RoEEMS FS

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Final Report for

Romania Electronic Election Management System
Feasibility Study Project
PUBLIC VERSION
United States Trade and Development Agency
1000 Wilson Boulevard, Suite 1600
Arlington, Virginia 22209-3901
USA
Appropriation No: 11 10/11 1001
Activity No: 2010-81026A
Reservation No: 2010810031
Grant No: GH2010810009
Prepared by
Cooper Consulting Company
This report was funded by the U.S. Trade and Development Agency (USTDA), an agency of the U.S.
government. The opinions, findings, conclusions, or recommendations expressed in this document
are those of the author(s) and do not necessarily represent the official position or policies of
USTDA. USTDA makes no representation about, nor does it accept responsibility for, the accuracy
or completeness of the information contained in this report.
Permanent Electoral Authority
601 Farley Drive Austin, Texas 78753 www.cooperconsulting.com
6th Stavropoleos St. 3rd Sector, Bucharest, 030084, Romania
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Romania EEMS Feasibility Study Project
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United States Trade and Development Agency
1000 Wilson Boulevard, Suite 1600
Arlington, Virginia 22209-3901
USA
The U.S. Trade and Development Agency helps companies create U.S. jobs through the export of U.S. goods
and services for priority development projects in emerging economies. USTDA links U.S. businesses to export
opportunities by funding project planning activities, pilot projects, and reverse trade missions while creating
sustainable infrastructure and economic growth in partner countries.
Contractors and Subcontractors
Prime: Cooper Consulting Company
Constantin Radu Phone: 512.527.1000
601 Farley Drive Fax: 512.527.1001
Austin, TX 78753 USA
Subcontractor: E-Sourcing Know-How & Servicii S.R.L.
Calin Rangu Phone: +40724950549
Address 64 Unirii Boul. Fax: +40724950549
District 3, Bucharest
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Project Organizational Structure
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Table of Contents
1 INTRODUCTION TO FINAL REPORT 8
2 SYNOPSIS OF TASK1 DELIVERABLE - DETAILED FEASIBILITY STUDY SCHEDULE AND PLAN 15
3 SYNOPSIS OF TASK2 DELIVERABLE - USER NEEDS ASSESSMENT SUMMARY 16
3.1 PEA PROJECTS WITH HIGH IMPACT IN THE ELECTORAL PROCESS: 17
3.2 STAKEHOLDERS AND ELECTORAL ORGANIZATIONS 18
3.3 THE ROMANIAN ELECTORAL SYSTEM GENERAL PRESENTATION 18
3.4 THE PERMANENT ELECTORAL AUTHORITY GENERAL PRESENTATION 21
3.5 LAWS AND REGULATIONS GOVERNING THE ELECTORAL PROCESS 27
3.6 POLITICAL VISION 28
3.6.1 Venice Commission 28
3.6.2 The Organization for Security and Cooperation in Europe - OSCE / ODIHR 28
3.6.3 Council of Europe 29
3.7 ONGOING INITIATIVES OF LEGISLATIVE CHANGE 29
3.8 INFRASTRUCTURAL AND SOCIETAL CONTEXT REGARDING THE ROMANIAN ELECTORAL PROCESS 30
3.8.1 Communications Backbone and Infrastructure in Romania 30
3.8.2 Knowledge Base Economy Project 30
3.8.3 Reports on the electronic communications sector 31
3.9 CURRENT ISSUES 31
3.9.1 Issues regarding the Permanent Electoral Authority 31
3.9.2 Issues regarding the electoral process 34
3.10 STATISTICS RELEVANT TO THE ELECTORAL PROCESS 36
3.11 METHODOLOGY OF STUDY 39
3.12 ADMINISTRATIVE PROCESSES OF ROMANIAN ELECTIONS AND OF THE PEA 40
3.12.1 Functional organizational charts during elections 40
3.12.2 Budget dependencies 40
3.13 ELECTION MANAGEMENT PROCESSES 41
3.13.1 As-Is Romanian Election System Process During Elections 41
3.13.2 Generic Election Process 41
3.14 ROLES AND RESPONSIBILITIES 42
3.15 ELECTION PROCESSES DURING AN ELECTION 44
3.15.1 PROCESS MAPS 45
3.15.2 Variances for the Four Types of Elections 45
3.16 AS-IS ROMANIAN ELECTION SYSTEM PROCESS BETWEEN ELECTIONS 46
3.16.1 Logistics 48
3.16.2 Campaign Finance 48
3.16.3 Legal 49
3.16.4 Budget and Human Resources 49
3.16.5 Regional Branches 49
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3.16.6 Foreign Relations 50
3.16.7 Studies and Monitoring 50
3.16.8 Electoral Statistics 51
3.16.9 Communications and Public Relations 51
3.16.10 Information Technology 51
3.17 DETERMINE NEEDED FUNCTIONALITIES FOR ROEEMS 52
4 SYNOPSIS OF TASK3 DELIVERABLE FUNCTIONAL REQUIREMENTS ASSESSMENT 57
4.1 EEMS ARCHITECTURE AND FUNCTIONAL REQUIREMENTS 59
4.1.1 High Level Business Architecture 59
4.2 EEMS CORE FUNCTIONALITIES 62
4.3 ELECTRONIC VOTING SYSTEM DESIGN ALTERNATIVES 64
4.4 EEMS PROCESS AND INFORMATION FLOWS 65
4.5 TO BE ROMANIAN ELECTION SYSTEM PROCESSES BETWEEN ELECTIONS 77
4.5.1 Logistics 77
4.5.2 Campaign Finance 79
4.5.3 Legal 81
4.5.4 Budget and Human Resources 82
4.5.5 Regional Branches 83
4.5.6 Foreign Relations 85
4.5.7 Studies and Monitoring 87
4.5.8 Electoral Statistics 89
4.5.9 Communications and Public Relations 89
4.5.10 Information Technology 90
4.6 HARDWARE ARCHITECTURE 91
4.7 EEMS CORE DATA CENTER 91
4.8 VIRTUALIZATION 92
4.9 OPERATING SYSTEM FUNCTIONALITIES 92
4.10 EEMS DATA ARCHITECTURE 92
4.10.1 Database Requirements 93
4.11 NETWORK AND COMMUNICATIONS INFRASTRUCTURE 93
4.11.1 Existing Communications Infrastructure 93
4.11.2 EEMS Network Communication Requirements 93
4.11.3 Architecture 94
4.11.4 Description of the technical solution 95
4.11.5 Conclusions 95
4.12 SYSTEM SECURITY 96
4.12.1 IT Governance 96
4.12.2 Security Frameworks 97
4.12.3 Threat Modeling 99
4.12.4 Business Continuity Planning 101
5 SYNOPSIS OF TASK4 DELIVERABLE EEMS IMPLEMENTATION AND INVESTMENT PLAN 103
5.1 GAP ANALYSIS 104
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5.1.1 Institutional Factors 104
5.2 MINISTRY OF ADMINISTRATION AND INTERIOR (MAI) 107
5.3 MANAGERIAL FACTORS 108
5.4 ELECTION PROCESSES WITHIN THE PEA 108
5.4.1 Election Budget Submission 108
5.4.2 Candidate Lists 108
5.4.3 Voting System Certification 108
5.4.4 Vote Counting 109
5.4.5 Election Night Results 109
5.4.6 Voter History Update 109
5.4.7 Election Results Certification 109
5.4.8 Election Calendar Preparation 110
5.4.9 Post-Election Suggestions for Changes Needed to Election Law 110
5.4.10 Delimitation of Polling Stations 110
5.4.11 Tracking of Polling Stations 110
5.4.12 Polling Station Change Management 110
5.4.13 Logistic Monitoring of Materials such as Voting Machines, Ballots Boxes, Voting
Booths and Election Supplies 111
5.4.14 Approval of Polling Station Presidents and Vice-Presidents 111
5.5 BETWEEN ELECTION PROCESSES IN THE PEA 111
5.5.1 Create and Monitor Budgets for PEA 111
5.5.2 Calculate Monthly Public Subsidies for Political Parties 112
5.5.3 Monitor Procedures Regarding the Delivery of Voting Cards 112
5.5.4 Prepare Informational Reports Regarding Elections for Voters and Other Interested
Parties 112
5.5.5 Approve Seats for Various Electoral Boards 113
5.5.6 Post-Election Report to Parliament and President 113
5.5.7 Prepare Annual Report Regarding PEA Activity 114
5.5.8 Create or Enhance Training Materials 114
5.5.9 Create or Enhance Materials for Voters 115
5.5.10 Approve Seats for Polling Stations 115
5.5.11 Logistics for Conducting Future Elections 116
5.5.12 Create and Submit Election Schedules 116
5.5.13 Plan for Security Regarding Polling Stations 116
5.5.14 Ensure Funds for Logistics Replacement 117
5.5.15 Keep Lists of Vacancies for Future Elections 117
5.5.16 Prepare Annual Plan for Controlling the Financing of Political Parties and Campaigns
118
5.5.17 Propose Sanctions in Response to Campaign Finance Violations 118
5.5.18 Perform Annual Inspections According to Objectives of the Plan 118
5.5.19 Carry Out Inspections Regarding Suspicions of Violations and Publish Results 119
5.5.20 Conduct Research and Evaluations for the Improvement of Elections 119
5.5.21 Certify the Software Used in Elections 120
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5.5.22 Create Lists of Centralized Personnel 120
5.5.23 Formulate Proposals for Updating Uninominal Colleges 120
5.5.24 Insure Voter Rolls Synchronization between Town Halls and Courts 121
5.6 POLITICAL FACTORS 121
5.6.1 Description of Current Situation 121
5.6.2 Proposed Changes 122
5.7 AUTHORITY TO IMPLEMENT 122
5.8 BENEFITS OF IMPLEMENTATION 123
5.9 IMPLEMENTATION AND INVESTMENT ACTION PLAN 123
5.9.1 Implementation Plan 123
5.9.2 Costs of Implementation 127
5.10 CASH FLOW ANALYSIS 128
5.10.1 Cash flow inputs 130
5.10.2 Cash flow outputs 130
5.11 INVESTMENT COSTS 130
5.12 INVESTMENT COSTS 134
5.13 FINANCING SOURCES 136
6 CONCLUSION 137
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1 Introduction to Final Report
The objective of the Romania EEMS Feasibility Study project was to develop a
comprehensive roadmap for the systematic deployment of a fully operational Electronic
Electoral Management System (EEMS) by the Permanent Electoral Authority (PEA). This
system will be capable of automating the vote authentication and vote casting/counting
processes for Romanian elections, as well as the electoral administrative processes.
The scope of the Romania EEMS Feasibility Study project is limited to the legally granted
span of control and guidance of the PEA for elections in Romania.
The Final Report presented here is intended to be a substantive and comprehensive report
of the work performed in this feasibility study. Each of the deliverables built a foundation
for the succeeding deliverables. Complete Work products (deliverables) provided to the
Permanent Electoral Authority (PEA) are included as appendices to this document and will
be referenced throughout this document.
The deliverables for this project were:
Task 1. Detailed Feasibility Study Schedule and Plan
Task 2. User Needs Assessment Summary Report
Task 3. Functional Requirements Assessment
Task 4. EEMS Implementation and Investment Plan
Task 5. Final Report document
The team developed a very detailed project management plan and schedule and executed
to that plan. We next developed the high-level assessment and implementation plan
combining technical, managerial, and institutional recommendations. At a technical level,
the EEMS Feasibility Study delivers the information the PEA needs to determine its
national-level EEMS functional and non-functional requirements, including hardware,
software, geographic information systems (GIS), a Relational Database Management
System, network management tools, security solutions, and communications equipment.
Further the study provides detailed information on the potential cost and potential funding
sources for this system.
Benefits of Implementing the EEMS
The implementation of the EEMS system will benefit the PEA by streamlining the
management of records and communication between all who participate in the electoral
process. As a result of a more streamlined process in the day-to-day operation of the PEA,
costs savings will be realized by the Government.
The EEMS will provide various communication tools including video conferencing with their
regional branches. These types of meetings can include other election officials such the
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mayors or prefects. This function will ensure a more efficient method of exchanging
information. There have been cases in the past, where it was physically impossible for the
PEA to visit a branch location due to weather or other conditions. The use of this tool will
ensure a meeting can go forward. Video conferencing within EEMS can be integrated with
other existing solutions used by other institutions that will provide timely exchange of
information between institutions. There will also be reduction in travel; therefore,
providing for another cost reduction in the budget.
The election data records management system (EDRMS) will be a powerful tool and will
provide efficiency to various workflows. The EDRMS will improve the information workflow
by automating much of the processes and procedures of the day to day workflow. Every
department within the PEA will benefit from the requirements of the EDRMS. It will provide
multiple functions including record location, records reporting, producing statistical reports
including voting history and voting trends and managing workflow processes.
One of the functions that will assist the PEA with various reports will be the ease of the
design of the report and the flexibility to change parameters for a report. This function will
simplify reporting and allow the PEA to provide reports and information as required or
requested by other people involved in the process, political parties or interested citizens of
Romania. It will provide citizens the opportunity to view voting history from past elections
based on report consolidation of election results. The system will also manage record
retention of various documents and produce record destruction reports.
Another function will allow the PEA to redact information in the files that are not in the
public record. Tracking of possible legislation or proposed legislation can be accomplished
with the EDRMS. The EDRMS will also provide security for the detection of unauthorized
users attempt to gain access to the system.
Improved communication between institutions can be accomplished through the EDRMS
using such tools as instant messaging. Other institutions having election-related duties will
have access to the system through rolls and permissions which will improve their process
dealing with election duties.
Improving workflow and efficiency of the PEA and providing a mechanism to make
information readily available is good governance.
The election configuration element of the EEMS will provide uniformity in dealing with
various processes of the election. The PEA will use the EEMS to track political party activity
including financing and automate information regarding campaign regulation information
such as advertising and the areas where signs can be posted. The political parties may be
assigned limited use of the system, i.e. to enter directly into the system all relevant data
regarding the candidate and the political party.
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Once the data is entered and proofed, there will be no need to enter it again in any part of
the EEMS. As a result, when a ballot generation report is produced, the candidates
information will be correct. It will be correctly printed on the ballot and on various reports.
This will reduce any possibility of mistakes being made with the parties and candidates. The
fewer the mistakes made in the election process results in the increased confidence level of
process by the citizens.
The polling location management will provide a tool to maintain attributes of the polling
location. This will include such information such as address, contact information for the
polling station, any special supplies needed for that location. If the data is stored in an
electronic format, the EEMS will be configured to import that data. The NIS will continue to
be the owners of the GIS system, but will see benefits in the workflow using the
enhancements brought by the EEMS.
With the GIS system, a complete address or description of the location will be available.
Using information provided by the GIS will assist in determining new locations for polling
stations as areas of Romania grow in population. The voter registration data will also be
imported into this section of the EEMS. The polling location for each voter will be provided
and the system will allow a search for that data. If a voter calls the PEA or other institutions
that have access to this function, the employee will be able to quickly respond to the voter
as to where to vote. If the voter name is not found, the worker can inform the voter so they
can contact the sheriff of the local to resolve the issue. This function will provide a valuable
service to the voter. With some 18,000 polling stations to manage, this tool will be essential
both at the local level and the PEA for communication purposes and budgetary purposes.
It is estimated that 100.000 people are involved in the organization and the conduct of
elections (of whom about 40.000 represent polling station election officials while 60.000
represent members of political parties). Managing the poll workers at the various 18,000
locations is burdensome; however, with the EEMS, the process will be automated. The
named president of each polling station has to be submitted for approval by the PEA. This
function will make this process much easier with information readily available. At each level
of the election bureaus, the names of the members have to be maintained. EEMS will assist
in this manner can provide a complete list of workers for an election to the PEA. Once the
names of workers are entered into the system, they can be assigned for future elections if
chosen by the political formation they represent.
The election management function of the EEMS will provide a tool to generate an election
calendar for each election. The MAI together with the PEA currently determine a calendar
of events based on law and decisions of the government for a specific election. With the
use of the EEMS, events will be input into the system and the system will generate the date
or last day to perform an event. The date or day will be based on time lapse between
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events and Election Day. Dates can be determined with respect to the date of the decision
to call the election or Election Day.
Once the calendar has been defined, it will ensure the accuracy of the calendar for each
election and eliminate the process of re-creating a calendar for each election and
streamline the process. Only when legislative changes or decisions change a time line will
the calendar need to be changed. This improves the flow of the process and reduces the
possibility of making an error.
One of the major functions of the PEA is to monitor the election functions. This tool will
allow the PEA to perform such tasks in a more efficient and effective manner reducing the
possibility of making an error. With direct communication with the managers at the 8
branch locations or the prefects or other electoral officials at the bureaus, electoral
management in the area of monitoring will be improved.
Romanian citizens will benefit from a call center that will be provided in the EEMS. They can
ask general questions about election law file complaints or incidents occurring at their
polling location or even inquire as to the location of their polling location. (It is noted that
election challenges are proper if filed with the president of the polling place, not the call
center).
Romanians abroad will also have the web portal to obtain information about the election,
i.e. polling locations, dates, hours the polls are open in the country of their temporary
residence. The election workers will also benefit from the call center because there will be
immediate access to a person should a question arise in the process or there is a questions
regarding the voting machine.
The e-Learning platform will be of utmost importance to the overall success of EEMS and
future elections. The training needed for a successful implementation of this system will
improve the confidence of the Romanian citizens when exercising their right to vote. The
training that is developed by the PEA will be used throughout the country; therefore,
ensuring the Romanian people uniformity in implementation and transparency in the
election process.
Training will include all aspects of the election process, both technical skills needs,
qualifying the voter with the new electronic voter registration system, polling place set up
and Election Day processes, tabulating election results in a timely manner, submitting
various reports at the close of the election to name just a few possibilities. The mayors and
the prefects will have the advantage of using this tool for training the local election officials.
They will have the advantage to scheduling the training that will be convenient for the
people because e-learning will be on a web platform and is available at all times. The
training is not limited to only election workers.
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The MAE can use the training for the workers in foreign countries through the web portal.
The PEA will have the opportunity to develop various training manuals to target interested
markets, i.e. political parties, candidates, various bureaus, and citizens. The sharing of
training materials between election workers, election bureaus, party activists, monitors of
the election and other interested parties will beneficial because everyone will be receiving
the same information, eliminating any fear that one group is being treated different than
any other group. This will eliminate in any duplication of materials distributed by other
organizations outside of the PEA.
This is not to say political parties will not have their own documentation and training on
various issues because they will. However, with uniform documentation being presented by
the PEA, the profession independent election experts will result in confidence in the
information. One theory is that the more people understand the voting process, the more
comfortable they are will the process and the more likely they will participate in the
election by voting.
The PEA has several voting initiatives in place. Good government practices in many areas
provide for programs often referred to as Project VOTE. (Voters of Tomorrow through
Education). This is a curriculum developed by election experts for teachers to begin
educating students at an early age about the election process. With E-Learning, the
development of this program or other programs by the PEA could prove beneficial to the
citizens of Romania.
With the adoption of an electronic voter registration system, the integrity of the election
will be increased by ensuring only qualified persons are entitled to vote. The EEMS system
will receive imports from the voter registration system prior to an election. Access to the
real-time, on-line permanent system by workers at the polling station will allow the
processing and verification of the voter to be instantaneously. The voters identify card will
have a barcode or similar electronic means for a scanner to read the data and locate the
voter on the rolls. Once a voter is qualified, the EEMS will record voting history for that
person. While the voter registration system is not a direct product of the EEMS, the EEMS
will be integrated with the new system and the Romanians will experience more confidence
in a permanent electoral list. One master list for the country will be a reliable and effective
mechanism for cross-checking for possible duplicate names on the lists. This will provide
integrity to the election process and instill one of the basic concepts of democracy, one
man - one vote.
With the automation of the voter registration and integration of the GIS tool in the EEMS,
citizens are more likely to be assigned to the correct polling location for their residence.
Automatic updating of the rolls, elimination of duplicates on the rolls and more efficient
method of assigning citizens to polling stations will have a positive effect on the democratic
process of voting.
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With an automated voter registration system, permanent elector rolls should be continually
updated with corrections, additions and deletions throughout the year and during the in-
between intervals of the elections. This would reduce last minute changes needed prior to
the election reducing the risk of error. Because the new voter registration system will be
managed by PEA, the functions performed currently by the MAI with regard to maintaining
and providing voter lists to the mayors prior to an election should be transferred to the
PEA. The mayor will have access to the voter registration system through rolls and
permissions to update and maintain voter records on a real-time basis or through imports
as determined by PEA.
One of the most obvious changes brought by the EEMS will be the implementation of an
electronic voting system. There are several configurations discussed in the requirements.
Once a system is implemented throughout the country, every Romania citizen will have the
same opportunity as the next citizen. The system will present to the voter in user-friendly
manner instructions for using the machine, how many candidates the voter is entitled to
vote in a race, a notification prior to casting the ballot that the voter either under-voted
their ballot or over-voted their ballot. This allows the voter to correct the ballot before
casting the ballot and avoid mistakes. Most important, the ballot will be counted
electronically in equipment designed to perform that function. This will also allow vote
reporting in a faster more reliable manner. The accumulation of encrypted votes from all
polling stations will be automated; therefore, allowing the CEB the advantage of reporting
accurate and final votes. These systems will be very secure and well tested prior to an
election.
The promise of electronic voting machines is not only the ability to accurately count votes,
but also to provide a means of effectively making selecting voter choices easier, flagging or
disallowing voting mistakes. All voters will have uniform instruction and voting procedures
regardless of any outside influence, Voting machines also have purchasing options that
would provide a person with a physical disability the opportunity to vote a secret ballot.
The EEMS will provide a method for inventory tracking of the new voting machines as well
as other election equipment such as scanners and computers. The EEMS will provide an
accountability to verify that all inventories were returned. Assigning specific machines to a
polling location is imperative to ensure the correct ballot style is provided for that location.
The inventory control will also include maintenance schedules for the machines and
whether there were any issues during the general maintenance. EEMS will provide the
means that will result in a more streamlined, accurate, and manageable function.
Overall, the EEMS system will promote transparency in all stages of the management of
election processes, provide tools for the PEA and other election officials who have election
responsibilities to be accountable to the citizens and to the government, provide tools to
disseminate voter information and educational training materials. The PEA and therefore,
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the government will see cost-effective measures created by the implementation of the
EEMS. The EEMS will also provide tools to maintain uniformity in the application, and
operation of the election laws. In performing this duty, the PEA can prepare detailed and
comprehensive written directives and instructions relating to election processes. The EEMS
will provide a cost effective and efficient way to distribute these materials to the
appropriate local authorities having duties in the administration of elections. They will have
the tools to better plan for elections and better planning results in cost saving measures.
And finally, with the professional subject matter experts of the PEA and implementation of
the EEMS, the citizens of Romanian will enjoy the enhancement of democratic governance.
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2 Synopsis of Task1 Deliverable - Detailed Feasibility Study
Schedule and Plan
The first deliverable the Detailed Feasibility Study Schedule and Plan based on the
Project Management Institute (PMI) methodology laid out the work to be done in the
project and the schedule that must be maintained for a successful project. It further
addressed the following:
Project Organizational Structure
Organizational Interfaces
Project Responsibilities
Dependencies and Constraints
Monitoring and Controlling Mechanisms
Risk and Quality Planning and Controlling
Communications Planning and Execution
Risk and Quality Planning and Execution
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3 Synopsis of Task2 Deliverable - User Needs Assessment
Summary
The objective of this deliverable was obtaining and documenting an understanding of the
current situation, the relevant legal-regulatory context, and the policy context governing
the Romanian elections process. We have summarized the Task2 Deliverable in this section
of the document.
The completed Task2 Deliverable - The User Needs Assessment Summary Report - is
organized as follows:
Review of International Issues and Experiences in Election Management and
Electronic Voting
Review of Relevant Legal-Regulatory and Policy Context Governing Romanian
Elections
Review of Infrastructural and Societal Context Issues Impacting Romanian Elections
Analysis of the Administrative Processes of Romanian Elections and of the AEP: As-Is
Review of Current Romania Election System Process
Determine Needed Functionality
Significant effort and money have been expended by Romania to date on modernization of
the election systems and surrounding processes. The next logical step in this process is the
implementation of the recommendations from this feasibility study. Evidence of the effort
expended to date is presented via information about the following projects.
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3.1 PEA Projects with high impact in the electoral process:
Project with UNDP
o Strengthen best practices in elections
o Strengthen democratic processes
o Build capacity to organize and conduct multi-party elections in accordance
with international standards.
RoEEMS-FS with USTDA
o Develop roadmap for PEA to develop Electronic Electoral Management
Automate the authentication of voters
Automate the voting processes
Address electoral administrative processes
Project First Vote
o Attract younger voters
o Create a portal aimed at younger voters for discussion and information
Project Your Vote is also Equal to Others
o Analyze and Propose Solutions to accessibility for people with disabilities
Pilot Project on Automating Electoral Activities Enrolling within the Polling
Stations
o Ensure electronic verification of voters
o Drive attendance to the polls
o Edit, Check, and Transmission of Reports on the Record of Voting Results
Voter Registration Project
o Create a database of voters, polling stations, and security accesses to each
o Increase efficiency of administration, reporting, and the creation of voter
lists
Software for Centralizing Election Results for the Presidential Elections in 2009
o Modules and features which allow rapid and safe deployment in the
collection, compilation, distribution, and storage of data within the election
process
Software for Centralizing Electoral Results for the 2008 Parliamentary Elections
o Data collection of election results at polling stations
o Collecting and consolidating polling results at the Central Electoral Bureau
o Efficient handling of mandates
o Editing records and statistical reports with ability to select subsets of data,
periodicity, formatting
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3.2 Stakeholders and electoral organizations
The main institutions and organizations involved in the electoral process are:
City halls
Prefectures
Political parties
Ministries
o The Ministry of Justice
o The Ministry of Administration and Interior
o The Ministry of Foreign Affairs
The National Institute of Statistics
OME (Electoral Management Organisms) ex. Electoral Commission Moldova (CEC
Moldova)
ACEEEO (Association of European Election Officials)
UNDP (United Nations Development Program)
OSCE / ODIHR (Organization for Security and Co-operation in Europe/ Office for
Democratic Institutions and Human Rights)
ANCOM (The National Authority for Administration and Regulation in
Communications)
STS (The Service for Special Telecommunications)
Association Pro-Democracy
Institute for Public Policy
Soro Foundation
3.3 The Romanian Electoral System General Presentation
Currently there are 4 categories of elections in Romania and each is fully described in the
complete Task2 deliverable attached to this document:
Election of the President
Election of Local Public Administration Authorities
Elections for Chamber of Deputies and the Senate
Elections for the European Parliament
Voting Characteristics:
Secret
Direct and immediate
Universal
Equal
Freely expressed
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The system category:
Majority for the election of the President of Romania and of mayors;
Proportional representation - for the election of the Chamber of Deputies and
Senate, local and county councils and of the European Parliament.
Peculiarities of the voting procedure:
For the election of the President of Romania, General Mayor of Bucharest and of Mayors:
Uninominal vote with one round, respectively uninominal vote with two rounds, in
the event that no candidate is declared elected in the first round and exceptionally,
with three rounds in the event of a tie vote, registered in the second round.
In parliamentary elections, local councils and the European Parliament:
According to the list type used: locked voting list;
According to the manner of remainder exploitation: integral proportional
representation election, in which the remainders in the constituencies are
transferred and reappraised nationally, by the Central Electoral Bureau and
contiguous proportional representation election, in which the remainders are
reappraised within the same constituency, at the discretion of constituency
electoral offices, without being transferred to the national level.
As both types of elections are locked list polls, they are based on the following types of lists:
lists of candidates proposed by political alliances;
lists of candidates proposed by the electoral alliances;
lists of candidates proposed by political parties;
lists of candidates proposed by organizations of citizens belonging to national
minorities represented in the Parliament and also, under certain statutory
conditions, by other organizations of citizens belonging to national minorities,
without parliamentary representation, but which are represented in the Council of
National Minorities.
Development of elections:
in broad intendment since the submission of candidacies and until the closing of
voting;
in narrow intendment - since the start of the voting until the closure of voting.
Within the activity of the Permanent Electoral Authority the broad intendment is being
used, because it involves making interrelated operations, which together give the content
of the type of election, such as: preparing lists, submitting candidacies, enrollment of
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validated candidates on the ballot, with the specific particularities of each method of voting
and the actual voting.
Rule of Representation:
The Rule of Representation is applicable only in the case of the Chamber of Deputies, the
Senate, local and county councils, because in case of presidential elections and local
elections, the rule of representation does not require additional explanations. The number
of deputies and senators elected is determined by reporting the total number of
inhabitants of each constituency to the representation rules referred to by law, separately
for each of the two Parliamentary Chambers and for local councils.
Electoral threshold:
The electoral threshold is of 5% and must be reached by the parties to be represented in
the Parliament and in the local and county councils. To the 5% threshold, 3% of the valid
votes cast throughout the country is added for the second member of the alliance, in case
of parliamentary elections, respectively 2% of the valid votes cast in that respective
electoral constituency, for local elections. For each member of the alliance, begging with
the third, in parliamentary elections only one percent of the valid votes cast throughout the
country is added, without exceeding 10% of these votes, while for alliances with at least
three members participating in the local elections, the electoral threshold is of 8%.
Access threshold:
Within presidential elections:
Nominations proposed by political parties and alliances as well as independent
candidacies may be submitted only if those are supported by at least 200,000
voters;
Within parliamentary elections:
Candidacies of the organizations of citizens belonging to national minorities, with or
without parliamentary representation, legally constituted and represented in the
Council of National Minorities, but without parliamentary representation, are
required to submit a list of members comprising a number of at least 15% of the
total number of the citizens which, at the last census, have declared themselves
belonging to the respective minority, and if that number is higher than 25,000
people, the list must include persons residing in at least 15 counties, but not less
than 300 for each county.
The independent candidate may participate in elections only if he is supported by
5% of the total number of voters registered in the permanent electoral lists of the
localities situated in the constituency in which they are running.
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Within local elections:
Independent candidates for the position of counselor must be supported by at least
1% of the total number of voters registered on the permanent electoral lists within
the respective constituency, but not less than 50 for communes, 100 for rank I and II
urban localities, and of 1000 for rank I urban localities, for Bucharest and its sectors;
For the mayor position, the independent candidates must submit a list of
campaigners, containing at least 2% of the total number of voters registered on the
electoral list of the respective constituency, but not less than 200 for communes,
300 for cities, 1000 for municipalities and sectors of Bucharest, and 5000 for
Bucharest.
Determination of election results is one of the most important election operations and
involves the following:
determining votes validly cast, out of the overall total of votes;
determining the political parties, political alliances and electoral alliances that have
met the electoral threshold.
3.4 The Permanent Electoral Authority General Presentation
The establishment of the Permanent Electoral Authority has been constitutionally based on
art. 73, par. 3, letter a, of the Constitution of Romania, and the legal regulation, initially,
within Law no. 373/2004 for the election of the Chamber of Deputies and the Senate.
Subsequently, the jurisdiction, attributions and activity of PEA have been regulated by Law
no. 35/2008 for the election of the Chamber of Deputies and the Senate and for the
amending and supplementing Law no. 67/2004 on the election of local public
administration authorities, the Local Public Administration Law no. 215/2001 and Law no.
393/2004 regarding the Status of locally elected officials, as well as in the Internal
Regulations of the Permanent Electoral Authority, subsequently amended and
supplemented (Decision no. 2/19.03.2007 of the Parliament of Romania, amended and
supplemented through Decision no. 3/24.09. 2008).
In accordance with the legal context, the Permanent Electoral Authority is an administrative
structure for management of the electoral process, having only technical competences and
electoral education competences, aiming at the affirmation of a political culture of
participation, involving a lucid awareness of citizens.
Also, amongst the attributions of the entity, the following are included: creating a
framework appropriate for all citizens, in order to rediscover the participation in political
life, for understanding the mechanisms of democracy and the significance of voting, and to
increase the confidence degree and their commitment towards the pluralistic system.
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The Permanent Electoral Authority, along with other state structures with electoral
responsibilities, supports the organization and development of elections, provides the
necessary logistics, and monitors the unitary application of the electoral legislation, with
the following functions, according to the Regulation on organization and activity of the
Permanent Electoral Authority:
strategy, through which the establishment of sectoral objectives within its activity
field is ensured;
regulation, through which it ensures the drafting and subject to approval of the
regulatory framework necessary to achieve the strategic competences in electoral
matters, such as the preparation and approval of regulatory and technical
requirements, mandatory for all electoral bodies and authorities with electoral
responsibilities;
representation, internally and externally, of the Romanian State, in electoral
matters;
state authority, through which it ensures the monitoring and enforcement, across
the country, of the regulations specific to the electoral system, and also of those
established for modernizing and connecting these to the electoral systems within
European Union countries;
guidance, support and control of local public administration authorities and its own
activity apparatus in the organization of electoral consultations.
With regard to its attributions as State Authority, in the interval between two electoral
periods, the Permanent Electoral Authority has the following main responsibilities:
develops proposals aiming at ensuring the logistics necessary for elections, which
are transmitted for endorsement to the Government and to local authorities, and
monitors the realization of the proposals;
monitors the manner for establishing the locations of polling stations and electoral
Bureau premises;
monitors and ensures timely performance of specific endowments of polling
stations: standard ballot boxes and booths, stamps, ink pads, containers for the
transport of ballots and others alike; controls their storage between electoral
periods;
monitors the manner of providing funds necessary for timely, phased
implementation of all logistics necessary for the electoral process;
develops systems for protecting polling stations, ballot papers and other documents
and materials specific to the election process;
monitors and controls the preparation and update of permanent electoral lists and
the custody of records comprising permanent electoral lists, and also the manner of
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Page 23 of 137
performing communications required by law and operating them, on time, in the
electoral lists;
monitors the manner of preparing and issuing of voter cards, in accordance with the
permanent electoral lists;
monitors and controls the manner of ensuring consistency between the content of
permanent electoral lists existing in city halls and the copy filed with the courts;
ensures, within its competencies, the unitary appliance of legal regulations relating
to the organization of elections;
prepares studies and proposals aiming to improve the electoral system, which are
published and presented to public authorities, political parties, as well to interested
non-governmental organizations;
presents to the Parliament, within maximum 3 months after the closing of elections
for the Chamber of Deputies and Senate, for the President of Romania and for the
local public administration authorities, or a national referendum, a report on the
organization and evolution of the elections, respectively of the referendum,
including references to the participation in elections , its process, violations and
deficiencies, including the legislative ones, determined, and the result of the
accession. The report is published as a White Paper;
develops information and training materials and programs for voters, regarding the
Romanian electoral system and regarding the observance of electoral ethics, and
ensures their popularization;
develops specific training programs in electoral matters for mayors and secretaries
of the administrative-territorial units, and for persons who may become members of
electoral offices, organizing the deployment of these programs, along with the
National Institute of Administration and the regional branches;
develops programs and establishes unitary rules regarding the exercise of voting by
illiterate persons or persons with disabilities, and ensures their popularization;
prepares its own draft budget, which is approved by the state budget law;
draws up a list of specialized personnel, certified by the National Institute of
Statistics, which is involved in data centralization and processing, and in the
establishment of election results;
supports the establishment of a material database specific to the national
information system, necessary for determining the election results;
organizes tenders for the selection of software to be used by the Central Electoral
Bureau for centralizing the voting results;
prepares and submits for Government approval, together with the Ministry of
Administration and Interior, the schedule of actions within the election period;
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prepares and submits to the Government for approval, together with the Ministry
of Administration and Interior, draft resolutions specific to an efficient organization
and development of elections;
develops draft legislation for improving and perfecting the Romanian electoral
system, which are submitted to the Government for consideration and the exercise
of the right to legislative initiative;
submits for Government approval, together with the Ministry of Finance and
Ministry of Administration and Interior, a draft Government resolution on approving
the expenses necessary for the organization and evolution of elections; the
resolution is to be approved within 5 days since public disclosure of the election
day;
certifies for non-alteration, within 10 days prior to election day, the software
selected through tender organized under the legislation in force, and provides them
to parties registered in the electoral competition, at their request;
keeps record of communes, towns, cities and sectors of Bucharest where the mayor
positions are vacant, or where local councils have been dissolved and makes
recommendations to the Government for establishing the date for the organization
and development of new elections;
supports the organization and development of partial elections.
The plurality of above issues has imposed the establishment of a specialized institution in
the electoral sphere, independent of other institutions with electoral responsibilities, but
collaborating with these for the same common purpose: an authentic constitutional state
and a real democracy.
The Authoritys apparatus has the following central organizational structure:
Dignitary cabinets;
Internal Audit Bureau;
General Secretariat (service level);
Department of Control on the Financing of Political Parties and Electoral Campaigns;
o Office of Control on the Financing of Political Parties and Electoral
Campaigns;
Department of Electoral Logistics;
Department of Legislation and Liaisons with the Parliament;
Department of Research, Documentation and Monitoring of Electoral Processes;
Department of Guidance, Control and Coordination of Branches;
Office for Guidance, Control and Coordination of Branches;
Department of Budget-Finance, Accounting and Human Resources;
o Office for Budget, Finance and Accounting
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o Human Resource Bureau
IT&C Department;
Office for External Relations;
Contentious-Judicial Bureau;
Office for Allocation of Subsidies;
Office for Communication and Public Relations;
Office for Protocol and Administration;
Public Procurement Bureau.
In the territory there are 8 branches and 34 assigned bureaus, whose distribution was
aimed at maximizing the overlap with the eight development regions (NUTS II level), but
also at a rational allocation of resources based on resource availability and in accordance to
local requirements and necessities.
The organizational chart below details the organizational structure and relationships
between departments and directorates:
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In light of the evolution of PEA budget allocations, the tendency to confer increasingly more
attributions to the Permanent Electoral Authority in the electoral process is confirmed:
BUDGET ALLOCATIONS FOR ELECTIONS IN THE PERIOD 2007 2010
THOUSAND LEI
INDICATOR/ BUDGET
2007 2008 2009 2010
A
L
L
O
C
A
T
E
D

