UNDP Electoral Assistance Implementation Guide

Electoral Assistance Implementation Guide

UNDP 2007, Democratic Governance Group, Bureau for Development Policy

Table of Contents

List of Figures, Tables and Boxes...... i List of Acronyms...... ii Acknowledgements...... iv

INTRODUCTION...... 1 UN Electoral Mandate...... 3 Objectives of UN Electoral Assistance...... 4 Major Types of Electoral Assistance...... 5 Structure of Guide...... 6

CHAPTER ONE: THE ASSESSMENT PROCESS...... 9 Assessment Considerations...... 10 Stakeholders...... 15 Capacity Assessment...... 15 Risk Assessment...... 16 Internal UNDP Implementation Capacity Assessment...... 20

CHAPTER TWO: DESIGNING AND PLANNING ELECTORAL ASSISTANCE...... 21 Main Entry Points for UNDP Electoral Assistance...... 22 Election Contexts...... 24 Essentials — Getting Started...... 25 When Should Project Design Start?...... 26 Who Should Form the Planning and Design Teams?...... 26 Formulating the Project...... 27 Review of Basic Phases in Planning...... 28 Developing a Strategic Plan...... 29 Building Partnerships...... 30 Electoral Budget...... 31 Resources Needed for the Planning Stage...... 33

CHAPTER THREE: CAPACITY DEVELOPMENT AND THE ELECTORAL CYCLE...... 35 Roles and Relationships...... 35 A Framework for Capacity Development of the EMB...... 37 Capacity Development and Other Entry Points in the Electoral Cycle ...... 39 Electoral Law Reform...... 39 Voter Registration...... 41 Civic and Voter Education...... 42 Public Outreach and Media Communications...... 46 Political Parties...... 49 Safety and Security...... 50 Training and Education...... 51 Access by the Disabled...... 52 Support to Observation...... 53 Global Initiatives...... 55

CHAPTER FOUR: MANAGEMENT AND GOVERNANCE...... 59 Coordination and Management Arrangements...... 60 Execution and Implementation Arrangements...... 63 Choosing Implementing Partners...... 64 Negotiating with Implementing Partners...... 64 How to Set up a PMU...... 65

CHAPTER FIVE: RESOURCE MOBILIZATION AND FUND MANAGEMENT...... 67 Funding Mechanisms...... 68 Standard Cost-Sharing Arrangement...... 68 Trust Funds...... 68 Basket Funds...... 70

CHAPTER SIX: PROCUREMENT AND LOGISTICS...... 73 Procurement Strategy...... 73 Planning Procurement...... 74 Procurement of Election Materials...... 75 Whether to Retain UNDP’s Procurement Support Office...... 76 chapter seven: Monitoring, Evaluation and Audit...... 79 Drafting the ToR for the Evaluation Team...... 80 Reporting Evaluations...... 81 Audit...... 82

ANNEXES:...... 83 Annex 1: Department of Political Affairs of the UN Secretariat and UNDP — Note of Guidance on Electoral Assistance...... 83 Annex 2: UN DPA Note — Coordination of International Election Observers...... 88 Annex 3: UN/UNDP Brussels Office Note on Providing Support to EUEOMs...... 90 Annex 4: EC–UNDP Operational Guidelines — Implementation of Electoral Assistance Programmes and Projects...... 103 Annex 5: Sample Generic Basket MoU and PMU Terms of Reference...... 112 Annex 6: Terms of Reference Template...... 117 Annex 7: UNDP Project Document and Results Framework (CPAP vs. non-CPAP)...... 118 Annex 8: Links to Actors and Other Resources in Electoral Assistance...... 135 Annex 9: Integrated Electoral Assistance Organizational Chart — DRC...... 137 List of Figures, Tables and Boxes

Figure 1: The Electoral Cycle

Figure 2: The Electoral Cycle (Reprise)

Figure 3: Sample Project Management Arrangements

Table 1: Recent Undp Electoral Expenditures

Table 2: Undp Electoral Planning and Implementation Process

Table 3: Capacity Assessment Methodology

Table 4: Electoral Assistance from Transitional to Stable Environments

Table 5: Election Costs in Stable, Transitional and Post-conflict Democracies

Table 6: Emb Training Needs

Table 7: Key Features of Coordination and Management Arrangements

Box 1: DRC and Technology

Box 2: Biometrics Systems and Voter Registration

Box 3: Civic Education in Support of Non-violence

Box 4: Media Initiatives

Box 5: Examples of Political Party Approaches — Benin and Guatemala

Box 6: Preventing Violence through NGOs and Field Workers

Box 7: The Specific Case of Tanzania

Box 8: Steps to Mobilize Resources for Elections

i List of Acronyms

ACE ACE – The Electoral Knowledge Network (formerly the Administration and Cost of Elections Project) ARR Assistant Resident Representative BDP Bureau for Development Policy BRIDGE Building Resources in Democracy, Governance and Elections CCA Common Country Assessment CO Country Office CP Country Programme CPAP Country Programme Action Plan CSO civil society organization DEX direct execution DGG Democratic Governance Group DPA Department of Political Affairs (also abbreviated as ‘UN DPA’) DRR Deputy Resident Representative DSS Department of Safety and Security (also abbreviated as ‘UNDSS’) EAD Electoral Assistance Division EC European Commission EDR electoral dispute resolution EISA Electoral Institute of Southern Africa EMB electoral management body EU European Union EUEOM European Union Electoral Observation Mission GMS general management support IAPSO Inter-Agency Procurement Services Office ICT information and communications technology IDASA Institute for Democracy in South Africa IDEA International Institute for Democracy and Electoral Assistance IFE Instituto Federal Electoral (Mexico) IFES IFES – Democracy at Large (formerly the International Foundation for Election Sys- tems) IRI International Republican Institute ISS implementation support services JIOG Joint International Observer Group JTF EC–UNDP Joint Task Force on Electoral Assistance

ii MDG Millennium Development Goal MDTF multi-donor trust fund MoU memorandum of understanding MYFF Multi-Year Funding Framework NDI National Democratic Institute for International Affairs NEX national execution NGO non-governmental organization PMU Programme Management Unit RR Resident Representative SRSG Special Representative of the Secretary-General SSA special service agreement ToR terms of reference UNDAF United Nations Development Assistance Framework UNDG United Nations Development Group UNDP United Nations Development Programme UNDPKO United Nations Department of Peacekeeping Operations UNFPA United Nations Population Fund UNIFEM United Nations Development Fund for Women UNOPS United Nations Office for Project Services UNV United Nations Volunteers

iii Acknowledgements

This Guide contains original ideas, suggestions, experiences and knowledge shared by numerous individuals through a number of different phases of their work in the electoral administration and electoral assistance fields.

This Guide would not have been possible without the core contributions of a number of individuals who provided ideas for the original concept and drafted text. In alphabetical order, those individuals include Fabio Bargiacchi, Margie Cook, Aleida Ferreyra, Anne Jupner, Jamshed Kazi, Jerome Leyraud, Mala Liyanage, Linda Maguire, Michael Maley, Max Ooft, Susan Palmer, Jesper Pedersen, Edo Stork and Anne Stuyvesant. Special thanks as well go to Aleida Ferreyra and Linda Maguire, who managed the production of the Guide.

The Democratic Governance Group of the Bureau for Development Policy is particularly grateful for the insights and extensive comments from members of a Readers’ Group of United Nations and external experts. They provided the ideas for the initial draft as well as edits to subsequent drafts. The following were members of the group: Angela Bargellini, Niamh Collier-Smith, Kendra Collins, Richard Cox, Andrew Ellis, Lina Fernandez, Paul Guerin, Jorg Kuhnel, Dien Le, Robin Ludwig, Hermes Murrat, Wil- liam Orme, John Patterson, Antonio Spinelli, and Domenico Tuccinardi. A special thanks as well to Jeff Hoover, who edited the Guide.

The Guide also benefited from input from UNDP colleagues during a series of joint training initiatives with the European Commission, focusing on effective electoral assistance, which were held in 2006 and 2007.

Publications from several different organizations have also been used in the development of this Guide. Whenever possible, hyperlinks have been provided to allow the user direct access to the original work.

Democratic Governance Group Bureau for Development Policy United Nations Development Programme 304 East 45th Street, 10th Floor New York, NY 10017 USA www.undp.org/governance iv Introduction

Elections are the means through which people voice their preferences and choose their representatives. Elections are a powerful tool: They can confer legitimacy on the institutions or representatives that emerge from them, or call their legitimacy into question. Elections are fundamentally political processes and are a critical element of the UN’s mandate and UNDP’s democratic governance work.

lections represent a direct expression of citi- cratic governance programmes. Such assistance Ezens’ voices and choices. As such they need stresses the transfer of professional skills and op- not only to be transparent, fair and reflective of erational knowledge and on long-term capacity the will of the people in fact, but also to be popu- and institutional strengthening of the different larly perceived as such. External support can be stakeholders of an electoral process. helpful in bolstering the ability of electoral institutions and processes to achieve all of these goals. Ultimately, UNDP assistance aims to ensure that As political events with high-stakes outcomes, elections are fully owned nationally, that there is elections are sometimes marred by political and awareness of elections being part of a broader social instability, including violence and/or intimi- democratic governance framework, and that elec- dation. Because such conditions can threaten the tions provide a vital means to safeguard human integrity of an election process, it is often useful to rights, exercise choice and express opinions. To help counter them with conflict-sensitive and cau- advance these goals, UNDP helps countries ac- tious external support. Such support may also be quire the necessary skills to organize elections beneficial in countries undergoing peaceful dem- that are both credible and enjoy the confidence ocratic transitions as well as those with fledgling of electoral stakeholders. This assistance can take institutions and/or a lack of adequate resources. myriad forms — helping electoral management bodies (EMBs) prepare to conduct a specific elec- Electoral support comprises two major compo- toral event, supporting civic and voter education nents: electoral assistance and electoral observa- programmes, building the long-term capacity tion. UNDP does not observe elections; instead, of institutions as diverse as the media or police it concentrates on providing electoral assistance, forces, and providing capacity development sup- often as a strategic entry point for broader demo- port to political parties. A good deal of technical The UN can only observe elections if given a mandate by the assistance is also increasingly targeted at EMBs Security Council or General Assembly. When this happens, the Department of Political Affairs (DPA) takes the lead on such activities in the periods between electoral events (or ‘inter- on behalf of the UN system, given UNDP’s usual role as provider of technical assistance. However, UNDP does at times assist in the election periods’), when the bodies can engage coordination of international observers; provide logistical and operational support for the implementation of European Union in a number of activities without the political and Election Observation Missions (EUEOMs); and, as part of electoral assistance, often provides support to domestic observer groups that operational pressure of delivering an electoral monitor registration and voting processes. See Chapter 3 for more information on observation and Annex 2 for the UN DPA Note on event. These activities may include developing Coordination of International Observers. Table 1: Recent UNDP Electoral Expenditures 2004 2005 2006 2007 Practice Area (all amounts in US$ Thousands) Programme Expenditure Programme Expenditure Programme Expenditure Programme Expenditure Expenditure Weight Expenditure Weight Expenditure Weight Expenditure Weight Not entered 402,873 14% 547,564 15% 674,199 17% 535,731 26% Achieving MDGs and reducing poverty 562,381 19% 792,382 21% 1,003,730 25% 491,985 24% Fostering democratic governance 1,095,412 38% 1,374,892 37% 1,474,036 37% 584,053 28% SL2.3 Electoral systems 230,360 21% 379,644 28% 200,321 14% 48,016 8% and processes BDP 0 0% 0 0% 0 N/A 0 N/A BOM 0 0% 0 0% 0 0% 0 N/A NS_HQ 0 N/A 0 N/A 0 0% 0 0% CO/RBA 20,726 9% 178,233 47% 170,337 85% 32,303 67% CO/RBAP 163,409 71% 177,630 47% 2,944 1% 13,351 28% CO/RBAS 41,295 18% 15,388 4% 13,328 7% 226 0% CO/RBEC 2,779 1% -1 0% 208 0% 0 0% CO/RBLAC 2,150 1% 8,394 2% 13,505 7% 2,136 4% Energy and environment for sustainable development 267,876 9% 335,934 9% 352,143 9% 157,997 8% Crisis prevention and recovery 388,868 13% 399,719 11% 348,250 9% 179,598 9% Responding to HIV/AIDS 172,371 6% 240,953 7% 181,342 4% 100,721 5% Total 2,889,781 3,691,445 4,033,699 2,050,086

Source: UNDP’s Executive Snapshot: Expenditures by practices areas in ‘electoral systems and processes’ service line 2004-August 2007 multi-year strategic plans; consolidating human advisory missions. It incorporates the collective resources and financial strategies; and fulfilling knowledge and experience of numerous individ- election-related functions such as boundary de- uals with extensive experience in electoral admin- limitation, testing of technological innovations, istration and electoral assistance, and draws on procurement of electoral material, public out- the organizational knowledge within UNDP and reach and voter registration. other institutions — both within the UN system and beyond — that are involved in supporting As noted in Table 1, the service line for electoral electoral systems and processes worldwide. systems and processes (SL2.3) forms a large part of UNDP’s expenditures. In fact, it has been one The purpose of this Guide is to provide CO staff of the largest service lines of UNDP as a whole in with clear direction on how to plan, formulate, terms of development expenditures. monitor and implement electoral assistance using the concept of the Electoral Cycle to identify This Guide is based on Country Office (CO) de- effective entry points, rather than approaching mand, as recognized in the UNDP Global Practice elections as a one-off event (see Figure 1). Elec- Meeting on Electoral Systems and Processes, held toral assistance that uses the Electoral Cycle’s ap- in Manila, the Philippines, in November 2004; in proach centres on longer-term support and pro- subsequent queries and discussions conducted vides a better opportunity to address in a much on the Democratic Governance Practice Network; more sustainable manner issues of capacity de- and through country-level policy and operational velopment; institutional strengthening; participation of women, minorities, indigenous people Sometimes Country Offices log their expenditures under the wrong service line (for example, ‘public administration reform’). Electoral and other disadvantaged groups; and the use of systems and processes expenditures should be carefully entered by programming units. appropriate/cost-effective technology in electoral See www.undp.org/governance/eventsites/electoral-manila/. processes, among others.

Moreover, this strategy of approaching electoral longer-term approach addressing what can more processes as ongoing or cyclical activities helps to appropriately be achieved in the short and long run integrate elections into a broader democratic gov- through a single project or programme. ernance agenda. Ideally, an Electoral Cycle would start at the end of an election and run through UN Electoral Mandate the beginning of the next election. This strategy he Under-Secretary-General for Political Af- does not preclude short-term support specifi- fairs is the designated United Nations Fo- cally geared towards an electoral event. It does, Tcal Point for electoral assistance activities. however, favour short-term election-specific -as Meanwhile, the Electoral Assistance Division of sistance that is connected (i) to other elements of the United Nations Department of Political Af- the electoral process and (ii) to the broader dem- fairs (DPA/EAD) supports the Focal Point in en- ocratic governance agenda in a given country. suring consistency in the handling of requests; channeling requests to the appropriate office or Taking into consideration the different activities and programme; developing and maintaining a ros- phases of the Electoral Cycle allows for better identi- ter of international electoral experts; maintaining fication of needs and advance planning, Moreover, contact with regional and intergovernmental or- it helps identify responses to urgent short-term ganizations; and maintaining the organization’s requests for electoral assistance. To be effective, institutional memory. As per a General Assembly such responses should be developed as part of a mandate, UNDP’s involvement in electoral assistance can only occur following a (written) request Figure 1: The Electoral Cycle from a recognized authority. Even when the re- TEGIES) quest for assistance is channeled through UNDP, (STRA RAL CTO as it is in many cases, it must be forwarded to LE T-E S the Focal Point and DPA/EAD for official PO

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General Assembly Resolution 46/137 of 17 December 1991. pre-electoral conditions in the requesting coun- Objectives of UN Electoral try. Based on the assessment and consultations, Assistance the Focal Point decides whether the UN should UN electoral assistance has two primary goals: be involved in providing electoral assistance and under what conditions. These decisions take into • to assist Member States in their efforts to hold account whether there is a clear need for UN assis- credible and legitimate elections in accordance tance, whether it will improve electoral practices, with internationally recognized standards; and whether political actors support international as- • to contribute to building, in the recipient country, sistance, and whether UN norms will be respected a sustainable institutional capacity to organize through the provision of such assistance (see An- democratic elections that are genuine and peri- nex 1 for the Note of Guidance on Electoral As- odic and have the full confidence of the contend- sistance between the UN Department of Political ing parties and the electorate. Affairs and UNDP). In those cases where DPA/EAD The primary entry point for UNDP to advance determines that the United Nations should be in- these goals is by either fostering the creation of volved, this decision is conveyed in writing by the a strong, professional and independent EMB (and Focal Point directly to the initial requestor for as- related public institutions) or enhancing the in- sistance, with a copy to the UNDP Country Office. dependence and credibility of such institutions if they already exist. It is important to note that UNDP partners with DPA/EAD and occupies a independence should not be seen in purely struc- distinct role that includes the provision of techni- tural terms, but more importantly in terms of abil- cal assistance to an electoral event and to longer- ity to undertake independent action and freedom term electoral systems and processes; donor coor- to autonomously perform its mandate functions. dination; institutional strengthening and capacity As a former Chief Election Commissioner of India development of EMBs and the involvement of once noted, credible elections require several el- civil society in electoral processes. In addition to ements, one of which is “an election commission DPA/EAD and UNDP, other UN actors are involved which is truly autonomous and fearless.” directly in electoral assistance or in activities that are relevant to electoral assistance, including the At the same time, it must be recognized that well- UN Department of Peacekeeping Operations run, credible and legitimate elections — as criti- (DPKO), the United Nations Volunteers (UNV), the cal as they are — can only go so far towards con- UN Development Fund for Women (UNIFEM), the tributing to the democratic governance fabric of UN Population Fund (UNFPA), the UN Office for a country. There also needs to be a focus on the Project Services (UNOPS) and the UN Department overall political environment within which elec- for Economic and Social Affairs (UNDESA). tions are organized and conducted. Also for this reason, addressing the institutional and professional capacity of an EMB in complete isolation does not necessarily produce free and fair elec-

See Annex 1: Department of Political Affairs of the UN Secretariat tions that enjoy the acceptance and trust of the and UNDP: Note of Guidance on Electoral Assistance, originally distributed in January 2001 (henceforth ‘Note of Guidance’). Available various electoral stakeholders. Efforts therefore in PDF format at www.undp.org/governance/docs/Elections_Guides_ Note%20of%20guidance.pdf. should also be made to build capacities beyond DP/2003/32 Multi-Year Funding Framework, UNDP Executive Board (2004–2007) and forthcoming Strategic Plan (2008-2011). See Annex 1: Note of Guidance. the EMB. This involves reaching out to and work- component will typically be established within ing with voters, the political parties, the media the context of either a DPKO or DPA mission, and civil society as well as other actors and insti- supported by DPA/EAD. Recent examples in- tutions of democratic governance. clude DRC, Nepal, Sierra Leone and Timor-Leste. In these specific contexts, UNDP has worked in Major Types of Electoral close collaboration with the DPKO or DPA Mis- Assistance sion to ensure that UNDP assistance is designed to support the overall UN electoral mandate Technical Assistance and that adequate measures are put in place Technical assistance, the type of electoral support to guarantee the sustainability of UN support. most frequently requested from UNDP, covers a Normally, this support will be provided through broad range of short- and long-term activities. the UNDP Country Office and/or UNDP elec- It is important to differentiate between direct tion-support project upon the termination of short-term election support and longer-term ca- the mandate of the peacekeeping or political pacity-building projects. The former is linked to mission. a specific electoral event and is principally aimed at assisting EMBs in the planning, preparation lectoral assistance provided by UNDP in- and conduct of an election (often with limited cludes, but is not limited to, support to elec- capacity effects). Longer-term capacity-building Etoral administration and planning, voter projects, on the other hand, are likely to look be- registration, voter and civic education, advice on yond the election per se to focus on development drafting of electoral legislation/regulations, elec- outcomes, notwithstanding possible immediate tion budgeting, training of officials, compilation electoral support. of results and procurement of electoral materials. It also involves coordinating and leveraging sup- At the time this Guide was written, UNDP provided port through bilateral and multilateral donors and electoral assistance to an annual average of 40 to agencies, civil society (including international and 50 countries as diverse as Armenia, Bhutan, Cam- national NGOs) and public institutions. bodia, Democratic Republic of the Congo (DRC), Mexico, Timor-Leste, Togo, Yemen and Zambia. Of Capacity development of the EMB is a particularly this assistance, approximately half was focused important component of UNDP programming, on an election event and half on longer-term and thus forms a significant part of this Guide. Electoral Cycle support. It is becoming more com- Mobilizing donors, partners and stakeholders mon, however, for these short- and long-term ap- — both domestic and international — is also a proaches to be combined into one, continuous major part of UNDP’s role in electoral support and approach that covers a time period of perhaps is thus dealt with at length in the Guide. five years or so and provides cyclical support de- Many electoral support programmes also include, pending upon the needs vis-à-vis both specific or indeed may focus on, ‘non-technical’ support electoral events and capacity development. not only to the EMB but to other institutions with In cases where UN support to an electoral pro- complementary responsibilities in the electoral cess is specifically mandated by the General process. This Guide addresses the importance of Assembly or the Security Council, the electoral engaging other important stakeholders such as the electorate, civil society, domestic observer centre facilitated the work of an average of 560 groups, the media, political parties, and police international monitors fielded by different- em and security forces. The development of synergies bassies and international organizations for each between non-governmental and governmental of the three elections. Support included boosting sectors, especially in the area of education, is also coordination between national and international addressed in this Guide. monitors and providing briefings and information. A similar project is implemented in Nepal for Support to International Observers the Constituent Assembly election.

he UN does not observe elections unless In other places, UNDP has done this type of work specifically mandated by the General As- in different ways, such as limited training and sen- T sembly or Security Council. It also does sitization of observers drawn from the diplomatic not generally observe elections to which it has corps (e.g., for the 2007 commune council elec- also provided technical assistance because to do tions in Cambodia) or technical support for the so would constitute a conflict of interest. It may, coordination of the different electoral observation however, choose to appoint an independent missions — for example, in 2006 Ecuador, where Electoral Certification Team or Electoral Expert UNDP performed this function for the Organiza- Monitoring Team, as has been done recently in tion of American States (OAS), Participación Ciu- Nepal and Timor-Leste. In cases where the UN is dadana and the Q’ellkaj Foundation. During the requested to observe, monitor or certify elections, DRC electoral process in 2006, UNDP provided DPA/EAD would respond to the request and lead a financial pass-through mechanism for an elec- any ensuing effort. However, UNDP does at times tions observers’ project implemented by UNOPS help to coordinate and provide logistical support and directly overseen by the national elections (normally through the establishment of a secre- steering committee. tariat) to other international election observers (e.g., observers sponsored by Member States, At the request of the European Commission, resident staff of the diplomatic missions present UNDP also provides support to the implementa- in the country, intergovernmental and NGOs) that tion of some EU Election Observation Missions together may comprise a Joint International Ob- (EUEOMs). Such support is different in type and server Group (JIOG). Requests for coordination of scope, however. It is illustrated in detail in Annex international observers do not normally require a 3, the UN/UNDP Brussels Office Note on Providing separate technical and political assessment pro- Support to EUEOM. cess, particularly if one has already been completed to help prepare for UNDP technical assistance. Structure of Guide However, Country Offices should notify DPA/EAD The purpose of this Guide is to present informa- of the request and proposed UNDP action. tion and guidance that are focused on the ‘how’ of providing electoral assistance. The concepts For example, prior to the 2004 elections in Indo- and policies (the ‘what’ and ‘why’) of electoral as- nesia, UNDP, in cooperation with the Asia Foun- sistance, are outlined in great detail in the UNDP’s dation, the National Democratic Institute for In- Electoral Systems and Processes Practice Note ternational Affairs (NDI) and IFES, established an See UNDP, Electoral Systems and Processes Practice Note, January International Observers Resource Centre. That 2004, www.undp.org/governance/practice-notes.htm#pn_elections. Table 2: UNDP Electoral Planning and Implementation Process

PHASE ACTIVITIES • Ongoing dialogue on electoral assistance with host country and development partners • Discuss findings, recommendations of assessments and formulation • Receipt of formal written request from a recognized authority for UN missions with national partners and donors assistance Assessment • Mobilize donors, partners and stakeholders around objectives • Contact DPA/EAD to assess political situation (desk review or on site) and secure UN Focal Point approval • Discussion of strategy for support—funding arrangements, MoUs, Steering Committee membership, etc. as relevant • Assessment /design mission (liaise with the EC–UNDP Task Force9 and request ad hoc missions if EC funding is involved in the project)

• Use in-house expertise or recruit specialist in project formulation to • Start draft technical specifications for electoral material prepare or finalize project document based on assessment outcomes • Start procurement for design phase (unless already done so as part of assessment) • Recruit personnel for Programme Management Unit (PMU) and • Decide on funding arrangements UNDP/CO (for extra workload) Design and • Decide on management arrangements and appropriate management • Finalize project document structures Formulation • Do capacity needs assessment of EMB • Prepare budgets • Hold pre-Project Appraisal Committee (pre-PAC) review and refine • Start formal donor coordination programme design with CO programmatic staff • Track pledges • Hold Project Appraisal Committee (PAC) review and refine • Form steering committee programme design with EMB, host country and donors

Implementation • Assist EMB in developing a strategic and operational plan, and • Ensure timely procurement of election equipment and materials election calendar • Support electoral activities (e.g.,: review/revision of electoral Sample ongoing activities: • Review election budget framework and voter registration) • Support continuous capacity- • Assist EMB in developing recruitment methodology for required • Boundary delimitation building for the electoral staff • Media and public outreach management body (EMB) personnel • Support training of EMB personnel • Voter and civic education

• Support accountability Pre-Electoral • Ensure EMB infrastructure meets operational requirements • Political party registration and candidate nomination and transparency of EMB (offices, warehouse, transport, communications, equipment) • Determination of complaints (financial, administrative, • Support procurement of necessary equipment and material • Recruitment and training of registration and election staff operational) • Facilitate stakeholder and • Support for results tabulation process donor meetings • Coordination of observers • Support for determination of complaints • Conduct regular results-based • Support to domestic observers • Public affairs support to EMB monitoring and reporting • Logistics/operational support for media/results centre • Manage human and financial Electoral • Ongoing technical and capacity development support resources • Public affairs support to EMB • Support for equipment and material retrieval and storage • Support for determination of complaints and appeals • Training of journalists in responsible reporting of electoral issues • Post-election tribunal processes • Institutional support to political parties as institutions of governance • Support for EMB post-election evaluation process, including • Discussion of the options for appropriate use of technology in refining ops plan for post-election period electoral processes • Capacity development support through BRIDGE10 • Ongoing stakeholder forums on conflict and election related issues Post-Electoral • Legal reform, electoral system design reform, gender and elections issues

• Liaise constantly with Bureau for Development Policy (BDP) and • Plan for evaluation and audits Regional Centers/ Sub-regional Resource Facility (SURF) for the Monitoring • Prepare reports monitoring of the projects and request of ad hoc missions • Record learning Monitoring, evaluation • Liaise constantly with the EC–UNDP Task Force for the monitoring of and audit the projects and request of ad hoc missions if EC funding are involved • Identify challenges and entry points for continued and future in the project democratic governance programming

9 See Chapter 3 for more on the Task Force.

10 BRIDGE is the most comprehensive professional development course available in election administration. It improves the skills, knowledge, and confidence both of election professionals and of key stakeholders in the electoral process, such as members of the media, political parties, and electoral observers. For more information, see www.bridge-project.org/. and in other policy documents and publications. quencing are bound to occur. For example, UNDP Links to these resources can be found in Annex 8 typically discusses options for electoral assistance of this Guide. with requesting countries and donors as part of its Country Programme (CP) activities in the area The ensuing chapters are arranged, as far as pos- of democratic governance. What should be high- sible, in the same order that a UNDP Country Of- lighted, however, is that UNDP should discuss any fice staff member might typically follow when potential electoral support with DPA/EAD at the attempting to plan, formulate, implement and earliest opportunity and that it cannot undertake monitor electoral assistance. Note that all activi- a project commitment until approval for UN elec- ties should ideally be implemented within the toral assistance has been given from the UN Focal context of a larger democratic governance pro- Point for electoral assistance. gramme. Framing assistance in this manner is important to the success of the broader, long-term Table 2 describes the typical UNDP electoral plan- development goals of UNDP. ning and implementation process. In cases where the support is more election-specific, the empha- Table 2 summarizes the information presented in sis should be on operational aspects of planning the Guide. It is important to note that the steps and delivering the election. Where the support is listed below are not in precise order and that more long-term, the emphasis should be on the some overlap in timing of activities or different se- post-election phase of support.

1 Process The Assessment

UN Photo/Sophia Paris The Assessment Process

lectoral assistance occurs frequently as part of ongoing support to the process of democratic gov- Eernance. UNDP only undertakes electoral assistance after a request has been received from a recognized authority (usually the host government and/or the EMB). Before the UN can provide electoral assistance, the organization must first assess the pre-electoral conditions in the requesting country to ensure that the UN is involved only in settings in which there is a genuine commitment to organize and 1conduct credible elections. DPA/EAD undertakes those assessments in close consultation with the UN Resident Coordinator/UNDP Resident Representative. Recommendations based on the assessments are submitted to the Under Secretary-General for Political Affairs — the UN Focal Point for electoral assistance activities — who determines whether or not UN assistance is justified and appropriate.

It is the responsibility of the UNDP Country Office lating an electoral support programme based on to help prepare and brief any DPA/EAD needs as- the findings and recommendations of the political sessment mission and to arrange meetings with and technical assessment team. The collaboration key stakeholders11. Typically, needs assessment between DPA/EAD and UNDP in these circum- missions produce the following outputs: stances, and the ability of the project designer to • an assessment of the existing conditions for con- hear first-hand the concerns of all stakeholders, ducting elections in the country, including the le- can expedite the project design stage and help to gal, political, human rights and institutional con- ensure that the content and scope of the eventual texts; and programme reflects as thoroughly and clearly as possible the political and technical priorities as • an assessment of the pre-election technical, oper- identified by the needs assessment. ational and human resources needs. This assessment should include recommendations for prac- If a needs assessment mission is done by DPA/EAD tical and cost-effective means of offering targeted alone, the composition of the team is normally assistance. one DPA/EAD staff member (a political/electoral The political/electoral assessment mission fielded affairs officer) teamed with one expert -consul by DPA/EAD may be accompanied by a UNDP rep- tant; a representative from DPA’s regional division resentative who would be responsible for formu- may also participate depending on the context.

11 Since electoral assistance projects are often accompanied by a If UNDP joins the mission as a joint needs assess- significant increase of non-core resources to be managed, and since most electoral projects are direct execution or implementation, UNDP should also ment/project formulation exercise, the composi- consider conducting an internal implementation capacity assessment that addresses its ability to mobilize, manage and report on resources. tion may be one or two DPA/EAD representatives (either staff or an expert consultant) and one or for approval12.10 That process can be followed, for two UNDP representatives. The UNDP representa- example, when significant and updated analytical tives could include staff from the DGG, the UN/ information already exists; the electoral environ- UNDP Office in Brussels, the Regional Centres, the ment is considered fairly ‘routine’ based on a se- Bureau for Crisis Prevention and Recovery (if there ries of well-run and credible electoral events and is a conflict prevention element), or a consultant. demonstrated capacity of the EMB; or an assessment was recently done (for a national election, f a joint mission is undertaken, it may be nec- for example, and now UNDP is proposing to sup- essary to stress with national counterparts the port local elections one year later). Idifferent purposes of such a mission. - Forex ample, the DPA/EAD-led needs assessment pro- Assessment Considerations cess must retain its independence and freedom The official needs assessment process and mission to draw conclusions that may recommend no UN conducted by DPA/EAD involves a review of some involvement in the electoral process. Misunder- or all of the following electoral considerations. standings can be more easily avoided by clearly This is a non-exhaustive list and specific consid- explaining to stakeholders the approval process erations depend on the country and its election- and that a UNDP project can only proceed after context. Focal Point approval. General DPA/EAD needs assessment missions are normally • What are the key issues that may affect the suc- funded by DPA through a trust fund established cess of the election and/or the performance of in part for that specific purpose, unless alternative the electoral processes and institutions, and arrangements are made with UNDP. However, if what type and length of support is required? UNDP is participating in the mission for the project • What have been the recommendations of pre- formulation component, the Country Office may vious domestic and international observer mis- need to pay the travel costs and/or daily rate of an sions? To what extent, if any, has there been a expert from the Regional Centre, Bureau for Devel- response to address such recommendations? opment Policy, UN/UNDP Office in Brussels, independent consultant, or a combination thereof. Legal framework • Is the electoral framework consistent with pro- It is important to strategically identify the persons/ visions provided for in the constitution and institutions with which the assessment mission other fundamental texts? will meet. Efforts should be made to ensure that it • What is the operational independence (man- is a representative sample of actors and stakehold- date, powers, budget, appointment and dis- ers, and, true to UNDP’s mandate for inclusiveness, missal) and perceived credibility of the body represents especially marginalized groups. It is also tasked with administering elections (be it gov- important to leave sufficient room in the mission’s schedule to incorporate spontaneous/additional 12 When there is a reasonable possibility that the European Commission will contribute to a UNDP-managed basket fund for appointments. the delivery of electoral assistance, and where conditions permit, project formulation missions should be carried out jointly following a modality agreed upon in the EC–UNDP Operational Guidelines for the Implementation of Electoral Assistance Programmes and Projects In some cases, such an assessment can be done by (outlined in Annex 4). This allows for the development of a common understanding of the partner country’s needs and for the Country desk review and submitted to the UN Focal Point Office and EC delegation to negotiate from the outset the conditions for EC participation in the pooled project. 10 • What is the management structure of the EMB? the voters’ register? Is there adequate infra- Is there a clear division of powers between structure in place to support a new voter regis- policy makers (i.e. the commission) and imple- tration initiative? menters (i.e. the secretariat) of the EMB? To • Does reliable census data exist on which voter what extent are members of the electoral com- registration activities are based? How does mission actively engaged in management ver- voter registration relate to the number of per- sus policy development and oversight? Is their sons eligible to vote? mandate long enough? Is the EMB represented • If relevant, has boundary delimitation been car- in regional areas or does it rely on local gov- ried out at appropriate intervals? What criteria ernment networks to act as its agents? How have been used to determine the boundaries are appointments to the EMB made and does of electoral districts? Has it been a transparent the appointments process have any bearing on and consultative process? perceptions of independence? • Of those registered to vote, what are the pro- • Does the EMB receive an adequate budget in a portions of men to women? Is it possible to de- timely manner from the government? termine whether young people are registering • Does the EMB have adequate infrastructure, as they qualify? If not, why? Are the numbers means and facilities to conduct its work (offic- of persons registering in remote regions the es, warehouse(s), transport, communications, same proportionately as those registering in etc.)? larger cities and towns? • Are staff members of the EMB permanent civil • What are the criteria for voter registration? servants? Is the EMB committed to the profes- What special issues need to be addressed (e.g., sionalization of its staff? Are there any capacity citizenship, ethnicity, internally displaced peo- development initiatives already in place? ple, refugees, out of country registration)? • Does the EMB have an institutionalized system • Was enough time allocated for carrying out the to retain its historical memory, election materials, necessary data gathering and processing? know how and lessons learned so that they could be re-used and applied to future elections? Voting operations and compilation of results • Does the EMB have the necessary human re- • How effective is logistics management for the sources and operational structures (admin- election process at the various levels, the time- istrative, financial, technical) to manage the ly and accurate dissemination of materials, and electoral process? the level of knowledge and training of polling Voter registration officials? (Such questions can help determine • What is the voter registration system in the what areas in the EMB may require input and country? support.) • Is there a voters’ register and if so, is it regularly • Is the process of voting manual or electronic? updated? Is a new voters’ register required? If Where are the votes counted (at polling station so, why (e.g., an electronic, centralized regis- level or regionally)? Are the counting and re- ter to replace a manually compiled one)? How sults transmission processes transparent? Do secure, up-to-date and inclusive is the data on political parties receive a copy of the preliminary vote count? 12 • What are the impediments, if any, to rapid col- bodies? What are the requirements for the lation and announcement of results? Is there a reporting of funding and expenditure by the centralized process of results announcement parties? and ready access to information by media? • Is there a code of conduct for political parties? • Is there a well-trained, easily mobilized domes- Are party nomination processes transparent or tic observation force? Do the domestic observ- subject to any scrutiny? er groups collaborate effectively (if at all)? • Does the electoral law allow independent candidates? Are there some kinds of elections Civil society (e.g., local elections) that political parties are • Are there enduring civil society structures and not allowed to contest? umbrella bodies? How well represented is civil society in non-urban centres? Has a mapping Media exercise been done to identify the demograph- • What is the balance between state-owned versus ic groups served by and issues addressed by independent media? What proportion of media civil society? What are the strengths and weak- is owned by political parties or politicians? nesses of civil society? To what extent is civil • Have there been previous media monitoring society politicized and/or partisan? exercises in terms of qualitative and quanti- • To what extent is the non-governmental orga- tative election coverage? What is the general nization (NGO) sector controlled by govern- standard of journalism training and practice, ment regulation? Is the impact of civil society and of investigative, independent, fair, accu- at all measurable? How engaged is civil society rate, impartial and balanced reporting? in civic and voter education, and domestic ob- • Is equitable or equal access to the media pro- servation? vided to all parties? Is there a code of conduct Political parties for media governing the election period? • Is the political system party-based? Which are • Does the NGO sector utilize media as a tool the main political parties and what is the bal- of education? To what extent do media own- ance of parties in the parliament? Has the pro- ers and editors assume some responsibility for portion of opposition parties/members risen voter education? or fallen in recent elections? How many parties do not have representation in the parliament? Security If not represented, why? • Have previous elections been marred by violence? If so, has this been generalized and • Are parties based around leaders or ethnic/re- widespread or focused in particular areas? Is gional groupings, or are parties differentiated election-related violence a top-down or grass- in terms of ideology, policy and platform? What roots-up phenomenon? Is enforcement of is the proportion of ‘briefcase’ parties to parties election and campaign laws applied equally to that represent a significant sector of society? government and opposition parties? How many parties have nationwide representation and how many are regionally based? • What has been the role of police in controlling or indirectly encouraging election-related vio- • Do parties receive funding from government? lence? How effective is the relationship and the Do parties receive funding from international 13 coordination between the EMB and the police? the quantitative (e.g., numbers of persons regis- Are police officers and other law enforcement tered to vote compared with numbers eligible to authorities aware of their specific election-re- register, numbers of publications disseminated, lated responsibilities? attendees at events, number of informal or incor- • What is the role, if any, of private security forc- rect votes compared with previous election, etc.) es, however informal? and qualitative (which reflect changes of perception, understanding, and attitude or levels of pub- Coordination lic confidence in the electoral process). • Who are the key stakeholders (domestic and international), and what is required to optimize hile these issues are addressed later in their participation? the Guide under project development, it is useful to note at this early stage that • What is the view of donors towards (i) a com- W 1311 mitigating against risk means being alert to the mon ‘basket’ approach to election funding; (ii) criteria under which a project will be evaluated and their commitment to participate in an electoral ensuring that activities are geared towards the at- support project; (iii) programming priorities; tainment of pre-determined objectives. Depending and (iv) funding modalities? upon the original goals of the electoral assistance, • In light of the expressed priorities, how many an evaluation may look at the following elements: and what kind of specialized staff might be • Completeness of the design and planning pro- needed to achieve a successful project? cesses. • In light of probable donor commitments, what • Efficiency of the project vis-à-vis the quality of are the most appropriate management struc- the results achieved. This can be determined tures for the project? Who might take the role by evaluating the appropriateness of manage- of lead donor/organization? ment structures and the fluidity with which While the needs assessment process should management responsibilities were conducted identify the range and scale of needs and pos- both at the Programme Management Unit sible areas of intervention, the eventual UNDP (PMU) and UNDP levels. project document is required to provide measur- • Effectiveness of project components. able indicators of success. Such indicators will be scrutinized in any eventual evaluation, particu- • Impact of the project on the wider environment larly those involving donors to the project, and and its contribution to wider democratic gover- will be used to judge the success of the project. nance objectives, such as inclusive participation Therefore it is important to carefully craft indica- and acceptance of the democratic process. tors that demonstrate progress but that are also • Sustainability of the results achieved with par- measurable and for which data sources exist. For ticular reference to the development of na- some donors as well, provision of baseline data, tional institutional capacity; to socio-cultural, targets and indicators in acceptable formats is a legal, economical and financial factors; to gen- precondition of the release of funding tranches der-related issues; and to geographical factors and is required within specific timeframes of the vis-à-vis the appropriateness of technology signing of financial agreements. 13 It is obligatory to have a risk log in accordance with the User Guide. The assessment mission can be utilized to identify risks and mitigating measures. Absence of a risk log, particularly if in a direct execution Indicators of success typically comprise a blend of (DEX) project, reflects badly on the UNDP Country Office when the (DEX) audit is being done. 14 used. In this context, the following should be • Other relevant departments — either gov- examined: evidence of the increased institu- ernmental or independent — e.g., registrar of tional capacity of the EMB to function effec- persons (citizen ID); census department; anti- tively without continuing technical assistance; corruption commission; national human rights evidence of developed long-term partnerships commission; education agencies (in relation to with civil society; and evidence that ICT and civic education curriculum development and technological inputs are safeguarded by ad- possible future collaboration) equately trained personnel, back-up systems • Political parties — government and opposition, and legal ownership. including those not represented in parliament • Appropriateness of the project in terms of setting • Media objectives in line with the overall democratic de- • Editors velopment goal of the recipient country. • Media owners • Media council/journalists’ union Stakeholders • Key media houses (e.g., principal indepen- Because of their ongoing or future interest in the dent print/electronic) electoral process, a number of different stake- • Civil society holders need to be consulted during the course • NGO umbrella organizations, especially of any needs assessment. Who should be involved those with regionally based membership in discussions depends to a large extent on the • Faith-based organizations current specific situation of the country and the • Women’s organizations judgment of DPA/EAD in close consultation with • Disabled people’s organizations the UNDP Country Office. Among the most rel- • Civil society organizations engaged in civic evant actors typically are: education or who have had a relationship • High-level staff from the EMB (chairperson/ with the EMB in voter education commissioner level as well as secretariat/ man- • Domestic observation groups agement level) • Police/security forces • Government representatives including: • International community, including bilateral • Parliamentarians (from both ruling and and multilateral organizations opposition parties); committees that may • Other national and international organizations be relevant to elections with electoral interests and probable present • Relevant ministers, such as those from the or future relationships with stakeholders in the Ministry of Justice, Ministry of the Interior/ broader electoral timeframe (see Annex 8 on Internal Affairs/Planning (boundary delim- electoral assistance actors) itation), and Ministry of Finance (budget- • Academics or prominent commentators on the ary issues) current political scene • Judiciary, especially those from the Su- preme/Constitutional Court (electoral dispute resolution) Capacity Assessment • Attorney General (constitutional and legisla- As shown in Table 3, the capacity assessment tive environment); law reform commission methodology presented here takes into account 15 the broader context of policies and processes that risks brought about by electoral assistance activi- affect electoral processes (macro level), as well as ties, all need to be considered. These risks need the institutions and individuals (institutional and to be identified and analyzed, and then quantified individual levels) that function within this context. and prioritized. For any electoral assistance proj- The framework in Table 3 is adapted from UNDP’s ect, UNDP Programme Managers need to prepare ‘Capacity Assessment and Development in a Sys- a risk log, upload this into ATLAS and periodically tems and Strategic Management Context’14..12 update the log.

