March 19, 2010

1. Observing the Use of Electoral Technologies: A Manual for OAS Electoral Observation Missions Betilde Muñoz-Pogossian, Ph.D. Chief, Electoral Studies and Projects Department for Electoral Cooperation and Observation Secretariat for Political Affairs March 19, 2010

2. Electoral Technology in the Americas: Background

3. OAS Electoral Observation • International Electoral Observation: refers to the process through which an organized group of voluntary citizens foreign to the host country carries out, in a systematic manner, a series of activities to directly, completely and accurately assess the degree to which a member state’s election complies with national electoral laws and international norms and standards of legitimacy and transparency. • ii. Electoral Observation Mission: is the instrument through which international election observation is conducted.

4. Some Facts about OAS Electoral Observation Missions (OAS/EOMs) • More than 180 electoral observation missions since 1962. • More than 3.000 international observers deployed throughout the Americas. • Elections observed in 28 (of 34) member countries. • OAS observes in response to the invitation of the Member State. • EOMs may last from 15 days to 6 months-1 year (average duration: 30 days). • Development and systematization of various methodologies and tools for electoral observation. • Signatory to the International Declaration for International Electoral Observation and Code of Conduct (2005).

5. OAS/EOM Structure

6. Standards for Election Observation: The Concept of Democratic Elections • Components, sub-components, indicators- questionnaire administered on a representative sample. • Based on three basic interamerican legal instruments: American Convention on Human Rights (1969), American Declaration of the Rights and Duties of Man (1948), Interamerican Democratic Charter (2001).

7. Guidelines for Election Observation: Standardizing methods and tools in OAS/EOMs, 2006-Present • In light of the growing use of information technologies in the region, and as part of its process of systematizing and standardizing tools and methodologies for its Electoral Observation Missions(OAS/EOMS), DECO has developed a series of methodologies to help the organization improve its election observation tools. • Manual for OAS Electoral Observation Missions (2009) • Methods for Election Observation: A Manual for OAS Electoral Observation Missions (2007) • OAS Methodology for Media Monitoring during Electoral Observation Missions (in process) • Methodology for Integrating a Gender Perspective into OAS Electoral Observation Missions (EOMs): A Manual for OAS/EOMs (in process) • Methodology for Observing the Use of Electoral Technologies

8. Observing the Use of Electoral Technologies: A Manual for OAS Electoral Observation Missions (2010)

9. Observing the Use of Electoral Technologies: A Manual for OAS Electoral Observation Missions (2010) • Purpose: to identify the aspects that should generally be considered in the observation of elections in which technology is a factor in each of the three stages of an electoral process: • Pre-electoral stage • Election Day • Post-electoral stage • Uses: the manual was designed for long-term and short-term observers, the Core Group of an OAS/EOM, particularly the Information Systems Specialist.

10. Observing the Use Electoral Technology by OAS/EOMs: How it is done? • During the set-up of the Mission, Core Group under the guidance of the Information Systems Specialist carry out an analysis of the situation in terms of the use of technologies (legal framework, interviews with EMBs, site visits, parties, observation of tests, etc). • Core Group and Information Systems Specialist (ISS) fill out “Questionnaire for a Highly Automated Process” • ISS prepares an Executive Report with complementary documentation. • ISS presents Report to Chief of Mission. • IS prepares guidelines for technical observation in the field. • General Coordinator and ISS adapt the standardized questionnaire for electoral observers based on the information collected. • General Coordinator and ISS prepare training sessions for long-term and short-term observers.

11. What aspects are observed by OAS/EOMs: PRE-ELECTORAL PHASE • Analysis of the legal framework emphasizing the use of technology in the electoral process. • Process of registration of political organizations, candidates and oversight of election campaigns. • Electoral Registry and the Voter List. • Electoral Mapping. • Dissemination of the voter list. • Electoral Organization Process. • Electronic Voting. • System for Transmission of Preliminary Election Results (TREP).

