| United Nations | A/50/332 |
General Assembly
Distr. GENERAL
7 August 1995
ORIGINAL:
ENGLISH
Fiftieth session
Item 41 of the provisional agenda*
SUPPORT BY THE UNITED NATIONS SYSTEM OF THE EFFORTS OF GOVERNMENTS
TO PROMOTE AND CONSOLIDATE NEW OR RESTORED DEMOCRACIES
Report of the Secretary-General
CONTENTS
Paragraphs Page
I. INTRODUCTION .........................................1 - 103
II. PROMOTING A DEMOCRATIC CULTURE .......................11 - 384
A. Political parties and movements .................. 14 - 225
B. Free and independent media ....................... 23 - 306
C. Building a political culture through civic
education ........................................ 31 - 387
III. ELECTORAL ASSISTANCE .................................39 - 778
A. Organization and conduct of elections ............ 47 - 5419
B. Supervision ...................................... 55 - 5920
C. Verification ..................................... 60 - 6621
D. Coordination and support for international
observers ........................................ 67 - 7223
* A/50/150.
95-23405 (E) 160895/...
*9523405*
CONTENTS (continued)
Paragraphs Page
E. Support for national election observers .......... 7324
F. Technical assistance ............................. 74 - 7624
G. Observation ...................................... 7725
IV. BUILDING INSTITUTIONS FOR DEMOCRACY ..................78 - 12025
A. Creating and strengthening democratic structures
of government .................................... 82 - 9326
B. Enhancing the rule of law ........................ 94 - 10328
C. Improving accountability, transparency and quality
in public sector management ...................... 104 - 11430
D. Capacity-building and civil service report ....... 115 - 12033
V. OBSERVATIONS AND RECOMMENDATIONS .....................121 - 13134
REPORT OF THE SECRETARY-GENERAL ON SUPPORT BY THE UNITED
NATIONS SYSTEM OF THE EFFORTS OF GOVERNMENTS TO PROMOTE
AND CONSOLIDATE NEW OR RESTORED DEMOCRACIES
I. INTRODUCTION
1. In its resolution 49/30 of 7 December 1994, the General Assembly
requested me to study "the ways and mechanisms in which the United Nations
system could support the efforts of Governments to promote and consolidate
new or restored democracies", and to present a comprehensive report on this
subject to the General Assembly at its fiftieth session. The present
report is submitted pursuant to the request contained in that resolution.
2. The First International Conference of New or Restored Democracies took
place at Manila in June 1988. The Second International Conference of New
or Restored Democracies was held at Managua from 4 to 6 July 1994.
Thirteen Member States took part in the Manila meeting; 74 were represented
at Managua.
3. In its resolution 49/30, the Assembly noted the importance of the
Declaration and Plan of Action adopted by the Managua conference. In
preparing the present report, I have therefore paid careful attention to
those documents. I have also drawn on other material prepared for, or
issued by, the Manila and Managua conferences. In addition, in response to
a request from me, a number of United Nations entities provided information
about their experience in responding to requests from Member States seeking
to promote or consolidate democracy. I am grateful to them for their
helpful contributions. The information that they provided has enabled me
to draw some tentative conclusions from the experience already gained
within the United Nations system. They appear in chapter V of the present
report.
4. In preparing the present report, it has become clear to me that, to
avoid misunderstandings about the nature and scope of the work of the
United Nations in this field, a number of preliminary clarifications are
needed.
5. The United Nations system, in assisting and supporting the efforts of
Governments to promote and consolidate new or restored democracies, does
not endorse or promote any specific form of government. Democracy is not a
model to be copied from certain States, but a goal to be attained by all
peoples and assimilated by all cultures. It may take many forms, depending
on the characteristics and circumstances of societies. That is why, in the
present report, I do not attempt to define democracy but refer to
democratization.
6. By democratization, I mean a process by which an authoritarian society
becomes increasingly participatory through such mechanisms as periodic
elections to representative bodies, the accountability of public
officials, a transparent public administration, an independent judiciary
and a free press. It is inherent in this concept that democratization does
not necessarily lead immediately to a fully democratic society. That goal
may be attained only in steps, with an authoritarian society gradually
becoming less so. The pace at which democratization can proceed is
inevitably dependent on a variety of political, economic, social and
cultural factors some of which, in a given society, may not be susceptible
to rapid change.
7. The United Nations stands ready to assist States in this process of
democratization, when requested to do so by a Member State, and in ways
agreed by the Government of that State.
8. The present report draws on, and brings together, the very considerable
fund of experience that United Nations entities have already acquired in
work in support of democratization processes. It describes the
circumstances in which such processes are most likely to develop
effectively, and provides an inventory of actions which experience has
shown to be useful in supporting democratization processes. Chapter II of
the present report describes ways in which the United Nations can
facilitate the democratization process through the promotion of a
participatory culture and an open society. Chapter III shows what the
United Nations has actually done in the concrete field of electoral
assistance to Member States. Finally, in chapter IV, I examine the role of
the United Nations system and other actors of the international community
in assisting States to build institutions that support the process of
democratization.
9. The transformation of a political entity into an independent State
through a process of popular participation may provide a sound foundation
for a culture of democratization. The United Nations was present, in a
number of cases, at the very birth of independent nations through
internationally validated processes of democratic participation. In the
course of the past four decades from Togoland in 1956 to Eritrea in 1993 -
the United Nations has observed and supervised over 30 plebiscites,
referenda, elections and other acts of selfdetermination, many of them
sponsored by the Trusteeship Council.
10. Seen from this perspective, United Nations work in assisting States
in their efforts to promote and consolidate new or restored democracies is
not new. However, recent requests made by Member States for United Nations
electoral and institution-building assistance, and the decisions of the
Manila and Managua conferences, reflect the changing nature of the requests
that Member States are making for assistance from the United Nations.
II. PROMOTING A DEMOCRATIC CULTURE
11. Democratization processes in general will take root in a society only
if a number of conditions are met. First and foremost, there must exist
the political will - both at the government level and in the community of
citizens at large - to move towards a more democratic approach to
government.
12. Secondly, citizens in such a community must also be provided with the
means to participate democratically in the decision-making processes of the
society. Minimum preconditions in this regard would include the ability (a)
to participate in free and fair elections; and (b) to associate freely and
form political parties or movements, thus allowing a multiparty system or
coalitions of parties and movements to develop; and (c) to enjoy full
access to information including the resources of independent media.
13. Thirdly, these requirements are not, however, sufficient in
themselves. Democracy cannot be based on forms alone: if it is to function
as an effective process, it requires a developed and articulate civil
society, as well as a political culture of participation and consultation.
Action by the United Nations can assist States to put in place the
institutions and mechanisms of democracy; but experience has shown that
action to strengthen the underlying culture of democracy may also be
required.
A. Political parties and movements
14. Today, States that are seeking to promote or consolidate processes of
democratization are often involved in a transition from a single party
system of government to a multiparty system, which may include former
liberation or rebel movements.
15. The circumstances in which demands for such a transition arise vary:
they may result from internal or external pressures. In some cases,
internal pressures are generated as a result of political movements for
change or demands for economic improvement. External pressures generally
originate with the international donor community, which may link assistance
to progress in such sectors as governance and human rights. In either
case, the timing of the decision to move towards a multiparty system cannot
be predicted, nor can the course of that transition be charted in advance.
16. In these circumstances, the creation or consolidation of a culture of
democracy can be greatly facilitated if training is provided for members of
political parties and movements.
17. In new or restored democracies, political parties can be encouraged
and given the means to contribute in an active and constructive manner to
the political debate and to transcend the purely tribal or religious
affiliations on which they are sometimes based.
18. United Nations experience in this field has come from its involvement
in multidimensional peace operations. Particularly in countries emerging
from long and violent civil wars, the United Nations has facilitated the
transformation of rebel armed movements into established political parties.
19. In Mozambique, for example, the Electoral Division of the United
Nations Operation in Mozambique (ONUMOZ) provided assistance for political
parties through a "Trust Fund for Registered Political Parties". The Trust
Fund played a particularly positive role in the transformation of the
Resistencia Nacional de Mocambique (RENAMO) into a political party. The
Electoral Division also put forward a plan for a political party monitoring
programme which involved training and disbursement of subsidies as well as
the deployment of approximately 30,000 political party monitors to the
polling stations on election days. Political party members were also
trained to observe the computerized tabulation of the vote count at
provincial and national counting centres.
20. In Cambodia, my Special Representative and his team held regular
consultations with leaders of all major political parties, thus
contributing to their integration into the political mainstream.
21. In El Salvador, with the assistance of the United Nations Observer
Mission in El Salvador (ONUSAL), the Frente Farabundo Marti para la
Liberacion Nacional (FMLN) transformed itself into a political party, which
participated in national elections in 1992.