S
P
E
N
T

A
L
L
O
C
A
T
E
D

S
P
E
N
T

A
L
L
O
C
A
T
E
D

S
P
E
N
T

A
L
L
O
C
A
T
E
D

S
P
E
N
T

PEA TOTAL BUDGET
6
,
3
1
2

5
,
4
7
1

2
8
,
0
1
7

2
8
,
0
0
3

3
1
,
2
3
2

2
7
,
8
8
9

1
5
,
8
7
0

1
5
,
8
6
1

out of which
European Parliament
Budget
1
2
0

1
0

5
,
4
4
7

5
,
0
9
7

Local Elections Budget
3
,
0
0
1

2
,
9
8
9

Parliamentary elections
Budget
8
,
0
9
6

8
,
0
9
6

2
5
2

2
3
4

Presidential elections
Budget
9
,
5
0
0

6
,
3
8
1

TOTAL ELECTION BUDGETS
1
2
0

1
0

1
1
,
0
9
7

1
1
,
0
8
5

1
4
,
9
4
7

1
1
,
4
7
8

2
5
2

2
3
4

% of the TOTAL BUDGET of
PEA
1
.
9
0
%

0
.
1
8
%

3
9
.
6
1
%

3
9
.
5
9
%

4
7
.
8
6
%

4
1
.
1
6
%

1
.
5
9
%

1
.
4
8
%

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3.5 Laws and Regulations Governing the Electoral Process
The electoral processes in Romania are governed by the following laws (more complete
content for each of these is in the attached Task2 deliverable):
Law no.3/ 2000 regarding the organization and development of the referendum,
with subsequent modifications and completions
Law no. 67/ 2004 for electing local public administration authorities, republished,
with subsequent modifications and completions, republished in the Official Journal
of Romania, Part I, no. 333 of 17 May, 2007
Law no. 370/ 2004 for electing the President of Romania
Law no. 33/ 2007 regarding the organizing and development of elections for the
European Parliament
Law no. 35/ 2008 for electing the Chamber of Deputies and the Senate and for
modifying and completing Law no. 67/2004 for electing local authorities, of Law for
Local Public Administration no. 215/2001 and of Law no. 393/2004 regarding the
Status of local electees
Laws and Regulations Defining the PEA (more complete content for each of these is in the
attached Task2 deliverable):
Decision no. 2/19 March 2007 modified and completed through the Decision of the
Permanent Bureau of the Chamber of Deputies and Senate no. 3/24 September
2008 published in the Official Journal of Romania, Part I, no. 673/30 September
2008
Other Laws and Regulations Imposed During the Electoral Process
Legislation regarding the electronic signature.
Legislation regarding informatics criminality.
Legislation regarding electronic communications.
Other normative acts
o Law no. 183/2006 regarding the use of standardized codification for the set
of characters in electronic documents
o MCIT Order no. 414 from 25 September 2006 regarding the use of
standardized codification of the set of characters in electronic documents;
o Decision no. 1028 from 9 August 2006 regarding the minimum requirements
for labor security and health regarding the use of equipment with display;
o Penal Code 2009: Chapter IV frauds committed through informatic systems
and electronic payment means.
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3.6 Political Vision
3.6.1 Venice Commission
The European Commission for Democracy through Law, better known as the Venice
Commission, is the Council of Europe's advisory body on constitutional matters. For over 20
years, the commission has played a leading role in the adoption of constitutions that
conform to the standards of Europe's constitutional heritage.
Initially conceived as a tool for emergency constitutional engineering, the commission has
become an internationally recognized independent legal think-tank. It contributes to the
dissemination of the European constitutional heritage, based on the continent's
fundamental legal values while continuing to provide constitutional first-aid to individual
states. The Venice Commission also plays a unique and unrivalled role in crisis management
and conflict prevention through constitution building and advice.
Romania is a member state (being part of the Council of Europe) among the 57 members.
The work of the European Commission for Democracy through Law aims at upholding the
three underlying principles of Europe's constitutional heritage: democracy, human rights
and the rule of law. Accordingly, the Commission works in the following four key-areas:
Constitutional assistance;
Elections and referendums, political parties;
Co-operation with constitutional courts and ombudspersons;
Transnational studies, reports and seminars.
Since its creation, the Venice Commission has been active in the electoral field, in
particular, through the adoption of opinions on draft electoral legislation. The Commission
has also taken part in the drafting of legislative texts in the electoral field.
The Commission co-operates closely with the Office for Democratic Institutions and Human
Rights (OSCE/ODIHR). Most opinions related to electoral legislation are drafted jointly by
these two organizations.
Regarding Romania, the Commission has been active on a more occasional basis, in terms
of cooperation between the Commission and the state in the electoral field.
3.6.2 The Organization for Security and Cooperation in Europe - OSCE /
ODIHR
Through the multi-dimensional approach, the Organization for Security and Cooperation in
Europe (OSCE) offers the states within the area "from Vancouver to Vladivostok", a forum
for dialogue and negotiation on the issue of security in the Euro-Atlantic and Euro-Asian
area and a Platform for multilateral partnerships involved in practical actions on the field.
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The organization has a comprehensive approach of the security concept, and from this
perspective, acts on three major dimensions:
political- military;
economic and environmental;
human.
OSCE activates for openness, consolidating confidence, increasing transparency and
cooperation, in order to ensure the security of states participating within the OSCE.
3.6.3 Council of Europe
The General Directorate of Democracy and Political Affairs has presented within the project
Good Governance in the Information Society guidelines regarding the transparency of e-
enabled elections and the certification of e-voting systems.
3.7 Ongoing Initiatives of Legislative Change
The Electoral Code PEA draft electoral law to
o systematize, in one act, the electoral legislation, currently widespread in
several normative acts
o Parliamentary, presidential, local and Euro-parliamentary elections, as well
as the conditions of the referendum, are reunited within a single project
MCSI Projects
o National Electronic Registries Draft law
Determines the creation, content, administration, and operation
Intended to reduce duplication of data
Improve data reliability
o Electronic Communications Draft law
Strengthen role of national registry authorities regarding electronic
communications
Ensure consistency with regulation in the EU
Protection of data
Access to electronic communications networks
Radio spectrum management
o Minimum Safety Measures of the Public administration information
systems
Establishing security classes consistent with objectives
Selecting appropriate basic information system security measures
Application of security measures
o Voting by Mail
Allow more than three million Romanian voters to register to vote by
mail
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Page 30 of 137
Allow voters so registered to vote by mail
Information Technology Projects of the Committee of the Chamber of Deputies
o Computerization of Electoral Activities Legislative Proposal
Regulation of the computerization of technical procedures within
electoral activities
Verification of the legality of voting
Registering the election results and operative information
regarding the conduct of elections
3.8 Infrastructural and Societal Context Regarding the Romanian Electoral
Process
This section covers infrastructural issues and the societal context of the Romanian election
processes described in previous sections.
3.8.1 Communications Backbone and Infrastructure in Romania
The Government strategy for the development of broadband electronic communications
in Romania for the period 2009 2015
The Broadband Strategy was adopted in 2009 and incorporates, in the medium term, the
realities and perspectives of all holders of interests on the market, so that it can be
considered a vector for the alignment of all relevant resources, for promoting broadband
services in Romania.
The document was divided into five main components, according to the major directions of
analysis:
Defining the concept of broadband electronic communications and presentation of
anticipated benefits of broadband communication services;
Analysis of current situation in Romania;
Defining general principles and strategic objectives;
Developing the Action Plan;
Identifying necessities and funding options.
3.8.2 Knowledge Base Economy Project
The Knowledge Economy Project was initiated as a result of the common vision of the
Romanian Government and the World Bank concerning both the need to accelerate the
participation of access to information disadvantaged communities to the knowledge based
society and economy and the need to achieve the socio-economic development objectives
generated by the alignment to the European standards. The project had a 69.4 million USD
total budget.
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The project is deployed in 260 communities, out of which 213 are communes and 47 cities
below 30,000 inhabitants, disadvantaged from the access to information point of view. The
concrete way of supporting these communities is the creation of Local Community
Electronic Networks (LCENs), which connect to Broadband Internet the school, the
secondary school, the public library and the Point of Public Access to Information (PPAI).
These networks also include secondary schools from the isolated villages belonging to
different communes.
3.8.3 Reports on the electronic communications sector
Semestrial reports regarding communications in Romania are offered by the National
Authority Administration and Regulation in Communications (ANCOM) and published
online.
The team collected a significant number of statistics on current adoption rates and access
to technology across Romania and among various sectors. Details and analysis of these
statistics are provided in the complete deliverable.
3.9 Current Issues
Some of the identified categories of issues within the electoral process and regarding PEAs
activity include, but are not limited to:
3.9.1 Issues regarding the Permanent Electoral Authority
I
t
e
m

n
o
.

Category Description Causes
1. Personnel Lack of personnel Economic crisis, small budget
allocation for salaries
Lack of professionalism Short / irrelevant experience
Indifference
Low qualifications Late university degrees
Inappropriate specialization for
job
Lack of motivation Salary cuts
Variations in work quantity:
peak periods alternating with
relaxed ones
2. Administrative Temporary lack of formalized
procedures
New criteria and format in
place
3. Inter-
institutional
Lack of communication between
institutions
Incognizance of the law
4. Facilities and
Endowment
Insufficient space
Inappropriate endowment
Building with high seismic risk level I
Insufficient funds
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I
t
e
m

n
o
.

5. IT
Infrastructure
Electrical energy:
- Frequent breakdown of electric
feeding;
- Frequent equipment
breakdowns caused by tension
fluctuations;
Limited budget
Reduced number of personnel
with limited expertise
Network and cabling infrastructure
- Lack of structured wiring
- Physical access to electric
panels/ boards
- Obsolete network (below Cat5e)
- Switches with active DHCP
installed in offices, with physical
access to equipment;
- Existence of a single provider
and a single IP per institution;
Telephony:
- Service unavailability
Printers:
- Loaded and not original toners
- Non-compliance with rules for
correct use of electronic
equipment
- Low quality paper used
Desktop computers:
- Incomprehension of use of UPS
and its operation;
- Eating on the keyboard
- Holding materials on the
keyboard
- Reporting non-existing
problems;
- Dislocation of the video board/
other components because of
stumbling on cables;
- Defective connection of
external devices that
determines the disruption of
wiring termination components.
Server infrastructure:
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I
t
e
m

n
o
.

