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First Inter-American Electoral Training SeminarFirst Inter-American Electoral Training Seminar Organisers: GS/OAS, Mexican Federal Electoral Organisers: GS/OAS, Mexican Federal Electoral
Institute (IFE), International Institute for Institute (IFE), International Institute for Democracy and Electoral Assistance Democracy and Electoral Assistance
(International IDEA), Latin American School of (International IDEA), Latin American School of Social Sciences (FLACSOSocial Sciences (FLACSO
Presented by:Presented by:Cynthia T. J. Barrow-GilesCynthia T. J. Barrow-GilesNovember 18, 2008November 18, 2008
Issues involvedIssues involved
•• quantityquantity
•• origin origin
•• the distribution – equity the distribution – equity
Political Corruption Association with Political MoneyPolitical Corruption Association with Political Money
the receipt of monies in violation of existing rulesthe receipt of monies in violation of existing rules
use of illicit money for political parties and election campaign purposesuse of illicit money for political parties and election campaign purposes
using money to engage in vote buyingusing money to engage in vote buying
participation in and facilitating illicit business dealingsparticipation in and facilitating illicit business dealings
use of public resources for political party purposes or proselytising, use of public resources for political party purposes or proselytising, BriberyBribery
acceptance of money from questionable sourcesacceptance of money from questionable sources
selling of influenceselling of influence
(Griner and Zovatto)(Griner and Zovatto)
Alternatives for the Regulation of Political Alternatives for the Regulation of Political Party and Electoral Campaign FinancingParty and Electoral Campaign Financing
Classification of Global Regulatory RegimesClassification of Global Regulatory Regimesfor Party Financingfor Party Financing
The Autonomy Option – Defined by minimum The Autonomy Option – Defined by minimum regulationregulation
The Transparency Option – Disclosure - Public The Transparency Option – Disclosure - Public access to information access to information
the Advocacy Option the Advocacy Option
The Diversified regulation Option – Mixed SystemThe Diversified regulation Option – Mixed System
Options Available Vis a Vis Political MoneyOptions Available Vis a Vis Political Money
Unchecked Unchecked
Regulated Regulated
Regime of Political Party Financing in Latin American:Regime of Political Party Financing in Latin American:Dominant TendenciesDominant Tendencies
A combined of public and private funds A combined of public and private funds
Three methods are used to allocate public financingThree methods are used to allocate public financing
In proportion to the votes cast (53%)In proportion to the votes cast (53%)
Equal distribution, proportionality (votes) Equal distribution, proportionality (votes)
proportion of votes cast and parliamentary representation proportion of votes cast and parliamentary representation
Legal barrier or standard for eligibility for public funding. Legal barrier or standard for eligibility for public funding. Percentage of votes castPercentage of votes cast
Regime of Political Party Financing in Latin American:Regime of Political Party Financing in Latin American:Dominant Tendencies Con’tDominant Tendencies Con’t
Disbursement Disbursement -- a combination of prior to the elections, and rest aftera combination of prior to the elections, and rest after- - funds following the elections, funds following the elections,
Maintenance of a system of sanctions usually monetary and Maintenance of a system of sanctions usually monetary and administrative but also criminal sanctions. administrative but also criminal sanctions.
Oversight agency. Oversight agency.
Free access to the State media, private media or both. Free access to the State media, private media or both.
Restrictions on the origin of private contributions.Restrictions on the origin of private contributions.
Public Financing: Benefits and DisadvantagesPublic Financing: Benefits and Disadvantages
BenefitsBenefits
Avoid, reduce or curtail the influence of private interest groups. Avoid, reduce or curtail the influence of private interest groups.