22. It is not always possible for the United Nations on its own to carry
out full training programmes for political party members. Its involvement
could be seen as interference in the political life of the recipient
country or could lead to accusations of favouritism towards one specific
party. This important task, therefore, is sometimes better carried out by
other actors, such as non-governmental organizations (NGOs). In the same
case of Cambodia, for example, training was conducted mainly by two United
States-based organizations, the National Democratic Institute and the
International Republican Institute.
B. Free and independent media
23. Free and responsible communications media are essential for effective
democratization. Independent and free media that allocate time equally to
all political actors and report impartially to the general public help to
guarantee freedom of thought and the unimpeded flow of ideas, and promote
dialogue among people. They provide a means of exposing corruption,
mismanagement, discrimination, impunity and injustice.
24. The United Nations assists Governments to create the conditions in
which free and independent media can fulfil this important role. At the
same time, the media must build responsible self-policing mechanisms to
ensure that high levels of journalistic integrity are observed.
25. In many countries, however, vibrant, independent media have yet to
emerge. In such cases, there is scope for United Nations assistance, which
can take a number of forms. For instance, the Department of Public
Information of the United Nations Secretariat, together with the United
Nations Educational, Scientific and Cultural Organization (UNESCO), and in
cooperation with the United Nations Development Programme (UNDP), held a
regional seminar on promoting an independent and pluralistic African press
in Namibia in 1991. Development agencies from Canada, Denmark, Finland,
Germany, Norway and Sweden supported the seminar, which was attended by
African journalists, media representatives, entrepreneurs, and policy-
makers in information. They discussed constitutional, legal, political and
human resource development issues and adopted the "Declaration on Promoting
an Independent and Pluralistic African Press". In addition, a set of
recommendations related to the improvement of information and communication
infrastructures of African countries was approved for implementation by
UNESCO through its International Programme for the Development of
Communication.
26. A similar seminar was held for Asian media in 1992 at Almaty,
Kazakstan. In addition to media professionals and policy-makers in
information, a number of regional media organizations, communications
research institutions and NGOs attended this event, which also adopted a
declaration and agreed on specific project proposals to promote freedom of
the press as a vital element in development and democratization.
27. In 1994, the Department of Public Information, together with UNESCO,
UNDP and the Government of Chile, organized a seminar to support
independent and pluralistic media in the Latin American and Caribbean
region. The seminar, which brought together 400 communicators from the
region, emphasized media development in both rural and overpopulated urban
areas. As was the case with the earlier regional meetings, the seminar
provided an opportunity to evaluate the needs and concerns of media
practitioners in the region and to propose, in the Declaration of Santiago
and its Plan of Action, a series of recommendations and concrete projects.
28. Currently, the Department of Public Information, in close cooperation
with UNESCO and UNDP, is preparing a seminar on media development for the
Arab region to be held in Yemen in January 1996.
29. All these seminars and efforts have helped sensitize the professional
community, Governments and the public at large to the issues of press
freedom and pluralism and have led to many practical initiatives and
assistance projects, such as the establishment of media resource centres in
Kyrgyzstan and Tajikistan.
30. I anticipate that many more such experiences will occur as
democratization takes root in national societies that have chosen to
advance and consolidate their democratic institutions.
C. Building a political culture through civic education
31. Some countries that have moved from single party systems or
authoritarian regimes to multiparty electoral systems have done so without
modifying constitutional provisions affecting the structure of the State.
In other words, their constitutions reproduce the concentration of power
and authoritarianism of the previous regime. The transition from
authoritarianism to a more participatory regime requires long-term efforts
in public information and civic education to ensure general awareness of
the new reality and to provide the citizens with a say in its definition.
32. In particular, for the success of any electoral process, it is
essential that voters participating in it for the first time have
confidence in the credibility of the voting process and its institutions.
Every effort must be made, therefore, to ensure that the conduct of
elections is credible and transparent. The secrecy of the ballot is
essential.
33. Voter education can play a positive role, too. Voting demonstrations,
travelling theatre groups, brochures, newspaper articles and radio
programmes can help to familiarize voters with voting procedures, and
respond to their concerns.
34. It is more difficult to provide voters with guidance about the meaning
of the choice they will make. Voters may identify very little with party
philosophies but have strong attachments to particular personalities; or
they may be influenced by ethnic or geographical factors. Indeed, the
parties may not actually be distinguishable on policy or ideological
grounds.
35. Voters may lack information, for example, about the comparative
merits of single party and multiparty systems of government. Civic
education can, therefore, be critical in explaining the range of choices
open to them. It should be said, however, that, particularly in countries
with high illiteracy rates, the success of such an approach cannot be
guaranteed.
36. Information was, for example, crucial in preparing Cambodians for the
elections and informing them about the United Nations Transitional
Authority in Cambodia (UNTAC), the Paris agreements and their rights and
responsibilities. After two decades of fighting and isolation, many
Cambodians had little awareness of the changes that had occurred in the
outside world, and of the international community's concern for their
country. Many were also sceptical about the applicability in Cambodia of
such concepts as free and fair elections and multiparty political
campaigning. In addition to the challenges posed by a sceptical population
and by partisan propaganda, UNTAC also faced physical obstacles in
disseminating information. The impact of written material was reduced as a
result of low literacy rates throughout the country; local radio and
television facilities were old, in bad repair and had limited range. One
of UNTAC's most effective measures in getting its message out was the
creation of its own radio station.
37. In the case of South Africa, the United States-based National
Democratic Institute, together with the Centre for Development Studies
based at Capetown, initiated a comprehensive voter education programme as
early as 1991. Many Governments provided financial support for the locally
based efforts of South African NGOs. As part of its mandate, the United
Nations Observer Mission in South Africa (UNOMSA) monitored the adequacy of
such programmes in terms of content and geographical coverage. When gaps
were identified, information about them was communicated to the Independent
Electoral Commission and relevant NGOs.
38. The Centre for Human Rights also operates in the field of civic
education. Its activities have included the publication of a handbook on
human rights and elections, various public information programmes, support
to civic education endeavours, and the training of public officials with
key roles in elections. In Angola, for instance, the Centre cooperated with
the United Nations Angola Verification Mission II (UNAVEM) in arranging a
pre-election seminar on democracy, human rights and free and fair
elections. The target audiences were political parties, law enforcement
officials, the media, NGOs and electoral officers at the national,
provincial and municipal levels. Similarly, in Malawi, the United Nations
Secretariat, together with UNDP, organized a colloquium on democratic
transition for government and opposition leaders following the 1993
referendum on multi- or single-party Government.
III. ELECTORAL ASSISTANCE
39. Requests for electoral assistance from sovereign Member States began
to be received by the United Nations after 1989. Between 1989 and 1992, 7
requests for electoral assistance were addressed to the United Nations by
Member States; by June 1995 the number had risen to a total of 89 requests
(see table 1).
Table 1. Number of requests for electoral assistance per year
No. of requests received
No. of requests acceptedBefore 1992
7
7During 1992
32
29During 1993
22
18During 1994
17
131 January-30 June 1995
11
10Total as of 30 June 1995
89
77
40. This demand can be attributed to the following general causes: (a)
the end of the cold war as well as peace agreements in several regions of
the world, (b) the new emphasis on democratic processes in the republics
which had formed part of the Soviet Union, and (c) the desire of
Governments in some developing countries to introduce or strengthen
democratization processes.
41. In view of the increasing demand for electoral assistance, in 1991 the
General Assembly requested the Secretary-General to designate a focal point
to assist in coordinating and considering requests for electoral
assistance. Currently, my Under-Secretary-General for Political Affairs
serves as the focal point.
42. The tasks of the focal point include channelling requests for
assistance to the appropriate office or programme, ensuring careful
consideration of requests, development of an institutional memory in order
to build on past experience, the development and maintenance of a roster of
international election experts and establishing contacts with relevant
intergovernmental organizations to promote cooperation and avoid
duplication of efforts. The Electoral Assistance Division was created in
the Department of Political Affairs in April 1992 to assist the focal point
in these tasks.
43. The United Nations provides seven basic forms of electoral assistance:
(a) organization and conduct of elections, (b) supervision, (c)
verification, (d) coordination and support for international observers, (e)
support for national election observers, (f) technical assistance and (g)
observation. The first three types of assistance require major missions
and the approval of either the Security Council or the General Assembly.
Missions for organization and conduct and for verification have generally
been undertaken in the context of broader peace-keeping operations. A
detailed list of electoral operations, categorized by types of assistance,
is provided in table 2.
