Electoral Observations in the Americas Series, No. 18

Electoral Observation in Peru 1998

Secretary General César Gaviria

Assistant Secretary General Christopher R. Thomas

Executive Coordinator, Unit for the Promotion of Democracy Elizabeth M. Spehar

This publication is part of a series of UPD publications of the General Secretariat of the Organization of American States. The ideas, thoughts, and opinions expressed are not necessarily those of the OAS or its member states. The opinions expressed are the responsibility of the authors.

OEA/Ser.D/XX SG/UPD/II.18 7 julio 1999 Original: Spanish

Electoral Observation in Peru 1998

General Secretariat Organization of American States Washington, D.C. 20006 1999

This report was produced under the technical supervision of Santiago Murray, Chief of the Mission, Special Advisor of the Unit for the Promotion of Democracy, and with the assistance of Cristina Tomassoni, Deputy Chief of the Mission and, Senior Specialist of the Unit for the Promotion of Democracy (UPD).

Design and composition of this publication was done by the Information and Dialogue Section of the UPD, headed by Caroline Murfitt-Eller. Betty Robinson helped with the editorial review of this report and Dora Donayre and Esther Rodriguez with its production.

Copyright  1999 by OAS. All rights reserved. This publication may be reproduced provided credit is given to the source.

Table of Contents

Foreword...... vii

Introduction...... ix

CHAPTER I Legal Framework...... 1

1. Electoral Authorities...... 3 2. Municipal Elections Law...... 5

CHAPTER II Development of the Electoral Observation Mission ...... 9

1. Structure and Territorial Distribution ...... 11 2. Central Office...... 12 3. Arequipa Regional Office...... 17 4. Ayacucho Regional Office...... 22 5. Cajamarca Regional Office...... 26 6. Cusco Regional Office...... 28 7. Chiclayo Regional Office ...... 32 8. Huancayo Regional Office...... 34 9. Huaraz Regional Office ...... 38 10. Iquitos Regional Office...... 40 11. Trujillo Regional Office...... 42 12. Complaints ...... 44 13. Post-election Phase...... 44 14. Conclusions and Recommendations ...... 46

CHAPTER III Appendices...... 49

APPENDIX I: Invitation from the Government of Peru to Observe the Municipal Elections APPENDIX II: Response by the Secretary General Regarding the Organization and Dispatch of the Electoral Observation Mission APPENDIX III: Pronouncement by the Ombudsman on the Occasion of the Elections APPENDIX IV: Press Release by the Chief of Mission APPENDIX V: Communications between the Chief of Mission and the National Election Board on Procedures for Handling Complaints APPENDIX VI: Appeals for Nullification, List of the motions for nullity, Broken Down by Province and District

APPENDIX VII:* Challenges and Complaints Published by the official gazette El Peruano APPENDIX VIII: List of the Election Districts in which a Second Round was held on December 13, 1998 APPENDIX IX: List of the Election Districts in which Supplementary Elections will be Held in July 1999 APPENDIX X: Resolution of the ONPE on the Process of Verifying the Tally of the Votes and Voter Rolls APPENDIX XI: Statistical Sample Used for the Process of Verifying the Procedure Used in the Vote Tally APPENDIX XII: Statistical Sample Used for the Process of Verifying the Voter Rolls APPENDIX XIII: Note from the President of the National Election Board on the Role played by the Electoral Observation Mission APPENDIX XIV: Tables on Compliance with the Gender Quota in the Lists of Candidates APPENDIX XV: Financial Report

*APPENDIX VII cited in the report, is available for consultation in the UPD offices.

Foreword

Democratic ideals and principles have always been present in the inter-American system. The Charter of Bogotá, establishing the Organization of American States (OAS), formally proclaimed in 1948 that "the solidarity of the American States and the high aims which are sought through it require the political organization of those States on the basis of the effective exercise of representative democracy." Forty years later, the Protocol of Cartagena de Indias emphatically reaffirmed this principle, including among the essential purposes of the Organization the promotion and strengthening of representative democracy. The signature of the Protocol gave rise to an unprecedented renewal of the commitment of the member states to defending and building democracy.

Within this context, the Unit for the Promotion of Democracy (UPD) is one of the instruments the OAS can draw upon to support member states in their efforts to strengthen and consolidate democratic institutions. Established by João Clemente Baena Soares, who was then Secretary General, as agreed at the 1990 General Assembly session, the UPD offers a broad program of support to member states which, in full exercise of their sovereignty, request advisory services or assistance in their efforts to preserve or strengthen their political institutions and democratic processes.

With regard specifically to elections, the UPD provides assistance and technical advisory services to national electoral agencies and organizes and dispatches electoral observation missions to member states that so request by applying to the Secretary General of the Organization. OAS activities in this field are based on the conviction that the electoral process is always an essential piece of the transition to or building of democracy.

The electoral observation missions of the Organization are intended to: (a) observe and report to the Secretary General on the electoral process, using as a reference point the constitution and electoral law of the host country; (b) express the international community's support for the electoral process; (c) work with government, electoral, and party officials and with the population in general to ensure the integrity, impartiality, and reliability of the electoral process; (d) foster an atmosphere of public confidence and encourage citizen participation; (e) discourage attempts to manipulate elections; (f) serve as an informal channel for reaching a consensus if disputes arise among the various participants in the electoral process; and (g) make recommendations for improving the electoral system.

In order to meet these objectives, the OAS electoral observation missions deploy observers throughout a country to monitor the different stages of the electoral process and compile their comments in a final report.

In general, the work of the OAS electoral observation missions focuses on those aspects and mechanisms of the political and electoral process where differences or disputes among participants are more likely to arise or that could jeopardize the integrity and transparency of the viii Foreword

results. The missions therefore closely follow both organizational and political aspects of the electoral process. On the organizational side, the missions pay special attention to the enforcement of election law, the actions of the electoral tribunal, logistical arrangements, civic education campaigns, and the observance of rules governing the registry of candidates and voters. On the political side, the missions look at promotional campaigns, the behavior of the mass media, activities linked to elections in nongovernmental organizations, and government actions that might have an impact on the course of the electoral process.

The observations and analyses by the electoral observation team, combined with the Organization's experience with elections, enable the mission to identify the weaknesses of a system with considerable accuracy and formulate possible solutions. As a result, mission reports generally include a number of recommendations for strengthening the electoral process.

This volume is part of a series designed to provide relevant information on some of the UPD's electoral observation missions, both to the general public and to readers with special interests. We trust that the study and analysis of these experiences will help to increase knowledge of circumstances in the countries in the region and promote democratic values and practices as the 21st century approaches.

Elizabeth Spehar Executive Coordinator Unit for the Promotion of Democracy

Introduction

1. Background to the Mission

In the past, the Organization of American States has sent four Electoral Observation Missions to Peru. The first, in 1992, was on the occasion of the elections for delegates to the Democratic Constituent Congress. The following year, the municipal elections and the referendum on constitutional reforms were observed. A fourth mission was held for the 1995 general elections.

By note of May 15, 1998, Ambassador Beatriz M. Ramacciotti, Permanent Representative of Peru to the Organization of American States (OAS), asked Secretary General César Gaviria, on behalf of her government, for an Electoral Observation Mission to observe the municipal elections scheduled for October 11, 1998.1

In his response of May 22, the Secretary General endorsed the request and said he would arrange for the Mission, as soon as he had assurances of the necessary funds, which he would request from the delegations of the Member States and Permanent Observers.2

In September, after the governments of Canada and the United States said they were willing to make financial contributions, the Secretary General designated Mr. Santiago Murray, Special Adviser to the Unit for the Promotion of Democracy, as Chief of Mission.

2. Preliminary Report by the Chief of Mission

To collect information on conditions and issues relevant to the elections, the Chief and Deputy Chief of Mission made a preliminary trip to Lima from September 22 to 25. They met with the electoral authorities, representatives and candidates of political parties, spokespersons of non- governmental organizations, and members of the press, radio, and television.3 They also held protocolary meetings with Ambassador Hugo Palma Valderrama, then-Vice Minister and Secretary General of the Ministry of Foreign Relations, and Cardinal Augusto Vargas Alzamora.

1See APPENDIX I.

2See APPENDIX II.

