SECTION A

ROLE AND FUNCTIONS OF INSTITUTION

 

Question 1

 

How do you view your institution’s constitutional / legal mandate?  In other words provide a description of your understanding of your institution’s constitutional / legal mandate.

 

Response

 

The Electoral Commission’s (Commission) constitutional and legal (national legislation) mandate, powers and functions are to be found in the Constitution, 1996 (the Constitution) and six national acts.

     

1.1               The Constitution

 

The Commission’s core function, as set out in section 181 read with section 190 of the Constitution, is, as an independent constitutional institution, to strengthen constitutional democracy in the Republic by –

(a)                 managing elections of national, provincial and municipal legislative bodies in accordance with national legislation;

(b)                 ensuring that those elections are free and fair;  and

(c)                 declaring the results of those elections within the prescribed period (seven days).

 

Constitutional provisions –

(a)        affirming the Commission’s independence are to be found in section 181 of the Constitution;

(b)        describing the place of elections in the founding values of the state are to be found in section 1(d) of the Constitution;

(c)        explaining every citizen’s political rights, also concerning elections, are to be found in section 19 of the Constitution;  and

(d)        prescribing the electoral systems and compositions of legislatures, candidacies, participating parties, results determinations, seat allocations and related matters are to be found in sections 46, 47, 105, 106 and 157 and schedules 6 and 6B of the Constitution.

 

1.2        The Electoral Commission Act (51 of 1996)

 

The Commission was established by this Act.  Apart from wide ranging prescriptions concerning the members of the Commission, the Chief Electoral Officer, officers and employees, financial matters, reporting obligations and the Electoral Court, the Act also expands the powers, duties and functions of the Commission (its mandate).  Section 5 of the Act lists 15 functions that are included in the functions of the Commission.  Some of the functions added to its core functions are the following:

§         promote conditions conducive to free and fair elections” [Conflict resolution, Code of Conduct, etc.]

§         “compile and maintain voters’ rolls”

§         promote knowledge of sound and democratic electoral processes” [through education for democracy, voter education and balloting education programmes, and training of electoral staff.]

§         “establish and maintain liaison and co-operation with parties” [Specifically from this mandate our system of party liaison committees nationally, provincially and locally, was developed;  a unique South African system that advances co-operation, complaints resolution and discussions on a wide range of elections related matters amongst parties and between parties and the Commission.  This system has proved tremendously beneficial to the creation of conditions conducive to free and fair elections and the credibility of the results of elections.]

§         “undertake and promote research into electoral matters”

§         “develop and promote the development of electoral expertise and technology in all spheres of government”

§         “promote voter education” [hence the Commission’s own voter education programs, joint voter education programs with others and support of voter education programs conducted by NGOs]

§         “promote co-operation with and between persons, institutions, governments and administrations for the achievements of its objects” [through co-operation and collaboration with government departments such as Education, Provincial and Local Government, Safety and Security, Public Works and utilities state enterprises such as Eskom and Telkom.]

Further comments which elaborate on some of these functions are to be found in 1.8 below.

 

Section 23 mandates the Commission to make regulations regarding amongst others –

 

§         Appeals and reviews brought to the Commission;

§         the voters’ rolls;

§         the registration of parties;

§         the conduct of persons, parties and candidates;  and

§         generally, all matters which are necessary or expedient to be prescribed in order to achieve the objects of the Act.

 

1.3        The Electoral Act (73 of 1998)

 

This Act regulates in detail the Commission’s and the Chief Electoral Officer’s mandate in respect of, amongst others, -

 

§         the compilation and maintenance of the national common voters’ roll;

§         the proclamation and preparations for elections;

§         the managing of national and provincial elections and the determination and declaring of results;  and

§         the system of objections and appeals.

 

1.4        The Local Government: Municipal Structures Act (117 of 1998)

 

This Act provides a framework for local government.  Concerning the mandate and functions of the Commission and the Chief Electoral Officer, the Act regulates matters like –

 

§         two separate electoral systems for metropolitan and local municipalities on the one hand and district municipalities on the other hand;

§         the categories of municipalities and the composition and membership of the councils of different categories of municipalities;

§         some of the functions of the Commission and the Chief Electoral Officer pertaining to elections of councils, by-elections, the filling of vacancies and the effect of floor crossings on the composition of municipal councils.

 

1.5        The Local Government: Municipal Electoral Act (27 of 2000)

 

Whereas the Electoral Act, 1998 (1.3 above) deals with national and provincial elections, this Act contains corresponding prescriptions for municipal elections.  Relative to the mandate of the Commission and the Chief Electoral Officer, this Act, in addition to the kind of electoral matters dealt with in the Electoral Act, 1998, also regulates, amongst others –

 

§         election management aspects concerning the different electoral systems;

§         the nomination of ward candidates and election procedures in respect of ward elections;  and

§         election procedures for district councils.

 


1.6        The Local Government: Municipal Demarcation Act (27 of 1998)

 

This Act establishes the Municipal Demarcation Board (MBD) with its main function being the determination and re-determination of the boundaries of municipalities.  Furthermore and in terms of the Municipal Structures Act (1.4 above) the Demarcation Board must, for the purposes of an election and after consultation with the Electoral Commission, delimit all municipalities that must have wards, into wards.

 

The mandate to participate in the delimitation of municipalities into wards was probably assigned to the Commission in order for the Commission to ensure that the ward delimitation would support free and fair elections.

 

The Demarcation Act itself, in its section 23, also requires the Commission to express its view on the effect of a boundary re-delimitation on the representation of voters in the affected councils.  Depending on the view expressed by the Commission, the re-delimitation will come into effect at the next general election or at an earlier date.

 

Close co-operation with the MDB in both the re-determination of municipal boundaries and the delimitation of wards is consequently of the highest necessity for election integrity and the integrity of the Commission’s establishment of voting districts.

 

1.7        Public Funding of Represented Political Parties Act (103 of 1997)

 

In pursuance of the requirements of section 236 of the Constitution concerning the public funding of parties participating in national and provincial legislatures, this Act established the Represented Political Parties Fund.  The Act assigned the management and administration of the Fund to the Commission.  The Chief Electoral Officer is the Accounting Officer and Chief Executive Officer of the Fund.

 

The mandate of the Commission in respect of the Fund includes, inter alia, the following:

 

§         The yearly determination of the amount available in the Fund for allocation to parties.

§         The determination of the amount to be allocated to each represented party in accordance with a formula prescribed by regulations made in terms of the Act.

§         The payment of the allocated amount to each party in quarterly instalments.

§         Ensuring that the parties account for the monies allocated to them.

§         The recovery of monies irregularly spent.

§         Annual submission to Parliament of a report on the management and administration of the Fund accompanied by financial statements and a report by the Auditor-General.

 

1.8        In pursuance of its constitutional and legal mandate, more particularly its mandate to strengthen constitutional democracy, to compile and maintain the voters’ roll, and to promote knowledge of democratic electoral processes, the development of electoral expertise, voter education and co-operation with and between persons, institutions, governments and administrations the Commission has engaged in, amongst others, the following activities:

 

1.8.1     With respect to compiling and maintaining the voters’ roll, the Commission undertakes continuous registration, targeted registration and general registration projects in order to ensure that a voter is registered and appears on the correct segment of the voters’ roll.

 

Continuous registration involves the registration of voters at Municipal Electoral Offices. This project ensures that registration facilities are available and accessible to voters at all times.

 

Targeted registration projects are concerned with correcting inaccuracies on the voters’ roll that arise from re-delimitation of wards and voting districts. The objectives of such projects are to re-register voters who appear in incorrect segments of the voters’ roll and to increase registration in the voting districts that show low registration figures compared to the voting age population. In addition, targeted communication serves to notify voters about changes in their voting districts and serves to encourage them to register on general registration days.

 

General registration entails opening the Commission’s network of voting stations prior to every election. For the general registration projects for the 2006 municipal elections, this involved the opening of 18 873 voting stations on 3 September 2005 and again on 19 and 20 November 2005. For the last general elections, the voters’ roll contained the names of 21 054 957 voters.

 

1.8.2     Due to the success of democracy in South Africa, a number of institutions in the country have begun to recognize and appreciate the importance of elections in promoting good governance and democracy within these institutions. It is against this background that a number of institutions have requested the Commission to help in conducting their elections. The Commission conducted or assisted with the running of elections for other organisations, e.g. –

§         in co-operation with the Departments of Education, the elections of school governing bodies;

§         students’ representative councils of universities;

§         the South African Nursing Council;

§         trade unions;

§         taxi organisations;

§         trustees and office bearers of the POLMED and PROSANO medical schemes;

§         the Executive Committee of the Public Sector Training Forum;

§         Houses of Traditional Leaders;  and

§         the Government Employees Pension Fund.