Table 2. Requests from Member States to the United Nations
system for electoral assistance
(in alphabetical order)
Member
State
Date of
request
Period of assistance
United Nations responseAlbania
2/1992
3/1992
Provided technical assistance. Elections held in March 1992.Angola
5/1991 a/
4/1992-12/1992
Provided verification and technical assistance. Presidential and
legislative elections held in September 1992.Argentina
9/1992
11/1992-6/1994
Provided technical assistance. Elections held in October 1993.Armenia
1/1995
2/1995-ongoing
Providing coordination and support. Legislative elections to be held in
July 1995.Azerbaijan
5/1992
-Rejected request for observers for the Presidential elections to be
held on 7 June 1992 because of insufficient lead time.
8/1993
-Rejected request for observers for the referendum to be held on 29
August 1993 because of insufficient lead time and absence of enabling
environment.
6/1995
6/1995
Conducted needs assessment mission in connection with upcoming elections
scheduled for November 1995.Bangladesh
2/1995
3/1995
Conducted needs assessment mission. Date of elections to be
announced.Belarus
5/1994
-Rejected request for observers for the Presidential elections to be
held on 23 June 1994 because of insufficient lead time.Benin
3/1995
3/1995
Provided coordination and support. Legislative elections held in March
1995.Brazil
11/1993
12/1993-12/1994
Provided technical assistance. General elections held in October
1994.Burundi
12/1992 b/
5/1993-6/1993
Provided technical assistance and coordination and support. Presidential
and legislative elections held in June 1993.Cambodia
10/1991 c/
11/1991-6/1993
Provided organization and conduct. Elections held in May 1993.Cameroon
2/1992
2/1992-3/1992
Provided observation (follow and report). Legislative elections held in
March 1992.Central African Republic
6/1992 b/
10/1992
Provided coordination and support. General elections held in October 1992.
7/1993
8/1993-9/1993
Provided observation (follow and report). General elections held in August
and September 1993.Chad
12/1992
1/1993-4/1993
Provided technical assistance.
1/1995
3/1995-ongoing
Providing technical assistance. Date of elections to be announced.Colombia
2/1993
6/1993-12/1994
Provided technical assistance.Congo
7/1992
7/1993-8/1993
Provided observation (follow and report). Presidential elections held in
August 1992.
11/1992
5/1993
Provided coordination and support. Legislative elections held in May 1993.
3/1995
-Rejected request for observers for the last phase of the
Legislative elections to be held on 9 April 1995 because of insufficient
lead time.Cote d'Ivoire
4/1995
7/1995-ongoing
Conducting a needs assessment mission in connection with elections
scheduled for the last quarter of 1995.Djibouti
8/1992
9/1992
Provided observation (follow and report). Referendum held in September
1992.
11/1992
12/1992
Provided coordination and support. Legislative elections held in December
1992.
3/1993
5/1993
Provided coordination and support. Presidential elections held in May
1993.El Salvador
6/1992
8/1992
Provided technical assistance.
1/1993
4/1993-3/1995
Provided verification and technical assistance. General elections held in
March and April 1994.Equatorial Guinea
3/1993
4/1993-ongoing
Providing technical assistance.
7/1993
-Rejected request to send observers for the elections scheduled to
take place in September 1993 because of absence of enabling environment.
Elections subsequently postponed until November 1993.Eritrea
5/1992
1-5/1993
Verification and technical assistance.Estonia
6/1992
-Rejected request for observers for the referendum to be held on 28
June 1992 because of insufficient lead time.Ethiopia
4/1992
5/1992-3/1994
Provided coordination and support and technical assistance. Regional
elections held in June 1992 and national elections in June 1994.Gabon
10/1993
11/1993-12/1993
Provided follow and report and technical assistance. Presidential elections
held in December 1993.
5/1995
7/1995-ongoing
Conducting a needs assessment mission.Gambia
4/1995
5/1995-ongoing
Conducted a needs assessment mission. Technical assistance project being
prepared.Ghana
4/1992
-Offered to coordinate international observers instead of sending
observers for the Presidential and Parliamentary elections to be held in
November and December 1992. Government rejected United Nations offer.Guinea
3/1992
5/1992-12/1993
Provided technical assistance and follow and report. Presidential elections
held in December 1993.
4/1995
6/1995
Provided observation (follow and report). Legislative elections held in
June 1995.Guinea-Bissau
12/1992
1/1993-8/1994
Provided technical assistance and coordination and support. General
elections held in July 1994.Guyana
6/1992 b/
6/1992-10/1992
Provided technical assistance. Elections held in October 1992.Haiti
7/1990
11/1990-1/1991
Provided verification and technical assistance. General elections held in
December 1990 and January 1991.
9/1994
10/1994-ongoing
Providing technical assistance. First round of legislative elections held
in June 1995.Honduras
3/1994
6/1994-ongoing
Providing technical assistance.Hungary
4/1994
-Rejected request for observers for the Parliamentary elections to be
held on 8 May 1994 because of insufficient lead time.Kenya
11/1992
12/1992-1/1993
Provided coordination and support. Legislative elections held in December
1992.Kyrgyzstan
12/1994
1/1995-3/1995
Provided observation (follow and report) and assessment of post-electoral
support. Parliamentary elections held in February 1995.Latvia
5/1993
-Rejected request for a United Nations delegation to observe the
elections for the 5th Saeima (Parliament) to be held in June 1993 because
of insufficient lead time.
4/1994
-Rejected request for observers for the local authorities elections
to be held in May 1994 because of insufficient lead time.Lesotho
8/1991
11/1991-12/1991
Provided technical assistance.
10/1992
12/1992-3/1993
Provided coordination and support. General elections held in March 1993.
6/1994
12/1994
Conducted needs assessment mission for possible assistance to the
democratization process.Liberia
2/1992
5/1992
Provided technical assistance.
7/1993
8/1993-ongoing
Providing verification and technical assistance. d/Madagascar
3/1992
4/1992-12/1992
Provided technical assistance and follow and report. Constitutional
referendum held in August 1992, Presidential elections held in November
1992 and February 1993, and legislative elections held in June 1993.
4/1994
-After requesting observers for the municipal and local elections to
be held in July 1994, Government did not answer United Nations offer to
coordinate and support. Elections did not take place.Malawi
10/1992
11/1992-6/1993
Provided technical assistance and coordination and support. Referendum held
in June 1993.
10/1993
11/1993-12/1994
Provided technical assistance and coordination and support. Presidential
and parliamentary elections held in May 1994.Mali
9/1991
12/1991-4/1993
Provided technical assistance and observation (follow and report).
Elections held in April 1992.Mexico
4/1994
6/1994-5/1995
Provided support to national observers. Elections held in August
1994.Moldova
1/1994
2/1994-3/1994
Provided observation (follow and report). Parliamentary elections held in
February 1994.Mozambique
10/1992 e/
10/1992-12/1994
Provided verification and technical assistance. Presidential and
Parliamentary elections held in October 1994.Namibia
7/1994
5/1994-12/1994
Provided coordination and support. General elections held in December
1994.Netherlands (Netherlands Antilles)
6/1993
8-11/1993
United Nations representation in Referendum Commission (Curacao).
6/1994
10/1994
United Nations representation in Referendum Commission (St. Maarten, St.
Estacious and Saba).Nicaragua
3/1989 f/
8/1989-3/1990
Provided verification and technical assistance. Elections held in February
1990.
11/1993
12/1993-3/1994
Provided coordination and support and sent a team of observers from ONUSAL.
Elections (Atlantic Coast) held in February 1994.Niger
6/1992
12/1992-3/1993
Provided coordination and support. Referendum held in December 1992,
legislative elections in February 1993, Presidential elections in February
and March 1993.
12/1994
12/1994-1/1995
Provided technical assistance. Parliamentary elections held in January
1995.Panama
11/1993
12/1993-8/1994
Provided technical assistance.Paraguay
4/1993
5/1993-6/1993
Provided technical assistance and observation (follow and report). General
elections held in May 1993.Peru
1992 b/
7/1992-ongoing
Providing technical assistance.Philippines
11/1991 b/
4/1993-5/1993
Provided technical assistance.Romania
1990 b/
4/1990-5/1990
Provided technical assistance.
9/1992
9/1992-10/1992
Provided observation (follow and report). Parliamentary and Presidential
elections held in September and October 1992.Russian Federation
10/1993
12/1993
Provided observation (follow and report). Federal Assembly elections held
in December 1993.Rwanda
5/1992
6/1992
Provided technical assistance.Sao Tome and Principe
8/1994
10/1994
Provided observation (follow and report). Legislative elections held in
October 1994.Senegal
2/1993
3/1993-5/1993
Provided observation (follow and report). Presidential and legislative
elections held in February and May 1993.Seychelles
6/1992
7/1992
Provided observation (follow and report). Elections held in July 1992.