3Meetings were held with the following persons: Luis Serpa Segura, President of the National Election Board; José Portillo Campbell, Chief of the National Office of Election Processes; Celedonio Méndez, Chief of the National Registry of Citizen Identification; Javier Alva Orlandini, member of Congress, Acción Popular; Alfonso Grados Bertorini, member of Congress, Unión por el Perú; Lourdes Flores Nano, member of Congress, Partido Popular Cristiano; Mr. Carlos Hurtado Miller, candidate for mayor, Movimiento Vamos Vecino; Germán Aparicio, Deputy Mayor of Lima and candidate for re-election for the Movimiento Somos Perú; Alex Kouri, mayor of Callao and candidate for re-election, Movimiento Chim Pum Callao; Enrique Gálvez, candidate for mayor of Lima, Acción Popular; Carlos Roca, candidate for mayor of Lima, Partido Aprista Peruano; Rafael Roncagliolo, Technical Secretary of Transparencia; and Francisco Diez Chances, of the Consejo por la Paz. x Introduction

On his return to Washington, the Chief of Mission reported to the Secretary General on the first impressions, which had to do mainly with the following points:

General data on the election: According to official figures from the National Office of Electoral Processes (ONPE), 13,362,685 citizens were qualified to vote for municipal authorities, who would serve for four years, until December 31, 2002.4 There would be 81,660 polling stations throughout the country; Lima would have 28,168, distributed in 503 locales or centers, to serve 4,676,553 voters, one-third of all the registered voters in the country. The results would be compiled by means of 194 Decentralized Offices of Electoral Processes and 108 tally centers, seven of which would be in the metropolitan area. Public order would be maintained and polling places guarded by 85,000 police and 65,000 members of the armed forces. In addition, the Executive Committee of the Public Ministry would authorize the provincial and deputy prosecutors all over the country to intervene in any complaints of electoral crimes. The fines and penalties for failure to vote or to appear for service as a poll worker would be collected summarily.5

Technical and legal innovations: The electoral authorities announced that the October elections would be held with technical and legal innovations adopted since the 1995 municipal elections. The technical innovations referred to security measures (cryptograms, holograms, verification number, etc.) adopted to prevent falsification of the election documents. It should be noted that 1,800 different ballots had to be printed to register approximately 10,000 symbols from political groups. The legal changes, under a new election law passed in September 1997, included calling a second round when no single ticket won more than 20% of the votes in the particular electoral district, requiring at least 25% of each ticket to be composed of women, and reducing the time for registering the tickets.

National observers: In addition to the international observers from the OAS, the National Election Board also accredited national observers from two Peruvian non- governmental organizations: Transparencia and Consejo por la Paz.6 Transparencia announced the deployment of more than 10,000 observers, and the Consejo por la Paz pledged about 3,000.

Political party system: There are a very large number of independent movements (70,000 candidacies nationwide), mostly local in scope except for Somos Perú, with

4Organic Law on Municipal Elections, 2nd transitory provision. The election would take place in 194 provinces and 1,618 districts nationwide.

5104 soles for those who do not vote, and 130 soles for those who fail to serve as poll workers. According to information from the ONPE, the 1995 municipal elections cost 35 million soles and 28 million in fines was collected.

6Transparencia is a Peruvian civil association formed in July 1994 to promote democratic education and carry out election observation. Luis Jaime Cisneros and Rafael Roncagliolo are its President and Technical Secretary, respectively. El Consejo por la Paz, created in 1990, is headed by Francisco Diez Canseco. Introduction xi

candidates in all the electoral districts, and Vamos Vecino, in 95%. Among the traditional parties, Acción Popular and APRA had candidacies in only 30%. In Lima, with a total of 3,858 candidates for mayors and local council members, there were, on average, 8.5 lists per district.7

Institutional: Some sectors of Peruvian society perceived a weakening of the institutional order, affected mainly by events and circumstances that were mostly unrelated to the election process itself.8

Level of trust in the electoral authorities: According to opinion-poll data published in the press, some national political sectors, and some of the citizenry in general had called into question the impartiality and fitness of the agencies in charge of the various phases of the elections. These perceptions were based on aspects of national politics not directly related to the elections under way.9

3. Signing of the Agreements

On September 22, 1998, the Agreement on Privileges and Immunities regarding the functions and purposes of the Mission was signed by the Permanent Representative of Peru and the Secretary General of the OAS.

On October 1, the President of the National Election Board, Luis Serpa Segura, and the Chief of Mission signed another agreement to stipulate the procedures of the electoral observation. This included such matters as monitoring the organization and administration of the electoral process during its various stages, the handling of any complaints, and collaboration and coordination with the government authorities in their efforts to ensure the integrity, transparency, and trustworthiness of the elections.

7It should be noted that the independent regional movements won heavily in the interior, to the detriment of groups with a higher profile in the country and of the traditional parties.

8Communique from the Ombudsman, Jorge Santiesteban de Noriega. See APPENDIX III.

9These include the appeals and resolutions issued by two of the main organs of the Peruvian electoral system in relation to the referendum promoted by the Foro Democrático and the removal of Julio Vargas Prada, Chief of the National Register of Identification and Civil Status (RENIEC), and of its main collaborators for crimes committed in the performance of their duties (September 1998). See Chapter II.1.c.

CHAPTER I Legal Framework

1. Election Authorities

The electoral legislation of Peru is made up of constitutional provisions, four organic laws, and amendments to these laws that will be described where applicable in this report.10

Under this legislation, the Peruvian election system consists primarily of three autonomous agencies with constitutional rank: the National Election Board (JNE: Jurado Nacional de Elecciones), the National Office of Electoral Processes (ONPE: Oficina Nacional de Procesos Electorales), and the National Register of Identification and Civil Status (RENIEC: Registro Nacional de Identificación y Estado Civil).11

a. National Election Board (JNE)

The JNE and its powers are provided for in the Constitution. It is considered by Peruvian legislation as an autonomous public legal entity. Fundamentally, its duties are to oversee the legality of the vote; the conduct of elections, referenda, and other popular consultations; and the compilation and maintenance of the voter rolls. It also administers electoral justice; its rulings are not subject to appeal or court action. It also sits as the final arbiter of complaints concerning the Constitution and the operation of the Special Election Boards. It makes the final ruling on the partial or total invalidation of an election. In addition, it announces the election winners and the results of referenda or other types of popular consultations, and issues the credentials. It takes the initiative in proposing election laws.12

10Constitution of Peru (CP) Chapter XII, Articles 176-187. Organic Law on Elections (LOE) 26,859/97. Organic Law on Municipal Elections (LOEM) 26,864/97. Organic Law on the National Election Board (LOJNE) 26,486/95. Organic Law on the National Office of Electoral Processes (LOONPE) 26,487/95. Organic Law on the National Register of Identification and Civil Status (LOENIEC) 26,497/95.

11CP, Art. 177. LOE 26,859, Articles 1 and 76 to 78.

12CP, Art. 178. LOE Arts. 33 to 36. LOJNE, Arts. 5 and 7. See also Laws 26,494/95 and 26,533/95, amending that legislation. 4 Legal Framework

The highest authority of the JNE is a plenary body made up of five members elected by secret ballot by the Supreme Court, the Board of Supreme Prosecutors, the Lima Bar Association, the deans of the law schools of the public universities, and the deans of the law schools of the private universities. They serve for a four-year term and may be re-elected. New members are elected every two years.13

Special Election Boards (JEEs)

These agencies, which are temporary, are established in certain electoral districts in each election or popular consultation. They are headed by a retired or active judge appointed by the Superior Court of the judicial district in which the election is being held. They have four members designated by the JNE through a drawing from among 25 residents of the JEE district. Within their jurisdiction, the JEEs are the first instance of electoral justice: approving or rejecting challenges to the registration of candidates, political organizations, or options, and granting any appeals, reviews, or complaints that may be brought against its rulings, elevating the proceedings to the JNE; ruling on citizens’ objections to poll workers; ruling on challenges during the vote and vote count at the polling stations; and to invalidate an election14, subject to appeal.

b. National Office of Electoral Processes (ONPE)

This agency is in charge of organizing and running elections and popular consultations. Its Chief is chosen by the National Council of the Judiciary, through public competition, for a renewable four-year term. Among its most important functions are to organize elections, including referenda and other popular consultations; to coordinate with the RENIEC in preparing the voter rolls; to design the ballots, voting records, and all other election materials; to appoint and train poll workers; and to provide running returns from the polling stations as soon as the count begins; to distribute the election materials; The legislation also provides for temporary bodies for each election, such as the Management Committee and the Decentralized Offices of Electoral Processes (ODPE).15

c. National Registry of Identification and Civil Status (RENIEC)

Besides being in charge of registering births, marriages, divorces, deaths, and other changes in civil status, the National Registry of Identification and Civil Status (RENIEC) draws up and maintains the voter rolls. It also provides the JNE and the ONPE the information they need for their work. It keeps the register of information on citizens and issues their identity documents. Administratively, the Chief of the RENIEC, the agency's highest-level authority, is appointed by the National Council of the Judiciary for a renewable four-year term.16

13LOJNE, Arts. 9, 10, 17, and 21.