Risk Assessment Risks related to the success of the electoral pro- isk assessment is undertaken to predict cess often can be mitigated through programmed possible problems, as well as identify their activities such as legal reform, civic education, Rlikely sources, so as to prevent such prob- media campaigns advocating non-violence, jour- lems from arising in the first place. In the context nalist training programmes, and conflict media- of elections, with always evolving needs, the risks tion among political parties. At the same time, it threatening the success of the electoral process is important to be realistic about risks and their and the electoral assistance efforts, as well as the sources. In some cases risks arise because there are players who may not want the process to 14 See UNDP, Capacity Assessment and Development in a Systems and Strategic Management Context, Technical Advisory Paper, No. work, including those who are benefiting from 3, BDP (January 1998). A more detailed use of this methodology is explained in Chapter 3, under Capacity Needs Assessment for the the status quo. These players often are willing to Electoral Management Body.

Table 3: Capacity Assessment Methodology THE LEVEL WHAT NEEDS TO BE ASSESSED Macro level Political (conducive environment) factors, security, law and order, civil society’s perception of the process and how civil society is popularly perceived, civic knowledge and interest, public trust in the democratic process Global referent: National authorities’ attitudes towards democratization and international standard electoral processes, government democratization and commitment to reform, public sector support, electoral laws and legal frameworks, electoral systems and processes, degree to which the legislature, judiciary system is representative International support and assistance, including development partners’ readiness to support the electoral agenda Capacity of EMB to accept international or donor funds without compromising core funding from government sources Physical environment and logistical challenges

Institutional Level Electoral management bodies Judiciary/Supreme Court (electoral dispute resolution) Sectoral referent: electoral apparatus Legislatures (electoral laws) improvement/reform Political parties Media Civil society Resources (EMB budget) Technological factors Strength of public institutions

Individual Level Electorate Party officials and contestants (if individual candidates) EMB staff Staff of public institutions 16 undermine the electoral process. In such cases, and then designing targeted initiatives such as potential remedies go beyond the remit of the police training, security dialogues, voter and technical assistance project per se and may take civic education, conflict resolution, communi- the form of advocacy by the Resident Coordinator cations hubs, local peace committees, facili- for adherence to international standards, or politi- tated dialogue between political parties and cal pressure at the international level. media, agreement on codes of conduct, and other means of conflict mitigation. At the macro level, risks may include: • Physical environment and conditions. Dif- • Changes to the existing political culture, ficulties caused by the physical environment power structures or legal framework. For or climate conditions, such as a severe rainy example, new appointments to the EMB can season, may delay the delivery of election ma- have an impact on relationships with govern- terials, prevent people from reaching polling ment and stakeholders and on the culture of places or hinder the rapid transmission of re- transparency and on their professional needs. sults after the vote. Such occurrences can give The reduction of institutional memory of elec- rise to suspicion that results are being manipu- toral processes may affect the speed of imple- lated, which may therefore cast doubt on the mentation of the electoral calendar. Legislative confidence of the process and lead to violence. amendments can have a huge impact on the Elections should be scheduled in the most ad- timeline and rules of the game. New census vantageous season for participation. data and new boundary delimitation can cre- • Procurement of election materials. Cumber- ate tensions between parties, and a push to some or poorly designed tendering processes register previously unregistered voters may tilt are particularly vulnerable to manipulation. delicate power balances. They may also delay implementation and pro- • Government or political forces’ resistance curement and increase costs. UNDP’s Office of to or support for electoral reform processes Procurement Support can assist with transpar- that could have an impact, positive or nega- ent tendering processes when given sufficient tive, on the credibility and acceptability of lead time. UNDP Programme Managers should the outcome. Constant dialogue and ongoing bear in mind that for all new projects, an ad- evaluation of the political environment is criti- vance procurement plan is necessary. Discuss- cal to mitigate potential negative fallout from ing this plan timely with relevant involved ac- reform processes. tors is crucial for timely procurement. Where • Internal conflict, violence and intimidation. the project calls for large procurement and the Violence and conflict can deter people from UNDP Country Office does not have adequate participating in the process; prevent delivery of capacity, procurement training should be pro- election materials; disrupt political campaigns; vided to staff. delay civic and voter education initiatives; pre- • Appropriate technology. If appropriate, the in- vent attendance at polling stations; lead to troduction of new technology can make elec- allegations of partisanship of security forces; toral processes more efficient. However, the and affect the acceptability of the outcome of introduction of new technology shortly before the poll. Where violence is an issue, it should the elections can also raise suspicions and cre- be addressed initially by researching its causes ate a lack of confidence, or may be impractical 17 for various reasons. Several issues need to be cerns, and DPA/EAD, in regards to issues related taken into consideration when contemplating to impartiality and credibility. Based at least partly technological upgrades. They include weigh- on such consultations, UNDP can therefore deter- ing actual vs. perceived benefits of introduc- mine the possibility and likelihood of the orga- ing new technology, legal implications, the nization’s actions in the election field having the perceptions of voters and other stakeholders, following impacts: feasibility, appropriateness, implementation • Endangering staff, officials, observers and time frame, cost effectiveness, maintenance, members of the population in general. In post- sustainability, balance between security and conflict countries security has been a major issue transparency, and integration with existing and a significant cost. In extreme circumstances skills, electoral practice and procedures. Some private security firms can be engaged. Even in of the strategies to use technology without more stable environments security risks are tan- jeopardizing the electoral process include in- gible. The UNDP Field Security Officer should volving stakeholders, surveying the political always be involved closely with the electoral ini- environment, surveying cultural issues, carry- tiatives; appropriate travel clearances, security-in- ing out feasibility studies, presenting the ben- the field training and other interventions must be efits clearly, and being transparent about pro- in place. The security status of contracted project curement procedures, time of deliveries, costs staff (not only international consultants but also and risks. It may also be useful to carry out pilot local project staff or seconded government staff) and evaluation tests that can be used also as and whether or not they fall under the UN im- civic education, public outreach and consen- munities and privileges and are required to par- sus-building measures. ticipate in, for example, security drills and warden • Difficulties created by lack of funding. Delays systems, must be known to all interested parties. in the receipt of funding from government or • Jeopardizing UNDP/UN impartiality or cred- donors may inhibit the EMB’s ability to carry out ibility. The UN’s impartiality is one of its greatest voter registration and education, procure ma- assets. At the same time, the UN is a value-based terials on time, and pay ad hoc staff. All of these organization informed by the UN Declaration negative developments can reduce confidence of Human Rights, Article 21 of which states that in the process. Donors need to be aware of ‘the will of the people shall be the basis of the such conditions so they can respond in an ad- authority of government; this shall be expressed equate manner. Yet on the other hand, funding in periodic and genuine elections which shall be shortfalls or slow receipt of donor funds may by universal and equal suffrage and shall be held inhibit the capacity of the programme to de- by secret vote or by equivalent free voting pro- liver its components. Efficient transmission and cedure’. In some contexts, UNDP may provide a tracking of funds from donors to UNDP creates more useful service to programme countries and confidence in the management process and in national stakeholders by not providing electoral the efficiency of the assistance provided. assistance and instead retaining its good offices to mediate or resolve conflicts that ensue from Furthermore, UNDP should consult with other UN the electoral process. departments, notably the Department of Safety and Security (DSS), in regards to security con- • Affecting existing power structures within

18 Box 1: DRC and Technology n 2005, the UNDP project in support of the electoral After further technical and financial evaluation, all three Iprocess in the Democratic Republic of the Congo (DRC) companies were asked to attend a validation test session in worked with the Inter-Agency Procurement Services Office Kinshasa. The protocol of this test was jointly prepared by (IAPSO)*, the Congolese Independent Electoral Commission, the Congolese Independent Electoral Commission, IAPSO, and the Electoral Assistance Division of the United Nations UNDP and MONUC. During this test, the kits of all three pre- Organization Mission in the Democratic Republic of the selected companies were thoroughly tested in both urban Congo (MONUC) to prepare the technical specifications and and rural areas in a nationally publicized two-day mock procure up to 10,000 biometric voter registration kits. The voter registration exercise. This was done to ensure that the advance specifications and assumptions were extensive. kits matched the required technical specifications and could These kits were to be used to register an eligible voting perform successfully. population estimated at, in the absence of recent reliable census data, between 22 million and 30 million people. Af- More specifically, the exercise both allowed comparison of ter registration, each voter was to receive a voter card with the systems’ relative function in the environment in which digital picture, fingerprint and other security features. The they would be used and allayed public anxiety about intro- kit itself was to contain a laptop computer, a pre-installed ducing new technology. Also, this validation test/mock vot- specific software, a digital camera or a Webcam, a finger- er registration exercise offered proof to all the stakeholders print scanner, a portable colour printer, and a power gen- that the national and international actors involved in the erator. Besides providing the kits themselves, the successful implementation of the electoral process were actively en- supplier was to provide cascade training as well as in-coun- gaged toward the organization of the elections. In addition, try technical support. holding onsite tests that stakeholders were able to witness was an important step in building public confidence in the IAPSO pre-qualified 12 specialized companies that- ex electoral process. Among others, the onsite tests helped pressed interest and were deemed both technically and boost confidence that the procurement process was being financially capable. In the end, IAPSO received five bids, carried out in a transparent manner that followed interna- three of which complied with the bid’s terms of reference. tional procurement best practices.

* It should be pointed out that IAPSO’s functions with respect to election-related procurement are now carried out by UNDP’s Procurement Support Office.

the country. All democratic governance assis- over others. It is important that under no cir- tance is, by its nature, political — elections in- cumstances should UNDP actually have a di- cluded. This does not mean that UNDP should rect impact on the results of the elections or avoid democratic governance work under a be perceived as having done so. Those vital guise of impartiality, but rather that it needs objectives can best be achieved by emphasiz- to acknowledge and be aware that everything ing that UNDP support is solely provided to from public administration reform to politi- help improve legal, technical and operational cal party support is political and affects the aspects of the process and produce results that power balance and dynamic in a country. For are based on the free and true expression of example, UNDP needs to avoid acting or being the will of people. seen to act in a partisan manner that favours • Influencing transparency. Unfounded criti- certain political parties, interests or candidates cism can be headed off by ensuring transpar- 19 ency of processes, creating clear accountability national EMB. Such support enabled the registra- structures, establishing effective communication of 25.7 million voters throughout the country tions capacity and building allegiances and loy- and the organization and holding of the constitu- alties among project participants. tional referendum, as well as the presidential and national assembly elections — processes that, all Note that risk assessment processes must consider told, involved the training of about 300,000 elec- the entire Electoral Cycle. That being said, some toral agents and the establishment of 50,000 vot- risks may need to be addressed in the short term, ing stations. In addition, joint donor projects man- while others may need longer-term solutions. aged by UNDP allowed equipping and training Projects should focus on producing a conducive, both the National Congolese Police, to ensure the pluralistic environment to deepen democratic security of the electoral process, and key judicial governance, going beyond immediate techni- bodies (including the Supreme Court of Justice cal support to the EMB and looking at the overall and courts of appeal in the provinces). political environment. This means that pre- and post-election conflict mediation mechanisms may Achieving all of these goals necessitated a pro- require special emphasis. gramme resources increase from US$66 million in 2004 to over US$220 million in 2005 and US$272 million in 2006. During this period, UNDP issued Internal UNDP Implementation over 1,220 national and international contracts Capacity Assessment and carried out procurement activities totaling lectoral support projects often entail signifi- approximately US$200 million. cant workload increases both in programmatic and operational terms. This holds In preparing for such massive increases in resourc- E es and activities, UNDP Country Offices should especially true in post-conflict settings where national EMBs may be newly constituted, under- consider an internal capacity assessment that: staffed and/or undercapacited. • evaluates existing structures, procedures and capacities; In such settings, UNDP often plays the role of • analyzes expected workload; and a funds manager for resources contributed by the international community. In addition, UNDP • identifies areas where additional capacities might also be asked to provide a ‘corp’ of tempo- need to be established. rary (national and international) elections support staff recruited and funded through UNDP, and to Since this process might lead to comprehensive carry out the procurement of all major elections changes in the structure and capacity of the Coun- equipment. try Office, it is essential to start preparing the office as early as possible. For the design and manage- In the DRC 2005/6 electoral process, UNDP, in ment of the change process, COs might consider partnership with the United Nations Organization involving UNDP’s Management Consulting Team. Mission in the Democratic Republic of the Congo In some cases, donors have also been willing to (MONUC) and other donors contributing to the contribute resources to UNDP in order to ‘boost’ CO electoral support ‘basket fund’, provided critical capacities (as in Afghanistan and DRC). technical, financial and material support to the 20 ernmental, semi-governmental, independent Is the engagement of women in politics based electoral commission, etc.)? on issues and performance? • What is the electoral system (method by which • What are the key constraints on the political votes cast are translated into seats/offices won) participation of minorities, indigenous and used for the various levels of elections? Does tribal peoples, women, young people, illiter- this represent a change from previous elec- ate or poorly educated people, those in non- tions? urban or remote communities and indigenous • Is there an adequate legal framework for the cultures, and what is required to enable their resolution of election disputes? How enforced/ participation? enforceable are sanctions for electoral offences • What specific policies or electoral reforms (if any)? might improve the participation of women and • What pressure, if any, exists for reform to the minorities? Are there quotas related to gender constitution or electoral legislation? or other factors? • Is the political environment conducive to • Are there special measures in place to ease the electoral reform (constitutional, legislative, participation of physically handicapped voters, structural)? such as special polling sites, home-based or alternative voting methods, support from the • What is the level of commitment to politi- EMB, etc.? cal or electoral reform? (Such a determination is best made by engaging in dialogue Electoral management bodies with public officials.) • Does the EMB have the confidence of govern- • What specific political and/or electoral law ment and citizens? What factors impact on the reforms might improve the electoral envi- standing of the EMB? Has there been any his- ronment? tory of interference by the government in the • To what extent might the political and affairs of the EMB? Is the EMB perceived to be institutional infrastructure support re- independent, impartial, accountable and effi- forms to electoral processes, and what is cient? Is the EMB perceived as taking decisions required to internalize and sustain any re- and operating transparently and in consulta- forms made? tion with all electoral stakeholders? • Is the EMB a permanent body? Are there other • To what extent are the activities of political par- state bodies that have a role in the electoral ties subject to regulation through registration, preparations and process, such as the Supreme monitoring of party finances and so on? Who is Court, electoral tribunals, others? responsible for the oversight of political parties? • Does the EMB have effective, ongoing relation- Participation by politically ships with political parties, civil society, the disadvantaged groups media, relevant government ministries, donors • How engaged and empowered are women in and other key stakeholders? the political/electoral process? What is the pro- • Does the EMB have a policy of ensuring acces- portion of women in parliament and in local sibility to the electoral process by people with elected government? Are women candidates physical disabilities? actively sought out and supported by parties? 11 2 Planning Designing &

UN Photo/P S Sudhakaran Designing and Planning Electoral Assistance

Capacity development is essential to the long-term success and credibility of electoral institutions and processes. Credible elections are more likely to occur if the authority charged with organizing elections is independent in its actions and professional, with adequate resources and the capability to carry out civic education, voter registration and other of its mandated functions between elections. Among the numerous activities that can be properly addressed in the period between elections are post-election 2reviews, legal and technical reforms, planning, staff development and reorganization, system testing, and improving election procedures. iven the unique context in which every elec- Figure 2: The Electoral Cycle Gtoral assistance effort takes place, there is no TEGIES) single electoral actor or entry point that the (STRA RAL CTO UN endorses per se. A number of differ- LE T-E S ent factors, including the character of PO

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(

toral assistance is conceived O

L E

and implemented. Electoral E

P C

T L

planning, and accordingly R

L T

electoral assistance, is in a ( E

constant state of motion that

addresses each and every stage

)

of the Electoral Cycle. (As depict-

ed in Figure 2, the Electoral Cycle

contains eight key segments.)

When examining the Electoral Cycle, it should be noted that its approach is informed primar-

21 ily by electoral administration and development Typically assistance focuses on fostering coun- partner viewpoints. In other words, political par- tries’ election planning, monitoring and bud- ties, civil society organizations and/or parliaments geting capacity. It can also include support for may organize themselves differently than in the permanent voter registers that are updated eight slices of the pie listed above. (For example, periodically, or continuous voter registration political parties would be involved in electoral processes and the creation or updating of a law reform, civil society organizations would be civil registry. involved in voting operations as domestic observ- • Civic and voter education. Activities in this ers, and so forth.) Therefore, while the Electoral area aim to expand democratic participation, Cycle may not be cast in stone and may not be particularly among women and other under- equally relevant to all electoral stakeholders, it represented segments of society. UNDP’s ef- provides a reference point for moving away from forts include awareness-raising to highlight considering elections as events, towards a more the rights and responsibilities of citizens in an sustainable notion of elections as cyclical process- electoral process and, more broadly, in a func- es that are ongoing, dynamic and embedded in a tioning democratic society. Voter education broader democratic governance context. may be embraced within support to the EMB; be done independently through CSOs; or be a Main Entry Points for UNDP mix of both. 15 Electoral Assistance • Mobilization and coordination of resources UNDP provides electoral assistance mainly in the for electoral support. Because of the sensitiv- following 11 areas: ity and importance of electoral reforms and • Electoral reform. This kind of assistance in- processes, they can attract wide international volves the reform of laws, systems or political interest. UNDP can serve as a conduit for fi- institutions to make them more broad-based, nancial contributions, overall coordination and inclusive and representative. participation by third parties. • Electoral administration. Assistance in this • Helping ensure security during the electoral sphere takes the form of strengthening insti- process. Electoral periods are often character- tutions, offering professional development ized by societal conflicts. While UNDP should programmes to electoral administrators, build- make every effort to minimize its involvement ing greater public information and outreach in these conflicts, it might consider technical capacity, and helping countries with election- support for institutions responsible for the related resource management. It can also be securitization of polling stations. Such institu- more election-focused by taking the form of tions might include national and local police. helping EMBs in planning, preparing and con- • Strengthening political parties. UNDP’s work ducting elections and referenda. with parties is varied and depends on the con- • Building sustainable electoral processes. This text. Examples include working with parties to often involves support for cost-effective yet ensure that they are involved in voter registra- credible elections, and can take many forms. tion and education efforts, to improve party campaign and media strategies, to strengthen 15 Electoral Systems and Processes Practice Note, January 2004, party caucuses within legislatures and to help UNDP/BDP/DGG. 22 make parties accountable for their commit- appeal) while other organizations carried out ments to address gender imbalances at the ongoing legal assistance during the electoral leadership level. This work is closely linked process. with institutional development because more • Media and elections. Activities in this area effective, democratic and transparent parlia- might include supporting initiatives that pro- mentary party caucuses allow legislatures to vide access to the media to different political work more effectively. Support must be pro- parties; training the media to provide more vided transparently and should bear in mind professional, balanced and comprehensive the responsibility of the UN to provide all sup- coverage of elections; strengthening the com- port in an impartial manner. Support should munication links between EMBs and the media; also focus on parties’ responsibilities to ‘lose and helping improve qualitative and quantita- gracefully’ and on the important and integral tive monitoring of media coverage, including role played by the opposition not only in Par- compliance with relevant codes of conduct liament, but in the enhancement of the demo- and regulations regarding access to media by cratic process overall. political parties. • Reduction of election-related violence and • Support to international and domestic ob- electoral dispute resolution. Electoral disputes servers. As noted previously, UNDP involve- comprise first and foremost legal proceedings ment in international observation is restricted established to redress electoral complaints to providing a facility for coordination to ob- and appeals. The legal and institutional frame- servers when requested and relevant. Support works for dealing with electoral disputes can to domestic monitoring efforts or strengthen- be the subject of electoral assistance activities ing systems for improved domestic observa- with a view to strengthening their transparen- tion, however, is often included in larger proj- cy, fairness and credibility, while increasing the ects of support that include civil society and confidence of stakeholders. In addition, UNDP political party elements. has increasingly engaged in working on alter- • Inclusive participation. This area of support native forms of conflict prevention and conflict focuses on enhancing the participation of resolution applied to the electoral process. traditionally underrepresented or under-par- This work is recent, and not one in which UNDP ticipating groups in political and electoral has heretofore played a major role, apart for processes, including women, minorities, indig- the good offices of the Resident Coordinator enous people, the physically disabled and the in some countries. UNDP’s impartiality, how- young. With particular respect to gender and ever, is one the main potential advantages of elections, UNDP in partnership with UNIFEM its involvement in this area. In some places this works to build awareness and capacities for has involved working with the EMB to bring; women to play a greater role in political life as in others it has focused on local-level non- candidates for office and political leaders, as governmental processes of conflict preven- voters and as electoral administrators. tion around the electoral process. And in still other places, UNDP has technically prepared the body in charge of election dispute settlement (such as the Supreme Court and courts of

23 Election Contexts Table 4: Electoral Assistance from Electoral assistance takes place in Transitional to Stable Environments a variety of different circumstances The scope of technical and financial Electoral Assistance in Transitional Environments assistance depends on the type of Sample elements of a project: election (e.g., national or sub-na- • Constitutional/legal reform tional, presidential, parliamentary • Capacity-building of political parties or local); the environment in which • Capacity-building of EMB the election takes place (e.g., post- • Voter registration conflict, transition, third or fourth • Civic and voter education campaigns post-transition/post-independence election); and other prevail- • Setting up electoral dispute mechanisms ing conditions (size of electorate, • Election security health of the national economy • Election logistics and infrastructure and national funding available for • Integration of new technologies elections, state of voter register • Media and elections and electoral institutions, physical Electoral Assistance in Stable/Developing Environments constraints, etc.). The scope and Sample elements of a project: effectiveness of the assistance also • Capacity-building of EMB depends on the extent to which the political actors in the country are • Integration of new technologies supportive of democratic processes • Institutionalized civic education per se — so that, for example, they • Transitioning to continuous voter registration systems are willing to see a good process • Enforcement of campaign finance regulations. Note that this is mostly as ultimately more important than undertaken in post-conflict and transitional elections, but is less often an achieving an outcome that favours area of support in a stable and developing environment where enforcement them. mechanisms (such as the EMB’s audit section, the anticorruption commission and the judiciary) are stronger Table 4 illustrates how an elector- • Regular boundary delimitation al assistance project might segue • Training for women candidates and political leaders from certain activities into oth- • Strengthening and institutionalizing electoral dispute resolution ers, and sustain some areas, as a mechanisms country moves from a transitional environment to a more ‘stable’ or erbate the problems they are intended to help ad- developing environment. dress16. Careful attention needs to be paid to the timing and conduct of post-conflict elections, along Electoral Assistance in Post-Conflict with the important factors of building strong demo- Settings cratic institutions, forming long-lasting relationships Hastily planned, poorly designed elections in post- with civil society and strengthening political parties. conflict or newly created states may actually exac- 16 See www.undp.org/oslocentre/docs04/Electoral%20Systems%20 &%20Processes.pdf. 24 Working with political parties in this context may be • Setting up the election administration and its especially difficult, given that some parties may be operational and territorial structure converted from armed movements and, therefore, • The first voter registration exercise have members that in the past were members of • Registration of parties and candidates militia groups with no tradition of democratic practices. Getting these actors to accept the rules of the • Procurement and distribution of election democratic game is crucial and represents a key materials challenge of this work. However, UNDP also needs • Recruitment and training of inexperienced to be mindful of the risk of legitimizing former war- staff lords and should take this into account when assis- • Development of stakeholders’ capacity tance is planned. • Extensive voter information and education ften post-conflict elections take place campaigns in countries where the UN has either a • Communications and transportation (includ- Opeacekeeping mission (such as the 2006 ing 4WD vehicles, boats, helicopters and/or elections in DRC) or a UN political mission (such as planes) the elections in Nepal). In such elections, there is • Security for people and materials normally a Security Council resolution giving the peacekeeping or political mission the mandate to lead or coordinate electoral assistance, under the Essentials — Getting Started guidance of DPA/EAD. UNDP works in close col- Ideally, electoral assistance should begin immedi- laboration with DPA/EAD in supporting the elec- ately after the last election or, more appropriately toral component of the UN mission according to put, should simply segue from election-related an agreed division of labour. UNDP support could support to longer-term support focused on the include traditional technical electoral assistance Electoral Cycle. However, if a long-term approach to the electoral authorities, management of a is not possible, at a minimum preparations should ‘basket fund’ on behalf of donors (see Chapter 5 begin at least 18 months in advance of a given for detailed discussion of this option), and/or dis- electoral event. crete projects supporting political party development or enhancing women’s participation. For a Country Office, an important first step if approached for electoral assistance by the national Post-conflict elections typically involve extremely EMB and/or government is to provide informa- high costs due to the number of activities that tion on the UN procedures with respect to re- need to be carried out for the first time as well quests for electoral assistance. If a formal request as the higher costs associated with securing the for electoral assistance has already been submit- integrity of the vote and the safety of the voters. ted, this may need to be followed up with the De- Tight deadlines, lack of adequate infrastructures partment of Political Affairs’ Electoral Assistance and assets, and a volatile security environment Division (DPA/EAD). As mentioned previously, the can further drive up costs. division’s needs assessment mission assesses the existing conditions for conducting elections in High capital costs associated with (but not unique the country and provides recommendations on to) post-conflict elections include: 25 the pre-election technical needs. ect should allow at least three months from the date of advertising to the singing of a contract. Upon approval of the recommendations of the A PMU should be in a workable office and ad- needs assessment mission by the UN Focal Point equately staffed at least one full year prior to the for electoral assistance activities, the project for- election date. mulation can be initiated (or continued if previously begun). Who Should Form the Planning and Design Teams? When Should Project Design Start? Stakeholders that should be included or con- An election is a cycle of interdependent events, sulted in planning and design activities may com- with multiple phases often happening simul- prise the following, with the caveat that some are taneously and with inflexible timelines. UNDP’s going to play major roles in the process — such as electoral assistance is most effective when given the EMB — while others may have more special- sufficient lead time or, better yet, when it is pro- ized roles or types of consultation, such as secu- grammed in a continuous and encompassing rity forces or the judiciary: manner. In accordance with the DPA – UNDP Note Electoral management body of Guidance on Electoral Assistance, a request for electoral assistance should be sent by the govern- Government ment or electoral authorities at least four months DPA/EAD needs assessment mission prior to the scheduled election to allow for mean- Project formulation mission (if different from ingful involvement17. Ideally however, the elector- the needs assessment mission) al assistance should start after the previous election or, as noted previously, at least 18 months Media prior to the next election. A late request to the UN Civil society for assistance by a recognized national authority Political parties could delay the process of project design. In light of this, it is helpful for UNDP Country Offices, in Development partners consultation with DPA/EAD, to maintain contacts Representatives of minorities on an ongoing basis with electoral stakeholders Judiciary18 in the country to get a sense of the timelines, the likelihood of a request, and the potential areas of Security forces support even before the formal process of project Community-based groups design begins. Technical advisors

Timing is extremely important when it comes to establishing a PMU, particularly given the time it takes to get various components up and running, and when advertising for service providers and review by both the CAP and the Advisory Com- mittee on Procurement (ACP) is involved. A proj- 18 Great care needs to be exercised in seeking the involvement of the judiciary because there may be a risk of compromising its 17 See Annex 1. independent role in relation to the election process. 26 Formulating the Project activities needed to reach the outcomes and outputs. Some activities or strategies may serve UNDP’s Multi-Year Funding Framework (MYFF) for both. 2004–2007 sets fostering democratic governance as one of the key goals of UNDP and identifies By including stakeholders in this analysis, consen- electoral systems and processes as one of the sev- sus can be generated around a shared vision of en contributing service lines to this goal. The new successful electoral systems and processes. Strategic Plan for 2008–2011 retains democratic governance as one of the key goals of UNDP and places electoral assistance within a framework Considerations for Good Project Design of fostering inclusive participation. Electoral as- • Involve the right people in the process. Call on sistance should be provided with these broader electoral expertise in project formulation from goals of democratic governance and inclusive UNDP Regional Centres, Headquarters, electoral participation in mind19. project staff elsewhere in the world; from established EMBs with the capacity to second staff or When formulating the project, the following steps train other EMBs; from DPA/EAD and from private should be taken into account: consultants. Yet, while doing so, maintain Country Office ownership by identifying a backstopping STEP 1: Stakeholders should meet to analyze the Assistant Resident Representative or programme recommendations of any recent assessment mis- officer who is fully involved in project design and sions — including the DPA/EAD needs assessment follow up. mission, bilateral and multilateral assessments, • Get input from all relevant stakeholders. and those done by international and domestic NGOs. The analysis should include a review of the • Before adding the narrative and other sections, existing electoral conditions and starting points ensure that the results and resources required are for assistance. accurate and agreed upon by the partners. • Develop indicators that are SMART (specific, STEP 2: Stakeholders should determine where they measurable, attainable, relevant and track- want to be not only by the time of the election able). but years beyond. The results from such analysis • Where more than two UN agencies are involved become the immediate outputs and the longer- in providing electoral support, consider develop- term outcomes of the project(s), respectively. It is ing a UN joint programme document, consistent better to formulate the outcomes first, followed with the broader UN reform and aid effective- by the outputs, and then the activities and inputs, ness agenda. Guidelines on joint programming, in a reductive approach. including joint programme document templates, STEP 3: Stakeholders should list the strategies or are accessible at the United Nations Development Group (UNDG) Web site at www.undg.org. 19 A good example of this is in the United Republic of Tanzania, where a successful electoral assistance project for the 2005 elections was formulated in 2003 within the context of wider democratic governance objectives. Another example is DRC, where (following Challenges to Good Project Design the project in support of the electoral processes 2005–2006) a project in support of the 2007–2011 Electoral Cycle is being formulated as a component of a larger governance programme dealing with • Engaging the right people decentralization, support to parliament and provincial assemblies. Information on these projects can be accessed at http://content.undp. • Correctly assessing internal or external conditions org/go/practices/governance/docs/?d_id=277740. 27 • Correctly identifying effective needs is important to conduct an assessment of the • Establishing the right priorities overall political and electoral environment in the country to determine ‘where we are now’. • Making comparative analysis of possible proj- This assessment usually involves considering ect implementation methods various driving forces, or major influences, that • Developing a realistic budget might affect the election. • Assessing the time needed • Conduct situation analysis. To the greatest • Understanding the state of donor funding extent possible, the Country Programme (CP), Common Country Assessment (CCA) and UN • Facilitating on-time procurement and recruit- Development Assistance Framework (UNDAF) ment of personnel situational analyses should be linked. The issue • Avoiding vendor and/or donor influence to be addressed should be stated, and refer- • Establishing clear definitions of role and rela- ence (with hypertext links provided if available) tionships, particularly in the management of to the relevant outcome in the CP should be funds and decision-taking structures given. Also included should be a clear problem statement in which the government agrees that such is/are indeed a problem(s). Review of Basic Phases in • Establish strategies to reach desired results. Planning The desired results of the project should be for- he basic steps in planning that have been mulated clearly, in close consultation with the discussed previously are summarized be- project partners. Different partners are likely to T low. They do not necessarily comprise have different objectives and it is important to a complete, ideal planning process that is ap- be clear and reach consensus before the proj- plicable to every electoral situation. It is recom- ect begins. The particular strategies (or activi- mended, however, that if possible UNDP take an ties) needed to reach desired results depend integrated approach where an election-related on matters of safety, practicality and efficien- project is ‘part’ of an overall electoral support cy. Typically, the outputs needed to reach the strategy. UNDP Programme Managers should, in overall goal of the assistance should be iden- addition, refer to the corporate guidelines on pro- tified and the activities and inputs required to gramming, to be found in the User Guide (http:// achieve them should be listed. content.undp.org/go/userguide/). • Establish benchmarks and develop monitoring and evaluation systems. Benchmarks, • Reference overall desired result/change. Dur- defined in this context as outputs selected ing the design phase, planners should use the to make progress toward higher-level results, overall objective of the assistance as a frame of should be identified and listed. Indicators need reference. This objective may go beyond the to be developed, as do monitoring mecha- conduct of an election to something larger nisms and sources and the type of evaluation and longer-term, such as a peaceful transition to be used for the project or outcome. to a democratic government or the formation of sustainable electoral institutions. • Associate responsibilities and time lines. Responsibilities should be assigned; ideally, • Take stock outside and inside the system. It 28 deadlines should be set for meeting each re- It is worth emphasizing that any electoral assis- sponsibility. tance provided should take place within the over- • Develop project document. The information all context of promoting democratic governance. collected should be organized and written into Seeking to solve serious political problems with the project document. The work plan should hastily organized elections may only exacerbate be communicated and shared widely with all a contentious situation. At a minimum, electoral relevant stakeholders. plans should typically include the following elements: See Annex 7 for revised project format. • Building partnerships among domestic stakeholders and international actors Developing a Strategic Plan • Identifying and mobilizing stakeholders A strategic plan takes both external and internal • Mapping the entire Electoral Cycle (to the organization) factors into consideration. A strategic plan for supporting elections must con- • Identifying where in the Electoral Cycle sider, and find ways to address, risks such as secu- electoral assistance is needed, wanted and rity and political unrest. It may be beneficial for feasible planners to conduct a ‘SWOT’ analysis20. However, • Building a timeline of key events and work a SWOT analysis will only take planners so far; the processes next step is interpreting what should be done and • Budgeting and procurement how to address the weaknesses and threats while • Mobilizing and managing resources protecting and building upon the strengths and the opportunities. It is especially important that everal useful global knowledge tools on any lessons learned from previous electoral as- electoral assistance are currently available sistance experiences be taken into account. The on the Internet. These tools can provide spe- strategic plan could serve as a key input into an S cific knowledge and advice on different electoral eventual project document. issues necessary for identifying and formulating electoral assistance projects. Among the most While any UNDP project should be guided by valuable is the ACE Electoral Knowledge Network a strategic plan, it is equally important that the (ACE), which has positioned itself as the most counterpart (the relevant EMB) has a strategic plan comprehensive source of new ideas and insights as well. Ideally, the EMB should have developed a on the design and implementation of electoral strategic and operational plan prior to the design processes. ACE provides authoritative informa- of any UN assistance project. This helps to ensure tion on elections, promotes networking among that assistance is appropriately targeted towards practitioners, and offers training, online advisory needs. Planning should also carefully consider the services and partnerships to increase the capacity time and resources required for operations and of electoral stakeholders to administer free and the EMB’s internal capacity to manage the elec- fair elections. A component of the project — the toral process. If additional staff and/or temporary ACE Practitioners’ Network — makes it possible to consultants are needed, they should be hired im- obtain on-demand advice from a large number mediately. of electoral experts on specific challenges faced 20 SWOT is an acronym for ‘strengths, weaknesses, opportunities and threats’. 29 during the project design stage. Engaging with partners and the EMB. Depending on the con- that component can help avoid mistakes that text, this may be most effective by having in- have plagued previous electoral assistance proj- formal and regular discussions among the EMB, ects. (More information on ACE is available in this UNDP and one or two donors representing the Guide in the Global Initiatives section of Chapter wider group rather than holding formal meet- 3. Links to ACE and other resources can be found ings with the full range of interested partners. in Annex 8.) • Ensure that systems, processes and technologies are in place to support regular communi- Building Partnerships cation and information sharing. The cost of holding an election requires capacities • If no working-level donor coordination group and resources that often are beyond the reach of exists for electoral support, organize a sub- many developing countries. Building partnerships group of an already existing group of donors. with domestic stakeholders and international ac- This should of course not replace meetings tors can help maximize the financial and techni- convened by the national EMB for the purpose cal assistance necessary. Effective coordination of informing donors and national partners of among partners is crucial to the success of joint election preparations. operations; it helps optimize resources, avoid • Offer UNDP’s assistance to act as the secretar- gaps and duplication in the provision of electoral iat for any coordination group created and fa- assistance, and minimize possible conflicts of in- cilitate the development of terms of reference terest. Developing and coordinating partnerships (ToR) for such a group. is normally a responsibility within the context of • Maintain dialogue with potential donor part- an electoral support project that is shared be- ners and secure early commitments when pos- tween the Country Office (and, most importantly, sible (perhaps only verbally). the Resident Coordinator) and the project team. • Determine the type of funding mechanism to be provided (a pooled, or ‘basket fund’ mecha- Considerations for Building nism that uses cost-sharing or trust fund mo- Partnerships dalities; one multi-donor trust fund; direct bi- • Identify potential support for the project by lateral funding to the EMB, etc.). See Chapter 5 engaging in dialogue with a variety of stake- for more information on funding mechanisms. holders before project design and imple- • Begin recruitment of a team of international mentation. In particular, this can be done by and national (depending upon the competen- engaging stakeholders in the DPA/EAD needs cies required and the local conditions) long/ assessment process. short-term advisors, making sure to send out • Identify areas of common interest among the requests early enough to allow work to begin partners and define key priorities. on-the-ground as soon as possible. • Program partnership-building activities at the beginning of the design phase. Challenges to Building Partnerships • In order to build strong relationships, hold reg- • Mobilizing a significant amount of resources ular meetings and share information among (financial, human and logistical) well ahead of