- Lack of an Active Directory;
- Lack of a central system for
patch and update operations;
Data Center:
- Non-appliance of ISO 27001
recommendations
- The server chambers are not
sound-proof;
- Lack of devices for smoke
detection and fire extinguishing;
Access Control:
- Lack of dual-factor access
control systems; authentication
is realized strictly through
username and password;
- Lack of access control policies
(in course of elaboration);
- Access of SAIFI personnel is
allowed in all spaces destined to
the authority;
Software applications:
- Use of informatic applications/
materials for other purposes
than work duties;
- Incomprehension and, thus,
non-observance of legal
provisions for the use of
personal data, storing,
transmitting and use of personal
data in non-compliance with the
law;;
Backups: Lack of backup for stations;
Logs: Lack of log inspection at the level
of the stations
Environmental:
- Use of equipment in
inappropriate temperature and
humidity conditions
6 ICT Literacy Minimum level of expertise
Incognizance of English language for
interpreting error messages
Reduced ICT knowledge in
operating with computers
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I
t
e
m

n
o
.

7. Information
Flow
Excessive bureaucracy
Burdened flow
Lack of responsibility
Existing procedures and lack of
formalization
8. Legal Context Certain fluctuations are determined by
modifications emerged within the
general legal context
Political interest
3.9.2 Issues regarding the electoral process
I
t
e
m

n
o
.

Category Description Observable Causes
1. Personnel Lack of PEA representatives and of IT
specialists
Low salaries
Blocked positions
2. Fraud Infractions provisioned by the Penal
Code and Law no. 370/2004, art. 26
the most frequent:
- electoral bribe;
- multiple voting, votes from
persons without electoral rights,
introduction of several voting
ballots in the ballot boxes;
- averting from voting;
- violating the vote secrecy;
Financial motivation
Political interests
3. Logistics Breakdown of electric power lack of a
redundant infrastructure/ UPSs
Low Infrastructure
Inappropriate completion of protocols
Burdened informational flow
4. Outdated or
Misleading
Information
Publishing defamatory articles (negative
campaign)
Political Interest
Erroneous information regarding the
polling stations, without being
confirmed by the President of the
County EB and the spokesperson of the
Central Elections Bureau
5. Inter-
institutional
Lack of communication between
institutions
Incognizance of law
6. Literacy Level On average low literacy and low
knowledge towards electoral
regulations
Selection criteria for personnel
in polling stations
7. Trust Lack of transparency from the Political interest
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I
t
e
m

n
o
.

Category Description Observable Causes
standpoint of financial sources for the
electoral campaign
Lack of coordination from the financial
standpoint, regarding incomes and
expenditures of the electoral campaign
Adverse and inappropriate management
of printed materials, including
advertising materials
The voting result does not reflect the
will of the electors
8. Voting
Presence and
Motivation
Low turnout Lack of trust and interest
9. Demo-graphic
Limitations
High geographic spread, mostly in rural
areas
Large number of people living abroad
N/A
10. ICT Literacy
and Digital
Divide
Low competencies in using electronic
devices of the members of polling
stations
Lack of knowledge and access
of certain individuals
11. Legal Context Frequent regulatory changes Political interest
12. Political
Context
Political interests beyond strategic ones Political Instability and
changes in governing parties
13. Slow and
inconsistent
results
Counting errors in official reports Manual ballot counting
Handwritten official reports
Moreover the root causes of each category can be considered:
for PEA internal activity:
o Budget limitations and salaries
o Lack of personnel and of expertise
o Political interests and instability
o Bureaucracy
for the electoral processes:
o Lack of specialized personnel
o Lack of trust and interest from population
o Political interests and instability
o Bureaucracy, manual ballot counting
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3.10 Statistics Relevant to the Electoral Process
Most representative sources of information and statistics related to the electoral process
which are determined at the implementation of an electronic management system of
elections are as follows:
The Permanent Electoral Authority:
o Published studies;
o Annual activity reports per department;
o The White Paper of elections, presented to the Parliament within maximum
three months after the elections for the Chamber of Deputies and the
Senate, for the President of Romania and for the local public authorities or
for a national referendum, is a report regarding the organization and
development of elections, respectively of the referendum, comprising
references to the participation in elections, its development, violations and
shortcomings, including legislative findings and results of consultations.
The Central Electoral Bureau:
o Number of ballots estimated by the institutions of the Prefect for special
polling stations;
o Number of ballots estimated by the Ministry of Foreign Affairs for polling
stations organized abroad;
o The national situation regarding the number of electors registered in the
permanent electoral lists submitted by the National Centre for
Administration of Personal Records Databases;
o The distribution of persons entitled to vote by polling stations passed by the
National Center for Managing the Personal Records Database;
o List of stations;
o Voter turnout;
National Institute of Statistics:
o Statistical Yearbook 2009;
o Monthly Statistical Bulletin;
Association Pro-Democracy - observing elections in Romania:
o Presidential Elections 2009 - Observation Report for the 2009 Elections for
the President of Romania;
o European Elections 2009 - Observation Report of Elections for the
designation of representatives of Romania in the European Parliament;
o Parliamentary Elections 2008 - Observation Report of the Parliamentary
Elections on November 30, 2008;
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o Rules and irregularities in local elections of 2008. Report regarding the
monitoring and observation of the voting process in elections for local
authorities in June 2008;
o The first step in Europe - Observation Report on elections for designating
representatives of Romania in the European Parliament (2008);
o Observation Report on the referendum to dismiss the President of Romania
(2007);
o Elections to the limit of democracy. Analysis of the electoral process in
Romania (2005);
o Local Elections 2004;
o Magnifier on the Local Elections 2000 The General Election Journal 2000.
Institute for Public Policy
o The decline in voter turnout in Romania;
o Local Elections 2008. Inertial organization inertia, apathetic candidates,
indifferent voters;
The National Authority for Administration and Regulation in Communications:
o Semestrial reports regarding the electronic communications sector;
o Researches regarding the market of communications among end users:
Market researches regarding the evolution of the main indicators in
the electronic communications sector, for services of fixed telephony,
mobile telephony, Internet access in fixed and mobile locations, as
well as services of retransmission of television programs, in case of
end users individuals and legal persons;
Market studies regarding the behavior and characteristics of market
demand for telephone and Internet services, used to realize the
analysis of relevant electronic communications markets;
Questionnaires;
Market surveys conducted among end users - individuals, regarding
fixed, mobile telephony and Internet in October-November 2006,
respectively November-December 2006;
Market researches for defining the specific relevant retail markets for
electronic communications conducted between January-March 2004;
Council of Europe:
o Guidelines on transparency of e-enabled elections;
o Certification of e-voting systems - Guidelines for developing processes that
confirm compliance with prescribed requirements and standards;
Venice Commission:
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o Studies;
o Opinions;
o Publications;
The Organization for Security and Cooperation in Europe - OSCE / ODIHR:
o Annual reports;
o Magazines;
o Factsheets;
The Association European Election Officials ACEEEO:
o Elections in Europe
The 5th volume: Participation in electoral processes and other topics
The 4th volume: Professional education of electoral actors (2008)
The 3rd volume: National Referendum: Technical and Legal Aspects
(2007)
Special edition: Challenges of Youth Voters Education (2006)
Special edition: Global views on elections (2006)
The 2nd volume: Voter turnout & Youth participation (2005)
The 1st volume: Media& Elections, E-voting (2004)
The 6th volume - Developing accurate voter lists
o Handbooks
o Centralized web-sites
The Institute of Economical and Social Training IFES
o Training materials
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3.11 Methodology of Study
During the development of the study schedule and plan for the feasibility study, the team
met with and interviewed the PEA head of divisions. This helped to identify and assess the
past issues as well as the current initiatives and on-going efforts to improve the
management of the Romanian election process.
The team performed a review of known international issues and experiences in Election
Management and Electronic Voting. The results of this review, together with the
information gathered during interviews, helped the team to determine the main
democratic concepts and criteria to be concerned with when designing the RoEEMS.
One of the systems assesses for both what went right and what went wrong was the Texas
Election Administration Management (TEAM) system. The lessons learned from this
implementation are captured and fully documented in the Task2 deliverable attached to
this document.
The main purpose of Task2 of the RoEEMS-FS was to analyze and describe the current
Romanian electoral system process as well as the internal PEA organization processes which
is called the AsIs Process.
AsIs processes During Elections
AsIs processes Between Elections
For the AsIs Process During Elections, both a narrative and process flowchart were created
for the general election case, with elements common to all elections. Following that
description, exceptions, variances, and activities special to each type of election were
described. These include the responsibilities of all ministries and levels of the Romanian
government participating in the elections process. For the AEP, roles will be broken down to
the department level. For other ministries, they are identified at the ministry or local entity
level only.
For the As-Is Process Between Elections, only the responsibilities of the AEP are described
with a narrative description, with activities documented to the department level. Further,
we reviewed the relevant Legal-Regulatory, Policy Context, Infrastructural and Societal
Context governing the Romanian elections. We concluded the Task2 report with a list of
user needs and a set of high level EEMS requirements.
Internationally, there are institutions similar to the Permanent Electoral Authority in
countries such as: the United Kingdom, Sweden, Canada, Australia, Mexico, Texas USA, with
a tendency to be established in more and more states. In Sweden, the international
institution of similar authorities to the Permanent Electoral Authority is operating, as the
International Institute for Democracy and Electoral Assistance (IDEA).
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3.12 Administrative Processes of Romanian Elections and of the PEA
3.12.1 Functional organizational charts during elections
Supreme Court
Judges
3.12.2 Budget dependencies
Central Electoral
Commision
PEA, MIA, NIS
County Electoral
Office
PEA, NIS, Prefecture
Polling Station
Electoral Offices
Abroad
PEA, MEA, NIS
Abroad Polling
Stations
Sectoral Offices
PEA, NIS, Hall district
Bucharest
Polling Stations
Romania
Government
PEA MIA
Central Electoral
Commission
Prefectures
County Electoral
Offices
Mayors NIS STS
SGG
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3.13 Election Management Processes
The following sections describe the current Romania Election System Processes, as they
have evolved through the adoption of laws and operational procedures for each type of
election. They are constantly changing and improving however, with each new election. The
generic description of the election process was derived from:
interviews with an assortment of AEP personnel, and
a study of the detailed election calendar laws as examples of the four types of elections
that were conducted in 2008 and 2009, which are included in the appendix.
As the workload at AEP and the other ministries is perpetual, the generic Romanian Election
System Process is divided into two sections:
one covering processes and activities executed during a declared election, and
one covering processes and activities executed between declared elections.
According to Romanian law, the start of an election is the date that a Government Decision
on determining the date of the declared election is published in the Official Journal of
Romania. This starts the funding cycle for administration of the election.
This announcement also begins the During Election process period. The During Election
process period ends, and the Between Election period begins, on the date that the official
results of the election have been published in the Official Journal of Romania, the public
media, or other designated venue for the election. The Between Election period ends at
the beginning of the next During Election period. Sometimes, these between elections are
very short, as when a partial election is ordered due to special circumstances like the death
of an elected official.
3.13.1 As-Is Romanian Election System Process During Elections
Generally, there are four types of declared elections:
Presidential - to elect the President of Romania
Parliamentary - to elect members of the Chamber Of Deputies and the Senate
Local - to elect local Public Administration Authorities
European Parliament - to elect Romanian members of the European Parliament
The election periods for these types of elections generally do not overlap. Multiple offices
may be on the ballot for all but the Presidential election.
3.13.2 Generic Election Process
For discussion of the As-Is process for Romanian Elections, a description of the various
agencies and people who play an important role in the election process are described,
followed by discussions of the processes followed, and process maps depicting the flow of
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activities through the various levels of government, across all participating ministries. Not
all of these ministries/agencies/agents are involved in all 4 types of elections.
In other cases, there is an office that basically performs the same function but is identified
by a different name depending on the election. But generally, we have fully represented the
activities, roles, processes, and work products that have evolved in Romania for the
conduct of elections. It is a continuing journey.
3.14 Roles and Responsibilities
Permanent Electoral Authority (AEP)
The PEA is the primary control and monitoring agency for elections in Romania. The PEA is
responsible for overseeing the provision of all the necessary logistics and systems for
carrying out elections in Romania, as well as for developing strategies to improve the voting
process, and providing technical support to the County and Central Election Bureaus to
ensure that all results are correct and properly reported. The departments within the PEA
to perform their duties are shown in the organization charts in section 2.2.2, and are
further discussed in section 2.4.4.
National Institute of Statistics (NIS)
The Institute provides a number of statisticians, computer data processing specialists,
technical support staff, and computer systems used for monitoring, to carry out all the
technical operations for establishing results. They train workers in each of the county
locations. They also provide 2 technical support staff for each bureau that receives election
results from the polling stations, and then submits the results to the Central Election
Bureau. This agency also provides, together with the PEA, technical support to the Central
Election Bureau to ensure all results are correct and properly reported.
Ministry of Administration and Interior (MAI)
The Ministry, together with the PEA, recommends the model of the stamps, control stamps,
ballots, calendar for election, model copy of the permanent list of electors, model of
various tables, and candidates papers. They establish measures for maintaining and
ensuring public order in all localities of the country during the election. They ensure the
security of the polling stations and the papers and reports of the election being transported
from one bureau to the next. The ministry is responsible for the printing of the ballots in
some elections as well as the stamps and the distribution of such supplies through the
prefects.
The Ministry distributes to the prefects the budgets for fulfilling their duties for the
election. They also provide for the operation and equipment of the Central Election Bureau
through their budget. The Ministry provides and pays for the printing paper to be used for
printing of the ballots. This paper is obtained from the National Administration of State
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Reserves. They also pay for the printing of the ballots. The Ministry pays for the
manufacturing of the VOTED stamps, the stickers for the identification cards of voters.
The Ministry shall distribute the stamps, the ballot papers, electoral tables and stickers to
the prefect or agency of the mayor and the presidents of the county election bureau, and to
the president of the election bureau for polling stations abroad.
For budget discussions, these responsibilities of the Ministry were taken from the election
of the President of Romania. For other types of elections, the budget distribution may be
different.
Ministry of Foreign Affairs (MAE)
The Ministry of Foreign Affairs is responsible for organizing and numbering the polling
stations abroad and publicizing the numbering of each polling station abroad and the
venues where the voting is to take place. They also provide for the security of the polling
stations abroad, as well as the materials and ballots needed for the conduct of the election.
This information is posted on the Ministrys webpage and on the webpages of diplomatic
representatives. The Ministry provides for the control stamps for polling stations abroad.
The Ministry pays for all costs related to the election from their budget.
The Ministry makes proposals to the PEA for the accreditation of foreign observers as well
as of the foreign media delegates.
Special Telecommunications Services (STS)
For an election, this agency provides the special communication services and equipment,
renting it from public operators of infrastructure, elements for communication services, for
creating specific applications and for operating the data gathering system regarding the
participation at the polls needed by the CEB, the CEJ, the district bureau of Bucharest, and
the bureaus for polling stations abroad. This agency pays for telephone lines, local data
communication connections for special telephony and data communication services
required by the bureaus, and the amounts needed to organize a computer system for
determining voter turnout on Election Day.
General Secretariat of the Government (Genl Secy)
The General Secretariat provides the headquarters of the CEB through the agency of
Ministry of Culture, Religious Affairs and National Heritage. The Secretariat also provides
for the budget of the National Institute of Statistics.
Other Agencies, Ministries, or Branches of the Ministries
Central Technical Commission (CTC)
The commission consists of the President, Vice-Prime Minister, and Minister of
Administration and of the Interior, and various other members of the government and
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Ministries that have some responsibility in the election. The central technical commission
oversees all aspects of the election process and reports to the Government on the progress
of the planning and various stages of the upcoming elections. The design of the commission
is found in the published decision of the government for each election.
County (Judete) Technical Commission (JTC)
The commission consists of the county prefect and the sub-prefects and other agencies that
have a responsibility in the election. This group reports to the central technical commission
on a regular basis. The formation of the county technical commission is found in the
published decisions of the Government for each election.
3.15 Election Processes During an Election
The flow of the processes executed During an Election includes the following steps each
one is more fully described in the Task2 deliverable attached to this document.
ORDERING THE ELECTION
ELECTION BUDGET PROCESS
POLLING STATIONS PROCESS
ELECTION MATERIALS PROCESS
o Electoral Lists of Voters
o Stamps control of voted stamps
o Ballots And Other Items
Election Bureaus Process
o Central Election Bureau (BEC)
o County-Level Electoral Bureaus
o 1-County Electoral Bureau (BEJ) / 2-Bureau of the Constituency
o Electoral Bureau for District of Bucharest (EBDB)
o Elector Bureau for Polling Stations Abroad (EBPSA)
o Electoral Bureau of Polling Stations (EBPS)
Voting Processes
o Pre-Election Day Processes
o Election Day Processes
o Election Day Process Special Ballot Box
Counting Ballots
o EBPS Counting and Certifying Process
o BEJ Counting and Certifying Process
o BEC Counting and Certifying Process
o Tabulation of Unofficial Votes and Reporting Estimated Turnout by Means of
Technology
Observation of Elections
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3.15.1 PROCESS MAPS
To accompany and illustrate the process narratives above, process maps were created
depicting a role interaction network of the generic election process in use in Romania.
For further details on these process maps see the attached Task2 Deliverable.
3.15.2 Variances for the Four Types of Elections
For the four different types of elections, the exceptions, variances, and activities special to
each type of election are described in this section. These include responsibilities of all
ministries and levels of the Romanian government participating in the elections process. For
the AEP, roles will be broken down to the department level. For other ministries, they will
be identified at the ministry or local entity level only.
There are four types of elections that may occur:
Presidential
Parliamentary
Local
European Union - Parliament
The following table represents a summary of the major differences between the
four types of elections.
Category Presidential Ro. Parliament EU Parliament Local Elections
Order of Election 45 day 90 days 90 days 75 days
Candidate filing deadline with
central election bureau
30 day 60 days
Candidate filing deadline with
electoral bureau of
constituency
40 day 40 days
Total budget appropriation (in
thousand lei)
151,932 100,000 98764 66,000
PEA budget (in thousand lei) 9,828 3,841 5,447 465
Terms of office 5 years 4 years 5 years 4 years
Uninominal election yes Mayor, President of county
Majority election yes Mayor
Plurality election President of county council
Proportional voting Distribution of
mandates allocated by
proportional
representation un a
uninominal college
D'hondt method Council mandates
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Category Presidential Ro. Parliament EU Parliament Local Elections
Use of special polling locations yes Yes
Members of CEB other than
judges and PEA
10 of political
party or political
formation
12 of political party or
political alliance
10 of political
party or alliance
7 judges of High court (rather
than 5) and 11 members for
political parties or alliance
Use of complementary list of
Electors
yes
Special lists of Electors
(community voters)
Yes
Additional lists of voters referred to as a
table
yes yes yes
3.16 As-Is Romanian Election System Process Between Elections
This section describes the ongoing AEP processes Between Elections that are
declared by the government. They are described for functions performed by the AEP
(only). Other ministries may also participate.
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2.4.3.1 Generic Election Process - During Elections, As-Is
0-High-Level Process View
AEP BEJ BEC MAE INS
0 - Govt
Decision to
Set Election
Date
2-Polling