7/1993
7/1993
Provided observation (follow and report). Presidential and legislative
elections held in July 1993.Sierra Leone
9/1993
10/1993
Provided technical assistance.
3/1994
6/1994 ongoing
Providing technical assistance.South Africa
12/1993
12/1993-5/1994
Provided verification. General elections held in April 1994.Swaziland
5/1993
-Rejected request for financial assistance for the Parliamentary
elections to be held in 1993 because of unavailability of IPF funds.The
former Yugoslav Republic of Macedonia
9/1994
10/1994
Provided observation (follow and report). Presidential and Parliamentary
elections held in October 1994.Togo
4/1992
5/1992-12/1992
Provided technical assistance. Referendum held in September 1992.
7/1993
8/1993
Provided observation (follow and report). Presidential elections held in
August 1993.Uganda
10/1992
11/1992-ongoing
Provided coordination and support. Providing technical assistance.
Elections held in March 1994.
5/1995
Under consideration
Considering request for further technical assistance to the Electoral
Commission.Ukraine
1/1994
3/1994
Provided observation (follow and report). Parliamentary elections held in
March 1994.
6/1994
6/1994
Provided observation (follow and report). Presidential and local elections
held in June 1994.United Republic of Tanzania
9/1994
9/1994 (CHR)
4/1995 (EAD)
Conducted needs assessment mission.
Conducted needs assessment mission. Coordination and support under
consideration.
a/ Date of the signing of the Estoril agreements.
b/ Approximate date.
c/ Date of the signing of the Paris agreements.
d/ Assistance currently on hold.
e/ Date of the signing of the general peace agreement.
f/ This requestwas based upon the EsquipulasII Agreement of August 1987.
44. The type of electoral assistance that the United Nations provides to a
requesting Member State is normally determined on the basis of a needs
assessment mission to the country. Such missions have two basic tasks: a
realistic evaluation of the conditions for the conduct of viable elections
and an assessment of the basic electoral needs of the country. Among the
factors to be considered are the provisions of the existing constitution
and electoral laws, the existence of an independent electoral commission,
the extent to which the schedule of electoral events ensures sufficient
time for registration and a meaningful campaign, the views of all parties
regarding United Nations assistance and the general commitment by
government to the conduct of a legitimate electoral process.
45. The most frequent problems encountered during a needs assessment
mission are: (a) lack of material resources, resulting in a need to
request the international community to finance some of the material and
equipment requested for the organization of an election; (b) lack of
skilled human resources in areas such as civic education, training,
delimitation of constituencies, social communications, logistics,
demography and information systems; (c) weak administrative structures
within the electoral bodies, when they exist; (d) lack of identification
documents, starting with birth certificates; (e) a high level of
illiteracy; (f) lack of a reliable electoral register; and (g) problems
associated with distributing electoral materials, as a result of deficient
infrastructure and transport facilities, as well as lack of proper
planning.
46. All types of assistance can be adapted or modified to suit the
particular needs of the requesting country; often one form of assistance
can complement another. For example, technical assistance is often
provided in conjunction with an observation mission. Although the best
known forms of assistance are large electoral assistance missions such as
those carried out in Namibia or Cambodia, the most frequently requested
assistance is technical, involving one or two consultants for a specific
project over one or two months.
A. Organization and conduct of elections
47. The most extensive electoral assistance the United Nations has
provided was for Cambodia. This operation, which culminated in elections
in 1993, was an integral component of the Paris agreements signed in
October 1991. The mission was undertaken in the context of the larger
UNTAC mandate, which was created by the Security Council on 19 February
1992, together with approval of the necessary financing by Member States.
48. In this case the United Nations was given the responsibility for
organizing and conducting the elections, the first time it had received
such responsibility. UNTAC's electoral duties were only one aspect of its
larger responsibility to exercise the powers necessary to ensure the
implementation of the Paris agreements. Among its military tasks were the
supervision of the cease-fire and related measures, verification of the
withdrawal of foreign forces and their non-return and an extensive demining
programme. An UNTAC civilian police component was responsible for
supervising and controlling the local police. A civic administration
component was also established, exercising direct supervision over those
administrative agencies and offices which could directly influence the
outcome of elections. The Office of the United Nations High Commissioner
for Refugees (UNHCR) was instrumental in the repatriation of some 365,000
Cambodian refugees between 30 March 1992 and 30 April 1993. Other
components of the UNTAC mission included human rights and rehabilitation/
development.
49. On 1 April 1992 my Special Representative presented the draft
electoral law drawn up by UNTAC to the Supreme National Council and the law
was formally promulgated in August. Voter registration began in October
1992 and, with an extension through 31 January 1993, resulted in the
registration of some 4.7 million voters, approximately 96 per cent of the
eligible voting population. The elections were scheduled for 23 to 28 May
1993.
50. If an election is to be successful, a free and fair electoral campaign
is essential. The role of the UNTAC civic administration and
information/education components was critical in this context. To ensure
fair access to the media during the campaign, Radio UNTAC offered weekly
segments to each political party for the broadcast of political material
and allowed a "right of response" whenever a political party or its
candidate or official believed it had been unfairly attacked or its public
statements misrepresented. Furthermore, UNTAC civilian police monitored
political meetings and rallies during the six-week period of the official
electoral campaign, and they provided protection for political party
offices considered to be most at risk.
51. UNTAC also undertook the procurement of all election-related equipment
and materials and selected over 50,000 Cambodians to be trained as polling
officers for the 1,400 polling stations. Some 900 international polling
station officers were recruited from 44 countries and the Inter-
Parliamentary Union (IPU) to join existing UNTAC staff at polling stations
throughout the country. Each station had one Cambodian Presiding Officer
in charge and one international polling station officer to provide support.
52. Despite continuing sporadic acts of violence and uncertainties over
the intentions of the Party of Democratic Kampuchea throughout the
campaign, the elections were generally peaceful and nearly 90 per cent of
the registered voters turned out to vote. Following completion of the vote
count, my Special Representative declared on 10 June 1993 that the election
as a whole had been free and fair.
53. The electoral assistance component of UNTAC began with the first needs
assessment mission in November 1991 and continued until the departure of
the last electoral officer at the end of July 1993. The pre-election and
election activities included civic education and training; elaboration of
an appropriate legal framework; drafting of the electoral law; registration
of voters, parties and candidates; polling; vote count and verification.
54. The only other example so far of this type of mission is the United
Nations Mission for the Referendum in Western Sahara (MINURSO) which is
responsible for the organization and conduct of a referendum in Western
Sahara.
B. Supervision
55. A second and equally rare form of electoral assistance is election
supervision. Election supervision has been undertaken largely in the
context of decolonization, as such an approach is not appropriate for use
in sovereign States. In this context, a Special Representative of the
Secretary-General must certify not only the results of the elections but
all steps of the process, including both political and electoral
components. These components must be clearly identified at the outset. As
in the case of organization and conduct missions, United Nations
supervision of an election must be authorized by the Security Council or
the General Assembly, is relatively costly and requires significant lead
time.
56. The most recent example of such assistance is provided by the 1989
elections in Namibia. In this case the elections were administered by an
Administrator-General appointed by South Africa, and supervision was
provided by the Special Representative of the Secretary-General. The
Special Representative was responsible for satisfying himself at each stage
in the process of the fairness and appropriateness of all measures
affecting the political process at all levels of administration before such
measures took effect, and was authorized to make proposals regarding any
aspect of each stage. The official electoral campaign could begin only
after the Special Representative had approved the electoral procedures to
be followed. The implementation of the electoral process, including the
registration of voters and the tabulation and publication of the voting
results, were also required to be conducted to his satisfaction. He was
further responsible for ensuring that no intimidation or interference with
the electoral process took place.
57. The United Nations Transition Assistance Group (UNTAG) was a very
largescale operation due to its mandate not only to certify each stage of
the electoral process but also to ensure the creation of conditions for
free and fair elections in Namibia. The mission was ultimately composed of
almost 8,000 persons, including just under 2,000 civilians, 1,500 civilian
police monitors (CIVPOL) and approximately 4,500 military personnel. For
the registration of voters, 283 internationally recruited staff worked in
the field as counterparts to all senior registration officials appointed by
the Administrator-General in the 23 electoral districts, on a one-to-one
ratio. Approximately 700,000 voters were registered without incident. On
election day, 1,783 UNTAG electoral personnel supervised some 2,500
counterparts appointed by the AdministratorGeneral in the conduct of the
poll at fixed and mobile polling stations. The ratio of United Nations
supervisors to administrators was 4:5.
58. The visible and long-term presence of UNTAG over seven months
contributed greatly to the creation of a stable and orderly atmosphere for
the conduct of elections. The elections were certified as free and fair by
the Special Representative, thus paving the way for the convening of a
Constituent Assembly and early independence for Namibia.