30 time. Mobilization and availability of funds are costly, second- or third- generation elections also critical issues, of course, and close attention come at a high price, especially when voter reg- should be paid to donors’ calendar(s). istration rates increase, voter registration systems • Getting consultants or staff on the ground change, technological upgrades are needed, or quickly and including electoral specialists in other priorities require attention. the design of projects. Electoral projects are t can be extremely complicated for the nation- inflexible in terms of timely implementation. al government and/or EMB to put together a Not having the necessary expertise during the realistic overall budget for elections; however, project formulation can create serious prob- I it is a task that is also critical for proper implemen- lems in later stages. Moreover, having electoral tation of an assistance project. Yet in some cases, specialists arrive after crucial activities in the an EMB will not share its budget with UNDP or electoral calendar have already been imple- donors. Another crucial discussion is the relation- mented can be considered a lost opportunity ship between the EMB’s core budget and where for related interventions — e.g., key improve- donor funds fit in, particularly if the government ments in voter registration. reduces — or has the authority to reduce — core • Establishing a clear division of labour with other funding proportional to donor input. international providers of electoral assistance. At times, key actors may have no interest or In addition to running and staff costs associated feel reluctant in forging partnerships. The lack with the EMB, usually the main items of electoral of clear responsibility and defined areas of as- budgets address the following activities: voter sistance for each partner can negatively affect registration, boundary delimitation, voting op- the smooth implementation of the project. erations, counting and transmission of results, dispute adjudication, voter education and information, campaigning by political parties and Electoral Budget candidates, and vigilance and oversight by party Running an election is often the most complicat- representatives and domestic or international ed national logistical undertaking attempted in observers22. Table 5 summarizes findings from a a country. Elections are nearly always expensive survey UNDP and IFES did in 2006 on the cost of events, although the average cost varies greatly registration and elections, comparing the context by country, depending upon a wide number of for elections and the relative core (tending to be factors. In established democracies and countries fixed) and integrity (tending to be variable) costs with strong electoral management and a pre-ex- for elements of the electoral process. The catego- isting information technology infrastructure, such ries of analysis used to classify costs are ‘not rel- as India, the costs per voter range from US$1 to evant’, ‘relevant’, ‘high’ and ‘very high’. US$3, which represents very low-cost elections21. The most expensive elections tend to be ‘first- Any electoral budget should cover the routine generation’ elections in post-conflict countries or operational costs of the EMB, along with the spe- newly formed states, where the cost of elections cific costs of organizing and holding an election. can exceed US$40–US$50 per voter. Although less The majority of budget decisions should be taken 22 See UNDP and IFES, Getting to the CORE: A Global Survey on the 21 See UNDP, Electoral Systems and Processes Practice Note, January Cost of Registration and Elections, 2006; www.undp.org/governance/ 2004, www.undp.org/governance/docs/ElectionsPN_English.pdf. docs/Elections-Pub-Core.pdf. 31 T ABLE 5: ELEC T ION TABLE COS 5:T ELECTIONS IN STABLE COSTS, T INRANSI STABLE,TIONAL TRANSITIONAL AND POS ANDT-CON POST-CONFLICTFLICT DEMOCRACIES DEMOCRACIES

Stable Transitional Post-Conflict Core costs* Integrity costs* Core costs* Integrity costs* Core costs* Integrity costs* Voter registration High Not relevant High Relevant Relevant High Boundary delimitation Relevant Not relevant Relevant Not relevant Relevant Relevant Voting: Operations, materials, Very high High Very high Very high Very high Very high logistics, training Counting and transmission of High Not relevant Relevant High Very high Very high results Dispute adjudication Relevant Not relevant High Not relevant High High

Voter education and information High Not relevant Very high High High Very high

Campaigning by political parties Very high Not relevant High Very high Very high Very high

Vigilance: Party agents, domestic High Not relevant Very high Very high Very high Very high monitors, international observers

* Core costs refer to costs routinely associated with running elections and tend to be fixed. Integrity costs refer to ballot and voter security and tend to be variable. Source: UNDP and IFES, ‘Getting to the CORE’, p. 18. during the planning stages so as to draw a realis- political and technical implications. UNDP’s role tic timetable for activities and expenditures. as a development agency concerned with reducing poverty should be to help countries reduce It is important that the budget of any electoral the cost of elections overall in whatever ways project takes as its frame of reference and is in- make sense, are acceptable nationally, and do not tegrated within the EMB budget per se in order negatively affect the integrity and the credibility to avoid duplication and to advocate transpar- of the electoral process. ency and accountability. Integrating also helps all • Consideration may be given to holding various stakeholders be aware of the overall cost of the levels of elections on the same day. There are, process and helps with functional and integrative however, often compelling political reasons planning of expenditures by the EMB budget in that need to be carefully considered as to why relation to expenditures from the project budget. this may not be feasible or advisable. EMBs often need technical assistance in putting together their own budget. Without this crucial • Potential problems related to climatic condi- step the entire process might be set up inad- tions should be taken into account. For exam- equately. ple, elections should be held in the dry season, if possible. Considerations for Cost-effective • Voter registration is usually the single most Elections expensive item in an election process. To ad- Some considerations for cost-effective elections dress this, consideration may be given in some are given below, with the caveat that the timing of circumstances to moving from periodic voter elections, type of voter register and other matters registration to a permanent voter register that are national decisions that will always have both is periodically updated. Or, if bureaucratic and

32 political conditions allow, the permanent voter Resources Needed for the register could be continuously updated with Planning Stage links to the census process and civil registry (if Mobilizing stakeholders and donors should begin one exists). before planning is underway. It is easier to solicit • Care should be taken to procure election ma- and obtain support and cooperation from stake- terials that are suitable to the context in which holders when they have been involved from the they have to be used, re-used and maintained. beginning of the project and if they perceive to The materials should also be technologically have had a ‘stake’ in the planning process. appropriate and cost-effective over the long term — for example, in some places high stor- Funding at early stages of discussion should come age costs make it cheaper to use low-grade from TRAC resources. Some generic requirements disposable materials at each election. Products at this stage are: can be sourced locally or regionally to the ex- • Budget for a needs assessment/project formu- tent possible. lation mission23 • Experienced polling staff of proven ability and • Salaries for PMU personnel impartiality may be re-hired. • Equipment and materials for communication • Innovations in technology that can reduce costs in some conditions should be consid- • Transportation ered. However, careful and cautious consider- • Physical space ation should be given to the risks and hidden costs associated with upgrading technology of gain, UNDP Country Offices need to evalu- voting operations ate the impact of the proposed electoral Aassistance on existing staff and resources, Challenges to Cost-effective Elections especially in the finance, procurement and con- • Planning for the long term tracting areas. If necessary, additional UNDP staff • The production of a realistic list of activities should be brought in to reinforce the existing ca- and an accurate electoral budget proposal pacities in the COs, and relevant training should be provided. • Including election-tied funds in the budget that are from different state agencies or local institutions 23 See Chapter 1 for more information on budgeting for needs assessment and project formulation missions.

3 Development Capacity

UN Photo/ Martine Perret Capacity Development and the Electoral Cycle

A major part of UNDP’s electoral assistance focuses on strengthening national EMBs. Often, this involves supporting independent and permanent electoral commissions that both administer and supervise elections. At times, however, those two functions are divided between one body within or associated with government, which administers the elections, and an independent body that supervises 3elections24. t least one, but often both, of those two sep- — or electoral assistance is included in a signed Aarate bodies lack sufficient capacity to fully Country Programme Action Plan (CPAP), which undertake their responsibilities. From UNDP’s per- obviates the need for a separate signed project spective, capacity development on their behalf document — the United Nations Resident Coor- refers to building on the knowledge and capacity dinator (UNRC) usually has the lead role in coordi- that is already present in a country; making more nating all electoral assistance activities. However, effective use of locally available resources; and if the UN has established a major peacekeeping taking into account local culture and processes or political operation or mission, the coordination while introducing new knowledge in a way that role will be played by the Special Representative is sustainable. of the Secretary-General (SRSG), a Deputy SRSG or other representative of the Secretary-General. This chapter elaborates some key issues that In some situations (such as DRC), the same per- should be considered in the design of specific ac- son serves as a Deputy Special Representative of tivities that may be included in the UNDP electoral the Secretary-General in charge of electoral as- assistance project. They are intended to comple- sistance and the UN Resident Coordinator/UNDP ment the recommendations resulting from the Resident Representative. DPA/EAD needs assessment mission. Any recommendations for areas of support will be specifi- The presence of a DPKO peacekeeping mission cally relevant to the country context and may or might also lead to the establishment of a mis- may not include all of the areas below. sion structure in which electoral support staff of the UN mission and UNDP-recruited support staff Roles and Relationships work within one structure and under common su- After an electoral assistance project document has pervision lines. (An example of an integrated elec- been signed with the relevant national authorities tion support structure, from DRC, may be found in 24 See UNDP, Electoral Management Bodies as Institutions of Gov- Annex 9.) In such a structure, it is crucial to define ernance, www.undp.org/governance/docs/Elections-Pub-EMBbook.pdf. 35 responsibilities of involved partners and to desig- is one of spreading more broadly the skills that nate clear reporting lines. already exist in the organization, especially to temporary staff taken on at election time. The relationships among the EMB and the PMU • Ensure that the EMB has a sense of ownership and/or the UNDP Country Office, as well as the for the project, that it agrees with the deter- role and relationships among other branches of mination of the priorities to be addressed by the government (i.e., security forces, local govern- the project, and that it has an unambiguous ment, etc.) are extremely important and may ulti- understanding of the roles of the various inter- mately determine how the election is run, the ef- national actors and of the execution or imple- fectiveness of the support provided and its impact mentation modality of the project. Ensure that on the administration of the electoral process. the EMB has a representative on any Steering Committee created under the project. UNDP, when it has been requested by a recognized national authority to provide electoral assis- • Donors to any project will understandably have tance, is formally responsible for communicating their own goals in supporting the electoral with the government in power. The EMB, regard- process, just as national stakeholders will have less of whether it is the overall implementer of their own goals in partnering with the interna- the project or one of the implementing institutional community. UNDP can be helpful in de- tions, should play a critical role in decision-mak- veloping a project that meets the expectations ing through a seat in the Steering Committee of of the EMB, donors and other key partners in the electoral assistance project. Implementing a transparent, impartial and results-oriented agencies (for example, an NGO running a training manner. initiative for law enforcement officers) are respon- • Due to considerable political and operational sible only for the content of their components pressure, it becomes more difficult as election and not for the overall project results. dates near to undertake capacity development work with an EMB in a way that promotes skill transfer and its sustainability. Where there is Considerations for Roles and Relationships adequate time, incorporate on-the-job training components into all activities undertaken (for • Involve the EMB in the needs assessment as example, teaming each member of the EMB in well as the design, planning and implementa- a key function with an international advisor). tion of the project. It is important to discuss with the EMB the scope of the technical as- • Support job skills training — for example, in ar- sistance support, both direct support such as eas such as computer literacy courses, account- capacity-building initiatives for the institution ing and financial management, procurement per se and indirect support such as media or of election materials and warehouse manage- political party work. ment, information management, monitoring and evaluation. • Understand what the capacity development needs are of the EMB at all levels. Skills are not • Provide leadership and management training necessarily imported from outside a country at the central and sub-national levels of the and inserted into an EMB through training pro- EMB and ensure that sufficient funds are guar- grams. Sometimes the challenge the EMB faces anteed to maintain these activities between 36 elections. jective of capacity development in electoral assis- • Strengthen the in-house training capabilities tance was often simply the conduct of a successful of the EMB to enable further capacity develop- election. Today, however, the goal of UN electoral ment. assistance stretches beyond the holding of a single electoral event, aiming instead for the devel- • Try to embrace capacity development of local opment of professional, inclusive and sustainable institutions within every activity. Where a local institutions and processes that enable people to institution is not motivated or lacks the capac- freely choose their representatives. Electoral assis- ity to deliver results, ensure that partnership tance can only be defined as ‘sustainable’ and ‘ef- with a local entity is built into the ToR of exter- fective’ when its impact is nurtured and endures nally sourced service providers. beyond a single electoral event. Professional ca- • Incorporate funding for an evaluation and les- pacities can be developed differently depending sons-learning exercise to be conducted post- on the level. election to assess both the technical administration of the electoral process by the EMB and At the systems (country) level of electoral assis- the effectiveness of the electoral assistance tance, capacities should be developed to create provided. Such an evaluation could form a sol- and sustain a supporting environment for cred- id basis for future assistance. ible elections that reflect the will of the people. Capacity development includes reforming elec- Challenges in Roles and Relationships toral institutions, polices and laws as well as en- • The EMB may lack credibility with electoral hancing the ability of civil society, political parties stakeholders and/or be politically biased. and all eligible voters, including the traditionally • The EMB’s independence, efficiency, effective- marginalized, to fulfil their role and participate in ness and ability to deliver credible elections elections. may be jeopardized by the inadequacy of exist- At the organizational (EMB) level, capacity should ing management structures and lack of fund- be developed to plan, organize and conduct elec- ing (or of the timely availability of funding). tions and manage different Electoral Cycles in a • There may be internal resistance to electoral professional, independent and sustainable man- reform, new ideas and the introduction of new ner over time. The establishment of procedures processes within the EMB. and knowledge management services that en- • Morale may be low and staff retention difficult able the institution to face sudden loss of key following national elections where heavy in- personnel/changes of commissioners is critical. vestments of staff time are made. At the same time, if the organization is technically sound, but does not display core values (such as transparency, neutrality and respect for the law) A Framework for Capacity in its work, it will be unlikely to gain the trust of Development of the EMB the community, or to grow in stature. Organiza- The term ‘capacity’ refers to the ability of indi- tions that adhere to a strong set of values are also viduals, organizations or organizational units to more likely to attract and retain top quality staff. perform functions effectively, efficiently and in a sustainable manner. Until recently, the main ob- At the individual level, capacity should be devel- 37 oped in voters and candidates to participate in The following are among the numerous different the electoral process, freely exercise their choices, capacities within the EMB that may be developed and play a constructive, long-term role in a demo- depending on context, available resources and cratic society. needs: • Mission and strategy. Role; mandate for con- UNDP’s systems approach to capacity develop- ducting elections; legal, political and financial ment is based on the rationale that one cannot independence; laws and policies that govern think of developing capacity at just one level, one the scope of the EMB’s operations. institution or one thematic area. It is something that is so multifaceted in its nature that it requires • Culture, structure and competencies. Orga- interventions planned in such a way as to make nizational and management style, standards, systemic rather than individual improvements. A structure, salaries, core competencies. change in one link in the chain will not work if the • Processes. Internal and external processes of rest of the system is not functioning properly. the EMB that support planning; research; logistics, operational and financial and human resource management; relationships with other Assessing Capacity at the Systems Level government departments, donors, media and The following are all part of the broad political or political parties. enabling environment surrounding the electoral • Human resources. The most valuable of the process: organizational resources, upon which capacity • Political system development primarily depends. • Government • Financial resources. Operating and capital re- • Political parties sources. • Election laws, processes, electoral system, voter registration and voting methods • Information resources. Technological and oth- • Law enforcement and security forces er tools used to manage operations, resources and tasks. • Public policies related to democratic governance • Infrastructure. Physical assets such as comput- • Donors ers, telecommunication systems, equipment, • Civil society and opportunities for public materials and buildings. participation in elections • Interrelationships. How the EMB interacts with • Legislative bodies its stakeholders, the various branches of govern- • Judiciary ment (executive, legislative and judicial), political parties, civil society, the media and the interna- • Media tional community, among others. • Domestic observer groups Assessing Capacity at the Individual Assessing Capacity at the Level Organizational (EMB) Level Capacity assessment at the individual level ad- The ‘organization’ involved in capacity develop- dresses the individual’s capacity to function effi- ment is the EMB, which has its own mandate, mis- ciently and effectively within the EMB and within sion, goals, culture, structure and competencies. 38 the broader democratic system. It also must as- not limited to, support to: voter and civic educa- sess the individual’s commitment to the core val- tion, voter registration, regional networking ac- ues of the institution. Some of the areas in which tivities and professional exchanges, the provision capacity can be addressed at the individual level of balanced and fair media coverage, training of are listed below: police, electoral observation and capacity-build- • Required professional skills ing for political parties. • Incentives for career progression Such activities help to strengthen democratic • Professional satisfaction and security processes and provide for an environment that • Compensation promotes fair and inclusive elections. They nur- • Professional development ture a culture of tolerance, foster peace initiatives, address information needs, and facilitate people’s Capacity Development and Other ability to participate in the political process and Entry Points in the Electoral Cycle to do so in an informed manner. Ultimately, in- vesting in professional development of electoral Although EMBs are treated as a particularly impor- institutions and strengthening other actors in tant entry point of the Electoral Cycle and as key the Electoral Cycle are the most effective means partners to and direct beneficiary of UNDP elec- to guarantee an exit strategy from the assistance toral assistance programming, other entry points cycle. of the cycle also benefit from a capacity development approach. These elements include, but are Electoral Law Reform For the sake of this Guide, an elec- Table 6: EMB Training Needs toral system refers to the method used to translate votes cast EMBs need trained and skilled personnel at various levels into seats or offices won by the to perform the following activities, among others: competing parties and/or inde- Conduct training needs assessments pendent candidates. The type of Prepare electoral budgets electoral system (e.g., majority- Procure electoral equipment plurality, proportional represen- Conduct voter registration tation, mixed, etc.) has long-term Understand party and campaign financing implications for accountability, in- Perform polling and counting operations clusiveness and representation. Conduct or supervise voter and civic education In addition to support to electoral Help manage and coordinate stakeholder activities system design and reform, UNDP Engage in public outreach and communication typically provides policy and legal Manage logistics for the election, including result reporting and tabulation advice in the following areas: Advise and enact (when applicable) electoral law reform • Constitutional drafting or reform Facilitate electoral observation activities • Drafting or reform of election Engage in global/regional networking activities with other EMBs law(s), often to allow minority and

39 marginalized voices to be heard instituted proportional representation systems • Drafting or reform of political party law(s) but may not have taken into account various implications, such as a change in the level of • EMB structure design or reform, often to en- interaction and direct accountability between sure the body’s independence, efficiency and representatives and their constituents. wider levels of transparency in its work and the performance of its mandated functions • Efforts should be made to encourage the adoption of legal provisions that are cost efficient • Drafting or reform of electoral regulations (choice of system, frequency of the elections, • Drafting or reform of codes of conduct (EMB, calendar, use of suitable and durable election political parties, observation) materials, etc.). • Electoral procedures (i.e., activities through • Discussions relating to electoral legal reform which regulations are implemented, such as should involve consultations with all political the ones described in registration, polling and groups, to the extent feasible, as well as civil counting manuals) society and EMB representatives.

Considerations for Electoral Law • The technical, logistical and financial implica- Reform2524 tions of any proposed electoral system reform Constitutional law should be taken into account. In some cases, • The electoral system elaborated in the Consti- certain systems are written into the law and 26 tution should give voice to all groups and have need to be accommodated .25. broad public appeal. Challenges to Electoral Law Reform • The Constitution should guarantee fundamen- • It is important to take into account specific na- tal freedoms for speech, assembly and associa- tional needs and particularities — social, politi- tion. cal, historical and geographical. Certain consti- Electoral system reform tutional provisions or electoral systems may • Any electoral system proposed should take into work well in certain settings, but not in others. account whether the country is deeply divided • Efforts must be made to ensure that any proj- along political, geographical, religious or eth- ect support to a particular party or group is not nic lines. It should also ensure that minorities perceived as being biased. A more inclusive are fairly represented in the political system. and transparent consultative process may re- • The project may offer policy options that duce this risk. take into account how other countries have • Reforming an electoral system within the legal attempted to solve different inequalities. A framework of a particular country takes time. number of countries have successfully experi- Moreover, it is best done as a nationally led mented with quotas to boost women’s repre- process in the less politicized, post-election sentation in the legislative bodies. Others have phase of the Electoral Cycle when there is also enough time to draft laws and undergo the 25 For more information on electoral systems please see UNDP, Electoral System and Processes Practice Note, www.undp.org/ governance/docs/ElectionsPN_English.pdf; ACE Project, www. 26 For example, in DRC both the voter census and the electoral law aceproject.org; International IDEA, Electoral System Design: The New prescribed the use of digital technology. The possible implications International IDEA Handbook, www.idea.int/publications/esd/upload/ of such steps need to be carefully evaluated prior to the adoption of ESD_full_with%20final%20changes%20inserted.pdf. laws. 40 proper consultation processes. Considerations for Voter Registration • The electoral system — especially the design • Voter registration activities should be imple- of electoral districts and the choice of voting mented and conducted with enough time to systems (e.g. majority vs. proportional) — has allow for revision of the lists, public posting, important implications for political actors. challenges or other processes under the law. Therefore, discussions often divert from the Depending on the specific context, there may appropriateness of the system towards politi- be a possibility to develop a permanent elec- cal considerations. toral register that can be updated periodically • Timing for development and adoption of laws to reflect population movements, cancella- is often determined by the meeting calendar tion of deceased voters and enrolment of new of national assemblies and might lead to major ones. bottlenecks. • There may be a possibility during the voter registration process to establish synergies with other relevant institutions (and UNDP projects) Voter Registration such as the Ministry of Interior, Bureau of Sta- oter registration is one of the most complex, tistics, and the agencies in charge of the civil time-consuming and expensive operations registry and the census, for example. Vof electoral administration. At the basic level, • The choice of technology has implications for it consists of collecting and storing data on all adult the timing and feasibility of the registration citizens and using that data to create the list of those process. who are eligible to vote in an election. It can also • Before voter registration starts, proper devel- be the most controversial segment of the electoral opment of procedures and adequate provision process because it is involved in making decisions for staff training initiatives are necessary. Such regarding voters’ eligibility criteria. procedures include, for example, the com- In general, the voter registration process is an area plaints and appeals process. that is increasingly utilizing new technologies. • Voter registration should be integrated with Depending upon the electoral system used, the civic and voter education and voter informa- voter registration process may be linked to the tion efforts where possible. process of delimitation of electoral boundaries. • If a boundary delimitation process is being undertaken, efforts should be made to en- Listed below are some considerations that should sure that it is done through a transparent and be kept in mind when planning support to voter consultative process by an independent body registration processes. comprising neutral appointees. This independent body could be the EMB. • Efforts should be made — starting at the legal framework level — to develop voter registration processes that are fair, inclusive and ensure that minorities, indigenous and tribal peoples, migrant workers, women, internally displaced

41 people and refugees have the opportunity to lated activities (e.g., voter list production and register. results aggregation) and beyond the specific • Adequate provision should be made to ensure election in question. that the data-gathering processes include as • Registration plans may be incompatible with much personal data as possible to guarantee the electoral calendar. In general, voter reg- its usability regardless of future electoral re- istration must be completed early enough to forms. carry out tasks such as assigning voters to poll- • Voter registration can be conducted on a ing stations and allocating ballot papers, but rolled-out, region-by-region basis. This allows not so early that significant numbers of voters for early errors to be corrected; reduces de- reach the voting age between the registration mand and costs for resources such as cameras exercise and the election. and other voter registration equipment; and • Physical access of voters to the voter registra- allows the register to be gradually built up. tion process should be considered. • Existing infrastructures might not be suitable Challenges to Voter Registration or in adequate condition to support reform of • Restrictive citizenship laws and national iden- the voter registration system. tification documentation requirements may • Potential voters may have limited knowledge make it difficult or impossible for certain and understanding of the voter registration groups to register (e.g., refugees, ethnic or reli- process, the requirements to qualify to register, gious minorities, indigenous and tribal peoples and various relevant procedures. Such limits or internally displaced persons). Inaccurate and are particularly likely if elements have changed incomplete voter lists can lead to the potential between the previous and current elections. disenfranchisement of voters. • Loose legal provisions and national identification documentation requirements may result Civic and Voter Education in the enrolment of ineligible voters (e.g., un- Civic education is related to the broad concepts of der-age voters and alien residents). Such de- democracy, while voter education provides infor- velopments negatively affect the integrity of mation as to why voting is important. (Voter infor- the voters’ list and the overall credibility of the mation, meanwhile, provides voters with the details electoral process. on how, when and where to vote.) Both civic and • While the use of information technology can voter education encourage citizens to participate in help make voter registration more efficient and democratic processes and can help promote peace cost effective, it is not cure-all. The advantages, and prevent violence during elections. disadvantages and potential costs and benefits of using technology need to be carefully Given the relative scarcity of financial resources, identified and weighed. In particular, the need civic and voter education are often treated as less for systems to be supported on an ongoing ba- important than the operations and logistics of the sis should be factored in at the outset. It must electoral process. Early needs identification is cru- be ensured that any technology introduced for cial to ensure that necessary resources are mobi- registration could be applicable for other re- lized and earmarked for civic education.

42 Box 2: Biometrics Systems and Voter Registration he use of biometrics has become an undeniable trend for the south-south collaboration between the Congolese Tin the last several years. Biometrics are used to measure and Togolese EMBs, facilitated by the EC–UNDP partnership physical characteristics and behaviors — for example, on electoral assistance, wherein the Togolese EMB borrowed fingerprints, speech, face, iris, and hand geometry. The at no cost 3,000 biometric voter registration kits from the basic task of all biometric systems is to recognize patterns Congolese EMB. to distinguish those that match closely enough to be AFIS has been used also in Venezuela and electoral rolls considered identical and those that have great enough have in previous elections been produced by Pakistan’s variation to be considered non-identical. To do this, the National Database and Registration Authority (which has system must first register and store the characteristics (for systems including fingerprint biometrics) on behalf of the example, the fingerprint), and then be able to match this Election Commission of Pakistan. It was also considered with new information. for the 2003 elections in Yemen to address problems The system can either be asked to verify someone claiming with the current voters register. In Yemen, the issue was to be a person known to the system, in which case the not to develop a new AFIS system, but rather to explore system only has to compare the new information with one the possibility of merging the voter registration with the item in the stored data, or be asked to identify a person, existing AFIS-based civil registry system. thus requiring the system to compare the new information UNDP in the last three years acquired a good deal of with every item in the database. By comparison, in voter experience in this area and the knowledge is being registration operations the biometric requirements are to codified in a forthcoming publication to be produced with identify any individual who is known to the system more International IDEA. For the purpose of this Guide and in the than once. meantime, there are several considerations to be made for Automatic Fingerprint IdentificationS ystem (AFIS) refers the introduction and use of this technology. to a computer system capable of establishing the identity of First of all, AFIS is likely to have high initial introduction an individual through fingerprints by the use of biometrics. costs and costs linked to obsolescence. It is important AFIS is now being used with a certain consistency in many therefore to initiate thorough technical specifications countries in voter registration processes. In particular, it is and procurement processes to find the most appropriate, increasingly popular in post-conflict countries and emerging country-adapted and cost-effective system. It is also democracies marked by a low level of ID cards distribution, important to plan for proper storage when the purchased such as in Angola, DRC, Guinea, Nigeria and Togo. In some material is not in use and, especially for cost-effectiveness case the use of this technology was enshrined in the law for and sustainability issues, to look for synergies among voter registration (DRC) or in political agreements after a agencies in charge of census, civil registration and voter crisis (Togo). The cases of DRC and Togo are also interesting registration. continued on next page

43 Box 2: Biometrics Systems and Voter Registration continued realistic understanding of the time required to of the difficulties related to biometric data gathering, A establish an accurate AFIS-based voter register is retrieval and aggregation. necessary. It may take months to develop the system • Selection of personnel should be done according to their and produce a viable and trusted voter register and the knowledge of ICT. This is important because it is useful voter cards based on it. The operational planning for the to have a pool of trained personnel available should biometric voter registration should take into account contingency measures be required (such as training the possibility to extend the operations for natural or additional personnel on biometrics data gathering). technical constraints, which happened in DRC, Angola and Togo. Both the EMB and other stakeholders also • Quality control vis-à-vis hardware and software should be need to maintain realistic expectations of what AFIS can assured prior to and during the operations. deliver. Appropriate use of technology cannot be stressed • The country should be subdivided into operational zones enough; moreover, technology alone is not able to solve all in view of rationalizing the resources and applying problems, particularly those of a political nature. acquired experience among different operational zones. • Capacity development and knowledge-transfer efforts Some success factors in implementing AFIS systems, based should be planned so they are not hostage of vendors/ on UN experience, are as follows: service providers. Open source solutions should be • Feasibility studies and study tours should be carried out encouraged to avoid becoming locked in to a specific prior to final decision to adopt the system. vendor. • Technical specifications for software and hardware • Plans should be made as early as possible regarding should be drafted only when considering comparative what to do with the material acquired after the elections. experiences adapted to the country’s needs, electoral laws The plans should focus on several Electoral Cycles in the and practices, and traditions and customs of populations. future, with a goal of identifying synergies that bolster cost effectiveness and sustainability. • Introduction of AFIS should be done gradually and at least 12 months prior to election day. • Civic voter education initiatives are useful. They should be aimed at increasing all stakeholders’ trust in the • Pilot/validation tests such as mock voter registration technology. should be prepared, run and publicized so as to select the best service providers and provide a better understanding

Below are some considerations that should be • To the extent possible, it can be useful to in- made in planning support in the areas of civic and tegrate voter education and voter registration voter education. efforts with broad-based civic education efforts. Considerations for Civic and Voter • Civic education should ideally begin well in Education advance of an election and be sustained as • Surveys and/or assessments can help to deter- part of an ongoing democratization process. mine the levels of current public awareness and Civic education should be focused in particu- opinions on democracy and electoral issues. lar toward the young — for example, through

44 national education curricula, media outlets, popular culture, etc. BOX 3: CIVIC EDUCATION IN SUPPORT OF NON-VIOLENCE — because they are the next gen- ivic education work can help create a national focus on peaceful, non- eration of voters. Cviolent elections. In 2003 in Nigeria, the UNDP PMU managed a national • Where the electoral process is advertising initiative entitled ‘Our Year of Peaceful Elections’. In 2005 in the combined with the introduction United Republic of Tanzania, the theme of civic education was ‘Raia Makini of a new voting process, civic and – Informed Citizens’. In Zanzibar in 2005 the theme was ‘Uchaguzi Salama voter education should ideally – Peaceful Elections’. In those cases, all posters, civic education materials, start before new processes are in- curricula and trainings were targeted toward issues of tolerance, harmony troduced. and peace in an effort to reduce local tensions and potential conflict. In Yemen in 2003, UNDP produced ‘Testimonials’, a series of community service • Targeted voter and civic education announcements with personality figures that were used to reinforce the civic can help to elicit the active par- and voter education messages. ticipation of traditionally vulnerable and politically marginalized groups. Similarly, they can help languages instead of written handouts in the promote conflict-prevention messages. official language). • Voter education is also needed before voter • The impact of civic and voter education ini- registration activities. tiatives, and the pertinence of the messages, • Any reform in the electoral system is likely to should be assessed during and after imple- require a significant civic education and voter mentation. information effort. • Grassroots-based and bottom-up approaches • Efforts can be made to institutionalize civic to civic education should be advocated. education through ‘national champions’ in Challenges to Civic and Voter key sectors. This could entail enlisting the Education support of government heads, national leaders, domestic NGOs, and public personalities, • The effectiveness of civic or voter education and key institutions (such as the Ministry of can be limited if the conceptualization or plan- Education). ning is poor, if there are limited funds, or if there is inadequate coordination among those • Coordination of activities among EMBs, civil implementing the various initiatives. society organizations (CSOs), media and political parties can help to avoid duplication, • CSOs delivering civic and voter education may maintain consistency and ensure as broad as lack competence, have poor financial account- possible coverage. ing practices or lack consistency in the transmission of messages. • Civic and voter education, especially if targeted at marginalized groups, should take • Those conducting civic and voter education into special consideration the potential need should have credibility and should not be af- for using different languages and appropri- filiated with any political party. ate ways of delivering the information and messages (e.g., theater performances in local