Station
Process
3-Election
Materials
Process
4-Election
Bureaus
Process
6-Election
Day
Voting
Process
Between
Election
Process
Entry Point
VisioDocument
Offical
Gazette
Publication
Ballots
Training
6/7/2011 6:03 PM
STS
Runoff
Needed?
N
Y
Elected
Officials
Start/Stop
Hi-Level Process (column is Leadership Role)
Process Step (column is Leadership Role)
Column Indicates Contributor Role to Process
Process Step Output Document
Database
KEY
Prefecture
City
Hall
Polling
Station
Voter
Stamps
Protocol
8-Post-
Election
Day -
Counting &
Certifying
Process
Court
Candidates
X X
X X X
X X X X X X X
X X X X
X X
1- Election
Budget
Process
X X X X
Budgets
Election
Dept.
X
Genl
Secy
X
X
X
X
Delimited,
Secured,
and
Numbered
Polling
Station
Locations
X X X
Exit Point
Funds
Updated
Voter
Lists
Certified
Voting
Results
Ministry of Administration and Interior
5-Pre-
Election
Day
Voting
Process
Secured
PS
Voted
Ballots
X X X X X X X X X
X
7-Observers &
Reps per Law,
approved by
Appropriate
Organization:
Internal Reps from
Media & Non-Govt
Orgs
External Reps
External Observers
Media
X
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3.16.1 Logistics
MAIN DUTIES
1. Logistics for conduct of future elections
2. Creating and submitting schedule of elections
3. Plan for security regarding polling stations and ballot papers
4. Ensuring funds for replacement of logistics
5. Keeping lists of vacancies for future elections
SECONDARY DUTIES
1. Creating and monitoring budget for AEP.
2. Adopt decisions and rules regarding the conduct of elections.
3. Creating or enhancing election laws.
4. Creating drafts for expenditures regarding elections.
5. Approval of seats for various election boards.
6. Post-Election report to Parliament and President.
7. Creating or enhancing training materials.
8. Approval of seats for President and Vice-President of polling stations.
For further details on this topic see the attached Task2 Deliverable.
3.16.2 Campaign Finance
MAIN DUTIES
1. Prepares annual plan for controlling the financing of political parties and campaigns
2. Proposes sanctions in response to campaign violations
3. Elaborates proposals on improving control of political financing
4. Performs annual inspections according to the objectives of the plan
5. Carries out inspections regarding suspicions of violations and publishes results
SECONDARY DUTIES
3. Creating and monitoring budget for PEA.
4. Calculates monthly public subsidies for political parties.
5. Approval of seats for various election boards.
6. Post-Election report to Parliament and President.
7. Prepares annual report regarding AEP activity.
9. Approval for seats for polling stations.
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3.16.3 Legal
MAIN DUTIES
1. Conduct research and evaluations for the improvement of elections
2. Adopt decisions and rules regarding the conduct of elections
3. Creating or enhancing election laws
4. Monitors the submission for approval all draft laws by other Ministries
SECONDARY DUTIES
1. Prepares the annual plan for controlling the financing of political parties and
campaigns.
2. Proposes sanctions in response to campaign finance violations.
3. Elaborates proposals on improving control of political financing.
6. Post-election report to Parliament and President.
3.16.4 Budget and Human Resources
MAIN DUTIES
1. Creating and monitoring budget for AEP
2. Calculates monthly public subsidies for political parties
3. Creating drafts for expenditures regarding elections
SECONDARY DUTIES
1. Proposes sanctions in response to campaign finance violations.
4. Organizing bids for election computer software.
3.16.5 Regional Branches
MAIN DUTIES
Duties from other departments to Regional Branches:
1. Logistics for conduct of future elections
2. Plan for security regarding polling stations and ballot papers
3. Insuring funds for replacement of logistics
4. Keeping lists of vacancies for future elections
5. Elaborates proposals on improving control of political financing
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6. Performs annual inspections according to the objectives of the campaign finance
plan
7. Carries out inspections regarding suspicions of violations and publishes results
8. Adopt decisions and rules regarding the conduct of elections
9. Creating or enhancing election laws
11. Creating drafts for expenditures regarding elections
12. Prepares and exercises programs for illiterate or disabled voters
13. Monitoring procedures regarding delivering of the voting cards
14. Creating or enhancing materials for voters
15. Approval of seats for various election boards
16. Post-Election report to Parliament and President
17. Prepares annual report regarding AEP activity
18. Creating or enhancing training materials
19. Approval of seats for polling stations
3.16.6 Foreign Relations
MAIN DUTIES
1. Prepares English version of AEP website
2. Prepares and submits foreign relations plan
SECONDARY DUTIES
3.16.7 Studies and Monitoring
MAIN DUTIES
1. Creating or enhancing studies of the election process
2. Prepares and exercises programs for illiterate or disabled voters
3. Monitoring procedures regarding delivering of the voting cards
4. Prepares informational report regarding elections for voters and other interested
parties
5. Monitoring procedures for permanent electoral roles
6. Approval of seats for various election boards
7. Post-election report to Parliament and President
9. Creating or enhancing training materials
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10. Creating or enhancing materials for voters
11. Approval of seats for polling stations
SECONDARY DUTIES
4. Organizing bids for election computer software.
5. Certifying the computer program for use in elections.
3.16.8 Electoral Statistics
MAIN DUTIES
1. Formulates proposals for updating uninominal college
2. Ensuring the process to synchronize voter rolls between town halls and the courts
SECONDARY DUTIES
4. Post- election report to Parliament and President.
3.16.9 Communications and Public Relations
MAIN DUTIES
2. Prepares informational report regarding elections for voters and other interested
parties
3. Post-election report to Parliament and President
3.16.10 Information Technology
MAIN DUTIES
1. Organizing Bids for election computer software
2. Certifying the computer program for use in elections
3. Maintain AEP website
4. Creating list for centralization personnel
SECONDARY DUTIES
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4. Prepares English version of AEP website.
3.17 Determine Needed Functionalities for RoEEMS
We describe here the major functionalities and requirements omitted and/or needed to
implement an electronic election management system in Romania according to our
analysis. It served as a starting point and partial outline for the Feasibility Studys next
deliverable in Task 3.
To recap, the general purpose of the project is to study the feasibility of automating every
aspect of electoral operations with the specific aims of reducing risks and costs, of
maximizing productivity, of increasing efficiency, of enhancing transparency and of
standardizing the election workflow.
What follows is the description of the general requirements of an electronic elections
management system and other additional solutions that should be integrated in order to
optimize both electoral processes and PEA internal activity.
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The benefits of electronic electoral systems
Electronic electoral systems offer multiple advantages over traditional paper-based voting
systems reflected in the increased access of citizens to democratic processes and in
encouraged participation:
Reduced costs Electronic electoral systems reduce the materials required for
printing and distributing ballots. Internet-based voting, in particular, offers superior
economies of scale in regard to the size of the electoral roll:
Increased participation and voting options - Electronic electoral offers increased
convenience to the voter, encourages more voters to cast their votes, and increases
the likelihood of participation for mobile voters. Additionally, it permits access to
more information regarding voting options;
Greater speed and accuracy placing and tallying votes - Electronic electoral helps to
minimize the number of miscast votes. The electronic gathering and counting of
ballots reduces the amount of time spent tallying votes and delivering results.
Greater accessibility for the disabled - Because they support a variety of interfaces
and accessibility features, electronic electoral systems allow citizens with
disabilities-especially the visually impaired-to vote independently and privately.
Flexibility Electronic elections can support multiple languages, and the flexible
design allows up-to-the-minute ballot modifications.
From the conducted analysis and interviews, key aspects regarding the electronic electoral
system are the following:
Ensure vote secrecy and privacy
Electoral integrity & data accuracy: include security measures and independent
environments to prevent malicious interferences from anyone, including hackers
(external attacks) or system administrators with privileged access (internal attacks);
Auditability: record any action in special encrypted and digitally signed files to
detect and identify any manipulation attempts;
Flexibility: the possibility to adapt to any electoral legislation and formats in order
to better overcome electoral barriers and constraints;
Results recording and consolidation: centralize the results provided by the polling
stations, from different voting channels (such as poll-site voting (paper or
electronic), postal voting or even Internet voting) and allows to consolidate
provisional and final data;
Moreover, the following key functionalities regarding electronic elections should be also
addressed:
Integration with the voter registration system
Candidate and political party management
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Ballot generation
Polling place and voter list management
Poll worker management
Generating graphs and post-electoral analysis
Multichannel dissemination (real-time online and through mobile devices)
On the other hand, additional components, besides the electronic election management
system, are required for optimizing both PEAs internal activity and the electoral
processes:
An electronic document management solution, including a knowledge management
component focused on legal and regulatory changes;
A centralized incident management solution for reporting and prioritizing incidents,
with resolution history;
A video-conferencing solution, enabling easy communication between PEA
headquarters, branches and other places of interest;
An asset management solution centered on the electoral process with 2 main
components: human resources (Bureau Membership, BEC, BEJ, polling stations,
similar to a CRM solution) and equipment; for example, for polling stations the
following factors might be taken into consideration: Locations (ID Number, Address,
Contacts, Election History), Logistics (Booths, Ballot Boxes), Voting Apparatus
Integration (Programming, Calibration, Maintenance, Security);
A project management solution customized on monitoring election tasks; besides
the election calendars, this component will include an Election Calendar Calculator
and a Runoff Calendar Calculator;
A Portal integrating:
o External perspective: general description of electoral processes, results,
statistics, general information, legislature and dedicated sections for external
users and institutions (that include basic document management facilities):
Voting History: Electronic Pollbook, Election Day Voter Lookup at
Polling Station by Public, Voter History record of moves and
jurisdiction changes, Election History record of election
participation;
Political Parties Management including the possibility of uploading
requested data and scanned documents; besides building and
electronic archive of all reported data, this section will allow
administrators to generate reports and balance sheets
o Internal perspective: integration with the document management and
incident management solutions and a collaboration component (ex. chat,
mail, Q&A sections, wikis);
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o E-learning module focused on:
employee training (procedures and regulations, use of informatics
systems, applications) and assessment;
electoral officials: legislative and procedural;
general public: electoral awareness;
o Geographic Information System with the following minimum layers:
L1: Geographic and Administrative
L2: Traffic and physical addresses
L3: Communications backbone, VPN tunnels, ISP coverage, IP
addresses, traffic capabilities;
L4: Constituencies / Colleges
L5: Polling Stations
L6: Population: domicile and, separately, INS statistics from census;
L7: Integration with asset management solution;
Alert management solution of all incidents and monitoring alerts, including email
and SMS facilities;
A dedicated call center during different elections;
General ERP components - should be defined after all PEA internal processes are
formalized; examples include, but are not limited to:
o Campaign Finance
Electronic Filing
Inspection Tracking
Violation Tracking
o Election Budget Submission
Ministries
Agencies
Prefects
Mayors
o Inventory
o Election Supplies
Ballot Quantity Calculation (Manual or Automated)
Ballot Ordering (Polling Station by Polling Station)
Poll Book Generation
Supplemental Poll Book
Stamp Ordering
Moreover, based on the interviews and the observed facts, the following recommendations
and improvements should be taken into consideration:
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IT&C asset management and monitoring, with a centralized solution for deploying
updates and patches;
Due to the lack of specialized IT&C personnel, it is recommend to adopt one of the
following solutions:
a. Employ qualified and experienced personnel; this option is limited because of
the low salaries in the public sector and of the blocked positions within PEA;
b. Develop a framework agreement with a consultant for providing permanent
support to PEA regarding all IT&C aspects: tenders, testing and acceptance,
security, maintenance and support;
Deployment of a centralized user management infrastructure (Active Directory and
Certification Authority);
Rebuilding the entire network infrastructure;
Datacenter modifications: fire prevention, intrusion detection system, energy
stabilizer, increased equipment autonomy: at least 4h at medium load for all servers
and A&C climate achieved by extending UPS capabilities or by installing an electrical
generator;
Disaster Recovery site with corresponding procedures;
Centralized and automated backup solution;
Installment of physical access controls and of video surveillance;
Fire protection installation for paper archive;
A dedicated print center for high amount of prints;
Outsourcing maintenance services and equipment for simplifying infrastructure
administration;
Alignment with ISO 9001, ISO 27001 and ISO 20001 standards.
From another perspective, cultural change management should also be in place and
programs and collateral should support the implementation of the EEMS, including:
Pre-Implementation Cultural Assessments of Attitudes and Beliefs of EEMS:
o Internal Romania
o External Romania
Research on Success or Failures for Similar Large Cultural Changes in Romania:
o Democracy
o Electronic banking
o Personal Computers
Change Management Program:
o Media Campaigns, Focus Groups
o Awareness, Education, and Personnel Training
Post-Implementation Cultural Assessments of Attitudes and Beliefs Towards EEMS
Implementation:
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o Internal Romania
o External Romania
4 Synopsis of Task3 Deliverable Functional Requirements
Assessment
In the previous task, we identified the high level EEMS needed functionalities. In Task 3, we
performed a more detailed analysis identifying the system and application architecture, and
defining the main functional requirements of an integrated election management system
that will increase the efficiency of managing Romanian local and national elections.
The main purpose of the projects Task2 was to describe the current Romanian electoral
system processes as well as the internal PEA organization processes which were called AsIs
Process. In Task3, we have developed the To Be Process based on the EEMS architecture
and functionality. The To Be Process diagrams, actions and workflows represent a high
level system design which can be easily used as input to a process modeler tool allowing an
easier and faster solution implementation.
This document is a Technical Analysis Report and includes:
RoEEMS Project concept
EEMS Requirements analysis and design criteria
Alternatives to most of the system components
System architecture, including a data architecture
Prioritization of the core modules and functionalities
Concept of system operation
System specifications
Estimated Cost
Project Concept
The Romanian Permanent Electoral Authority (PEA) must address several deficiencies in the
current Romanian electoral process. In particular, allegations of fraudulent or suspicious
voting cases have been reported by the media and watchdog organizations, and have
become a major political issue.
Key issues include:
paper-based voting lists that do not permit the PEA to prevent multiple or
illegitimate votes from being cast;
paper-based vote counting processes that are not transparent or timely, and ad-
hoc election planning that results in inefficient resource utilization.
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Areas the PEA is currently examining to improve the electoral administrative process
include:
Developing an electronic electoral register (database) of citizens with the right
to vote and a means to effectively guard against multiple voting and other types
of illegal voting (such a database is mandated by the European Union);
Improving the vote casting/counting process by means of electronic voting, to
make vote counting faster and more reliable, while improving transparency;
Developing a call center for technical and administrative support of the electoral
process;
Improving training and communication among the personnel involved in the
electoral process, possibly by means of e-Learning and Portal functionalities.
Developing a remote voting functionality for citizens living abroad.
The objective of this project is to provide the PEA with a Romanian nationwide, election
laws compliant, Electronic Election Management System. Our feasibility study solution
brings together a rich set of services, applications, data, and infrastructure to meet this
objective.
It is our experience that proposing a technical methodology as an integrated package
approach, of processes and functions of Commercial off-the-shelf (COTS) and custom
development software will provide value-added benefits to the overall EEMS software
development life cycle.
At a technical level, this project will help the PEA determine its national-level EEMS needs,
including hardware, software, GIS, a Relational Database Management System, network
management tools, security solutions, and communications equipment.
The EEMS project will improve the technical and institutional capability of the PEA, leading
to significant efficiency and effectiveness gains to the electoral process. It will decrease
fraudulent and other illegal voting, create a faster and more reliable tabulation process,
improve administrative and technical capacities, and will also allow for real time monitoring
of the election process.
In addition, the successful implementation of the EEMS will considerably improve the
experience of Romanian citizens with the voting process and build a higher level of trust in
election results.
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4.1 EEMS Architecture and Functional Requirements
4.1.1 High Level Business Architecture
Figure 1 below depicts the main functional modules identified during Task 2 as being
relevant to the overall EEMS Architecture. Besides grouping the modules on the 2 main
types of PEA specific activities (operational and during elections), the diagram also classifies
the modules based on the urgency of implementation in: critical, important and needed.
An important aspect that needs to be presented resides in the fact that all operational
specific modules will also play a support function during election, granting specific
functionalities for an efficient process management and coordination, but also
transparency of decisions / process and effective dissemination of results.
Figure 1 EEMS High Level Functional Architecture
EEMS
CORE
Critical Important Needed
Operational
Security & Audit
Election Audit
Election
Monitoring
Institutional Audit
Institutional
Monitoring
E-Learning Platform
- employee training:
* procedures and regulation
* informatics systems & apps
usage
* assessment
- electoral officials:
* legislature and procedures
- general public
* electoral awareness
Project Management
- Internal projects management
- Monitor election tasks
- Calendar
Web Portal & Integration
Component
EEMS
ERP
Asset management
Election Inventory &
Supplies
Campaign
Finance
Election Budget
Submissions
HR CRM for Bureau Memberships,
BEC, BEJ, Polling Stations Presidents
Internal
Inventory
1
n
...
Call Center
User Management
- LDAP
- PKI
Voter Registration System
- Identification and authentication
of voter
- Electoral register*
Election Configuration
- candidate and political party
management
- ballot generation
- polling place and voter list
management
- poll worker management
- election contestation and
resolution
Electronic Voting System
- Voting platform
- Presentation of voting options
- Selection of voting options
- Confirmation of voting options
- Casting the vote
- Cast ballot verifiability
- Close voting process
Election Night Reporting
Collaboration
- Internal chat
- Mail
Electoral Data Records
Management System
Knowledge Management
- Legal and Regulatory Changes
- Voting History
- Statistics & Reports
- Evolution & Trends
Operational Management System
- incident management
- service desk
- resolution history
- automatic prioritization
Video Conferencing
- Connection between PEA HQ and
regional branches
- Integration with other existing
solutions / institutions
Document Managament
Information Workflow
GIS
- L1: Geographic and Administrative
- L2: Population: domicile and, separately, INS
statistics from census;
- L3: Traffic and physical addresses
- L4: Constituencies / Colleges
- L5: Polling Stations
- L6: Communications backbone, VPN tunnels,
ISP coverage, IP addresses, traffic capabilities;
- L7: Asset distribution and mapping
HR CRM for
Institution
1
n
...
Unified Security Solution
Results Consolidation
Mandates
Assignment
Vote
Counting
Results
Consolidation
Reporting
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Figure 2 Alternative EEMS Functional Architecture
EEMS Portal
GIS
- L1: Geographic and Administrative
- L2: Population: domicile and, separately,
INS statistics from census;
- L3: Traffic and physical addresses
- L4: Constituencies / Colleges
- L5: Polling Stations
- L6: Communications backbone, VPN
tunnels, ISP coverage, IP addresses, traffic
capabilities;
- L7: Asset distribution and mapping
Electoral Data Records
Management System
Knowledge Management
- Legal and Regulatory Changes
- Voting History
- Reporting
- Analysis and Trends
Information Workflow
Operational Management
System
Incident
Management
Service Desk
Knowledge
Management
User
Interface
Collaboration
- internal chat
- e-mail
Video Conferencing
- Connection between PEA HQ
and regional branches
- Integration with other existing
solutions / institutions
Electronic Election Management System
Election Specific
ERP
Asset management
Internal
Inventory
Election Inventory &
Supplies
Voter Registration System
- Identification and authentication of voter
- Electoral register*
Electronic Voting System
- Voting platform
- Presentation of voting options
- Selection of voting options
- Confirmation of voting options
- Casting the vote
- Cast ballot verifiability
Call
Center
- candidate and political party management
- ballot generation & voter list management
- polling place & poll worker management
- election contestation & resolution
- calendar
- monitor election tasks
Mandates
Assignment
Vote
Counting
Results
Consolidation
Reporting
Security & Audit
Unified Security
Solution
Audit Monitoring User Management
Election Night Reporting
Document Management
E-Learning Platform
* informatics systems & apps usage
* assessment
- general public
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Figure 3 presents the same functional modules as Figure 1, but breaks down the
architecture on the 3 main layers of the elections process: central level (BEC), branch or
regional level (BEJ) and polling station level.
Figure 3 Hierarchical EEMS core model
Data
E
l
e
c
t
i
o
n