14LOE, Arts. 44 to 48, 311 to 313, and 334-335.

15CP, Arts. 182-186. LOE, Arts. 37 to 39. LOONPE, Arts. 1 to 28.

16Arts. 177 and 183. LOE, Arts. 42 and 43, 196 to 198. LORENIEC, Arts. 1 to 23. Legal Framework 5

2. Municipal Elections Law

Municipal elections are governed by the Constitution, the Organic Law on Elections, and the Organic Law on Municipal Elections. The residents of each jurisdiction elect, by direct vote, the mayors and a legally prescribed number of members of provincial- and district-level municipal councils, who serve for five years.17 Following is a summary of the basic provisions.

Call for Elections: The President of the Republic calls municipal elections 150 calendar days before the vote. The municipal elections of October 11, 1998, were called by Supreme Decree 012-98-PCM, of April 2, 1998, pursuant to Article 3 of Law 26,864.18

Vote: Voting is personal, equal, free, and secret. It is compulsory for all citizens 18 years and over, except those over 70, for whom it is optional. Members of the armed forces and the National Police are disqualified from voting and from being elected, as are certain others listed in the law.19

Electoral district: Each province constitutes an electoral district for the purposes of provincial municipal councils. Similarly, districts (comunas) are electoral districts for the purposes of district municipal councils.20

Registration of list: The law defines eligibility.21 The deadline for registration of lists is 60 calendar days before the date of the elections. After this period has expired, the special election boards, issue announcements or posters showing the lists of candidates in the capitals of the pertinent province and district through the RENIEC offices.

Any citizen may challenge any candidate for infractions of the election laws within three calendar days following the publication of the lists. Challenges against district candidates are resolved, without appeal, by the JEEs within three days. Challenges of candidates for the provincial municipal councils and the District Councils of the Metropolitan Area of Lima are resolved by the JEEs but may be appealed within three days to the JNE. After the challenges have been decided, each JEE delivers the corresponding ODPE the corrected lists. All challenges of candidates must be resolved before election day.22

17CP, Arts. 189 and 191. LOE, Arts. 13, 14, and 79. LOEM, Arts. 1 to 6 and transitory provisions 1 and 2. In the last two municipal elections (1995 and 1998), the authorities were elected for three and four years, respectively.

18LOE, Arts. 78 to 83. LOEM, Arts. 3 to 5.

19CP, Art. 31. LOEM, Arts. 7 to 9.

20CP, Art. 31. LOE, Arts. 7 to 11. See in addition articles from Title X, Chapter 1. LOEM, Arts. 10 to 20, and first transitory provision.

21LOE, Arts. 6 to 11. LOEM, Arts. 10 to 20.

22LOEM, Arts. 16 to 20.

6 Legal Framework

Election Materials: The ONPE is in charge of providing the election materials and distributing them within 30 calendar days before the elections.23

The voter rolls are corrected and updated by RENIEC according to a schedule and plans coordinated with the ONPE. By law, they must be public. From the publication of the voter rolls, there are five days for challenges. RENIEC, then transmits them 90 days before election day to the JNE, which approves them within 10 days.24

The ballots identify the various political groups by symbol. A ballot may be challenged before the JNE within three days of its publication. The JNE must rule within another three days; its decision is not appealable.25

After any challenges or complaints concerning the candidates have been settled, the ONPE publishes and disseminates the final version and the procedure to be followed. At the same time, it orders the printing of posters showing the lists of candidates and their distribution to offices and public places. On election day, the posters must be mounted in the voting booths.26

The voting record has three sections, for data on the installation of the polling station, the vote, and the vote count. The law stipulates the procedure for distributing it to the political parties and the electoral authorities.27

Trial runs: The ONPE is in charge of developing and carrying out a plan of trial runs for the vote count before the election.28

Monitors: These are representatives of the political parties, independent groups, and alliances registered with the JNE and/or JEEs to oversee the electoral process. Each party, group, or alliance may designate one legal monitor, and an alternate and two technical monitors, and two alternates.

23The election materials include the voter rolls, the posters with the lists of candidates, the ballots, the voting records, the holograms, the ballot box, and the indelible ink, among other items.

24LOE, Arts. 196 to 205.

25LOE, Arts. 164 to 168. LOEM, Art. 13.

26LOE, Arts. 169 and 170. LOEM, Arts. 21 and 22.

27LOE, Arts. 173 to 177, 255 to 277, 291 to 301. LOEM, Arts. 28, 31, and 32.

28LOE, Art. 233. Legal Framework 7

The legal monitor of the JNE is empowered to present any complaint or challenge. The technical monitors can learn about various aspects of the computer programs and witness the trial runs and the actual tally. A single monitor is accredited at each polling station for each political group. The monitor may oversee and witness all the acts of the electoral process. Individual candidates do not have monitors.29

Polling stations: The polling stations should open by 8:00 a.m. (though in case of difficulties may open as late as 12:00 noon). They have three principal members (poll workers), elected from among 25 citizens registered at the polling station. The process of selection and drawing of lots is a responsibility of the ONPE. The polling stations close at 4:00 p.m., but will accept the votes of people inside at the time. After the polls close, the votes are tallied for each station. Blank and invalid votes are not counted. Any situations that may arise are resolved by the poll workers, by majority vote. The vote count at the polling station is not subject to review.30

Computation and announcement of results: The ODPEs tally the votes for their districts, in the mandatory presence of the accredited monitors, on the basis of all records that do not contain invalid votes. The ONPE is in charge of registering and consolidating the records from the districts in the computer system. The results are communicated to the JNE by the ONPE.31 Appeals of invalid votes are filed with the JNE within three days.32

Distribution figure: This is the legal mechanism for assigning seats, based on the votes received, and depending on whether the winners have an absolute majority or a plurality.33

Invalidation of elections: The law provides that an election may be declared invalid at the initiative of the electoral authorities or upon petition by a party. Appeals are made to the JNE within three days of the announcement of the results or the publication of the decision that gives rise to the complaint. When an election is invalidated, a rerun is held.34

Second round of elections: If no list wins 20% of the valid votes in an election for mayor, a second round is called, for the two lists with the most votes.35

29LOE, Arts. 127 to 156.

30LOE, Arts. 51 to 67 and 249 to 253.

31LOE, Arts. 29 to 32 and 320 to 324.

32LOE, Arts. 363 to 368. LOEM, Arts. 23 to 29 and 33 to 35.

33LOEM, Arts. 23 to 27.

34LOE, Arts. 321, 365 to 367. LOEM, Art. 36.

35LOE, Art. 4. LOEM, Art. 23.

8 Legal Framework

CHAPTER II Development of the Electoral Observation Mission

1. Structure and Territorial Distribution

The Mission worked in Peru from October 1 to 13, 1998. It was made up of 30 observers, who were nationals of 18 member states.36

Its main office, in the Office of the OAS General Secretariat in Lima, was responsible for the coordination and financial administration of the Mission, including substantive guidelines and the provision of the necessary human and logistical resources.37

Its staff consisted of the Chief of Mission, his deputy, and seven observers assigned to cover 44 electoral districts in the province of Lima (Department of Lima), and 6 in the province of Callao.

Taking into consideration the availability of funds, the Mission was deployed in such a way as to cover the areas that some political leaders said might be troublesome. There were therefore, besides the main office in Lima, nine offices in the cities of Arequipa, Ayacucho, Cajamarca, Cuzco, Chiclayo, Huancayo, Huaraz, Iquitos, and Trujillo.

36María Allendes Ríos, Waveny Alleyne, Carolina Ayastuy, Alejandro Balsells, Moisés Benamor, Yamileth Bermúdez, Tomás Bialet, Beatriz Céspedes, Aracely Conde de Pais, Ricardo Cohen, Icela Constantino, María Delgado, Alfredo Fisher, Patricio Gajardo, Luz Angela González, Gabriel Gualteros, Agustín Jordán, Judith Lobos, Senen Magariños, Abel McBride, Javier Montes, Santiago Murray, Dionisio Palacios, Bernice Robertson, Gladys Salazar, Cristina Tomassoni, George Wachtenhein, Guillermo Walters, and Rigoberto Zarza.