45 Public Outreach and Media dom that are of relevance in elections: freedom Communications from censorship; freedom from arbitrary attack or interference; free access to necessary information; There are two levels at which public outreach and and pluralism of voices in the media27.26External media communications should be approached: technical support can be important in building first, at the level of the national EMB and national the capacity of the media and ensuring that ac- media outlets as partners in assistance, and sec- cess to the media is available not only to the party ond, at the level of the UN country team and in power, but also to rival parties as well. UNDP Country Office in terms of interacting with national and international media. The issues and edia support projects can improve the strategies involved in each are different; hence capacity of local journalists to report in- they are treated separately below. Mdependently and constructively on the democratic process, with particular focus on post- Public Outreach and Media conflict elections and on the ongoing monitoring Communications — As an Entry Point of of corruption. Such media development projects Support can complement other elements of UNDP’s work Public outreach — normally conducted by the EMB on access to information, including support for but also by the national government and other journalists’ and other citizens’ use of freedom of stakeholders — is important not only to promote information statutes. To be effective, however, civic and voter education and to ensure safety and these projects should be in place long before security, but also to inform the public about emerg- election day. ing electoral issues. Regular information updates cannot only help increase transparency, but in the Public Outreach and Media long-run will also aid in bolstering the credibility and Communications — UN Resources and acceptability of the process as a whole. System Coherence Public outreach and media communications Public outreach by the EMB or any other stakeholder before, during and after elections are critically should promote broad, equal and free access to in- important for the UN. There are a number of information. An open communication policy that rec- house resources available to UNDP Country Of- ognizes the public’s right to know and the media’s fices to assist with planning in these areas. right to report can help equip the electorate with the tools necessary to effectively choose their lead- When electoral assistance is planned or being ers. It can also help to dispel rumors and neutralize implemented, the first step should be the draft- intimidation by powerful political factions. ing of a clear, concise mission statement that is understood and approved by all UN parties, be- With respect to the media per se, it is important to ginning and ending with DPA, and which can be evaluate the level of media rights within the elec- used in an abridged form as talking points and/or toral context. Does the press have access to poll- a text for distribution to media and other interesting stations, vote tabulation, voting officials, etc.? ed parties. This includes defining in each case the How, when and under what ground rules is the specific mandate — extent and limits both — of press involved in the electoral process? There are 27 See ACE Encyclopedia, www.aceproject.org/ace-en/topics/me/ a number of different dimensions to media free- me20. 46 UN electoral assistance, as well as the differing lish very early, even during project preparation structures and roles of others (national electoral (when the media want to report not only on po- authorities, international observers, political par- tential donor support but want to speculate as to ties, etc.). It should also include an agreed short external involvement in national elections), what narrative on the country, recent history and the messages will or should (not) be given. Providing importance and context of the political process in regular public updates with accurate information question from the UN’s perspective. on electoral support may be an effective way of preventing misunderstandings from occurring. The second step should be to designate clearly who speaks to the press for the UN team in- Considerations for Public Outreach country and on what basis (UN spokesperson, and Media Relations background briefer for electoral assistance team, • Efforts should be made to develop a free and etc.). These should be limited to just two or three impartial state media that allows access to a people ideally — but the designated individuals spectrum of political viewpoints through leg- must include the Resident Coordinator/Resident islative reforms for balanced coverage and/or Representative (RC/RR), whose job includes be- assistance to improve information technology ing the chief voice of the UN generally and of the systems. Secretary-General specifically in the country on a wide range of development and political matters. • The national EMB should be encouraged to Given his/her role, the RC/RR must be part of the strengthen its public and media outreach and drafting and approval process for talking points. provide regular updates, with donor support as necessary. The third step should be to request and empower • Agreement on common messages to be con- the assistance of the UN communications team in- veyed by the donor community should be en- country and internationally (DPI, UNDP Communi- couraged, and donor impartiality should be cations Office) in drafting press releases, handling maintained at all times. media relations, and so on — including offering sup- • The CO should be transparent in its provision port as needed/requested by the national electoral of support to the electoral process, providing authorities. It is important to insist on media avail- the media with factual information on a regu- ability by competent spokespersons/press officers lar basis. at all times in the run-up to elections, on election day and during the vote-counting aftermath period • The media reporting on the electoral process — and to include a system for regular briefings. should be monitored on a regular basis as part of the electoral assistance activities. It is also important to establish consistent mes- • Activities focused on the training of journalists saging among the donors through the sharing of should be encouraged, where relevant. information. As the main coordinator of electoral • Support may be provided to the EMB to set up assistance at the country level, UNDP representa- an election results center that gives the media tives (normally the RC/RR and/or Country Direc- and political parties access to the processed re- tor) maintain relationships with media outlets and sults on timely and transparent basis. This may routinely make use of in-house or regional centre include the creation of a web site where results communications services. It is important to estab- 47 are posted and made accessible to the media and public. Box 4: Media Initiatives At the same time, however, this rawing on its advisory role in the management of democratic elections, can be a massive undertaking, DUNDP has organized targeted training sessions for local journalists depending on the country and covering landmark national votes in Liberia (2005), the Democratic electoral system. A results cen- Republic of the Congo (2006), Sierra Leone (2007), Kenya (2007) and tre has to operate under tight other countries in the region. UNDP has also convened high-level briefing time frames, there is only one sessions for African journalists in conjunction with the Africa Governance opportunity to get it right, and Forum and related regional governance initiatives. In Cambodia, UNDP has results compilation systems supported for the 2003 and 2008 National Assembly elections and 2007 tend to be complex, thereby re- Commune Council elections an initiative known as ‘Equity News’, which quiring significant testing. seeks to ensure the equitable coverage by state news media of political parties during electoral periods. Under the initiative, parties are allotted Challenges to Public Outreach and Media Relations (pre-publicized) percentages of airtime during which ‘Equity News’ covers whatever the parties do or say that might be newsworthy. Parties are • It can be difficult at times to allotted time based on criteria that includes their results from the previous ensure that the international election and current representation in the legislature. In 2007, ‘Equity News’ donor community conveys was extended into an ‘Equity Weekly’ installment, which is intended to be similar messages. This is usually year-round and not restricted to the electoral period. Within the context of an relatively easier within the con- electoral assistance project, support to the media could also include: text of a technical assistance project, when donors are gen- • Drafting a code of conduct to help the media (but also political parties) to erally pursuing the same goals. professionally report on election coverage, as was done in Sierra Leone in It is less easy in the context of 2007. observation missions, where it • Media monitoring (Timor-Leste 2001) or support to the national is not always possible or some- authorities or EMB (The Gambia 2006) or Media Commission (Afghanistan times desirable to harmonize 2004 and DRC 2006) to enforce media rules during the election period messages. (including equitable media coverage of political campaigning). Support • While national or programmatic may also be provided to NGOs, in particular journalist associations, many of efforts may be made to balance which may have an interest in monitoring the exercise. media coverage of political par- • Direct access programming aimed at guaranteeing equitable access to ties during election periods private and public media for all political contestants. This can be effected — for example, through equal through the provision of technical support to political forces to develop or equitable access by all par- political messages and facilitate their airing on public and private ties to state media for the cam- broadcasts (Timor-Leste 2001). paign period — coverage may • Support to a Media Mediation Panel with a view to ensuring fairness and be particularly un-balanced in equity in the media coverage of the political campaign. In the absence non-election periods when it is of a regulatory body, such a panel may play a critical role in mitigating not bound by electoral-related confrontational attitudes and playing a conflict resolution role among provision. political and media actors (Timor-Leste 2001). • There may be parts of the coun-

48 try, in particular rural areas, that are cut off • If support is provided by UNDP to political par- from traditional media sources and are there- ties, it should aspire to the principles of impar- fore particularly hard to reach. tiality of the UN. While it may not always be possible or practical to provide equal support Political Parties to all political parties, particularly when there are large numbers of parties and only several Essential to any multi-party electoral system is that have national representation or viabil- the assurance of a competitive political arena ity, the criteria for supporting political parties that represents different groups, interests and should be very clearly defined and should be opinions. Strong political parties with links to the conveyed to all stakeholders in a public and grassroots are an essential part of such a system, transparent manner. providing a connection between citizens and political elites. • Activities that would clearly be seen as a direct endorsement of a specific party must be Building political parties is especially critical to avoided. democratization in post-conflict situations. The • Funding should never be provided directly to transition to political party membership from mi- political parties. All assistance should be ca- litia membership may be the essential first step pacity-building, technical or advisory in nature. towards a lasting peace in fragile communities. In some places, UNDP has put resources (in the form of libraries, vouchers for print shops, Understanding the political environment is the very transportation expenses, etc.) at the disposal first consideration in determining the extent to of political parties on an equal or equitable ba- which UNDP should become involved with political sis and based on strict eligibility criteria. parties in a given country. Support can be extended • Indirect and/or issue-based support — such as to a wide variety of areas including the dialogues regarding the Millennium Development Goals between parties on electoral reform and other is- (MDGs), poverty reduction and gender equal- sues; integrating human development and gender ity —should be emphasized in situations that equality principles into internal party activities and are sensitive or otherwise difficult to call. platforms; internal operations of parties (fundrais- ing, campaign planning, candidate selection and • Information on any support provided to po- training); long-term capacity development; media litical parties should be disseminated through outreach; and specific initiatives for women, youth the media and other established means. and political party finance. Further information on • Once party support initiatives are in place, they political party assistance is contained in the ‘UNDP should be continually and closely reviewed, Handbook on Working with Political Parties’ (2006), with close attention paid to potential political which is available online at: www.undp.org/gover- sensitivities and other risk factors. nance/docs/policy-pub-polpartieshandbook.pdf. • Activities may include the establishment of a political party resource center to provide technical Considerations for Political Party assistance to parties and provide them with ac- Support cess to information and networking resources. Some initial considerations when contemplating • Support may be provided to strengthening political party support are noted below. 49 • Working with political parties may Box 5: Examples of Political Party require special resources and staff Approaches — Benin and Guatemala skills. These are necessary for high- n Benin, UNDP embarked on a Democratic Governance Thematic Trust level political analysis, negotiation IFund project to support political parties in 2005, with the first step being and training. the establishment of a consultation forum to draft and validate a code of • Partnerships with donors around ethics. The forum comprised political parties, civil society organizations, activities involving political party as- religious organizations, and government and donor representatives. An sistance need to be considered care- initial challenge was to agree on which parties should be included in the fully. National and international do- forum. It would have been operationally difficult for all 150 parties at the nors may have political links to some time to participate, and might also have offered an unintended incentive groups or may not be perceived as to create more political parties. Although criteria were developed in close impartial in the national context. consultation with an array of national counterparts before the first meeting as the basis for the list of invitees, participants reopened the issue during Safety and Security the first meeting. After some debate, they finally agreed that participating parties would be those in conformity with the Charter of Political Parties that It is essential to develop plans to help were also represented in the National Assembly and/or at the municipal and ensure security not only on election district levels. Eighteen parties met these criteria. Work on the code of ethics day, but also during the pre- and moved forward accordingly. post-election periods. The benefits of a smoothly run technical process In Guatemala, UNDP facilitated a multiparty dialogue process to elaborate a can be jeopardized if peace and secu- shared national agenda with the aim of identifying the main socioeconomic rity are threatened. If, for example, law problems and adopting actions to face them. The agenda they produced was enforcement authorities are biased in intended to become a reference for the formulation of governmental plans favor of the ruling party, use excessive and political agendas before and after the 2003 general elections. A number force at polling places or restrict the of new laws have since drawn from its provisions, and political parties movement of opposition supporters, represented in Congress still use it to define legislative agendas. In a context both the reality and perception of a of conflict prevention, UNDP may help nurture a conducive environment in well-run and accessible electoral pro- which to hold peaceful elections and foster dialogue among political forces cess can suffer. (Lesotho 2001). It must be acknowledged at the outset that security measures in post- political party liaison in initiatives designed to conflict countries are quite different from those in build the capacity of national EMBs. non-crisis developing countries. The impact and Challenges to Political Party Support emphasis of security consideration change radi- cally in the two contexts, as does the budget. At • Care needs to be taken to avoid activities that the same time, however, care must be taken in could be seen as a direct endorsement of a politi- all possible situations. That is because the elec- cal party. Examples might include allowing UN- toral agenda, with its likely volatile atmosphere DP’s name to be used in a political campaign, or and political confrontation, may increase security singling out certain parties for support without a threats and risks and require specific action. transparent and well-reasoned rationale.

50 In the context of post-conflict elections, it may be opportune to devel- Box 6: Preventing Violence through NGOs and Field op an integrated approach towards Workers security that involves all key players n Nigeria in 2003, the Institute for Democracy in South Africa (IDASA) ran (national and international security Ia conflict communications hub to help prevent electoral violence. The hub forces), as occurred in Afghanistan consisted of a central information point that collected intelligence from field (2004–2005) and DRC (2005-2006). workers and NGOs across the country about areas of potential violence. The In both of those contexts, as well as UNDP Nigeria Country Office found it to be the most detailed and impressive in Togo in 2007, a specific project source of security intelligence available. An identified flaw in this initiative was designed and implemented to in retrospect was that the Nigerian Electoral Commission was not included in fund and coordinate security force the information loop, thereby blunting potential two-way information flow efforts in view of providing ade- that could have extended the impact of the initiative. quate and timely support, thereby ensuring a peaceful exercise. Training and Education Issues of security management should be ad- Training and education on election-related issues dressed at both the national and the community are important for all stakeholders, including can- level, and should be continually reviewed and didates, political party representatives, observers, reassessed. Security management requires a good journalists and the law enforcement community. risk assessment which comprises two main phases: UNDP projects typically focus on the capacity de- (1) threat and risk assessment and (2) risk mitigation velopment of EMB staff — at the central and sub- and implementation. national levels — with different thrust depending upon when in the Electoral Cycle the support The model developed for the first post-conflict is taking place. Yet capacity development is of elections in Afghanistan of the Electoral Secu- course much more than training, even if training rity Operation Center (ESOC) was instrumental does represent an important tool in the capacity in conducting peaceful elections in a war-torn development toolbox. country. The approach used helped identify all potential risks and worked with respective se- One of the most powerful and cost-effective ca- curity forces to find solutions. The relationships pacity development tools for electoral adminis- among the EMB and the security forces were re- tration is BRIDGE (Building Resources in Democ- inforced through mutual understanding of the racy, Governance and Elections), a joint initiative respective imperatives, and information-shar- of International Institute of Democracy and Elec- ing was streamlined. toral Assistance (IDEA), the Australian Electoral Commission and DPA/EAD. In 2007, UNDP and Developing a MEDEVAC (medical evacuation) plan IFES also became partners in the BRIDGE proj- is also essential. Outsourcing to the private sector is ect. BRIDGE, the most comprehensive profes- likely to be cost-effective and efficient to ensure that sional development course available in election electoral staff — national and international — are administration, places a strong emphasis on the covered by adequate medical support scheme, in enhancement of local capacities. Increasingly, particular when working in conflict areas. BRIDGE modules are being included within UNDP

51 Electoral Cycle projects. More information can be a very short time period. This often has a great found at www.bridge-project.org. (usually negative) impact on the overall quality and sustainability of the training provided. The ACE Electoral Knowledge Network (ACE) con- • Ensuring quality and consistency of training tains as well several materials and documents that can be difficult, especially in distant localities could be used in training and professional devel- or when using a training-cascade system in opment courses at very limited costs. which quality often tends to decrease when moving from level to level. Considerations for Training and Education Initiatives • Preserving institutional memory and learning from former experiences should be encour- • Training for core and temporary electoral managed. agement staff appointed for electoral activities and election events should ideally be provided • Maintaining qualified and motivated staff can on a continuous basis. be difficult, especially when there are long periods between elections. • Training activities should promote norms, standards and principles of professional and • Support for projects aimed at professional de- ethical electoral practice in training and educa- velopment outside and beyond the immediate tion: namely, impartiality, transparency, voting electoral period is frequently overlooked. secrecy, equality of access, accountability and • The turn-over of staff between electoral events efficiency. is often high, which minimizes the retention of • Care should be taken to ensure that changes in know-how. procedures and technology are incorporated into any training for electoral staff. Access by the Disabled • Training activities should promote equality In programme countries, it is not unusual for and consider the needs of women, indigenous people with physical disabilities to be less active peoples, minorities and other traditionally dis- participants in political processes, including elec- advantaged or marginalized groups. tions, due to existing physical and cultural barri- ers in participation. The physically disabled are Challenges for Training and Education Initiatives especially vulnerable to having their needs and issues omitted from political party platforms and • EMB staff may be recruited late in the electoral policy discussions. They often have difficulty ac- calendar. Even permanent EMBs can recruit cessing political forums, as well as the information electoral staff at local levels and for polling provided at such forums. For example, the deaf stations very late in the process. In the best and blind may have difficulties in obtaining voter case scenario, many of these individuals are in- education information that is transmitted by ra- volved election after election and thus form a dio, television or printed matter, while all physi- cadre of more or less known professionals. cally handicapped voters may have difficulties in • Training needs often exceed the time and re- easily accessing polling stations. sources available, particularly if there are a large number of staff who need to be trained in Furthermore, voting in secret can become prob-

52 lematic for those who are unable to read. Voting Braille or through deaf signers. exclusion based on mental infirmity also is- in • Efforts to develop the capacity of disabled creasingly becoming a contentious issue in sev- people’s organizations may be supported to eral countries. However, assistance oriented to- strengthen demands for inclusion in the de- ward extending political and voting rights to the velopment of government and political party disabled is growing and with it a set of emerging policies. international standards28.27. Challenges to Access by the Disabled Some ideas of activities in this area are included • In some societies there is often a low priority below. given to, or awareness of, disabled persons. Considerations for Access by the • Similarly, there is often a shortage of resources Disabled for initiatives to enhance the rights of disabled • The existing legal framework should be re- persons or for organizations undertaking advo- viewed for potentially discriminating regula- cacy specifically for this disadvantaged group. tions. Efforts should be made to determine • The segregation of the disabled’s needs into how such regulations can potentially be de- programs or activities not mainstreamed in the fused or eliminated. overall project might mean that such activities • Disability access should be mainstreamed into have a limited impact. the electoral process as much as feasible, in- • Disabled people’s organizations often operate cluding in areas such as voter and civic educa- in competitive environments due to limited tion. resources and skills; efforts should be made to • Electoral authorities may need assistance in develop collaboration among these bodies. identifying specific strategies to enfranchise voters with disabilities. Support to Observation • There may be opportunities to partner with As noted previously in this Guide, the UN cannot and engage organizations involved in advo- observe elections unless it receives a mandate to cacy for the disabled to seek their inputs on do so from a UN body such as the General Assem- different areas of the electoral process. bly or the Security Council. It also cannot typically • The needs of the disabled should be considered provide observation with the same agencies en- in the process of selection of polling places. gaged in offering technical assistance to an elec- • Guidelines for officials at polling places should -in toral process. clude instructions on how to extend special help to elderly, hospitalized and disabled voters. UNDP activities in the field of electoral observation mostly centre on coordinating international and/or • If feasible, efforts may be made to provide tactile domestic observers rather than UN observers. ballot paper templates so the blind can vote in secret. In addition, consideration could be given to providing training or voter education materials in

28 See http://ace.at.org/ace-en/ace-es/focus/disability/default and www.electionaccess.org/.

53 oday, domestic observation is allowed in groups and administrative/logistical support can most environments and in many cases be carried out with limited resources (human/finan- T international observation missions have cial) while having significant impact on the process, been deployed in countries where UNDP con- in particular with regard to the perception of the tributes technically and financially to the same exercise by voters. In The Gambia (2006), a compre- electoral process. Electoral assistance and elec- hensive training programme was developed in col- tion observation therefore should be seen as laboration with NGOs and the election commission complementary activities in the context of long- (including the printing of a domestic observation term assistance to an Electoral Cycle because they manual) and direct support (administrative cost/per contribute — albeit in a different manner — to diem for observers) provided to help deploy domes- the democratic development of the beneficiary tic observers countrywide. Support to domestic ob- country. The observers’ recommendations should servation groups can be linked to support initiatives represent the basis for the establishment of the for civil society, in particular in the area of voter and reform agenda as well as a platform for the inter- civic education, where synergies in identifying local national community and the beneficiary country partnerships and implementing voter education to programme the next series of interventions. By programmes can be easily put in place. the same token, domestic and international observation missions may benefit from the experience Considerations for Support to gained through electoral assistance projects. Observation • The DPA Guidance Note on support to inter- To support international observer missions, UNDP national observation should be followed (see can do a number of different things. They may in- Annex 2). clude briefing observers upon arrival in a country, arranging transportation, providing maps, plan- • If support to international electoral observa- ning routes and preparing emergency proce- tion is identified as a priority, a separate project dures, and establishing a resource centre to serve should be developed with the support of DPA/ as a clearinghouse to facilitate both domestic and EAD. This project should be clearly distinct and international election observation activities. The separately managed from any UNDP technical agency can also coordinate deployment of ob- assistance project. servers on election day, facilitate the collection • If support to a European Union Electoral Ob- and analysis of information gathered by observ- servation Mission (EUEOM) is requested and ers, and organize debriefings. approved by the focal point for electoral assistance activities, advice and assistance should To support domestic observation efforts, UNDP be sought from the UN/UNDP Brussels Office. often includes in its projects an element of train- That office has experience in discreetly sup- ing or logistical support to umbrella civil society porting such missions without obstructing organizations. There is a window opportunity when UNDP’s overall role in electoral assistance. The designing and implementing election support proj- office also maintains relations with the units of ects for strengthening national observation capaci- the EC tasked with planning and implement- ties through limited and time-bound support. Tai- ing such missions. (See Annex 3 for more detail lored training programs for domestic observation on EUEOMs).

54 • Support to domestic or international observa- nomic and Social Affairs (UNDESA), DPA/EAD, tion should be included among the elements to the Electoral Institute of Southern Africa (EISA), be considered in the needs assessment phase. the European Commission and UNDP. ACE is the world’s largest repository of information Challenges to Support to Observation (with more than 10,000 pages divided by 12 • Requests for international observation often electoral topics), tools and methodologies on arrive late and separate from requests for tech- electoral assistance and a global Practitioners’ nical assistance. Network including more than 300 experienced • Security for international observers where election practitioners. It also has a regional UNDP is providing logistical or other support infrastructure of affiliated electoral resource must be done in conjunction with DSS and its centres openly available online and a capac- standards. ity development facility in the Southern Africa region. ACE aims to manage knowledge in the • Support to domestic monitoring efforts should following three ways: be done as fairly and transparently as possible to guard against UNDP being associated too • Generate knowledge. ACE established a closely with the findings and recommenda- platform for the generation, codification, tions of the observer groups. sharing and dissemination of specialized electoral knowledge, comparative experi- • Mutual distrust and competition for donor ence and documental resources. funding among domestic observation groups/ • Share knowledge. ACE promotes peer coalitions could make coordination efforts ex- networking; professional dialogue and tremely difficult. collaboration; and sustained sharing of knowledge, expertise, resources and in- Global Initiatives formation among experienced EMBs, net- Lastly, a number of innovative global initiatives works and organizations worldwide; have been undertaken by UNDP in partnership • Apply knowledge. ACE established a global with other electoral assistance providers to avoid infrastructure, with regional hubs, for the duplications of efforts and rationalize donor ac- generation of specialized regional knowl- tivities targeting harmonization of procedures, edge, dissemination of the knowledge cost effectiveness and sustainability. These initia- already available in the network, and its tives can be helpful in myriad ways to Country practical application in electoral assistance Offices planning or implementing electoral assis- projects with a beneficiary-led approach. tance and include, inter alia, the following strate- • BRIDGE. International IDEA, DPA/EAD and the gic partnerships: Australian Election Commission launched the original version of the BRIDGE project as a • ACE2928 – The Electoral Knowledge Network. capacity development tool. In 2007, IFES and ACE is a joint initiative of International IDEA, UNDP joined the project as partners. BRIDGE IFES, Elections Canada, the Federal Electoral is the most comprehensive professional de- Institute of Mexico, the UN Department of Eco- velopment course available in election ad- 29 ACE originally stood for the ‘Administration and Cost of Elections’ ministration. As of the date this Guide was project. More information can be found at www.aceproject.org. 55 published, BRIDGE had been conducted in 25 countries for more than 3,000 election officials. The course aims to improve the skills, knowledge, and confidence both of election professionals and of key stakeholders in the electoral process, such as members of the media, political parties and electoral observers30.29. • UNDP, EC and International IDEA Joint Training on Effective Electoral Assistanceand the Global • UNDP–European Commission Partnership in Training Platform proposal in the same area. Electoral Assistance, operationalized through: • Between 2004 and 2006, UNDP, the EC • The signature of the EC–UNDP Operational and IDEA developed a joint training pro- Guidelines on the implementation of elec- gramme on effective electoral assistance toral assistance programmes and projects. and delivered two training sessions to EC This document rationalized the existing and UNDP staff in Brussels and Dar es Sa- de facto partnership between UNDP and laam in September and November 2006, the European Commission on the ground. respectively. The objectives of the joint It clarifies several implementation details training were to introduce EC and UNDP improving the overall EC–UNDP collabora- staff to the policy and strategy framework tion in this field (seeAnnex 4). that governs both EU and UN involvement • The establishment of the EC–UNDP Joint in elections, share experiences, and famil- Task Force (JTF) on Electoral Assistance com- iarize practitioners with the Electoral Cycle posed of the core group of staff, advisors approach in order to build capacity for and specialists who work in the electoral as- formulation and implementation of future sistance field within EC and UNDP at Head- electoral assistance projects. EC and UNDP quarters levels. The JTF is coordinated by the specialists in collaboration with IDEA have UN/UNDP Brussels Office and its overarch- so far trained more than 100 of their col- ing purpose is to further improve the effec- leagues on the principles of effective elec- tiveness of electoral assistance activities by toral assistance and on the institutional ensuring adherence of the projects to the aspects of joint electoral assistance proj- common EC–UNDP approach, by identifying ects in the two sessions that took place in strategic options, and by responding to the 2006. new challenges facing electoral assistance. • The experience acquired through this initiative, unique in its kind, represents an investment that UNDP, the EC and IDEA intend to build on with the establishment of a Global Training Platform on effective electoral assistance. The methodology applied in the Joint Training in Effective Elec- toral Assistance will be further expanded to cater to larger audiences and applied to 30 For more information, see www.bridge-project.org. 56 wider initiatives in the domain of democratic governance and public administration reform. It is proposed to put at the disposal of the Joint Donors’ Competence Development Network the experiences acquired thus far by UNDP, the EC and IDEA and to create a common platform that could then be easily customized to fit the needs of every development agency. This platform allows the further refine- ment of the face-to-face training modules and also the development of blended and e-learning training programmes, primarily for the donor community but also for the capacity development of regional associations of EMBs, national EMBs, universities and practitioners.

very new electoral assistance project can and should make use of these initiatives Ewith activities to be formulated during the assessment/formulation missions. EMBs and UNDP Country Offices need to be made aware that these initiatives can be easily taken advantage of at relatively low costs and with limited implementing capacity. Ideally, the synergies with ACE and BRIDGE especially should be included as a key component in every electoral assistance project. To this purpose, UNDP is committed to make the mentioned tools available in several languages other than English.

4 & Governance Management

IFES/ Kenesh Sainazarov Management and Governance

Effective electoral project management and governance are characterized by a commitment to excel- lence in communication among all management levels; an unambiguous focus on capacity development, institution-strengthening and sustainability; and the balancing of political realities and development objectives.

4’s Results Management Guide Management structures used in electoral assis- UNDP(RMG) has adapted the existing tance projects vary widely from one context to project management method Prince2™ (Projects another. Election support programming carried in Controlled Environments) for UNDP to orga- out within peacekeeping or other political mis- nize the project cycle and to govern the cycle in sion structures led by a Special Representative of a structured manner. UNDP’s resource manage- the Secretary-General (SRSG) or other represen- ment platform/system ATLAS has a module for tative of the Secretary-General differs from that project management available that is built on managed by a UNDP Country Office in a more the Prince2 methodology and should be used stable environment. In a peacekeeping context, to administer all development projects in the the SRSG heads up the overall mission and is sup- organization. Guidance on how to use the proj- ported by deputies responsible for political and ect management module in ATLAS can be found development/humanitarian areas. It is especially in UNDP’s online ‘On Demand’ ATLAS training important in such contexts that the political and guide31.30Furthermore, the RMG provides specific development interests are in close communica- guidance and prescriptive contents on UNDP’s tion and that there is harmonization in the report- management and governance of projects and ing process. programmes. Further tools and guidance to support the professionalization and improvement Thus far, the term ‘integrated mission’ has referred of CO-level UNDP programme and project man- less to a specific management model than to a agement practices can be found online at the strategy of placing all of the UN component parts Programme and Project Management for Results in a country — peacekeeping, humanitarian and — Maturity Toolkit (available at http://ppmtool- development — as part of an effort to achieve a kit.undp.org). successful transition from peace to development. In practice, integrated missions have varied in structure and in the extent of integration, with 31 Available at http://ondemandweb.undp.org/ OnDemandProduction/OnDemandWebPortal/pg_portal1.shtml. some such as Sierra Leone having an Executive 59 Representative of the Secretary-General who is The basic two management bodies and two coor- also the top humanitarian and development of- dination mechanisms — which can take different ficial in the country (wearing the so-called, ‘three specific forms depending upon the country and hats’). In DRC, the Deputy Representative of the context — are listed below. The first and fourth Secretary-General in charge of the electoral as- are properly characterized as coordination mech- sistance portfolio was also the UNDP Resident anisms, while the second and third are UNDP proj- Representative. He was supported in this role by ect management mechanisms. a UNDP Country Director. In other places, such as Sudan, the Special Representative of the Secre- 1. An overall Donor Coordination Mechanism tary-General is supported by two deputies. One that includes heads of donor agencies — both works closely with the Special Representative in those contributing to a common ‘basket fund’ addressing good offices and political support to and those contributing to the elections through the peace process and governance (including bilateral or other means — and is often co- electoral support), while the other acts as UN Res- chaired by the national EMB or at least informed ident Coordinator and Humanitarian Coordinator periodically by it. This mechanism, facilitated and deals with development concerns. by the lead donor and/or UNDP Resident Rep- resentative on behalf of donors, should meet n more ‘routine’ development contexts, the UNDP from time to time to discuss the evolving po- Country Office takes the lead on coordination and litical environment, share plans and activities, Imanagement of electoral assistance — either di- deliberate issues of common concern, negoti- rectly or through a Programme Management Unit ate agreed responses, and analyze emerging (PMU). needs and risks. This high-level forum can be an important part of donor coordination, with the Coordination and Management emphasis on high-level policy development, collaboration and information-sharing. Arrangements A useful management model for an electoral as- 2. Within the context of the project per se, there is sistance project receiving pooled funding from a need for a specific policy and decision-making several donors may be a two-tiered management mechanism. Increasingly, these joint or pooled structure. One tier provides for a policy or over- funding arrangements — usually managed by sight committee normally referred to as a Steer- UNDP — are called ‘baskets’, and the commit- ing Committee to ensure the project remains on tee created to manage the policy level is called track, on time and on budget. The other tier refers a Steering Committee. A Steering Committee to a day-to-day PMU that can implement the proj- usually meets quarterly or monthly (and more ect at the technical level and report to the Steer- frequently if elections are approaching) and ing Committee. (See Chapter 5 for more informa- is responsible for general oversight of project tion on funding arrangements.) activities within the basket, including financial oversight and approval of funding allocations To supplement these project-specific manage- within the overall budget as recommended by ment tools, it is also useful to ensure that adequate the PMU (see below). It should receive regular donor coordination and stakeholder coordination reports from the PMU and the EMB, approve forums exist. 60 major activities and expenditures, reach con- ously. Given the political sensitivities and donor sensus and take decisions in any change in the partnerships at stake, there is a need for regular project work plan, provide ongoing risk analy- (fortnightly at minimum) briefings and debrief- sis, and consider funding for emerging issues. ings with the UNDP senior management (Deputy It is facilitated by the PMU, which provides sec- Resident Representative, Country Director and/ retariat services and liaises with the Steering or Resident Representative) and in mission envi- Committee chair in the preparation of agendas, ronments with the SRSG/Deputy SRSG or other notification to members, reports on the various (executive or political) representative of the Sec- project components and provision of minutes. retary-General, whose support is often critical The Steering Committee includes representa- when swift decisions/actions are necessary. tives from contributing donors, the EMB and key domestic stakeholders as required (includ- 4. A Stakeholder or Information-Sharing Forum ing CSOs). It may be chaired or co-chaired by has also proved to be a good overall coordina- UNDP, the lead donor, the EMB or a combination tion tool in some places and/or can function thereof. The reports of the Steering Committee as a ‘sounding board’ for the project. This fo- can be shared with all donors to the basket. rum is usually best convened by the EMB per (See Chapter 5 for more information on donor se, rather than UNDP, on a monthly basis or so. coordination and management structures.) The invitees typically include all organizations working in the election field as well as relevant 3. The Programme Management Unit (PMU) is the officers within donor agencies. The purpose of dedicated, technically staffed unit that adminis- the forum is to ensure common knowledge on ters, manages and monitors the overall election election activities, harmonization and ‘leverag- project on a day-to-day basis. PMU staff should ing of synergies’ and to avoid duplication of include experts in electoral management who programming. The agenda includes an update have experience in the various components of from the EMB on election preparations and re- the electoral assistance project — for example, lated issues and short presentations from each voter registration, civil society, the media, politi- group on their activities followed by general cal parties, and/or electoral observation — and discussion on nominated or emerging issues. some members should be familiar with UNDP procedures on recruitment, procurement and project execution modalities. The PMU is led by a Chief Technical Advisor or Project Manager and may include part- or full-time staff. The PMU should include a dedicated finance and administration officer to record, process, disburse and report income and expenditures on a regular basis. The finance officer works closely with the UNDP Country Office’s finance professionals. The PMU can also serve a secretariat function for do- nor coordination and support as outlined under the Steering Committee functions noted previ-

61 Table 7: Key Features of Coordination and Management Arrangements I nformation S C

High-Level Donor Coordination Information-Sharing Forum oordination and Convened by UNDP Convened by the EMB UNDP/donors/EMB; high-level representation at ambassador or Includes, but not limited to, UN; national/international civil society designate level organizations; development agency representatives; technical-level haring Frequency: As required, but once every 1-3 months Frequency: Monthly

Political issues; resource mobilization Update on preparations; technical issues

Project Steering Committee Project Management Unit Convened on a schedule by UNDP Day-to-day administration and management of project UN DP Project UNDP/EMB/project donors

Frequency: Quarterly to monthly, depending on need Frequency: The PMU should meet as a team at least once a week. Project oversight and decision-making Serves as secretariat to Steering Committee

Table 7 above summarizes the key features of Project support should be provided by the UNDP these various mechanisms. Country Office through operations personnel and a DEX service center if one exists, to support the As noted previously, the Steering Committee is day-to-day operational work of the project team intended to be the group responsible for making or PMU. Project assurance in terms of substantive — on a consensus basis — management deci- support should be provided through an Assistant sions for the project when guidance is required, Resident Representative and/or Programme Of- including recommendations for UNDP approval ficer for governance or equivalent in the UNDP of project revisions. Such decisions must adhere Country Office. An important principle to remem- to UNDP rules and regulations. Project reviews by ber is that project assurance and project manage- the Steering Committee should be made at regu- ment should never be functions held by the same lar intervals or as necessary. individual.

The Steering Committee in this sense may have the The project management structure described same composition as the Project Board in the lan- above can be illustrated as in Figure 3. The boxes guage of UNDP’s Results Management Guide, which in gray represent component parts of the PMU, normally comprises the following members: and the boxes in white represent components Project Executive: Head of Programme, UNDP of the UNDP Country Office. The project teams Country Office (RR or Country would offer temporary ‘in and out’ advisory - ser Director/DRR-P)3231 vices to help deliver key results under the project and would be located within the UNDP-based Senior Beneficiary: Head or designate of the EMB PMU. Senior Supplier: Deputy Resident Represen- tative, Operations UNDP Country Office, donors

32 It should be noted that most electoral assistance projects are direct execution (DEX). 62 Figure 3: Sample Project Steering Committee Management Project Executive (Chair) Arrangements Senior Beneficiary (EMB) Senior Supplier, Donors

Project assurance Project management UNDP ARR Governance Chief Technical Advisor +/or Project Manager Project support Elections Advisor Operations Manager UNDP Operations/DEX Programme Officer Finance/Administration Unit, Service Centre

Project teams as required Project teams as required Project teams as required

Execution and Implementation tion), the Project Manager is under UNDP contract Arrangements and UNDP has responsibility for making project management decisions. As detailed in the Note of Guidance between UNDP and UN DPA, election-specific projects use Another factor that affects direct execution of direct execution (DEX) as the default modality, election projects is the existence or not of delega- where UNDP is the executing agent of the project, tion of authority34.33Such authority usually flows and the senior staff of the PMU report to UNDP from the senior UNDP management to the Chief (RR/DRR) and to the donors through the Steer- Technical Advisor of the election project. Other 33 32 ing Committee . On the other hand, some lon- relevant factors are (i) the different profiles and ger-term electoral assistance projects that offer division of labour between the Project Manager capacity development assistance to EMBs over a and the Chief Technical Advisor if both positions period of time have used the national execution exist and (ii) the delineation of responsibilities/ (NEX) modality following an assessment of capac- intervention/chain of command among the vari- ities within the national institution. Under NEX, ous levels and individuals. An appropriate level the project is managed by the EMB and UNDP of delegation of authority also allows for a clear works closely with the managing body to iden- separation of roles and functions according to tify specialist support needs and contract such Prince2, especially in the framework of DEX proj- personnel. Specialist experts report to the EMB ects. If the Chief Technical Advisor or member of but should have a good working relationship also PMU for the elections support project is provided with UNDP. with authority to approve vouchers and purchase orders and is responsible to the steering commit- With direct execution it is important to note that tee, the UNDP Country Office staff can focus more regardless of where the PMU sits (within the UNDP on project assurance. Country Office, in the EMB or in some third loca- 34 For more guidance, please refer to Direct implementation Guidance (http://intra.undp.org/bdp/modalities/index.html) which is 33 See Annex 5 for a sample terms of reference. available in RMG. 63 n ‘harmonized’ environments where a Coun- The UNDP Country Office and the PMU must re- try Programme Action Plan (CPAP) exists, the view the capacities needed for performing all Idefinition of ‘execution’ shifts to one of overall election-related tasks. In doing so, the Country Of- ownership and responsibility for programme ac- fice and PMU should analyze each task, determine tivities. All activities within the CPAP signed by which of the capacities applies to the task, and as- government and UNDP are, therefore, nationally sess if proper capacities are present. If capacities executed. ‘Implementation’ is redefined as -man are not adequate, it should be determined what agement and delivery of programme activities to additional measures need to be taken and a fol- achieve specified outputs, as in the Annual Work low-up action plan should be designed. Plans (AWPs). Necessary capacities include the following: Under the simplification and harmonization Technical capacity. Ability to carry out and moni- process, the CPAP elevates responsibility for ex- tor the technical aspects of assistance. ecution of the project to the management of the Country Programme (CP). By reinforcing the Managerial capacity. Ability to plan, monitor and definition of execution as ‘overall management’ co-ordinate activities. rather than the management of inputs, the CPAP encourages government involvement in directing Administrative capacity. Ability to prepare, au- the strategy of the CP, rather than the micro-man- thorize and adjust commitments and expendi- aging of inputs. tures; ability to procure, manage and maintain equipment; and ability to recruit and manage the Under this harmonized procedure, UNDP’s lexicon best-qualified personnel. of DEX, NEX, etc. will eventually disappear. That is because in most countries, the signature of the Financial capacity. Ability to produce project CPAP would automatically imply NEX with imple- budgets; ability to ensure physical security of ad- mentation by various implementing partners. Ex- vances, cash and records; ability to disburse funds ecution would thus be de-linked from managing in a timely and effective manner; and the ability to inputs. ensure financial recording and reporting.

Choosing Implementing Partners Negotiating with Implementing The term ‘implementing partner’ in the harmo- Partners nized (CPAP) regime is equivalent to ‘executing When contracting with the implementing part- entity’ in the non-harmonized regime. By ‘imple- ners, UNDP personnel should discuss and record menting partners’ this section refers to those in- the relationships and costs. These may include the stitutions or companies that were ‘implementing following: entities’ in the non-harmonized regime. Since • Roles and relationships with the government, ‘implementing entities’ are essentially contrac- the EMB, political parties, CSOs, the media, the tors, a competitive process (procurement) will ap- public, the PMU and all other stakeholders. ply unless they are government institutions or UN agencies. • An honest evaluation of the actual deliverables should be submitted to donors.