 

The Commission does not become involved in the internal elections of political parties. The mandate of the Commission takes precedence over and above requests from other institutions. Requests for assistance are not acceded to when the Commission has to conduct a by-election or within a period determined by the CEO before national, provincial and municipal elections.

 

1.8.3     The Commission provided technical assistance to a number of electoral management bodies in other parts of the African continent. In support of government initiatives and by way of bilateral agreements, the Commission rendered technical, managerial and logistical support to the electoral commissions of the Democratic Republic of the Congo (DRC), the Comoros and Lesotho in their running of elections in their countries.  These activities of the Commission were funded by the Department of Foreign Affairs.

 

1.8.4     Members of the Commission and its staff served on and participated in meetings of regional, continental and international organisations concerned with electoral democracy, e.g. the International Institute for Democracy and Electoral Assistance (International IDEA), the Electoral Commission Forum of SADC countries, the African Union and the Cambridge Conference on Electoral Democracy.  The Chief Electoral Officer [Adv Tlakula] serves as a member of the African Commission on Human and Peoples’ Rights.  The Chairperson of the Commission [Dr Bam] is a member of the Board of International IDEA.

 

1.8.5     The Commission participated in the observing of elections in numerous African and other countries.

 

1.8.6     The Commission, in partnership with the African Union, held an International Conference on Electoral Democracy in 2003. The conference adopted a declaration that contributed towards the development of the draft AU Charter on Elections, Democracy and Good Governance. The Commission was and continues to be involved in the drafting of this charter.

 

1.8.7     In pursuit of education on electoral democracy and voter education, the Commission embarked on a school-based education programme and community-based educational initiatives.

 

§         The schools project was started as a pilot project for 3 years in about 550 schools nation wide.  The schools project has continuously influenced the curriculum evaluation and repackaging to have outcomes and values in formal school education with democracy education.  As a result of policy (National Curriculum Statement) encompassing democracy education, the Commission continues to support educators with capacity and information to be able to educate on democracy and human rights. Discussions are ongoing with the Department of Education concerning the long-term implications of this project.

§         Community-based democracy education activities have been continuous in partnership with other organs of society.  Specialized programs were developed for various sectors of the communities such as commercial farms, rural areas, traditional leadership and their areas, people with disabilities, faith-based organizations, labour unions, and employers’ associations.

 

1.8.8     With the Commission using large numbers of schools as voting stations, it was able to identify for the education authorities, especially rural schools that lacked the most basic of facilities or with facilities in a bad state of disrepair.  In co-operation with provincial authorities the Commission then launched a project to upgrade the facilities of these schools to a point where each would at least have running water and pit or chemical toilets on their premises and also, where possible, electricity.

 

1.8.9     With respect to its contribution to developing electoral expertise, the Commission has been instrumental in the formalization of electoral knowledge as part of the South African education and skills initiative through the registration of unit standards on elections management.

The Commission has spearheaded the registration of the following nine unit standards on elections with the South African Qualifications Authority through the SGB, “Democracy, Human Rights, Peace and Elections”:

 

TITLE

LEVEL

CREDIT

SAQA ID

Design standards and practices for electoral observation and monitoring

7

10

119625

Evaluate and revise electoral processes

7

12

119623

Design electoral processes

7

12

119624

Plan and manage electoral processes

6

12

119626

Plan and manage electoral observation to contribute towards free and fair elections

6

8

119622

Manage a voting station to contribute towards free and fair elections

5

4

114088

Manage voter registration

5

4

119628

Conduct electoral observation and monitoring to enhance the practice and assessment of free and fair elections

5

4

119621

Demonstrate knowledge of electoral principles, practices and processes

4

4

119627

These unit standards are available for any accredited service provider to develop materials for, train on and formulate into workplace skills programmes. In doing so, the Commission has placed in the public domain educational standards that would have been restricted to a handful of people in the country.

These initiatives have been underpinned by the training conducted by the Commission. Whereas the elections training prior to 2003 was based purely on the institutional needs of the Commission, later training would be a combined focus on institutional needs and measured against these nationally recognized unit standards, which also have international standing as the only ones of their kind. Since 1998, the Commission has trained close to 1.3 million people to work during registration and election events ahead of a general election.

The development of these officials has been taken to another level ahead of the 2006 elections with the establishment of a training academy called the Centre for Elections Learning. The Centre strives to “create election professionals that are an asset to the nation and the world”. The Centre serves to promote the development of electoral expertise as is required by the Commission, as well as catering for election management bodies around the globe. As part of the Commission’s internal development, it has put in place a 9-month skills programme to develop 300 election trainers, another first of its kind internationally. These trainers, most of who work at municipal level, can be utilized in other areas of municipal activities, as their training has not only been in elections management, but also matched against industry standards around training and development.

This trainer development programme has gone hand-in-hand with the introduction of e-Learning on elections management, the first computer-based type training for election officials in the world. With the remainder of a 10-module curriculum to be developed in the near future, this programme will be available, not only to election officials inside the country, but also to any interested person beyond the Commission, as well as other countries as part of an offering by the Centre for Elections Learning.

The work of the Centre for Elections Learning has been further bolstered by partnerships with international and local bodies such as International IDEA and the Electoral Institute for Southern Africa (EISA) in offering of classroom-based courses of the international BRIDGE (Building Resources in Democracy, Governance and Elections) Project. The BRIDGE Project is a 10-module curriculum developed by the UN’s Electoral Assistance Division, International IDEA and the Australian Electoral Commission and is the foremost and most widely-offered international course of its kind on election management. In these partnerships, the Commission has successfully trained roughly 75 election officials from more than 30 different countries, predominantly from Africa but including the Middle East, Latin America and Europe in three separate events since 2004. It is envisaged that such courses will be offered on an annual basis to officials from all over the globe with a key emphasis on African election management bodies.

In its efforts around training, the Commission has set itself at the forefront internationally as one of the key institutions when it comes to promoting a high calibre of professionalism and excellence amongst its staff. This is embodied in its approach towards contextualizing election management as a body of competency within the national education and skills framework, its efforts internally to ensure the highest degree of service delivery, as well as involvement in international programmes such as the BRIDGE project, to ensure the sharing of expertise and knowledge through capacity development programmes.

1.10      In Conclusion

 

1.10.1   Towards the exercise of its mandate, the Commission has been assigned powers and functions that are executive, administrative, quasi-judicial, subordinate legislative, educational and advisory.

1.10.2   To cover the scope of its mandate, the Commission itself functions in four committees, ie

§                                 Electoral Operations

§                                 Finance and Information Technology

§                                 Human Resources and Support Services

§                                 Outreach and Communications

 


Question 2

 

What role or function does your institution perform that is not carried out by other institutions, whether in government or civil society?

 

Response

 

Section 1 of the Constitution provides that the “Republic of South Africa is one, sovereign, democratic state founded on the following values”, among others, “universal adult suffrage, a national common voters roll, regular elections and a multi-party system of democratic government, to ensure accountability, responsiveness and openness.” All of these functions mentioned in the founding provisions have been specifically assigned to the Commission by the Constitution and / or national legislation.  None of these functions are carried out by other institutions.

 

Question 3

 

In what way, if any, does the role and function of your institution overlap or potentially overlap with other Chapter 9 institutions?

 

Response

 

As Chapter 9 institutions we all share the constitutional mandate of entrenching democracy in our different spheres of activity but the Electoral Commission’s roles and functions do not overlap with those of any other chapter nine institutions. The Commission’s specialised focus is the deepening of electoral democracy.

 


Question 4

 

What outcomes do you strive for in order to realise the constitutional / legal mandate set out in 1 above?

 

Response

 

In compliance with Treasury regulations the Commission develops strategic objectives, which are aligned with its budget. These strategic objectives flow from the Commission’s constitutional / legal mandate. In line with these objectives, programmes with specific activities, defined indicators and measurable outcomes are developed.

 

The strategic objectives for the current financial year are:

4.1        To entrench the Commission as a focal point for the delivery of free and fair elections in the most efficient and cost effective manner;

4.2        Maintain an optimal network of voting districts and voting stations for the by-elections to ensure reasonable access by voters and to maintain an accurate and up-to-date national common voters roll;

4.3        To inform voters on electoral processes with a view to ensuring maximum participation (turnout) and the least possible number of spoilt ballot papers;

4.4        To ensure the effective participation of political parties and independent ward candidates in electoral processes;

4.5        To maintain and consolidate organisational systems and infrastructure in respect of voting facilities and agencies for by-elections;

4.6        To ensure that the necessary resources i.e. financial, human resources, information technology, corporate services, legal support, security as well as internal and external communications are maintained in order to ensure the effective functioning of the Commission;

4.7        To offer the highest possible standard of training to officials to facilitate a fluent and effective voting process and the accurate recording of the results of elections.