37The administrative activities, coordinated by Carla Vaccarella, of the UPD staff, enjoyed the valuable support of Amelia León and Ofelia Espinosa. Mr. Patricio Chellew, Director of the Office of the General Secretariat in Peru, and his staff also provided valuable cooperation. 12 Development of the Electoral Observation Mission

2. Central Office (Province of Lima and Constitutional Province of Callao)

General Information

The Department of Lima is subdivided into 10 provinces,38 with more than 4,000,000 voters registered at more than 28,000 polling stations. The observers were assigned to cover the 44 districts of the Province of Lima, for which the basic election data are shown in the following table:39

38Lima, Cajatumbo, Canta, Cañete, Huaura, Huarochiri, Yauyos, Barranca, and Oyon.

39Source: ONPE. Development of the Electoral Observation Mission 13

Province of Lima

14 Development of the Electoral Observation Mission

The Constitutional Province of Callao has six electoral districts. More than 2,500 polling stations were set up, for a total of more than 400,000 voters, as indicated in the following table:40

Constitutional Province of Callao

Pre-election Phase

To cover most of this territory, the districts were divided into eight zones, with one observer responsible for each.41 The observers stayed in constant contact with the election authorities. From meetings with the candidates from the various districts enabled the observers gathered the following impressions: concern about the fact that there were three documents valid for eligibility to vote; reiterated allegations of unlawful use of municipal funds for the campaigns of mayors running for re-election; the mistrust expressed by some monitors, candidates, and citizens of the impartiality of the election agencies; and the disagreement of some candidates with the current electoral regulations, in particular the time periods for registration, challenges, and the responses to them.

40Source: ONPE.

41Zone 1: Santa Anita, El Agustino, La Victoria, Ate, Vitarte, Comas, Los Olivos, Rimac. Zone 2: Lima, Miraflores, San Isidro, Magdalena, Chorrillos, San Miguel. Zone 3: Puente Piedra, Pueblo Libre, Jesús María, Lince, San Borja, San Luis, Surquillo. Zone 4: Villa El Salvador, Villa María del Triunfo, San Juan de Lurigancho, Chacaclayo, Chosica, Lurin, Pachacamac, Carabayllo. Zone 5: Santa Rosa, San Martín de Porres, Independencia, Ancón, Brena. Zone 6: San Juan de Miraflores, Barranco, La Molina, Cieneguilla, Surco. Zone 7: Pucusana, Punta Hermosa, Punta Negra, San Bartolo, Santa María. Zone 8: El Callao: Callao, Ventanilla, La Punta, Bellavista, La Perla, and Carmen de la Legua. Development of the Electoral Observation Mission 15

A large number of complaints were received during this phase, most having to do with the climate of verbal violence and personal attacks that marked the campaigns.42 In contrast, some campaigns proceeded normally and within legal bounds.

Finally, expectations of fraud daring the vote count were voiced constantly. These focused mainly on the possibility that an intruder could elude the security systems and penetrate the ONPE computation system. ONPE spokesmen gave assurances that the system was totally isolated by a "firewall" and added that the computerized system developed for the tally, by the ONPE was merely a tool for supporting the quick count, but that the fundamental basis was still the voting record.

In accordance with the law, the first trial run was held on Sunday, October 4; it revealed a series of problems in the computer program that caused the system to shut down.43 On Saturday, October 10, a second trial run was performed, without any problems in verifying the bar codes on the voting records or in the data entry. However, errors were found in one of the terminals when the time came to consolidate them, because the program had not been replaced.44

Mindful of the difficulties that had arisen during the trial runs and the resulting climate of distrust in some political groups, the Mission made a technical evaluation of the electoral information system in terms of the integrity, transparency, and security of the vote-counting process.45 The report follows.

Electoral Information System

The information system developed by the ONPE uses FoxPro programming language, which is not interactive and does not allow the sharing of the database. This system was divided into two:

• Data entry, to introduce the data from the voting records broken down by locality.

• Provincial Concentrator, to combine the data entered at the keyboarding stations with the data-entry system, with a view to consolidating all the data at the national level.

42In only a few cases were the complaints lodged formally and in writing with the observers. Among the events reported orally, special mention should be made of the burning of the party headquarters of Santiago Heresi a candidate in the district of San Miguel and assaults on the mayor of Carmen de la Legua in Callao and Ricardo Flores Chipoco a candidate in the district of La Victoria.

43LOE, Arts. 215 to 233.

44The trial run was performed in only seven of the nine tally centers: Callao Ventanilla, Villa El Salvador, Miraflores, Comas, Jesús María, and the District of Lima. It was not done at San Martín de Porras or Ate-Vitarte.

45In view of the short time available for this work, most of the information obtained from the computer technicians at the ONPE Tally Center and contained in the technical and instructional manuals was not confirmed. Special note should be made of the support received from the entire technical team of the ONPE and the ODPE (Lima), who promptly proviided any information requested, which was done by Fátima Nicoletti, the systems consultant.

16 Development of the Electoral Observation Mission

Security measures were adopted to prevent data entry by unauthorized persons and any entry of false records:

• Giving technical monitors the data bases set at zero, to begin with.

• Individual codes for each keyboarder and inspector, and for those in charge. It is this code that gives access to the different options in the system.

• Filing the individual code for each record generated.

• Access to Internet for periodic data transmission.

• A variety of security measures incorporated into the voting records and voter rolls at the polling stations, such as holograms, cryptograms, bar codes, a verifying digit for entering the number of the polling station, the use of very expensive paper, etc. were used to identify the polling stations

Description of the process

The process began with the receipt in the ODPEs of the records from the polling stations and the transmittal of these to the ODPE Tally Center.46

The keyboarders entered the data contained in the verified records. The system can detect errors. At the end of the lot, the data are transmitted (exported) to the network server. The lot is also verified by another group of keyboarders who re-enter the data and re-transmit them to the server. If they coincide, they are concentrated in the local data base. When this is finished the data base is incorporated (imported) into all the computers in the network. If they do not coincide, the record is identified and transmitted to the JEE.

At predetermined times, the data are transmitted by Internet or Infovia from the ODPEs to the ONPE, where the data are consolidated nationwide and the results are disseminated, on the ONPE Web page.47

The last data concentration and transmittal to the ONPE is done when the data from all the records have been entered, including those that had been sent to the JEEs for errors or challenges to be dealt with.

46These Tally Centers were organized according to the number of voters, with either a single terminal or a network of computers connected to a local server. In the former case, the records of the vote are entered in the order in which they come in, and are concentrated in a data base once the data are consolidated. At Tally Centers with a local communication network, the records are grouped in lots distributed among keyboarders hired for this purpose.

47Data entered from the records of the vote with a digitalized image and the consolidated data. Development of the Electoral Observation Mission 17

Evaluation

This process, from the receipt of the records at the ODPE through the provincial and district results to nationwide consolidation serves its purpose. But it cannot be called efficient or inviolable. It contains weaknesses that should be overcome with up-to-date technology.48

Election Day

On election day, eight tours were made simultaneously, observing the opening and installation of the polling stations, the progress of the vote, and finally the count. During these tours, complaints were received that were channeled to the Office of the ONPE and/or the JNE. Constant contact was maintained and information was shared with the observers from Transparencia. Some voting centers were visited at the request of candidates and movements, alleging irregularities, which were confirmed by the observers in some cases.49

The main problems observed were lack of training of the poll workers (even though they had a booklet explaining the procedure), which hampered the installation of the polling stations; delays in assembling poll workers, since many of the principals failed to appear, and had to be replaced by unprepared citizens waiting to vote, which resulted in opening after 10:00 a.m.; incomplete election materials in most of the voting centers (missing holograms, lists of candidates by district, lists of voters for posting at the entrance to the polling station, etc.); ONPE coordinators, who in many cases turned out not to be well enough trained to solve problems when they arose at the polling stations; and a shortage of records for the monitors, which caused anxiety and problems at the start of the vote count.50

At the close of election day the Chief of Mission issued a press release, which appears in Appendix IV.

3. Arequipa Regional Office

General Information

The Department of Arequipa has eight provinces51 with a total of 638,189 voters; 4,186 polling stations were installed. The following tables show the main electoral data for the districts covered by the observers:52

48Difficulties were observed at some of the Tally Centers visited in Lima with infrastructure (e.g., the areas provided for opening the envelopes and separating the records), and with the mechanics of the flow of work.

49See section 12 of this chapter.