A
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d
i
t
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l
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M
o
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i
t
o
r
i
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g
U
s
e
r

M
a
n
a
g
e
m
e
n
t
Central Voter
Registration
Direct Recording Electronic
(DRE) / Scanner
Voting Mechanism
Election Night
Reporting
Mandates Assignment
Nationwide Results
Consolidation
Central Level
(BEC)
Branch / Regional
Level (BEJ)
Polling Station
Level
Vote
Counting
Regional Results
Consolidation
STS dedicated lines / Internet connectivity
Call Center
Electronic Voting
System
EEMS Portal
Voter
Identification
Local Voter List
Regional Voter
Registration
Voter Registration
System
Vote
Counting
C
o
l
l
a
b
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r
a
t
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A
s
s
e
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M
a
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STS Partial Mesh Communications Backbone
Reporting
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In addition, Figure 4 presents a user-centered model, with functionalities grouped around
the main user categories: citizens, PEA internal and other institutions involved in the
electoral process.
Figure 4 User Centered Model
The complete Task3 Functional Requirements Assessment document, attached to this
document, provides a fine-grain description of each of the requirements named in this
summary.
4.2 EEMS Core Functionalities
This section identifies the functional requirements needed to implement an electronic
election management system in Romania according to the analysis performed during Task
2. To recap, the general purpose of the project is to study the feasibility of automating
every aspect of electoral operations with the specific aims of reducing risks and costs, of
maximizing productivity, of increasing efficiency, of enhancing transparency and of
standardizing the election workflow.
Therefore, this chapter describes the functional requirements of an electronic elections
management system and other additional solutions that should be integrated in order to
optimize both electoral processes and PEA internal activity.
E-Learning Platform
* informatics systems & apps usage
* assessment
Project Management
Content Management
Operational Management System
Video Conferencing
GIS
Public User - Citizen PEA Internal
Other institutions involved
in elections
Full ownership of Collaboration E-Learning Platform
- electoral awareness
E-Learning Platform
- general public
Limited Project Management
Functionalities
Partial Access to Collaboration Suite
and Limited Access to EDRMS
resources
Integration with Video Conferencing
Incident Reporting
Limited Access to GIS layers
EEMS Core
Inspection of limited ERDRMS
resources
PEA ERP Module & Asset
Management
Institutional Specific ERP
Critical Important Needed
Electoral Data Resource Management
System
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Additionally, by merging and concentrating multiple international standards, the EEMS
must meet the following requirements:
preserves the secrecy of the ballot;
is suitable for the purpose for which it is intended;
operates safely, efficiently, and accurately and complies with the error rate
standards of the voting system standards;
is safe from fraudulent or unauthorized manipulation;
permits voting on all offices and measures to be voted on at the election;
prevents counting votes on offices and measures on which the voter is not entitled
to vote;
prevents counting votes by the same voter for more than one candidate for the
same office or, in elections in which a voter is entitled to vote for more than one
candidate for the same office, prevents counting votes for more than the number of
candidates for which the voter is entitled to vote;
prevents counting a vote on the same office or measure more than once;
capable of providing records from which the operation of the voting system may be
audited.
Regarding the proposed EEMS architecture, the main requirements for using an electronic
system in Romanian electoral processes are:
Trust from all the stakeholders;
User-friendliness;
Accessibility
Availability
Scalability
Flexibility
When defining requirements for such a solution, three main components must be taken
into consideration:
The legal and administrative requirements
The requirements about the technology that would be used
The requirements about the professional services to be provided by the supplier to
support PEA in the electoral process.
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4.3 Electronic Voting System Design Alternatives
High level descriptions of the design alternatives are provided here and the full description
can be found in the attached Task 3 deliverable.
A Direct-Recording Electronic (DRE) voting machine records votes by means of a ballot
display provided with mechanical or electro-optical components that can be activated by
the voter (typically buttons or a touch screen); that processes data by means of a computer
program; and that records voting data and ballot images in memory components. After the
election it produces a tabulation of the voting data stored in a removable memory
component and as printed copy. The system may also provide a means for transmitting
individual ballots or vote totals to a central location for consolidating and reporting results
from precincts at the central location.
An alternative to a direct-record electronic voting machine is to use the optical scan
system, which is a paper-based system with marking pencils. In this system, there are
several ways to configure the process. In most cases, each polling station is equipped with
an optical scan machine. Each voter will deposit his or her ballot directly into the scan
machine. If there is an over-vote, the machine will notify the voter and he/she can take the
opportunity to obtain a second ballot to correct the mistake or chose the option to accept
the ballot as is.
There is an option that can be turned on that will notify the voter that there is a race that
has not been voted. Many times, voters do not vote their down ballot and therefore,
there is usually a blank vote. If the option to notify the voter of an under-vote on their
ballot is active, this notification may slow the process down in the polling place.
An alternative to setting up voting at Embassies is to provide voting by mail for Romanian
citizens. These citizens would apply for a ballot with the Mayor of their residence. They
would be required to send all proper information to identify the person including a copy of
their unique issued identification card. The ballot would be required to be returned to the
jurisdiction no later than 9:00 pm on election day so those votes could be included in the
unofficial count.
The application for a ballot by mail would also have the voters signature on the request.
The voter would also sign his signature on the envelope used to return the ballot. There
would be a group of people, same type of qualifications of workers at the polling stations,
to compare the signatures on the application and the envelope to determine it is the same
person.
These ballots could be regular paper ballots or optical scan ballots that could be loaded into
the scanner once the ballot was qualified. This option must be approved by the Ministry of
External Affairs and must be included in the electoral law as a viable alternative for voting.
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There has been a new practice in the United States that allows vote centers to be
established in elections. There are different requirements for these vote centers depending
on the election laws and the type of election. The concept for this process is to reduce the
number polling stations established for the election and it also allows all voters in the
jurisdiction to vote at any location on Election Day. For this process to work most
efficiently, a DRE system is necessary as well as real-time online voter registration. The DRE
is necessary in case there are different vote choices depending on the jurisdiction the voter
lives. Online voter registration will prevent voters from going to multiple locations and
voting because the election worker would have information automatically that the voter
voted at another location.
Further, we present other existing alternatives for voting:
For telephone voting, voters call an unpublished phone number provided by the election
official conducting offsite voting for Romanians living outside the country. Voters will
securely authenticate themselves providing unique identification number, provide other
secure numbers and other information such as birthdates that could clearly prove the
person attempting to vote via internet is in fact a qualified voter.
Internet voting has the same type of qualification of voter as telephone voting. This system
will be secure and provide an end-to-end data encryption at all times and provide the
secrecy of both voter identity and his/her voting preferences.
The use of fax machines to deliver ballots to voters and return ballots to the election
officials has been used for several years in the United States. The argument is that fax is not
readily available to voters who may be serving in the military in a combat zone. The other
argument is to return a ballot by fax, the voter is giving up his secrecy of his vote. However,
the mail delivery service is many remote areas do not afford time to return the marked
ballot in a sealed envelope via mail.
4.4 EEMS Process and Information Flows
ORDERING THE ELECTION
This is the starting point for the During Elections processes and is the same for both As Is
and To Be processes. The Government determines the election date by decision for all 4
types of elections.
1-ELECTION BUDGET PROCESS
Once the budget has been authorized by government decision, the departments in all
concerned ministries prepare draft budget proposals, which are collected at the ministry
level, and are submitted, to the Finance minister. When the approved budgets are received
at the ministries, funding requests can be submitted. Upon receipt of funds, each ministry
can execute the processes they perform for each type of election.
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In the PEA, the IT department can begin negotiations or procurement with vendors for the
purchase of software and technical services necessary for the election.
The time frame for purchasing software for programming, notifying the parties of the
software, certifying the software prior to the election, and testing the software before the
election, is a very short time frame. The software must summarize the data, provide
reporting services, and calculate algorithms, accurately and quickly.
If in the As Is process the IT department usually is on a rush as 20 days after receiving the
software is not enough to analyze and develop the programs, in the new To Be Processes
this task will be easily handled within a couple of days.
To Be Process All members of the government needing to submit preliminary budget for
an election can submit these preliminary budgets within the EEMS system. These
preliminary budgets, after submission, can be routed to the appropriate approvers at each
step while keeping submitters apprised of the progress of their submission including
approval or reductions to the budget.
2-POLLING STATIONS PROCESS
This process is generally about readying the thousands of polling stations for use in an
election. The first step is to identify and number them. Romanian law describes the
population requirements of polling stations as well as the distance between polling
locations and their establishment in the communes, villages, towns, and municipalities of
Romania. Generally, the polling station locations are in schools and other public buildings,
and are used in all elections in the territory unless the location is unusable. The mayors, in
general, determine the polling locations to be used in elections. The prefects number the
polling stations, report that information to the PEA, and advertise the polling station
locations to the public.
To Be Process The EEMS system can assist in the polling stations with regard to assigning
tracking numbers and, with the help of GIS system, locating and tracking the actual
locations of current and prospective polling locations.
Change management on the system can also be instantaneous. When a polling location is
changed at the local level all pertinent parties would be updated via e-mail or system
notification.
3-ELECTION MATERIALS PROCESS
This process is generally about readying all the necessary materials needed to run an
election, which include Ballot Formats, Lists of Voters, Control and Voted Stamps, and other
items.
Electoral Lists of Voters
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The lists required for an election include:
the permanent list;
the complementary list;
the special list;
the additional list of electoral voters.
Copies and extracts of those lists are prescribed by proposal of the PEA, and from adoption
of the Government by decision. Not all lists are applicable for all elections.
For all elections, the Mayors of the municipalities, towns, villages, and communes have the
responsibility to keep the electoral rolls. Citizens register with the police when they move
to a municipality, town, commune, or village, and the sheriff then gives the information to
the mayor. The mayor sends the data to the National Register of Persons who enters the
data and keeps national records. The National Centre for Managing Databases processes
the voters included in the National Register of Persons records, then publishes and sends to
the Mayor a revised permanent list of electors for the election. These lists are provided free
of charge. The mayor uses other resources such as death certificates, marriage license, birth
records, and various court documents to maintain the accuracy of the permanent rolls.
Once a corrected list is received from the National Register of Persons, the list is signed by
the mayor and secretary of the administrative-territorial unit, by the head of the county
community public service of persons records, and by the head of the territorial structure of
the National Centre for Managing Databases regarding the persons record. One copy is
retained by the mayor and one copy is given to the court of law in the territory.
Updates are made by the mayor and the community of public service of persons records.
With the new As Is process the Voters have the opportunity to verify their information and
make any corrections. Within forty-eight hours of making any corrections, additions, or
omissions, the mayor sends the changes to the National Centre for Managing Databases
regarding persons records. Five days before an election, the agency sends back to the
Mayor 3 complete copies including the additions, deletions and corrections. One copy is
given to the president of the elector bureau of polling places two days before the election.
This is the list to be used on Election Day to verify persons on the electoral rolls. One copy is
kept with the Mayor and one copy is available for public inspection by voters.
Romanian citizens who live in the territory covering the election and are 18 years of age
and not otherwise disqualified from voting are entitled to be on the permanent elector
rolls. The electoral lists are printed for a defined territorial boundary for voting in a
particular election. The people who live in the territorial area of the polling station are
included on this list. Voters must vote at the designated polling station for their location of
residence.
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The PEA proposes the design and content of the permanent list for all elections and the law
sets out the organization and information that is to be included in the list. The Government
adopts that form in a decision by the government.
There is an additional list of electors for elections. These are people who are qualified to be
on the permanent list but for some reason are not on the list. This list is for people who are
voting in a different territorial unit other than the one where their name is printed. Once
the voter shows the proper identification that indicates the residence is located in the
polling station where the voter is offering to vote, the voter is added to the additional list.
To Be Process - all the lengthy data entry process will be performed once and after all
input, lists of voters can be searched, found and printed from the EEMs system at the
appropriate levels while still being updated.
Stamps
The manufacturing of the stamps of the county electoral bureaus, and the control stamps
of the polling stations are carried out through the offices of the prefects. The Ministry of
Foreign Affairs is responsible for the stamps of polling stations abroad. The voted stamps
are manufactured by the Autonomous Rgie. The stamp of the CEB is made by the Ministry
of Administration and Interior.
In the new To Be process these stamps can de designed, real time deployed on the polling
stations and using sophisticated security encrypted algorithms electronically validated and
approved by CEB.
Ballots and Other Items
By decision, the Government also determines:
the candidate papers to be filed for places on the ballot
upholder lists
appropriate candidate statements
ballot papers for each election, and
the design of the control stamps and voted stamps for all elections.
The Government also approves the electoral signs for the political parties or alliances.
To Be Process Candidate filing can be enhanced by the EEMS by various methods
including online candidate filing if allowable, and the ability to retain candidate filing papers
online. Ballots papers can also be designed online and that design can be distributed to all
printing shops online.
4-ELECTION BUREAUS PROCESS
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This process is generally about forming the various election bureaus that are necessary to
administer the election under the guidance of the PEA.
Central Election Bureau (BEC)
This bureau is made up of 5 judges of the High Court of Cassation and Justice, the President
and Vice President of the PEA, and depending on the type of election, a number of
representatives of political formation. The bureau has technical working specialists
provided from the Ministry of Administration and Interior, the PEA, and the National
Institute of Statistics. These technical personnel are not actual members of the bureau.
The CEB:
AsIS Process Manual centralizes election results
o To Be Process The EEMS system would centralize these results.
AsIS Process Manual determines elected candidates for national elections and for
parliament.
o To Be Process After creation the EEMS system will validate which
candidates were elected and/or eligible for a runoff.
AsIS Process Manual sends election tabulations to the constitutional court to
validate the results for President
o To Be Process The EEMS system can forward all election results to
appropriate parties
AsIS Process Semi-Manual activities to organizes and to collect data to predict voter
turnout throughout the day
o To Be Process The EEMS can collect real time data and predict voter turnout
during Election Day; All information is available real time to PEA during and
after the election
AsIS Process Manual resolves any discrepancies of voter collection or vote counting
o To Be Process can automate the process of vote counting using automated
OCR and counting appliances, multiple auditable numbering methods for
paper and electronic counting
Adopts decisions such as the protocol for political alliance
Rejects electoral signs for the candidates and/or political parties or alliances.
County-Level Electoral Bureaus
1-County Electoral Bureau (BEJ) / 2-Bureau of the Constituency
If the election is for president or representative of the European Parliament, the county
electoral bureau is established. For elections of local administrators or Parliament, the
bureau of constituency is organized.
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This bureau has a President, Deputy and depending on the election, a number of
representatives of political formations. The type of election will determine how the
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This bureau has 3 judges from the Court of Law and is determined by a drawing, a
representative from the PEA nominated by the PEA, and representatives of political
formation.
This bureau monitors and ensures unitary application and observance of provisions of law
and the decisions of the CEB. Using the To Be new processes they will also:
Train the Presidents of the polling stations via e-Learning module
Using the EDDistribute ballot papers, control stamps, stamps marked voted, and
other material required to conduct the election.
Centralize the results of vote counting and submit the statements of votes to the
CEB
Adopt decisions necessary to carry out duties of the election
Electoral Bureau for District of Bucharest (EBDB)
This bureau has the same construction as the county electoral bureau. For purposes of
discussion, each time the county election bureau or bureau of the constituency is
mentioned; it also means the electoral bureau of the District for Bucharest.
Elector Bureau for Polling Stations Abroad (EBPSA)
Polling stations are established for Romanian citizens living abroad. These stations are
usually at the embassies in other countries. The Ministry of Foreign Affairs is responsible for
establishing these locations.
This bureau has 3 judges sitting on the Bucharest Court of Law, 1 representative from the
PEA, and representatives of political formations that propose candidates.
This bureau monitors and ensures the unitary application and observance of legal
provisions about elections.
To Be Process - the bureau will provide:
Training of presidents of polling stations abroad via e-Learning module
Using the ERP asset management module will validate the manual and electronic
distributions of ballot papers, controls stamps, stamps marked voted, and other
material necessary, to the presidents of the polling stations through the agency of
Ministry of Foreign Affairs
EEMS will insure real time centralized results of automated vote counting and the
sending of statements of vote to the CEB.
Electoral Bureau of Polling Stations (EBPS)
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representatives of the parties or political alliances are determined. There must be 5
members of this bureau in order to operate. The President and Deputy are citizens who can
vote. They cannot be affiliated with any political party nor can any member representing
the PEA.
To Be Process - the prefects of the county submit in the EEMS the names to the PEA which
will be validated by the system prior to the electronic approval of the President and deputy
of the polling stations.
The Polling Station President receives supplies for the conduct of the election which are
allocated using the EEMS ERP asset management module. These include ballot papers,
control stamps, voted stamps, various electoral lists, and the forms to complete after the
counting of votes. The supplies shipping and handling will be prescribed in the ERP by the
PEA logistics Director and eventually will be sealed and guarded until Election Day.
The Bureau also can model in EEMS the workflows for the following To Be processes:
Conducts elections for the polling stations
Solves objections at the polling stations
Counts and records votes in the statement of vote
Discharges other duties required by law
Electronically monitor track and report all statements of vote, voted ballots, null
ballots, unused ballots, and the various lists of voters, tables, and all supplies of the
election to the county election bureau / bureau of constituency.
5-VOTING PROCESSES
These processes are about the pre-election activities that take place immediately before
Election Day, and those that take place on Election Day.
Pre-Election Day Processes
Voting booths, ballots boxes, and stamps marked voted are distributed proportional to
number of people on the permanent list, and are provided by the EEMS mayor portal
and/or the prefect portal.
The day before an election, the electoral bureau of the polling station meets at 6:00 pm at
the polling station to order all measures necessary to ensure order and fairness for the
election. They will be notified via EEMS collaboration center of any changes form the
normal approved and distributed schedule.
In addition, between 6:00 am to 8:00 pm the President receives requests for voting by
persons who cannot attend the polling station and need to use the special ballot box
procedures. Persons who request to use this procedure must submit a medical or other
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document to prove this necessity and this can be provided in advance electronically via the
Public Voter Portal.
During this time, the President also inspects the inside and outside of the polling station for
any and all electoral propaganda or political signs. If any are found, the president removes
them and updates the pooling station status in the EEMS. The Mayor supports the polling
station president and sets up a watch post around the voting premise.
When the president leaves the polling station, the president seals the entry into the voting
premise by affixing the control stamps or a paper tape. The president of the polling station
takes the control stamps and stamps marked voted with him/her upon departure.
Election Day Processes
On Election Day at 6:00 am, the president checks the ballot papers and ballot boxes,
completes the report of the number of voted stamps received, number of persons on the
permanent rolls and any other electoral lists, and the number of ballots received. The
president ensures that the last page of each ballot paper is stamped.
At 7:00 am the polling stations are open for voting. The voter must provide the government
issued identification prior to voting. If the voter does not have the proper identification,
he/she is not allowed to vote until such time as the document is produced. Depending of
the type of the voter Identification Card this will be scanned to a reader or visually validated
by a real time online request to the Voter Registration system or to a local saved offline
database. The voter signs next to his name on the list and the signature image copy will be
loaded to the EEMS database. The voter gets a ballot and a stamp. If the voter votes for a
candidate by mistake on the ballot paper, they can have one more ballot not deposited the
ballot paper into the ballot box. The voter folds the valid ballot and deposits it into the
ballot box. The voter then takes the voted stamp back to the election worker to get their
identification back, and leaves the polling station.
Thus a big advantage of To Be Process The voter ID can be checked online for veracity and
the voters voting history is recorded immediately precluding this voter from voting
multiple times at other locations. The EEMS system could also include DRE machines for
casting of the votes as well as holding of the cast votes until the appropriate tabulation
time.
Persons who cannot vote by themselves shall have the right to call a companion they
choose to assist them with marking the ballot. This person cannot be from the observers or
members of the bureau of the polling station.
At 9:00 pm the polling station closes. Voters can vote if they are inside the polling station
room where voting is being conducted, rather than elsewhere in the entire building.
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To Be Process The DREs are programmed to close at the appropriate closing time unless
extended by the Polling Station President to allow voters in the polling station at the closing
time to complete voting.
Accredited observers can remain in the polling station after they are closed to observe the
counting of the votes and the completion of the statement of votes.
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Election Day Process Special Ballot Box
This process requires that voters who cannot attend a polling station on election day to
make application at the polling station the day before the election to be put on the special
ballot box list. Proof of a medical or their condition is required for this service.
On Election Day, two designated polling station workers will visit each voter on the special
ballot box list and allow them to vote using special processes. The Special Ballot Box will be
returned to the Polling Station for its ballots to be included in the regular vote count for
that polling station.
To Be Process A separate DRE can be used for this process traveling from voter to voter
allowing vote secrecy with easy tabulation at the end of the day.
6-COUNTING BALLOTS
This process is generally about counting the ballots and tabulating the results at each level
of the bureaus, starting at the polling stations, and passing the outputs to the next tier
bureau until the results can be certified by a court.
EBPS Counting and Certifying Process
All operations of the counting of the ballots are done in the presence of the electoral
bureau of the polling station. Before the ballots are counted, the president checks the seals
on the box to make sure they are intact. The president then seals the slot of the box. The
voted stamps are then sealed in an envelope. If there are any voted stamps missing, the
president makes a notation on the statement of vote. Unused ballots are annulled and the
number is recorded. The number of rejected ballot papers, number of persons on the
permanent rolls, number of persons voting by counting the signatures on the rolls and on
the tables on the appropriate form are recorded on the statement of vote.
The ballot box is then unsealed, the ballots are unfolded. The name of the candidate that
receives the vote on that ballot is announced and that ballot paper is placed in stack for
that candidate or political party or alliance. All observers in the polling station are entitled
to view the ballot paper. Once all ballot papers are announced and stacked, they are then
counted.
The number of rejected ballots per candidate and the number of votes received are
recorded in a separate table. Any discrepancies in the number of ballots received, voted,
null votes or stamps used shall be recorded in the minutes. The president completes the
statement of vote in triplicate.
The president and all members of the polling station sign the statement of vote and affix
the control stamp of the bureau. One copy is posted in the polling station. The other 2
statements of vote are delivered to the appropriate election bureau together with the
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rejected and contested ballot papers. This constitutes a stamped and sealed file that is
accompanied by the control stamp. The permanent electoral roles and tables, together with
voter statements regarding the need to have a ballot paper delivered to them at home,
constitute another file. They are delivered to the designated election bureau under military
guard.
The statement of vote from the polling station abroad is transmitted electronically to the
elections bureau of the polling stations abroad.
If there are discrepancies in the statement of vote, the president of the appropriate
election bureau asks the president of the polling station bureau to make corrections. The
election bureau has 24 hours to file reports of the statements of vote to the court of law.
To Be Process All cast votes can be held electronically and counted either at any point in
the tallying process. The tabulated cast ballots can then be printed on a result tape or the
cast ballots records can be sent directly to BEJ via electronic method immediately after the
polls close.
BEJ Counting and Certifying Process
The appropriate election bureau fills out a statement of vote after all settlements of
contestations of total numbers are settled. Then the statement is signed by members of the
bureau.
The statements of votes along with other records are delivered to the central electoral
bureau under military guard no later than 48 hours after the election.
To Be Process All paperwork including statement of votes and contestations can be
forwarded to the CEB via electronic methods.
BEC Counting and Certifying Process
The Central Electoral Bureau completes the statement of vote showing the final
information received from each bureau, the bureau of polling stations abroad and the 6
bureaus from the district of Bucharest.
This information then goes to the constitutional court 24 hours later under military guard
along with all other documents received by the Central Electoral Bureau.
The Central Electoral Bureau files copies of the permanent electoral roles and tables to the
PEA.
To Be Process All information in this process can also be forwarded to the appropriate
partys real time via electronic methods.
TABULATION OF UNOFFICIAL VOTES AND REPORTING ESTIMATED TURNOUT BY MEANS
OF TECHNOLOGY
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The PEA has the responsibility to:
provide computer services for the purchase of software for reporting returns
approve programming for that purpose before an election,
coordinate services between the telecommunication department and the National
Institute of Statistics department who assists with reporting election results, and to
assist the county technical bureau and the central election bureau.
The National Institute of Statistics provides the necessary number of statisticians, computer
data processing specialists, and technical support staff, plus the necessary equipment and
the computer system used in the monitoring and performance of technical operations for
establishing the results of the elections. They also ensure the training of the personnel
involved in performing technical operations for establishing the results of the elections.
Generally, the hardware furnished by the National Institute of Statistics is not installed in all
locations that will report results until after certification of the software. At least 7 days
before the election, each piece of hardware installed is tested in each location. This
includes the testing of the OCR scanner, transmittal of reports, and the printer.
To Be Process EEMS will insure the integration of all the institutional election system
modules insuring that the correctness of the election results would be tallied and could be
forwarded from each succeeding level to the next approval level including a certification
process at each level.
Training of the personnel to handle duties would also be available online as well as real
time help during the process either via a knowledgebase of instant messaging tools to a
help desk.
Certification of all equipment as required will also be tracked in the EEMS system for each
of the 49 county election bureaus are established, 1 in each of the 41 counties, 1 for
Romanian voters living abroad, and 1 bureau for the district of Bucharest, together with an
additional 6 for purposes of transmitting the statement of votes to the CEB. Less technical
assistants need to be stationed at each one of these locations for 24 hours a day before
election and on Election Day as EEMS may interface with electronic surveillance devices,
etc.
The statements of vote from the polling stations will arrive electronically at the county
election bureau around 10:00 pm. EEMS will help to perform a complex validation of the
reports which will be securely transmitted via Virtual Private Network (VPN) to the central
election bureau. The Bureau actually review the final result of the election provided by the
EEMS and via an approval rules engine will certify and publish the official results which will
also be published in the Official Journal 3 days after the election. The electronic
management of the election will provide a huge reduction of the paper trail but there will
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still be official papers with signature specimen during the whole electoral process that
