Lesson III – Who Organizes and Conducts Elections? Electoral Management Bodies
(EMBs)
Summary of the Lesson:
This lesson presents a global, comparative study of EMBs. The features that the models display
include the relationship with government, qualifications, appointment process, and terms. The
lesson explores EMBs conducting elections for governmental and non-governmental offices. The
lesson also includes case studies of EMBs conducting both governmental and non-governmental
elections including EMBs such as the Australian Election Commission and the Korean Election
Commission. In addition, other non-governmental EMB models are explored including private
election management companies and self-administered elections.
Warm-Up Questions and Tasks:
1. Do you know who administers elections in your country? Is it a government ministry or
another government body? If not a government body, what is the status of the
organization in charge?
2. What about your organization (if applicable)? Do you know of other organizations in
your country which elect their leadership or vote on important decisions and policies?
Recommended Reading:
1. Electoral Management Design: The International IDEA Handbook, Chapter 1: Who
Organizes Elections? P. 5-27
http://www.idea.int/publications/emd/upload/EMD_chapter1.pdf
2. Electoral Management Design: The International IDEA Handbook, Chapter 3: The
Powers, Functions, and Responsibilities of an EMB? P. 61-75
http://www.idea.int/publications/emd/upload/EMD_chapter3.pdf
Lesson:
The ACE Knowledge Network defines an electoral management body (EMB) as “an
organization or body which has been founded for the purpose of, and is legally responsible for,
managing one or more of the elements that are essential for the conduct of elections, and of
direct democracy instruments – such as referenda, citizens’ initiatives, and recall vote – of those
that are part of the legal framework.”1 EMBs are variously called “Commissions,” “Councils,”
“Boards,” “Tribunals,” and “Departments.”
EMBs administering government elections (public sector EMBs) are broadly divided based on
their relationship to the government and functions resulting from that relationship into the
Independent Model which is institutionally independent and autonomous from the executive
branch of government, Governmental Model where elections are managed by the executive
branch, and Mixed Model where elections are usually organized by a governmental type EMB,
1
ACE Knowledge Network, www.aceproject.org, “What is an electoral management body (EMB)?”
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but some level of oversight is provided by an independent EMB. This division is based on
International IDEA’s 2006 global survey of electoral management in 214 countries and
territories and it is accepted with some variations by election practitioners. 2 Public EMBs can
also be centralized or decentralized, also based on their relationship to the government.
For the purposes of this course, primary consideration is given to non-governmental (or nonpublic sector) EMBs, that is, those individuals and offices in or outside an organization
responsible for the conduct of elections.
In administering non-governmental elections, the main division can be made between internal
and external EMBs based on whether an election is organized and implemented directly by the
organization conducting an election, or by an external organization contracted to administer an
election on behalf of an organization. Internally, individuals, divisions or departments within an
organization are tasked with organizing an election. Externally, companies providing election
administration services perform the functions of an EMB. External administration of elections is
more common in western democracies, and some public-sector EMBs such as Australian
Electoral Commission or Korean Electoral Commissions also offer election administration
services to organizations in their countries. Organizations in emerging democracies tend to
administer their own elections.
Despite the differences between the types of EMBs, what public and non-public sector EMBs
have in common are their functional elements or responsibilities. Such elements were described
in detail in the Lesson I: Fundamental Functions and Elements of EMBs. The functions are
typically performed by EMBs and can be divided into “essential or core elements” and “other
elements.”
The five “essential elements” in common:
1. ”Determining who is eligible to vote (both in terms of establishing the eligibility criteria to
vote and/or ensuring adherence with existing legislation);
2. Receiving and validating the nominations of electoral participants (for elections, political
parties and/or candidates);
3. Conducting polling;
4. Counting the votes; and
5. Tabulating the votes.”3
Other or “non-core elements” in common include:
2
International IDEA, http://www.idea.int/publications/emd/upload/EMD_Annex_A.pdf World Survey of EMBs,
2006
3
ACE Knowledge Network, www.aceproject.org, “What is an electoral management body (EMB)?”
2
1. Voter Registration;
2. Boundary Limitation;
3. Voter Education and Information;
4. Media Monitoring; and
5. Electoral Dispute Resolution.
Another important feature of EMBs is their permanence. In other words, EMBs can be temporary
or permanent. Temporary EMBs exist during the electoral period only. For example, temporary
EMBs are common in governmental type EMBs administering governmental elections because
civil servants who run elections have other duties, and are assigned to EMBs during electoral
periods only. Similarly, in non-governmental elections, where a department or unit within an
organization serves as an EMB, the staff of such department or unit also has other duties within
the organization and is usually assigned electoral duties during the electoral period only.
Permanent EMBs are justifiable in cases where electoral events occur regularly or where there is
continuing electoral development work, which is often the case in emerging democracies. One of
the other key factors to consider when deciding between temporary or permanent EMBs is
whether the cost for maintaining a permanent EMB is justified.
In terms of EMB composition, public sector EMBs typically consist of the commission which
determines the policy and supervises the implementation of major administrative and logistics
operations and the larger administration in charge of implementation. Commissioners can be
party or expert based, or mixed. For non-public sector, the EMB is typically expert based and
smaller, consisting of only a few members, or as in case of Australian Electoral Commission,
only one returning officer (although he or she relies on other AEC resources).
The University of California at Berkeley’s Election Administration Research Center (EARC)
describes election administration through four fundamental questions.4
What is “election administration”?
Election administration involves the facilitation of voting and the management of elections at all
levels, from local to federal. It includes the organization of election agencies, the behavior and
characteristics of state and local election officials, the process of conducting elections, and the
implementation of election policies.
Who are election administrators?
There are many different election administrators at all levels of the process. They range from the
state’s Election Director, who has the overall responsibility for the conduct of elections in the
state, to the poll works, who is sworn in for the day of the election and is responsible for the
polling place.
4
The University of California at Berkeley’s EARC, http://earc.berkeley.edu/faq.php Frequently Asked Questions
3
What does an election administrator do?
Typical tasks…including the following: supervising the registration of all voters, conducting of
[all] election, processing local and statewide petition…establishing and maintaining precinct
boundaries, equipping polling places on election day, appointing and training polling place
election officers, tabulating election returns, preparing a statement of votes cast, and maintaining
the master voter file.
In its role as the impartial “referee” of an organization membership’s vote, it is expected that the
EMB abide by a set of personal and professional ethics. One summary of these ethics is
provided by the International Institute for Democracy and Electoral Administration (IDEA) and
shown below in the Code of Conduct for the Ethical and Professional Administration of
Elections. The Code puts forward five Ethical Principles:





Principle 1 – Election administration must demonstrate respect for the law
Principle 2 – Election administration must be non-partisan and neutral
Principle 3 – Election administration must be transparent
Principle 4 – Election administration must be accurate
Principle 5 – Election administration must be designed to serve the voters5
For the purposes of this course, the five principles have been adjusted as follows:
Ethical Principle 1

Comply with the laws of the country

Ensure, within the legal framework of the country, that the laws relating to elections are
fully implemented in an impartial and equitable fashion

Ensure, within the legal framework of the country, that every party, candidate, vote and
other participant in the election process is treated in a way that is fair and just,
considering all the circumstances
Ethical Principle 2

Act in a strictly neutral and unbiased manner in every matter concerning a political party,
candidate, voter, or member of the press or media

Do nothing that could indicate, or be seen as indicating, partisan support for a candidate,
political party, political actor or political tendency
5
International IDEA, http://aceproject.org/ero-en/topics/electoral-management/CodeConductAdmin.pdf/view Code
of Conduct for the Ethical and Professional Administration of Elections, 1997
4

Conduct themselves, at all time, in an irreproachable manner, exercise sound judgment,
and observe the highest levels of person discretion

Disclose any relationship that could lead to a conflict of interest with the duties as
election administrators

Do not accept any gift or favor from a political party, organization, or person involved in
the election process

Reject any improper influences, and except as provided by law or custom, refrain from
accepting directions relating to the performance of your tasks

Do not participate in any unauthorized activity, including any private activity, that could
lead to an actual or perceived conflict of interest with your duties as election
administrators