The current Strategic Plan is attached as Annexure 1.

 

Question 5

 

Does the empowering legislation governing your institution provide a clear, workable, and comprehensive legal framework that supports and empowers the institution to successfully fulfil its core mandate?

 

Response

 

Yes. 

 

Furthermore section 5 (j) of the Electoral Commission Act, 1996 charges the Commission with continuously reviewing electoral legislation and proposed electoral legislation and making recommendations in connection therewith.  In the exercising of this function the Commission initiated and was involved in processes that led to the passing of both the Electoral Act, 1999 and the Local Government: Municipal Electoral Act, 2000 by submitting draft bills and memoranda to Government and by being intimately involved in the parliamentary processes.  The Commission was similarly involved in subsequent amendments of the Electoral Act, 1999, the Electoral Commission Act, 1996 and related amendments to the Local Government: Municipal Structures Act, 1998.

 

The Commission is also required by the two electoral acts to prescribe certain matters by way of regulations and empowered by these acts to make regulations regarding any matter that it considers necessary or expedient in order to achieve the objects of those acts.  It is empowered by the Electoral Commission Act, 1996 to make regulations regarding a variety of specified matters as well as generally where necessary or expedient to achieve the objects of that act.

 

The Commission has made and whenever necessary updated various sets of such regulations.  Copies of those sets of regulations as they currently exist are submitted under separate cover.

Question 6

 

What mechanisms do you have in place to measure the outcomes set out in 4 above, and how do you assess the effectiveness and impact of your work?

 

Response

 

On an operational day-to-day basis, the Commission employs an internal project evaluation system, the Project Charter System (PCS) to monitor progress against objectives. The outcomes are measured internally through debriefing sessions to continually improve performance. During periods of high activity, weekly “Nerve Centre” meeting are held where progress against milestones is evaluated. The political parties are also given the opportunity to submit their assessment at debriefing workshops held immediately after elections, as well as on a regular basis at Party Liaison Committees. Workshops and briefings are conducted with other stakeholders, including government departments (such as Home Affairs, the South African National Defence Force and the South African Police Services), faith-based organisations, non-governmental organisations, and traditional authorities.

 

Independent research on voter attitudes and surveys on the credibility, performance and satisfaction level of the voters, are also conducted

 

The effectiveness and impact of the work of the Commission is assessed, inter alia, in terms of:

§                       the total number of registered voters versus the number of eligible voters;

§                       the cost effectiveness of the management of the election vis a vis previous elections;

§                       the performance rating recorded through independent research and exit polls;

§                       the turnaround time:

- of voting in a station.

- of the accurate capturing of results.

- of the declaration of results as soon as possible within the prescribed period.

- in responding to any complaint, objection, enquiry or request.

§         the percentage spoilt ballot papers compared with democracies in developing and developed countries;

§         the voter turnout compared with democracies in developing and developed countries;

§         court decisions, if any, annulling the election;

§         comments and inputs from independent national and international experts and bodies, including observer missions.

 

Question 7

 

Have you carried out any evaluation looking at the success or otherwise of your functions, especially in relation to recommendations sent to government, parliament or other public institutions?

 

Response

 

The Commission has regularly evaluated the success with which it has carried out its functions and has placed a great deal of emphasis on this matter.  The evaluations it has undertaken include:

 

§         Debriefing of its municipal, provincial and national staff complement after each of the four general elections it has conducted.

§         Debriefing of participating political parties after elections.

§         Consistent consultation with represented political parties by means of the party liaison structure at a national, provincial and municipal level.  This happens at least quarterly and not only concerns past performances but also concentrates on planning for future elections and scrutiny thereof and amendments to the legal framework if need be.  Political parties are also specifically consulted about the regulations the Commission makes – which are not otherwise subject to parliamentary control.

§         The Commission has on a number of occasions contracted the HSRC to conduct pre- and post-election surveys to determine the views of voters about processes and facilities in relation to registering as a voter and casting a ballot.  Copies of such surveys are enclosed under separate cover.

§         The Commission has also contracted the HSRC to do research to determine the needs and attitudes of voters with a view to taking such findings into account with its determination of strategic objectives and with the planning of elections and budget requirements.

§         The Commission has regular contact with the Parliamentary Portfolio Committee for Home Affairs and that Committee has also on a number of occasions visited the Commission to be briefed on projects and electoral preparations.

§         The Commission has developed sophisticated methods for reporting its progress in particular areas of the electoral process such as the rate of registration in particular geographic areas, voter participation, the rate of spoilt ballots and the like.  This information is also provided to political parties and the public at large.  An Atlas of Results that illustrates the thematic reporting methodology is submitted under separate cover.

 

There is intense public focus on the activities, views and performance of the Commission by voters, the media, political parties, parliament and to some extent the international community – including election management bodies in Africa and elsewhere.  This inevitably leads to constant evaluation and self-evaluation of its functions and performance.  Numerous legislative amendments have resulted from this process with very few changes having been made to proposals of the Commission.  By and large complete consensus was also achieved in the Portfolio Committee about such legislative amendments and the Commission has not experienced any substantive problems.

 


Question 8

 

What have been / are the major constraints facing your institution and how have these impacted on its ability to achieve its mandate?

 

Response

 

8.1        Historically, the major constraints encountered by the Commission at the outset concerned budgeting and attempts to change the Commission from an independent elections management institution to a supervisory body. Details concerning these challenges and the way in which they were resolved appear in response to Question 23.

 

8.2        In terms of budget, the initial challenges have been resolved.  The Electoral Commission follows a project-based approach for all of its diverse activities and detailed budgets are drawn up three to four years in advance.  Officials from the Commission and officials from the Treasury have over the last six years closely shared details of activities as well as funding required and funding available and the Electoral Commission has consequently received adequate funding for its detailed proposals and requests.

 

8.3        A contributing factor to an amicable relationship has been the fact that the Electoral Commission now consistently receives unqualified audit reports. This stems from a sound in-house-developed financial workflow system that ensures prior approval of and the correct allocation of all expenditure. A further factor is that the Commission has managed to contain growth in its budget over the past six years and that the cost in real terms, taking inflation into account, has in fact dropped.  This in part relates to initial capital expenditure that did not to have to be repeated but also to much increased efficiency in its general activities and, in particular, its procurement processes.  The Commission has thus managed to keep costs at a constant level despite having increased facilities (registration and voting stations) for voters by nearly 50% since 1999.

 

8.4        It is always possible to sensibly utilize more funding for especially voter education – in particular because the rate of participation by voters seems to be declining.  The Commission has budgeted and has spent responsibly and government has supported equally responsibly.  There are thus no fundamental constraints that have endangered the holding of free and fair elections as the basic cornerstone of our democracy.

 

 


SECTION B

 

RELATIONSHIPS WITH OTHER BODIES

 

Question 9

 

How do you view your institution’s relationship with the executive and Parliament, given its constitutionally guaranteed independence and impartiality and the constitutional requirement to be accountable to the National Assembly?

 

a.                  What legal and other mechanisms are in place to ensure and strengthen your institution’s independence;

b.                  What mechanisms are in place to facilitate reporting to (and being accountable to) the National Assembly;

c.                   How do you view your relationship with the executive and under what circumstances do you engage the executive.

 

Response

 

Concerning the introductory paragraph and parts of items b and c of the question the reader is referred to the response to Question 23.

 

Concerning item a, the following response is submitted:

 

9.1        One of the basic tenets of a democratic system of government is the so-called separation of powers.  Traditionally three sets of powers were divested from the all-powerful monarch and assigned to a legislature, an executive and a judiciary.  The independence of these bodies was to be found more in the fact that certain governmental powers were assigned to each exclusively, than in other legal or other measures to protect their independence.  Thus only parliaments (or their equivalents in different states) could make laws, only ministers could administer those laws and only courts could try accused offenders and adjudicate disputes under those laws.  Each exercised its governmental powers independently from all others.