needs to be stored in the PEA archives.
The technical equipment and material supplies for the CEB are provided by the MAI. The
PEA with the MAI ensures the technical support apparatus necessary for operating the CEB
is available. The technical support apparatus necessary for operating the polling stations
abroad is ensured by the Ministry of Foreign Affairs together with the PEA.
The Special Telecommunications Service provides the special communication services and
equipment, the renting from public operators of infrastructure elements for
communication services, for creating specific applications and for operating the data
gathering system regarding participation at the polls that is needed by the CEAB, the county
election bureau, the district election bureau of the Municipality of Bucharest, and the
election bureau for polling stations abroad.
To determine the turnout at the voting stations, a state of the art Call Center will be
deployed to approximately 2000 polling stations throughout the country, and each
operator is instructed to telephone the Central Election Bureau with the total number of
persons that have voted at that location at the time of the call. The first calls are made
around 10:00 am and continue until the polls close at 9:00 pm. The EEMS dashboard and
reporting module will provide rich statistical data related to turnout based on the average
turnout in each of the selected polling stations.
7-OBSERVATION OF ELECTIONS
Various observers may be present at the polling location beginning at 6:00 am until the
polls close and the ballots have been counted. This includes internal observers,
representatives of foreign organizations, authorized representatives of the written press,
and radio and television both Romanian and foreign. The EEMS system will enable PEA to
register providing special IDs for the press, and any observers from foreign countries.
4.5 To Be Romanian Election System Processes Between Elections
This section describes the ongoing AEP processes between elections that are
declared by the government. They are described for functions performed by the AEP
(only). Other ministries may also participate.
4.5.1 Logistics
MAIN DUTIES using To Be Process
Logistics for conduct of future elections
The Logistics department, with help from regional branch Logistics personnel,
conduct thousands of inspections each year to insure the materials such as ballot
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boxes, voting booths and ballot transportation containers and other materials
achieve at least minimum standards for future elections. Prepares proposals for
ensuring the logistics necessary for the optimum development of elections;
monitors the method of application of the measures in the domain, in the field, by
local authorities, including the prefects. Keeps records of polling stations and
electoral offices. Ensures national evidence of shortcomings regarding the logistics
endowment.
To Be Process Both the central Logistics department of the PEA as well as the
regional branches would have access though the EEMS system to all forms and
records for the inspection and monitoring the ballot boxes, voting booths, etc Also
the proposals regarding logistics of future elections could be developed online with
online statistics from past elections helping to shape the proposals. The EEMS would
also track polling stations locations and electoral office locations.
Creating and submitting schedule of elections
The Logistics department submits, with other department, a proposed schedule of
election events for upcoming elections. These proposals are used by other
departments and the Parliament in establishing the date for the organization and
conduct of elections.
To Be Process The calendar of the election would be generated in the system and
then can be appropriately modified for new decisions by the government. This
calendar would track process progress and even notify owners of deadlines and
progress or completion of antecedent tasks.
Plan for security regarding polling stations and ballot papers
The Logistics department with the specialized services from Project Management
module develops a plan for protection systems and rules regarding polling stations,
ballot papers and other specific documents.
Ensuring funds for replacement of logistics
The logistics department monitors using the EEMS financial specialized module the
manner of obtaining, by installments, all funds necessary to ensure logistics for
future elections. Via ERP asset management module they will assign, monitor and
organize further inspections with the help of regional personnel as necessary to
ensure that replacements materials have been procured for future elections.
The system can project logistics for future elections and place requests in both
budgetary matters and logistics matters replacement materials needed for future
elections.
Keeping lists of vacancies for future elections
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Using the GIS module PEA will keep record of communes, towns, municipalities
and districts of Bucharest Municipality where there are vacancies for the office of
mayor, or where the local councils have been dissolved, and submitting proposals to
the government for the setting up of the date for the organization and conduct of
new elections.
SECONDARY DUTIES using To Be Process
Creating and monitoring budget for AEP using EEMS financial data
Adopt decisions regarding the conduct of elections using the EEMS ruled base
engine
EEMS will allow the modeling and configuration of new election rules and workflows
definition according to any election type law changes.
Screen creation drafts for expenditures regarding elections.
Online approval of seats for various election boards.
Detailed on-demand Post-Election reports to Parliament and President.
Continuously creation or enhancement of election training materials in e-Learning
module.
EEMS approval engine will manage the notification and approval of seats for
President and Vice-President of polling stations.
4.5.2 Campaign Finance
MAIN DUTIES
Prepares annual plan for controlling the financing of political parties and campaigns
The department for controlling the financing of political parties and electoral
campaigns prepares the annual plan for controlling the financing of political parties
and electoral campaigns which is discussed by the Consultative Board and approved
by the President of the Authority.
To Be Process - The system can be used to monitor and control the campaign
finances of political parties and candidates. The forms needed for submission of this
information is online and could be submitted either by the candidates and parties
themselves or input by the PEA staff after receipt of paper records.
Proposes sanctions in response to campaign violations
The Campaign Finance department can propose sanctions regarding violations of
the control plan. These sanctions can include monetary fines to the termination of
party activities if the party is not meeting minimum activity standards set for in the
plan. These proposals are then reviewed by the Consultative board and the
penalties can then be sanctioned by the board.
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To Be Process - The system can track sanctions and forward these recommendations
to the appropriate board members for approval or editing.
Elaborates proposals on improving control of political financing
The Campaign Finance department can create proposals for the improvement of
campaign finance laws and guidelines for inclusion in future legislative
improvements.
To Be Process - The system can track sanctions and forward these recommendations
to the appropriate board members for approval or editing.
Performs annual inspections according to the objectives of the plan
This department performs between 5,000 and 8,000 annual inspections, with help
from regional personnel, of financial forms of all political parties and candidates
both local and national with regards to objectives set forth in the annual plan for
control. These inspections are normally completed within 30 days of submission
with the possible extension to 45 days in the case of further documentation being
requested and provided. Each inspection result is published in the Official Journal of
Romania and on the PEA website.
To Be Process - The system would make available to PEA inspectors and staff
personnel all forms needed for this review, historical data, reporting templates and
financial and accounting online library forms with intelligent input text capture.
Carries out inspections regarding suspicions of violations and publishes results
This department carries out 15 to 20 annual investigations regarding alleged
violations of the law regarding the financing of political parties and electoral
campaigns, based on information from other sources. Each of the investigations are
completed within 1 week with possible extensions due to requests for further
information. Each inspection result is published in the Official Journal of Romania
and on the PEA website.
To Be Process - The system would make available to PEA inspectors and staff
personnel all forms needed for this review, allowing attachments and automated
references to the laws articles and their sanctions.
SECONDARY DUTIES using To Be Process
Creating and monitoring budget for AEP using EEMS financial data
Adopt decisions regarding the conduct of elections using the EEMS ruled base
engine
EEMS will allow the modeling and configuration of new election rules and workflows
definition according to any election type law changes.
Screen creation drafts for expenditures regarding elections.
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Online approval of seats for various election boards.
Detailed on-demand Post-Election reports to Parliament and President.
Continuously creation or enhancement of election training materials in e-Learning
module.
EEMS approval engine will manage the notification and approval of seats for
President and Vice-President of polling stations.
4.5.3 Legal
MAIN DUTIES
Conduct research and evaluations for the improvement of elections
The department for legislature and liaison with the Parliament can establish or
participate in conducting research, evaluations, papers for the improvement of the
Romanian electoral system according to legal regulations and practices within the
European Union and Romania.
To Be Process Information from Romanian elections would be available for this
research online.
Adopt decisions and rules regarding the conduct of elections
This department can prepare legal improvements for improving the Romanian
electoral system. All acts are subject to public scrutiny and debate to ensure
decision transparency regarding any changes proposed to the election system. The
department can also prepare draft decrees, decisions and orders of the President
within the Election field.
Creating or enhancing election laws
The legal department can develop language regarding initiatives to amend or
supplement the laws within elections in Romania. The department can participate
presenting and supporting bills regarding election matters to Parliament. Monitors
the agenda of committees of both Chambers of Parliament. The legal department
can formulate draft responses to inquiries and questions addressed to the President
of the PEA.
Monitors the submission for approval all draft laws by other Ministries
The legal department monitors the submission for approval and endorsement by
the Ministries and other authorities all draft laws as they proceed within the
legislative procedure until the law is either published in the Official Journal of
Romania or until such a time that the proposal cannot be approved by the
Legislative branch of Romania.
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SECONDARY DUTIES using EEMS
Prepares the annual plan for controlling the financing of political parties and
campaigns.
Proposes sanctions in response to campaign finance violations.
Elaborates proposals on improving control of political financing.
Creating and monitoring budget for AEP.
Creating drafts for expenditures regarding elections.
Post-election report to Parliament and President.
Creating or enhancing training materials.
4.5.4 Budget and Human Resources
MAIN DUTIES
Creating and monitoring budget for AEP To Be Process will use the ERP accounting
module.
Prepares the annual draft budget of the PEA and monitors its observance. Compiles
from all other PEA departments budgets into the Permanent Election Authoritys
budget. This department is responsible for the compliance with legal provisions on
the use of funds included in the income and expenditure budget of the PEA.
All budgetary items could be tracked in budget system of EEMS.
Calculates monthly public subsidies for political parties
The Budget department opens accounts for the formation of deposit for candidates
for Deputy and Senator Positions. Reimburses, by law, the deposits of candidates for
Deputy or Senator Positions. Pays, by law, to the budget, all deposits of the
candidates for Deputy or Senator. This department calculates the amount of subsidy
from the budget based on legal provisions in force.
To Be Process - The system can track and calculate monthly subsidies for political
parties as well as calculate whether the political party is still eligible for these
subsidies.
Creating drafts for expenditures regarding elections
Offers proposals together with the Ministry of Public Finance and the Ministry of
Administration and Interior, regarding draft budgets necessary for elections, other
consultations and related actions. Receives internal PEA draft budgets from each
pertinent department and creates a single PEA budget for submission.
To Be Process - All departments within the PEA could submit budgets for upcoming
elections in EEMS system and then PEA could forward consolidated budget to
proper authorities for approval.
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Proposes sanctions in response to campaign finance violations.
Prepares annual report regarding AEP activity.
Organizing bids for election computer software.
4.5.5 Regional Branches
MAIN DUTIES
Duties from other departments to Regional Branches:
Logistics for conduct of future elections will use EEMS in all the To Be processes
described below.
Conducts inspections regarding the logistics of materials for future elections. The
materials included in the inspection will be scrutinized against the EEMS database
and the ERP asset management module which will include but are not limited to
ballot boxes, voting booths and ballot transportation materials. There are 18,000
polling station materials that are inspected in rotation. Plan for security regarding
polling stations and ballot papers
Input regarding the security plan for the security of polling stations during elections
and the transportation of ballot papers during the post-voting period.
Insuring funds for replacement of logistics
During logistic inspections replacement the regional branch can recommend
replacement materials be acquired and then ensure that all replacement materials
requested are in place previous to elections.
Keeping lists of vacancies for future elections
The Regional Branches can exchange online information regarding vacancies of
pertinent local offices.
Elaborates proposals on improving control of political financing
The regional branch personnel can input proposals for the improvement of the
control plan regarding political financing.
Performs annual inspections according to the objectives of the campaign finance
plan.
Regional Branch personnel conduct inspections regarding the control plan for local
parties, officeholders and candidates.
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The EEMS incident management module can trigger inspections regarding
suspicions of violations and publishes results.
Regional Branch personnel can conduct inspections when alleged violations of
financing plan are suspected.
Adopt decisions and rules regarding the conduct of elections.
The Regional Branch personnel can have impact on the decisions and configure the
EEMS engine rules regarding the conduct of elections.
Creating or enhancing election laws
The Regional Branch personnel can have input regarding any enhancements or
improvements to election laws proposed by the PEA.
Creating and monitoring budget for AEP
EEMS will allow the Regional Branches to submit proposed budgets necessary to the
successful implementation of their duties throughout the year which can be online
approved by PEA accounting manager.
Creating drafts for expenditures regarding elections
The Regional Branches submit drafts for expenditures needed for the successful
operation of their location within the specific election budget cycle.
Prepares and exercises programs for illiterate or disabled voters
The Regional Branch personnel can prepare and or execute programs aimed at
helping illiterate or disabled voters successfully participate in the election process.
This can be accomplished through EEMS Portal or in the form of materials present at
the polling stations or procedures suggested at trainings for polling station workers.
Monitoring procedures regarding delivering of the voting cards
Regional Branch personnel can have input or monitoring responsibility regarding the
coordination of delivery of the voting cards through other agencies.
Creating or enhancing materials for voters
Branch personnel can create or enhance materials for voters using e-Learning
module. This can be accomplished in the form of web conferences, or in person
Portal assisted training classes at the polling stations or procedures suggested at
trainings for polling station workers.
Approval of seats for various election boards
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Branch personnel can have input regarding appointments to various boards for the
election process.
Post-Election report to Parliament and President
Branch personnel will provide electronic reports to PEA for all branch activity and
observations regarding elections.
Prepares annual report regarding AEP activity
Branch personnel will provide electronic reports to PEA for all branch activity and
observations for the annual report.
Creating or enhancing training materials
Branch personnel can create or enhance training materials for polling station
workers. This can be either materials presented during the actual training and can
also be for inclusion in materials used by polling station workers on Election Day.
Approval of seats for polling stations
Branch personnel can have input regarding the approval of seats for President, Vice-
President or other workers at Polling Stations. This information can be used to
approve or possibly lead to the non-approval of workers when appropriate.
4.5.6 Foreign Relations
MAIN DUTIES
Maintain and updates the English version of EEMS portal for AEP
Prepares the English version materials of the EEMS portal and any of its branches or
Romanian embassies election related website content.
Prepares and submits foreign relations plan
Using EDRMS module, the Department prepares documentation, including the
schedule, of foreign delegations and ensures their attendance throughout their stay
in Romania, according to the law, and submits for approval to the President of the
authority.
Informs the President and Consultative Board regarding external events affecting
the PEAs activities.
Submits to the President proposals of collaboration with similar foreign institutions
and international organizations.
Analyzes the proposals of the Ministry of Foreign affairs regarding the accreditation
of international observers.
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4.5.7 Studies and Monitoring
MAIN DUTIES
Creating or enhancing studies of the election process
The Department can elaborate and publish in e-Learning module studies regarding
the improvement of the electoral system and present them to public authorities,
political parties as well as other interested non-governmental organizations.
To Be Process The statistical data for these studies would be calculated and
available on the EEMS web portal.
Prepares and exercises programs for illiterate or disabled voters
The Department can create enhancements to election materials or processes to
engender more successful participation by illiterate or disabled voters. The web
portal user interface will enable the accessibility requirements for these materials
and the polling station officials will be trained to assist these special needs voters.
Monitoring procedures regarding delivering of the voting cards
The Department can monitor the successful implementation of plans regarding the
delivery of voting credentials to citizens. These voters could be new voters achieving
voter age, or voters moving to a new voting constituency, or voters whose
identification requires renewal with the government as well as other situations
requiring new voter credentials.
To Be Process These cards could be delivered from either the VR system or the
EEMS.
Prepares informational report regarding elections for voters and other interested
parties
The Department will create and publish online via the EEMS portal materials for
enhancements of the experience of the voting populace in Romania. These
materials can lead to training enhancements for polling stations workers or
materials available to voters during the election process or possibly even voter
education between election periods.
Monitoring procedures for permanent electoral roles
To Be Process - The system would be used to generate these reports. Training
materials for the voter and the polling station workers would be available online.
The Department can monitor the procedures that ensure that the two separate set
of voter rolls are successfully synchronized before an election to ensure the voter
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experience is successful during each election. These voter rolls are synchronized
between the local mayors offices and the Ministry of the Interior.
To Be Process - The system would contain both lists therefore, this process of
merging the lists would not be needed.
Approval of seats for various election boards
The department will create and publish online materials regarding the approval of
certain members of various election boards. These Boards can include but are not
limited to the County Election Board (BEJ) and the Central Election Board (CEB).
Post-election report to Parliament and President
The Department submits to the Parliament and President a post-election report,
within three months, detailing observations, reported problems and other issues
regarding an election.
To Be Process All materials for report would be held online and report could be
generated online and even delivered on-line if preferred.
Prepares annual report regarding AEP activity
The Department submits for inclusion in a general PEA report all departmental
activity for the year.
To Be Process All or most of the information for this report could be held,
generated and delivered within the system.
Creating or enhancing training materials
The Department can create or enhance materials in response to previous election
situations to create a more successful experience for voters by improving training
for election officials including but not limited to polling station participants and
various board participants.
To Be Process - All training materials would be held online and could be delivered
either online or could be printed for more manual delivery.
Creating or enhancing materials for voters
The Department in response to certain election situations can create and publish
real time online materials to enhance the experience of the voters in polling station
on Election Day.
To Be Process- All materials for voters can be delivered in EEMS system
Approval of seats for polling stations
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The Department can provide information regarding the approval of members of
various election boards. This information regarding participants is based on past
experience of the participants within the election framework.
To Be Process Past participants can be tracked and used for future approvals of
board members.
SECONDARY DUTIES in EEMS
Creating or enhancing election laws.
4.5.8 Electoral Statistics
MAIN DUTIES
Formulates proposals for updating uninominal college
The Department formulates after each census, where appropriate, proposals for
updating the plan regarding the uninominal colleges regarding the representation of
the voters and the resulting representation of the members of the colleges.
To Be Process The system can be used to hold various versions of the uninominal
college logarithm and would be used to create new logarithms regarding future
elections, if needed.
Ensuring the process to synchronize voter rolls between town halls and the courts
The Department ensures the process of synchronization of the voter rolls regarding
new voters and the movement of voters within Romania as well as voters of
Romania abroad at the time of an election.
To Be Process Since the VR system would hold this information this process is no
longer needed.
Post- election report to Parliament and President.
4.5.9 Communications and Public Relations
DUTIES
Creating and monitoring budget for AEP in EDRMS module
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Supports the development of AEP budget regarding the budgetary needs of the
Communications and Public Relations department.
Prepares informational report regarding elections for voters and other interested
parties and publish in the EEMS web portal.
In conjunction with other departments, agencies and ministries develops and
disseminates information to voters, political parties, candidates and other
interested organizations regarding elections in Romania
Post-election report to Parliament and President published in the EEMS
The Department submits for inclusion in a PEA report to the Parliament and
President a post-election report, within three months, detailing observations,
reported problems and other issues regarding an election.
Prepares annual report regarding AEP activity available in the web Portal
The Department submits for inclusion in a general PEA report all departmental
activity for the year.
4.5.10 Information Technology
MAIN DUTIES
Organizing Bids for election computer software available on the AEP portal and
The Department supports the establishment of specific materials for the
computerized system at the national level necessary to ascertain the election
results.
The Department can organize bids for the purpose of selecting the computer
program which will be used by the Central Election Bureau for the centralization of
the election results using the EEMS automated notification and mass e-mail
modules.
Certifying the computer program for use in elections via e-Learning.
The Department can certify before an election computer programs and make the
programs available to registered parties in the electoral process, at their request.
Maintain EEMS system
Creation and maintenance of materials needed to perpetuate an ongoing election
specialized web portal. Materials included for the benefit of groups such as voters,
political party officials, candidates, and other interested organizations.
Creating list for centralization personnel in EEMS
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The Department creates a list of specialized personnel, certified by the National
Statistics Institute, which takes part in the centralization, processing and
ascertaining of election results.
To Be Process The system would be used to maintain personnel and assignment
lists for these processes update and exchange data via direct interface to INS
database
Prepares English version of AEP website.
Creating drafts for expenditures regarding elections.
Creating or enhancing training materials.
Organizing bids for election computer software.
Certifying the computer program for use in elections.
4.6 Hardware architecture
The hardware requirements were obtained after analyzing multiple solutions (COTS)
available on the market and fundament a minimum set of requirements for each EEMS
module in order to ensure optimum performance of the entire system.
Amendments and adjustments can be easily made in order to adapt the requirements to
the actual infrastructure on which the EEMS system will be deployed (including
virtualization).
The network infrastructure must ensure at central level: firewalls, load-balancers, MLS
switches, FC switches sufficient for the entire EEMS infrastructure. All devices must be
redundant.
Details of the architecture may be found in the Task3 deliverable attached to this
document.
4.7 EEMS Core Data Center
The central EEMS hardware infrastructure will be placed in a room specially designed after
the requirements and best practices in the field. The following specifications are adapted
from chapter A.9 Physical and environmental security of the ISO/CEI 27001:2005
standard.
Details of the core data center may be found in the Task3 deliverable attached to this
document.
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4.8 Virtualization
The concepts of virtualization and cloud computing has reached a maturity level that makes
it more than a fashionable alternative to consider when implementing complex systems.
The main benefits of virtualization and of cloud computing include a considerable flexibility
in deployment for the EEMS (which translates into considerable scalability), increased
availability, an efficient use of available hardware resources and enhanced capabilities for
the management of the infrastructure (monitoring, backup, etc.).
Full details for these requirements may be found in the Task3 deliverable attached to this
document.
4.9 Operating System Functionalities
The requirements were extracted after analyzing all major server operating systems
available on the market: Windows Server 2008, Linux distributions with emphasis on Red
Hat Enterprise Linux and SUSE Linux Enterprise, Solaris, Mac OS X Server and IBM AIX. At
implementation, the best alternative will be identified by taking into consideration the
recommendations or constraints of each EEMS module.
Full details for these requirements may be found in the Task3 deliverable attached to this
document.
4.10 EEMS Data Architecture
Starting from the EEMS core modules functionalities, the generic Data Model that will be
implemented is represented in the following diagram:
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4.10.1 Database Requirements
The database requirements were extracted from joining key specifications from all major
database engines available: ORACLE 11g, Microsoft SQL 2008, IBM DB2 or IBM Informix. At
implementation, the best alternative will be identified by taking into consideration
performance indicators and budget constraints.
Details of the database may be found in the Task3 deliverable attached to this document.
4.11 Network and Communications Infrastructure
4.11.1 Existing Communications Infrastructure
STS is currently undergoing an assessment regarding the coverage and bandwidth
availability of different Internet Service Providers at each polling station location. The
estimated time of finish for this survey is September 2011 when all results will be made
available to PEA.
As preliminary results, from the total of 18.000 polling stations, approximately 200 are in an
area not covered by any ISP. For each individual case the best solution will be identified,
whether Internet connectivity will be assured by STS via available technologies in the
neighboring area (ex. WiMAX) or that particular polling station will adopt a paper-based
approach for the elections process.
Regarding the polling stations located in cities there will be no problem of ensuring access
to Internet via high speed Internet connections or dedicated lines provided by STS. To
argument this aspect, the latest issue of State of the Internet put out by Akami company
shows that Romania ranks second in Europe and fifth in the world for average speeds of
Internet connections, being surpassed by South Korea, Hong Kong and Japan. The average
speed of Internet connections at world level is 1.9 Mbps, in Romania it is 7.0 Mbps and in
the United States merely 5.0 Mbps. Moreover Constana, Iai and Timioara are in the top
100 towns at world level with the highest average Internet speeds.
4.11.2 EEMS Network Communication Requirements
4.11.2.1 Requirements
The project aims to achieve the following communication requirements:
Connecting all polling stations to the Central Electoral Bureau (including the County
Electoral Bureaus)
Ensuring an adequate level of security of the communications connections between
these locations
Support for voting systems and applications, recording and reporting of votes
Establishing a technical solution for voice communications for remote polling
stations in terms of data communications
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4.11.3 Architecture
For connecting all network locations for elections, we propose a star-type distributed
network architecture which includes a high level of redundancy and scalability, thus
allowing to connect a large number of remote equipment. The distributed-type architecture
is preferred to the star-type architecture, due to costs and construction limitations of
equipment, so instead of a single central equipment with role of VPN concentrator for all
locations, the regional concentration of polling stations in distributed equipment is
preferred, which in turn will communicate with their central concentrator. The principle of
end-to-end secure communication remains valid.
In this respect, it is proposed that polling stations are connected to the data communication
network of STS, using local loops provided by STS or by public service providers. If possible,
the connection will be achieved through two loops, preferably using different
communication media, for ensuring redundancy.
In each polling station a VPN equipment with encryption facilities will be installed, and in
the STS locations regional concentrators will be installed; at the CEB a VPN concentrator will
be installed, which will have connectivity with other regional concentrators, ensuring
secure communication between the center and polling stations. Thus, the communication
equipment within the polling stations will be low/ entry-level class, performing an
encrypted tunnel with a VPN concentrator located either at county or regional level.
The architecture diagram above presented is similar to the scheme originally proposed and
is illustrated in the following figure.
Figure 5 Architecture of the data communication system
BACKBONE
STS
POP
STS zonal
POP
Server
Birou Electoral Judeean
Ethernet
Router
Concentrator VPN
regional
Secie
votare
Ethe
rnet
Router
Ethe
rnet
Router
Ethe
rnet
Router
Terminal
Principal
Rezerv
Router
Server
BIROUL ELECTORAL CENTRAL
Ethernet
Router
Terminal Server
Birouri Electorale de Sector/
Municipiul Bucureti/
Secii de votare
Ethernet
Router
Terminal
Principal
Rezerv
Rezerv
Rezerv
Principal
Rezerv
Principal
Principal
Rezerv
Secie
votare
Secie
votare
Principal
STS BUCURESTI (x2)
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4.11.4 Description of the technical solution
The regional VPN concentrator will be installed within the County Offices of STS and will
communicate with equipment from the Central Electoral Bureau through the STS multi-
service network, realizing, in turn, an encrypted tunnel with these. Where considered
appropriate, it is also possible to be connected with a back-up office.
The CEB equipment will be connected to the STS network using high capacity local loops,
property of STS or rented, finished for a high level of availability in two distribution
equipment in Bucharest. These will close the encrypted tunnels with county/ regional
equipment and will thus communicate with networks located in polling stations.
If a VoIP-type communication between these offices is desired to be ensured, we propose
contracting a separate local loop, preferably the property of STS. In order to reduce latency
and loading of equipment, we propose routing voice traffic over the STS communications