Offers more equitable conditions Offers more equitable conditions
Encourages a greater degree of transparency Encourages a greater degree of transparency
to maintain the viability of political partiesto maintain the viability of political parties
DisadvantagesDisadvantages
May encourage alienation of parties from membershipMay encourage alienation of parties from membership
Over reliance on the state especially of a financial nature which Over reliance on the state especially of a financial nature which can can lead to convergence lead to convergence
Reduction in density of political parties as parties lose incentive to Reduction in density of political parties as parties lose incentive to increase membershipincrease membership
Private Financing: Risks and BenefitsPrivate Financing: Risks and Benefits
BenefitsBenefits
promotes greater constituency focuspromotes greater constituency focus
a multiple social base of supporta multiple social base of support
encourages the creation of networks of supporters encourages the creation of networks of supporters
reduced the dependency on the Statereduced the dependency on the State
RisksRisks
penetration of the systempenetration of the system
disproportionate influencedisproportionate influence
Unknown intentions of donorsUnknown intentions of donors
Primary Dilemmas for the Regulation of Political Primary Dilemmas for the Regulation of Political Parties and Electoral Campaign FinanceParties and Electoral Campaign Finance
candidate centered politics versus political party politics.candidate centered politics versus political party politics.
Imposition of sanctions – candidates or political partiesImposition of sanctions – candidates or political parties
Enhance democratic selection. Enhance democratic selection.
Lack of culture of political accountability Lack of culture of political accountability
dependency on the state versus independencedependency on the state versus independence
private versus public financing.private versus public financing.
when to disburse fundswhen to disburse funds
full disclosure vs. right of privacyfull disclosure vs. right of privacy
Strengths and Weaknesses of Strengths and Weaknesses of Regulated Vs Unregulated SystemsRegulated Vs Unregulated Systems
Objectives of regulatory Reform: StrengthsObjectives of regulatory Reform: Strengths
ensures that parties have adequate funding ensures that parties have adequate funding
ensures fairer competition between partiesensures fairer competition between parties
protection of parties and the system from protection of parties and the system from
corruption and influence peddling corruption and influence peddling
affords greater transparencyaffords greater transparency
Guidelines for the Design, Review, or Implementation Guidelines for the Design, Review, or Implementation of Legal Regulations in the Fieldof Legal Regulations in the Field
Why an Effective Legal Framework Why an Effective Legal Framework
To avoid abuse and influence peddlingTo avoid abuse and influence peddling
creates a level playing field for inter party creates a level playing field for inter party competitioncompetition
empower voters through rules on disclosure empower voters through rules on disclosure
the strengthening of political parties the strengthening of political parties
to ensure a minimum of responsibilityto ensure a minimum of responsibilityGriner and ZovattoGriner and Zovatto
Priorities of Political Party Finance Priorities of Political Party Finance Regulatory RegimeRegulatory Regime
Regulatory Frameworks need to answer the following:Regulatory Frameworks need to answer the following:
How to maintain the autonomy of political parties, How to maintain the autonomy of political parties,
How to enforce relevant regulations – How to enforce relevant regulations –
transparency in the sourcing and use of parties’ transparency in the sourcing and use of parties’ financial resourcesfinancial resources
effective electoral competition and promote effective electoral competition and promote political equalitypolitical equality
limit the influence of money on electionslimit the influence of money on elections
Best Practice: Ensuring that Electoral contest are Fair Best Practice: Ensuring that Electoral contest are Fair and Promote Political Equityand Promote Political Equity
The constitutionalisation of political partiesThe constitutionalisation of political parties
Access to public financing, whether direct or indirect – adjustable Access to public financing, whether direct or indirect – adjustable depending on the state of the economydepending on the state of the economy
A mixed regime of public financeA mixed regime of public finance
Access to the mediaAccess to the media
Prohibitions and restrictions on private fundsProhibitions and restrictions on private funds
Accountability of political parties and candidates – reporting in a Accountability of political parties and candidates – reporting in a timely manner timely manner
Full disclosure Full disclosure
Sanctions against violationsSanctions against violations
Independent oversight agencyIndependent oversight agency
More Aspects More Aspects Best Practice: Political Equity and FairnessBest Practice: Political Equity and Fairness
Limits on private financingLimits on private financing
Adequate sources of finance and resources for regulatory Adequate sources of finance and resources for regulatory bodies.bodies.