Do not participate in any activity, including any private activity, that could lead to a
perception of sympathy for a particular candidate, political party, political actor, or
political tendency

Do not express a view on any subject that is likely to be a political issue in the election

Do not communicate with any vote on a matter of partisan significance

Do not wear, carry, or display any obviously partisan (block or coalition) symbols or
colors
Ethical Principle 3

Ensure that the agents of each political party, block, coalition, or candidate can fully and
effectively exercise their legal rights

Consult with participants in the electoral process on a regular basis, and in relation to
specific decisions, if it is appropriate to do so in the circumstances

Provide an explanation, in response to reasonable requests, for a decision made as part of
the electoral process, or a decision made as part of the general operation of the election
administration

Establish a system that allows interested parties to access, in a timely manner, all critical
information, documents, and databases used in an election process, or used in the normal
operation of the election administration

Disclose any deficiency in the administration of an election if outcomes to their attention
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Ethical Principle 4

Ensure that information is collected, compiled, and published in a way that is systematic,
clear, and unambiguous

Do anything necessary, within the legal framework, to ensure that all the information
compiled, used, or published has a sound factual basis.
Ethical Principle 5

Make it as convenient as possible for voters to participate in the election process

Ensure that voters adequately understand the election process

Do everything possible to provide access to vote for people with special needs, such as
blind, physically handicapped, or illiterate, or those living in remote areas
The following Case Study for an independent type of EMB in governmental elections was
adjusted for this course and exhibits many of the features discussed in this session:6
Case Study I: Governmental Election
Bosnia and Herzegovina, Independent Type EMB
Institutional Structure
The Election Commission (EC), established in November 2001, is composed of seven members,
with two representatives for each of the three constituent peoples (Bosniacs, Croats and Serbs)
and one representative of the ‘Others’. The members of the EC are appointed by the Parliament
for a five-year mandate, renewable for a second term, and the chair rotates among its members
every 15 months. The EC is serviced by a Secretariat, headed by a secretary general who is the
chief executive officer. It comprises six divisions, and has a total of around 40 permanent staff.
After the appointment of the EC, the OSCE transferred its most experienced national staff to the
Secretariat of the EC. From the beginning of 2003, all EC staff came under the national payroll.
The Election Law also established an Election Complaints and Appeals Council (ECAC), which
has powers to adjudicate on disputes over violations of campaign rules and campaign financing
irregularities. It consists of five members – one representative of each of the three constituent
ethnic groups and the ‘Others’, and one member of the EC. The EC reviews all ECAC decisions
and the EC Secretariat supports its work. At the level of the two entities that make up the
Bosnian state, two election commissions have recently been established. In addition, within the
Federation of Bosnia and Herzegovina, each canton administration appoints its own election
commission. However, the role of these intermediary commissions remains rather marginal and
is essentially a monitoring one. Finally, the municipal election commissions (MECs) have the
functions of organizing electoral activities, including voter registration, within their respective
municipalities.
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Electoral Management Design: The International IDEA Handbook, 2006
6
Powers and Functions
The EC is vested with the power to issue regulations on all aspects of the electoral process, to
maintain and update the central electoral register, to register parties and candidates, and to
implement all levels of elections from the national to the municipal. More importantly, the EC
has the power to coordinate, oversee and regulate the activities of all other election commissions
provided for in the complex political and institutional set-up of BiH. The EC has proved so
far to be a truly independent body, and has gained ‘on the ground’ a higher authority than
originally envisaged. The EC is also empowered to audit political party finances well beyond the
election campaign periods, and has been given vast powers to investigate public officials,
sanction them and remove them from their elected or appointed positions when a conflict of
interest is proved.
Financing
The EC is financed by the national, entity, cantonal and municipal budgets. Their respective
shares vary according to the type of election to be held. There are no clear provisions on how
the disbursement mechanisms should function, and this has been a source of continuous
disagreement and friction. To date, full funding for the EC has come only after strong pressure
from the international supervisors of BiH. Given the recent history of international support for