50In San Juan de Lurigancho, two monitors from Vamos Vecino were caught switching records, and voting was halted at polling station 953352 until the prosecutor arrived and the two accused were arrested. In the municipality of Pachacamac, at polling station 0039439, the president of the polling station cast his wife’s vote.

51Arequipa, Camaná, Condesuyos, Caraveli, Castilla, Caylloma, Islay, and La Unión.

18 Development of the Electoral Observation Mission

Province of Arequipa

52Source: ONPE. Observers were present in five provinces: Arequipa, Camaná, Castilla, Caylloma, and Islay. Development of the Electoral Observation Mission 19

Province of Caylloma

Province of Camaná

20 Development of the Electoral Observation Mission

Provinces of Camaná and Caraveli

Development of the Electoral Observation Mission 21

Pre-election Phase

The observers held working meetings with members of the JNE and with its Inspector, the Chief of RENIEC, the Chief of the ODPE, the Provincial Delegate of the Ombudsman's Office, the Coordinator of Transparencia, the Commanding General of the Third Region, the monitors from the political groups, various provincial and district candidates, and the local media.

These meetings produced the following impressions.

Three candidates said they did not trust the work done by the ODPE in installating the Tally Center because the equipment had been rented from the University of San Agustín, whose rector was one of the candidates for mayor. Representatives of the ODPE said that this worry was baseless because the rental of the equipment did not include the software. They further argued that the persons assigned to work in the Center were independent and that the technical monitors of the political parties were qualified to confirm that the equipment had been set at zero. Many candidates and monitors expressed concern about the existence of three documents valid for voting, which they said could lead to irregularities during the election. Repeated concerns were voiced regarding the alleged unlawful use of municipal funds for the campaigns of incumbent mayors running for re-election. Some election officials commented that a lack of coordination among the three autonomous agencies (JNE, ONPE, and RENIEC), caused inefficiencies. Some monitors, candidates, and citizens in general said they did not trust the impartiality of the election agencies. Many candidates expressed dissatisfaction with the current election regulations; in particular, the time periods for challenges and rulings on them and the excessive centralization of pre-election procedures. Electoral publicity (posters, hoardings, and leaflets) was seen in every district and province. In addition, campaign propaganda for most of the candidates constantly appeared (especially those from Arequipa Province) in the media.

The observers witnessed two trial runs at the Tally Center, at which they noticed that the technical monitors were absent. They found that the equipment was not secure enough to overcome any problems that might result from power outages. In addition, the system collapsed in two computers because of problems with the hard drives. The data-entry tests were completed efficiently.

On the closing day of the campaign, especially in the district of Arequipa, there were a large number of meetings, caravans, and political rallies that, with isolated exceptions, took place without incident.

Election Day

Polling places in various districts of the provinces of Arequipa, Camaná, and Castilla were visited. They generally opened late. In Arequipa Province, there was a widespread failure to post the lists of candidates in the voting booths, as required by law. In some cases, the principal poll workers did not show up and had to be replaced by their alternates or by citizens standing in line to vote. The voting procedures (signing of ballots by poll workers, use of

22 Development of the Electoral Observation Mission

indelible ink, etc.) were correctly followed. Monitors were conspicuously absent in rural polling stations. The vote and count proceeded without major incidents but it should be noted that the poll workers did not seem to know much about managing the count and that the ODPE coordinators could not always solve the problems that arose. The observers witnessed the setting of the computational equipment at zero, as did a magistrate from the JNE, the representatives of the JNE, the national observers from Transparencia, the delegate from the Office of the Ombudsman, the press, and the technical monitors from the various political groups. The installation of a TV monitor outside the Tally Center made it possible to keep a permanent eye on the activities. As soon as the count was completed, the data from the records began to be entered at 7:30 p.m. At 10:00 p.m. the first Official Bulletin of Results was issued. At 4:00 a.m. on October 12, data entry was complete for 100% of the records delivered; the only ones not yet in were those coming from hard-to-reach areas and those that required JEE review.

4. Ayacucho Regional Office

General Information

The Department of Ayacucho is subdivided into 11 provinces.53 The voting population of 271,970 was distributed in 4,186 polling stations. The following tables reflect the data for the districts monitored by the observers:54

53Huamanga, Cangallo, Huanta, La Mar, Lucanas, Parinacochas, Víctor Fajardo, Huanca Sancos, Vilcas Huaman, Paucar del Sara, and Sucre.

54Source: ONPE. Development of the Electoral Observation Mission 23

Provinces of Huamanga and Huanta

24 Development of the Electoral Observation Mission

Province of La Mar

Pre-election Phase

The observers held many meetings with the electoral authorities, officials of political parties and non-governmental organizations, candidates, and representatives of the media.55 They also toured with the army helicopters that delivered the election materials and transported coordinators to areas inaccesible overland and subject to terrorist activity.

This direct contact with the main actors enabled the observers to gather the following observations. The election authorities, considered that the political campaign unfolded normally. In contrast, some political groups called it unfair, unethical, and defamatory. The stories about an "armed strike" on election day, imposed by the terrorist group Shining Path, were denied by the military chiefs, who discarded any such possibility and gave assurances that the possibility of

55Province of Huanta: Carlos Regal, in charge of the ODPE; Jorge Luis Chigné, Criminal Prosecutor; Félix Bautista Barzola, President of the Special Election Board; Julio Pacheco, in charge of RENIEC; Alejandro Córdoba, representative of Vamos Vecinos; Omar Quesada, APRA candidate; candidate and members of the Movimiento Independiente Fraternidad; and the Military Chief of the base at Huanta. City of Ayacucho (Province of Huamanga): Gen. Pedro Vaca, Chief of the Political-Military Command for the region, Chief of the ODPE; José Zumarán, President, Special Election Board; Hugo Gómez Escorcia, Ombudsman; Vladimiro Huaroc, Departmental Delegate, Transparencia; Willam Sandoval; candidates from all the parties and movements in the province; provincial mayor, Mr. Hernán Zárate. Province of Vilcashuamán: Sergio Quispe Huamani, mayor of the district of Vischongo, for the Frente Independiente Nueva Generación; César Córdoba Chiga, in charge of the ODPE, member of the Special Election Board; Arturo Delgado (candidate), and members of the opposition group Frente Independiente Jatary Llaqta. Province of La Mar: Chief of ODEPE, Angel Tejada Mesa; Coordinator CEPRODEP, Blanca Zanabria; mayors and candidates of the districts of Tambo and San Miguel. Province of Huamanga: Dr. José Zumarán Silva, Provincial Chief, ODPE; Gen. Pedro Vaca, Chief of the Political-Military Command; Dr. Orlando Hugo Gómez Escorcia, President of the provincial Special Election Board. Development of the Electoral Observation Mission 25

operations by terrorist groups was limited to uninhabited areas. The mechanics of transportating the election materials during were handled with the utmost normality by the army and the ONPE. There was a marked delay in the delivery of identity documents. The political parties expressed distrust of the electoral system and protested two irregularities having to do with preparations for the elections: the failure to convene them for the drawing of lots to determine the placement of the candidates on the ballots, and the late delivery of the computer program and information they needed to familiarize themselves with the vote-count system. In Vilcashuamán Province there were complaints by candidates from the group Vamos Vecino of harassment, slander, and threats. Similar complaints were made by monitors from various political groups in Huanta, Vilcashuamán, Quinua, Vinchos, and the city of Ayacucho itself, capital of Huamanga Province. In Vilcashuamán, for example, there was tension between Vamos Vecino, to which the incumbent mayor belonged, and the opposition Frente Independiente Jatary Llaqta. As the campaign in the province came to an end, the observers witnessed a fine show of civic spirit by the various political sectors who held closing ceremonies almost simultaneously, with party parades that met in the main plaza of Ayacucho.

Election Day

The observers covered the districts of Carmen Alto and San Juan Bautista and the city of Ayacucho in Huamanga Province, two rural districts in the Huamanga Province (Quinua and Vinchos), and the rural district of Huamanguilla in Huanta Province.