 

9.2        In theory at least, no other legal or other measures should be necessary to ensure and strengthen the independence of these institutions, including that of the Electoral Commission.  But human nature being what it is, various mechanisms (mainly legal) have been provided to assist the Commission and its officials to maintain its independence and assist it to “be impartial” and to exercise its powers and perform its functions “without fear, favour or prejudice” as required by section 181 of the Constitution: inter alia the following:

 

9.2.1     Section 181(3) and (4) of the Constitution, the latter providing that “no person or organ of state may interfere with the functioning of these institutions”.

9.2.2     Section 6 of the Electoral Commission Act, 1996 providing for a transparent process for the appointment of members of the Commission.

9.2.3     Section 21(1)(c) of the Electoral Commission Act, 1996 making it an offence punishable with imprisonment for up to five years to do “anything calculated improperly to influence the Commission …in respect of any matter being or to be considered by the Commission…”.

9.2.4     Section 87(1) read with section 98 of the Electoral Act, 1998 making it an offence punishable with up to ten years imprisonment for anyone to “interfere with the independence or impartiality of the Commission, any member, employee or officer of the Commission, or the chief electoral officer” or to “prejudice any person because of any past, present or anticipated performance of a function in terms of this Act” or to “advantage, or promise to advantage, a person in exchange for that person not performing a function in terms of the Act”.

9.2.5     The Electoral Act, 1996, further strengthens the independence of the Commission. This Act provides for the appointment procedure, terms of office, conditions of service, removal from office and suspension of members of the Commission.

 

Concerning item c, the following response is submitted, in addition to the response to Question 23:

 

9.3               The Commission engages continuously with the executive, for example:

 

9.3.1          The Minister of Education on our Schools Project;

9.3.2          The Minister of Provincial and Local Government on the establishment of Electoral Units;

9.3.3          The Ministers of Defence and Safety and Security and security and logistics issues relating to elections;

9.3.4          The Minister of Foreign Affairs on electoral technical assistance programmes to other parts of the African continent and on elections observation in other countries;

9.3.5          The Minister of Home Affairs on matters pertaining to the population register and ID campaigns; and

9.3.6          The Inter-ministerial Committee on Elections in preparations for the elections.

 

Question 10

 

Is Parliament currently effectively fulfilling its oversight role over your institution?  If not, how can this be improved?

 

Response

 

10.1      S181 (5) of the Constitution states that Chapter 9 institutions are accountable to National Assembly and must report on their activities and performance of their functions to parliament at least once a year.

 

10.2      S14 of the Electoral Commission Act lists the following reports that the Commission has to produce:

 

(a)                 Annual report as soon as possible after the end of each financial year to be submitted to National Assembly. This report to include audited financial statements as well as report on the functions, activities and affairs of the Commission. (S14 (1)).

(b)                 A report on any election conducted as soon as possible after the event.

 

10.3            In terms of S6 (3) of Public Funding of Represented Political Parties Act, 1997, the Commission must within 30 days of receipt of Auditor-General’s report on the financials thereof, further submit a report to Parliament with audited and financial statements.

 

10.4            The Electoral Commission has always adhered to these reporting obligations stated above by ensuring that all members of parliament receive copies of the requisite reports so as to properly perform their oversight role.

 

10.4.1 The Commission has regular interaction with the Portfolio Committee of Home Affairs. For example in the past five years the Commission met with this committee at least ten times. Members of the Committee have always taken a keen interest in our work by ensuring that we regularly report on our work, our achievements as well as our challenges.

 

In addition to regular general briefings on our work, the Portfolio Committee would have sessions with the Commission before any major election conducted by ourselves to ensure that there are no impediments to the running of a free and fair election. For example when the problem of identity documents was a big challenge for the 1999 elections, the intervention of parliament and government ensured that special measures were put in place to facilitate access to IDs by eligible voters.

 

In addition, the Portfolio Committee on Home Affairs has visited the Commission’s National Offices in fulfilment of its oversight role.

 

10.4.2 SCOPA has also functioned effectively in following up on financial affairs of the Commission by requesting a briefing on our financial reports and highlighting those issues that may need special attention.

10.4.3   Other Parliamentary Committees that have interacted with the Commission are:

§         Portfolio Committee on Foreign Affairs, and

§         Portfolio Committee on Provincial and Local Government.

These Committees would liaise with the Commission on issues related to their specific mandates viz. foreign affairs and municipal elections respectively. On foreign affairs, the Committee wanted briefing on our work as it related to our activities in Burundi, the Comoros and the Democratic Republic of the Congo. With respect to local government, our interaction would be on our preparation for municipal elections.

 

10.5            The involvement and engagement of different portfolio committees for reporting mechanisms of various Chapter 9 institutions creates an environment where a holistic understanding of the work of the institutions is lacking.

 

It would be useful to create an oversight mechanism that has greater integration of the Chapter 9 institutions’ reporting. An integrated oversight mechanism can go a long way to streamlining the holistic work of Chapter 9 institutions.

 

The manner in which this integration takes place is a matter for parliament to decide.  

 

Question 11

 

What was the intended relationship of accountability between your institution and other institutions supporting constitutional democracy and the different branches of government?  To what extent have these relationships been realised?

 

Response

 

Questions 11, 22 and 23 are interrelated to such an extent that we found that it would be expedient for us to present, and hopefully more useful for the Committee to receive, one comprehensive response covering all three of these questions instead of three separate responses with a large measure of material being repeated in each of them.

 

This comprehensive response is given under Question 23.

 

Question 12

 

Does your institution have any official or informal relationship with other Chapter 9 institutions or institutions of a similar nature?  If yes, describe the nature of this relationship and the outcomes envisaged and generated by this relationship.

 

Response

 

12.1            Yes.

 

12.2            Since 1998 Chapter 9 institutions have created mechanisms for liaison that are both formal and informal. They established a Forum of Independent Statutory Bodies (FISB) (see Annexure 2) whose objectives were to:

§         maintain liaison among constitutional and statutory bodies in order to foster common policies and practices and promote co-operation;

§         Share information on developments in the field of human rights in order to promote best practices, avoid duplications and project a rational, cost-effective human rights regime in the country that would benefit people.

§         To make common representation to government on matters of common interest.

 

12.3            This forum had, in addition to the Chapter 9 institutions, the participation of other statutory bodies like the CCMA, Youth Commission, the Inspecting Judge of Correctional Services, Independent Broadcasting Authority, Independent Complaints Directorate, Commission on Land Restitution, Public Service Commission, and Pan South African Language Board. The South African Human Rights Commission has been the secretariat of this Forum. FISB has operated at policy and strategic level, with Chairpersons or Commissioners expected to lead the policy forum.

 

12.4            FISB also established a Technical Committee comprising the Chief Executives of these bodies with their staff. This technical committee would prepare items for the FISB meeting, make proposal on projects and activities for joint action and implementation.

 

12.5            Participation in FISB was voluntary and, whilst this was an acceptable approach, this voluntary participation worked against the intended collaboration in that most organisations finally pulled out, leaving basically the Chapter 9 institutions to continue with this vision. Even the Chapter 9 institutions have been struggling with successfully implementing substantive joint programmes. One of the reasons advanced for this disfunctionality or lack of cohesion has been the disparity in resource allocation, both human and financial, that inhibited some Chapter 9 institutions from following the collaboration vision to its fullest.

 

12.6            As Chapter 9 institutions we have also had an informal liaison based on specific projects and issues.

 

Question 13

 

What is the extent of collaboration and coordination of the work carried out by your institution and similar/related work carried out by other Chapter 9 institutions or institutions of a similar nature?  Give examples of successful initiatives in this regard.

 

Response

 

The Commission has in terms of section 5(2)(c) sought to co-operate with educational and other bodies or institutions with a view to the provision of instruction to or the training of persons in electoral and related matters.

 

Through FISB we co-operated in the following activities:

 

§                     Campaigns and activities to celebrate 5th Anniversary of the South African constitution. This included government departments especially the Department of Justice and Constitutional Development.

§                     The Commission on Gender Equality has regularly alerted us to matters the Commission should address to ensure gender equality. To this effect the CGE would even serve as election observers who would feedback to us on areas that need improvement. For example, in 1999 the CGE developed a gender checklist on elections that it used to evaluate the gender sensitivity of our policies, procedures as well as the gender representation at all levels of Commission staff up to voting station level. (See Annexure 3)

§                     As Chapter 9 institutions we have received joint international delegations with a view to presenting a holistic view of the mandate and work of Chapter 9 institutions.

§                     We regularly attend and participate in each others’ campaigns, conferences, workshops and community meetings.

§                     As far as possible we collaborate with sister Chapter 9 institutions around national days like Freedom Day, Human Rights Days, Heritage Day, Youth Day, and Women’s Day as well as occasions such as Africa Day, African Human Rights Day and International Human Rights Day.

