse within the system; and
- assess the performance of the election administration and its programs and services, determine if the activities were sound from the standpoint of upholding the law, and whether they achieved their objectives. 93
Promotes transparency and builds credibility for the process
Public access to oversight reports helps the transparency of the process and builds credibility and legitimacy in its results. The public will know whether the decisions made by the election management body were made in accordance with proper procedures, and if they complied with the laws and prevented discrimination, fraud and abuse.
Oversight reporting keeps the electoral policy body and principle election managers, as well as others with a need to know (such as Congressional or Parliamentary oversight committees), fully and currently informed of problems in election programs and operations.
Oversight by a neutral and professional mechanism in countries in transition, that has gained the trust of both the political parties and the election administrators through its objective work, can help build confidence in the process and increase participation.
Enforces compliance with legal framework
Oversight agencies can play the same role as enforcement agencies if they have the power to determine accountability for actions and have punitive powers. The actual enforcement power of an oversight agency will depend on its mandate, but could include imposing sanctions, such as fines or suspensions, on violators. In serious cases, the oversight agency can recommend termination of employment or refer the matter to the criminal justice system for prosecution. (see Enforcement Agencies).
In the case of the U.S., electoral districts with a history of electoral discrimination based on race, such as denying access to voter registration and polling sites, were subject to federal oversight. This was done through the sending of federal registrars to monitor the process and register those who were denied access by the states. They were also given extensive civil enforcement powers to ensure compliance. 94
Ethics Oversight
Some electoral systems have oversight committees that monitor the ethics of electoral administrators and candidates. These committees or agencies can be citizen bodies, a government inspector or office or some other combination. These committees monitor and enforce the codes of conduct or ethics adopted by the electoral system.
The U.S. city of Seattle, for example, created an 'Ethics and Elections Commission.' The Commission is a seven-member citizen body that interprets, administers and enforces the Seattle Elections Code, Code of Ethics, and other related codes. This commission investigates complaints received about violations of the code of ethics, and settles the complaint, either directly with the employee, or through a public hearing. It can levy sanctions of up to $500 per violation but the committee has no disciplinary powers. It can only recommend disciplinary action to the employer who then must report back on the action taken.95