Election day in Ayacucho took place in a climate of relative normality (the rumor of an armed strike by the Shining Path came to naught). In the urban area, the irregularities were not serious and had two main causes: lack of skills and lack of training on the part of the persons in charge: (ONPE coordinators, poll workers, etc.), which led to involuntary delays. In some centers that led to complaints by the monitors of various political groups. In summary, the following anomalies were observed: political propaganda placed in the polling stations the day before the vote, which in some cases was removed by the police with the assistance of the monitors; delays of an hour or two in setting up and opening the polling stations, and incomplete election materials. Incidents of this sort upset the monitors, but in many of these situations, representatives of the Office of the Ombudsman and observers from Transparencia and the OAS were able to intervene and help to correct mistakes. In many cases the voting booths did not ensure the secrecy the ballot: they were set beside windows that were broken or were at a height that let passers-by see in). Around the polling place and district of the San Juan Bautista school, several political groups were seen electioneering. The greatest irregularities were observed in Vinchos. Not one of the 34 polling stations there was visibly numbered, most did not have the provincial and district lists, and the voting booths did not offer the legally required privacy and secrecy. It should be noted that socioeconomic and cultural conditions in Vinchos are difficult, so that it was very hard for poll workers, monitors, and the population in general to understand the election process and carry it out properly. There were not enough records of the vote to give them to all the monitors.

26 Development of the Electoral Observation Mission

5. Cajamarca Regional Office

General Information

The Department of Cajamarca has 567,622 registered voters distributed among 3,456 polling stations. The observation covered the entire Province of Cajamarca, whose main electoral data appear in the following table.56

Pre-Election Phase

Contacts were made with the electoral, political-party, and governmental authorities in the area and with members of the local and national press and representatives of non- governmental organizations based in the region. The regional office coordinated a number of actions with the Transparencia observers in the area.

The mission attended political rallies, parades, and campaign activities organized by the groups participating in the elections, all of which took place without serious incidents to disturb the climate of general tranquillity. In general, the population participated actively in the campaign activities.

The complaints lodged were oral, by some political parties against others, generally over the use of government property and funds by mayors seeking re-election or directly supporting

56Source: ONPE. The department also includes the provinces of Cajabamba, Celendín Contumaza, Cutervo, Chota, Hualgayoc, Jaen, Santa Cruz, San Miguel, San Ignacio, San Marcos, and San Pablo. Development of the Electoral Observation Mission 27

their party’s candidate. Other complaints had to do with the destruction and defacing of political propaganda in public places, and with personal attacks made by candidates in the media.

On October 10, a trial run was held at the Tally Center to verify the operation of the security procedures for data entry and transmission of the results. This was done, without incident, in the presence of technical monitors from the various parties.

The OAS observers found that in general the parties followed the rules on the gender quota; in some lists women candidates appeared in the top quarter, and in others they were running for mayor.

Election Day

On election day, the OAS observers visited most of the polling stations in the capital of Cajamarca. In the municipalities in the interior, 40% of the polling stations were covered. The election materials arrived on time at the polling places, though in some schools the persons in charge of delivering them to the poll workers had no training for this work, which caused delays in the opening of the polling stations. Most of the polling stations opened at 8:30 a.m., creating annoyance in the lines of voters. In some cases, irregularities were observed in the organization of the polling stations. In one classroom, for example, where two or three polling stations were operating, the voting booth was outdoors, which made it impossible to ensure a secret vote. However, the difficulties were solved satisfactorily during the day.

The election-day activities took place without incident. There were no disturbances in public places or in the polling stations, though errors were found in the voter rolls. Nor were there differences of opinion among the poll workers and the party monitors regarding the procedure for the vote count. In some polling stations (about 5 percent of the total) there were not enough copies of the for the final report, since they had more than five monitors. When the count was finished, the ONPE personnel and party monitors transported the ballot boxes to the Tally Center without incident, in the custody of members of the Peruvian National Police and the armed forces. The Tally Center operated in premises provided by the local agricultural university, which had portable generators in case of power outages. In summary, the election at the Cajamarca Regional Office proceeded normally, the political parties respected the results, and there were no manifestations of displeasure.

28 Development of the Electoral Observation Mission

6. Cusco Regional Office

General Information

The Department of Cuzco is made up of 13 provinces.57 It has a voting population of more than 500,00, distributed among about 3,000 polling stations. The following tables show the main electoral data from the provinces observed.58

Provinces of Cuzco and Acomayo

57Cuzco, Acomayo, Anta, Calca, Canas, Canchis, Chumbivilcas, Espinar, La Convención, Paruro, Paucartambo, Quispicanchis, and Urubamba.

58Source: ONPE. Development of the Electoral Observation Mission 29

Provinces of Anta and Calca

30 Development of the Electoral Observation Mission

Provinces of Canchis and Chumbivilcas

Development of the Electoral Observation Mission 31

Provinces of La Convención, Quispicanchis, and Urubamba

32 Development of the Electoral Observation Mission

Pre-election Phase

The observers held meetings with officials of the election agencies (ODPE, JEE), police and armed forces authorities, political candidates, representatives of Transparencia, and members of the media in the provinces of Anta, Calca, Acomayo, Canchis, Espinar, La Convención, Paucartambo, Quispicanchis, and Urubamba. During this phase, many informal complaints were received, but not verified, about illegal use of state funds to finance campaigns. No disturbances in the various campaigns were observed.

Election Day

The observers went to all the provinces except those difficult to reach. They found some problems with the vote, the vote count, and the tally. These had to do with late installation and opening of the polling stations, minimal training of the poll workers, and incomplete delivery of the election materials. Campaign propaganda was observed in the vicinity of the polls, and some technical monitors complained of difficulties in getting into the Tally Center.

7. Chiclayo Regional Office

General Information

Chiclayo Province is one of three in the Department of Lambayeque.59 A total of 3,163 polling stations were set up in the department to serve a voting population of 549,179. Following are the electoral data from the districts observed.60

59The other two are Ferrafeñe and Lambayeque.

60Source: ONPE. Development of the Electoral Observation Mission 33

Province of Chiclayo

Pre-election Phase

The observers held meetings with the representatives of the JEEs, the members of the ODPEs, the candidates, and military and religious authorities in the department. The tally centers were also visited. Following are the main impressions garnered during this phase of the observation: concern over the existence of multiple documents for exercising the right to vote; allegations of illegal use of government funds to finance political campaigns; and inefficient organization due to a lack of coordination among the three electoral authorities. The campaigns ended without incident.

Election Day

On election day, the three provincial capitals of the Department of Lambayeque were all covered. The main observations were as follows: late installation and opening of the polling stations; lack of adequate training of the poll workers and election coordinators; normal conduct of the vote count; certain difficulties encountered by the monitors in gaining entry to the tally center; lack of coordination between the ODPEs and the JEEs; and shortage of space in the tally centers for the officials to carry out their duties properly.

34 Development of the Electoral Observation Mission

8. Huancayo Regional Office

General Information

Huancayo is one of the nine provinces of the Department of Junín, with 627,222 voters distributed among 4,015 polling stations. Following are the electoral data for the provinces monitored by the observers.61

Province of Huancayo

61Source: ONPE. The other provinces of the department are Concepción, Jauja, Junín, Tarma, Yauli, Satipo, Chanchamayo, and Chupaca. Development of the Electoral Observation Mission 35

Province of Jauja

36 Development of the Electoral Observation Mission

Provinces of Junín, Tarma, and Yauli

Development of the Electoral Observation Mission 37

Provinces of Satipo and Chanchamayo

Pre-election Phase

In all the provinces observed, meetings were held with the electoral authorities, candidates, and representatives of the Office of the Ombudsman, Transparencia, the military and police, and the media in the provinces of Huancayo, Chanchamayo, Satipo, Tarma, Yauli, and Jauja.

This direct contact with the main actors enabled the observers to gather the following impressions. In Huancayo, the various candidates all called the JEE into question because of its failure to settle the complaints presented against the candidate for mayor of the district of Chilca.62 In all the districts visited, there were repeated oral complaints alleging illegal use of government funds for political campaigns.

62Though his candidacy was challenged, he went on with his campaign.

38 Development of the Electoral Observation Mission

Election Day

The observers covered 20 polling stations. In all the districts visited they found that the polling stations were set up and opened late, and that the poll workers and election coordinators had insufficient training. In addition, the delivery of election materials was incomplete or inadequate. The ballots were incorrect, since they contained the symbol of Vamos Vecino, despite a timely challenge by the JNE. It was found that at certain polling stations votes for this group were deemed valid.63 In addition, the provincial list of candidates was not to be found at any of the centers visited. In the district of Chapuro the observers intervened to facilitate access for the monitors. In the district of Chilca, Mayor Alcides Chamorro Balvín, disqualified by resolution of the JNE, encouraged citizens to write in the number for his group on the ballots; this led to the nullification of a large number of votes.