attention to timing of disbursement to ensure equityattention to timing of disbursement to ensure equity
Provisions directly targeting access to the mediaProvisions directly targeting access to the media
Gender equity considerationsGender equity considerations
Thresholds established to receive government fundingThresholds established to receive government funding
Fluidity in public funding based on state of the economy Fluidity in public funding based on state of the economy
Avoid over regulationAvoid over regulation
Types and Methods for Public FinancingTypes and Methods for Public Financing (Types, amounts, Distribution Formulas) (Types, amounts, Distribution Formulas)
General Pillars of Public FinancingGeneral Pillars of Public Financing
direct subsidies for electoral direct subsidies for electoral expenditureexpenditure
subventions whether direct or subventions whether direct or indirectindirect
Types and Methods for Public FinancingTypes and Methods for Public Financing (Types, amounts, Distribution Formulas) (Types, amounts, Distribution Formulas)
Direct Funding: Direct SubsidiesDirect Funding: Direct Subsidies
MoneyMoney
bondsbonds
loansloans
Types and Methods for Public FinancingTypes and Methods for Public Financing (Types, amounts, Distribution Formulas) (Types, amounts, Distribution Formulas)
Con’tCon’t
ModalitiesModalities
funding exclusively for the day to day operations funding exclusively for the day to day operations of the political parties – noneof the political parties – none
funding for elections only – Bolivia, El Salvador, funding for elections only – Bolivia, El Salvador, Honduras, Nicaragua, UruguayHonduras, Nicaragua, Uruguay
a combination of the two – Argentina, Brazil, a combination of the two – Argentina, Brazil, Colombia, Costa Rica, Dominican Republic, Colombia, Costa Rica, Dominican Republic, Ecuador, Guatemala, Mexico, Panama and Ecuador, Guatemala, Mexico, Panama and Paraguay.Paraguay.
Types and Methods for Public FinancingTypes and Methods for Public Financing (Types, amounts, Distribution Formulas) (Types, amounts, Distribution Formulas)
Con’tCon’t
Indirect Funding : Indirect subsidiesIndirect Funding : Indirect subsidies
infrastructure,infrastructure,
tax exemptionstax exemptions
access to the media especially televisionaccess to the media especially television
institutional support institutional support
assistance with transportationassistance with transportation
assistance to parliamentary groupsassistance to parliamentary groups
Types and Methods for Public FinancingTypes and Methods for Public Financing (Types, amounts, Distribution Formulas) (Types, amounts, Distribution Formulas)
Con’tCon’t
Distribution: Public MoniesDistribution: Public Monies
Four modalitiesFour modalities
Equal SharesEqual Shares
Proportional to the number of votes cast - Bolivia, Brazil, Proportional to the number of votes cast - Bolivia, Brazil, Colombia, Costa Rica, El Salvador, Guatemala, Honduras, Colombia, Costa Rica, El Salvador, Guatemala, Honduras, Nicaragua, UruguayNicaragua, Uruguay
Proportional to the number of votes cast and parliamentary Proportional to the number of votes cast and parliamentary representation – Paraguayrepresentation – Paraguay
Proportional to the number of votes cast and equally - Proportional to the number of votes cast and equally - Argentina, Dominican Republic, Panama, Mexico, EcuadorArgentina, Dominican Republic, Panama, Mexico, Ecuador
Status in Selected CountriesStatus in Selected Countries
Country Legal Barrier
Argentina participation in preceding elections
Bolivia participation in preceding elections
Brazil participation in previous elections
Uruguay at least 500 votes, participation in internal and primary elections
Honduras None
Paraguay None
El Salvador None
Panama 5% of valid votes cast
Costa Rica 4% of votes cast or 1 parliamentary representative
Mexico 2% of votes cast
DisbursementsDisbursements
Three Time Lines for DisbursementsThree Time Lines for Disbursements
Full disbursement before the electionsFull disbursement before the elections
Disbursement after the electionsDisbursement after the elections
A mixed system embracing elements of A mixed system embracing elements of the two above systems – dominant the two above systems – dominant tendencytendency
Disbursement of FundsDisbursement of FundsSelected CountriesSelected Countries
Country Timing
Argentina Before Elections
Bolivia Before and After
Dominican Republic Ditto
El Salvador Ditto
Guatemala Ditto
Honduras Ditto
Brazil After
Nicaragua After
Regulatory Dilemmas for Private Financing: Regulatory Dilemmas for Private Financing: Restrictions on Sources and Spending LimitsRestrictions on Sources and Spending Limits
Prohibitions and RestrictionsProhibitions and Restrictions
Most countries provide for prohibitions on private contributionsMost countries provide for prohibitions on private contributionsfrom sources such as:from sources such as:
- foreign governments - Colombia and Nicaragua no such restriction- foreign governments - Colombia and Nicaragua no such restriction
- institutions or individuals- institutions or individuals
- Government contractors – all but Bolivia, Chile, Colombia, Costa Rica- Government contractors – all but Bolivia, Chile, Colombia, Costa Rica
- anonymous donations –all but Chile, Dominican Republic, Paraguay- anonymous donations –all but Chile, Dominican Republic, Paraguay
- social organisations such as trade unions, special interest groups, religious groups etc.- - social organisations such as trade unions, special interest groups, religious groups etc.-
only Argentina, Bolivia, Brazil, Paraguayonly Argentina, Bolivia, Brazil, Paraguay
limitations on individual contributions. Argentina, Brazil, Chile etc.limitations on individual contributions. Argentina, Brazil, Chile etc.