59. Clearly, this type of electoral assistance is very costly and invasive
of national sovereignty. As there are relatively few remaining cases of
decolonization, this type of assistance is unlikely to be undertaken in
future.
C. Verification
60. A more common type of electoral assistance is the verification of
elections. This type of assistance has been provided in Angola, El
Salvador, Eritrea, Haiti, Mozambique, Nicaragua and South Africa. In many
cases, such missions are one component of a larger peace-keeping mission.
Although this form of assistance also requires authorization by the
Security Council or the General Assembly, it is less intrusive for the
requesting country, as the Government remains responsible for the
organization and conduct of the elections. The United Nations is
responsible only for certifying the legitimacy of the various phases of the
electoral process. International observers are deployed throughout the
country for the electoral period. Their reports are usually supplemented
by a "quick count" before the issuance of a final statement on the conduct
of the electoral process. The quick count is a statistical method to
project the final results of an election, from the results of a few polling
stations chosen at random.
61. In Mozambique, the holding of elections was only one component of the
general peace agreement signed in Rome on 4 October 1992. ONUMOZ was
established by the Security Council on 16 December 1992 with a mandate
covering four basic types of activity: political, military, electoral and
humanitarian. Progress was necessary on a variety of political, military
and humanitarian concerns (such as verifying and monitoring the cease-fire,
demobilization of troops, demining operations, repatriation of refugees)
before election preparations could be seriously considered.
62. The scheduling and organization of elections in this context requires
considerable flexibility and coordination to ensure that the various
components of the mission are assembled and completed on time. If the
demobilization of troops were to take longer than anticipated, election
scheduling might require adjustment. At the same time, elections cannot be
delayed repeatedly, or the financing and credibility of the operation would
be jeopardized.
63. The electoral process in Mozambique formally began with the
designation of the 21 members of the National Elections Commission and the
adoption of the Electoral Law by the Mozambican National Assembly on 9
December 1993. The United Nations, and UNDP in particular, provided
technical assistance to the Commission and its Technical Secretariat for
Elections Administration in carrying out the provisions of the Electoral
Law. In this context, the United Nations assisted with the establishment
and functioning of the Electoral Tribunal, which included three
international judges designated by the United Nations, and assisted in the
training of 1,600 voter registration teams, civic education agents and some
60,000 election day poll workers.
64. The formal observation of the electoral process began with the
deployment by June 1994 of 126 long-term observers to the various provinces
and districts, including Maputo. Ninety-six of these observers were
provided from the ranks of the United Nations Volunteers (UNVs). Their
task included the monitoring of voter registration (which began on 1 June),
civic education campaigns, the press and the activities of political
parties and their leaders before and during the electoral campaign.
Complaints from political parties and individuals concerning irregularities
were received and transmitted to the National Elections Commission. In
some cases, complaints were investigated by the international observers.
65. The number of observers gradually increased until the final phase of
the election, at which time some 2,300 international observers were
deployed throughout the country. The observers included nationals of 113
Member States as well as representatives of intergovernmental and NGOs such
as the European Union, the Organization of African Unity (OAU), and the
Association of West European Parliamentarians against Apartheid (AWEPA).
The Chairman of the National Elections Commission formally announced the
election results on 19 November 1994. Shortly thereafter, the Special
Representative of the Secretary-General declared the elections to have been
free and fair, based on the reports from the international observers.
66. In the general context of United Nations electoral assistance, the
three types of major missions described above are exceptions to the normal
practice which will rarely be justified or appropriate. It is, therefore,
important to clarify that most electoral assistance is provided in far more
modest conditions - using one or two consultants for several weeks or
months, utilizing various forms of cost-sharing arrangements and requiring
no mission-specific mandates from the Security Council or General Assembly.
D. Coordination and support for international observers
67. Among the standard types of electoral assistance activities is the
coordination and support mission. This approach was first experimented
with in Ethiopia in 1992, and later fully developed in Lesotho, Malawi and
the Niger. For this type of assistance, the United Nations establishes a
small secretariat in the requesting country in order to coordinate and
provide logistical support for international elections observers sponsored
by Member States, intergovernmental and NGOs. Optimally, such assistance
begins just prior to registration and continues throughout the campaign
period, concluding with the announcement of the election results. The
international observer group may issue a statement on the election but the
United Nations does not express a formal view.
68. There are two major advantages to this type of assistance: (a) the
United Nations retains a low political profile while providing support to
an important political process, and (b) the approach is least intrusive of
national sovereignty while at the same time providing the benefits of an
international observer presence.
69. In 1993, for example, as Malawi prepared for a June referendum, the
United Nations established a small electoral assistance secretariat at the
end of March. International observers began to arrive shortly thereafter
in order to observe the registration process and the later campaign. In
April, the International Foundation for Electoral Systems, an international
NGO based in the United States, provided experts in civic education and
poll-worker training who joined the secretariat and began work with the
Referendum Commission in order to elaborate an effective civic education
programme, determine the most appropriate election procedures and develop
training manuals and guidelines to be used in poll-worker training. The
Joint International Observer Group, composed of observers from individual
countries and NGOs, issued a statement at the end of the registration
period, highlighting its validity but noting problems for future reference.
70. As the day scheduled for the referendum approached, the Government
changed the voting procedure from its traditional use of two ballot boxes
to the use of one. As a consequence, a variety of new election materials
(such as ballot envelopes, staining ink, and lanterns) were required and
the Electoral Assistance Secretariat was requested to assist in their
procurement. This task was added to its ongoing responsibilities for the
provision of electoral expertise to the Referendum Commission and the
coordination and deployment of international observers.
71. On the referendum day, all election materials were in place, the poll
workers had been trained and some 200 international observers were deployed
throughout the country to observe the voting. A statement on the
referendum was issued by the Joint International Observer Group after a
final debriefing following completion of the vote count. By mid-June, all
observers and experts had left the country and the electoral assistance
secretariat was closed. A similar approach, on a slightly larger scale,
was used the following year on the occasion of Presidential and
Parliamentary elections.
72. The Malawi example illustrates the combining of two types of
electoral assistance: (a) technical assistance, and (b) coordination and
support for international observers. The practice of long-term observation
covering the entire electoral process was found very helpful, and
preferable to the common practice of election-day-only observation. The
coordination and support approach is also relatively cost-effective, since
the Member States and organizations providing observers cover their basic
costs and contribute proportionately to the general operational costs of
the electoral assistance secretariat.
E. Support for national election observers
73. Support for national election observers was provided in Mexico in
1994. This approach emphasizes the importance of long-term national
capacity-building and the strengthening of existing national institutions.
In this case, support was provided for the creation of an effective
national observer network, based on the participation of appropriate
national organizations. Technical and material assistance was supplied in
order to strengthen those organizations' capabilities in observing and
assessing the electoral process. This approach is best utilized in
countries that are relatively well developed and pluralistic, and that
possess a viable community of NGOs willing to participate in national
election observation.
F. Technical assistance
74. Technical assistance is the most frequently requested form of
electoral assistance available and may form part of the options already
described. Often it is the only component of an electoral assistance
mission. The Electoral Assistance Division has provided technical
assistance in such fields as electoral systems, election organization and
budget, boundary definition, civic and voter education, computer
applications, logistics, procurement of election materials and training of
election administrators.
75. The June 1994 elections in Guinea-Bissau provided a useful example of
the long-term technical support which the United Nations has been able to
provide. In December 1992, the Government of Guinea-Bissau requested United
Nations assistance in preparing for their first multiparty elections,
tentatively scheduled for 1993. In response to the request a needs
assessment mission visited Guinea-Bissau in December 1992. Based on the
mission's report, the United Nations recruited a chief technical adviser
and two experts in civic education and training in spring 1993.
76. The chief technical adviser, initially responsible for assisting with
the preparation of a comprehensive elections budget, provided advice to the
electoral authorities on a wide range of issues including aspects of the
electoral law, the composition and remuneration of the electoral
commission, procedures and logistics of voter registration and procedures
for the conduct of the polls, including ballot design, organization of the
poll, vote count and computation of final results. The chief technical
adviser remained in GuineaBissau for four months. The civic education
consultant worked with the electoral commission for two months in order to
assist in the design and implementation of an effective civic education
programme throughout the country. The training expert also spent two months
in Guinea-Bissau, working closely with the electoral commission on the
planning, organization and supervision of training activities for all
registration and polling officers. Included in these tasks were the
preparation of training manuals, the design of training courses and actual
instruction. Although the elections were postponed in the course of 1993,
the technical assistance project was completed by the end of the year. For
the elections which took place in July and August 1994, the United Nations
coordinated a group of 107 international observers.