9. Huaraz Regional Office

General Information

The observers monitored the provinces of Huaraz, Huarmey, Casma, and Santa. These plus 16 other provinces make up the Department of Ancash, which has 553,317 voters distributed among 3,506 polling stations.64 The following tables indicate the electoral data for the districts monitored.65

Province of Casma

63In its preliminary report on the vote (“Reporte Preliminar del Desarrollo de la Votación,” or RPDV), Transparencia noted that in Huancayo Province, despite the disqualification of the group Vamos Vecino, its symbol appeared on the ballot for the provincial candidates.

64The other provinces are Aija, Bolognesi, Carhuaz, Corongo, Haylas, Huari, Mariscal Luzuriaga, Pallasca, Pomabamba, Recuay, Sihuas, Yungay, Antonio Raymondi, Carlos Fitzgerrald, Asunción, and Ocros.

65 Source: ONPE. Development of the Electoral Observation Mission 39

Province of Huaraz

Provinces of Huarmey and Santa

40 Development of the Electoral Observation Mission

Pre-election Phase

The observers held a number of meetings with electoral authorities, officials of political parties and non-governmental organizations, candidates, and members of the media. During the meetings, they heard complaints, not proven, about improper use of government funds for financing campaigns and appointments of candidates' relatives to positions on the ODPE. The campaigns closed in accordance with the regulations, and without incident.

Election Day

In their reports, the observers noted that in Huaraz, responsibilities were efficiently coordinated among the various electoral authorities, poll workers and election coordinators which ensured that the elections were properly conducted. On the other hand, in Huarmey, Santa, and Casma, the polling stations were set up and opened with considerable delays, but this did not prevent anyone from voting.66

10. Iquitos Regional Office

General Information

The district of Iquitos is in Maynas, which is one of six provinces in the Department of Loreto.67 This department, while the largest in area, has a low population density (2.1 inhabitants/km2), and so there are only just over 300,000 voters. The observers' center of operations was in Iquitos, which has more than half of the voters and a large percentage of the 1,892 polling stations. The following tables reflect the election data for the districts observed.68

66The RPDV indicates that ballots for Ayacucho were delivered to some polling stations.

67Maynas, Alto Amazonas, Loreto, Requena, Ucayaly, and Ramón Castilla.

68Source: ONPE. Development of the Electoral Observation Mission 41

Provinces of Maynas and Mariscal Ramón Castilla

42 Development of the Electoral Observation Mission

Pre-election Phase

The observation was held mainly in the Province of Maynas. The observers stayed in constant contact with the electoral authorities, the local armed-forces, representatives and candidates of the various political forces, the local media, and Transparencia. On a number of occasions they met with all the candidates, especially the two most likely to win, Jorge Samuel Chávez (Somos Perú) and Yván Enrique Vázquez (Fuerza Loretana). These two made openly aggressive verbal attacks on each other, especially in the media. With this exception, campaigning in public places took place without incident.

When the time came to transport the election materials to other provinces and distant points, the observers took the opportunity to accompany the electoral authorities (coordinators) on an army helicopter to the San Pablo and Pebas districts in De Ramón Castilla Province and the Maynas Province towns of Estrecho, Orellana, Yanashi, and Amelia. They found on this tour that the distribution of materials was well organized, that there were no armed forces at two localities, and that the coordinators were well trained.

Election Day

The elections took place without incident, with no major objections by the monitors, even though most of the polling stations opened late in the absence of the authorities, there were not enough ONPG coordinators, electioneering was blatant, and some of the poll workers were untrained. In addition, in a large percentage of polling stations, the voting booths did not offer the necessary privacy required. At approximately 2:00 a.m. on October 12, about 80 people from Somos Perú tried to force their way into the ONPE offices in Iquitos because of their objection to the partial results showing they had lost. They were held off by the security forces, and the incident had no serious repercussions.

11. Trujillo Regional Office

General Information

This regional office mainly covered the province of Trujillo, which is part of the department of La Libertad.69 The voting population is 790,000, of whom 410,327 are in Trujillo Province. A total of 4,606 polling stations were installed, half of them in Trujillo. The main election data appear in the following table:70

69The other provinces in La Libertad are Bolívar, Sánchez Carrión, Otuzco, Pacasmayo, Pataz, Santiago de Chuco, Ascope, Chepen, Julcan, Gran Chimu, and Viru.

70Source: ONPE. Development of the Electoral Observation Mission 43

Province of Trujillo

Pre-election Phase

The observers visited the various districts of the province to meet with the electoral authorities, representatives and candidates of the parties, local representatives of Transparencia, and the media.71 They also watched the progress and closing of the campaigns, finding no violations of the election laws. The trial run of the tally system was carried out with no difficulties or errors. However, there were complaints about the number of documents that could be used for voting and oral accusations--unverified—of improper use of government funds. Some monitors, candidates, and citizens said they did not trust the impartiality of the electoral agencies.

Election Day

On election day, various polling stations were covered in the urban center of Trujillo city, and in the districts of Salaverry, Moche, Buenos Aires, Larco, Hanchaco, Florencia de Mora, La

71Constant contact was maintained with the ODPE through Luis Pinto Campo and Manuel Pajuelo, of the Tally Center. On several occasions the observers met with Luis Fernández, president of the JEE. In addition, activities were coordinated with the Transparencia representative in Trujillo, Alfonso Lozano Flores. Interviews were arranged with the following district candidates: Trujillo: Luz Aurora Romero (Unión por el Perú), José Vilches (Acción Popular), José Murgia (APRA), Rodolfo Quiroz (Somos Perú), David Cornejo (Vamos Vecino), and Carlos Ravelo (Frente Independiente La Libertad); Salaverry: Antonio Gordillo (Renovación y Justicia Social), Jorge Rosario (APRA); Mocha: Benjamín Galvez (Somos Perú), Juan de la Rosa (Vamos Vecino); Simbal: Santos Castañeda (APRA); Larco: Juan Córdova (Frente Independiente La Libertad) and Alejandro Nociosup (Vamos Vecino); La Esperanza: Marcelo Daniel (Frente Independiente La Libertad); Florencia de Mora: María González (Somos Perú) and Cesar Castillo (Movimiento Ind. La Libertad); Porvenir: Luis Sánchez (Sumate); and Poroto: Víctor Reyes (Vamos Vecino).

44 Development of the Electoral Observation Mission

Esperanza, El Porvenir, Poroto, and Simbal.

No complaints were filed, but some logistical difficulties were noted: delays in opening and setting up polling stations, an absence of poll workers (in 20% of the cases, people waiting in line to vote were used to fill these positions), and insufficient training of the poll workers. In general, the elections, and especially the vote count, occurred without incident.

12. Complaints

The observers received oral complaints, but the vast majority were not submitted formally. The Mission processed and followed up on only 32 case files submitted to the electoral authorities. In addition, the Chief of Mission channeled 16 complaints to the JNE, as detailed in Appendix V.72

Of the 250 or so cases based on challenges of various kinds, most were appeals for nullification. From October 29, 1998, to January 19, 1999, the JNE considered 181 in public sessions, the vast majority of which were ruled inadmissible or unfounded, in decisions published in the official gazette El Peruano.73

However, as a result of irregularities found in more than 70 election districts, supplementary municipal elections were scheduled for July 1999.74

13. Post-election Phase

On October 5, José Portillo Campbell, Chief of the ONPE, issued Resolution No. 125-98, committing the agency to deliver the voting records to the accredited observers within 60 calendar days after the tally, so as to facilitate the verification of the tally and the voter rolls.75 This material, on microfilm, was sent to the OAS mission in January 1999. The projections used as a base were made by applying statistical methods to random samples drawn from the voter rolls and from the tally sheets for some districts and provinces where complaints alleging irregularities had been lodged.76

72APPENDIX V also includes the materials provided by the national monitor of the independent movement Somos Perú to the Chief of Mission at the offices of the OAS General Secretariat in Washington, D.C., on December 21, 1998.

73APPENDIX VI contains the list provided by the JNE, which includes the information on the appeals for nullification broken down by province and district. APPENDIX VII lists the challenges, complaints, and motions for nullity filed, published in El Peruano. The legislation provides for calling a second election within 90 days when absenteeism is greater than 50% and/or when the blank and invalid votes number more than two-thirds of the valid votes. In relation to that case, see APPENDIX VIII.

74APPENDIX IX lists the election districts in which supplementary elections will be held, according to information provided by the JNE.

75The resolution is attached as APPENDIX X.