elections, there is still a lack of appreciation, especially at the municipal level, that elections have
now become a completely internal matter that must be funded by the domestic authorities.
Accountability
The EC is accountable to the Parliament of BiH, to which it submits an annual report of
its activities. Its tendering, procurement and disbursement procedures have been established
in compliance with the national legislation. The State Audit Commission audits the EC’s
expenditure regularly.
The Professionalism of Electoral Officers
A successful OSCE programme for the relocation of its national electoral staff to the EC ensured
the rapid and effective transfer of knowledge that allowed the smooth running of the 2002
elections. However, the lack of appropriate transitional employment policies and rules caused
the departure of many experienced staff in 2005. The recruitment and training procedures set
out for the EC by the BiH Agency for Civil Service have proved so far to be too cumbersome
and obsolete, and do not guarantee the conservation of the necessary levels of professionalism.
At the municipal level, some serious problems remain in ensuring that MEC members are
properly qualified and sufficiently independent.
Relations with the Media
The EC enjoys very good relations with the media. Its sessions are always open to the media and
observers, and are regularly followed by press releases. The Commission Regulatory Agency
(CRA), the body that regulates the behavior of the media in the country, has jurisdiction over
all violations of the election law by the media, but the EC has the power to issue regulations on
media coverage of political actors during the election period. The two agencies hold regular and
transparent coordination meetings.
Relations with Other Institutions and Agencies
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The creation of an independent and sustainable EC was a lengthy and complicated operation
engineered by the international supervisors of BiH. The perception of the EC being an
‘international’ creation, together with its need to become operational immediately to run its
first elections less than a year after it was set up, generated some initial criticism and boycotting
in minor ways by other state agencies and ministerial offices. The EC faced the challenge with
great energy and enthusiasm, and managed quickly to garner the respect of all stakeholders,
especially the political parties.
Electoral Reform Management
The EC does not have the power to amend the Election Law, but it can recommend and draft
amendments for parliamentary review and promote the setting up of ad hoc working groups
on electoral reform with the government. While certain political actors still remain opposed to
many of the complex formulae used to translate votes into seats, and are advocating changes,
none of them has so far been able to propose new systems of representation that could be
accepted by all the forces present in the Parliament and give equal protection to the interests of
all the ethnic groups.
Sustainability
The first great achievement of the EC was to bring down the costs of elections to very affordable
figures which are in line with those of other democracies of similar dimensions. However, a
serious lack of appreciation remained on the part of many of the country’s institutions regarding
the challenges connected with the organization of elections in general, and in particular of the
extraordinary complexity of the tasks the EC faces. This is reflected in a persisting reluctance
to meet the EC’s funding and procurement needs in a timely fashion.
The EC has already firmly established itself as a central asset in the BiH system, and is
viewed as an example of how a central and multi-ethnic institution could impartially serve the
different groups and interests present in the country. However, it is still a very young institution
requiring international support to preserve its independence and impartiality.
The major sustainability problem facing the EC is the hiring and retaining of experienced
and qualified personnel. Many of the procedures put in place by the EC rely in practice on
sophisticated IT solutions. While this was a necessary move to rationalize operations and
reduce costs, they require a very high level of specific technical expertise that is not found in
any other sector of the BiH public administration. To guarantee the recruitment and retention
of highly qualified and neutral IT professionals, the EC needs to be able to choose more freely
the professional profiles that best meet its IT requirements and adopt competitive salary scales.
Otherwise, the long-desired absorption of the EC within the BiH institutional framework
might cause the lowering of the very professional standards that made the EC an example to
be followed. The second important issue of concern is the relationship between the EC and the
MECs. The professionalization and depoliticization of most MECs has not been achieved.
This might be remedied if the MECs were brought clearly under the EC chain of command,
with the possibility for the EC to dismiss incompetent and biased MEC members. Under this
framework, the other intermediate election commissions would continue to play a supervisory
and guarantee role.
The following Case Study of an EMB administering non-governmental elections externally was
adjusted for this course and exhibits features discussed in this lesson:
8
Case Study II: Non-Governmental Election