G. Observation
77. Finally, another approach to electoral assistance is simple election
observation, using one or two United Nations representatives as requested.
This approach is rarely used, because its cost, albeit small, is not
justified by the results. The primary difficulty with this approach is
that a single observer cannot have any meaningful impact on the conduct of
an election and the observer presence, as a result, is largely symbolic.
Although the observer will provide the Secretary-General with a report on
the election and its conduct, the election results are always known through
the media prior to the receipt of the report. This approach can be
justified only in special circumstances.
IV. BUILDING INSTITUTIONS FOR DEMOCRACY
78. For democratization to take root, free and fair elections are
necessary but not sufficient. Their outcome must be accepted and respected
by all parties, and supported by a strong institutional framework which
must be shaped, sustained and strengthened on a continuing basis.
79. Institution-building, therefore, refers to the efforts of the United
Nations system to assist with the establishment of the necessary new
institutions or to change existing ones to make them more efficient in
supporting the democratization process. Such efforts entail the
enhancement of national skills and knowledge in order to improve
performance. Institutionbuilding may involve changing the structure of an
institution, its culture, the way it is managed and, in some cases, its
whole strategic orientation in a more democratic direction. Such a change
refers, for instance, to the way the institution perceives itself, making
it more participatory, more concerned about the effectiveness, openness and
timeliness of its services and the integrity and quality of its staff.
80. Institution-building can have a vital contribution to make in the
creation of an orderly democratization process. Although many entities of
the United Nations system working in the development field are engaged in
programmes involving institution-building, they do not always put such
assistance within the context of democratization, preferring to refer only
to their intergovernmental mandates to promote developmental objectives.
Others, working in fields such as human rights and labour relations,
provide assistance that has a positive impact, although an indirect one, on
the advancement of democratization. This chapter gives numerous examples
of how all these activities - whether they are designed to promote "good
governance", "capacitybuilding" or the reform of public administration, and
whether their ultimate purpose is to enhance accountability, transparency,
free flow of information, full participation or the rule of law - have an
extremely important part to play in consolidating and promoting new or
restored democracies.
81. This chapter also gives illustrative examples of the assistance the
United Nations system is currently providing, or planning to provide, for
institutionbuilding. It also draws some lessons. This is by no means an
exhaustive list. Rather, it shows representative types of United Nations
assistance that are available for Governments in consolidating their
democratization process through the creation and strengthening of
institutions.
A. Creating and strengthening democratic structures of government
82. The democratization process inevitably raises, for those States
engaged in it, issues involving governmental structures and functions.
They include the respective roles of the executive branch, the legislature
and the judiciary, as well as the relationship between the state, regional
and local levels of government.
83. UNDP has long assisted Member States in implementing transitions in
governmental structures in response to a new political or economic
situation. In the Lao People's Democratic Republic, UNDP, together with the
World Bank and the representatives of the state organs responsible for the
reform, reviewed key policy matters relating to the Government's strategy:
constitutional separation of powers, redefinition of the roles of
provincial and district bodies, an organizational review of the state
apparatus in terms of its overall size and the mandates of each agency,
creation of a national institution of public administration, and the
restructuring of several ministries. UNDP has been involved elsewhere in
similar reforms in which the focus has mainly been on the reorganization of
governmental structures for better economic and social policy management.
84. Experience has shown that, in a democratization process, measures need
to be taken to increase the accountability of the executive branch to
elected bodies, and to ensure that its actions are transparent and subject
to effective scrutiny. Section C below discusses these issues further.
85. Parliament is a key institution of the organization and democratic
functioning of the State. By facilitating contacts between citizens and
governing authorities at all levels, democratically elected
parliamentarians can play a very important role in the democratization
process. IPU is a particularly relevant partner of the United Nations in
this regard. Since its inception, in 1889, IPU has been active in the
field of democratization, promoting the establishment of representative
institutions, free and fair elections, the participation of women in
political life, the representation of minorities and the defence of human
rights.
86. Decentralization is sometimes an answer chosen by a Government to
bring more effectiveness to governmental functions and/or to establish a
more participatory form of administration. At times, totally new
governmental structures have to be established as well. National human
rights institutions are examples of these new structures.
87. UNDP experience in a decentralization project in Venezuela
demonstrated another important aspect of any successful process of
transition. While decentralization often appears to be a technical way of
achieving efficiency through a better allocation of economic resources, by
bringing services closer to the communities, it is in reality mainly a
political process aimed, particularly, at fostering contacts between
citizens and the government. It was realized in Venezuela that political
decentralization had to precede fiscal decentralization since the centre
does not give up financial power voluntarily. Changing the political
structure first was a better way of achieving true decentralization, and so
a powerful lower-level constituency was created, which pressured for it.
Experience in Venezuela also shows that decentralization can strengthen
national integration since it promotes a perception that the State belongs
to the people, and is responsive to their demands and interests.
88. Experience gained in Africa highlights a totally different aspect of
decentralization: reforms instituted at local levels should not bypass the
traditional structures of authority in society. Tribal chiefs with
traditional roles of authority have, in the eyes of many people, a
legitimate power given to them by the people and their forefathers. The
process of democratic development and modernization needs to find ways to
accommodate this power so that democratization does not lead to a breakdown
of the established order and to the elimination of the traditional
mechanisms for resolving conflicts and managing common property. Instead,
ways should be found to mobilize the traditional power structure for the
long-term development of participatory democracy.
89. A good example of the above is UNDP support for decentralization in
Cote d'Ivoire, which is part of its large public sector programme and is
participatory in character. The decentralization project, carried out with
the Ministry of Interior, aims to build local and regional institutions, to
support the "communalization" programme, to support an effective and actual
transfer of responsibilities and prerogatives from central to regional
level and to promote a participatory approach with the communities.
90. The Centre for Human Rights of the Secretariat has been assisting
Governments to establish national institutions for the promotion of human
rights and providing similar assistance within its overall mandate. In
1994, for instance, the Centre for Human Rights helped the Governments of
Estonia, Latvia, and Lithuania to establish their first human rights
commissions. UNDP has considerable capacity in this area as well. For
instance, it has provided assistance to the creation of ombudsmen in
Governments.
91. In Paraguay, following the overthrow of the administration of General
Stroessner, the new constitutional authorities requested a variety of
technical assistance from the United Nations, the area of human rights
being one of the first. In April 1990, the Centre for Human Rights and
UNDP concluded a first technical cooperation agreement in the field of
human rights with the Government, leading, in December 1990, to the
establishment of the DirectorateGeneral for Human Rights as a department of
the Ministry of Justice and Labour. Its main functions include: (a)
processing the dissemination of human rights as an effective means of
guaranteeing their observance and consolidating the democratic system, (b)
cooperating with relevant institutions to promote the teaching of human
rights at the primary, secondary and university levels and in non-formal
education and (c) promoting the alignment of domestic legislation with
international agreements and treaties on human rights.
92. Institution-building is also needed in emergencies and post-conflict
or post-chaos situations to secure the foundations for a future
democratization process. It is at this stage that the first seeds of
future social justice and respect for human rights and fundamental freedoms
are sown. Depending on the characteristics of a given situation, the
relevant components of the United Nations system will, in concert,
facilitate a smooth transition from a humanitarian and/or political crisis
to democratization and development. The rights of refugees, displaced
persons and migrants have to be taken care of in large-scale emergency
situations as well. The Office of the United Nations High Commissioner for
Refugees (UNHCR) is providing technical assistance in institution-building
related to the rights and well-being of these population groups in a period
of transition such as in the countries of the Commonwealth for Independent
States (CIS).
93. Independent trade unions are also among the defining features of a
mature democracy. The mechanisms for consultation, collective bargaining,
workers' participation, personnel policy and the settlement of labour
disputes - which are the heart of the work of the International Labour
Organization (ILO) - play an essential role in the transition to more
democratic institutions and the new culture of work, as well as a market
economy. For instance, ILO has been recently involved in establishing a
tripartite forum for discussion in El Salvador, enshrined in the National
Work Council. The project helps construct the framework needed to
encourage productive social dialogue on business and labour issues, social
safety nets, and labour legislation. ILO has been similarly pursuing
efforts to strengthen and consolidate the move towards democracy and peace
in Guatemala, through mechanisms that encourage tripartite dispute
settlement and the establishment of a sound labour relations system.
B. Enhancing the rule of law
94. For democratization to become a reality, the rule of law must prevail.
Policies and regulations should be developed and implemented according to
an institutionalized process with opportunities for review. The use of
discretion must not result in arbitrary and capricious exercise of power.
In short, a set of rules must be known in advance, rules must be enforced
and should provide room for conflict resolution, and known procedures for
amending the rules must exist.