76The report was prepared by consultant Antonio Amarante. See APPENDICES XI and XII. Development of the Electoral Observation Mission 45

Verification of the Tally Process

In the districts of Miraflores and Chorrillos, which had, respectively, 773 and 730 polling stations, a simple random sample was taken of 100 polling stations each. In the other districts, because the number of polling stations was small, all were considered. For the two largest districts, the data from the sample were projected for the whole district; for the others, all the votes recorded were counted up. For the estimates, confidence intervals were calculated with a 95% coefficient of confidence. In most of the districts evaluated, the provincial and district elections were treated separately.

In Appendix XI, it can be seen that the projections for Miraflores and Chorrillos coincide with the official data. Elsewhere there are some differences, though the percentages remain similar. The differences may well reflect data-entry errors, since the records were filled in by hand, and it is not difficult to confuse a "3" with an "8", a "1" with a "7", or a "6" with a "0". As the absolute differences are minimal and the percentages are virtually the same, the distribution of seats on the councils is not affected.

In some cases the differences found were more significant. For example, in the district of Yauli (Yauli Province, Department of Junín), polling station 106413 did not appear on the microfilm, and so the votes verified are fewer than in the official data. Similarly, in the district of Yauli (Province and Department of Huancavelica), polling station 116262 was not on the microfilm.

In contrast, in the district of Vinchos (Huamanga Province, Department of Ayacucho), even though the votes were tallied for 32 of 34 polling stations, the results are virtually the same, with very small differences.

In the district of Chacayan (Daniel Alcides Carrión Province, Department of Pasco), the official data cover 70% of the votes entered in the verification process. It was later found that this difference reflected the invalidation of two polling stations (21036 and 21037) by the Special Elections Board. The difference here does not change the distribution of seats on the council.

Verification of Voter Rolls

For this analysis microfilm copies of the voter rolls at the polling stations, were used. A simple random sample of 295 voters was taken from these rolls. Each of these 295 voters was identified by the number on the reading machine correlated with the microfilm. The list of numbers for the voters appears in Appendix XII.

When the voter had been identified in the voter roll of the polling station, the information that is, his or her listing and the form or type of registration was verified in the Civil Register of Peru.

46 Development of the Electoral Observation Mission

The 295 people were found in the data base of the Civil Register of Peru, where 109 of them were listed with their signatures and fingerprints. The 186 others, while included in the data base, lack signatures and fingerprints because they do not have the new citizen identity card. This means that the voter and the person registered may not be the same.77

The percentages of the various types of registration that were found were used to project the total voter roll. Upper and lower confidence limits were calculated for each of the percentages, with a confidence level of 95%. The confidence intervals calculated were exact, and the known mathematical relationship between beta and binomial probability distributions was used for this.

Projections for the Voter Rolls (sample n=295)

Detail Number Est. Lower Upper Observed % limit limit Persons registered 295/295 100.00 98.99 100.00 Persons with signature and fingerprint registered 109/295 36.95 31.41 42.74 Persons without signature or fingerprint registered 186/295 63.05 57.26 68.57 Persons who appear in the physical books of the Civil Registry 50/295 16.95 12.85 21.73

Of the 186 persons without signature or fingerprints, the 50 found in the physical books of the Civil Registry account for 26.88%. For this percentage, the lower and upper confidence limits are 20.66% and 33.86%.78

14. Conclusions and Recommendations

a. Conclusions

The October 1998 elections differed from the previous elections, in 1995, in both technical and legal innovations. The former concerned security measures for the election materials; the latter had to do with the convocation of a second round, the rule that 25% of the candidates on each list must be women, and the shortened time period for the registration of lists. Bearing in mind the complexity of the elections, held simultaneously in 194 provinces and 1,618 districts, the electoral process generally obeyed the provisions governing its organization and conduct.

77Of the 186 persons, a sample of 50 was taken; all had entries in the physical records (books) of the Civil Register.

78 W.G. Cochran, Sampling Techniques, 3rd ed., New York, John Wiley, 1977, and P.V. Sukhatme, and B.V. Sukhatme, Sampling Theory of Surveys with Applications, 2nd rev. ed., Iowa, 1970. Development of the Electoral Observation Mission 47

Among the positive aspects that should be mentioned are the following: The election materials prepared by the ONPE were of a high level of security and quality. The campaigns closed without incident in all the districts observed. The trial runs for data-entry of the results, held the day before the elections, went smoothly in most districts observed. In these districts the voting procedures the signing of the ballots by poll workers, the use of indelible ink, and the signing of the voter rolls were carried out as provided by law. The ballot boxes were transported as prescribed by law. The tally proceeded without difficulties. The election information system operated by the ONPE met the planned objectives, although the vote was less than smooth owing to the use of instruments, and configurations that have been overtaken by further technical advances. Both the measures adopted by the electoral authorities give most of the monitors access to copies of the voting records and the dissemination of the information via Internet succeeded in dissipating presumptions of electoral fraud. In most districts, election day passed in a climate of calm and without incident. There were exceptions, of course, especially stemming from the logistical problems inherent in any complex election, which led to claims and disputes, both of which are types of challenges provided for in the election laws. Furthermore, the electoral authorities provided the Mission with excellent collaboration, and the domestic observation by the civil association Transparencia was very significant. The Mission's work of verifying the computation process and the voter rolls yielded no abnormal results. Finally, the OAS Mission served in many cases to cool rising tensions among the monitors, the poll workers and the representatives of the election agencies by making suggestions that enabled the process to go forward.79

The irregularities found were as follows: In certain districts, a lack of coordination among the institutions of the election system led to confusion when quick decisions had to be made; in some districts, the behavior of the candidates and electoral authorities produced tension and harassment. The significant delays in the installation and opening of the polling stations were due, in most cases, to the failure of the principal and alternate poll workers to appear, and to the incomplete and/or inadequate delivery of the election materials.80 In the absence of the poll workers, citizens were chosen who proved to be ill equipped to perform their assigned duties. The problems in the delivery of election materials not only revealed practical difficulties arising from the cutback in the number of positions provided for by the new legislation, but also awakened suspicions as to the principle of equality of candidates and the trustworthiness of the election authorities. These circumstances led to the filing of legal complaints and appeals for invalidation.81 In some districts, the placement of women candidates on the bottom half of the lists showed that the parties and political groups did not fully respect the legal provisions on women's participation on the municipal lists.82

79A letter to this effect from the President of the JNE appears in APPENDIX XII.

80The Transparencia report finds that only 1% of the polling stations had started work before 8:00 a.m., and that the average time for opening the polls was 9:16 a.m.

81Transparencia report indicates that 58% of the polling stations received incomplete packages of materials.

82APPENDIX XIII contains the tables prepared by Transparencia.

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b. Recommendations

The Peruvian electoral process has clearly been evolving favorably, and it is therefore important to consider the possibility of taking steps to avoid some of the problems observed in the October 11, 1998, elections. Prominent among these are the following: training in advance for poll workers, both principals and alternates; educational policies for citizen participation that include specific programs for the indigenous and peasant population, bearing in mind their linguistic and cultural particularities and the need to overcome their geographic and informational isolation; training the monitors of the political parties or movements to improve their performance and thereby strengthen the role of the parties as channels of society's demands;83 train the ONPE coordinators assigned to polling places; improved channels of coordination among the three election agencies and consideration of decentralizing the structure; improved logistics, to avoid wrong or incomplete shipments of materials; consideration of reviewing the regulations on the deadlines for some stages of the process (registration of candidates, disqualifications, decisions on them, among others) and a formal procedure for the appointment of election authorities, to avoid possible conflicts of interest; measures to eliminate doubts about the voter rolls on the part of citizens and political groups or parties; adoption of measures to reduce the multiplicity of documents that can be used for voter identification; regulations to ensure that women are positioned on the ballot in such a way that they can actually be elected.

As for the tally system, consideration should be given to upgrading to a fourth-generation programming system, a client/server data-base system, and more advanced communication and security procedures, to take advantage of modern information technology that would permit faster processing and transmission of the results, computerizing many of what are now manual procedures and solving logistical and organizational problems. A new interactive system should be developed, using distributed data bases, with consolidation and centralized monitoring by the ONPE. The technical personnel could be given more training in the use of the new technologies. The trial runs called for by law should be done using a large volume of data to verify the system's efficiency, train the operators, ensure efficiency in the lines of communication, and see how many computers and data-entry personnel are needed at each of the Tally Centers.

83The Transparencia report indicates that at the provincial level the percentage of polling stations without monitors from one or more parties was as follows: AP: 85%; Somos Perú: 25%; APRA 86%; Vamos Vecino: 52%.

CHAPTER III Appendices 12 Development of the Electoral Observation Mission