General Purpose
Observation by political participants in election processes and their representatives (see Party and Candidate Representatives), by local non-governmental organisations (NGOs) (see Local NGOs and CBOs), and sponsored by international government and non-governmental groups (see International Organisations), has become a more common method of identifying and guarding against errors, distortions and manipulations in voting operations practices. (For further information on legal frameworks for election observation programs, see Observation, and for electoral management body liaison with and facilitation of observation, see Facilitating observer activities, Inviting and Accrediting Observers and Liaison with NGOs, Observer Groups.)
Types Of Observation
Election observation is typically defined in two categories:
- short-term observation, encompassing voting day and the count;
- long-term monitoring, assessing holistically the entire election process.
The latter method may include observing events from the setting up of electoral management bodies, voter registration, voter education, candidate nomination and political party registration, political campaigning and media issues, voting and the count, through to the installation of elected bodies. Long-term observation is the more effective method, as the observation group acquires knowledge of the context within which voting and the count takes place. Observers can thus provide more informed opinions on the election outcomes and more comprehensive guidance on relevant future improvements.
As wide, long-term coverage of election processes is generally beyond the financial and human resources available, a mix of long-term and short-term observation teams, using smaller-scale general coverage of the whole election process and its aftermath, and comprehensive or properly sampled short-term coverage of voting day and the count provides a reasonable compromise. (For further discussion of deployment issues, see Observer Deployment.)
Decisions on implementing short-term, long-term or a mix of observation periods will depend on:
- the aims of the observer organisation;
- the financial, human and logistics support available;
- the election administration and campaign environment.
Where long-term observation is being undertaken, the observation plans for voting operations should be integrated with those for the whole election process. An example of comprehensive guidelines for undertaking election observation are at Handbook for Election Monitoring - NDI.
Why Observe Voting Operations Processes
Whether representing groups politically involved in the election or independent bodies, the presence of observers has a primary focus on promoting an atmosphere of openness and transparency, thus enhancing public confidence in the election processes and their outcomes. Observer access to voting processes acts as a deterrent to improper practices and attempts at fraud. Properly researched reports from observers are also an important means through which the performance of election frameworks and operations can be assessed. Such reports are useful tools for legislators, political activists and election officials in effecting future improvements to election systems.
Election observation by independent bodies, whether domestic or international, has significant additional benefits. The influence and reputation of the sponsoring bodies may enhance the deterrence of both improper practices and frivolous or unfounded allegations of impropriety. International observation teams bring a knowledge of comparative practices to their assessments and can be effective in stimulating improvements in line with international good practice standards.
However, such independent observation teams bear a large responsibility to undertake their mission with fairness and sensitivity. The public may well rely on the independent observers' assessments for their understanding of the freedom and fairness of election processes, or see the very presence of independent observers as legitimising the election processes. (For further discussion of responsibilities of observer teams, see Observer Rights and Responsibilities.)
Structural Considerations
In developing an election observation or monitoring program, organisations need to consider both the general environment in the country and their own internal structure and capabilities. In assessing the external environment, general attributes such as the country's geographic size, infrastructure, literacy, economic development, and demography are key considerations.
Apart from these general attributes, the basic external factors to be considered involve the nature of the electoral event to be observed. Fundamental to these are the type of election and the circumstances in which it takes place. The type of election--primary or general, for national, provincial or local legislatures, for presidential candidates, or referendum--will have different impacts on society. Observation approaches will be shaped by the significance of the election and the powers of the bodies to be elected within the constitutional and legal framework of the country.
Different observation approaches will be needed if the election takes place in a 'normal', stable environment or the election is a step in a process of major political transition--being used, for example:
- to resolve conflict;
- to provide post-war legitimacy to governance structures;
- to establish a new statehood;
- to consolidate a recent transition to democratic structures.
Further important environmental factors for consideration include:
- the maturity of development and public penetration of any political parties;
- the election's administrative and legal frameworks;
- the freedom of expression allowed to, and taken by, the media and public in discussion of electoral issues.
Internal capability considerations for the observation group include:
- the capacity for continuous or long-term monitoring (more usually found in local political participants or independent groups than in international missions, who are generally only invited to observe a specific electoral event);
- whether a permanent or only short-term observer infrastructure (staff, logistics and facilities) is available;
- the number of available observers and their election-related professional knowledge (see Observer Sources and Recruitment).
Observation Aims
Aims of the observer groups and the scope of their observation activities must be clearly defined and understood by the observer groups, and clearly communicated to election administrations, political participants and the public. Such aims will be of a different nature for representatives of candidates or parties involved in the election processes and for independent observers.
For the former group, the key issue is generally the treatment of their candidates, policies and supporters, either overall or in specific areas. Partisan in approach, this relies on checks being applied by all political participants to achieve a balance of transparency and openness (see Party and Candidate Representatives).
Independent observer groups may limit their aims to observation of specific technical issues assessed to be at risk or attempt to assess the overall freedom and fairness of the election processes and environment. In each case, aims should be supportable by the appropriate level of resources and knowledge. For example, to attempt to deliver an assessment on overall freedom and fairness of election processes without the benefit of long-term monitors, or with only limited coverage of voting and the count, risks uninformed judgments.
The following discussion deals with observation by independent groups. (For more details on the organisation of monitoring by party or candidate representatives, see Political Parties as Election Monitors.)