95. Technical assistance to achieve these goals has been provided by
several components of the United Nations system. Such assistance also
contributes, directly or indirectly, to the process of democratization.
96. In some countries the weakness of legal institutions calls into
question the very existence of a law-based State. In such cases, political
pluralism, which involves providing the necessary political space for
organizations of civil society, non-governmental organizations and self-
governing local governments, cannot function properly until the appropriate
legal institutions are established.
97. One approach is to provide broad support through projects for legal
institutions, including, for example, legal training, legal education
through strengthening law schools, judicial infrastructure, such as court
buildings, law libraries, etc., and the publication and dissemination of
legal information. Such projects were initiated, for instance, by the World
Bank in the United Republic of Tanzania in 1992, and in Zambia in 1993.
98. The provision of security, through adequate crime control and
effective justice is assuming an increasingly important role, both
nationally and internationally as its neglect usually has serious
consequences for development efforts and democratic institutions. United
Nations crime prevention and criminal justice programmes are being
developed to provide States with technical assistance, such as data
collection, information and experience sharing, as well as advisory
services in criminal justice, including new modern communications
techniques and training. They assist States in identifying their crime
prevention and criminal justice needs and in addressing them, through
technical cooperation in the area of law reform, including the elaboration
of criminal codes and other legislative or procedural improvements, as well
as more effective crime prevention and criminal justice planning. In
addition to addressing these issues at a national level, the programmes
also assist States in fighting transnational crime, including organized
criminal activity, economic and environmental criminality and money-
laundering. These activities are carried out by the Crime Prevention and
Criminal Justice Branch of the Secretariat, the Interregional Adviser for
Crime Prevention and Criminal Justice based at Vienna, and the Regional
Adviser for Crime Prevention and Criminal Justice of the Economic and
Social Commission for Asia and the Pacific (ESCAP).
99. In elaborating its projects, the United Nations collaborates with
academic institutions and other relevant national entities. It also
ensures that matters related to crime prevention and criminal justice are
incorporated into the planning and implementation of United Nations peace-
keeping and peace-building operations.
100. In Eastern Europe and Central Asia substantial technical assistance
has been extended to countries moving from a command to a market economy.
In Belarus, Latvia, Lithuania, Romania, Russia, Ukraine, and Uzbekistan,
for example, the World Bank is assisting with legislative, administrative,
and judicial reforms so that the institutional framework is in place to
enact, administer, and enforce laws. Law reform units within government
structures have been established with the Bank's help. Anti-monopoly and
financial supervision agencies are being set up or strengthened, and
training programmes for judges, lawyers and court officials have been
launched.
101. In East Asia, similar efforts are being made to introduce new laws
and to create an institutional framework for the economies in transition in
that region. In the Middle East and North Africa the work has focused on
improving the effectiveness of legal and regulatory frameworks. In sub-
Saharan Africa the Bank is helping to strengthen legal institutions. A
start is being made with projects on legal training and court
infrastructure in the United Republic of Tanzania and Zambia, as well as in
Burkina Faso and Mozambique. A particular feature of the former is
targeted training for legal draftsmen.
102. In a functioning democracy, labour relations must also be subjected
to the rule of law. Since 1992, 52 Member States have asked the ILO for
assistance on the revision or drafting of labour legislation. These
include several of the countries which participated in the International
Conferences of New or Restored Democracies, such as Albania, Belarus,
Bulgaria, Cambodia, Kazakstan, Uzbekistan, Romania, the Russian Federation,
Ukraine, and Viet Nam. This assistance has ranged from informal
consultation with specialists on labour legislation to the preparation of a
draft labour code based on ILO principles for legislative adoption. For
example, the Government of Romania requested comments on draft legislation
on collective bargaining, employer's organizations and dispute settlement,
Bulgaria requested and incorporated ILO comments on a draft labour code
which was adopted in 1993, and Cambodia asked for assistance with a
revision of the labour code, which was then adopted in 1994.
103. From the growing experience with legal reform across regions, the
following lessons are emerging: (a) legal reform cannot be successful
without the full conviction and political commitment of the Government
concerned, (b) there is a need to avoid wholesale transfer of Western-based
legislation without due regard for the legal traditions of a country, a
particular risk in transition countries; more generally, in all countries,
the effectiveness of legal reforms depends greatly on how the reforms take
into account the social, religious, customary, and historical factors in a
society, (c) of crucial importance is the institutional framework so that
new laws can be applied firmly but fairly and the right balance is struck
between licence and regulatory control in a market economy; in this way,
legal framework reform involves broader issues of public policy and
institutional development, (d) excessive use of administrative orders
issued under delegated powers can result in a conflicting and non-
transparent legal framework.
C. Improving accountability, transparency and quality
in public sector management
104. The accountability of public officials is a defining feature of a
democratic form of governance. Institutions and techniques vary according
to regime, culture, history and the particular political context of a
country. Periodic elections allow the electorate to hold officials
accountable, but other institutions have an important role to play. Public
opinion can also exercise influence over official behaviour. NGOs and
media, in particular, are active in demanding more transparency and better
quality - as well as clear accountability - of public administration at all
levels.
105. In a democratic society, openness and transparency require that
information is available from both private and public sources, and that
there is tolerance for public debate. Increasing the availability of
political, economic and financial data requires publishing capacity, a
legal enabling environment concerning access, and distribution networks for
information, such as non-governmental organizations, universities and
research groups, media, trade unions and professional associations.
106. The World Bank has played an important role in providing assistance
to countries wishing to improve the accountability and quality of
management in their public sectors. The Bank is, for example, carrying out
a public sector management project in Chile. The ability of Chile's
Congress to evaluate new legislation is tied to the quality of information
and analysis it receives. The project aims to improve the ability of the
legislative branch to review and formulate policy by strengthening the
Library of Congress. This will involve computerizing communications
systems, strengthening reference holdings, and conducting training
programmes. In addition, communications links between the legislative and
executive branches of government will be strengthened. All these efforts
will contribute towards increasing the efficiency of the Government's
policy-making.
107. The judicial system in many developing countries is extremely weak,
with the administration of justice often hampered by long delays and
inconsistent rulings. The causes include an inefficient court management
system, inadequate remuneration for judicial system staff and weak
information systems. Often, personnel policies lack transparency and are
politically motivated. In order to help to correct some of these problems,
the World Bank is cooperating with countries asking for such assistance.
For instance, in Venezuela, it has a project aimed at improving the
efficiency of the judiciary. To achieve this, the institutional capacity
of the Judicial Council, the principal administrative organ of the judicial
system, will be strengthened. Measures such as automating courtroom
procedures, improving training in the Judicial School, and strengthening
the planning, budgeting, and management capacity of the Council will be
supported.
108. The problems posed by lack of transparency in national economic
management were first highlighted by the World Bank in 1989. Weak economic
and accounting data systems, poor tender procedures, secrecy of budget
documents and deficient mass media were identified as the main explanatory
factors. The importance of promoting transparency through an independent
and free press was particularly stressed. Strengthening economic and
accounting data systems have been components in several public sector
management reform programmes supported by the International Development
Agency since 1991. Examples include Angola, Burkina Faso, Mauritania and
Sierra Leone.
109. Because corrupt activities on the part of public officials can
destroy the potential effectiveness of governmental programmes, hinder
development and victimize individuals and groups, it is important that
adequate criminal laws, including procedural legislation, be adopted to
allow a recourse to sanctions and ensure an effective deterrence.
Procedures should exist for the detection, investigation and conviction of
corrupt officials, as well as administrative and regulatory mechanisms for
the prevention of corrupt practices or the abuse of power. The Crime
Prevention and Criminal Justice Branch provides technical assistance in
this regard. It has elaborated, in particular, a "Manual on practical
measures against corruption" and a draft International Code of Conduct for
Public Officials.
110. The linkage between opaque procurement systems and corruption is
stressed in the World Bank's programmes. Significantly, it is in countries
where newly elected Governments would like to correct the mistakes of their
predecessors that the greatest interest is shown in the design and
installation of new procurement systems. Examples include Benin, Burkina
Faso and Zambia. Another form of the Bank's support for increased
transparency and openness is the assistance provided for the publication of
government gazettes. In Mauritania, for example, official gazettes that
used to be published abroad one or two years late are now published
locally, on time every two weeks.
111. UNDP has also addressed the problem of deficient procurement
practices. Through its support to the Bolivian Government's endeavour to
accelerate the investment process, thus making more transparent the
disbursement of international financial loans and grants, it launched the
Technical Support to Procurement Project in Bolivia in 1988. The project
has brought important financial savings. It has received 716 requests for
services and finalized 1,009 biddings for a total value of investments of
$2,119 million. Ninety-three governmental institutions were assisted.