Modalities of Private FundingModalities of Private Funding
membership duesmembership dues
donations from special interests donations from special interests groupsgroups
individual donationsindividual donations
credit/loanscredit/loans
party fund-raising activities party fund-raising activities
DilemmasDilemmas
Establishing a realistic limitEstablishing a realistic limit
Numerous restrictions may Numerous restrictions may encourage ‘creative’ accountingencourage ‘creative’ accounting
Perspectives of and Particular Challenges for the Commonwealth Perspectives of and Particular Challenges for the Commonwealth Caribbean in Terms of Adopting a Regulatory FrameworkCaribbean in Terms of Adopting a Regulatory Framework
Aspects of the Regulatory Framework in the CaribbeanAspects of the Regulatory Framework in the Caribbean
Indirect SubsidiesIndirect Subsidies
access to the State run mediaaccess to the State run media
subsidies to parliamentarians, St. Lucia, subsidies to parliamentarians, St. Lucia, BarbadosBarbados
Direct public subsidy in Barbados only.Direct public subsidy in Barbados only.
Aspects of the Regulatory Framework in Aspects of the Regulatory Framework in Antigua and Barbuda Post 2001Antigua and Barbuda Post 2001
disclosure of contributions exceeding disclosure of contributions exceeding EC$25,000.00EC$25,000.00
prohibits anonymous contributions exceeding prohibits anonymous contributions exceeding EC$5,000.00EC$5,000.00
authorised audits by the ECauthorised audits by the EC
sanctions for non compliance includingsanctions for non compliance including-- Penalty of EC$2,000.00 a dayPenalty of EC$2,000.00 a day
Status of Regulatory Regime in the Commonwealth CaribbeanStatus of Regulatory Regime in the Commonwealth Caribbean Country Disclosure By Party By Candidate Contribution Limits Spending Limits
Antigua & Barbuda Yes No Yes No No
Bahamas No No No No No
Barbados Yes No Yes No Yes
Belize No No No No No
Dominica No No No No No
Grenada No No No No No
Guyana Yes No Yes Yes Yes
Jamaica Yes No Yes No Yes
St. Kitts/Nevis No No No No No
St. Lucia No No No No No
St. Vincent & The Grenadines
No No No No No
Trinidad & Tobago Yes No Yes No No
Total % 47.67/52.33 100.00 47.67/52.33 8.33/91.67 25.00/75.00
Anticipated Difficulties of Adopting an Effective Anticipated Difficulties of Adopting an Effective Regulatory FrameworkRegulatory Framework
Small population sizes, ranging from 2.5 million in Jamaica, to $50,000 in Small population sizes, ranging from 2.5 million in Jamaica, to $50,000 in St. Kitts-NevisSt. Kitts-Nevis
Reluctance on the part of donors to have their names published for fear of Reluctance on the part of donors to have their names published for fear of victimisationvictimisation
A political culture of clientelism and patronageA political culture of clientelism and patronage
Small size of party membershipSmall size of party membership
Small GDP’s, financial and economic Small GDP’s, financial and economic
difficulties make public funding difficultdifficulties make public funding difficult
Constitutional amendment is requiredConstitutional amendment is required
Lack of a critical massLack of a critical mass
Resistance by politiciansResistance by politicians
Thank You For Listening toThank You For Listening to
The Presentation The Presentation
and Do Enjoy and Do Enjoy
The Training Seminar!The Training Seminar!
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