Observation Framework
An effective framework for observing election processes requires the development of:
- an observation management structure;
- determination of which election-related activities are to be monitored;
- detailed observation planning;
- negotiated access to the election processes and the officials and political participants involved;
- a credible, openly-disclosed observation methodology including an evidentiary basis for reporting and defined standards against which the election processes are assessed;
- trained, competent observers sensitive to the community and election environments (see Observer Sources and Recruitment and Training for Observers);
- the ability and commitment to publicise openly through credible spokespersons the observation findings;
- observer materials that allow observers to be aware of and report on election processes (see Observer Reference Materials);
- appropriate financial, administrative and logistical support resources (see Observer Logistics).
Planning Considerations
Observation projects should be guided by an observation management plan that:
- meets the defined aims and scope of the observation;
- is relevant to the type and circumstances of the election;
- is linked to key election activities;
- efficiently allocates the resources available.
The intensity and period of observation will be dependent on available financial and personnel resources. Where resources are insufficient to mount comprehensive long-term monitoring, risk assessments, through research of past election performance and current political and administrative environments, can be used to identify specific election activities or geographic locations where observation resources should be concentrated.
While voting itself and ballot counts are obvious critical points in the process that tend to be the focus of observation activity, other critical activities such as compilation of voters registers, registration of candidates and parties, freedom of campaigning, and formation of a government, may be equally or more relevant to the outcome of the election than voting day itself.
Comprehensive or Sample Coverage
Particularly on voting day, resources may not be sufficient to mount comprehensive or total coverage. Alternatives are to fully monitor a sample of sites, or to comprehensively or near-comprehensively cover all locations for short periods. If the former method is chosen, sample locations should be scientifically selected, considering risk assessments of the local environments, geographic location, size and nature of voter population, so that observation provides representative impressions. If the latter, the timing of visits requires both flexibility in planning and a certain element of surprise, to ensure the normal operations are observed.
Observation Plan Components
Elements of the observation plan should include:
- observation objectives and scope;
- management structure;
- budget and financial accountability;
- nature and location of election activities to be monitored;
- information gathering strategy;
- logistics arrangements;
- observer recruitment arrangements;
- production and distribution of observer materials;
- observer training plan;
- observer deployment plan;
- observer reporting structure and time frame;
- information dissemination strategy;
- administrative support arrangements for observers.
Information Communication
It is important for observer groups to build communications relationships with executive authorities in charge of elections, election administrators, the public, political participants, and active interest groups. This is in order to both obtain information and effectively disseminate observer findings. While methods will differ from country to country, there are several principles that, if applied, will increase the effectiveness of the observation program:
Rights of observer access to election information and participants, and clearance for scope of observation activities, should be negotiated with electoral management bodies well before commencing observation.
Information channels should be defined, with arrangements being made to deal with designated contacts in the administration and political organisations, and appointing designated information spokespersons for the observer group. All members of the observer group should be aware of the limits of their roles in gathering or disseminating information, particularly with regard to media contact.
Target audiences and appropriate communication methods should be researched and determined. Communication methods may involve the media, through press conferences or media releases. Care should be taken with published reports or newsletters to ensure that conclusions are based on sustainable evidence and are not released prematurely. In countries of lower literacy or low media penetration, more informal methods will be more appropriate--for example, the use of personal contact through general meetings or meeting with people of standing in the community.
An overall information dissemination strategy should be implemented, synthesising the above. It should aim at using all available formal and informal communication methods, referenced to a time line framework for significant information gathering and release activities.
Coordination between Observation Groups
Coordination between observer groups can enhance coverage, prevent duplication of efforts and extract better value from available resources. Even for party or candidate representatives (particularly for those parties currently not in power), it may be possible to coordinate at the planning stage in standardising observation methodologies, standards and reporting formats.
For independent observers, coordination can extend much further, and the following opportunities could be considered:
- assigning responsibilities to different organisations for particular geographic areas or election activities to maximise coverage;
- sharing or developing common information and reporting materials;
- maximising scarce logistics or technical resources, such as transport, accommodation, or computer equipment and/or professional analysts, by sharing and using a common approach;
- Sharing information gathered by different groups to increase cost-effectiveness and minimise disruption to election processes;
- coordination of travel to maximise available security;
- use of joint debriefings and evaluations of findings, promoting consistency in final reports and providing a basis for improvement for future observer missions.
All opportunities for observer groups to coordinate their activities should be considered.
Potential Pitfalls
Observer findings and reports, particularly from independent groups, are powerful tools in the hands of political partisans. Ill-defined aims and planning, faulty methodology, insufficient access or coverage, unsuitable observer staff and unsupported judgments undercut credibility and may lead to misuse of observer findings. Different observer groups in the same election process have at times arrived at very different and inconsistent conclusions, using different methods, geographic focus, or length of observation. This is often due to small missions working independently of each other on small but not necessarily representative samples of election activities and with no common standards against which to make their assessments.
Wide geographic and activity coverage is essential to establish beyond doubt the legitimacy of the observation process. There is some evidence that long-term observers are more reticent in declaring elections free and fair, as they are more familiar with the whole election process. This would suggest the necessity of including some well-trained long-term observers in any observation project. Coordination of all groups' observation efforts under an umbrella structure may allow a longer monitoring period and the standardisation of methodologies, assessment standards and reporting, and enhance cost-effective coverage.
Most importantly, election observation assessments should be made on technical and democratic considerations, not political ones such as the future stability of the country. The exclusion of such political considerations may be difficult, particularly if observation is financed by organisations or governments with their own agendas regarding the election process.