Industrial Elections in Australia, External Type EMB
EMB Composition
A staff member of Australian Electoral Commission (AEC), which otherwise administers
governmental elections in Australia, is appointed as returning officer and he/she contacts the
organisation to make preliminary election arrangements.
Each registered organisation has a set of rules that have been certified by Fair Work Australia.
Subject to certain provisions of the Act, each election is conducted in accordance with the rules
of the organisation. Most organisations have specific rules covering:
-nominations
-candidates’ statements (if applicable)
-eligibility of members to vote
-method of voting
-preparation of ballot material
-order of candidates' names on the ballot paper
-scrutineers
-term of office, and
-election dates
EMB Functions:
Advertising
The returning officer calls for nominations by placing advertisements in daily newspapers and/or
the organisation's journal or by sending notices to each member.
Nominations
Returning officer checks that candidates are qualified to be nominated. If only sufficient valid
nominations are received to fill advertised vacancies in all offices listed for election, nominees
are declared elected immediately.
Ballot Paper Preparation
If the organisation does not specify whether candidates' names on the ballot paper are to be listed
in alphabetical order, the order is determined by lot conducted by the returning officer. The
returning officer lists the names on the ballot paper in accordance with such rules.
Candidates' Statements
Returning officer distributes statements in support of individual candidacy with ballot material.
Roll of Voters
The returning officer advises the organisation of the requirements for provision of a certified list
of names and addresses of members eligible to vote.
Conduct of the Ballot
All elections are conducted by secret ballot and in almost all cases ballots are conducted by post.
In postal ballots the returning officer posts ballot material to members at the address shown in
the organisation's records and provides voters with a declaration envelope and a prepaid
envelope for the return of their completed ballot papers. Generally a period of 2 - 3 weeks is
allowed for the return of ballot papers, but particular circumstances may require a shorter or
longer ballot period.
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Replacement ballot material
Enquiries about the non-receipt of ballot material are directed to the returning officer.
Scrutiny
The returning officer conducts the scrutiny at his/her office after the close of ballot, taking into
account the rules of the organisation concerning:
-the method of voting (for example, first-past-the-post, preferential, etc)
-formal/informal votes
Re-counts
A returning officer may re-count some or all ballot papers at the request of a candidate or on his
or her own decision (and usually only when the result of an election is very close).
Scrutiny
At the scrutiny a scrutineer appointed by a candidate may bring to the returning officer's
attention any matters concerning:
-the issuing of ballot papers
-the admission of envelopes to the scrutiny
-the formality/informality of ballot papers
-the counting of votes
Declaration of Results
At the completion of the scrutiny, the returning officer declares the results in writing and issues
copies of the results to the Secretary of the organisation concerned and the candidates.
All ballot material is kept for one year after the completion of the election.
Post-Election Reports
After the completion of an election, the AEC provides a written report on the conduct of the
election to Fair Work Australia and the organisation or branch for which the election was
conducted.
Election Inquiries
The Electoral Commissioner (of AEC), a member of an organisation or person who has been a
member within the preceding 12 months may apply to the Federal Court for an inquiry into
alleged irregularities in relation to an election.
The following Case Study of an EMB administering non-governmental elections externally was
adjusted for this course and exhibits features discussed in this lesson:
Case Study III: Non-Governmental Election
University of Iowa, Internal Type EMB
The Student Election Board (SEB) publishes a University of Iowa Student Government Elections
Code. This Code describes the authority of the SEB in the conduct of election. Candidate
registration involves attendance at a mandatory meeting to explain the rules of candidacies, a
petition of no less than 300 signatures supporting the candidate, and a bond of $100. The SEB is
charged with the responsibility of sponsoring candidate debates. Campaign procedures are
described in the Code to include poster, speeches, advertisements, and web site among other
allowable techniques. The use of university property for campaign purposes must be approved
by the SEB. Campaigning can only occur during the designated campaign period. There are
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spending limits for candidacy of $3,000 for president and $300 for senate. Source of funds and
expenditures must be disclosed.
The only method of voting is on-line. The Code offers accommodation for complaints to be filed
about the election. These complaints are filed with the SEB and hearings are undertaken to
adjudicate the grievance. Monetary fines can be imposed for electoral infractions. Appeals to
the SEB can be taken to the Student Juridical Court. The SEB has the authority to certify the