network. For terminals of this network, a separate addressing plan will be assigned.
For the correct dimensioning of local loop bands, for the choice of communication
equipment and their number (regional/ county VPN concentrators), estimates of traffic that
will transit the network, traffic type and parameters required, as well as the pattern of this
traffic are necessary to be made.
A viable alternative for connecting polling stations to the STS network is represented by the
technical solutions through mobile operators, solutions which allow the secure connection
of locations for which no other communication resources exist.
4.11.5 Conclusions
The technical solution presented within the EEMS project and proposed by STS addresses
all initial requirements, except polling stations for which there is no availability for data
communications. For the latter, there are several possibilities for providing voice
communications, from which a proper securing solution must be chosen.
The proposed architecture allows an effective connection of polling stations with the CEB,
providing support for the listed applications. For a correct dimensioning of communication
lines, it is necessary to know the communication necessities of each application, as well as
the number of concurrent workstations.
The security aspect is addressed at an additional level, providing end-to-end encryption of
the communication channel.
Based on the analysis of communication efficiency, the necessity to organize zonal
communication nodes has resulted, in order to concentrate the local encrypted traffic and
then direct it, also encrypted, towards the CEB. These zonal nodes can be constituted
within the County Offices for Special Telecommunications, where operating electrical and
climate conditions are provided.
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4.12 System Security
4.12.1 IT Governance
In order to accomplish this goal the value of the information and supporting technology
must be clearly understood throughout the PEA and other contributing institutions within
the electoral process. As a direct effect the need for assurance about the value of IT, the
management of IT-related risks and increased requirements for control over information
are now understood as key elements of enterprise governance.
IT Governance ensures that policies and strategy are actually implemented and defined,
and that required processes are correctly followed. Governance includes defining roles and
responsibilities, measuring and reporting, and taking actions to resolve any issues
identified. It consists of the leadership, organizational structures and processes that ensure
that the enterprises IT sustains and extends the PEAs strategies and objectives.
IT Governance Focus Areas:
Strategic alignment focuses on ensuring the linkage of business and IT plans;
defining, maintaining and validating the IT value proposition; and aligning IT
operations with enterprise operations.
Value delivery is about executing the value proposition throughout the delivery
cycle, ensuring that IT delivers the promised benefits against the strategy,
concentrating on optimizing costs and proving the intrinsic value of IT.
- Resource management is about the optimal investment in, and the proper
management of, critical IT resources: applications, information, infrastructure and
people. Key issues relate to the optimization of knowledge and infrastructure.
Risk management requires risk awareness by senior corporate officers, a clear
understanding of the enterprises appetite for risk, understanding of compliance
requirements, transparency about the significant risks to the enterprise and
embedding of risk management responsibilities into the organization.
Performance measurement tracks and monitors strategy implementation, project
completion, resource usage, process performance and service delivery, using, for
example, balanced scorecards that translate strategy into action to achieve goals
measurable beyond conventional accounting.
In order to successfully manage and implement IT governance PEA must adhere to a well
specified framework for internal control. Such a decision will aid in assuring the following
goals, thus improving efficiency:
IT is aligned with the business
IT enables the business and maximizes benefits
IT resources are used responsibly
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IT risks are managed appropriately
4.12.2 Security Frameworks
CobiT is an IT governance framework and supporting toolset that allows managers to bridge
the gap between control requirements, technical issues and business risks. It enables clear
policy development and good practice for IT control throughout PEA and other institutions
involved in the electoral process. COBIT emphasizes regulatory compliance, helps
organizations to increase the value attained from IT, enables alignment and simplifies
implementation of the framework.
ITIL is the most widely accepted framework to approach IT service management in the
world. ITIL provides a cohesive set of best practice, drawn from the public and private
sectors internationally.
CobiT is based on established frameworks, such as the Software Engineering Institutes
CMM, ISO 9000, ITIL and ISO/IEC 27002. However, CobiT does not include process steps and
tasks because, although it is oriented towards IT processes, it is a control and management
framework rather than a process framework. CobiT focuses on what an enterprise needs to
do, not how it needs to do it, and the target audience is senior business management,
senior IT management and auditors.
ITIL is based on defining best practice processes for IT service management and support,
rather than on defining a broad-based control framework. It focuses on the method and
defines a more comprehensive set of processes. Additional material in ITIL V3 provides a
business and strategic context for IT decision making and for the first time describes
continual service improvement as an all-encompassing activity, driving the maintenance of
value delivery to customers.
Due to its high level and broad coverage and because it is based on many existing practices,
CobiT is often referred to as the integrator, bringing disparate practices under one
umbrella and, just as important, helping to link these various IT practices to business
requirements. The framework approaches the subject based on four main domains that are
key to providing a successful and well-structured IT department:
Plan and Organize
Acquire and Implement
Deliver and Support
Manage and Evaluate
Each of the domains is further broken down into processes, 34 in total. In addition, each
process relies on inputs that are transformed into outputs by undergoing activities, all these
as well as responsibility and evaluation schemes are offered by the framework. By having a
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well-structured approach, a company can constantly monitor, evaluate and improve its IT
department to better serve business needs.
ITIL approaches service management from the lifecycle aspect of a service. The lifecycle
consists of five phases, together with their subordinated processes:
Service Strategy
Service Design
Service Transition
Service Operation
Continuous Service Improvement
On the other hand, our security frame will cover:
Configuration Management
Authentication
Authorization
Data Protection in storage and in transit
User and Session Management
Error Handling and Exception Handling
Data Validation and Parameter Manipulation
Auditing and Logging
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4.12.3 Threat Modeling
Threat Modeling is a security control performed during the architecture and design phase
of the SDLC to identify and reduce risk within software and can also be considered an
architectural risk analysis.
The main benefits of threat modeling are:
Improves Security by granting a deeper insight than threat analysis, by uncovering
logical/architectural vulnerabilities and by reducing risks and minimizing impacts
Drives Testing by validating that the design meets security requirements and by
serving as a guide for verification testing;
Reduces EEMS Cost by identifying expensive mistakes early on and by improving
understanding and structure of the system.
There are 4 threat modeling approaches:
Attack Centric when evaluation is performed from the point of view of an attacker;
Defense Centric when evaluation is focused on weakness in security controls
Asset Centric that evaluates the system from asset classification and value
perspective
Hybrid that is centered on evaluating the system design by using a combination of
methodologies to meet security objectives
The Threat Modeling process identifies, classifies and evaluates software vulnerabilities in
order to recommend cost effective countermeasures. The process is iterative and its steps
can run independently, enabling any step to feed changes into previous steps even after
partial results have been attained.
The list will be defined, updated and closely monitored during the architectural design
and implementation of the EEMS system.
ASF Threat & Countermeasures List
Threat Type Countermeasure
Authentication
1. Credentials and authentication tokens are protected with
encryption in storage and transit;
2. Protocols are resistant to brute force, dictionary attack and
replay attacks;
3. Strong password policies are enforced;
4. Trusted server authentication is used instead of SQL
authentication;
5. Passwords are stored with salted hashes;
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6. Password resets do not reveal password hints and valid
usernames;
7. Account lockouts do not result in a denial of service attack.
Authorization
1. Strong ACLs are used for enforcing authorized access to
resources;
2. Role-based access controls are used to restrict access to
specific operations;
3. The system follows the principle of least privilege for user and
service accounts;
4. Privilege separation is correctly configured within the
presentation, business and data access layers of the EEMS
system.
Configuration
management
1. Least privileged processes are used and service accounts with
no administration capability;
2. Auditing and logging of all administration activities is enabled;
3. Access to configuration files and administrator interfaces is
restricted to administrators.
Data protection in
Storage and Transit
1. Standard encryption algorithms and correct key sizes are
being used;
2. Hashed message authentication codes (HMACs) are used to
protect data integrity;
3. Secrets (e.g. keys, confidential data) are cryptographically
protected both in transport and in storage;
4. Built-in secure storage is used for protecting keys;
5. No credentials and sensitive data are sent in clear text.
STRIDE Threat & Mitigation Techniques List
Threat Type Mitigation Techniques
Spoofing Identity
1. Appropriate authentication
2. Protect secret data
3. Dont store secrets
Tampering with
data
1. Appropriate authorization
2. Hashes
3. MACs
4. Digital signatures
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5. Tamper resistant protocols
Repudiation
1. Digital signatures
2. Timestamps
3. Audit trails
Information
Disclosure
1. Authorization
2. Privacy-enhanced protocols
3. Encryption
4. Protect secrets
5. Dont store secrets
Denial of Service
1. Appropriate authentication
2. Appropriate authorization
3. Filtering
4. Throttling
5. Quality of service
Elevation of
privilege
1. Run with least privilege
Security controls adapted from ISO27001:2005 are defined by category and control and
presented in detail in the attached Task3 deliverable.
4.12.4 Business Continuity Planning
Business continuity planning (BCP) must be implemented with key components of:
Security for data involved in the business
Centralized data management and administration
Storage space flexibility
Quick access to data
High Availability
Continuity of operations
Disaster recovery
The elements to be considered in a BCP include:
Strategy
Personnel
Process
Technologies
Applications and Data
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Facilities
Integrated Planning
Each of these elements are described in detail in the attached Task3 deliverable.
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5 Synopsis of Task4 Deliverable EEMS Implementation and
Investment Plan
This section of the document will provide details on both the expected functionality and the
estimated costs and return on investment (ROI) of implementing the EEMS. Full details of
the effort to achieve these details are provided in the complete Task4 deliverable attached
to this document.
In the previous task, we performed a detailed analysis identifying the system and
application architecture, defining the main functional requirements of an integrated
election management system to increase the efficiency of managing Romanian local and
national elections.
In this Task 4, the Cooper Team will focus on the Implementation and Investment Plan for
the project that will provide a road map for deployment of the defined Election
Management System.
As it is foreseen that most of the funding for the EEMS implementation will come or will be
guaranteed from the state budget, we will provide all of the elements required by the
Ministry of Finance. The full financial analysis is presented in the Task 4 deliverable
attached to this document.
Moreover, from the wide range of financial alternatives described in detail, we can
conclude that the actual financing of the project is feasible. The best alternative will be
identified in due time whereas ongoing negotiations in multiple financing directions will
definitely lead to the best alternative in terms of achievability and profitability.
Our conclusion based on all of the work of this study is that the implementation of the
EEMS system will be beneficial in terms of the developmental impact, of the proven
financial profitability and sustainability and the noted gaps in all institutional, managerial
political or legal factors can be easily overcome.
The Cooper team members met with representatives from the World Bank, the ED
Structural Funds, important financial organizations and largest USA and Romanian to
discuss about the feasibility study and stir their interest in financing in the near future the
EEMS project implementation according to these organizations terms and conditions.
This document is a Technical Analysis Report and includes:
Task 4 Deliverable Description
Gap Analysis
Financial and Economic Analysis
Developmental Impact Assessment
Implementation and Investment Action Plan
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5.1 Gap Analysis
This chapter addresses necessary conditions and recommendation for successfully
implementing the Electronic Election Management System (EEMS).
5.1.1 Institutional Factors
The PEA will be the primary agency to benefit from the adoption of the Electronic Election
Management System. This tool will provide tools for the PEA to monitor the election
processes and provide tools to ensure that the election laws are applied uniformly
throughout the country. Adopting the EEMS will eliminate the need for the PEA to purchase
computer programs and software used by CEB for centralizing the votes. Using the same
software and electronic voting methods for each election will benefit the PEA. The
procurement process for each election will be eliminated; therefore, giving the PEA more
time to prepare for the election, program, and test.
Currently, the permanent electoral roll for the country and for each polling location is
managed by the mayor of each town. Citizens register with the police when they move to a
municipality, town, commune, or village, and the sheriff then gives the information to the
mayor. The mayor sends any data that has changed or added or deleted to the National
Register of Persons who enters the data and keeps national records. The National Centre
for Managing Databases processes the voters included in the National Register of Persons
records, then publishes and sends to the Mayor a revised permanent list of electors for the
election. The roll is printed for a final copy for use at the polling station once a voter has
had the opportunity to verify information.
Once an electronic voter registration system is implemented, there will be no need to have
the data sent back and forth. New or corrected information about a citizen, once entered
by the mayor, will be in the system maintained by the National Centre for Managing
Databases. This will provide a more accurate list of permanent voters and will ensure the
data is not being lost between the transfers of various departments. This will also allow the
PEA to monitor the activity and accuracy of the lists. Because there will be one master list
throughout the country, the possibility of duplicate names on the lists will be eliminated.
This will provide integrity to the election process.
These lists will be imported into the EEMS system for election purposes. Access to the real-
time, on-line permanent system by workers at the polling station will allow the processing
and verification of the voter to be faster. Once the voters are verified, the system will mark
voted on the electronic roll. This will ensure the voter does not vote more than once in an
election. This new process will add integrity to the election process. The PEA will also be
able to determine almost immediately any person who voted more than once so that
offense can be brought against that person.
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If for some reason, such as electrical failure or Internet failure, the permanent list is not
available online, the election worker will use the call center to verify the voter. This will
delay the inclusion of this voter as voted on the permanent list. The requirement that the
PEA check for duplicates in the rolls and the tables used at each polling place will be
streamlined and will reduce the budget request for this process.
Once the permanent electoral rolls are transferred to the PEA and bypass the MAI, the
process will be more streamed lined. Other agencies will continue to be involved regarding
Romanian citizens who have applied for passports to leave the country to be included on
the foreign list. This new process can ensure the person does not appear on list, the foreign
list and the list for local voting.
Currently, all elections are conducted by paper ballots, hand counted. The new process
once fully implemented will provide for electronic voting in one of three methods.
Electronic counting of the ballot s ensure that all ballots are counted the same with each
count and that ballots are counted the same regardless of the workers in the polling station
and regardless of the geographical location of the polling location. Electronic counting is
also faster; therefore, results will be provided at an earlier time after the closing of the
polling station. Voters will have the benefit of the electronic voting machine to advise them
if they have over-voted their ballot or under-voted their ballot. The voter then has the
opportunity to correct the ballot before being cast either in an electronic ballot box or in a
regular ballot box. The voter also has the opportunity to review their choices if using a
direct record electronic ballot.
Once a direct record electronic ballot has been cast, it cannot be retrieved from the ballot
box and is a vote cast. If the voter is using an optical scan paper ballot and the voter
discovers there is a mistake on the ballot, the voter can ask for another ballot from the
election worker that is a current process in Romanian law.
All agencies that have election functions and have the need to request an election budget
can request through the EEMS system, making this process more efficient. The PEA will be
able to forward these requests to the Ministry of Public Finance for processing. After an
election, each agency is to notify the PEA of the expenditures incurred separated by staff,
material and capital expenditures. The EEMS through EDRMS portion of the system will
provide a more effective method to accomplish this communication between the agencies.
This process can be also assist in after election audits if necessary. For the Romanian
citizens, this will ensure more accountability of the budget reserve fund.
Communication between all departments involved in the election process will be more
efficient with the use of video conferencing.
If the EEMS is adopted for Romania, the STS will have equipment in place for the
infrastructure rather than having to rent the equipment for each election. This should prove
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to be more efficient for this agency and the testing should be minimal. There will a dual
function of this agency, one for telephone back up if the electronic permanent rolls in not
on line, the election worker can call a call center to verify qualification of the voter, and
availability at the end of the election to transmit electronic returns either to the BEJ or CEB
as determined by the PEA.
The National Institute of Statistics will continue provide a number of statisticians, computer
data processing specialists, technical support staff, to carry out all the technical operations
for establishing results. They train workers in each of the county locations. Once the
electronic voting system is implemented in each polling station, more personnel will need
to be trained on the voting equipment and more technical support will be needed. It is
recommended that the technical support be provided at minimum at each county rather
than the 8 bureaus and that the PEA has personnel at each county to ensure adequate
support for the polling stations. If the election results are reported to directly to the CEB
from the polling station, additional technical support will be needed to verify the validity of
the reports received from the for each bureau or polling location. This agency also provides,
together with the PEA, technical support to the Central Election Bureau to ensure all results
are correct and properly reported.
The determination of the number of ballots to print for polling stations using optical scan
ballots including special polling stations and polling stations abroad will be streamlined. The
number of voters is each polling place will be automated in the EEMS, eliminating the
report from the National center for database management of people and other institutions.
This information will be readily available to the CEB who shall provide data to the
Autonomous Reggie Monitorul Oficial for printing. This department will use the EEMS
system to produce a ballot count report by polling station. This department will also benefit
by generating various ballot styles to be approved by the CEB.
The offices of the mayor and prefect will operate more efficiently due to the management
of poll worker management and polling station location provided in the EEMS. Information
for the voter as to the location of their polling location will be readily available. Using the
GIS system, locating and tracking the actual locations of current and prospective polling
locations will be more accurate. If any changes are necessary to the polling location, making
that change in the EEMS is instantaneous and all persons involved can be notified
immediately. THE EEMS will also assist the mayors and prefects with tracking the voting
equipment and to ensure proper inventory. The system will allow assignments as to which
equipment will be placed at a particular polling station.
The implementation of the EEMS will require extensive technical training in addition to the
regular election processes and laws. With the proposed e-learning platform, this can be
accomplished in a more effective way. This training will assist the prefects and mayors to
ensure all aspects of the election process are covered. More importantly, the training that
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is developed by the PEA will be used throughout the country; therefore, ensuring the
Romanian people uniformity in implementation and transparency in the election process.
Election workers training will include but not limited to the operation of the use of the
electronic permanent voter rolls, how to set up the voting equipment prior to opening the
polls, how to ensure there are no votes cast on the machine prior to opening the polls, and
learn the proper procedure to close these machines, retrieve election results, and
electronically submit the results to the CEB.
Many departments of the PEA will benefit from the EEMS automating many functions of
the agency. The election data records management system can benefit other agencies with
their record management for election duties. These include record keeping, ability to design
and print various statistical reports. The PEA will manage the data management through
rolls and permissions.
5.2 Ministry of Administration and Interior (MAI)
The Ministry, together with the PEA, recommends the model of the stamps, control stamps,
ballots, calendar for election, model copy of the permanent list of electors, model of
various tables, and candidates papers. They establish measures for maintaining and
ensuring public order in all localities of the country during the election. They ensure the
security of the polling stations and the papers and reports of the election being transported
from one bureau to the next. The ministry is responsible for the printing of the ballots in
some elections as well as the stamps and the distribution of such supplies through the
prefects. With the implementation of EEMS a more uniform system will be created. The
model copy of the permanent voter rolls, candidate papers, the ballot printing, and other
procedures will no longer need to change for every election. As a result, one less decision
by the Government will be eliminated. This will streamline the process.
The MAI together with the PEA determine a calendar of events. With the use of the EEMS,
events will be input into the system and the system will determine the dates of the function
to be performed based on a calendar and time lapse between events. This will ensure the
accuracy of the calendar for each election and eliminate the process of re-creating a
calendar for each election and streamline the process.
The Ministry of Foreign Affairs will benefit from the EEMS using it to manage election
workers, polling stations, and other requirements necessary for scheduling polling stations
for citizens voting outside the country.
The General Secretariat of the Government will not be directly affected by the EEMS.
However, since this agency provides for the headquarters of the CEB, additional space may
be required due to the additional duties of the CEB with regards to the electronic voting
system.
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5.3 Managerial Factors
The following sections describe areas and tasks altered by a new Electronic Election
Management System. Our analysis was done specifically for the PEA organization that we
recommend as being the beneficiary and owner of the new electronic election
management system to be implemented in Romania.
These sections define the task that would be affected and the budget and process
ramifications changed by this new system. Also noted with the between election tasks are
the department or departments that would experience the most benefit from these
process modifications.
5.4 Election Processes within the PEA
5.4.1 Election Budget Submission
Budget This feature should reduce the man hours needed to complete the budget
submission process.
Process - The electronic budget submission allowed in the system will alleviate the paper
burden of this process and also allow for better and quicker access to past history of like
election budgets allowing for greater speed and accuracy. The budget department will be
able to receive, modify, return, approve and forward to PEA departments and other
Ministries the individual or consolidated PEA budget requests. This should reduce the man-
hours needed to consolidate and forward to the appropriate Ministry for approval. The
approval process should be streamlined outside the PEA as well.
5.4.2 Candidate Lists
Budget This feature should not have any impact on the PEA regarding the departmental
budget of PEA.
Process The system will allow quicker access to updated candidate lists as the candidates
file and are approved. The system should also transfer candidate names to the campaign
finance and needed budgetary functions as well as allowing the ballot printing function to
inherit these names automatically alleviating the need to re-type these candidate names.
The Campaign Finance Department and Budget Department will use the system to
guarantee that the candidates meet the requirements to continue to be a candidate.
5.4.3 Voting System Certification
Budget The PEA should experience cost savings from the Voting System Certification. The
major expense now regarding the voting system certification presently is caused by the re-
programming of the system from scratch each time due to the differences in the logarithm
from election to election. This caused greater expense for the PEA because the certification
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system needed to certify the entire system for each new election. This system should allow
the certification to only include any uninominal college logarithm.
Process The system will include the normal statutory requirements for the voting system
that will not change from election to election. Any changes to the voting procedures laws
will need to be re-programmed into the certification system. The certification process will
just need a testing area that allows votes to be cast using the same logarithm used for the
real election.
5.4.4 Vote Counting
Budget The PEA will need extra personnel for a help desk function on Election Day. Some
users in the field will need technical assistance regarding the system and its use. Since there
are up to 18,000 polling locations there may be a varying need from election to election.
Process The vote counting portion of the EEMS system for the PEA will be a vote tally
location which will be fed from certified users in the field placing vote totals in the system.
The system will only allowed authorized users on the system to both place vote totals and
to view the totals.
5.4.5 Election Night Results
Budget The PEA will need personnel to collect a list of personnel allowed on the system
and their contact information. If the system is receiving on-line updates regarding the votes
counted then a normal compliment of help desk personnel will be needed to solve issues
from the technical side and even monitors to call locations that have not submitted their
vote totals in a timely manner. Many elections offices can accomplish this task with present
staff serving double duty; however, it is likely that with the number of polling locations
(18,000) the current staffing will not suffice.
Process A secure user will log into the system and then be able to place either partial or
final results into the system. The results should be flagged as either partial or final.
Although the system should be very simple in its design and implementation users will still
have questions and make mistakes inputting the vote totals. The PEA will need to have
contact information for all personnel
5.4.6 Voter History Update
Budget The PEA should not experience any budgetary impact.
Process The voter registration system should update itself when a voter is qualified and
votes at a polling station. The only impact at the PEA will be more ready access to reports
regarding voters for a particular election.
5.4.7 Election Results Certification
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Process This function is performed by the High Court of Cassation and Justice.
5.4.8 Election Calendar Preparation
Budget The PEA should experience decrease in man-hours to prepare a calendar for
upcoming elections
Process When a new election is proposed the PEA will be able to pull up a form
calendar that should calculate important election dates based on the proposed Election Day
and election type. These calculations can be quickly modified by users to correct for
variances in particular elections or due to changes in the actual Election Day caused by
outside factors.
5.4.9 Post-Election Suggestions for Changes Needed to Election Law
Process The system could track suggestions from various sources such as Polling Station
employees, BEJ employees, BEC employees, PEA employees and even voters. This system
could even be a BLOG type location allowing participants to discuss various ideas.
5.4.10 Delimitation of Polling Stations
Budget The PEA would need full time GIS personnel to create layers in the existing
modified system for the various layers of the political landscape of Romania. This would
need to include layers such as constituencies, elected offices, BEJ jurisdictions, etc. Beside
regular maintenance of the system there will be a major need for redistricting after each
assessment period is completed for voter registration.
Process The GIS system includes features for creating and maintaining these districts.
5.4.11 Tracking of Polling Stations
Budget The PEA would need full time GIS personnel to maintain a layer on the mapping
for the locations of the polling stations and accompanying data for their constituencies.
Process The GIS system includes features for creating and maintaining these polling
locations. This information will be used in various parts of the system relating the polling
stations such as Poll Worker management, Election Night Reporting and Logistics support
regarding voting booths, ballot papers, ballot boxes and other logistics needed for
successful elections.
5.4.12 Polling Station Change Management
Budget The PEA would need full time GIS personnel to track and change polling stations
when, due to various reasons such as population growth, those polling stations change.
Process The GIS system includes features for managing the changes in Polling Stations.
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5.4.13 Logistic Monitoring of Materials such as Voting Machines, Ballots
Boxes, Voting Booths and Election Supplies
Budget The EEMS system should reduce the number of man hours needed to track
logistical information.
Process The monitoring of the items such as voting booths and ballot boxes will not
change but the ability of the Regional Offices to quickly upload the data regarding these
materials, as well as the ability to begin notifications to replace items which do not meet
government standards will not only decrease or eliminate the paperwork involved but will
also make the process much more efficient in all phases of the process.
5.4.14 Approval of Polling Station Presidents and Vice-Presidents
Budget There should be a reduced number of man-hours needed for the PEA.
Process The EEMS system can track and through permissions allow authorized users to
input the possible appointees for Polling Station Presidents and Vice-Presidents then
allowing the PEA as well as other interested parties/ministries edit and approve data
regarding the Presidents and Vice-Presidents online. This should make the process more
efficient and reduce the amount of paperwork.
5.5 Between Election Processes in the PEA
5.5.1 Create and Monitor Budgets for PEA
Budget This feature should reduce the man-hours needed by the PEA to create and
submit departmental budgets as well as consolidation of the overall PEA budget. It should
also reduce the paper associated with this process.
Process Each department of the PEA will be able to view previous budgets and submit
electronically their current budget making this process much more efficient and accurate.
The Budget Department of the PEA will be able to track departmental budget submission
and edit, accept and consolidate budgets reducing the time needed and the paperwork
regarding each yearly budget submission.
Major PEA Department Effect
Budget Department
Other PEA Department Effect
Logistics
Campaign Finance
Legal
Regional Branches
Foreign Relations
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Studies and Monitoring