Annual capital investments increased from $215 million in 1987 to more than
$600 million in 1993. The time required for procurement and contracting of
goods and services has been reduced. The participation of the project in
public procurement has generated savings in excess of 25 per cent of the
amounts originally budgeted by the entities, with total estimated savings
of nearly $500 million.
112. In order for the democratization process to become firmly established
in new or restored democracies, appropriate fiscal and monetary management
is essential. Macroeconomic stability is the underpinning of sustained
economic growth and development. Fiscal transparency and accountability
are particularly important in a democratization process. Without national
and global confidence in the essential elements required for the
development of a robust economy, democratization will be threatened.
113. The global revolution in favour of democratization and market-
oriented economies, as well as the expanding implementation of structural
adjustment policies, has increased the demand for technical cooperation to
support countries in formulating and implementing sound financial economic
policies. Policy and operational assistance is often critically and
urgently needed as key decisions are made; longer-term capacity and
institutional development must be supported through in-country seminars and
workshops, as well as overseas training through both exposure to successful
counterpart operations in other countries and advanced education.
114. In CIS countries and Eastern Europe, focused programmes have been
developed by IMF with other donors to adapt command economies to
democratic, marketoriented environments. Significant legal and policy
changes have been needed, as well as the retraining of staff and the
construction of operational systems. Similarly, IMF has supported work in
Cambodia, the Lao People's Democratic Republic, and Viet Nam as these
countries work to establish evolving economies. In Africa, many countries
continue to be assisted on either an as-needed basis, or under a programme
approach. For example, Angola, Namibia, the United Republic of Tanzania,
and Zambia have received formal technical assistance programmes, and
programmes are now being developed for Malawi, Rwanda, and Sudan. In the
western hemisphere, Haiti is being provided assistance under a closely
coordinated effort with other donors. This assistance can, I believe, make
important contribution to better governance, and to more transparent
institutions, and can thus enhance the democratization process.
D. Capacity-building and civil service reform
115. A basic requirement for the consolidation and promotion of new or
restored democracies is a political leadership of sufficient calibre and
integrity to offer the country a vision and to give expression to popular
demands. Countries in transition need politicians, whether in power or in
opposition, who are ready to serve the whole population and present
themselves as models as far as moral and professional standards are
concerned.
116. UNDP has gained considerable experience in training for
parliamentarians and senior civil servants in countries in transition.
Whereas, in the past, political leaders in such countries saw their role
essentially as providing guidance and direction for the people, today's
leaders require new techniques and up-to-date information to enable them to
interact effectively with their own electorates. Recent experience has
shown that training to assist them in developing new skills as facilitators
and team leaders is particularly valuable. Such training can involve the
use of seminars, "think-tanks" and retreats for senior politicians.
117. These requirements apply also to judges and others serving in the
judicial branch. A democratization process cannot really take root without
an independent, qualified and transparent judiciary.
118. Many of the countries undergoing a democratization process have yet
to face up to the magnitude of change needed within their public sector in
order to sustain efficient, participatory societies. How to manage the
transition from an overstaffed, underskilled and poorly motivated civil
service to a smaller, realistically paid and professional one in a way that
does not provoke resistance to change, is not yet adequately understood.
In many countries, bureaucratic attitudes are a serious problem. In
others, the social consequences of massive layoffs are understandably
feared.
119. The World Bank's recent experience in sub-Saharan Africa highlights
the limitations of the past focus of the Bank that emphasized reduction and
control of civil service staff and the burden of the wage bill on the
budget. It stresses the very small budgetary savings recorded in almost
every case and the fact that there is not a direct and automatic
relationship between reducing bureaucracy and increasing efficiency and
effectiveness.
120. Another example of civil service reform is the UNDP project in Egypt
which promotes a service-oriented public sector. The three main objectives
are: (a) to reorient civil servants and upgrade their skills, (b) to modify
laws and regulations, rationalizing and harmonizing the civil service, and
allowing for devolution and subcontracting, and (c) to upgrade and
restructure selected government agencies.
V. OBSERVATIONS AND RECOMMENDATIONS
121. I have provided examples in this report of how the United Nations
system can support the efforts of Governments to promote and consolidate
new or restored democracies. From the experience gained in the operations
described, a number of lessons can be drawn.
122. As far as electoral assistance is concerned, it has become clear that
there is no single formula that may be used to ensure a successful
election. Electoral assistance must be guided by the wishes of the Member
States concerned and the practical realities of each electoral situation,
keeping in mind the overall goal of long-term capacity-building. United
Nations electoral assistance is, ultimately, aimed at the creation of its
own obsolescence.
123. Experience gained so far indicates that the development of an
effective institutional memory is critical to improved electoral assistance
activities. Earlier experience provides a basis for future technical and
administrative innovation which can result in more effective assistance at
lower cost. Past cooperation with other intergovernmental organizations
can be replicated and strengthened in future operations. Experts who
participated in one mission have valuable lessons to share with mission
experts from other regions of the world.
124. The role of international observers has been highlighted in many
electoral operations and the advantages and disadvantages of the observer
presence have been widely discussed. Experience has demonstrated, however,
that an influx of large numbers of observers for election day may be
unnecessarily costly and less effective than the deployment of a smaller
number of observers who arrive in the country prior to registration and
remain for the entire electoral process. Long-term observation allows
observers to familiarize themselves with the country and existing practice
and allows for more sensitive and useful observations and assessments than
does the short-term observation which has been the more frequent practice.
At the same time, adequate observer coverage on election day can be assured
by using mobile teams of observers rather than assigning observers to
specific polling stations for the entire day(s), provided that there is a
national NGO or party observer presence at each polling station. In future,
greater emphasis will be placed on long-term observation and the
strengthening of national observer networks rather than on the deployment
of massive numbers of international observers around election day.
125. I have already noted that elections are necessary but not sufficient
to ensure the durability of a democratization process. That is why the
United Nations has broadened its action to include assistance to
constitutional reforms, institution-building and civic education.
Activities have focused, in particular, on the creation of independent
systems for the administration of justice, the establishment of armed
forces respectful of the rule of law, the training of police forces that
safeguard public freedoms and the setting up of human rights institutions.
These programmes now undergo changes in response to new global, regional
and country level circumstances. The breadth of democratization,
governance and institution-building makes it difficult for any United
Nations entity to support the entire spectrum of programmes in the area. A
well-coordinated distribution of labour within the whole United Nations
system is called for.
126. Some agencies have tended to concentrate on the administrative
aspects of governance, encouraging the development of an efficient,
independent, accountable and open public sector. The future challenge to
such agencies will be to widen this approach to take into account the
social and political aspects of governance, institution-building and
democratization, and to coordinate their programmes at an early stage with
other United Nations entities working in these fields.
127. In meeting these challenges, I recommend that the Secretariat and all
agencies increase their cooperation in the area of institution-building and
governance, in particular through strengthening capacity-building of
democratic institutions. The aim should be to develop an expanding network
for policy development and programme cooperation, involving United Nations
agencies, bilateral donors and interested professional organizations. This
new framework for coordination should involve both the headquarters level
and the regional and field offices.
128. In supporting democratization efforts, different components of the
United Nations system should pay particular attention to such key areas of
involvement as: the strengthening of leadership skills and political
institutions; support for effective judiciaries guaranteeing the rule of
law and the protection of human rights; strengthening linkages between
government and civil society through NGOs, the media, local government and
professional associations; and taking part in the area of decentralization.
129. In order to secure solid foundations for peace, democratization and
development, and a smooth continuum from relief to sustainable development,
it is essential to strengthen democratic structures and forms of
government. In this regard, the Department of Political Affairs of the
Secretariat should be consulted at an early stage in the preparation of the
programmes and plans that the financial, economic and social branches of
the system are devising for any given Member State. Conversely, as the
Department of Political Affairs considers preventive, peacemaking and
peace-building activities and programmes, it should ensure the early
involvement of the international financial institutions and the economic
and social programmes and departments.
130. Enhanced coordination within the United Nations system continues to
be a priority objective. I have taken a number of steps in this direction.
For example, the same person has been designated as UNDP Resident
Representative and Deputy to my Special Representative in Haiti. This
double appointment is intended to highlight the need to ensure, from the
outset, maximum coordination of the different elements of the United
Nations system present in a country where the Organization has been invited
to support the process of democratization.
131. The challenge of democratization in today's world cannot be met by
the United Nations system or by Governments alone, although the latter
remain the principal actors. A multiplicity of partners, including
regional organizations, NGOs, parliamentarians, business leaders,
professional associations, trade unions, the academic community and others,
and above all the ordinary citizen, have an indispensable and complementary
role to play. Acting at the national and international levels, they all
contribute to democratization. It is important that the United Nations
should work actively with all these.
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