12. Principles/Guidelines for E-Voting: What does OAS observe? • Authentication-ensuring who votes. • Uniqueness of the vote-one voter-one vote, result cannot be modified. • Anonymity-voter not associated with the vote, thus guaranteeing secrecy of the ballot. • Impossibility of coercion- voter should not demonstrate how he/she voted, impeding vote buying • Accuracy-System should record votes correctly and securely. • Verification (traceability)-Voter obtains receipt from the voting system. • Ability to be audited-be able to verify each and every vote. • Reliability-Systems should work properly, without losing votes.

13. Principles/Guidelines for E-Voting: What does OAS observe? 10. Flexibility-equipment should be flexible in terms of formats uses, language and compatibility. 11. Accessibility-Individuals with limitations and disabilities should have the necessary access to vote. 12. Ease of use-Easy for voters, regardless of educational level, to cast a ballot. 13. Cost efficiency & Economy-Accessible and easily reusable, should be competitive with cost of traditional voting. 14. Ability to be certified-by the EMB, political parties, social organizations. 15. Invulnerability-System must block manipulation at all levels. 16. Openness-access to information about how the system works.

14. E-Voting: What to observe in the Pre-Electoral Stage? • To make sure that the identification system and the voting system are not connected or interlinked, in order to guarantee the secrecy of the vote. • Observe tests and simulations conducted by the EMB (steps in the voting system, receipt and presentation of results), including what contingency plans are in place. • Observe whether the system has any special certification of e-voting, and under which standards was the certification given (e.g. ISO norms, others). • **** • If Direct-Recording Electronic (DRE) Systems are used, verify the certainty with which the system can read and identify data and marks on the ballot. • If an internet-based voting system is used, verify systems in place to reliably identify the voter (PINs, electronic signature, etc) and to guarantee the protection of the information through encryption.

15. Electronic Voting: What should the OAS/EOM observe on Election Day? • 1. Opening of the voting process with e-voting: • Observe if the polling station has all the necessary equipment and systems. Has the electronic voting box been set to “zero?” • OAS observers should pay attention to the conditions and time in which the voting process opens at the designated polling station (following the standardized questionnaire). 2.Voting: • Does the machine display the list of candidates/political parties? • Is a fingerprint-capture system used to identify citizens? • Does it print out a receipt, which the voter must deposit in a ballot box? • Observers should pay attention to the procedures used for voter identification and casting ballot. • 3. Closing: • Are votes tallied automatically? Are results transmitted automatically and online? Is there a printed receipt of the electronic vote? Can audits be conducted with those? • Also observes the process of dismantling and packing up the installation and safekeeping of the systems.

16. Electronic Voting: What should the OAS/EOM observe in the Post-Electoral Stage? • The OAS observes the entire progression of the processing, presenting and publishing of the election results. • Are results received in electronic form? • Are results produced automatically? Are results presented automatically? • How are results displayed? -Terminals, Screen, Internet? • Are the results audited? Do political actors have access to all stages? • The OAS EOM observes how the EMB resolves any later challenges by political actors.

17. E-Voting: Some Reflections • For the Member State implementing it or considering its implementation: • Implementation responds to a sovereign decision (weighing costs and benefits, context, acceptance by electors, literacy and e-literacy factors, etc) • Balance between speed and security, on one hand, and transparency and accessibility, on the other. • Regulations for the application of technology are needed. • Accountability is key. • Training sessions are necessary (both for EMB staff, the citizenry and specially political party auditors). • Civic education campaigns are needed. • Printed guidelines for e-voting should be available. • Political actors and domestic/international observers should be present during the tests and simulations conducted. • Need to design a communication strategy to inform the press about the process, make them knowledgeable and ensure press coverage is fair.

18. E-Voting: Some Reflections • For organizations conducting International Electoral Observation: • Two conditions to be observed: secrecy of the vote and the accurate representation of the intention of the voter. • Conditions for the adequate observation of e-voting should be guaranteed legally (access to information, equipment and procedures)-Agreement on Procedures for Electoral Observation. • Advance presence in the country should be allowed to observe trials and simulations, and make recommendations, if requested. • Member state should also allow site visits, access to timetables, sources, audits. • Procedures (methodologies, manuals, etc) for electoral observation must be disclosed to the Member state. • Adequate training for LTOs and STOs on how to observe e-voting must be conducted (procedures, how to collect information, how to transmit it). • Coordinate efforts with other international organizations conduction election observation.