election results after the complaints are settled.
Case Study IV: Stanford University – Good Practices Model for an EMB
Student elections are administered by a four member Elections Commission including an
Election Commissioner, Assistance Commissioner for Graduate Elections, Assistant
Commissioner for Undergraduate Elections, and Special Fees Funding Coordinator. The
activities of the Elections Commission are funded by special fees.
The Election Commission has recently implemented new campaign finance regulations on the
executive slate. The regulation induce a spending cap of $1,000; however, if enough students
support the candidacy, up to $500 can be reimbursed by the office of the student government
president. Slate that go over the limit may be disqualified and may not seek office until the next
school year. Every slate must submit a budget one before “Campaign Week” commences and its
expenditures and receipts must corroborate the budget. The budget may be modified, but not
exceed $1,000. This regulation is enforced by the Fundamental Standard, a new campaign
regulation pledge, and audits from the student association Financial Manager.
Exercise/Task 1:
Look at the table of elections below. Insert into the third column the type of an election.
Remember that the main division for public sector EMBs is into the independent, governmental
and mixed model and for non-public sector EMBs into internal and external EMBs.
Election
UAE Press Association
Mut’a University in Jordan
Calgary Cooperative
Administered by:
Type of EMB
UAE Press Association
University Administration
Grant
Thornton
Chartered
Accounts
U.S. Presidential Election
Local authorities
Australian
Parliamentary Australian Election Commission
Elections
Industrial Elections in Australia
Australian Election Commission
Check the answer key annex. If you correctly described 4 or more types of elections, continue
the course. If you correctly described less than 4 types of elections, go through the lesson again.
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Exercise/Task 2: Ethics Self-Test
Consider the following scenarios and pick one of the answers as your response to the scenarios.
Scenario 1: You are responsible for administering elections for your organization’s board of
directors and its president. Two blocks are running. The leader of one block, who is an
incumbent and your former boss, calls you and asks you to stop counting the vote of the
opposing block as they are rumored to be winning. What do you do?
a. Agree to it
b. Decline to do it
c. Decline to do it and report the matter appropriately within your organization
Scenario 2: You are in charge of disseminating the information about candidates running in the
election for the director of a reputable association of civil society groups funded by foreign
donors. Although the rule clearly states that there will be no logos on any of the materials, one of
the donors insists that you place their logo on all materials disseminated. What will you do?
a.
b.
c.
Agree to it
Decline to do it
Decline to do it and report the matter appropriately
Scenario 3: A company offers to pay you for the list of voters you have compiled for an election
within your organization. They assure you that the data will only be used for research and that
they will be discreet about how they obtained the data.
a.
b.
c.
Agree to it
Decline to do it
Decline to do it and report the matter appropriately
Scenario 4: You are in charge of a polling station where one of your colleagues reads how a
voter has voted before helping the voter fold his/her ballot in a secrecy envelope. The voter asks
to make a written complaint about the incident.
a. Agree to it and remove the offending officer
b. Decline to do it and ask the voter to repeat his/her vote
c. Decline to do it and ignore the matter. You are sure your colleague did not mean to do it
Scenario 5: You are in charge of a polling station and one of the voters asks you to advise him
who to vote for as he is not sure and as you work for the organization you must know who would
be good for the positions being elected. What will you do?
a.
b.
Agree to it, but provide advice quietly so nobody else can hear you
Decline to do it but display informational pamphlets about the candidates in your polling
station so that other voters would not have the same problem
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c.
Decline to do it
Check the answer key annex. If you answered correctly 3 or more scenarios, continue the course.
If you answered correctly less than 3 scenarios, go through the lesson again.
Exercise/Task 3: Discussion Topics
For those who want to learn more, you can sign into the course website and click on the thread to
comment on this topic. You will receive comments/feedback on your posting from expert panel
no later than 30 days after your post is made. For faster response, you can also email your
comment to info@ieecouncil.org.
Discussion Topic 1: The job of election administrators is filled with constant
challenges. Consider and comment on one of both of the following statements:


“…Staff failed to challenge their superiors and speak frankly about the
ability of the EMB to conduct the election properly.”
“For many election administrators the political environment is a dangerous
place filled with actors more powerful than they whom they cannot
control.”
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