64 • Frequency and scope of reporting and data built into the project budget through the inclusion collection. of procurement and finance staff positions. • Work plans and deadlines. • Staff contracts and staff rules. Considerations for Setting up a PMU • Identify staffing requirements in consultation How to set up a PMU and agreement with the project’s beneficiary (usually the EMB). The staffing of a PMU is closely related to the -na • Determine the skills and experience required ture of the proposed assistance. For example, if for staff, including the Project Manager and the project calls for strong political coordination specialist staff; prepare ToR; seek assistance and democracy building, then the Project Manag- from DPA/EAD, UNDP regional centers and er should have the profile and experience that fits Headquarters, the EC–UNDP Joint Task Force with those requirements. Where there is a primary on Electoral Assistance, and the UNDP (senior) focus on technical assistance to the EMB then it electoral advisor, if there is one, to identify ap- may be advisable for the manager’s skills to reflect propriate personnel. Consider the possibility of this priority or for there to be a Chief Technical Ad- obtaining assistance or skills from established visor post supported by a Project Manager. Addi- EMBs. tional guidance on office structures may be found in the Toolkit for Managing Change35,34which also • Set up bank accounts and financial authoriza- contains some additional examples of mergers tions. and functions in Azerbaijan, China and Vietnam in • Allocate office space and procure necessary of- which the financial and PMU units were consoli- fice equipment. dated. • After recruitment of the project manager, ad- vertise and appoint local staff. Brief senior PMU If electoral assistance is to be nationally executed, staff on communication protocols with the the EMB should manage the project and, after government and other key stakeholders. Brief identifying requirements, UNDP should recruit senior PMU staff on UNDP guidelines and pro- technical experts who will report to the national cedures especially in relation to recruitment, programme manager or head of the EMB. procurement, tendering, ATLAS and so on. UNDP levies a 7 percent management fee for man- • Clarify reporting relationships and communi- aging donor funds in order to recover costs. How- cation protocols within UNDP, including media ever, this only covers general management servic- spokesperson responsibilities. es. Support costs for the office/secretariat and the • Delineate relationships (communications and PMU per se should come from the project budget. correspondence) among regular UNDP Coun- It is often difficult to explain to donors that, in -ad try Office authorities and PMU staff (including dition to general management support (GMS), the Chief Technical Advisor) with government UNDP also intends to charge implementation sup- and other key actors so as to avoid confusion port services (ISS) for procurement and financial on roles and authority. disbursement. Yet ISS costs can in most cases be

35 See http://managingchange.undp.org. 65 • Include the PMU in any inter-agency commu- be less so. Therefore it is important to ensure nication strategy to avoid duplications or con- that the UNDP Country Office is well informed flicting policy decisions. about overall electoral activities, is as engaged • An effective participatory partnership between as possible with the project, and is able to learn the PMU and the RC/RR and UNDP CO team is from it. The PMU should attend UNDP (gover- essential for the smooth operation of a project. nance cluster and, if possible, general) staff Weekly meetings should be held between the meetings and make presentations from time PMU and the programme and operations sec- to time. tions of the UNDP Country Office to facilitate • The demands of an elections project on the programming needs. UNDP senior manage- time of the senior management (SRSG, DSRSG, ment team should meet with the PMU at least RR, Country Director, DRR) will be high. fortnightly. • Having a clear media policy is crucial. Such a • It is fundamental as well to identify within the policy should differentiate between provision CO a dedicated programme officer (ARR for of facts about election activities and opinion on instance), senior enough, who will act as the political or electoral environment and events. UNDP CO election Focal Point, help the PMU • Maintaining a focus on development goals is liaise with UNDP CO departments, follow proj- necessary. ect issues with UNDP senior management, and • There should be clear supervisory lines in an help bridge the gap that may exist between ‘integrated mission’ context. the PMU and the CO. This role is particularly important when the PMU is not located within the UNDP premises. • An ‘exit strategy’ for the PMU should be established at the outset, and the hand-over of information, documentation and ongoing processes needs to be well in place.

Challenges in Setting up a PMU • Ensuring a harmonious working relationship between the PMU and UNDP Country Office staff is vital. CO staff must be well informed about PMU activities and potential demands on their time, especially with contracting, tenders, evaluation committees and so on. It is also necessary to ensure that delineations of tasks and responsibilities between regular CO staff and PMU staff are made ahead and monitored by senior CO management. • Any election-related project will be high profile, while routine electoral assistance may

66 5 Fund Management Mobilization & Resource

UNDP Brussels/ Fabio Bargiacchi Resource Mobilization and Fund Management

Initial discussions with donors about possible financial support for electoral assistance should start during the needs assessment phase. More detailed negotiations will ensue once project arrangements, the related project budget and donor positions have become clearer.

onors may choose to fund electoral assis- three possible funding arrangements can be 5tance in different ways: usually through direct identified, each of which is discussed in greater D bilateral support of the respective governments, detail in this chapter: through civil society or the UN, or a combination a. standard cost-sharing arrangements of the two. Regardless of how funding is chan- b. trust funds neled, it is important to ensure close coordina- c. ‘basket fund’ arrangements tion and information sharing among all partners involved so that assistance is delivered in a timely 2. Scenario #2: Funding is received and man- and efficient manner. aged on the basis of a multi-donor trust fund (MDTF) of which UNDP is part. MDTFs are es- When donors decide to channel funding in sup- tablished based on the pass-through arrange- port of an electoral assistance initiative through ment in the context of UNDG joint programmes. UNDP, then this funding is received and managed The legal basis for these programmes is a joint based on two possible scenarios determined by programme document or the terms of reference the related programmatic arrangement/set-up: (ToR) of the MDTF that have been developed 1. Scenario #1: Funding is received and man- jointly between the participating UN organiza- aged in support of a UNDP electoral assis- tions and the respective country government. tance project. When donor funding is raised in Only in exceptional circumstances (most likely support of a UNDP project, then UNDP has two in post-crisis or transition environments) will principal instruments to receive and manage electoral assistance be funded through an MDTF such funding: cost-sharing and trust funds. In arrangement. the context of electoral support, ‘basket fund’ Additional information on resource mobilization arrangements can be established to better and donor coordination in electoral assistance is coordinate the implementation of these very provided in UNDP’s ‘Resource Mobilization Toolkit’36. complex, politically sensitive and highly visible

projects. Based on those principle instruments, 36 See http://resourcemobilization.brsp.undp.org/3d_EC_Electoral_ Assistance.cfm. 67 Funding Mechanisms tent with current standard agreement templates and UNDP rules and regulations. It is important to Scenario #1: Funding is received and remember that donor-specific agreements take managed in support of a UNDP electoral precedence over the generic standard agreement assistance project templates39. Donors can earmark their contribu- As discussed previously, the following funding ar- tions at the ATLAS project level. rangements apply when donor funding is received in support of an electoral assistance initiative that is If a donor insists on specific agreement clauses based on a UNDP project. For more guidance on UN- that differ from the agreed standard text, the Divi- DP’s programming instruments and project manage- sion for Resource Mobilization in BRSP should be ment issues please consult the UNDP User Guide37. contacted (via e-mail, at [email protected]) to assist with the clearance of non-standard agreements. Standard Cost-Sharing Arrangement Trust Funds Cost-sharing is a co-financing modality under trust fund is a co-financing modality es- which contributions can be received for specific tablished as a separate accounting entity UNDP projects in line with UNDP policies, aims under which UNDP receives contributions and activities38. Donor governments as well as A to finance UNDP programme activities specified other donors — such as private sector entities, by the donor. Trust funds may be established by foundations and CSOs, all called ‘third parties’ be- the executive board or by the administrator for cause they are not parties to signing the project specified purposes consistent with the policies, document — contribute funds to UNDP projects. aims and activities of UNDP. Each trust fund is es- These funds are multi-donor in nature, meaning tablished either on the basis of a written agree- that as many donors as possible or necessary can ment signed on behalf of UNDP and one or more contribute to a given set of agreed results and donors or by the issuance of ToR for the trust fund project outputs. Funding is co-mingled and can in anticipation of receipt of contributions from include funds from UNDP (TRAC allocations). Fi- prospective donors. The establishment of trust nancial reporting on cost-sharing contributions funds and the conclusion of agreements regard- (as well as closed trust funds, as discussed below) ing contributions from donors take place under is undertaken at the project level in ATLAS. Cost- the authority of the Associate Administrator. That sharing contributions continue to be the instru- individual, except when she/he has explicitly del- ment on which basis the majority of other (non- egated such authority, signs all trust fund agree- core) resources are being received. ments or documents establishing trust funds40.

Main advantages. Financial contributions received as cost-sharing are easy to manage: The Country Office has the authority to enter into 39 A list of standard co-financing agreements can be found at the BRSP Intranet Web site at http://content.undp.org/go/groups/brsp/ these agreements as long as they are consis- Non-Core/Formats/?g11n.enc=ISO-8859-1). Meanwhile, donor-specific agreements are listed at http://content.undp.org/go/groups/brsp/ Non-Core/Don/?g11n.enc=ISO-8859-1). 37 See http://content.undp.org/go/userguide/results. 40 Standard documents and policies that apply to the different types 38 See BRSP Intranet at http://content.undp.org/go/groups/brsp/Non- of trust funds are available at the BRSP Intranet site at http://content. Core/Cofinancing-Modalities/?g11n.enc=ISO-8859-1&src=brsp. undp.org/go/groups/brsp/Non-Core/Formats/?g11n.enc=ISO-8859-1. 68 Main disadvantages. Trust fund arrangements must Receiving contributions through the Democratic undergo a particular clearance process often involv- Governance Thematic Trust Fund ing various HQ units before they can be formally In some cases, donors prefer to channel their fi- established. (Thematic Trust Funds are an exception nancial support through the Democratic Gov- here since they have already been corporately estab- ernance Thematic Trust Fund (DGTTF) using the lished.) A Trust Fund Manager has to be appointed service line for ‘electoral systems and processes’. for each fund. Financial reporting is undertaken at When doing so, they often earmark their funding the fund (summary) level only; no project level re- towards a particular country project42. porting is available. Main advantages. An existing funding mecha- Receiving contributions from the European nism is in place, which means there is no need to Commission on the basis of a standard ‘closed establish a new trust fund. Also, signature of trust trust fund’ arrangement fund agreements is delegated to the Country Of- Any contribution from the European Commission fice, where procedures are simplified through (EC) has to be received on the basis of a standard standard documents/templates. Some donors ‘closed trust fund’ arrangement. Such an arrange- also assume that by contributing through the ment implies that the trust fund allows receipt DGTTF they are particularly supportive of the of only one contribution from one donor in sup- thematic area, thereby ‘buying into’ the overall port of one particular project; or, in other words, picture as reflected in DGTTF report. This is not a it is ‘closed’ to other donors and projects. Closed common way of receiving contributions for elec- trust fund contributions are treated the same way toral assistance projects, given the preference as cost-sharing in ATLAS: Both arrangements are for cost-sharing arrangements negotiated and considered project-level co-financing with finan- signed at the local level. cial reporting at the project level. Receiving contributions through an ‘open trust In terms of resources and number of projects, the fund’ EC is UNDP’s most significant partner in the area of In the past, Country Offices worked through spe- electoral assistance. Between 1997 and 2006, the cific trust funds in support of electoral assistance EC and UNDP collaborated on implementing 54 projects open to various donors. These ‘open electoral assistance projects, mainly targeting Af- trust funds’ frequently were established to give rican, Caribbean and Pacific countries. During that particular visibility to donors providing the nec- period, the EC contributed a total of €359 million essary funding. However, UNDP has widely come (US$459 million) in support of such projects. More to question the necessity of these trust funds ar- detailed guidance for Country Offices on how to rangements because with the introduction of AT- work with the EC and what to keep in mind when LAS there seems to be no particular operational signing agreements with the EC is available in the argument in favor of trust fund instead of cost- ‘Resource Mobilization Toolkit’41. sharing arrangements. In principal, trust fund arrangements are much more cumbersome to establish and costly to administer in comparison 41 For more information about UNDP’s partnership with the EC as well 42 More detailed information on the Democratic Governance Thematic as related operational details, see http://resourcemobilization.brsp. Trust Fund (DGTTF) and its operations can be found at http://practices. undp.org/3d_Working_with_European_Commission.cfm undp.org/democratic-governance/ttf/index.cfm?src=121515. 69 with cost-sharing arrangements. Therefore, the establishment of Box 7: The Specific Case of Tanzania open trust funds is corporately or the 2005 elections in the United Republic of Tanzania, a total of discouraged and is only approved F10 donor partners — Canada, Denmark, Finland, Germany, Ireland, by the Associate Administrator on the Netherlands, Norway, Sweden, Switzerland and the United Kingdom an exceptional basis. — agreed to support elections through a UNDP-managed basket. For this purpose an MoU was signed by all the partners, stating the partners’ common, Basket Funds overarching goal of supporting the conduct of cost-effective, efficient, free ‘Basket fund’ arrangements in the and fair elections that are nationally owned and internationally recognized, context of electoral assistance are and that enhance citizens’ awareness of electoral processes. A UNDP project first and foremost instruments document was also drafted to capture this goal and the related outputs and aimed at improving coordina- activities. The following were among the factors positively influencing the tion among donors and partners experience: involved in the implementation •UNDP’s engagement was timely. The agency was involved early on, of these very complex, politically developing the partnership arrangements and drafting the MoU in 2003. sensitive and highly visible proj- •UNDP left the thematic lead to a donor, in this case the UK Department for ects. To emphasize their coop- International Development (DFID), thus avoiding a conflict of interests during eration in supporting a particular project implementation. electoral assistance project, donors and partners sign a memo- •Programme goals matched UNDP’s strengths in terms of the democratic randum of understanding (MoU) governance practice area. with UNDP to that effect. A stan- •The proposal was built on lessons learned from previous election dard MoU is available as Annex 5 experiences. to this Guide. •UNDP offered timely, frequent reporting, which enhanced trust in the donor community. Basket funds do not represent a new funding mechanism; in such •UNDP proposed innovative mechanisms (e.g., stakeholder forum). arrangements, funding contin- •UNDP demonstrated a proven track record in election support. ues to be received on the basis of •UNDP demonstrated a proven track record in serving the donor community, UNDP’s standard cost-sharing or which helped to build the trust of the donor community. The agency was, for closed trust fund arrangements, example, secretariat of the Donor Assistance Committee. both described previously. Finan- cial reporting on basket fund arrangements has proved challeng- Fund Coordination Committee) helps resolve is- ing in the past. sues caused by the ad hoc and sometimes dis- jointed nature of informal collaboration. It assists Main advantages. A basket fund arrangement en- in providing maximum efficiency in resource use ables a number of development partners to pro- and service delivery, thereby helping to eliminate vide electoral assistance in close formal coopera- duplication of efforts and over-supply of certain tion with each other. The enhanced coordination activities. The basket fund model embraces the structure of a basket fund (reflected in the Basket advantages of networked linkages and collabora- 70 tion. Such arrangements provide a common voice national partners that would be managing their and presence for donors in what can be a volatile respective projects funded by the MDTF. environment. Donor funding is received by the administrative agent on behalf all participating UN organizations Scenario #2: Funding is received and on the basis of a standard letter of agreement managed on the basis of a Multi-Donor Trust Fund signed between the donor and the administrative agent. It is important to emphasize that UNDP As described previously, multi-donor trust funds standard cost-sharing and trust fund templates (MDTFs) are established based on the pass- cannot be used. through arrangement in the context of UNDG joint programmes43. The ToR of the MDTFs that efore donor funding can be received, the have been developed jointly between the par- ToR of the MDTF have to be defined and ticipating UN organizations and the respective the standard MoU between at least two country government lay out the programmatic B participating UN organizations and the adminis- and operational details of achieving the intended trative agent must be signed. results. MDTFs have increasingly been used as appropriate funding mechanisms to address com- The ‘Resource Mobilization Toolkit’45 contains plex challenges (including elections) in post-crisis more detailed guidance on how to receive donor or transition environments. contributions in support of joint programmes. Additional information regarding UNDP’s admin- In a pass-through arrangement, donors and istrative agent function and clearance of related participating UN organizations agree to chan- MoUs and letters of agreement may be obtained nel funding through one of those organizations, by contacting the Executive Coordinator of the which is selected as the administrative agent. MDTF office in BRSP. Often, UNDP is selected to perform that function. UNDP’s administrative agent portfolio has This is not a modality that has been used in elec- considerably increased since the establishment toral assistance to date, although it may perhaps of the first MDTF, the UNDG Iraq Trust Fund, in have application within the context of a large 44 2004 . Currently, UNDP administers a number of peacekeeping or political mission run by other other MDTFs including country-specific (such as parts of the UN. In general, however, UNDP’s role the DR Congo Pooled Fund, Lebanon Recovery as a substantive provider of electoral assistance Fund, Peace Fund for Nepal, Sudan Common Hu- would make the MDTF option a less desirable manitarian Fund) as well as global funds (such as one. the UNDP/Spain MDG-Achievement Fund, Central Fund for Influenza Action) and the Peace Building What to do Fund. • Explore the options, costs and benefits of the various funding models with partners. Programmatic and financial accountability rests with the participating UN organizations and sub- • Draft cost-sharing agreements or, where applicable, ToR of related trust funds with inter- 43 For more details, see 2003 UNDG Guidance Note on Joint Programming, www.undg.org/index.cfm?P=240. 44 See www.irffi.org for more detailed information. 45 See http://resourcemobilization.brsp.undp.org/3d_Tips_on_JP.cfm. 71 ested donors and partners and follow up on the status of com- Box 8: Steps to Mobilize Resources for Elections mitments. •Prepare a list of likely donors that have an interest in well-run, credible and • If necessary, discuss with senior inclusive electoral processes in the host country. management the possibility of •Research interests of donors to help determine which activities different allocating/reallocating more donors would want to support. TRAC resources if there is an •Start project design early. initial shortfall/delay in donor contributions. •Involve possible donors in design stage. • Ensure senior management •Map funding options and preferred strategies. is aware of the volume of dis- •Prepare a list of possible requests along with options as to how donors can bursements likely to be chan- participate in the process. neled through the CO so that •Avoid donors with overt political agendas that may be in conflict with the adequate administrative sup- host governments or a majority of donor interests. port is provided. •Have a well-defined proposal when approaching donors; state clearly what is needed and operationally feasible. Challenges •Share information on donor requirements. • Finalization of donor/partner committees, preparation of •Provide information updates to donors on all project aspects. co-financing agreements and •Share information on donor commitments among all donors. receipt of funds are time-consuming processes. Delays can have a critical effect on project delivery. • The project document should address issues of under-subscription to the project. Guidance should be provided on prioritization of activities should this occur, with a certain percent- age of resources allocated to address unanticipated emerging issues.

72 6 & Logistics Procurement

UN Photo/ Martine Perret Procurement and Logistics

Procurement and distribution of election materials is often the most costly part of the electoral process, apart from the payment of election workers and the voter registration exercise per se46. When designing the electoral support project, it is important to ensure that the budget for the election materials is realistic and estimated well in advance. Any delay or shortfall in the procurement or distribution of 6materials could have serious implications on the rest of the electoral schedule, thus potentially affecting the outcome of the election.

rofessional advice should be sought in regards officers should have a clear understanding of Pto the production of comprehensive and ad- and familiarization with the materials required equate specifications for products. The need for and technical specifications. different kind of specifications in different context 3. Clear, prior specification (qualitative and quan- is often neglected. The inclusion of a procurement titative details), where political and legally pos- strategy and the consultation of procurement ex- sible, of the desired materials. This is necessary perts in the planning stage are thus crucial to the to ensure confidence among stakeholders that success of any electoral assistance projects. Pro- the procured materials are appropriate47. curement costs can dramatically increase or de- 4. Cost-effectiveness through implementation of crease depending on the lead time available. a transparent and competitive process. There are a number of ways to better link procure- 5. Sustainability. ment and logistics in planning from the outset: 6. Avoidance of unrealistic expectations that cannot be met in subsequent elections. Procurement Strategy Under UNDP financial rules, the Chief Procure- A successful procurement strategy should have ment Officer, who is the head of the Bureau of six main objectives: Management, has delegated limited authority to 1. Delivery of all goods and services of the re- 46 See Jesper Perdersen, UNDP/IAPSO: Cost-Effective, Transparent quired quality and standards in compliance Procurement for Elections, www.iapso.org. with the established deadlines for voter regis- 47 There is a risk that when an election is internationalized, for example by the involvement of UNDP or other donors in supporting tration, voting operations or any electoral pro- it, EMBs may feel driven either by pressure from political stakeholders, or through a fear that resources may only be available on this one cess without delay or shortfall. occasion, to opt for high-tech equipment or processes of doubtful appropriateness and sustainability. Careful attention should be paid to the pros and cons of supporting systems that make sense in that 2. UNDP project management unit/procurement context. 73 the Resident Representative to award contracts Time and quality are crucial factors that must be valued less than US$100,000. These contracts carefully considered when planning the procure- must, however, be approved by the local con- ment of election materials. Those in charge of tracts committee. procurement should ensure that the solicitation of quotes or bids is timely, purchases are cost ef- Planning Procurement fective and materials are delivered on time. UNDP representatives should inform and agree with the Procurement planning for electoral assistance EMB (and the donors) on the procurement require- should be an integrated part of any electoral assis- ments that must be followed. There are typically 10 tance project. This entails procurement of materials steps in the UNDP procurement process: related to the election per se, and UNDP procurement of expertise to deliver the project. 1. Identifying needs 2. Planning Drafting a procurement plan is now a mandatory 3. Specification step in project design. Planning involves more than the selection of a procurement method; it also in- 4. Sourcing volves taking into account the legal and institu- 5. Solicitation tional frameworks in which procurement must be 6. Bid evaluation carried out. Major system enhancements — e.g., IT systems or new voter registration systems — should 7. Pilot and validation testing aim to start as early as possible in the post-election 8. Negotiation period, to maximize the time for system testing, 9. Award procedural development, training, etc. Procuring major systems at the last minute maximizes costs, 10. Management minimizes benefits and undermines sustainability. A procurement plan should consider the The retention of consultants under special service following issues: agreement (SSA) contracts is now also considered a • Procurement objectives procurement issue, rather than a human resources one. This places even more importance on starting • Requirements/legal framework of the early in regards to the contracting of electoral exper- elections tise. Good electoral experts are not necessarily avail- • Roles and responsibilities able at the specific time of the election in the country • Risks and need to be ‘booked’ well in advance, particularly • Costing if they are needed for medium- or long-term adviso- • Technical specifications/quality of materials ry posts. It is important to work with DPA/EAD to tap • Timeliness its roster of electoral experts and check references. • Logistics Elections are always politically sensitive and the ability of electoral experts to function in such situations, • Disposal and retrieval in addition to their technical expertise, can be crucial to the success of the project.

74 Procurement of Election Materials UNDP may either (i) send out an invitation to bid (ITB) or (ii) request that UNDP’s Procurement Sup- pecific knowledge on how to access pro- port Office manage the procurement needs. That curement services can considerably in- office is now responsible for election-related pro- crease the efficiency, quality and transpar- S curement functions formerly carried out by the In- ency of an electoral process while reducing costs ter-Agency Procurement Services Office (IAPSO). and delivery times.

The latter option is usually preferable because it Procurement of goods and services for elections reduces the administrative burden on the Country can be divided into four main categories, corre- Office, an important consideration if capacity and sponding to four different phases of the electoral understanding of elections materials are weak. It process. Of the four listed below, procurement is is advisable to request that Procurement Support especially important in terms of voter registration Office colleagues conduct a short mission to as- and election day activities: sess procurement needs and offer a range of op- Election administration. Hardware and software tions before full-scale procurement is underway. equipment, vehicles, communication tools, print- A lead-time of one to two weeks is needed. ing services. Procurement is generally paid for by the request- Voter registration. Hardware and software equip- ing office, with an agreement that the costs are ment, means for printing and distribution of reg- deducted from the procurement handling fee if istration forms, voter cards and data processing, and when the requesting office uses the Procure- as well as other materials depending on the type ment Support Office for electoral procurement. of voter registration used48. If recruiting additional staff to support UNDP pro- Election day activities. Means for printing and curement functions, the Country Office should distribution of ballot papers, ballot boxes, voting ensure that they are familiar with the UNDP pro- screens, indelible or invisible ink, tamper-proof curement procedures and that they have a fair materials, forms. understanding of elections. If they are not familiar, intensive orientation and training initiatives Results tabulation. Software, results and me- should be considered as a matter of priority. dia centre hardware and other communication equipment. When the Procurement Support Office has been retained to undertake a competitive exercise, The inflexible deadlines of electoral procurement any subsequent clearance and review must be in are important to consider because timing of pro- compliance with UNDP’s procurement guidelines. curement greatly affects pricing. Although most In such instances, the Country Office or the Pro- materials are low-tech and easy to produce, only a gramme Management Unit requires no further limited number of specialized suppliers exist. The clearance from the contract review committees, suppliers know that deadlines are tight and often regardless of the contract amounts. Instead, the take advantage of that fact. To procure materials, Procurement Support Office must seek relevant

48 It is possible to group voter registration by three different types: approval of the contracts committee, in line with manual and then computerized; optical mark reader (OMR) and then scanned; or digital from the field to the database. prevailing UNDP requirements. 75 Challenges in the Procurement of • Consolidating demand gives the Procurement Election Materials Support Office better prices than a Country -Of • Weak CO support fice that only needs to procure election equipment once every three or four years. • Vendor-driven procurement • Country Offices may be able to obtain better Elections procurement often goes together with prices from time to time, but often transaction the establishment of contracts of significant fi- costs, i.e., the internal cost of acquisition, are nancial amounts; for example, in the DRC case the not taken into consideration. purchase order for voter registration material was US$49 million. The international competition for such tenders can therefore be extremely intense, The Procurement Support Office can also provide as can be the political pressure on the CO. In this procurement advisory services for EMBs to ensure context, it is crucial to fully inform all stakehold- transparency and cost-effectiveness. Advisory ers (project partners, embassies, national and in- services include needs assessment, procurement ternational companies) about procedures and to planning, budgeting, specifications writing, as- ensure maximum transparency. sessing and pre-qualifying local suppliers, and setting up local long-term agreements. The quality of technical specifications and tender documents also determines the success of the n the other hand, if the EMB has access procurement process. If the CO decides to carry to goods and services locally or region- out the process, independent expertise should be Oally that are up to standards required by recruited. the specifications, that option should be encouraged from the perspective of cost, sustainability and value for money. Where possible, fairly ba- Whether to Retain UNDP’s sic consumable materials such as pens, pencils, Procurement Support Office papers and voter registration forms should be The Procurement Support Office has the follow- sourced locally or within the region. While diver- ing advantages in electoral procurement com- sifying sources of procurement may entail slightly pared with Country Offices: more administrative work on the part of UNDP, • The Procurement Support Office handles mul- the added benefits may include considerable tiple requests for electoral procurement every contribution to the local or regional economy. year. It therefore has considerable experience Possible positive impacts might include local eco- in the market and is aware of new trends and nomic growth, jobs, and sustainability as well as products. possibly ‘greener’ procurement in the sense that there is likely to be reduced carbon emissions, • Long-term agreements already in place with particularly in transporting goods from a source vendors allow the Procurement Support Office nearest to where the elections are taking place. In to place orders directly with suppliers. This can addition, local suppliers can always register at the reduce the lead time needed by two months. Procurement Support Office as suppliers and thus • In principle, consolidating requests for elector- participate in international competition. al equipment from all UNDP Country Offices is cost-effective.

76 Considerations for Effective Challenges to Effective Procurement Procurement • Some well-established election supply firms • Involve procurement from as early in the elec- may be contacting their embassies, the Coun- toral assistance process as possible. try Office and the EMB to promote their prod- • Link procurement to logistics and, where pos- ucts during the procurement process. It is sible, link the different units working on the is- important to avoid vendor-driven decision- sues. making processes and, at the same time, advise the EMB based on the merits or demerits • Ensure (through the EMB) that the national of approaches rather than suppliers. customs authorities are made aware of the in- coming shipments of electoral equipment and • Close attention should be paid to the kind of that these are securely stored and guarded. specifications submitted to the Country- Of fice by the EMB for procurement. They should • Ensure that all sensitive materials are sampled contain sufficient detail, but without being and tested prior to placing orders. Tests should too specific or mentioning brand names. For validate the evaluation when procuring highly example, while it may be perfectly reasonable complex productions — e.g., digital voter reg- to specify the type and dimensions for pro- istration and e-voting systems. curing security locks for ballot boxes, it is not • Ensure that the goods arrive in the country acceptable to insist that they should be identi- well in advance to be tested (as necessary) and cal to what was procured last time or that they distributed throughout the country. should come from a certain company. • Maintain an inventory of goods procured; after the election, transfer the goods to the EMB. • Standardize procurement, in particular the re- supply of consumables. • Establish specific procedures for convening a Local Programme Advisory Committee. • Liaise with New York to expedite Advisory Committee on Procurement (ACP) approval. • Strategize procurement using long-term agreements (LTAs). (A number of these were developed by IAPSO and will be maintained by the Procurement Support Office on behalf of UNDP.) Develop local LTAs. • Always compare national quotes with international bidding to ensure best value for money. Remember that best value for money does not mean the cheapest but the most adequate.

UN Photo/Sophia Paris 7 & Audit Evaluation Monitoring,

Monitoring, Evaluation and Audit49

The purpose of monitoring and evaluating electoral assistance projects is to track progress and analyze results. Lessons learned should be generated during and after the completion of every electoral project. These lessons should be used and shared widely within and outside of UNDP, so that, if additional support is needed, they could form the basis for electoral assistance to follow.

7he Prince2 project management methodol- audit and the independent evaluation often Togy adopted by UNDP has a specific learning required by donors. Define realistic indicators phase or stage called ‘Closing a project’ to docu- that can easily be measured objectively (for in- ment lessons learned. In UNDP’s ATLAS system stance, setting an indicator of xx% increase in it is possible to upload any relevant monitoring voter turnout may be risky and indicate failure and evaluation documentation; moreover, the of the project if it is not met). Maintain records project management module for such a project of monitoring meetings and decisions made should already contain detailed monitoring data during them; for auditing purposes, special at- that was entered throughout the implementation tention should be given to adaptations/devia- of the project. Such data can be used to correct tions in project implementation. problems, refine design and development pro- • Be aware that monitoring of the project out- cesses and fine-tune both current and future ini- puts and progress towards outcomes, and tiatives. Much of the information and guidance in reporting corporately on them, is the respon- this chapter deals with UNDP project and results sibility of the UNDP Country Office and the monitoring and evaluation. However, these pro- project management unit. At the same time, cesses also need to be designed so as to be com- UNDP should be encouraging EMBs to evalu- plementary with those of the EMB, rather than ate their own processes critically and constant- providing an opportunity for the EMB to avoid ly, and without any sense of defensiveness or having to go through a process of self-analysis. embarrassment. • Ensure that the budget for monitoring and What to do evaluation is adequate at the design stage of • Set up a monitoring and evaluation mecha- the project. The budget may need to include nism before project implementation. This step the cost of monitoring visits or a mid-term re- proves particularly helpful later on during the view by outside experts or internal UN/UNDP

49 UNDP Evaluation Office, June 2002, Handbook for Monitoring and Evaluating for Results. 79 policy advisors (from EAD, UNDP Regional Cen- holders that will continue to be involved in the tre or Headquarters) as well as the EC–UNDP strengthening of the electoral process, includ- Task Force on Electoral Assistance. ing BDP’s Democratic Governance Group and • Define the scope of the project evaluation DPA/EAD. If project consultants were selected within the project document, which should from the DPA/EAD roster, provide DPA/EAD state the goals or objectives of the evaluation. with an evaluation of their performance. • Determine what capacities should have been developed as well as what capacities were in Drafting the ToR for the fact developed (and how). Identify any addi- Evaluation Team tional or unanticipated capacities that were un- An evaluation may be carried out by UNDP or un- expectedly developed. dertaken jointly with another organization. The • Monitor the functionality of partnerships and organizers should determine the scope of the information sharing networks. evaluation, assign tasks, select the funding mo- • Identify whether innovative methodologies dalities and draft the ToR. After evaluation results were used and were successful. have been shared and discussed, partners in the • Monitor results. For example, the important evaluation should also decide on what follow-up thing is not the number of voter education actions should be taken. The following are UNDP’s workshops that are held, but rather what at- suggestions as to what should be included in a tendees of the workshop learned about voting ToR for an evaluation: and how that knowledge was or was not trans- Introduction. A brief description of what is to be lated into action. evaluated (outcome or project, specific project • Identify the level of participation among stake- components, series of interventions by different holders, including donors. It is usually prefera- partners). ble for UNDP to assist the EMB; ideally, the EMB should be driving the monitoring and evalua- Objectives. The reason the evaluation is being un- tion process, not just participating in it. dertaken and a list of the main stakeholders and partners. • Share and examine monitoring data with donors and Country Office management. Scope. The issues, subjects, areas and timeframe the evaluation will cover. • Assess which particular interventions or results contributed to strengthen democratic gover- Products. What products the evaluation is ex- nance, sustainable development and human pected to generate (findings, recommendations, rights, so that linkages are made to long-term lessons learned, rating on performance). goals that UNDP is interested in pursuing. Methodology. The methodology suggested to • Assess the contribution of this project to any the evaluation team. broader international programme of electoral Evaluation team. Composition and areas of ex- assistance activities. pertise. • Ensure that once a project is completed, les- Implementation arrangements. Who will man- sons learned are passed along to the stake- age the evaluation and how it is organized.

80 What to do: comments, and only then passed along to donors • Keep evaluation in mind when preparing the and partners for their comments. The evaluation project budget and selecting monitoring team should in turn incorporate or respond to all methods. comments to the extent possible into the final version of the report. • Select evaluators for knowledge of the country and familiarity with electoral assistance. nowledge gained through monitoring and • Evaluations can be internal (generated from evaluation should inform future project de- within UNDP) or external, generated by na- K sign and decision-making in electoral assis- tional and/or international actors. All members tance, democratic governance or other areas. of the team should be independent evaluators and contracted by UNDP specifically for this What to do: purpose. They should also have absolutely no • Distinguish between ongoing monitoring, connection with the donors, vendors or gov- which should be as participatory and con- ernment related to the electoral activities or tinuous as possible, and evaluation, which is a results. Other forms of monitoring, however, time-bound and punctuated activity. can and should be done less formally and by those involved in the activities to emphasize • Record good practices and what activities led the continuous process of identifying lessons to positive results. to be learned and integrating them into the • Share monitoring and evaluation information process. widely — among stakeholders, donors and • After the report has been presented, stake- partners. holder meetings should be held to discuss the • Use Web sites to circulate lessons learned if findings and ensure that there is a common possible. understanding of these findings. • Establish formal linkages among different -in • The findings, conclusions and recommenda- terventions and between regions and imple- tions should be internalized and acted upon menting agencies. by UNDP, DPA/EAD and partner organizations. • Act on findings and modify ongoing initiatives.

Reporting Evaluations Challenges: Only the evaluation team should be involved in • Recording, storing, and analyzing large analyzing the findings and drafting the evalu- amounts of information. ation report. The team is bound by its ToR in re- • Keeping information flowing from one level to gards to selecting which issues to report, but it another among staff engaged in managing dif- should bring to the attention of UNDP any impor- ferent interventions. tant issues or aspects of the electoral assistance that were left out of the ToR.

The first draft of the evaluation report should be given to UNDP and the project management for

81 Audit Audits50 are an integral part of sound financial and administrative management, and of the UNDP accountability framework. UNDP administrative and programme funds are audited regularly and the findings are reported to the UNDP Executive Board.

Audit rules are generally written into the project document. An international audit may be required. Usually contributors to a ‘basket fund’, if one is set up, expect to have one set of monitoring and audit reports, rather than separate reporting. (This may depend on whether the basket is via trust fund or cost-sharing. Trust funds can have separate reporting to various donors, while cost-sharing will employ group reporting.)

It is recommended to develop continuous auditing mechanisms in cases when (i) UNDP sub-contracts activities such as logistics and payment of national electoral agents over a long period of time to companies, and (ii) significant resources are involved. A specific audit contract with an external audit firm might be considered to help audit the sub-contractor.