 

The most successful collaborative project was the Human Rights and Democracy Awards where the SAHRC, CGE and the Commission recognised South Africans that have contributed significantly to entrenching democracy in South Africa through human rights, gender and electoral democracy.

 

The Electoral Commission has always focused strongly on the participation of young people in elections. As a result, we have worked closely with the Youth Commission, the Youth Council and NGOs that have the youth as their beneficiary. We believe that through this interaction, we were able to increase the numbers of young people registered on the voters’ roll and who finally voted in the 2006 elections.

 

The Commission has an official relationship with the Municipal Demarcation Board (MDB). The MDB makes use of the Commission’s national common voters’ roll (specifically the number of registered voters per voting district) to determine and re-determine ward boundaries ahead of municipal elections. In turn, the Commission’s voting district boundaries are geographically aligned to re-determine wards before voter registration ahead of municipal elections.

 


SECTION C

 

INSTITUTIONAL GOVERNANCE

 

Question 14

 

What are the institutional governance arrangements in your institution?  Are these arrangements clearly set out and do they allow for a smooth running of the institution?  Is there a clear, logical and workable division between the members of your institution appointed by the President on advice of the National Assembly and the secretariat?  What suggestions do you have to improve the institutional governance arrangements?

 

Response

 

In Law

 

14.1      The Electoral Commission was established by section 181 read with sections 190 and 191 of the Constitution and the Electoral Commission Act, 1996 [the Act].  Its objects, powers, duties and functions are described in the Constitution, the Act and in other national legislation, mainly the Electoral Act, 1998 and the Local Government: Municipal Electoral Act, 2000.

 

14.2      The Electoral Commission consists of five members appointed by the President on the recommendation of the National Assembly made after a transparent process starting with a high profile panel.  From amongst the five members the President appoints a Chairperson and a Vice-Chairperson.

 

14.3      The way in which the Commission takes its decisions is prescribed by the Act.  This Commission, consisting of these five people, is the body to which the above mentioned objects, powers, duties and functions have been assigned.  The Commission is the responsible authority, the accountable authority and decision making authority in respect of all these powers and functions.  Individual members of the Commission have none of these powers or functions. The Chairperson has the power to call and preside over meetings of the Commission.  The Commission may delegate some of its powers and functions to a member of the Commission, or to the Chief Electoral Officer or to a member of its staff.

 

14.4      The Electoral Commission Act, 1996 requires the Commission to appoint a Chief Electoral Officer [CEO].  The Chief Electoral Officer, according to the Act, -

(a)        is the head of the administration of the Commission;

(b)        is the accounting officer of the Commission and must cause the necessary financial records to be kept;  and

(c)        must exercise the powers and functions entrusted and assigned to her by the Commission or an act of parliament.

 

14.5      A whole range of financial functions, powers, responsibilities and accounting and reporting obligations are assigned to the CEO as Accounting Officer in parts 1 and 2 of Chapter 5 of The Public Finance Management Act, 1999.

 

14.6      In the Electoral Commission Act itself and in other legislation (mainly electoral acts) certain powers and functions have been assigned to the CEO in her official capacity.  In the exercise of these powers and functions she holds the final decision making authority.

 

14.7      As head of the Commission’s Administration, it is the CEO’s responsibility to ensure that the necessary capacitated staff and structures are available to the Commission to perform its functions and to, by managing the staff, ensure that the tasks assigned to the administration are carried out.

 


In Practice

 

14.8            What happens in practice, has posed a number of challenges for the Commission. It must be borne in mind that only three of the five Commissioners are appointed on a full-time basis. The CEO is appointed on a full-time basis and is responsible for the day-to-day management of the institution and in particular is accountable for its financial and human resources.

 

14.9            Whereas in law the Electoral Commission is the body consisting of five members, in practice the Electoral Commission as an institution or an organisation encompasses the Commission itself, the CEO and the whole of its administration consisting of all staff employed in all its structures.

 

14.10        Whereas in law the levels of decision making and the “lines of authority” are clear, things may become somewhat hazy in practice;  not really in areas where the “Commission’s” and the CEO’s powers and functions have been clearly spelt out (e.g. financial area) but more particularly in the area of administration where the CEO is by law the head of the administration but where the law has not spelt out in detail the relationship between the “Commission” and the CEO on the one hand, the “Commission” and the administrative staff on the other hand, and finally between the CEO and the administrative staff.  And the law will never be able to do so exactly because it is a matter of administration and not a matter of law.  Governance and administrative principles apply.

 

14.11        The more common definitions of “corporate governance” are:

 

(a)        “The planned utilization of Board expertise in ways that maximize each Director’s contribution whilst harnessing this within an effective structure. An environment where the Board partners with management to set a corporate strategic agenda. This must be accomplished without the Board impeding management’s right to manage day-to-day operations”.

(b)        “A system by which organizations are directed and controlled”.

 

14.12    It is in this area where tensions can arise.  The head of, and the staff in, the administration may experience actions of the members of the Commission to constitute improper interference in administrative issues (e.g. by giving instructions or assignments directly to junior staff members) while the members of the Commission may experience certain staff actions as not recognising the Commission or withholding information from the Commission or not implementing decisions of the Commission.  Similarly staff members may experience the actions of the CEO or senior management as autocratic or unfair, while from their side the CEO or senior management may experience actions on the part of staff members as disrespectful or acts of insubordination.

 

14.13        In the light of the above, it is clear that though the Commission has been successfully executing its functions and / or mandate for the past eight years, there is room for improvement. This will happen when clear lines of authority, roles and responsibility are drawn.

 

14.14    The Commission is currently engaged with this task. It is envisaged that the definition of the roles and responsibilities of the Commissioners as opposed to those of the CEO should be able to indicate who is responsible for:-

 

           setting policy and strategy;

           liaising with stakeholders, including political parties and government;

           meeting of statutory mandate;

           managing day-to-day operations;

           oversight and governance;

           ensuring effectiveness of processes set by the Commission;

           logistics of meetings, agendas and minutes;

           employment of staff;

           strategic planning;

           management of budget;

           staff management (including reporting lines).

 

14.15    To cover the scope of its mandate, the Commission itself functions in four committees, i.e.,

§                     Electoral Operations

§                     Finance and Information Technology

§                     Human Resources and Support Services

§                     Outreach and Communications

 

Question 15

 

Does your institution have mechanisms in place to deal with internal conflict in your institution?  If yes, what are these mechanisms and are they effective?

 

Response

 

The Electoral Commission has a disciplinary policy and procedure in place which allows for the investigation and adjudication of any misconduct charges. The Commission also has a grievance policy and procedure in place that allows any staff member to lodge a grievance which will be investigated and resolved. All staff members have received a hard copy of the Employee Manual, which includes the Disciplinary Code, as well as grievance procedure.


Question 16

 

What mechanisms are in place for Chief Executive Officers, Chairpersons and Commissioners to disclose and/or seek permission for private commercial/financial interests or involvement?  Are such mechanisms effective or sufficient to ensure transparency and avoid conflict of interest?

 

Response

 

Members of the Commission (Including the Chairperson)

 

16.1      The following provisions of the Electoral Commission Act (51 of 1996) apply:

 

Section 9(1):

             “Every member of the Commission shall –

(a)    

(b)     If appointed in a full-time capacity, serve as such to the exclusion of any other duty or obligation arising out of any other employment or occupation or the holding of any other office, unless specifically authorised thereto by the President.”

 

Section 9(2):

“No member of the Commission –

(a)    

(b)    

(c)    

(d)     may make private use of or profit from any confidential information gained as a result of his or her appointment and functions as such a member;

(e)     may divulge any such information to any third party save in the course and scope of his official functions;

(f)      

 

Section 10:

“10. (1) Subject to subsection (2), a member may not at any meeting of the Commission during the discussion of any matter before such meeting in respect of which he or she has any financial or other interest which might preclude him or her from performing his or her functions in a fair, impartial and proper manner-

(a)                 be present;

(b)                 cast a vote;  or

(c)                 in any other manner participate in the proceedings thereof.

 

     (2) If at any stage during the course of any proceedings before the Commission it appears that any member has or may have an interest which may cause such a conflict of interests to arise on his or her part;

(a)        such member shall forthwith and fully disclose the nature of his or her interest and leave the meeting so as to enable the remaining members to discuss the matter and determine whether such  member is precluded from participating in such meeting by reason of a conflict of interests;  and

(b)        such disclosure and the decision taken by the remaining members regarding such determination, shall be recorded in the minutes of the meeting.