Electoral Statistics
Communications and Public Relations
Information Technology
5.5.2 Calculate Monthly Public Subsidies for Political Parties
Budget This process should reduce the man-hours needed,
Process This process can be automated with supervision by appropriate departments
within the PEA such as the budget department, campaign finance, executive and other
departments. A monthly calculation can be made by the system and submitted for approval
by the pertinent departmental directors depending on the submission.
Budget Department
Campaign Finance
Executive
5.5.3 Monitor Procedures Regarding the Delivery of Voting Cards
Budget This process will reduce the man hours needed by the PEA.
Process This process can be tracked incrementally through the system allowing the PEA
more ready access to the process. Currently the PEA is dependent on information from the
field and the time it takes that information to find its way the PEA. The system can also
notify appropriate departments when parts of the process are completed are conversely
are not completed in a timely fashion allowing for more efficient service to the voters of
Romania.
Regional Branches
5.5.4 Prepare Informational Reports Regarding Elections for Voters and
Other Interested Parties
Budget The system will reduce the man hours needed for this process.
Process Information regarding elections will be more readily available as well as
comparable data to previous elections of the same type allowing the PEA to service the
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interested parties such as voters, political parties and candidates with faster more complete
information for upcoming elections as well as historical data.
Studies and Monitoring -
5.5.5 Approve Seats for Various Electoral Boards
Budget This online process will reduce the man-hours and paperwork needed for the PEA
to complete their portion of this process.
Process The online processing of the information will allow for more speed of processing
as well as more accurate information regarding the possible appointees in affected areas
such as Campaign Finance and other departments which might have knowledge affecting
the appointment of certain officers to the various election boards.
Training
Logistics
Campaign Finance
Regional Branches
5.5.6 Post-Election Report to Parliament and President
Budget The system should reduce the man hours needed and reduce the paperwork
associated with this task.
Process The EEMS should make more information readily available to the PEA
departments regarding the elections allowing the PEA to report more detailed information
regarding the past election while also allowing comparison data from previous elections to
complement information from current elections allowing greater trend analysis with other
tools available both inside and outside the EEMS system.
Logistics
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Campaign Finance
Legal
Regional Branches
Foreign Relations
Budget Department
5.5.7 Prepare Annual Report Regarding PEA Activity
Budget The EEMS system will reduce the man-hours needed regarding the annual report,
or White Book.
Process The system will make information needed to complete the white book more
readily available to each PEA department such as tasks completed or still pending as well as
information regarding all aspects of the PEA election process with budgetary details for the
election.
Logistics
Campaign Finance
Legal
Regional Branches
Foreign Relations
Budget Department
5.5.8 Create or Enhance Training Materials
Budget The EEMS system will reduce the man hours needed to create or enhance training
materials.
Process Although the system will most likely not be used to actually create or enhance
training materials it will allow users like Polling Station officers, candidates, political party
representatives and even voters to access information regarding election processes online
at their office or home. Voters could access information regarding voter qualification,
candidate information and even voting machine procedures if possible.
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Logistics
Campaign Finance
Legal
Regional Branches
5.5.9 Create or Enhance Materials for Voters
Budget The EEMS system should have no negative effect on this task.
Process Information in the system can be used to create or enhance materials for voters
such as informational brochures for voters regarding subjects such as voter qualification,
polling locations, information for new voters, and other subjects deemed appropriate by
the PEA.
Regional Branches
5.5.10 Approve Seats for Polling Stations
Budget The system should reduce the man-hours needed for this process as well as
reducing the paperwork needed.
Process The possible appointees can be created, edited and approved or disapproved
within the system in a faster more efficient manner as well as making information regarding
the possible appointees readily available to authorized users within the PEA. The results of
these approvals and disapprovals will be available to regional branches and others outside
the PEA more quickly allowing for greater efficiency.
Logistics
Campaign Finance
Regional Branches
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5.5.11 Logistics for Conducting Future Elections
Budget The EEMS system will reduce the man-hours needed for this task as well as
reducing the paper work needed
Process The EEMS system will track all data regarding logistics for elections. The list and
condition of these items will be available to all authorized users both within and outside the
PEA. If a regional branch officer or officer from other ministry notices a logistical item which
does not meet governmental standards that item can be ordered in the system and a future
budgetary note could be automatically created for the replacement of that item. When the
item is replaced completion of the task can be tracked in the system allowing polling
workers, regional personnel and PEA personnel to track information regarding substandard
logistics in polling stations previous to elections thus improving the voters experience.
Logistics
Regional Branches
5.5.12 Create and Submit Election Schedules
Budget The EEMS system will reduce the man-hours and paperwork needed for calendar
creation regarding elections.
Process The system will initially calculate an election calendar including specific
calculations regarding the four basic types of elections in Romania. Authorized users can
create a correct specific calendar for each election by editing these calculated calendars.
This calendar can then be used to track and notify users of upcoming or past due tasks and
events on the calendar. These notifications can be in the form of email notifications to
responsible parties and in the case of past due tasks to the PEA or other supervisory
ministry personnel who oversee the election for the government.
Logistics
Legal
Regional Branches
5.5.13 Plan for Security Regarding Polling Stations
Budget The EEMS should have no negative effect on the budget regarding this task.
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Process The information regarding current and past plans for polling station security can
be posted on the system for use by officers of the polling station as well as reviewing by
authorized users of the system.
Logistics
Regional Branches
5.5.14 Ensure Funds for Logistics Replacement
Budget The EEMS system should reduce the man-hours required and paperwork needed
for completion of this task.
Process When PEA regional branch personnel or other authorized regional personnel log a
logistical item on the system that does not meet governmental standards, the system can
immediately place an order for a replacement item and create a budget request for the
funds to replace this item. This centralized online processing should increase efficiency by
reducing time and paper as well as insuring that multiple parties do not request the same
item for the same location.
Logistics
Budget Department
5.5.15 Keep Lists of Vacancies for Future Elections
Budget The system will reduce the man hours needed and reduce the paperwork
necessary for completion of this task by PEA Personnel.
Process The system will allow authorized users to track and edit political offices needed in
Romania from the top levels such as parliament as well as mayor and other regional offices.
When a vacancy occurs in one of these offices and the system is edited for this change,
notifications to effected parties can trigger an election process or other activity if
necessary.
Logistics
Regional Branches
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5.5.16 Prepare Annual Plan for Controlling the Financing of Political Parties
and Campaigns
Budget The system should have no negative effect on man-hours needed to complete this
process.
Process The system can track details of the campaign finance plan and make available to
authorized user details of the past plans.
Campaign Finance
Legal
5.5.17 Propose Sanctions in Response to Campaign Finance Violations
Budget The system can reduce the man-hours needed to complete this task.
Process The system can allow completion of tasks regarding the proposal of sanctions
regarding campaign finance violations. This piece of the system will also reduce paperwork
needed by the PEA for this task. The violation and the proposed sanctions can be logged by
the campaign finance department investigator and then queued for approval by authorized
users within the PEA.
Campaign Finance
Legal
Regional Branches
Budget Department
Executive
5.5.18 Perform Annual Inspections According to Objectives of the Plan
Budget The system will reduce the man-hours needed and the amount of paper needed
Process All minor and major components of these tasks can be logged, edited and logged
as completed on the system. Notes regarding the inspections will also be logged into the
system allowing all authorized users access to the information and even possible approval
or forwarding of items needed for completion. Also past inspections will be readily available
to inspectors and department directors allow for reduced inspection time and increased
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accuracy regarding current inspection. The process of forwarding paperwork regarding
completed or pending inspections in the field will be reduced or eliminated.
Campaign Finance
Regional Branches
5.5.19 Carry Out Inspections Regarding Suspicions of Violations and
Publish Results
Budget The EEMS system will reduce the man-hours needed and reduce paperwork
needed for PEA completion of this process.
Process The process regarding alleged violations of the plan can be tracked in detail on
the system including beginning dates, completion dates and other information needed for
review of alleged violation. If a violation is deemed valid then all information regarding this
violation can be forwarded for sanction processing as previously noted.
Campaign Finance
Regional Branches
5.5.20 Conduct Research and Evaluations for the Improvement of Elections
Budget The EEMS should have no negative effect on this task for the PEA.
Process All information regarding Romanian elections will be available creating a
repository of information to create ideas for research on elections both inside and outside
Romania.
Legal
Logistics
Campaign Finance
Legal
Regional Branches
Foreign Relations
Budget Department
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5.5.21 Certify the Software Used in Elections
Budget The system should create major cost savings for the PEA regarding creation of
software for elections in Romania.
Process Currently the system used to create and track the logarithm used for the
uninominal process in Romania has to be recreated from scratch for each election. Due to
the complexity of this logarithm and the subsequent testing needed to insure the correct
processing of votes in the Romanian elections is very costly. The new EEMS system will be
able hold major components of the uninominal plan and allow authorized users create the
details of the plan in a uniformed user interface reducing programming costs. Testing will
then only needed to be completed on the smaller details which change from election to
election instead of the entire program created for each election. Current estimates
calculate a savings of between 2 to 3 million euros per uninominal election.
5.5.22 Create Lists of Centralized Personnel
Budget The EEMS system will reduce the man-hours needed and reduce the paperwork
Process The list of personnel can be created and edited including assignments and
completion of duties. Other information can be forwarded or made readily available to the
budget and personnel departments for payment as well.
5.5.23 Formulate Proposals for Updating Uninominal Colleges
Budget The EEMS system should reduce man hours needed for completion of this task.
Process This task is extremely complex and unique to each election creating complex
related tasks in the areas of testing. Since the formula can change from election to election
and even be altered from the beginning of an election cycle before and election the man-
hours needed can be extremely large. The system will allow easier exploratory logarithms
and the subsequent editing of these logarithms with a reduced need for expansive testing
during the short election cycle.
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5.5.24 Insure Voter Rolls Synchronization between Town Halls and Courts
Budget The EEMS system will have no negative effect on the man-hours needed to track
this information within the system
Process Within the process calendar for the PEA and other ministries this process task list
and completion can be tracked by the PEA staff. Also notices of upcoming deadlines can be
systemically created or manually created by authorized user. Completion and historical data
is available as well for informational problem solving regarding updates within the voter
update system.
Regional Branches
Foreign Relations
5.6 Political Factors
The Romanian Permanent Election Authority (PEA) has proposed changes to the current
laws to update elections to a more electronic solution. These changes, if correctly
implemented, will result in quicker results with increased accuracy of vote counting. Some
of these changes will aid in the effort to modernize Romanian Elections. The following
sections will outline these proposed changes and the positive effect they would have on the
election process.
5.6.1 Description of Current Situation
The laws in use today reflect the current state of technology for all elections in Romania. All
elections in Romania are currently using paper ballots counted by a manual hand counting
process.
The PEA has analyzed past elections and come to the conclusion that there is a lack of
consistency between different types of elections and the laws and government decisions
regarding specific elections. This lack of uniformity causes confusion for all groups
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associated with these elections including candidates, political parties, election workers and
most importantly the voters themselves. These inconsistencies can also lead to either a lack
of adequate security or at least the perception of a lack of adequate security undermining
the voters trust and eroding the willingness of the countrys voters to even participate at a
high level.
The changes proposed by the PEA previously seek to make uniform, in as much is possible,
the set of laws controlling the elections in Romania. The PEA proposed the unification of
laws on voter rolls, election logistics, electoral bodies, the election campaign, submittal of
candidacies, the voting process, offenses and sanctions, electoral contentious and
obligations of public authorities.
The PEA has noted multiple instances where voters have allegedly voted more than once in
the same election. Whether these allegations prove true or not the perception that this
multiple voting is possible erodes voter confidence. The PEA has carried out on multiple
election dates what is referred to as a pilot project to prove the worth of modern
technology in the Polling Stations. This project entailed using computers to access a central
database of voters to ensure that all voters who are eligible can vote once, but any voter
who attempts to qualify to vote a second time are turned away because that have already
voted.
5.6.2 Proposed Changes
The PEAs proposed changes to the election law are made on several layers including
standardization of rules between elections including voter registration, physical properties
of the elections such as polling stations and constituencies, election administration duties,
election logistics, rules regarding candidates, campaign finance, voting regulations, election
observations, counting procedures and other pertinent electoral regulations.
The PEA used numerous sources of background information to define and propose the
changes. These included practices currently in use in Romania, practices in use in other
countries, studies conducted by both the PEA and other institutions, and also knowledge of
subject matter experts from within the PEA and from other Ministries and agencies
available.
5.7 Authority to Implement
The Permanent Electoral Authority was established by law as an autonomous
administrative institution due to of the plurality of issues involved in the administration of
elections. The PEA operates independent of other institutions with electoral
responsibilities, but collaborates with these institutions for the same common purpose: an
authentic constitutional state and a real democracy. The creation of an independent
electoral body provides significant opportunities for enhancing transparency and public
confidence in the electoral system.
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The PEA ensures the unitary application, at national level of legal provisions regarding the
organization of elections. The roll of the PEA is ever evolving, as trust and confidence are
instilled in the government and in citizens of Romania. This is also evidenced by the
increased authority of the institution as noted by their increased budget to deal with
additional responsibilities since their inception. A fully operational Electronic Election
Management System (EEMS) that provide the means for the PEA to achieve their goals and
objectives, which is to improve the voting experience of Romanian citizens, build a higher
level of trust in election results and to promote transparency through all stages of the
election process. The EEMS will provide tools to show accountability of their functions to
the government and to the citizens.
5.8 Benefits of Implementation
General Benefits
The benefits of the EEMS system implementation have been included in the introduction to
the Final Report as well as in full in the Task 4 deliverable attached to this document.
5.9 Implementation and Investment Action Plan
5.9.1 Implementation Plan
The purpose of System Implementation is to make the EEMS available to the mandated
specialized Romanian government institutions (the deployment phase), and positioning on-
going support and maintenance of the system within PEA organization.
At a finer level of detail, deploying the system consists of executing all steps necessary to
educate the consumers on the use of the new system, placing the newly developed system
into production, confirming that all data required at the start of operations is available and
accurate, and validating that business functions that interact with the system are
functioning properly.
Transitioning the system support responsibilities involves changing from the system
development to a system support and maintenance mode of operation, with ownership of
the new system moving from the Project Development Team to the PEA.
During the system implementation, the Project Manager has the leading role. He must
develop the implementation plan where he must plan for failure, and must have a defined
set of contingency plans to be executed in the event of a problem encountered during
deployment. PEA, any other stakeholders and all key decision-makers must clearly
understand and agree to the various go/no go criteria by which decisions will be made
whether or not to proceed with the deployment. In the event of a failure, time lost as a
result of an ill-defined course of action can be costly not only in terms of project budget,
but equally important, in terms of customer and consumer confidence.
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Due to the number of project participants in this phase of the SDLC, many of the necessary
conditions and activities may be beyond the direct control of the Project Manager.
Consequently, all project team members with roles in the implementation must understand
the plan, acknowledge their responsibilities, recognize the extent to which other
implementation efforts are dependent upon them and confirm their commitment.
The main phases of the Project Implementation Plan are:
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5.9.2 Costs of Implementation
5.9.2.1 Financial Analysis
The financial analysis provides information regarding inputs and outputs, the structure of
incomes (if this is the case) and expenses necessary for the implementation of the project
but also over the expected period in order to determine the financial sustainability and
calculation of key financial performance indicators. Complete details are in the Task 4
deliverable attached to this document.
The methodology used is updated cash flow analysis that quantifies the difference between
incomes and expenses generated by the project over the average life span adjusted with an
updating factor.
When preparing the financial analysis the following elements were taken into account:
Timeline;
Determining total costs;
Income generated by the project;
The residual value of the investment;
Correction for inflation;
Determining the financial updating rate;
Determining performance indicators; and
Determining the co-financing rate.
5.9.2.2 Reference period
Project implementation timeline: 2 years;
Reference period/ time horizon taken into consideration for the financial analysis:
13 years (including the implementation period for effectively using the finalized
EEMS system for 3 turns of elections):
Next elections Expected years
Local Elections 2012 2016 2020 2024
Elections for the Chamber of Deputies
and the Senate 2012 2016 2020 2024
European Parliament Elections 2014 2019 2024
Presidential Elections 2014 2019 2024
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5.9.2.3 Financial updating rate
The financial updating rate taken into account for the financial analysis: 5% (as
recommended within Working Document no. 4 for financial analysis regarding Romanian
investment projects).
5.10 Cash flow analysis
The following facts regarding elections were obtained from multiple public sources (CIA
Fact-book, White Books of different elections Elections for the Chamber of Deputies and
the Senate (2008) and Elections for the President of Romania (2009)):
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BNR course of conversion 4,2705 - average course for September 2011 (InfoEuro)
Concept RON EUR Qty
Average employee income
(monthly gross)
2.026 474
Population (aprox.) 21.904.551 July 2011 est. - www.cia.gov/
World Fact-book
Counties 42
Polling stations 18104 White Book of Elections
Percentage of participation
(Elections for the Chamber of
Deputies and the Senate)
39,20% White Book of Elections
Percentage of participation
(Elections for the President of
Romania)
54,37% White Book of Elections
Present Voters (Elections for
the Chamber of Deputies and
the Senate)
7.236.927 White Book of Elections
Present Voters (Elections for
the President of Romania)
People on voter lists (Elections
for the Chamber of Deputies
and the Senate)
People on voter lists (Elections
for the President of Romania)
Staff in each polling station
traditional voting process 8
electronic voting process 3
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Starting from the previous facts, the following presumptions regarding cost of elections are
made:
Presumption (estimations) EUR
Polling stations 18.000
Voters 18.500.000
Elections budget 35.000.000
Personnel expenses 15.000.000
Electronic reductions (staff and equipment) 12.000.000
The estimations regarding the electronic voting costs reductions take into considerations
the dramatic decrease in election staff (below of polling station and BEJ workers are
required after successfully implementing the EEMS system), ballot boxes, paper and
stamps. Moreover, the use of qualified and trained personnel would greatly improve the
electoral process; this can be seen as a duality due to the fact that more trained personnel
also leads to less involved staff members at polling station / BEJ level.
5.10.1 Cash flow inputs
The project will be financed according to the funding contract closed after the project was
approved. The actual financing sources can vary, but influence in a small manner the
financial indicators. In the proposed scenarios of analysis it is considered that all funds are
allotted from the Governments Budget.
5.10.2 Cash flow outputs
The cash flow outputs can be considered investment costs and maintenance costs
described in detail in the Task 4 deliverable.
5.11 Investment costs
Large capital investment decisions that involve the financing of a large enterprise type
management system as EEMS are among the most important decisions undertaken by the
Romanian government. These decisions typically involve the commitment of large sums of
money, and will have an environmental, developmental and political impact, over a number
of years.
Because the benefits are based on future events and the ability to foresee the future is
imperfect, it is imperative to speed the EEMS implementation process approval and keep
the project cost estimate accurate.
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Our project cost estimate is based on the current ITC market prices, using the most
advanced technologies provided by trusted and well known American companies as IBM,
HP, Microsoft, Cisco, etc.
As you could see in the table below, the total cost of ownership for the EEMS system to be
implemented over two years is close to 100 million Euros:
Item Component Cost Comments
EEMS Central Infrastructure
1 System Hardware
1.1 Storage and Tape library 880,000 3 years included warranty
1.2 Servers, infrastructure and
networking
880,000 3 years included warranty
2 EEEMS Core
2.1 Result Consolidation 4,600,000 Services ( includes SW package)
2.2 Election Night Reporting 1,400,000 Services ( includes SW package)
2.3 Election Management 2,600,000 Services ( includes SW package)
3 e-Learning
3.1 e-Learning platform 400,000 SW ( includes configuration
Services)
3.2 Custom and implementation
services
180,000 Services
3.3 Content development 200,000 Services
4 ERP 260,000 SW ( includes configuration
Services)
5 CRM 150,000 SW ( includes configuration
Services)
6 Project Management 30,000 SW ( includes configuration
Services)
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7 Operational Management System 900,000 SW ( includes configuration
Services)
8 Electronic Data Records
Management System
1,500,000 SW ( includes configuration
Services)
9 Call-center 40,000 Services Cost / per year
10 GIS
10.1 GIS applications (Web, Desktop,
Reporting)
950,000 SW ( includes configuration
Services)
10.2 Geospatial analysis 350,000 Services
10.3 Database definition 1,500,000 Services
11 Application Management and
Monitoring
Services)
12 Storage, Performance and Service
Manager
Services)
13 Access Manager 240,000 SW ( includes configuration
Services)
14 EEMS Database 220,000 SW ( includes configuration
Services)
15 Unified Security Solution 150,000 SW ( includes configuration
Services)
16 EEMS Core Team - PM, QA,
Integration service
4,320,000 Services for the project life cycle
17 EEMS Collaboration
17.1 Internal mail 25,000 SW ( includes configuration
Services)
17.2 VOIP to all polling stations and
branches (client based)
850,000 SW (includes configuration
Services)
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17.3 VOIP phones 1,440,000 HW
17.4 Videoconferencing solution 200,000 HW
Total central 24,515,000
EEMS HW Voting Devices (Polling station and County Level)
21 Scanners (42) 4,200,000 Ballot recounting
22 Scanners (18,000 units) 34,200,000 HW - (includes configuration
Services)
23 Voter registration machine &
Identity card scanner (18,000
units)
16,200,000 HW - (includes configuration
Services)
24 Voting machine / DRE (20000
units)
20,000,000 HW - (includes configuration
Services)
25 Total HW voting devices 74,600,000
Grand Total EEMS 99,115,000
The project implementation cost by Bucharest, the capital of Romania, and the rest of the
country territory is depicted in the following table:
Bucharest and entire central infrastructure
1 EEMS Central Infrastructure 24,515,000
2 Central Scanners 100,000
3 Scanners (2000 units) 3,800,000
4 Voter registration machine & Identity card scanner (2000 units) 1,800,000
5 Voting machine / DRE (4000 units) 4,000,000
Total Bucharest 34,215,000
Remaining country 64,900,000
We assess that the EEMS will be Cost-Effective system with a minimum cost subject to the
condition that it must satisfy the entire requirements described in Task3. EEMS can be
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Page 134 of 137
amortized over a decade but the immediate benefits to Romanian democracy and their
people is incommensurable.
Accurately measuring the costs of EEMS can be a difficult endeavor. Although specific
budgets for registration and elections are generally set by public appropriations to election
management bodies (EMBs), in our case PEA, total expenditures often vary widely because
of other direct and indirect financial outlays that create a more complex cost structure than
is evident through public accountancy alone. These additional cost factors might include
subsidized services from partner institution, international assistance programs and other
forms of assistance.
5.12 Investment costs
Applications of technology are a necessity in the administration of voting operations and
maintenance. In developing EEMS for voting operations administration and for use in voting
it is essential and it should be:
suitable for the environment;
carefully specified;
subject to strict quality and cost controls;
thoroughly tested under operational conditions, including, wherever possible, a
period of parallel running, before implementation.
The table below presents an estimate of future costs of maintaining an automated solution
as EEMS, in terms of equipment or software maintenance, training, upgrades, license fees
and the specialized personnel for the first four years of EEMS life cycle:
Item Component
Cost
Year1
Cost
Year2
Cost
Year3
Cost
Year4
EEMS Central Infrastructure
1 System Hardware
1.1 Storage and Tape library 0 0 0 88,000
1.2 Servers, infrastructure and
networking
0 0 0 88,000
2 EEEMS Core
2.1 Result Consolidation 230,000 230,000 230,000 230,000
2.2 Election Night Reporting 70,000 70,000 70,000 70,000
2.3 Election Management 130,000 130,000 130,000 130,000
3 e-Learning
3.1 e-Learning platform 0 80,000 80,000 80,000
3.2 Customization and implementation
services
9,000 9,000 9,000 9,000
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Item Component
Cost
Year1
Cost
Year2
Cost
Year3
Cost
Year4
3.3 Content development 10,000 10,000 10,000 10,000
4 ERP 0 52,000 52,000 52,000
5 CRM 0 30,000 30,000 30,000
6 Project Management 0 6,000 6,000 6,000
7 Operational Management System 0 90,000 90,000 90,000
8 Electronic Data Records Management
System
0 75,000 75,000 75,000
9 Call-center 40,000 40,000 40,000 40,000
10 GIS
10.1 GIS applications (Web, Desktop,
Reporting)
0 190,000 190,000 190,000
10.2 Geospatial analysis 3,500 3,500 3,500 3,500
10.3 Database definition 15,000 15,000 15,000 15,000
11 Application Management and
Monitoring
0 24,000 24,000 24,000
12 Storage, Performance and Service
Manager
0 26,000 26,000 26,000
13 Access Manager 0 24,000 24,000 24,000
14 EEMS Database 0 44,000 44,000 44,000
15 Unified Security Solution 0 30,000 30,000 30,000
16 EEMS Core Team - PM, QA,
Integration service
432,000 432,000 432,000 432,000
17 EEMS Collaboration
17.1 Internal mail 0 5,000 5,000 5,000
17.2 VOIP to all polling stations and
branches (client based)
0 170,000 170,000 170,000
17.3 VOIP phones 0 14,400 43,200 72,000
17.4 Videoconferencing solution 0 2,000 6,000 10,000
Total central 939,500 1,801,900 1,834,700 2,043,500
EEMS HW Voting Devices (Polling station and County Level)
21 Scanners (42) 42,000 42,000 42,000 42,000
22 Scanners (18000 units) 102,600 171,000 239,400 342,000
23 Voter registration machine & Identity
card scanner (18000 units)
64,800 97,200 129,600 162,000
24 Voting machine / DRE (20000 units) 40,000 40,000 40,000 40,000
25 Total HW voting devices 249,400 350,200 451,000 586,000
Grand Total EEMS 1,188,900 2,152,100 2,285,700 2,629,500
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5.13 Financing Sources
The following financing sources were taken into consideration in our analysis during Task 4:
The implementation of the EEMS system is beneficial in terms of the developmental impact,
of the proven financial profitability and sustainability and the gap in all institutional,
managerial political or legal factors can be easily overcome.
Moreover, from the wide range of financial alternatives described in detail in the chapter
three of the Task4, we can conclude that the actual financing of the project is feasible. The
best alternative will be identified in due time whereas ongoing negotiations in multiple
financing directions will definitely lead to the best alternative in terms of achievability and
profitability.
EEMS Budget
Grants
Structural Funds
Allocated budget
Multi-annual
budget
submission
External
financing
World Bank
US EximBank
Commercial
Bank
Implementer
Financier
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6 Conclusion to Final Report
It is our experience that proposing a technical methodology as an integrated package
approach, of processes and functions of Commercial Off the Shelf (COTS) and custom
development software will provide significant value-added benefits to the overall EEMS
software development life cycle.
U.S. technology enjoys a very positive image in Romania and USTDA support of the
proposed Electronic Election Management System project will develop a reliable mutual
business opportunity.
The EEMS project can also benefit from the competitive playing field of the U.S.
manufacturers computer hardware (including PCs, optical scanners, readers, printers, black
boxes, etc.), specialized software applications, telecommunications equipment, database
management and operating systems, and advanced security solutions.
The full execution of the EEMS project will improve the technical and institutional capability
of the PEA, leading to significant efficiency and effectiveness gains to the electoral process.
It will decrease fraudulent and other illegal voting, create a faster and more reliable
tabulation process, improve administrative and technical capacities, and will also allow for
real time monitoring of the election process.
The implementation of the EEMS system, based upon all of the research from this study,
will be beneficial in terms of the developmental impact, of the proven financial profitability
and sustainability, and closing the documented gaps in all institutional, managerial,
political, or legal factors.
Improvement of the election management process is a priority of the Government of
Romania and was a specific pledge of President Basescu to the Romanian public after the
2009 presidential election to have an improved system by the time of the next presidential
election in 2014.
Development of an IT-based election management system and improvement of the
electoral process is also being driven by Romania's EU requirements.
The PEA is fully committed to the EEMS project and has demonstrated that it has the
technical and administrative capacity to effectively implement it.
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