50 UNDP audit rules may be found online under ‘Additional Information on Operation of Projects’ at http://content.undp.org/go/ userguide/results/project/defining.en#Additional%20Information. 82 IFES/Gabrielle Bardall

The annexes to this publication were obtained from several different sources. As a result, there are slight differences in terminology and word usage between the main text and the annexes — as well as among the annexes themselves. Annexes Annex 1: Department of Political Affairs of the UN Secretariat and UNDP — Note of Guidance on Electoral Assistance

Overview are genuine and periodic and have the full 1. Recognizing the need for strengthened sys- confidence of the contending parties and tem-wide coordination and implementation of the electorate. electoral assistance activities, the present note is intended to clarify respective roles and stan- Roles and responsibilities within the dard procedures for the Department of Politi- United Nations system cal Affairs of the United Nations Secretariat and 4. In view of the increasing demand for electoral the United Nations Development Programme assistance and in order to ensure consistency (UNDP) in the provision of electoral assistance in the handling of requests of Member States to Member States and replaces all previous which were organizing elections, the General guidelines. Assembly, in resolution 46/137 of 17 December 1991, took steps to create an institutional frame- 2. The United Nations system is engaged in a wide work to support activities in this area and recog- range of development assistance activities that nized and affirmed the role of each of the main are intended to support the efforts of Member United Nations electoral assistance actors: States to promote democratic electoral pro- (a) Focal point for electoral assistance activi- cesses and build sustainable capacity to man- ties. In accordance with Assembly resolu- age electoral systems and processes. Member tion 46/137, the Secretary-General, in 1992 States most often request advice and assistance appointed a focal point for electoral as- on the legal, institutional, technical and admin- sistance activities “to ensure consistency istrative aspects of organizing and conducting in the handling of requests of Member democratic elections or seek the Organization’s States organizing elections … to channel assistance in supporting the international or requests for electoral assistance to the ap- domestic observation of electoral processes. propriate office or programme … to build on experience gained to develop an insti- Objectives tutional memory, to develop and maintain 3. The objectives of United Nations electoral as- a roster of international experts … and to sistance are two-fold: maintain contact with regional and other (a) To assist Member States in their efforts to intergovernmental organizations to ensure hold credible and legitimate elections in appropriate working arrangements with accordance with internationally recognized them and the avoidance of duplication of criteria; efforts”. The Under-Secretary-General for Political Affairs serves as the United Nations (b) To contribute to building, in the recipient focal point for electoral assistance; country, a sustainable institutional capacity to organize democratic elections that (b) Electoral Assistance Division. The Elec-

83 toral Assistance Division of the Department electoral support through meetings and of Political Affairs was established in 1992, donor coordination forums. In most cases, initially as the Electoral Assistance Unit, to when United Nations electoral assistance provide technical support to the focal point is provided to a country, the resident coor- in carrying out his functions. The main role dinator/resident representative represents of the Division is to evaluate requests for the United Nations system in such an un- electoral assistance, to identify and main- dertaking. At UNDP headquarters, the Bu- tain United Nations electoral standards, to reau for Development Policy teams up with undertake needs-assessment missions, to the regional bureau concerned to provide assist the organizations of the United Na- support for the priorities and needs identi- tions system and other organizations in fied at the country level, in close liaison with the design of electoral assistance project the Electoral Assistance Division. activities, to develop operational strategies for electoral components of peacekeeping Procedures for providing electoral operations, to maintain a roster of electoral assistance experts, to facilitate the international ob- 5. Before the United Nations system can provide servation of elections and to serve as the any type of electoral assistance, directly or on institutional memory of the United Nations behalf of a third party such as a regional orga- in the electoral field; nization or other multilateral organization, the (c) United Nations Development Programme. Organization must first carefully assess the pre- The Assembly, by resolution 46/137, recog- electoral conditions in the requesting country. nized the role of UNDP in the provision of It is essential to undertake such an assessment technical assistance for electoral activities prior to any type of project commitment in or- and underscored the importance of collab- der to ensure involvement only in settings in oration among actors in the United Nations which legitimate elections are likely to be car- system. At the country level, UNDP plays a ried out. With this in mind, the procedure for lead role in the provision of policy advice obtaining United Nations electoral assistance is and programmes to strengthen sustainable as follows: democratic institutions and processes (e.g., (a) The Government or electoral authorities electoral bodies, parliaments, judiciaries must send an official request for assistance etc.). The emphasis of its role and interven- to the United Nations focal point for elections in the electoral area is on long-term toral assistance at least four months prior to capacity-building of electoral institutions the scheduled election to allow for mean- and processes, including civil society aware- ingful involvement. More lead time (6-8 ness and participation. UNDP also plays a months) would, however, reduce the costs key role at the country level in the coordina- and risks involved and provide for more tion of electoral assistance among donors thorough assistance, of better quality. The and national and international actors. This usual sources of requests are the national includes both financial coordination involv- electoral authorities, the Office of the Presi- ing the channelling of donor funds for elec- dent or the Ministry of Foreign Affairs; toral support as well as the coordination of

84 (b) The Electoral Assistance Division will con- not adhere to internationally recognized sult with the resident coordinator/resident criteria. It is, therefore, a critical factor in representative concerned, and the relevant upholding the reputation of the United divisions of the Department of Political Af- Nations as a credible, standard-setting in- fairs and UNDP headquarters, among oth- stitution in this field; ers, about whether pre-electoral conditions in the requesting country satisfy the estab- (e) Based on the above, the focal point will lished criteria for United Nations electoral either approve or deem inappropriate a assistance; request for assistance. In the case of a positive decision, the Electoral Assistance Divi- (c) If the focal point determines that a more sion will work in close collaboration with thorough, on-site needs assessment is re- UNDP in preparing an appropriate elec- quired before deciding whether to provide toral assistance project. Once drafted and assistance, the Electoral Assistance Division, reviewed by UNDP and the Division, the in cooperation with UNDP, will dispatch an approval and implementation of a techni- assessment mission to evaluate the political electoral assistance project is governed cal, material and institutional situation in by the normal procedures laid out in the the requesting country. The mission will programming manual of UNDP. Medium- also assess the appropriateness, necessity term and long-term capacity development and potential impact of United Nations as- of electoral institutions is an integral assistance and ascertain whether the main pect of the governance activities of UNDP contesting political parties and representa- through the country cooperation frame- tives of civil society support United Nations work. The Electoral Assistance Division involvement; must be consulted at the earliest possible stage with regard to the political and tech- (d) In the event the resident coordinator/resi- nical aspects of the proposed project, since dent representative deems it necessary these aspects can have a bearing on subse- and appropriate, prior to or following a quent elections. The Division will respond formal request from the Government, he with any input or advice within 10 working or she may request the Electoral Assistance days after receipt of the documents. If no Division to provide internal advice by dis- response is received by UNDP within that patching an expert advisory mission. These time period, the project development can are typically small, low-profile missions in- proceed. Approval and implementation tended to provide early intervention and should follow standard procedures for all expert advice on coordination and opera- activities undertaken within the country tions of electoral assistance projects. An cooperation framework. Given the politi- accurate and adequate assessment of the cal and often sensitive nature of the elec- pre-electoral environment in countries toral environment, however, special cau- seeking assistance will reduce the risk of tion should be exercised in the national associating the United Nations with elec- execution of electoral assistance projects. tions whose organization and conduct do This modality should be limited to cases in

85 which there has been full consultation and ect personnel, to the Electoral Assistance there is consensus as regards the impartial- Division. These project reports will form ity and capacity of the executing agent. the basis of the report that the Secretary- For assistance in identifying specialized General is mandated to submit to the Gen- expertise, the Electoral Assistance Division eral Assembly every two years; will provide qualified technical consultants (i) At the conclusion of each project the Elec- from its roster of electoral experts, as re- toral Assistance Division, the Bureau for De- quired; velopment Policy of UNDP, and the UNDP (f) If a Government requests United Nations regional bureau concerned shall receive a assistance in the observation of elections, final project report from the resident rep- the Electoral Assistance Division will take resentative. As appropriate, the Electoral the lead role in the design, staffing and im- Assistance Division will support the UNDP plementation of such activities, in coopera- Country Office in undertaking independent tion with the UNDP resident representative. technical evaluation missions of electoral Often, a separate project is established to assistance projects; provide the operational and legal frame- (j) Upon the completion of the assignment, or work for these activities. Consistent with on an annual basis in the case of long-term the nature and purpose of observation, a experts, the resident coordinator/resident project to support these activities should representative will be requested to submit normally be independent of any project to the contracting agency an assessment of support provided to the electoral process, the performance of the consultants and/or systems or institutions; experts on the roster of the Electoral Assis- (g) UNDP resident coordinators/resident rep- tance Division. This assessment will serve resentatives will maintain a clear position to enhance the effectiveness of the assis- as regards United Nations impartiality. As tance provided and enable the Division to such, in supporting an international or na- improve future performance and to better tional mission, the independent observer anticipate future country needs. group may issue a statement on the election but the United Nations plays only a Coordination of electoral assistance among donors facilitative role and does not itself express a view on the process or outcome. Resi- 6. Effective coordination of technical assistance dent coordinators/resident representatives is crucial in situations in which several bilateral should refrain from making political state- and multilateral donors, specialized institutions, ments to the press, unless specifically au- non-governmental organizations and the Unit- thorized by the focal point; ed Nations are providing electoral assistance to a country. In the case of countries in which (h) In order to keep the focal point apprised there is a resident special representative of the of the political and technical status of elec- Secretary-General, the special representative is toral assistance projects, the resident rep- responsible for overall political coordination. resentative will submit on a regular basis Where there is no resident special representa- status reports, including reports from proj- tive, UNDP plays the lead United Nations role at 86 the country level as a coordinating mechanism for donor assistance and as a forum for coordination of the activities of a broader range of international and national actors. This coordination role can be exercised through a trust fund or cost-sharing modality, and is essential for maximizing impact and for avoiding potential difficulties, such as duplication or overlapping of assistance, competition among organizations in certain fields of assistance, overburden- ing national counterparts, or over-funding some aspects of the electoral process to the detriment of others. As required, the Electoral Assistance Division may be called upon to assist in this coordination role.

Further contact 7. The Electoral Assistance Division of the Depart- ment of Political Affairs, United Nations Secre- tariat, may be contacted at: Telephone: +1 (212) 963-8737 Facsimile: +1 (212) 963-2979 The Democratic Governance Group of the Bu- reau for Development Policy at UNDP may be contacted at: Telephone: +1 (212) 906-5054 Facsimile: +1 (212) 906-6471

87 Annex 2: UN DPA Note — Coordination of International Election Observers 1. Since 1992, the United Nations has been offer- b. Organising briefings by key election actors ing and providing assistance for the coordina- (election management bodies, domestic tion of international election observers. This observer groups, security forces, etc) and modality of support was first tested in Ethiopia facilitating liaison between the observer and Kenya (1992) and most recently has been groups and these actors; provided in Palestine (2005 and 2006), Solomon c. Assisting the electoral management body Islands (2006) and Zambia (2006). in the accreditation of international observers; 2. The European Union (EU) has also been increas- d. Facilitating the sharing of information and ingly requesting the United Nations to provide analysis among observer groups to help to support to the EU deployment of observers for improve the quality, accuracy and credibil- various election processes around the world. ity of observer statements and reports; The support consists of all administrative actions needed to implement the mission, includ- e. Facilitating the production of joint check- ing contracting personnel (short and long-term lists and reporting procedures; observers and mission support staff), procuring f. Providing logistical and operational support of office facilities and other related activities. so as to minimize duplication of efforts be- Examples include UNDP support to EU observer tween observer missions, thereby achieving missions in Indonesia (1999) and Yemen (2006), certain economies of scale; and Nicaragua (2006). g. Providing deployment plans to avoid duplication and to increase the breath of ob- 3. The primary goal of providing assistance for servation coverage; coordination of international observers is to h. Facilitating the production of a joint state- contribute to the efficiency and effectiveness ment of the observer groups. of an election observation effort. Support provided consists of all or some of the follow- 4. A serious risk associated with international ob- ing activities: servation coordination by the UN is the possibil- a. Organizing briefings aimed at providing ob- ity that the UN will be misperceived as having servers with an understanding of the coun- direct involvement in the substantive observa- try and political context; helping observers tion. It is therefore important that the UN ob- understand the procedural requirements serve the following standards in all cases: for conducting the elections; familiarizing a. The UN should only agree to provide coor- observers with what to expect to find at a dination support on request from a Mem- polling station based on provisions in the ber State; election law and related regulations; an en- b. Neither the UN nor the government will suring observers understand the logistical oblige any observer group to participate in arrangements and timetable for the obser- the coordination effort; vation effort;

88 c. The UN should maintain a low profile compatible with EU attempts to ensure a throughout the coordination activity and representative and widespread presence in should bar the use of UN logo or name in the field which may expose the UN to secu- any materials related to observer activities rity risks and other potential liabilities. or any of the observer statements reports; b. All efforts should be made to limit associa- d. The UN should not render an opinion on tion of the UN with the EU observation, in- the electoral process or other wise seek to cluding barring the use of the UN logo and influence observer findings or statements; locating the premises of the EU observa- e. UN staff should not be accredited as ob- tion mission away from UN offices. servers and should only be seen in polling c. The EU request for these services must be stations on election-day if there is a justify received within a reasonable timeframe reason for their presence. prior to an election, permitting effective and efficient implementation. 5. With reference to cases in which the EU re- d. The UN should issue public statement in- quest the UN to support the implementation dicating the extent of its support to the EU of its observers missions, as a general principle. observation mission and clarifying that the UNDP should advise the EU to identify alterna- UN is not engaged in observing the elec- tive administrative channels. Exceptions to the toral process. principle may be made on a case by case basis. Reasons for making exceptions would include 7. We would like to request your approval for the following: these general principles as a means of guiding a. Cases in which UNDP is the only practi- and ensuring consistency in decisions made in cal option for providing administrative response to UN support for international ob- support and where the presence of an EU server coordination activities observation mission is considered an essential contribution to the credibility of the elections b. Cases in which a negative response from UNDP might damage EU-UN relations

6. If an exception is made in relation to the above, the following condition should be applied: a. If UN contracts are issued to the EU observers, DSS approval will also be required, Signed by Craig Jenness, pursuant to a Security Risk Assessment and Director of DPA/EAD on 19 December 2006 adherence to any subsequent security requirements. If UNDP is involved in the re- Approved by Ibrahim Gambari, cruitment of EU observers, they are bound Under-Secretary-General for Political Affairs by UN rules and regulations, including se- on 20 December 2006 curity guidelines. These are frequently not

89 Annex 3: UN/UNDP Brussels Office Note on Providing Support to EUEOMs Practical Guidance to dress one particular kind of electoral observa- UNDP Country Offices on tion activity in which UNDP is involved: European implementing EU Election Union Electoral Observation Missions (EUEOMs). 51 Observation Missions (EUEOM) Additional guidance on electoral observation at Introduction large is available in the UNDP Electoral Systems and Processes Practice Note and from the DPA. The 2001 Note of Guidance signed between UNDP and the UN Department of Political Affairs (DPA) Framework for EU electoral divides the UN labour on electoral assistance be- observation tween the two entities by giving UNDP the role of provision and coordination of electoral technical EU support for human rights, democracy and the assistance at the country level while giving to the rule of law is established in the Treaty on the Eu- DPA’s Electoral Assistance Division (EAD) respon- ropean Union (TEU). Article 6 of the treaty clearly sibility for facilitating international observation states that the principles of liberty, democracy, of elections. This division is meant to ensure that respect for human rights, and the rule of law are any initiative to support electoral observation is fundamental European values. Human rights field independent of any support provided to the elec- missions and election missions are accepted as toral process, systems or institutions. While sup- part of the mandate of the EU, whose treaty con- port to domestic observation is often included in siders the protection and promotion of human UNDP technical assistance projects, international rights as well as support for democratization as observation presents unique challenges. For this cornerstones of EU foreign policy and EU devel- reason, if UNDP is approached to support inter- opment cooperation. Regulations 975/99 and national electoral observation, EAD should play a 976/99 of 29 April 1999 provide the legal basis key role in the design, staffing and implementa- for community activities intended to further and tion of such activities, in cooperation with the UN consolidate democracy, the rule of law and re- Resident Coordinator/UNDP Resident Represen- spect for human rights. tative. The EU election observation policy has enjoyed The Note of Guidance also stipulates that Resi- greater consistency and coherence, following the dent Coordinators/Resident Representatives must commission’s Communication on Election Assis- always both act and appear impartial. As such, tance and Observation of April 2000. Indeed, the in supporting an international (or national) mis- European Parliament, the European Council and sion, the independent observer group may issue the EC now share a common approach to election a statement on the election but the UN does not observation and have clarified the role of each itself comment on the process or outcome. institution in this field. Focal contact points have been set up in the European Parliament and in the This Practical Guidance note is intended to ad- EC, and observers from all EU Member States have been trained on the common European approach 51 This is intended to be a non-prescriptive guide to complement the DPA Note on Observation Missions (Annex 1) and the Note of to election observation. This has enabled EUEOMs Guidance signed between UNDP and DPA (attached as Annex 1 and Annex 2). 90 to develop in recent years into a much more cred- functioning democracy. The EU believes that ac- ible, responsible and visible activity. As such, the tions supporting the right to participate in genu- EC has lately signed the Declaration of Principles ine elections can make a major contribution to for International Election Observation and Code peace, security and conflict prevention. It believes of Conduct for International Observers under the that EUEOMs do not just serve to assess election initiative of DPA/EAD52. day but observe the whole process and thus also help assesses the state of democratic develop- Support for election processes is an important ment in a given country at a particular point in component of the EU’s external relations policy. time. In addition to observing and reporting on This support includes technical assistance to EMBs the elections, the presence of EU observers can and to civil society organizations dealing mainly enhance transparency and confidence in the pro- with domestic observation and media monitor- cess, serve as a conflict prevention mechanism by ing, as well as the deployment of EUEOMs. These deterring violence, and possibly prevent fraud. are organized by the EC paid for from its budget, and composed of experts and observers from the The EU lately is also promoting the complemen- Member States. The EU has been active in election tarity between electoral assistance and election observation since 1993. In 2000 the EC developed observation. Via the establishment of even stron- a standard methodology for election observation. ger synergies between the two activities, the EU is This covers all phases of the election cycle: pre- seeking to ensure that EUEOMs benefit from the election, election day, and immediate post-elec- experience gained through electoral assistance tion. EUEOMs do not interfere in the organization projects and that the recommendations of the of the election itself; instead, they collect and EUEOMs are taken into account for the next elec- analyze factual information concerning the electoral assistance interventions. For the EU, election tion process, and provide an independent public observation is the political complement to elec- assessment. Since then, and with a total budget tion assistance and defined as: ‘the purposeful of more than €77 million (US$106 million), the EU gathering of information regarding an electoral has deployed 47 missions in 35 countries involv- process, and the making of informed judgments ing the participation of over 4,000 experts and on the conduct of such a process on the basis of observers. the information collected, by persons who are not inherently authorized to intervene in the process.’ In the EU’s opinion, genuine elections are an essential basis for sustainable development and a In general, EUEOMs are deployed for national elections (parliamentary and presidential), but EU 52 Endorsing organizations as of 24 October 2005: African Union, Asian Network for Free Elections (ANFREL), The Carter Centre, Centre observation has also occurred during local elec- for Electoral Promotion and Assistance (CAPEL), Commonwealth tions (Cambodia in 2002 and the West Bank and Secretariat, the Council of Europe’s European Commission for Democracy through Law (Venice Commission), the Council of Europe’s Gaza Strip in 2005) and referendams (Rwanda in Parliamentary Assembly, Electoral Institute of Southern Africa (EISA), European Commission, European Network of Election Monitoring 2003 and DRC in 2005). However, the observation Organizations (ENEMO), Electoral Reform International Services (ERIS), IFES, International IDEA, Inter-Parliamentary Union, International of local elections or referenda is an exception, re- Republican Institute (IRI), National Democratic Institute (NDI), Organization of American States (OAS), Organization for Security served for cases of specific political significance or and Cooperation in Europe, Office of Democratic Institutions and Human Rights (OSCE/ODIHR), Pacific Islands, Australia & New Zealand, for use as a tool to support long-term democrati- Electoral Administrators’ Association (PIANZEA), Pacific Island Forum, and United Nations. zation goals.

91 The EC, on behalf of the EU, currently undertakes tarity with other human rights and democratiza- about 15 observation missions per year, targeting tion activities and the added value that such a countries that have been pre-selected on the ba- mission can bring to the election process. A final sis of political priority and specific prerequisites. decision is only taken after an exploratory mission First and most importantly, an invitation must be has visited the country to determine whether an issued by the government or the election authori- EUEOM would be useful, advisable and feasible. ties of the country. In addition, a number of other The EU does not observe elections where they conditions should be met: can be credibly or systematically observed by • Franchise is genuinely universal. other international organizations or local stakeholders. This is the case among Member States of • Political parties and individual candidates are the Organization for Security and Cooperation in able to enjoy their legitimate right to take part Europe (OSCE), in which the OSCE takes the lead. in the election. It does so with extensive EU support in the form • There is freedom of expression, including al- of observers seconded by EU Member States, del- lowing possible criticism of the incumbent egations of the European Parliament, and addi- government and the right to free movement tional support from the EC in exceptional cases. and assembly. • All contesting parties and candidates have rea- UNDP’s experience with EUEOMs sonable access to the media. UNDP has undertaken the implementation of nine EUEOMs since 2003: Nigeria (2003), Leba- Finally, an MoU must be signed between the EC non (2005), Burundi (2005), Liberia (2005), Yemen and the main EMB as well as the Foreign Ministry (2006), Nicaragua (2006), and Nigeria, Togo and of the host country. This MoU should detail the Guatemala (all in 2007). Considering that the EC rights and responsibilities of observers and the has implemented some 10 - 15 missions per year, host government and what constitutes adequate it is clear that UNDP is not the main partner for cooperation between both parties. these operations. Indeed, the EC has tended to favour the International Organization for Migration The decision on the number of EUEOMs every (IOM) as an implementing partner; it has worked year depends on the election calendar and on with it in 90 percent of its operations, with the rest available resources. Approximately 8-10 elections being divided up between among UNDP, the Ger- initially were observed each year after 2000, for a man Agency for Technical Cooperation (GTZ), and financial allocation of approximately €13 million AGMIN, a private company. Recently, the latter two (US$18 million) per year. In 2005 and 2006, the organizations have diminished their involvement number has increased to 12-15 EUEOMs, for a total in providing this kind of support to EUEOMs, thus cost of about €30 million. A similar workload is ex- leaving the EC with two potential implementing pected to have been reached by the end of 2007. partners: IOM and UNDP. The increase of the funds allocated to EUEOMs underlined the importance of these missions. IOM has turned such operations into part of its mainstay business with the EC. It has built up its Countries where EUEOMs are under consideration Brussels office accordingly, establishing a large are carefully selected on the basis of complemen- staff pool and significant logistical capabilities. 92 IOM Brussels is therefore well-equipped to deal country around the election period. EUEOM with the logistical challenges of the EUEOMs. It is has sometimes considered such a role as inap- important to highlight that the EC does not look propriate for its mission. for a ‘partner’ per se on these operations; orga- • Because UNDP is often a key actor in a country nizations with which it works are more properly on governance in general and particularly on termed ‘service provider’ because the operations electoral assistance – and given the UNDP/DPA are independent EU missions in which all the po- Note of Guidance and the special operational litical reporting and visibility vest in the EU. The guidelines on electoral assistance signed with service provider is merely requested to provide the EC – involvement in an observation mission the significant logistical and security ‘nuts and could be perceived as a conflict of interest. bolts’ support to these operations. • Much of the content of the contribution agree- At one point UNDP had a patchy reputation with ment underpinning EUEOMs severely stretch the EC on EUEOMs because UNDP was not being some of UNDP’s rules and regulations. This perceived to be the most efficient or flexible part- situation makes it difficult to defend UNDP’s ner. Its reputation has improved since 2005, how- involvement in these operations without alter- ever, due to largely successful missions in three nate agreements and procedures to address countries that year and highly successful missions such issues. in Nicaragua (apparently one of the smoothest in • EUEOM operations place significant pressure EUEOM history) and Yemen in 2006. As a result, and stress on the Country Office. UNDP’s credibility as an EUEOM partner is now on • Although such operations consist of low key, the same level as IOM, and the UN agency can now logistical support on the part of UNDP, the po- expect to be solicited at least three times per year litical importance of these missions to the EU to implement these operations. Moreover, the EC institutions is such that should something go cannot be seen to have a monopoly situation with wrong to compromise observation deploy- IOM; UNDP provides a worthy alternative. ment in a timely manner, the reputational risks for UNDP are high. Therefore there is a high risk There are however several reasons why UNDP associated with these missions should failings should only offer its services on a last-resort ba- occur, but limited reward upon success. sis, a message that has been widely conveyed by UNDP Brussels and supported by UNDP HQ. In the light of the above, why should UNDP un- Among those reasons are the following: dertake these EUEOMs? These are some consider- • As lead UN Agency, UNDP should avoid play- ations that should be taken into account: ing the role of a service provider. That role does • Because EU institutions attach so much impor- little to promote UNDP’s credibility when it is tance to this activity, turning down the EC if it working so hard to establish itself as a key poli- approaches UNDP on a last resort basis could cy and programmatic partner to this key donor have negative effects on the overall relation- (the EU). ship. • Because UNDP Resident Representative is of- • Because electoral observations are an essen- ten the UN Resident Coordinator, he or she tial part of supporting democratic processes, continues to play a key political role in the

93 UNDP should facilitate what it can where ab- all the implementation issues; solutely possible. • the desk officer of the country concerned • Often, national EMBs and other political stake- at Directorate General for Development holders strongly support international elector- (DG DEV) for the African, Caribbean and al observation missions as a means to enhance Pacific (ACP) countries or External Rela- the credibility and public perception of the tions (DG RELEX) for non-ACP countries; process. If UNDP is the only option to support • one externally recruited electoral expert; the EU mission, it may be politically difficult or and impossible to turn down. • one externally recruited operations ex- • Should a UNDP Country Office not have - par pert, as well as, eventually one security ticularly strong relations with the EC in coun- expert try, this could be one way of demonstrating • The purpose of this exploratory mission is to UNDP’s capabilities, assuming the operation verify the political feasibility and advisability goes well. of undertaking an EUEOM, assess which implementation partner would be the most suitable • UNDP is allowed to charge a standard 7 percent based on willingness and capabilities, and draft on GMS which, while not insignificant, should the ToRs and budget of the eventual mission. not be a main consideration. • The exploratory mission report is circulated to How the process works (from the EU the European Council working group, the Eu- standpoint) ropean Parliament and the Commissioner for These are the steps taken by the EC when putting External Relations in order to obtain a green an EUEOM together: light on moving forward, if indeed that is what • An initial list of countries is drawn up by the EC the report recommends. at the beginning of the year after an inter-EU • Once DG RELEX confirms to EuropeAid that the institutional consultation that involves the Eu- EUEOM implementation has been approved, ropean Council Working group and the Euro- EuropeAid contacts the identified service pro- pean Parliament vider and work immediately begins on fine • Based on the electoral calendar of the selected tuning the ToRs of the mission as well as the countries, the EC will undertake an exploratory budget. mission to the country or countries which are • Prior to EUEOM deployment, a formal invita- expecting the earliest elections. The explorato- tion must be provided by the government to ry mission consists of: the EC and an MoU between the two must be • one representative from the of Director- approved. The late signing of these documents ate General for External Relations (DG is often the reason for mission deployment. RELEX), which is responsible for the pro- An EUEOM includes four types of mission mem- gramming exercise of the EUEOM and for bers: the political consistency of the EUEOM reporting; • A chief observer. He/she is always a European • one representative of the EuropeAid Co- parliamentarian who comes in and out of the operation office, which is responsible for beneficiary country at key moments but does 94 not remain in country. After deciding to deploy always the first members to travel out, there is a mission, the EC Commissioner for External a one-day briefing with the EC in Brussels that Relations appoints the chief observer in con- mostly deals with the political aspects of mis- sultation with the European Parliament. The sion. However, the service provider is invited Parliament also may decide to send a delega- for part of the session to brief the team on tion to observe the elections; if so, that delega- what progress has been made on the logistics tion works closely with the chief observer and of the mission and to field any questions from does not issue a separate statement. members of the core team. • A core team of experts, including a deputy • After the deployment, the EUEOM’s members chief observer. Members of this team, support (with the support of the service provider) begin the chief observer, set the analytical framework gathering the qualitative and quantitative data for the mission, carry out specific tasks such as for the final drafting of the preliminary state- media monitoring, and manage the work of ment. This is arguably the most important docu- the observers. The core team comprises some ment produced by each EUEOM and maximum 8-10 election observation experts, including a media coverage should be assured by the chief legal expert, election expert, country expert, observer and core team. An EUEOM normally media expert, press officer, operations expert, delivers a post-election statement within 24–48 observers’ coordinator and security expert. The hours after the close of the polling stations. The experts of the observation team are chosen on delivery of the statement is always a time-sensi- the basis of their experience from a pool of ex- tive issue; it is important for the mission to issue perts compiled by the EC after a call for interest a statement while the media are still interested on its Web site at http://ec.europa.eu/europe- (usually the day after the election or at most aid/observer/index_en.htm. two days after). The statement is presented by • Long-term observers (LTOs). These individuals the chief observer in a press conference. are deployed ideally two months before elec- • At the end of the mission, the EUEOM puts to- tion day and remain after the election results gether its consolidated final report. This con- are official to observe the resolution of elec- tains the mission’s final conclusions and rec- toral disputes. They observe the unfolding of ommendations regarding the entire electoral the electoral campaign, including particular process. It is delivered within a month after the questions such as the use of public resources EUEOM has closed its activities on the ground. by all candidates. This report, which gives guidance for electoral • Short-term observers (STOs) are deployed to reform and possible future assistance, is dis- observe polling day and the early counting tributed to the Council Working Group, the of ballots. Both long- and short-term observ- European Parliament and senior EC external re- ers are selected by the EC on the basis of the lations officials. Comments are integrated into applications proposed by Member States of the report and then a special ‘report handover’ observers included in the above mentioned ceremony takes place in country from the chief EC dedicated online roster at: http://ec.europa. observer to the government, which is the final eu/europeaid/observer/index_en.htm. task of the service provider from a logistical support standpoint. • Upon deployment of the core team, who are

95 • The end of the mission is accompanied by a and medical advice including vaccinations re- debriefing from the core team to the ECin quired), often via a dedicated Web page. Each Brussels on the political and logistical aspects member of the mission must be covered by an of the mission and all that cannot be put in adapted insurance scheme including all medi- writing. UNDP is invited to the logistical part cal and hospitalisation fees for illness, accidents of the debriefing and receives feedback from related to election observation activities and the core team regarding UNDP service provi- evacuation and repatriation fees. sion performance. • Suitable accommodation and office space must • The EU institutions may or may not take dip- be ready for the mission core team upon their lomatic or programmatic steps in view of the arrival in the country. Core team members are report’s findings on the conduct of the elec- based in the capital. Premises for office and action period. commodation should be within mobile phone coverage and preferably centrally located in EC Expectations and specific tasks areas known to be generally secure. Care must of UNDP Country Offices as service be taken to ensure that the landlords or own- providers ers of the rented accommodation or office The service provider is contracted by the EC to properties are neither involved in the election implement a range of logistical tasks, including: process nor engaged in politics. providing and managing office space, communi- • Long-term observers are accommodated cen- cation equipment and transportation; organizing trally for a few days in the capital upon arrival travel for all observers; and contracting long- and (briefing). They are then provided with reason- short-term observers who have been selected by able accommodation facilities while deployed the EU. The service provider places a dispatcher in the country, making the best use of facilities in the EUEOM throughout its deployment. The EC available in the deployment areas. expects the following: • Support staff should be recruited to assist core • Before leaving their home countries, all mem- team members during the mission. When pos- bers of the core team and long- and short-term sible, support staff for the EUEOM should be observers must have signed written agreements recruited prior to the arrival of the mission to to take part in the election observation mission. allow for an immediate commencement of International flights need to be arranged for all the mission. All staff employed by the mission relevant personnel, who will also be provided must be interviewed carefully and their respec- with the necessary documentation such as air tive skill sets confirmed. CVs must be checked tickets and information about procedures for thoroughly for authenticity of information. obtaining a visa. Once their participation has • Mission employees must not be active mem- been confirmed, the personnel to be deployed bers of a political party, must conduct them- must be given as much advance notice as pos- selves in a politically neutral manner at all sible about the deployment plan. They are also times, and must sign a statement of confiden- provided beforehand with practical informa- tiality. They must not have any conflict of in- tion concerning the mission (such as in-country terest that may affect their EUEOM duties. All accommodation, climate conditions, currency support staff must have a contract respecting in use, exchange rate, electrical outlets in use, 96 international labour law standards. should be capable of being used as fax ma- • Core team members must be provided with chines, if necessary. The mission should have appropriate office equipment, including access to the Internet, and be provided with desktop computers, laptops, laser printers, a e-mail facilities. Long-term observers deployed shredder and a photocopier of adequate size. in-country should be equipped with radio or Some media monitoring equipment should satellite phone devices and a computer connec- be provided as required by the mission media tion that allows them to report to the mission expert, in line with budget allocation. Long- by e-mail and/or fax on a regular basis. Where term observers must be supplied with laptop possible, teams of long- and short-term observ- computers and portable printers. Equipment ers deployed in urban areas should be provided for mission members must be accompanied with mobile phones. Short-term observer teams by an adequate supply of consumables (ink deployed in the country, especially in rural areas, cartridge, toner etc.). must be provided with radio or satellite phone devices guaranteeing communication between • The EU visibility guidelines must be respected. the mission and the teams at all times. Mobile Mission members must be provided with ma- phones, faxes and satellite phones can either be terial kits containing large-size EU stickers, t- rented or purchased. Ownership of any equip- shirts, ‘reporter’ vests and caps. All t-shirts, uni- ment purchased in this way rests with the EC for forms and stickers must bear the EU logo and potential use in future EUEOMs. the following words, possibly in several languages: ‘European Union Election Observation • The security of mission members is paramount, Mission’ and indicating the country and year. and an ongoing assessment of any security threats posed to any members of an EUEOM • The core team and teams of long- and short-term must be made. This requires ongoing liaison observers must be provided with an adequate with national and/or international police/mili- number of vehicles and drivers. All vehicles tary officials to determine the level of any po- should be rented from car rental companies or, if tential threat to an EUEOM. It also requires the those are not available, from private owners. Be- development of an emergency and evacuation cause vehicles are used throughout the country, plan, in the event that conditions in a country de- it is suggested that cars be rented from the pro- teriorate to a level that necessitates emergency vincial capital in which they are to be deployed. measures and/or evacuation of observers. Steps All vehicles provided must be mechanically must be taken to ensure that mission members sound, with adequate legal documentation and benefit from the security net implemented by third party and passenger insurance. Depending UN agencies, NGOs and other humanitarian and on the requirements of the core team, observers development partners. The logistics/security may be transported to the various places of de- advisor should liaise with EU Member States’ ployment by air, as appropriate. representatives in the respective country on • Telephone lines must be installed in the mission security matters. A thorough security briefing office. An appropriate number of fax machines should be provided to all observers, and logis- should be provided and each core team mem- tical arrangements for their deployment (e.g., ber should receive a mobile/satellite phone, accommodation and communications) must as appropriate. Core team members’ laptops take into account stringent security measures.

97 • All members of the mission must be provided delegation in ******* will be ********, who is with information about medical precautions coordinating our programme in ******’. needed in the country. In addition, the teams • Upon receipt of this message, UNDP Brussels should be provided with complete medical contacts the Country Office in question and and first aid kits. Where possible, arrangements briefs the Resident Representative/Country must be made with existing medical emer- Director on the implications of such a mission. gency networks so that a medical evacuation At the very least, the UNDP CO should agree to can be organized without delay, if required. All meet the mission and provide any useful infor- observers are provided with a comprehensive mation, from the political to the practical and international medical/evacuation insurance the budgetary. The CO should also give a clear, while in the country. early indication of whether it is interested in • Where possible, assistance should be provided undertaking the assignment because that will to expedite the issuance of visas and accredi- be included in the mission report. tation for the election observers. • If the CO agrees to undertake the mission, it is • The chief observer must be provided with peri- recommended in the mission report and is ap- odic financial statements of funds committed proved by the EC, the Country Office and UNDP and disbursed, so as to ensure proper financial Brussels work quickly together to establish the control of the operation. A final financial state- next steps. It should be kept in mind that these ment must be produced within two months missions are always undertaken under fairly ex- after completion of operations on the ground. treme time constraints. This means that UNDP How the process works (from UNDP’s is always required to pre-finance the opera- standpoint) tion, start undertaking preparatory measures without a contract, and derogate from normal • The first contact with the EUEOM process recruitment and procurement procedures. is during the exploratory phase. EuropeAid sends a message to UNDP Brussels with this • In light of these demands and derogation re- standard text: quirements, it is important for the CO to give an early ‘heads up’ to the EXO/OSG, Office of Legal ‘We have been asked to conduct an ExM to and Procurement Support (OLPS), its Regional *******. Therefore, this is to inform you that Bureau, BDP (as the institutional interface with the ExM will take place from??/?? - ??/??. If your DPA/EAD at Headquarters level), DPA/EAD and organization would be interested to be our Im- DSS. Clearly DPA/EAD approval is required prior plementing Partner for this upcoming EU EOM, to CO participation in such a mission, and DSS I would be interested to have a meeting with needs to be kept closely in the loop if this is a one of your representatives in-country to dis- security issue country. OSG and OLPS need the cuss the possibility of organizing this EU EOM warning so that they are prepared to provide a and to assess the feasibility of such a mission. green light to the eventual EC contract clear- Could you please provide a contact person ance process and to UNDP procedural deroga- from your organization to contact me prior to tion. Meanwhile, the Regional Bureau should the mission in order to arrange a meeting? For help the CO with the pre-financing aspects your information, our contact person at the EC of the operation. BDP can help troubleshoot

98 — on behalf of any of the actors — issues that ect document exists. Thereafter, UNDP Brussels may arise with respect to electoral technical will ensure FAFA53 compliance and once more assistance versus observation policy. explain the particularities of the mission to • Next, the priority is for the CO, UNDP Brussels those who must sign off the clearance form. and EuropeAid to finalize the EC contribution • The main responsibilities of UNDP during the agreement as quickly as possible. In parallel, time of the mission include the following, as EuropeAid should be preparing the financing set out in the ToR and budget of the mission: decision for Member States’ approval. Both • Ensuring the timely deployment of all documents are usually ready at the same time mission members in line with the EC cal- for signature. endar. This is done in three waves, sepa- • The UNDP CO’s first essential recruitment re- rately for members of the core team and sponsibility is to hire two project managers long- and short-term observers. (also known as dispatchers). One of them is • All mission members must leave with an based in-country for the operation while the SSA, insurance, plane ticket, appropriate other remains in Brussels. The country-based vaccinations and guaranteed accommo- dispatcher supports the CO in the planning and dations. physical organization of the mission in close co- • The core team must have a decent Mini- operation with the CO’s operations unit and/or mum Operating Security Standards service centre where appropriate. The Brussels- (MOSS)-compliant and IT operational of- based dispatcher helps UNDP Brussels arrange fice upon arrival. the SSA contracts for all mission members, sort • All members must receive their SSA-de- out insurance, visas and plane tickets, and as- fined cash payments upon arrival. For the sist with any EU-based procurement and ship- mission to go smoothly people must be ping that needs to be done. UNDP Brussels has paid when the SSA says they will be paid. a small pool of such dispatchers with tried and The CO must be ready to undertake sig- tested experience. These dispatchers should be nificant cash management for this and recruited before the signing of the EC contribu- other items. tion agreement because they constitute a small • MOSS-compliant vehicles, radios, satellite investment risk that goes a long way in prepar- phones, mobile phone, laptops, EU vis- ing the ground for the mission arrivals. ibility clothing and office equipment, etc, • The EC contribution agreement should always must be made available upon each wave go through a closed trust fund modality, which of entries. The dispatchers should help means the contract needs to be underpinned the CO define what ought to be procured by a project document. Preparation of the proj- locally and what should be procured in ect document should be undertaken simulta- the EU. neously with preparation of the contribution • Treatment of the chief observer, in terms of agreement. When the Country Office sends the protocol and various special requirements, contract to UNDP Brussels for clearance (as is is particularly important. It needs to be co- the case for all EC-related closed trust funds), ordinated with the local EC delegation.