 

(3) If any member fails to disclose any interest as required by subsection (2) or, subject to that subsection, is present at a meeting of the Commission or in any manner whatsoever participates in the proceedings of the Commission in relation to such matter, such proceedings may be reviewed and varied or set aside by the Commission.”


16.2      The Chief Electoral Officer and employees of the Commission

 

Regulation 7 of the Commission’s Regulations on the Conditions of Service, Remuneration, Allowances and Other Benefits of the Chief Electoral Officer And Other Administration staff, reads as follows:

 

“7. (1) Employees shall serve the employer in a full-time capacity and at the places and times determined by the Commission.

     (2) Employees shall not perform any other remunerated work nor receive other income in respect of work performed or material produced without the written permission of the employer.

     (3) An employee may not use the facilities of the Commission for private commercial purposes, or at any time during the course of employment be involved in any private commercial activities without the prior written approval of the Commission.”

 

With respect to the declaration of financial interest, employees obtain written approval for any other remunerated work or incomes receive from sources other than the Electoral Commission (e.g. directorships, etc) through declaration and formal approval by the Commission.  A register of such declarations and approvals is kept in the office of the CEO.

 

16.3            An employee may furthermore not accept any gift or any other benefit(s) valued at R200 or more offered to him/her as an officer or employee without prior permission from the Commission, which reserves the right to order non-acceptance of any such gift or benefit.  For this purpose, a gift register is kept with the Human Resources department for the declaration of such gifts or benefits to employees valued at R200 or more offered to them by or on behalf of a person or organisation with whom the Commission has, or may enter into, a business relationship, and also any gifts or benefits that may be interned or perceived to influence them in the performance of their functions.

16.4      The Commission is of the opinion that these provisions, and their strict application, are effective and sufficient to ensure transparency and avoid conflict of interest.

 


SECTION D

 

INTERACTION WITH THE PUBLIC

 

Questions 17, 18 and 19

 

What was the intended relationship between your institution and the public?  To what extent has this relationship been realised?

 

Does your institution have mechanisms in place to deal with complaints by the public about the work done by your institution or the failure to attend to issues?

 

If you deal with public complaints, what mechanisms are in place to deal with such complaints, to follow through on such complaints and to successfully resolve such complaints?

 

Response

 

17.1            In its fulfilment of Section 5 (d), (k) (l) of doing  voter education, research and democracy development, the Commission has worked closely with non-government organisations, research institutions, tertiary and other educational institution on specific projects.

 

17.2            Further, in order to assess the impact of our work and to ensure that all citizens have the information and access to the electoral process, since 1999, the Commission has developed a profile for the sectors of the electorate to be targeted. The Commission decided to direct most of its educational and special programmes to those South Africans who had not had the priviledge of participating in the voting process, the historically disadvantaged. The Commission was assisted in making these decisions, by the interaction we had with civil society organisations and the research conducted for the Commission by the HSRC and research on elections done by other organisations. Examples of the special focus groups are: Rural voters, voters in informal settlements, women, farm workers, youth.

 

17.3            The Commission accepted that it can only succeed in reaching the millions of voters and potential voters if it works closely with civil society organisations. Some of the structures that have been our partners in this work are,

§                     those in democracy and human rights such as IDASA, EISA;

§                     traditional leaders organisations;

§                     faith-based organisations; SACC & Inter Religious Forum

§                     women’s organisations [organised a conference on participation of women in elections in preparation for the 2006 municipal elections];

§                     trade unions;

§                     organised business;

§                     youth formations [embarked on targeted voter registration and election campaigns through the “Power of X” campaign slogan that was conceptualised by young people. This campaign resulted in the increase of the number of youth who registered and voted from 1999 to 2006.];

§                     tertiary institutions;

§                     farming communities [signed a memorandum of understanding with all organisations in the farming sector in preparation for the 2004 and 2006 elections.]

 

17.4            Some of the functions performed by these organisations include election observation, allowing the Commission to use their venues and to address their constituencies on voter education, conflict management, mobilising volunteers as electoral staff, helping with ID campaigns, publicising the Electoral Code of Conduct, and providing conflict management panellists.

 

17.5            There is no doubt that such relationships have immensely assisted us in crafting our communication strategies and activities so as to make sense to special target groups in addition to the generic approach. It is through these interactions that we were able to increase the numbers of citizens on the voters’ roll and in voting stations from one election to the other, and to keep the electorate enthusiastic to vote.

 

17.6            These organisations have become our partners in elections and as such feedback and critique from them has assisted us in improving on our policies, practices and procedures for election management.

 

17.7            The Commission has established formal and informal channels and mechanisms to deal with public complaints. The formal channels and mechanisms to deal with these complaints are stipulated in the Act. There are prescribed procedures for complaints such as de-registration as a voter, appeal against the decision taken by the chief electoral officer, objections to the inclusion or exclusion of any person’s name on that segment and the correctness of any person’s registration details in that segment. The informal mechanisms take a number of forms such as letters, e-mails, telephones, website, etc.

 

17.8            The Commission also operates a public call centre during periods of high activity ahead of general elections. A toll-free information service is offered to the public. This service includes the recording of complaints from the public, which are then escalated to relevant line function departments for resolution after which the call centre reverts to callers with relevant solutions.


SECTION E

 

FINANCIAL AND OTHER RESOURCE MATTERS

 

Question 20

 

Give an indication of your budget allocation, additional funding and expenditure over the past five years.

 

Response

 

FINANCIAL YEAR

PARLIAMENTARY ALLOCATION

OTHER

INCOME

TOTAL EXPENDITURE

2001/2002

R100 000 000

R24 297 656

R251 401 741

2002/2003

R210 756 000

R12 384 004

R246 325 860

2003/2004

R640 960 000

R19 102 410

R612 914 385

2004/2005

R526 902 000

R11 224 037

R588 328 409

2005/2006

R944 258 000

R20 199 461

R923 255 815

 

NOTES:           

 

1.       The Parliamentary allocation reflects the outcome of budget submissions to National Treasury in line with MTEF guidelines.

2.       Other income for the most part reflects interest received and sponsorship income.

3.       The Auditor-General issued an unqualified audit opinion on the financial statements of the Electoral Commission for each of the last four financial years.

4.       With the approval of National Treasury any unutilised surplus in a financial year is carried forward for utilisation in the next financial year.

 

 

Whilst the above tables state the position clearly as far as the allocation and spending of funds are concerned, comments on the fact that funds are normally rolled over from year to year need to be offered.  The situation is due to a number of factors which include the following:

 

20.1      Elections have tended to take place either towards the end of a financial year or towards the beginning of the next financial year.  It is not a function of the Commission to determine election dates and much uncertainty have always existed about when an election would actually take place.  The Commission has thus by necessity tended to budget for projects as entities and has split requests for funds over different financial years as best possible.  This has resulted in roll over funds that were used as intended but in the year subsequent to its allocation.  Treasury has taken this factor into account with the allocation of funds and have always been kept fully informed about the position.

 

20.2      It has not always been possible to determine the full scope of projects in advance.  A case in question is the determination of municipal and ward boundaries by the MDB, often shortly before elections.  This in turn determines the number of voting stations, the number of staff to be utilized and the scope of provisioning.  At times the impact has been large but on occasion it has also been smaller than has been anticipated.

 

20.3      Pricing in terms of logistical provisioning has constantly been dropping due to the e-procurement process that is followed.  That trend is clear and we have never budgeted for more funds than were required for a particular item than during the most recent election.  The extent of further savings can unfortunately not be determined in advance since they fluctuate largely from item to item.

 

20.4      It must also be understood that the Commission does not have overdraft facilities at its bankers and that it must thus have a constant positive balance.  This includes fixed deposits that are required to, for instance, guarantee salaries paid to permanent and temporary staff.

 

20.5      The Commission has at times also had to cope with unexpected events.  A case in question is the confirmation of voting rights of prisoners by the Constitutional Court.  Another example is the flooding that occurred with the 2004 elections and that greatly increased logistical distribution costs as helicopters had to be used in parts of the country.  Funding for such events and incidents can obviously not be attained from government at very short notice and the budget of the Commission must thus, to a limited extent, provide for contingencies that may materialize or not.

 

Treasury is fully aware of these circumstances and have obviously kept roll over amounts in mind when funds were allocated to the Commission.

 

Question 21

 

Please provide detailed information of the remuneration packages for office bearers and Commissioners.

 

Response

 

Office bearers (all permanent employees)

 

21.1   In terms of the Electoral Commission’s Regulations on the Conditions of Service, Remuneration, Allowances and Other Benefits of the Chief Electoral Officer and Other Administrative Staff, (R514 of 19 May 2000) office bearers receive an inclusive package as set out in the table below.

 

21.2   Staff may structure their own remuneration packages according to Electoral Commission and SARS guidelines.  Included in the basic package are the following employer contributions:

·               Housing allowance

·               Medical aid contribution

·               Retirement contribution

·               13th cheque

 

21.3   Employees who qualify may furthermore include travel allowances in the structuring of their remuneration packages according to SARS guidelines.  Provision is furthermore made for group life assurance, permanent disability insurance as well as a fixed funeral cover.

 

21.4   No remuneration package of the administration of the Electoral Commission may exceed that of a Director-General in the Public Service.

 

LEVEL

NOTCH

1

NOTCH

2

NOTCH

3

CEO EXISTING

926,163

926,163

926,163

DEPUTY CEO EXISTING

745,275

767,795

790,997

SENIOR MANAGER EXISTING

614,137

632,699

661,594

MANAGER

521,390

537,144

553,374

DEPUTY MANAGER

336,684

357,806

378,952

ASSISTANT MANAGER

240,832

248,531

256,215

SENIOR ADMINISTRATIVE OFFICER

205,561

214,795

224,288

ADMINISTRATIVE OFFICER

171,076

177,872

184,916

ASSISTANT ADMINISTRATIVE OFFICER

144,016

150,517

157,317

SENIOR ADMINISTRATIVE CLERK

109,071

111,682

114,438

ADMINISTRATIVE CLERK

89,193

90,698

93,035

MESSENGER, CLEANER,

LABOURER, FOOD SERVICE AID

83,590

84,274

84,940

Salaries as on 1 December 2006

 

Commissioners

 

21.5   In terms of section 7(2) of the Electoral Commission Act, 1996, (Act No 51 of 1996) the conditions of service, remuneration, allowances and other benefits of Commissioners are determined by the President who acts after consultation with the Commission on the Remuneration of Representatives, established by section 2 of the Commission on the Remuneration of Representatives Act, 1994 (Act No 37 of 1994), and a distinction is made between commissioners appointed in a full-time and part-time capacity.

 

21.6   The President has determined the remuneration of a full-time member of the Commission to be equal to the basic salary (exclusive of benefits) of a judge of the High Court together with the benefits (state contributions to housing, medical aid, pension and transport) of a director-general in the public service. In the case of a full-time Chairperson of the Commission, the basic salary of a judge of the Appeal Court applies.

 

21.7   The daily remuneration of part-time members of the Commission is equal to the annual basic salary of a judge of the High Court divided by 252.

 

21.8   The current salary packages of Commissioners are as set out below.

 

POSITION

ANNUAL PACKAGE

CHAIRPERSON

R939 244.80

FULL-TIME COMMISSIONER

R920 549.40

 


Question 22

 

Please illustrate the budget process followed by your institution, including the process of allocation of funds.

 

Response

 

22.1            The Commission follows a Medium Term Expenditure Framework (MTEF) budget process. A number of sessions are held to determine and document the strategic direction and objectives for the following three-year budgeting cycle taking into account developments during the past and current financial years. Draft budget proposals are then made per Department in terms of the approved strategic plans in the Project Charter System (PCS). Line managers draft the individual Project Charters, in more detail, for each of the years included in the MTEF. The projects captured on the PCS are reviewed by Budget Task Teams to ensure consistency whereafter they are finalised. The proposed budget is then submitted to the Commission through the CEO.

 

22.2            The MTEF budget submission, as approved by the Commission, is submitted to National Treasury with accompanying documentation as requested by Treasury. The Commission then receives a final allocation based on the MTEF Budget submitted to Treasury. The budget is then aligned with the allocation from Treasury

 

22.3            Please also refer to the responses under questions 11 and 23.

 


Question 23

 

Are the current budgetary and administrative arrangements sufficient to ensure autonomy of Chapter 9 institutions?

 

Response

 

This response covers questions 11, 22 and 23.

 

23.1            The first members of the Electoral Commission were appointed with effect from 1 July 1997.  In order to establish the first national common voters roll in 1998 and deliver national and provincial elections in the first half of 1999, it had to urgently;

 

§         determine the scope of its functions;

§         adopt a business plan for the establishment of the first national common votes roll;

§         draft and promote an electoral bill;

§         draft and eventually make regulations for national and provincial elections;

§         determine administrative structures and organograms needed to manage the first voter registration process and the 1999 elections;

§         appoint a Chief Electoral Officer and staff to fill the posts in the organograms;  and

§         prepare a budget for 1997/1998, 1998/1999 and 1999/2000 and present the budget to the Treasury. 

 

23.2            In the run-up to the first registration of voter “weekends” in 1998 and the 1999 elections, the Commission encountered mainly two stumbling blocks that could also be described as threats to its independence.  Both emanated from the Department of Home Affairs.

 

23.2.1      The first stumbling block concerned our budget.  We were required to submit our budget requests to the Director-General of Home Affairs for inclusion as an item in that Department’s own budget requests.  That Department would then negotiate with the Treasury and support what they considered to be a sufficient allocation.  Thus the Commission itself had no access to Treasury to motivate its own budgetary requests.

23.2.2      The other leg of the budgetary problem was that the Director-General of Home Affairs claimed that the moneys voted to the Commission formed an integral part of the Home Affairs budget and that only he could authorise any expenditure from that budget: that the Commission would have to approach him with detailed requisitions for the expenditure of any moneys in the course of any of its programmes or projects; and that he would then decide whether the Commission could commit to or pay out the requisitioned funds.  Furthermore, the Commission had to account to him on moneys expended as he was the Accounting Officer who would then account to Parliament.

23.2.3      This was obviously an untenable situation that would draw a line through the independence of the Commission and through section 181 of the Constitution providing, inter alia, that Chapter 9 institutions –

§         “are independent, and subject only to the Constitution and the law”;

§         that “no person or organ of state may interfere with the functioning of these institutions”;  and

§         that these “institutions are accountable to the National Assembly…”

 

Furthermore the Electoral Commission Act itself provided that the Chief Electoral Officer is the Accounting Officer of the Commission.

 

23.3            The second stumbling block concerned a bill amending the Electoral Commission Act, emanating from the Department of Home Affairs, and tabled in Parliament.  This Bill was aimed at converting the management of elections into a function of the Department of Home Affairs (i.e. the Executive) and turning the Electoral Commission into a minor supervising entity.  The Commission was never consulted about this draft bill and only became aware of its existence after it had been tabled in Parliament.  Obviously also, had this bill been adopted, it would have destroyed the entire concept of an independent electoral management body (EMB).

 

23.4            In the beginning negotiating a budget was an extremely difficult and time and energy consuming business that also delayed the finalisation of business plans.  The exercise was complicated by the manner in which the budget had to be negotiated, as set out above, but also by other factors including –

 

§         the fact that the Commission itself was entering terra incognita and would obviously ask for the maximum to be on the safe side;

§         the fact that from the Treasury’s side they also found themselves in new territory, confronted with requests for large amounts of money for which no provisions had been made and therefore going for the minimum;  and

§         the fact that there was no established pattern of expenditure like there was in respect of state departments and other institutions funded from the treasury.

 

23.5            However, the issues concerning the Bill and the budget were raised with Government.  The Bill was abandoned and the budget processes were over time changed to where we have now been for five or six years, i.e. that we present and negotiate our budget requests directly with the Treasury, the money voted by Parliament on our budget appears as a transfer amount on the Home Affairs budget, on expenditure from our budget we account directly to Parliament (our CEO being the Accounting Officer) and we also report to Parliament on our activities by way of formal reports and regular interaction with portfolio committees, mainly the Portfolio Committee on Home Affairs.

 

23.6            Especially with budgeting for three years in advance, an expenditure pattern has now been established.  Also with every passing year the Commission itself has managed to cut down on its expenditure by improving logistical and other processes, training of officials, the use of technology and the right sizing of its organograms.

 

23.7            Not once, from its inception, has the Government underfunded the Commission.  Not once has the executive interfered with the functioning of the Commission or tried to influence it in favour of the ruling party nationally, provincially or locally.  The governing parties nationally, provincially and locally have, like parties not in government, used the prescribed channels to object, appeal or challenge electoral decisions.  Much of this transparent relationship that exists between parties and the Commission can be ascribed to the effective functioning of the party liaison committees.