there should be confirmation that such a proj- 53 See http://resourcemobilization.brsp.undp.org/files/EC/EC_FAFA_ 2003.pdf 99 • Care must be made to handle, in a timely laptops and phones. This inventory has usually manner, any other logistical tasks set out taken COs an undue amount of time to put to- in the ToR and for which a budget is fore- gether, which it should not. Once the inventory seen. is compiled, it should be transmitted to the EC with a formal suggestion on where the equip- Administrative issues ment should go (i.e., to local NGOs, another EC Listed below are some of the particularities of UN- funded project, local authorities, etc). The rec- DP’s administrative responsibilities under such EC ommendations need to be approved. contribution agreements: • The full list of documentation required to close • The EC contribution agreements for EUEOM a contract and clear the final payments is as fol- are run centrally and are therefore signed in lows: Brussels. This means that UNDP Brussels usu- • Final narrative and financial report (in eu- ally signs on behalf of the CO once UNDP HQ ros, as always). Please note that the nar- has given its clearance. rative report should only relate to the • Because the operations are short in duration (no logistical aspect of the operation, not the more than about four months), the payments are political side, which does not concern done in two parts: a large advance (up to 90 per- UNDP. cent) with the 10 percent remaining paid upon • A request for remaining funds (where ap- acceptance of the final report. The final payment plicable) or confirmation that UNDP spent may not be required if the advance was sufficient less than expected and needs to reim- to cover the operation, and sometimes UNDP burse the EC. If the latter, a request should must reimburse/refund the EC from the advance also be submitted to the EC for it to launch at the end of the operation if unexpected sav- a recovery order. ings were made on certain budget headings. • Information on accrued interest on the advance payment needs to be provided • Closing these contracts has often proved to where applicable. be problematic. Final payments to suppliers • An inventory of equipment bought and and other sub-contractors often drag on many suggested handover solution provided. months after the delivery of the EUEOM report in country. This aside, the CO often has diffi- • A copy of receipt of goods handed over culty seeing clearly into all the expenditures by the beneficiary organization(s). made and thus in making a clear and consolidated final financial report. UNDP Brussels of Key aspects of EUEOMs course must ensure that all its expenditures are • UNDP has no political role in the EUEOMs and transmitted to the CO accompanied by copies is not privy to the political reporting of the mis- of all the invoices. sion members, despite the fact that they are all • The handing over of equipment bought under on UNDP SSAs. Moreover, this lack of political the project has also proved to be a difficult issue. involvement and zero visibility is a requirement UNDP is meant to provide a complete inven- under the Note of Guidance for UNDP to under- tory of all items procured under the EC budget, take the assignment. These are EU independent from vehicles (if purchased and not rented) to missions. Therefore, it is justified that UNDP is 100 not involved in this aspect of the mission. How- has been transmitted that this is one issue upon ever, the programme managers are expected which there is a clear ‘bottom line’: i.e., without to help UNDP put together a mission report the EC acceptance of the security arrangements, on the logistical aspects of the intervention. missions cannot be accepted. Other aspects of The members of the observation team channel these missions stretch UNDP rules and regula- their ‘logistical reports’ through the core team tions but may be accepted — as long as agree- and the programme managers, so that a con- ments are in place to protect accountabilities. But solidated document is produced. This is how security is non-negotiable. All EUEOM members all these staff members with UNDP SSAs report have UNDP SSAs, which means that UNDP is re- back to UNDP. sponsible for their well-being and therefore can- • The EC has traditionally not accepted the role not be overruled. of the designated official in these observation • The recruitment of EUEOM mission members is missions, and this has led to heated arguments also particular. The EC reserves the right to se- on several missions in the past. DG RELEX in lect all core team members and all the observ- particular has not accepted that a mere ‘ser- ers. Candidates are submitted by the EU Mem- vice provider’ can stop an independent EUEOM ber States and the EC makes a selection based from deploying in certain areas or intervene in on the candidates submitted through a special other ways if required by the security context. selection committee. This is part and parcel of This attitude largely stems from the EC’s lack the fact that EUEOMs are independent EU op- of information about the existence and opera- erations. tionality of the UN security system and the role • The behaviour of certain mission members, of the designated official. In any case, the con- especially in the core team (chief observer and tribution agreements now contain clear claus- deputy chief observer particularly) has not es in Annex I relating to the final authority of been appropriate in some past missions. The the designated official in security matters. This notion that this is an independent EU mission change was fully backed by EuropeAid. Where has sometimes given the EUEOM members the UNDP has opened matters up slightly is in the impression that ‘independent’ means ‘superior consultative process, whereby designated of- to’, and certain Resident Representatives and ficial explains to DG RELEX by phone and/or other UN staff have not been treated in the email why a certain decision has had to be tak- proper manner. Such cases have been brought en or forewarning that a certain decision will to the attention of the EC, which is as adamant need to be taken. Discussions can take place as UNDP that behaviour of that sort will no with the core team security adviser and the EC longer be accepted. If such disrespectful be- (if time allows), but the final decision rests with haviour surfaces in future EUEOMs, the matter the designated official. should be immediately brought to the atten- What was also misunderstood by the EC until tion of UNDP Brussels, which, in turn, will place very recently is that IOM, being part of the UN the matter before RELEX and EuropeAid Co- security system, also must comply with the DSS Operation Office (AIDCO) for rapid treatment. system and the final authority of the designated UNDP Brussels and the EC will continue to mu- official. Clarifications from UNDP Brussels have fil- tually monitor the behaviour of individuals for tered through the EC system and a clear message the well-being of future missions. 101 • Despite some of the shortcomings and diffi- Conclusion culties of EUEOMs, as described previously, it As has been made clear in this Annex, EUEOM should be pointed out that a very close rela- assignments do not sit comfortably on UNDP’s tionship has been established between RELEX, shoulders for numerous reasons: (i) because of AIDCO and UNDP Brussels, and that a real team their very nature, (ii) because of UNDP’s politi- spirit exists. This has done much to ensure that cal role in the country and deep involvement in these missions take place as smoothly as pos- electoral assistance, (iii) because of the stress and sible and that matters are quickly brought un- risks involved, and (iv) because UNDP, as a lead in- der control whenever a crisis seems to loom. ter-governmental agency, does not fit easily into Of the last seven missions, only two proved to the role of a simple EC service provider. As such, be problematic; even then, however, solutions it should be obvious that UNDP Country Offices were found and the overall EC–UNDP relation- should not actively seek involvement or encour- ship safeguarded. age the EC to choose them as implementation partners for such exercises. However, it is also clear that in the name of pro- EU EOM External Environment moting democratic governance and in the name of good partnership with the EC COMMISSION EuropeAid European EC, UNDP should remain open to work- Member States DG Ex Relations Parliament ing with the EC on these assignments Geographical Services as a last resort, if no other implement- EU Embassies ing mechanism is available to it. Service Provider EC Delegation (HM) This Annex concludes with two Domestic observers Media EUEOM schemes illustrating the environments Local and the implementation arrangements Other international Authorities observers Local EP within which EUEOMs work. EUEOMs EU STO Delegations have their own Web sites containing all the mission information: mission EU EOM: Implementation statement, team composition, contact details, etc. The EUEOM methodology -2 months -6 weeks HQ Briefing -5 days E-day(s) and the links to the specific EUEOMs LTO Briefing and General Briefing Deployment Deployment STO Deployment Web sites can be found at: http://eu- Core Team* -15 days Or ropa.eu.int/comm/external_relations/ need to follow -5 days up appeals human_rights/eu_election_ass_ob- Initial EU EOM Final Debriefing Debriefing complaints serv/index.htm . Statement** in the country Closing of EU EOM

Debriefing in Bxl EOM Final Report Follow up EU EOM evaluation

* during which: 1. Circulation of regular reports from the Mission to the Commission, Council, EP 2. Regular consultations between CO and Commission’s Services (Del + HQ) and EU M State ** The EU Presidency may also make a Declaration subsequent to the EOM’s statement 102 Annex 4: EC–UNDP Operational Guidelines — Implementation of Electoral Assistance Programmes and Projects54

OPERATIONAL GUIDELINES Implementation of Electoral Assistance Programmes and Projects

Whereas it is recognised that the European Com- the parties can further promote the effectiveness mission (hereinafter referred to as ‘EC’) and the and efficiency of electoral assistance initiatives to United Nations Development Programme (here- beneficiary countries, as increasing experience inafter referred to as ‘UNDP’) have established a in this collaboration will lead to better and more strong partnership in the domain of electoral as- timely programming, planning, formulation and sistance over the last five years; implementation, and is in line with the resolutions made in the Paris Declaration on Aid Effec- Whereas the EC and UNDP have signed a Strate- tiveness, Ownership, Harmonisation, Alignment, gic Partnership Agreement in 2004 covering the Results and Mutual Accountability; sectors of Conflict Prevention, Post Conflict Re- construction and Good Governance, which cov- Whereas it is understood that electoral assistance ers electoral assistance activities; has to take stock of all the steps of the electoral cycle and that inter-election periods are as crucial Whereas it is recognized that elections are a fun- as the build up to the elections themselves, thus damental building block in the democratic de- requiring regular inter-institutional contact and velopment of every state, and represent a critical support activities before, during and after elec- channel to enhance citizens’ participation in po- tion periods, for the sake of lessons learned and litical life and achieve the interlinked objectives inter-institutional memory aiming at improved of poverty alleviation and human development, electoral processes in beneficiary countries; in line with the objectives of the Millennium De- velopment Goals; Building on the mutual analytical and evaluation- based work undertaken in 2005 by both organi- Whereas it is acknowledged by both parties that sations in a review of present and past electoral this partnership has proved to be of increasing assistance and on the significant conclusions and value to electoral assistance operations to the observations which have come to light as a re- beneficiary countries due to a history of sector sult and which will become an integral part of EC experience, lessons learned and a mutual under- Methodological Guide on Electoral Assistance; standing of each other’s approaches and capacities, and that each partner sees the other as a pol- Noting that all EC – UNDP contractual agree- icy partner and provider of content; ments are covered by the Financial and Adminis- trative Framework Agreement (FAFA), signed on Whereas it is recognised that the continuation 29 April 2003 between the United Nations and and intensification of this relationship between the European Commission, and that these Op-

54 These guidelines were updated in late 2007 and contain new erational Guidelines only intend to clarify certain guidance in a number of areas. See: http://resourcemobilization.brsp. 103 implementation aspects which are of particular partner countries benefiting from the EC – UNDP relevance to electoral assistance; electoral assistance will engage in carrying out the elections exercise in line with: its constitutional Noting that UNDP has been given the mandate mandates, the benchmarks for election standards under General Assembly Resolution 46/137 of contained in the international treaties ratified by 17 December 1991 to co-ordinate electoral as- the State in the context of the United Nations5655 sistance at country level between national and and with non-treaty election standards adopted international actors and as regulated by an inter- in the context of the Regional Organizations they nal agreement between UNDP and the Electoral belong to; Assistance Division of the Department of Political Affairs (DPA/EAD) inside the United Nations Sec- Noting that the EC minimum criteria for involve- retariat; ment of assistance are set out in the Commission Communication on Election Assistance and Ob- Noting that UNDP’s involvement in elections servation5756and include the request of the host within the United Nations system is governed by country, the consensus of the main political par- the same General Assembly resolution 46/137 ties and other stakeholders, a previous political and its successor resolutions, as well as regulated monitoring of the country’s specific situation, an by an internal agreement between UNDP and adequate timeframe for the holding of the process DPA/EAD; and free movement for the EU assistance providers. A number of additional criteria were added by Whereas it is understood that the relevant Govern- the 2003 Commission Working Paper on the Im- ment authorities and local Electoral Management plementation of the 2000 Communication58.57The Bodies (EMBs) of the partner countries benefiting additional criteria referred to the complementar- from the EC – UNDP electoral assistance will allow ity of the project within the larger State commit- domestic observation and invite international ment to the electoral process, a clearer definition election observation missions that will carry out of the intended results, that is to say the antici- their activities according to the “Declaration of pated usefulness of a project within the democ- Principles for International Observation” as signed ratization and development context and the po- 55 54 in New York at UN HQ on 24 October 2005 , ; litical advisability of a given project, that is to be weighed against the danger of being associated Whereas it is understood that the relevant Gov- or perceived as endorsing a flawed or fraudulent ernment’s authorities and the local EMBs of the process. 55 Declaration of Principles for International Election Observation and Code of Conduct for International Observers. Commemorated October 27, 2005, at the United Nations, New York. Endorsing Noting that the UN has no precise formula for Organizations as of October 24, 2005: African Union, Asian Network for Free Elections (ANFREL), The Carter Centre, Centre for Electoral determining when a pre-election situation pre- Promotion and Assistance (CAPEL), Commonwealth Secretariat, Council of Europe - European Commission for Democracy through Law cludes United Nations assistance and that there- (Venice Commission), Council of Europe – Parliamentary Assembly, Electoral Institute of Southern Africa (EISA), European Commission, 56 International Covenant on Civil and Political Rights (ICCPR), European Network of Election Monitoring Organizations (ENEMO), International Convention of the Elimination of Racial Discrimination Electoral Reform International Services (ERIS), IFES, International IDEA, (ICERD), Convention on the Elimination of all form of Discrimination Inter-Parliamentary Union, International Republican Institute (IRI), against Women (CEDAW), Convention on the Political Rights of National Democratic Institute (NDI), Organization of American States Women (CPRW). (OAS), Organization for Security and Cooperation in Europe, Office 57 Communication from the Commission on EU Election Assistance of Democratic Institutions and Human Rights (OSCE/ODIHR), Pacific and Observation, COM (2000)191 - 11/04/00 Islands, Australia & New Zealand, Electoral Administrators’ Association 58 Commission Working Paper on the Implementation of the 2000 (PIANZEA), Pacific Island Forum, United Nations. Communication, SEC (2003) 1472- 19/12/2003

104 fore the decision to support an electoral process and domestic monitoring, with a specific long- is ultimately a political judgment by the Focal term view to generating permanent national ca- Point in consultation with the Secretary-General. pacity. At a minimum, however, UNDP must receive an official written request for electoral assistance be- Article 1.4. Other emerging areas could be con- fore it provides any such assistance, and the De- sidered for collaboration include the support to partment of Political Affairs must be satisfied that and strengthening of political parties and the the main contesting political parties and repre- resolution of electoral disputes – both areas in sentatives of civil society support United Nations which UNDP’s comparative advantage is its non- involvement. partisan approach. The work with political parties can cover initiatives to involve political par- The EC and UNDP, hereinafter referred to as ‘the ties in voter registration and education efforts, to parties’, have agreed to the following: improve party campaign and media strategies, to strengthen party caucuses within legislatures Article 1. Definition of electoral assistance ini- and to make parties accountable for their com- tiatives mitments to address gender imbalances at the Article 1.1. Electoral assistance programmes/proj- leadership level. ects target one or more areas within the electoral cycle, ranging from legal reform, electoral admin- Article 1.5 While post-conflict elections are a criti- istration, planning and operations, registration of cal area of collaboration between the parties, the voters and political parties, training of election majority of electoral programmes/projects con- officials and education of voters, domestic obser- tinue to be within the domain of countries orga- vation and media monitoring, polling activities, nizing their subsequent generations of elections counting and results tabulation, electoral dispute and address issues of the credibility, cost effec- resolution developing into post- and inter-elec- tiveness and sustainability of elections. tion activities. Article 2. Purpose and scope of these Guide- Article 1.2. There are different entry and exit lines points to the cycle depending on the aim of the Article 2.1. These Guidelines fall within the con- programmes/projects specified in short, mid and text and are in full respect of the provisions laid long-term cooperation objectives. All projects out in the existing Financial and Administrative should consider a sustainable approach to en- Framework Agreement (FAFA) between the Eu- hance the domestic capacity to administer elec- ropean Community and the United Nations and toral processes and consolidate developments in following the indications of the Communication democratization. of the Commission to the Council and to the Par- liament over the 2005 UN Summit. They aim to Article 1.3. Within the collaboration between the outline practical measures for the strengthening parties, key areas of programmes/projects have and the facilitation of the already established co- included and shall continue to include institu- operation between the two parties in the domain tion building and capacity development of EMBs, of electoral assistance. They will also act as a cata- procurement of electoral material, development lyst for aligning modalities for the participation of of civil and voter registers, results tabulation, civic the other development partners. education, voter education, media development 105 Article 2.2. These Guidelines draw upon the ex- 3.1.1. The parties agree that it can be mutually perience gained in the past five years of coopera- beneficial, where any new action of electoral as- tion and should be used by the EC Delegations sistance is to be launched in any partner country, and UNDP Country Offices in the definition of and following a due request of the respective contribution agreements and other election-re- national authorities and the respective internal lated cooperation projects. This is in the view to decisional processes of the parties, to undertake further reducing the time needed to formulate joint project formulation missions. and implement any future eventual specific cooperation agreements by anticipating the needs and 3.1.2. These missions would support UNDP facilitating the tasks of EC Delegations and UNDP Country Offices in the production of the Proj- Country Offices. ect Document and, where applicable and desirable, in the formulation of a Memorandum Article 2.3. These Guidelines indicate a number of of Understanding (MoU) between Develop- key components that are deemed feasible by the ment Partners supporting a certain electoral two parties as a basis for future agreements to be assistance project/programme. They would signed for the implementation of programmes/ also support the EC Delegations in the pro- projects of electoral assistance. Any activity that duction of the Project Identification Fiche and the parties may decide to undertake in the frame- Financing proposal. The missions will look at work of the partnership in the electoral assistance the overall results sought from the electoral field, shall be regulated through the standard assistance, the activities to be carried out and contribution agreements approved by the autho- the related operations, implementation meth- rised officials of both parties, in conformity with odologies and needed technologies for the their respective applicable regulations, rules and implementation of the given electoral process. policies. They would also properly assess the capacity of the procurement entities, as well as the tim- Article 2.4. The parties agree that in future co- ing and costs of various phases in the registra- operation agreements in the field of electoral tion and electoral processes, including all rel- assistance, there shall always be the possibility evant procurement aspects, with the support for them to introduce in the specific agreement of existing internal or external specific exper- targeted clauses on a number of aspects of their tise on the matter. A joint report will be pro- cooperation that can best reflect the past expe- duced reflecting the common position of both rience and the redefinition of their mutual co- organisations. The joint formulation missions operation provided that they adhere to previous will usually last six to seven working days. agreements such as the FAFA and the Strategic Partnership Agreement. 3.1.3 For UNDP’s part, any project commitments for upcoming electoral assistance projects would Article 3. Key components of EC-UNDP part- need to follow a decision, based on an assess- nership in electoral assistance ment, by the United Nations Under-Secretary- General for Political Affairs, who is the UN Focal 5958 Article 3.1 - Joint Formulation Missions Point on Electoral Assistance, regarding whether

59 ‘Joint’ in this document refers to EC-UNDP taking a collaborative the UN will provide support to the election, and initiative.

106 incorporate the Focal Point’s recommendations the UNDP-EC contribution Agreement should into any planned programme. be aligned. The activities and performance indicators will be set out in the UNDP Project 3.1.4. For the EC’s part, formulation of projects Document following agreement with the elec- will take due consideration of the recommen- toral management bodies of the given coun- dations of EU Election Observation and As- try. They can be elaborated upon in the MoU sessment Missions previously deployed in the where appropriate. country. 3.2.4. It is recommended that projects/pro- Article 3.2. - UNDP programming and financial ar- grammes within the scope of these Opera- rangements and EC Financing Proposal tional Guidelines should preferably be directly 3.2.1. The parties agree that the wording and executed by UNDP or have UNDP as the im- content of their respective official project plementing partner.6059In this context, the EC documents to be signed separately with State Delegation might, where appropriate, adopt authorities, should be harmonised to ensure a modality of centralised management being an efficient follow up within their respective allowed by the National Authorising Officer to organizational channels and reflect comple- sign on its behalf the contribution Agreement mentary actions. It is understood that the for- directly with UNDP. mat of the respective documents will remain unaltered. 3.2.5. UNDP Country Offices should ensure necessary project/programme implementa- 3.2.2. The parties agree that the projects/pro- tion capacity. Preferably, a Programme Man- grammes will be financed through the exist- agement Unit (PMU) should be established. ing standard contribution agreement signed The PMU would be responsible to the UNDP between the EC and UNDP. In the case of Country Office Senior Management and con- multi-donor contributions, a basket fund can tain specific electoral expertise as needed. be established to emphasize the pooling of The PMU could be constituted as the day-to- resources among development partners. Con- day management component of the project tributions to the basket fund will be based on and responsible to the Project/Programme existing standard UNDP cost-sharing and/or Steering Committee on all its operations and closed trust fund agreements. activities. UNDP is would be charged with the responsibility of setting up and managing the 3.2.3. Where appropriate and desirable, and in PMU. addition to the UNDP Project Document, an MoU can be signed between UNDP, the EC and Article 3.3. - UNDP Pre-financing and EC Retroactiv- all Development Partners, contributing to the ity Clause basket fund, EMBs and other partners at coun- 3.3.1. The parties emphasize that future col- try level to elaborate on the results sought laboration follows the existing standard from the electoral assistance and necessary contribution agreement between them. In financial and management arrangements. certain cases the parties agree that it is pos- This MoU, the UNDP Project Document and 60 Depending on whether it is a non-harmonized or harmonized context. 107 sible to start up an agreed Project/Programme 3.4.1. UNDP acknowledges the importance of through the initial pre-financing of activities ensuring the appropriate EC tenure and visibil- from the UNDP, on the basis of a duly signed ity during the implementation phase. contribution agreement between the EC and UNDP, and in accordance with UNDP’s and EC’s 3.4.2. The parties agree that specific measures Financial Regulations and Rules. and initiatives shall be undertaken to ensure participation and adequate perception of the 3.3.2. The sensitivity of the electoral assistance EC efforts among all the stakeholders of the field - which is often a critical part of the stabi- electoral process. These shall be discussed and lisation and/or reconstruction of a country – as agreed upon by EC Delegations and UNDP well as the frequently complex environment Country Offices. The UNDP will strengthen the in which it takes place, often means receiving important objective for a broader EU visibility a late request from the local authorities for conceptualised in the “EC visibility matrix” pre- electoral assistance. Therefore, whenever the pared by the EC services and in the new EU vis- EC financial contribution can not be mobil- ibility guidelines currently being prepared by ised with sufficient anticipation, a retroactiv- the UN family in agreement with the EC servic- ity clause could be included. This would cover es. To this extent, expenses for visibility actions all eligible expenses incurred by UNDP from a are considered eligible project expenses. This date to be specified and timely communicated aside, it is recommended that UNDP submits in writing by the EC Delegation to the UNDP a visibility plan to the local EC Delegation for Country Office concerned. The date would be consideration within the first month of project generally the beginning of the EC Inter-Ser- start up. vice Consultation corresponding to the end of the instruction/appraisal phase of the proj- 3.4.3 In this context, EC Delegations would ect/financial proposal in the EC. The use of the be allowed to take a more proactive role in retroactive financing for ACP countries must promoting EC-funded activities implemented be done in compliance with the annex IV, Ar- through UNDP, to take on additional respon- ticle 19, of the EC-ACP Partnership Agreement sibilities in steering committees and to follow signed in Cotonou on 23 June 2000. For other technically the implementation of the pro- theatres of operation the relevant EC financial grammes/projects, also with the support of regulations will apply. external expertise. On the matter, the Delega- tions may consider recruiting electoral opera- 3.3.3. The parties furthermore agree to consid- tions experts that would collaborate with the er including such a clause in their contribution UNDP team in advising the electoral manage- agreement only when the implementation of ment bodies. the projects might be jeopardized by the late mobilization of the financial disbursements. 3.4.4. The parties agree that for any future collaboration specific steering and technical com- Article 3.4. EU Participation in the steering and mittees shall be formed. monitoring of the programme/projects and Visibil- ity issues 3.4.5. The steering committees shall include the relevant EMBs and development partners

108 supporting the respective project/programme. 3.5.2. The selections shall be carried out by the Where appropriate, the UNDP and the EC can UNDP Country Office within a standard time- co-chair – with the representative of the local frame of maximum 7 days after a suitable can- EMBs as relevant – such committees and pro- didature has been proposed to UN DPA/EAD vide secretariat services with the support of and to the EC services. This implies that if they internal or externally recruited electoral assis- are contacted for their feedback on a potential tance expertise. candidate, they will provide comments within 7 days. 3.4.6. The decisions within the steering committees shall preferably be taken by consensus. 3.5.3. The UNDP agrees that clearance for the However, in the absence of a consensus and selection of experts shall be provided in an ex- as a last resort, there will be a weighted vote peditious manner and the selection of the en- – linked to contributions made - the result of tire set of experts required may be completed which must have UNDP’s backing as it is re- at different stages in order to allow the imme- sponsible for the management of the project. diate implementation of the project. Recruit- ment of experts shall be done in accordance 3.4.7. The parties agree that restricted techni- with UNDP regulations, rules and procedures. cal committees will be formed and can include the respective electoral experts of the major Article 3.6. - Performance indicators, benchmarks donors plus the representatives of the EMBs. and phased disbursements These committees will be tasked with prepar- 3.6.1. UNDP agrees that the disbursement of ing the issues to be discussed within the Steer- the EC financial contribution may be subject ing Committee. to the meeting of specific performance indi- 3.4.8. Wherever the EC contribution is over cators, conditionalities and/or benchmarks 70%, the parties agree that the UNDP coun- previously set by the EC in its Country Strategy try office and the EC delegation can consider, Papers or National Indicative Programmes. where relevant, titling such activities as EC- These will be indicated also in the UNDP Proj- UNDP “Joint Electoral Assistance Projects”, or ect Document, EC Financing Agreement and, JEAPs. where applicable, MoUs, and devised during the formulation stage of the project via a con- Article 3.5. - Selection of Electoral Assistance Experts sultation process with the EMBs. for the Management Team 3.6.2. The EC agrees to undertake a periodi- 3.5.1. The parties agree that the selection of cal review of such benchmarks, in accordance electoral assistance experts to work in Proj- with the related developments of the political ects/Programmes shall be done in collabora- situation. tion and in agreement between UNDP Country Offices, the EC Delegations and the local EMBs, Article 3.7. - Reporting Requirements with specific support as relevant from UN DPA/ 3.7.1. The parties agree that, in addition to the EAD and Europe Aid, which both maintain a standard reporting requirements laid out in roster of international experts. the FAFA, specific reporting mechanisms may

109 be agreed upon by the UNDP Country Offices including the EC Delegations. with the EC Delegations during the Project Formulation Phase. 3.8.3. In the event of very costly procurement actions for highly technical electoral materials, 3.7.2. Preferably, the PMU should act as a com- the parties furthermore agree that particular mon information point for all development additional mechanisms such as pilot and vali- partners supporting the respective Project/ dation tests shall be put in place to enhance Programme. The PMU can take responsibil- transparency of the process before the selec- ity for circulating information to the relevant tion of the vendor is completed, in line with partners as appropriate. The reports should UNDP procurement procedures. include, but are not limited to the following: Technical progress report (monthly) outlining 3.8.4 Where requested, UNDP/IAPSO can pro- progress of activities against the outcomes vide to UNDP Country Offices ad-hoc training and performance indicators articulated in the courses on UNDP rules and regulations related UNDP project document; Substantive report to elections procurement. (quarterly) reflecting the status of the activities funded within the wider context of elec- 3.8.5 Upon request UNDP/IAPSO can also assist toral preparation and implementation, draw- UNDP country offices in developing procure- ing attention to any key issues that would ment plans to ensure timely and cost-efficient impact on elections calendar implementation; deliveries of electoral equipment. Provisional financial information; Decisions Article 4. Specific elements for enhanced- col and proceedings of Steering Committee Meet- laboration on the production of content and ings; Project Website (updated according to participation to specialised networks the needs). Article 4.1. - The parties agree to collaborate on Article 3.8. - Procurement of Specific Election new or existing initiatives and networks for the Material production of knowledge products and services 3.8.1. The parties agree that the procurement for the support of electoral processes, such as of sensitive or highly specific or costly election the knowledge practitioners’ networks within the materials should preferably be done in close Administration and Cost of Elections (ACE) global collaboration and involvement of the UNDP initiative. They also agree to undertake, where ap- Inter Agency Procurement Services Office propriate, studies of mutual interest, such as those (hereinafter referred to as UNDP/IAPSO) and, on the synergies between civil and voter registra- where applicable or desirable, conducted via tion linked to the increased used of ICTs, on the is- UNDP/IAPSO. sues of conflict, security and elections and on the issues of disadvantaged groups and elections 3.8.2. Where the services of IAPSO are requested by the UNDP Country Office, UNDP shall Article 4.2. The parties agree to collaborate to- ensure that timely and resumed information wards the development of joint training curri- on the tenders’ results and selection process cula as appropriate for the respective officers in shall be provided to all development partners charge of Electoral Assistance Projects. These curricula shall be particularly focused on program- 110 ming, identification, formulation, the respective procedures for implementing electoral assistance activities, the procurement of specific electoral material and services, monitoring and evaluation. The parties furthermore agree to organize periodically practice meetings to review their cooperation, share acquired knowledge, best practices and strengthen linkages.

Article 5. - Entry into force and implementation Article 5.1. These Guidelines enter into force on the date of signature by the duly authorized representatives of the UNDP and of the EC and may be amended at any time with the mutual written consent of the two parties.

Article 5.2. The parties agree to monitor, assess and take the necessary corrective measures on the implementation of these Operational Guide- lines every calendar year. As a partner of both UNDP and the EC in electoral assistance, although not a party to these current Guidelines, UN DPA- EAD will be invited to participate in the review of the Guidelines’ implementation.

Done in Brussels, on the 21st April 2006.

Koos Richelle Director General - EuropeAid

Ad Melkert UNDP Associate Administrator

111 Annex 5: Sample Generic Basket MoU and PMU Terms of Reference MEMORANDUM OF UNDERSTANDING BETWEEN THE UNITED NATIONS DEVELOPMENT PROGRAMME (UNDP) AND [Insert the names of partners contributing to the Basket Fund e.g. the European Commission, Partner Govern- ments etc.]6151 ON [Insert purpose e.g. “Cooperation for Support to the 2007 Electoral Process in Nigeria”]

This Memorandum of Understanding (“MOU”) is interlinked objectives of poverty alleviation and entered into between the governments of [List human development, in line with the objectives partners contributing to the Basket Fund alphabeti- of the Millennium Development Goals; cally] (hereinafter referred to as the “Partners”) as Whereas it is understood that electoral assistance represented by their official representatives in has to take stock of all the steps of the electoral [Insert location e.g. Abuja], and the United Nations cycle and that inter-election periods are as crucial Development Programme (“UNDP”), a subsidiary as the build up to the elections themselves, thus organ of the United Nations, an intergovernmen- requiring regular inter-institutional contact and tal organization established by its Member States support activities before, during and after election with its headquarters in New York (USA), repre- periods for the sake of lessons learned and inter-in- sented by the UNDP Resident Representative in stitutional memory aiming at improving the [Insert [Insert location e.g. Abuja]. The partners contribut- name of programmme country] electoral process; ing to the Basket Fund and UNDP are hereinafter [These “Whereas Provisions” are descriptive provi- jointly referred to as the “Parties”. Other partners sions meant to provide a brief background of the re- may join the MOU by Addendum to it. lationship between the Parties, they should address Whereas the [Insert name of programme country] the questions: What are the common areas of inter- is due to hold its elections in [Insert relevant details est? What is the context?] on planned elections]; Now, therefore, the Parties agree to cooperate as Whereas the UN has received and approved the follows: official request from [Insert name of programmme Article I: Purpose country] for UN support to the intended elections, 1. The purpose of this MoU is to provide a frame- and on the basis of this approval, UNDP is provid- work of cooperation and facilitate collaboration ing the electoral assistance set out in this MoU; between the Parties, on a non-exclusive basis, Whereas the Parties to this MOU have decided to in areas of common interest. extend support to these elections; Whereas it is recognised that elections are a fun- [The section 2. that follows should describe the pur- damental building block in the democratic devel- pose, objective and expected outcomes of the MoU. opment of [Insert name of programmme country], It should answer the questions: What are the over- and represent a critical channel to enhance citi- all purposes of the MoU and the objectives of the zens’ participation to political life and achieve the collaboration? The text is an example of what this

61 If the CO/RBx determines it as appropriate, the respective national government authority can sign the MoU as well. In those cases, the term “national government authority” should refer to the country specific government body responsible for planning and implementing elections. It can mean respective government ministries, the national Electoral Commission etc. Ideally, it should be the same entity that signs the UNDP project document on behalf of the Government for the related UNDP project. Accordingly, relevant sections of the MoU would need to include a reference to the national government authority. 112 could look like. ] forts or their coordination6251 etc.); 2. The overarching goals of the Parties’ support to Article III: Implementing Arrangements the elections are to assist [Insert name of pro- 1. All activities under this MoU will be carried out gramme country] in: on the basis of a UNDP project (hereinafter re- a) achieving an electoral process that to the ferred to as the “project”) in accordance with highest degree possible can be considered UNDP regulations, rules and directives. The re- cost-efficient, free and fair, and leads to spective project document will be signed be- national and international recognition; and tween UNDP and the Government of [Insert name of programme country]. b) enhancing citizens’ understanding of their rights and duties and capability to engage 2. A Project Board/Steering Committee will be politically. established as the highest policy and decision- making organ for the project. The Project Board/ 3. The Parties have decided to establish an ar- Steering Committee will consist of representa- rangement (the “Basket Fund”) to support the tives of the national Government authorities and overarching goals as described above and re- UNDP and can include Partners contributing to quested that UNDP manage the Basket Fund the Basket Fund as agreed. The Project Board/ in recognition of the key role UNDP plays in co- Steering Committee will approve the work plan ordinating electoral assistance at country level and budget of the project. between national and international actors, as acknowledged in the Note of Guidance signed 3. For contributing to the Basket Fund, Partners will between UNDP and the UN Department of Po- enter into separate cost-sharing or closed trust 6352 litical Affairs (January 2001); fund agreements with UNDP on the basis of standard agreement templates in accordance Article II: Areas of Cooperation with UNDP regulations and rules. [This Article should list the specific activities outlined 4. A Coordination Committee will be established within the overall scope of the MoU that will serve to to provide overall strategic guidance to the Bas- accomplish the objectives stated under Article I. The ket Fund (hereinafter referred to as the “Coordi- text below is an example of what this could look like.] nation Committee”). It will consist of represen- 1. More specifically, the Parties agree to cooperate tatives of the Parties to this MoU. The Terms of in the following areas of activity: Reference for the Coordination Committee are outlined in Annex 1. The members of the Co- a) Strengthening of the national Electoral Man- ordination Committee may also be designated agement Body’s capacity to manage elections members of the Project Board/Steering Commit- in line with its constitutional mandate and the benchmarks for election standards contained tee referred to in paragraph 1 above. The Terms in [Insert as necessary]; of Reference for the Coordination Committee b) Supporting the civil society to play a more ef- 62 The UN does not observe electoral processes unless it receives a mandate to do so from an intergovernmental body (e.g. General fective role in advocating for more transpar- Assembly or Security Council). Work in this domain, therefore, falls within the technical assistance domain and centres on the coordination ent, credible and fair electoral processes (e.g. of international and/or domestic observers rather than United Nations observation per se. Any support to international observers needs to through support to voter education cam- adhere to the Declaration of Principles for International Observation, signed by, inter alia, the United Nations. paigns, support for domestic observation ef- 63 This applies to contributions from the European Commission. Closed Trust Fund arrangements need to undergo the standard Trust Fund clearance procedure. 113 shall be integral part of this MOU. United Nations and the safety and security of 5. The Parties recognize that a dedicated Pro- United Nations staff. Specific measures and initia- gramme Management Unit (PMU) can be es- tives to ensure adequate visibility of the role and tablished by UNDP in accordance with UNDP’s efforts of each Partner may be further defined in 65 54 regulations and rules to manage the project on a the separate co-financing agreements . . day-to-day basis. The PMU may act as the Secre- 4. Consultation and exchange of information and tariat to the Project Board/Steering Committee. documents under this Article shall be without The Terms of Reference of the PMU are part of prejudice to arrangements, which may be re- the respective UNDP project document64.53. quired to safeguard the confidential and re- 6. Where deemed feasible and advisable, the Part- stricted character of certain information and ners may wish to create a Technical Committee documents. Such arrangements will survive the comprising of their respective electoral assistance termination of this MOU and of any agreements experts present in the field. The role of this Com- signed by the Parties within the scope of this mittee would be to examine the technical aspects collaboration. of the project and therefore help prepare the next Article V: Reporting, Evaluation and Audit Project Board/Steering Committee meeting by 1. The administrative, monitoring and reporting examining, highlighting and possibly providing requirements of the activities supported by the ideas and solutions to technical issues which can Basket Fund will be articulated in the UNDP proj- then be more easily discussed and approved by ect document and the related cost sharing and the Project Board/Steering Committee. closed trust fund agreements66.55. Article IV: Consultation, Communication and 2. These requirements will include submission of Visibility work plans, substantive/technical reports, finan- 1. The Parties shall on a regular basis keep each cial monitoring and reporting; and monitoring other informed of and consult on matters per- and reporting of results against outcome indica- taining to the activities supported by the Basket tors as may be articulated in the project docu- Fund. ment. 2. The Coordination Committee will meet at such 3. The contributions to the Basket Fund shall be intervals as deemed appropriate to assess the subject exclusively to the internal and external progress of the activities supported by the Bas- auditing procedures provided for in the financial ket Fund. The frequency of these meetings will regulations, rules and directives of UNDP. Should be decided by the Coordination Committee. the biennial Audit Report of the Board of Audi- 3. UNDP shall take all appropriate measures to pub- tors of UNDP to its governing body contain ob- licize the fact that the project has received fund- servations relevant to the contributions to the ing from the Partners, provided that such actions activities supported by the Basket Fund, such indo not jeopardize the United Nations privileges formation shall be made available to the partner and immunities provided under the 1946 Con- contributing to the Basket Fund. vention on the Privileges and Immunities of the 65 The EC tends to have specific visibility requirements which are best addressed through a specific visibility plan which should be proposed by the UNDP CO to the respective EC Delegation. 64 If so requested, the Country Office can annex the TOR of the PMU to 66 This applies to contributions from the European Commission. Closed this MoU to encourage transparency and building of trust with some Trust Fund arrangements need to undergo the standard Trust Fund Partners. In those cases, please include Annex 2. clearance procedure. 114 Article VI: Amendment of the MOU [List partners contributing to the Basket Fund al- Consultations with a view to amending this MOU, phabetically] including cases where additional Partners wish to join the Basket Fund, may be held at the request Signature: of at least two Parties. The proposed amendment will be discussed in the Coordination Committee and a decision taken by consensus. Decisions on Designation: amendments will come into effect upon signing Date: by all Parties. Amendments will be binding upon all Parties to this MOU. The amendments will form an integral part of the MOU as addenda to it. Signature:

Article VII: Termination Designation: 1. This MOU expires after the elections and not later than [Insert appropriate date] but may be Date: extended to support post-election activities or the next electoral cycle on the basis of an Signature: amendment by all Parties.

2. Any of the Parties may withdraw from this MoU Designation: upon giving thirty (30) days’ written notice to all Date: other parties. The MoU may also be terminated by consensus of the Parties. However, such withdrawal or termination shall not impact any Signature: obligation entered into by the Partners and UNDP in the related cost sharing and closed Designation: trust fund agreements which will be governed by the terms of those agreements. Date:

Article VIII: Entry into Force For UNDP This MOU enters into force upon signature of all Signature: Parties.