 

23.8            In the Constitutional Court Case CCT/9/99 = The New National Party vs The Government of the Republic and Others, then Langa DP delivered a ground-breaking judgment on the independence of Chapter 9 institutions and the relationship between them and the National Legislature and Executive.  Attached is a copy of a document produced by the Commission at that time pertaining to this judgement [Annexure 4] together with a copy of the judgment itself [Annexure 5].

 

23.9            The following is an extract from a paragraph in the document, on the Commission’s obligations in its relationship with the National Legislature and Executive and other independent state institutions:

 

“4.3       On the other hand, the South African state institutions, with constitutionally guaranteed independence are for their very existence and freedom of action, dependent upon each other.  The legislature, the executive, the courts of justice and the chapter 9 institutions are all creatures of the same constitution.  They owe allegiance to the same constitutional ideals, declarations, guarantees and responsibilities and the same Bill of Rights.  In the performance of their own particular functions these institutions must act independently, but in the pursuance of the ideals of good governance and a democratic society they need to recognise their inter-dependence and to co-operate and support one another.

 

4.4               From its side the Electoral Commission will pursue a co-operative and supporting relationship with all the independent state institutions, including the executive and legislature.  The principles of co-operative government set out in chapter 3 of the Constitution seem to provide appropriate guidelines also for this situation and the Commission will, in the words of section 41(1)(h) of the Constitution, also in respect of government –

 

“(h)       co-operate with one another in mutual trust and good faith by –

(i)                   fostering friendly relations;

(ii)                 assisting and supporting one another;

(iii)                informing one another of, and consulting one another on, matters of common interest;

(iv)                co-ordinating their actions and legislation with one another;

(v)                  adhering to agreed procedures;  and

(vi)                avoiding legal proceedings against one another.”

 

4.5               The Commission will at all times bear in mind the need for financial discipline and the vast backlog in, and therefore the unsatisfiable demands on public funds, in respect of

 

§         the relief of poverty;

§         the education of our children;

§         the health of the nation;  and

§         the fight against crime.

 

The Commission will therefore at all times ask for the minimum, and spend the money allocated to it as frugally as possible and as closely as possible in conformance with the state’s statutory and regulatory financial regime, even where items thereof might not legally apply to the Commission.”

 

Question 24

 

To what extent are the resources allocated to your institution directly spent on meeting its key responsibilities?

 

Response

 

24.1      It is accepted that “key responsibilities” is a reference to our “core functions” as set out in the Constitution. These core functions are to manage elections, ensuring that these elections are free and fair and declaring the results within seven days.

 

24.2            All our other functions, mentioned in our response to Question 1, are in essence functions underscoring our core functions, i.e., delivering free and fair elections.

 

24.3            It is therefore not possible to distinguish between resources spent on “key responsibilities” and those spent on responsibilities other than key responsibilities.

 

24.4            The best that we can do is to include in the accompanying documentation pack, copies of a complete set of our budget requests particularised in detail together with the resulting voted allocation of funds.

 

24.5            Our three-volume blue print of our Financial Policy and Procedures Manual has been included in the accompanying documentation pack. These procedures ensure that funds allocated to a particular programme or project are spent on that programme or project. In the second half of the financial year an evaluation is made to establish which programmes and projects may eventually show savings that could be transferred to others that may run into shortfalls.

 

24.6            The results are annually set out in the Commission’s financial statements published in its annual reports to parliament, showing the amounts spent in the different areas of activities and also the different classes, e.g., salaries, capital expenditure, etc.

 

24.7            Copies of the latest five annual reports are to be found in the accompanying documentation pack.

 

Question 25

 

Please tabulate the full staff complement of your institution, including all executive and non-executive staff.  Please separate staff in the head office from regional offices, where applicable.

 

Response

 

25.1            The Electoral Commission was formally established in July 1997, commencing with the appointment of 5 Commissioners for a seven year term.  As required by section 12 of the Electoral Commission Act, 1996, the Commission then appointed the Chief Electoral Officer (CEO).  The Act does not make provision for a distinction between executive and non-executive staff and only makes reference to administration staff, officers and employees.

 

25.2            The CEO subsequently appointed an administration in consultation with the Commission (section 12(4) of the Electoral Commission Act, 1996), to prepare for the 1999 national and provincial elections.

 

25.3            With limited prior experience of what the performance of its duties would require in terms of the Constitution and Electoral Commission Act, 1996, the Commission initially established an organisational structure with a staff complement of 422.  These employees were appointed on a maximum of three years fixed term contract basis, with a view to revisiting the situation afterwards.

 

25.4            The Commission undertook a rightsizing exercise in 2001, resulting in an organisational structure with a staff complement of 186, spread over a national office and nine provincial offices.

 

25.5            In 2003, the Commission amended its approach to outsourcing some of its Information Technology and Finance core functions, resulting in the establishment of 70 new positions on the organisational structure.  The current organisational structure makes provision for 256 posts.

 

25.6            The Commission currently has 194 employees, broken down as follows:

§         National office in Pretoria: 104

§         Eastern Cape provincial office: 13

§         Free State provincial office: 8

§         Gauteng provincial office: 9

§         KwaZulu-Natal provincial office: 13

§         Limpopo provincial office: 10

§         Mpumalanga provincial office: 8

§         Northern Cape provincial office: 10

§         North West provincial office: 9

§         Western Cape provincial office: 10

 

25.7            With regard to Electoral Commission staff in the local sphere, there has been a functional relationship between the Electoral Commission and municipalities in the registration of voters and the management of elections for all three spheres of government since 1998.

 

25.8            For the 1999 elections the Electoral Commission engaged 441 municipal officials to act as its agents on the ground in 807 municipal areas. These agents were known as Local Electoral Officers: LEOs. Approximately 1,980 municipal staff assisted the LEOs on a part-time basis with their electoral functions.

 

25.9            During 2000 the entire country was rationalized by the Municipal Demarcation Board into 284 municipal councils (6 metropolitan councils, 231 local councils and 47 district councils). This led the Electoral Commission to accordingly reduce their agents to approximately 237 in number. These agents are now known as Municipal Electoral Officers (MEOs).

 

25.10        As before, MEOs required staff in order to effectively carry out electoral functions. Municipal staff was frequently not available to this end - officials having to attend to their designated duties – and the Electoral Commission at times required full-time assistance on local level for matters such as continuous voter registration and delimitation.

 

25.11        The Electoral Commission therefore created for this purpose in 2001, 777 full-time Electoral Project Co-ordinator (EPC) posts. Due to the fact that EPCs became more knowledgeable and experienced in electoral work, the number of EPC posts was gradually reduced to the 483 which currently exists in Municipalities. EPCs were initially employees of the MEO. Following a court ruling in 2005, EPCs are now deemed employees of the Commission, in addition to those indicated in 25.6.

 

25.12        At present the Electoral Commission envisages – and is working towards – the establishment of electoral units within municipalities. This will strengthen its association with municipalities and organised local government. EPCs will be taken up into municipal structures when these units are established.

 

25.13        Electoral Units will bring about the following anticipated benefits:

§         A realistic career path for EPCs. As municipal officials EPCs will in the longer term have a career path in the municipality and not be confined to the electoral unit.

§         A resource that is always readily available for electoral activities.

§         A resource that can be applied to other municipal functions in periods of low electoral activity.

§         Building a reserve of experienced staff on local level in the long term.

 

25.14        Regarding the functioning of these units, the Commission (through its own administration under the Chief Electoral Officer and via the Provincial Electoral Officers) will continue to exercise direct control over the appointment of electoral officials and the performance of their electoral functions by those officials.

 

25.15        The appointment of staff in a unit will thus be done in consultation with the Commission.

 

25.16        The Commission will reimburse the Municipality for the total cost to it of remuneration, benefits and statutory deductions in respect of staff in the unit, together with subsistence and transport claims incurred in respect of the unit and verified by the Municipality.

 

25.17        The Municipality will endeavour to assign other employees to assist the electoral unit during periods of high electoral activity, either full-time, part-time or by way of overtime.

 

25.18        The Council may, at an appropriate time, offer a unit staff member another position in the Municipality, if it so desires, provided it is done in consultation with the Commission.

 

25.19        Due to the cyclical nature of some of the activities of the Commission, it may be that full-time unit staff members may not at all times be fully occupied with electoral activities.  The Council, in consultation with the Commission, may utilise the services of such members elsewhere in the Council’s administration during such periods.

 

25.20        The Commission will provide a budget for the direct disposal of the Municipal Electoral Officer, sufficient to cover all electoral activities, projects or programmes of the unit in terms of various electoral acts.  This budget will be administered by the Commission’s financial systems.