Article IX: Addresses Designation: Any written communications between the Parties pursuant to this MOU may be sent to the address- Date: es specified below:

Signed in duplicate in the [Insert UN official lan- TERMS OF REFERENCE THE COORDINATION COMMITTEE guage] language at [Insert location], A Coordination Committee will be constituted to this ____ day of ______, in the year ______. provide strategic guidance on the electoral sup- For the partners contributing to the Basket Fund port activities financed through this Basket Fund. 115 The Coordination Committee will consist of the istration, electoral operations, public outreach, Development Partners contributing to the Basket CSO capacity building and electoral technologies; Fund and UNDP. Representatives of the national • Procurement and planning specialist(s); government authorities of [Insert name of entity] • Programme officer(s); can be invited to attend Coordination Committee • Financial officer(s); meetings as observers. • Operations and administrative management officer(s). The Coordination Committee will meet [Insert frequency as appropriate], and more frequently at the The PMU Manager will head the PMU and provide request of any of its respective representatives. liaison with the Project Board/Steering Commit- tee. UNDP will periodically brief the Coordination The selection of experts and staff for the PMU will Committee on the status of implementing activi- be undertaken by UNDP in accordance with its ties supported by the Basket Fund. regulations and rules. The selections shall be car- Decisions of the Coordination Committee will be ried out within a standard timeframe of maximum taken by consensus. 15 days after suitable candidates have been proposed. This implies that when the UNDPA-EAD, This Annex should only be included if it has been which maintains a roster of international experts, duly requested by Partners contributing to the Bas- is contacted for potential candidates or for feed- ket Fund and the CO does not have any objections of back on a potential candidate, it will provide com- sharing these TOR here. ments within 15 days. UNDP will clear selected experts in an expeditious manner and the selection Terms of Reference of the full complement of experts required may be UNDP Programme Management Unit (PMU) completed at different stages in order to allow the immediate implementation of the project. UNDP is charged with the responsibility of setting up and managing a Programme Management Unit Responsibilities (hereinafter “PMU”) in accordance with its regulations and rules. The responsibilities of the PMU will comprise the following: The PMU will be constituted as the day-to-day • Management, co-ordination and oversight of management organ of the UNDP project. UNDP project activities; Staffing • Application of financing procedures in compli- [Staffing here should mirror arrangements speci- ance with UNDP regulations and rules and man- fied in the UNDP Project Document.] agement of cost-sharing and closed trust fund agreements in relation to the Basket Fund; The PMU will consist of the following personnel: • Procurement for Basket Fund activities and as- • A Chief Technical Advisor/PMU Manager ap- set oversight in accordance with UNDP procure- pointed by UNDP67;56; ment guidelines; • Electoral advisers covering the fields of voter reg- • May act as the Secretariat of the Project Board/ 67 This individual must be a UNDP staff member and not a SSA or Steering Committee. service contractor. 116 Annex 6: Terms of Reference Template This template lists competencies needed from elec- Attitude toral advisors, experts and project managers. All q Be sensitive to political and cultural realities of these competencies are unlikely to be present in one the country person. The purpose of this template is to list knowl- q Be committed to following participatory meth- edge, skills, attitudes and experiences required for a ods and approaches range of election related jobs. Project planners can select what they need to customize a TOR that fits job q Understand and be sympathetic to different requirements. points of view

Knowledge Experience q Expertise in policy issues connected to electoral q Experience in managing work teams outside reform and democratic governance ones own culture q Knowledge of policy making institutions and q Have been involved in planning, advising and how to influence those processes implementing electoral assistance projects q Knowledge of capacity development issues and q Have experience in working with donor funded delivering on the job-training programmes q Expertise in the preparation of electoral budget Duties and Responsibilities of Project Manager q Knowledge of electoral processes q Be responsible for leading UNDP electoral assistance in the Parliamentary/ Presidential elec- Skills tions of Host Country q Be able to create strategic plans for resource q Advise Country Office on electoral reform, leg- mobilization, media relations islative and policy issues with a long term per- q Communicating and networking skills among spective donors, partner organizations in public sector q Advice UNDP on possible key interventions to support democratic governance through paral- q Ability to monitor technical aspects of election lel and future programming planning q Lead resource mobilization efforts and coordi- q Be able to coordinate several different types of nate with donors in support of electoral assis- election programming interventions and work tance under stress q Supervise day to day management of the Elec- q Be able to use advocacy skills, coalition building toral Assistance Project including, finance, ad- and media relations ministration, procurement, staffing, monitoring and reporting q Be able demonstrate creative problem solving q Establish and maintain contacts with civil soci- in response to unforeseen events ety organizations, and political parties q Strong writing skills for the preparation of back- q Coordinate with EMB and Electoral Commission ground papers and concept notes on electoral on the election related activities processes q Support UNDP efforts to build sustainable- ca pacity in the area of democratic governance

117 Annex 7: UNDP Project Document and Results Framework (CPAP vs. non-CPAP)

Title Project Document: Required Formats and Contents Document Language English (original), French - Spanish (pending finalization of portal) Source Language English Responsible Unit BDP/CDG Creator (individual) Dien Le [email protected] Contributor Mari Matsumoto (BDP/CDG), John Patterson (BDP/CDG), Asoka Kasturiarachchi (BED/CDG), Peri Johnson (BOM/OPLS), Naoto Yamamoto (BOM.CBS), Dominic Sam (BRSP), Anne Jupner (BRSP) Subject (Taxonomy) Managing for Results, Programming, Strategy & Planning Date approved 20 December 2006 Audience All country offices. Primarily intended for staff involved in programming/project formulation. Applicability This project document format will be applicable to all projects. Replaces ATLAS supported project document and AWP. The purpose of this update is to clarify and simplify the requirements for projects under a CPAP, and projects outside a CPAP Is part of Results Management Guide Conforms to Harmonized programming procedures and ATLAS Related documents UNDG AWP guidelines, UNDP User Guide Mandatory Review After one year

Purpose and Background Project Document Guidelines Details of specific UNDP development interven- The project document format can take one of the tions are outlined in a Project Document. A Proj- following two formats, depending on whether ect Document articulates an agreement to imple- the project is within a CPAP or not. ment a project in accordance with the Standard Basic Assistance Agreement (SBAA)6857between • In harmonized countries (where CPAP/AWP to- the government and UNDP as well as with UNDP’s gether constitutes a Project Document) the fol- corporate policies and procedures. lowing components are required to fulfill the SBAA requirement for a Project Document: For the purpose of simplification, the term “Proj- 1. Cover Page (to be signed by UNDP and ect Document” is used to cover both “ATLAS sup- Implementing Partner) ported project document” and “CPAP/AWP” for- 2. AWP Budget Sheet mats currently in use, as well as any other formats, provided that the minimum documentation re- 3. Management Arrangements quirements as specified below are met. 4. Monitoring and Evaluation, including AWP Monitoring Tool 5. Legal context

68 For non-SBAA countries, the governing agreement would serve 6. Annexes: CPAP signed by Government and this purpose. In addition, for non-SBAA countries, a standard annex to the project document or CPAP is required. UNDP (incorporated by reference) 118 Required components of a project document Project Document Components CPAP Non CPAP 1. Cover page X69 X 70 2. Situation Analysis X 3. Strategy X 4. Results and Resources Framework X 5. AWP Budget Sheet(s) X X 6. Management Arrangements X X 7. Monitoring & Evaluation, including AWP Monitoring Tool X X 8. Legal Context X X 9. Annexes X71 69 Signed by UNDP and Implementing Partner 70 Signed by UNDP, Government, and Executing Agency 71 Signed CPAP (incorporated by reference) must be included These are the minimal requirements which may Notes: be supplemented as required by additional nar- 1. “X” means “mandatory” rative, AWP Budget Sheets of subsequent years, a 2. Format and language for the following compo- results and resources framework, co-financing ar- nents are standard in a Project Document: rangements, etc. Since the CPAP already contains • Cover Page the general context within which the projects • Annual Work Plan Budget Sheet operate such as the situation analysis, proposed • Annual Work Plan Monitoring Tool programme, etc. the narrative section need not • Legal Context. replicate such content. 3. Content of other mandatory components must be included in a Project Document, but can • Projects that are in countries without a signed take any format. CPAP (non-harmonized countries) or that are not incorporated into a CPAP would require the following components to fulfill the SBAA requirement for a Project Document: 1. Cover Page (to be signed by the Govern- ment, UNDP and Executing Entity) 2. Situation Analysis 3. Strategy 4. Results and Resources Framework 5. AWP Budget Sheet(s) 6. Management Arrangements 7. Monitoring and Evaluation, including AWP Monitoring Tool 8. Legal Context

• The above table summarizes the required formats and contents for a project document to be legally valid. 119 Project document format for CPAP countries

COMPONENT 1: COVER PAGE Country: ______

UNDAF Outcome(s)/Indicator(s): ______(Link to UNDAF outcome; If no UNDAF, leave blank)

Expected Outcome(s)/Indicator (s): ______(CPAP outcomes linked to the MYFF goal and service line)

Expected Output(s)/Annual Targets: ______(CPAP outputs linked to the above CPAP outcome)

Implementing partner: ______

Responsible parties: ______

Narrative

Programme Period:______Total Budget ______Allocated resources: ______Programme Component:______• Government ______• Regular ______Project Title:______• Other: • Donor ______Project ID: ______• Donor ______• Donor ______Project Duration: ______• In kind contributions ______Unfunded budget: ______

Agreed by (Implementing partner72):58):______

Agreed by (UNDP):______

72 If an NGO is the Executing entity, it would not sign this page, but rather the Project Cooperation Agreement with UNDP 120 Notes On Component 1: Cover Page Template pacity Assessment should be carried out when selecting implementing partners. Assessments of UNDAF Outcome and Indicator(s) financial management capacity would be done by a UN Country Team as required by the Har- Outcome is defined as the intended or achieved monized Framework for Cash Transfers to Imple- short-term and medium-term effects of an inter- menting Partners (HACT) vention’s outputs, usually requiring the collective effort of partners. Outcomes represent changes in development conditions which occur between Responsible parties: the completion of outputs and the achievement Formerly referred to as implementing entities of impact. — partners that have been engaged by the implementing partner to carry out activities within The cover page details the UNDAF outcome(s) a project. This would include UNDP when it pro- articulated in the UNDAF results matrix as well as vides Country Office Support services to national the expected Outcome(s) and Output(s) related implementing partner. to the project. Consistent with current practice, procurement UNDAF Outcome indicators should be listed here. procedures apply when using an NGO as a responsible party. Expected Outcome(s) and Indicator(s) Narrative section: The narrative section can be Expected Outcomes are Country Programme expanded through attachments as needed. (CP) or global (GP)/regional programme (RP) outcomes. They should reflect MYFF outcomes and Programme period: Refers to the Country Pro- ACC Sectors, which are in the ATLAS. gramme period

Outcome indicator(s) should be listed here. Programme component: Refers to MYFF Goal

Expected Output(s) and Indicator(s) Project title, project code, ATLAS award ID, project duration (self explanatory) Outputs are defined as the products and services which result from the completion of activities Management Arrangements: Indicate national, within a development intervention. UN organization, NGO or UNDP implementation Expected Outputs are Country Programme out- Total budget: Includes the budget and General puts. They should reflect MYFF outputs. Management Support Fees. In-kind contributions Output indicator(s) should be listed here. can be listed under ‘other’ resources. Unfunded amounts cannot be committed until funds are available. A multi-year project can consist of sev- Implementing partner: eral AWP budget sheets. The AWP sheet of the Name of institution responsible for managing the current year should be detailed and signed at the project. Implementing partners include national beginning of the year. institutions, UN agencies, UNDP or NGOs. A Ca-

121 Signatures: Expected Outputs should be linked to the expected output(s) and UNDAF outcome listed on the • The Implementing partner is the institution recover page, and include the relevant indicators/ sponsible for managing the project and its in- benchmarks. For an explanation of the terms and puts. concepts, please refer to the Results-Based Man- • UNDP is the UNDP Resident Representative. agement (RBM) in UNDP: Technical Note (available on the UNDP Evaluation Office website).

COMPONENT 2: Key activities would include the activities to be ANNUAL WORK PLAN BUDGET SHEET undertaken during the year to achieve the annual output targets for that year. Year ______For ease of recording, inputs that contribute to Annual Work Plan Budget Sheet more than one ‘key activity’ listed in the AWP (e.g., staff, equipment, project administration costs), can be listed as a separate ‘key activity’. Since these inputs frequently have durations of more than one year, they should be included in the total budget, and pro-rated if appropriate73.59.

EXPECTED PLANNED TIMEFRAME RESPONSIBLE PLANNED BUDGET OUTPUTS ACTIVITIES PARTY

and indicators List all activities includ- Q1 Q2 Q3 Q4 Source of Budget Amount including an- ing M&E to be under- Funds Description nual targets taken during the year towards stated CP outputs

TOTAL

73 Since the UN does not depreciate equipment, equipment should be budgeted69 Since in thethe yearUN does expected not depreciate to be purchased. equipment, equipment should be budgeted in the year expected to be purchased. 122 Timeframe would indicate the planned quarter COMPONENT 3: for the activity. MANAGEMENT ARRANGEMENT (minimum one paragraph, suggested maximum Responsible party would be either the Imple- two pages) menting partner or ‘responsible parties’ listed on It should be noted that under the CPAP arrange- the cover page. ment, execution means ownership of the country programme documented in the CPAP. Therefore, Source of funds The new budgeting practice will projects are no longer ‘executed.’ Rather, they are permit better donor reporting and country office implemented by Implementing Partners who are management. In ATLAS, each budget category is responsible for producing outputs and use of re- associated to a chart of accounts (COA). A chart of sources. Implementing partners may contract accounts is composed of: with Responsible Parties to carry out specific ac- • Account to identify what type of input being fi- tivities. nanced • Fund to specify what fund is used to finance an This section should explain the roles and respon- input sibilities (including clarification on the accountability for resources) of the parties in carrying out, • Donor to specify who made contributions to an and oversight over, the project activities. These input should correspond with the parties listed on the • Responsible party to specify who is accountable signature page as implementing partner and for provision of an input responsible parties, and include annexes (e.g., • Department to specify who owns the budget to project cooperation agreements, TORs for staff finance an input or contracts if necessary) as needed. This section should note results of capacity assessments of the • Operating Unit to specify whose balance sheet implementing partner (micro-assessment under will belong to a transaction to finance an input HACT) and how resources will be transferred (e.g., Budget Description is the input budget code (i.e., advances, reimbursement, direct payment, coun- personnel, contract, etc.) try office support services). It should also address measures for strengthening capacities where they An Annual Work Plan Budget Sheet is produced for are weak. each year. When a project has multiple years of duration, AWP Budget Sheets covering the project du- Other elements in this section include collabora- ration will constitute the project budget. The level tive arrangements with related projects (if any), of detail in AWP budget sheets for subsequent years, prior obligations and prerequisites to mitigate provided at the beginning of the project, need not identified project risks, a brief description/sum- be complete and may contain only the agreed ac- mary of the inputs to be provided by all partners, tivities and contractual commitments. However as agreement on intellectual property rights and they progressively become current, the respective use of logo on the project’s products, and audit AWP budget sheet for a given year should be com- arrangements. pleted in detail. Project budgets in ATLAS would The minimum requirements for the project man- also be entered and revised accordingly.

123 agement arrangements include the following roles Board by carrying out objective and independent and this section should explicitly list who will play project oversight and monitoring functions. This these roles: role ensures appropriate project management milestones are managed and completed. A UNDP Project Board: The Project Board is the group re- Programme Officer typically holds the Project -As sponsible for making on a consensus basis man- surance role for the UNDP Board member, and a agement decisions for a project when guidance is similar government representative would unde- required by the Project Manager, including recom- take this role for the Project Director. Note that mendation for UNDP/Implementing Partner ap- the Project Manager and Project Assurance roles proval of project revisions. Project reviews by this should never be held by the same individual for group are made at designated decision points dur- the same project. ing the running of a project, or as necessary when raised by the Project Manager. This group is con- Project Manager: The Project Manager has the au- sulted by the Project Manager for decisions when thority to run the project on a day-to-day basis on PM tolerances (i.e. constraints normally in terms of behalf of the Project Board within the constraints time and budget) have been exceeded. laid down by the Project Board. The Project Man- ager is responsible for day-to-day management This group contains three roles: and decision-making for the project. The Project • Executive representing the project ownership to Manager’s prime responsibility is to ensure that chair the group, the project produces the results specified in the • Senior Supplier role to provide guidance regard- project document, to the required standard of ing the technical feasibility of the project, and quality and within the specified constraints of time • Senior Beneficiary role to ensure the realization and cost. The Project Manager is appointed by the of project benefits from the perspective of proj- Implementing Partner. ect beneficiaries. More guidance on project management organiza- Potential members of the Project Board are re- tion is available in the RMG at http://content.undp. viewed and recommended for approval during org/go/userguide/results/rmoverview/progpro- the Local Programme Advisory Committee (LPAC) jorg/ meeting. For example, the Executive role may be COMPONENT 4: held by the Project Director, the Senior Supplier role may be held by representatives of the Imple- MONITORING AND EVALUATION menting Partner and/or UNDP, and the Senior Ben- (minimum one paragraph, suggested maximum two eficiary role may be held by the representatives of pages) other government entities or civil society. Describe briefly how the key corporate principles The Government Cooperating Agency and UNDP for monitoring, measurement and evaluation will must always be present in the project board. be applied in the project. A Communication and Monitoring plan (C&M plan) should be prepared Project Assurance is the responsibility of each Proj- that describes which activities and outputs will ect Board member, but the role can be delegated. be monitored, reviewed and evaluated, how and The Project Assurance role supports the Project by whom. The plan should articulate the types of

124 communications and associated scheduling re- er new risks emerge quired during the project, as well as methods of • Internal factors such as timing of inputs communicating project results to stakeholders. and activities, quality of products and services, coordination and/or other manage- The plan should be developed as part of the over- ment issues all Country Programme monitoring and evaluation within the context of the UNDAF M&E plan. COMPONENT 5: Project evaluations are only required when they LEGAL CONTEXT are mandated by partnership protocols, such as The following text applies: GEF. Country offices and programme units may use their discretion in selecting other projects to “This document together with the CPAP signed be evaluated to manage better for results. by the Government and UNDP which is incorporated by reference constitute together a Project Together with project issue/ risk logs, the follow- Document as referred to in the SBAA [or other ing AWP Monitoring Tool should be used for the appropriate governing agreement] and all CPAP project review purpose. provisions apply to this document.”

Expected Outputs and Indicators: List all CP outputs and indicators, including annual targets COMPONENT 6: ANNEXES Planned Activities: List all the activities including monitoring and evaluation activities, including • The CPAP signed by UNDP and the Government evaluations, field monitoring visits, technical Coordinating Agency would be appended if backstopping missions, and audits to be under- necessary. taken during the year towards stated CP out- • Any additional agreements, such as cost sharing puts agreements, project cooperation agreements signed with NGOs (where the NGO is desig- Expenditures: List actual expenditures against nated as the “implementing partner”) should be activities complete attached. Results of Activities: For each activity, state the results of the activity

Progress towards Achieving CP Outputs: Using data on annual indicator targets, state progress towards achieving the CP outputs. Based on the updated project issue/risk logs, comment on factors that facilitated and/or constrained achievement of results including: • Whether risks and assumptions as identified in the CP M&E Framework materialized or wheth-

125 Project document format for non-CPAP countries

COMPONENT 1: COVER PAGE Country: ______

UNDAF Outcome(s)/Indicator(s)74:60: ______(Link to UNDAF outcome; If no UNDAF, leave blank)

Expected Outcome(s)/Indicator (s): ______(GP/RP/CP outcomes linked to the MYFF goal and service line)

Expected Output(s)/Annual Targets: ______(GP/RP/CP outputs linked to the above CP outcome)

Executing Entity: ______

Implementing agencies: ______

______

Narrative

Agreed by (Government):______

Agreed by (Executing entity75):______61):

Agreed by (UNDP):______

74 For global/regional projects, this is not required 75 If an NGO is the Executing entity, it would not sign this page, but rather the Project Cooperation Agreement 126 Notes on Component 1: Cover Page Template Executing entity: Name of institution responsible for managing the UNDAF Outcome and Indicator(s) programme or project (formerly referred to as ex- Outcome is defined as the intended or achieved ecuting entity). Executing entities include nation- 7662 short-term and medium-term effects of an inter- al institutions, UN agencies, UNDP or NGOs. A vention’s outputs, usually requiring the collective Capacity assessment should be carried out when effort of partners. Outcomes represent changes selecting executing entities. in development conditions which occur between the completion of outputs and the achievement Implementing agencies: of impact. Implementing entities are partners that have been engaged by the executing entity to carry The cover page details the UNDAF outcome(s) as out activities within a project. This would include well as the expected Outcome(s) and Output(s) re- UNDP when it provides Country Office Support lated to the project. If the UNDAF lists outcomes, services to a national executing entity. they should be included in the cover page. When UNDAF outcomes are not clearly articulated, Consistent with current practice, procurement country teams may decide to either revisit the procedures apply when using an NGO as an im- UNDAF to clarify the outcomes or leave the field plementing agency. blank. UNDAF Outcome indicators should be listed here. Narrative section: The narrative section can be expanded through attachments as needed.

Expected Outcome(s) and Indicator(s) Programme period: Refers to the Country/ Re- Expected Outcomes are Country Programme gional/ Global Programme period (CP) or global (GP)/regional programme (RP) outcomes. They should reflect MYFF outcomes and Programme component: Refers to MYFF Goal ACC Sectors, which are in the ATLAS. Project title, project code, ATLAS award ID, proj- Outcome indicator(s) should be listed here. ect duration (self explanatory)

Expected Output(s) and Indicator(s) Management Arrangements: Indicate national, Outputs are defined as the products and services UN organization, NGO or UNDP execution which result from the completion of activities Total budget: Includes the budget and General within a development intervention. Management Support Fees. In-kind contributions Expected Outputs are Country Programme or can be listed under ‘other’ resources. Unfunded global/regional programme outputs. They should amounts cannot be committed until funds are reflect MYFF outputs. available. Output indicator(s) should be listed here. 76 UNDP shall limit its role as executing agency to countries in special development situations. Please note, however, that the default modality for election-related assistance is UNDP execution/ implementation given the political sensitivities involved and the Note of Guidance signed between UN DPA and UNDP on electoral assistance. 127 Signatures: has been explained elsewhere in the document, • The executing entity is the institution respon- there is no need to reproduce the text. Simply re- sible for managing the project and its inputs. fer to the section (This would be especially true for GEF projects.) This section should detail how • UNDP is the UNDP Resident Representative, RB the project outputs will support achievement of or BDP director. the outcome. Explain in particular how UNDP will • The Government counterpart is the Government support policy development and strengthen na- Coordinating Agency tional capacities and partnerships to ensure that there are lasting results. In addition, in cost shar- COMPONENT 2: ing projects, the rationale for donor assistance SITUATION ANALYSIS and how they support the outcomes should be (minimum one paragraph, suggested maximum described. one page) To the greatest extent possible, link to the Country COMPONENT 4: Programme Document (CPD)/Global Programme RESULTS AND RESOURCES Document (GPD)/Regional Programme Docu- FRAMEWORK ment (RPD), CCA and UNDAF situation analysis. Describe concisely the desired outcome (with If the situation analysis has been explained else- outcome indicator), and outputs to be produced where in the document narrative section, there through UNDP-supported efforts, and related ac- is no need to reproduce the text. Simply refer to tivities and inputs. Include annual output targets the section (This would be especially true for GEF where necessary to clarify the scope and timing projects.) State the problem to be addressed usu- of the outputs. The RRF template is given as fol- ally in terms of needs for capacity development, lows. and provide a reference (and hypertext links) to the relevant outcome in the country programme. References to the HDR and MDGs may also be included. Explain the national institutional and legal framework and the intended beneficiaries. Provide a reference (and hypertext links) to the findings of relevant reviews or evaluations.

COMPONENT 3: STRATEGY (minimum one paragraph, suggested maximum one page) Link to the CP/GP/RP and UNDAF to the greatest extent possible, which should outline the global/national strategy including the national commitment to achieving the outcome and UN niche in supporting the strategy. If the strategy

128 PROJECT RESULTS AND RESOURCES FRAMEWORK CompletePROJECT the R ESUtableLT belowS AND for RtheESOU outcomeRCES that FR AMEWORK theComplete project the is designed table below to address. for the outcome that the project is designed to address.

Intended Outcome as stated in the Country/ Regional/ Global Programme Results and Resource Framework: Assign a number to each outcome in the country programme (1, 2,...). Outcome indicators as stated in the Country/ Regional/ Global Programme Results and Resources Framework, including baseline and targets. Applicable MYFF Service Line: Partnership Strategy Project title and ID (ATLAS Award ID):

Intended Outputs Output Targets for Indicative Activi- Responsible Inputs (years) ties parties

Specify each output Use this column for State the main Specify parties Specify the that is planned to the more complex activities needed to that have been nature and cost help achieve the projects where an produce each output engaged by the of the UNDP outcome; where the output takes more or annual output executing en- inputs needed output itself is not than one year to target tity to carry out to produce clearly measure able, produce. these activities each output. include an associated output indicator, a baseline and target to Number the activi- facilitate monitoring ties: of change over time. 1.1.1, 1.1.2, etc. Number the intended outputs:

1.1, 1.2, etc.

COMPONENT 5: ANNUAL WORK PLAN BUDGET SHEET Key activities would include the activities to be Expected Outputs should be linked to the expect- undertaken during the year to achieve the annual ed output(s) and UNDAF outcome listed on the output targets for that year. cover page, and include the relevant indicators/ benchmarks. For an explanation of the terms and For ease of recording, inputs that contribute to concepts, please refer to the Results-Based Man- more than one ‘key activity’ listed in the AWP (e.g., agement (RBM) in UNDP: Technical Note (avail- staff, equipment, project administration costs), able at the UNDP Evaluation office website). can be listed as a separate ‘key activity’. Since

129 these inputs frequently have durations of more tain only the agreed activities and contractual than one year, they should be included in the to- commitments. However as they progressively be- tal budget, and pro-rated if appropriate.77 63 come current, the respective AWP budget sheet for a given year should be completed in detail. Timeframe would indicate the planned quarter Project budgets in ATLAS would also be entered for the activity. and revised accordingly.

Responsible party would be either the executing entity or implementing agencies listed on the cover page.

Source of funds The new budgeting practice will permit better donor reporting and country office management. In ATLAS, each budget category is associated to a chart of accounts (COA). A chart of accounts is composed of: • Account to identify what type of input is being financed • Fund to specify what fund is used to finance an input • Donor to specify who made contributions to an input • Responsible party to specify who is accountable for provision of an input • Department to specify who owns the budget to finance an input • Operating Unit to specify whose balance sheet will belong to a transaction to finance an input

Budget Description is the input budget code (i.e. personnel, contract, etc.)

An Annual Work Plan Budget Sheet is produced for each year. When a project has multiple years of duration, AWP Budget Sheets covering the project duration will constitute the project budget. The level of detail in AWP budget sheets for subsequent years, provided at the beginning of the project, need not be complete and may con-

77 Since the UN does not depreciate equipment, equipment should be budgeted in the year expected to be purchased. 130 ANNUAL WORK PLAN BUDGET SHEET Year ______

EXPECTED PLANNED TIMEFRAME RESPONSIBLE PLANNED BUDGET OUTPUTS ACTIVITIES PARTY

and indicators List all activities includ- Q1 Q2 Q3 Q4 Source of Budget Amount including an- ing M&E to be under- Funds Description nual targets taken during the year towards stated CP outputs

TOTAL

COMPONENT 6: partners and how resources will be transferred MANAGEMENT ARRANGEMENTS (e.g., advances, reimbursement, direct payment, (minimum one paragraph, suggested maximum country office support services). It should also two pages) address measures for strengthening capacities where they are weak. This section should explain the roles and responsibilities (including clarification on the account- Other elements in this section include collabora- ability for resources) of the parties in carrying out, tive arrangements with related projects (if any), and oversight over, the project activities. These prior obligations and prerequisites to mitigate should correspond with the parties listed in the identified project risks, a brief description/sum- signature page as executing entity and imple- mary of the inputs to be provided by all partners, menting agencies, and include annexes (e.g., agreement on intellectual property rights and project cooperation agreements, TORs for staff use of logo on the project’s products, and audit or contracts if necessary) as needed. This section arrangements. should note results of capacity assessments of the

131 The minimum requirements for the project man- making on project activities and accountability agement arrangements include the following rests with UNDP in accordance with its applicable roles and this section should explicitly list who regulations, rules, policies and procedures. will play these roles: Project Assurance is the responsibility of each Project Board: The Project Board is the group re- Project Board member, however the role can be sponsible for making on a consensus basis man- delegated. The Project Assurance role supports agement decisions for a project when guidance the Project Board by carrying out objective and is required by the Project Manager, including rec- independent project oversight and monitoring ommendation for UNDP/ Implementing Partner functions. This role ensures appropriate project approval of project revisions. Project reviews by management milestones are managed and com- this group are made at designated decision points pleted. A UNDP Programme Officer typically holds during the running of a project, or as necessary the Project Assurance role for the UNDP Board when raised by the Project Manager. This group member, and a similar government representa- is consulted by the Project Manager for decisions tive would undertake this role for the Project Di- when PM tolerances (i.e. constraints normally in rector. Note that the Project Manager and Project terms of time and budget) have been exceeded. Assurance roles should never be held by the same individual for the same project. This group contains three roles: Project Manager: The Project Manager has the au- • Executive representing the project ownership thority to run the project on a day-to-day basis on to chair the group, behalf of the Project Board within the constraints • Senior Supplier role to provide guidance re- laid down by the Project Board. The Project Man- garding the technical feasibility of the project, ager is responsible for day-to-day management and and decision-making for the project. The Project Manager’s prime responsibility is to ensure that • Senior Beneficiary role to ensure the realiza- the project produces the results specified in the tion of project benefits from the perspective of project document, to the required standard of project beneficiaries. quality and within the specified constraints of Potential members of the Project Board are re- time and cost. The Project Manager is appointed viewed and recommended for approval during by the Executing Entity. the Programme Advisory Committee (PAC) meeting. For example, the Executive role may be held More guidance on project management organi- by the Project Director, the Senior Supplier role zation is available in the RMG at http://content. may be held by representatives of the Executing undp.org/go/userguide/results/rmoverview/ Entity and/or UNDP, and the Senior Beneficiary progprojorg/ role may be held by the representatives of other government entities or civil society. COMPONENT 7: MONITORING AND EVALUATION The Government Cooperating Agency and UNDP (minimum one paragraph, suggested maximum must always be present in the project board which two pages) works on a consensus basis and final decision

132 Describe briefly how the key corporate principles towards achieving the CP outputs. Based on the for monitoring, measurement and evaluation will updated project issue/ risk logs, comment on fac- be applied for the project in terms of a Commu- tors that facilitated and/or constrained achieve- nication and Monitoring plan (C&M plan) should ment of results including: be prepared that describes which activities and outputs will be monitored, reviewed and evalu- • Whether risks and assumptions as identified in ated, how and by whom should be prepared. The the CP M&E Framework materialized or wheth- plan should articulate the types of communica- er new risks emerge tions and associated scheduling required during • Internal factors such as timing of inputs and the project, as well as methods of communicating activities, quality of products and services, co- project results to stakeholders. The plan should be ordination and/or other management issues developed as part of overall Country Programme monitoring and evaluation within the context COMPONENT 8: UNDAF M&E plan. LEGAL CONTEXT • If the country has signed the Standard Basic As- Project evaluations are only required when they sistance Agreement (SBAA), the following stan- are mandated by partnership protocols, such as dard text is quoted: “This project document GEF. Country offices and programme units may shall be the instrument referred to as such in use their discretion in selecting other projects to Article 1 of the SBAA between the Government be evaluated to manage better for results. of (country) and UNDP, signed on (date).” • If the country has not signed the SBAA, the fol- Together with project issue/ risk logs, the follow- lowing standard text is quoted: “The project ing AWP Monitoring Tool should be used for the document shall be the instrument envisaged project review purpose. in the Supplemental Provisions to the Project Expected Outputs and Indicators: List all CP out- Document, attached hereto.” puts and indicators, including annual targets COMPONENT 9: Planned Activities: List all the activities includ- ANNEXES ing monitoring and evaluation activities, includ- Any additional agreements, such as cost sharing ing evaluations, field monitoring visits, technical agreements, project cooperation agreements backstopping missions, and audits to be under- signed with NGOs (where the NGO is designated taken during the year towards stated CP outputs as the “executing entity”) should be attached.

Expenditures: List actual expenditures against In case of government cost-sharing through the activities complete project which is not within CPAP, the following clauses should be included: Results of Activities: For each activity, state the 1. The schedule of payments and UNDP bank ac- results of the activity count details.

Progress towards Achieving CP Outputs: Using 2. The value of the payment, if made in a currency data on annual indicator targets, state progress other than United States dollars, shall be de-

133 termined by applying the United Nations op- dance with paragraph 6 is not forthcoming erational rate of exchange in effect on the date from the Government or other sources, the as- of payment. Should there be a change in the sistance to be provided to the project under United Nations operational rate of exchange this Agreement may be reduced, suspended or prior to the full utilization by the UNDP of the terminated by UNDP. payment, the value of the balance of funds still held at that time will be adjusted accordingly. 8. Any interest income attributable to the contri- If, in such a case, a loss in the value of the bal- bution shall be credited to UNDP Account and ance of funds is recorded, UNDP shall inform shall be utilized in accordance with established the Government with a view to determining UNDP procedures. whether any further financing could be provided by the Government. Should such fur- In accordance with the decisions and directives of ther financing not be available, the assistance UNDP’s Executive Board: to be provided to the project may be reduced, The contribution shall be charged: suspended or terminated by UNDP. (a) […%]cost recovery for the provision of gen- 3. The above schedule of payments takes into ac- eral management support (GMS) by UNDP count the requirement that the payments shall headquarters and country offices be made in advance of the implementation of (b) Direct cost for implementation support planned activities. It may be amended to be services (ISS) provided by UNDP and/or an consistent with the progress of project delivery. executing entity/implementing partner.

4. UNDP shall receive and administer the pay- 9. Ownership of equipment, supplies and other ment in accordance with the regulations, rules properties financed from the contribution shall and directives of UNDP. vest in UNDP. Matters relating to the transfer of ownership by UNDP shall be determined in 5. All financial accounts and statements shall be accordance with the relevant policies and pro- expressed in United States dollars. cedures of UNDP.

6. If unforeseen increases in expenditures or com- 10. “The contribution shall be subject exclusively mitments are expected or realized (whether to the internal and external auditing proce- owing to inflationary factors, fluctuation in dures provided for in the financial regulations, exchange rates or unforeseen contingencies), rules and directives of UNDP.” UNDP shall submit to the government on a timely basis a supplementary estimate show- ing the further financing that will be necessary. The Government shall use its best endeavors to obtain the additional funds required.

7. If the payments referred above are not received in accordance with the payment schedule, or if the additional financing required in accor-

134 Annex 8: Links to Actors and Other Resources in Electoral Assistance

Electoral Assistance Providers: • The Asia Foundation, www.asiafoundation.org • United Nations Development Programme (UNDP), www.undp.org/governance/sl-elections. Useful Resources: htm • UNDP, Electoral Systems and Processes Practice Note, www.undp.org/governance/docs/ • United Nations Electoral Assistance Division, ElectionsPN_English.pdf www.un.org/Depts/dpa/ead/eadhome.htm • UNDP and Electoral Systems and Processes, • Electoral Institute of Southern Africa (EISA), www.undp.org/governance/docs/Elections_Pub_ www.eisa.org.za/ fastacts.pdf • International IDEA, www.idea.int/ • UNDP, Essentials: Electoral Assistance, www. • Instituto Federal Electoral (IFE), www.ife.org.mx undp.org/governance/docs/Elections-Pub- EssentialsElectoralAssistance.pdf • IFES – Democracy at Large (formerly known as the International Foundation of Election • ACE Project, www.aceproject.org/ Systems), www.ifes.org/ • Building Resources in Democracy, Governance • Elections Canada, www.elections.ca/ and Elections (BRIDGE) Project, www.bridge- project.org • National Democratic Institute for International Affairs (NDI),www.ndi.org/ • Electoral Process Information Collection (EPIC) Project, www.epicproject.org • International Republican Institute, www.iri.org • UNDP and IFES, Cost of Elections and • Australian Electoral Commission, www.aec.gov. Registration (CORE), www.undp.org/ au governance/docs/Elections-Pub-Core.pdf • OSCE Office for Democratic Institutions and • UNDP, A Handbook on Working With Political Human Rights, www.osce.org/ogihr Parties, www.undp.org/governance/docs/policy- • Electoral Reform International Services, www. pub-polpartieshandbook.pdf eris.org.za • UNDP and IFES, Electoral Management Bodies • European Commission, http://europa.eu.int/ as Institutions of Governance, www.undp.org/ europeaid/projects/eidhr/elections_en.htm, governance/docs/Elections-Pub-EMBbook.pdf http://europa.eu.int/comm/external_relations/ • United Nations Committee of Experts on Public human_rights/eu_election_ass_observ/index. Administration, http://unpan.org htm • IFES, Election Guide: A Guide to Presidential • Electoral Reform Society, http://electoral-reform. and Parliamentary Elections, www. org.uk electionguide.org 135 • EC, Methodological Guide on Electoral Assistance, http://ec.europa.eu/europeaid/ projects/eidhr/ec_methodological_guide_on_ electoral_assistance_en.pdf

• International IDEA, Electoral System Design: The New International IDEA Handbook, www. idea.int/publications/esd/upload/ESD_full_with %20final%20changes%20inserted.pdf

• International IDEA , Voter Turnout Database, www.idea.int/vt/index.cfm

• International IDEA and Stockholm University, Global Database of Quotas for Women, www. quotaproject.org/

• International IDEA, The Electoral Management Design Handbook, www.idea.int/publications/ emd/index.cfm

• IFE and International IDEA, Handbook of External Voting, www.idea.int/elections/upload/ External_voting_Preview_withlayout_07june06_ final.pdf

136 Annex 9: Integrated Electoral Assistance Organizational Chart — DRC

SRSG

DSRSG

Country Director Forces UNDP Commander Chief Electoral O cer

Deputy Resident Police Representative Police Commissioner UNDP Training

Senior Election MONUC Chief of CTP, APEC Advisor Operations UNDP

CTP Securisation APEC Operations Legal Affairs Elections Dispute Coordinator Settlement

Tele- Finances Training Civic Education communication Coordinator Police Gender & Elections Communications CNT Election Planning Stock Manager Fleet Management

Voting Process Human Logistics Oversight Resources IEC LAN Manager Gender Expert Communication Police Logistics

Electoral Process Team Gender & Elections Team Securitization Team

135 United Nations Development Programme Democratic Governance Group Bureau for Development Policy 304 East 45th Street, 10th Floor New York, NY 10017 F: (212) 906-6471 www.undp.org

Cover photo: UNDP DRC/ Giacomo Pirrozi Design: cynthiaspence.com