Brief Hku Art 25 ICCPR Apr14

This Brief was prepared by Research Assistant for the project, Mr Byron Chiu (J uris Doctor Candidate)
* These items have been newly added since the last circulation of the Background Brief in February 2014.
** Proposals by the following proposers have been recently updated or newly added: (1) Dr. FONG Chi Hang Brian, (2) The
Hong Kong Rightfulness Alliance, and (3) LEW Mon-hung.
CENTRE FOR COMPARATIVE AND PUBLIC LAW, UNIVERSITY OF HONG KONG

Roundtable Discussion
Universal Suffrage and Nomination Procedures: Imperatives from Article 25 ICCPR
Date: 20 March 2014
BACKGROUND BRIEF

Information Page
1. Introduction and proposed discussion questions 1-3
2. Text of the International Covenant on Civil and Political Rights 4-18
3. United Nations Human Rights Committees General Comments on Article 25 ICCPR 19-26
4. Overview of nomination procedures in various jurisdictions 27-30
5. Summaries of nomination procedures in selected jurisdictions 31-47
6.
Overview of nomination threshold as a percentage of population in various
jurisdictions
48
7.
Extracts from The Compendium of International Standards for Elections (2
nd
Edition),
TheEuropean Commission (2007)
49-74
8.
Extracts from Electoral System Design: The New International IDEA Handbook,
International Institute for Democracy and Electoral Assistance (2005)
75-105
9.
Extracts from Existing Commitments for Democratic Elections in OSCE Participating
States, OSCE Office for Democratic Institutions and Human Rights (ODIHR) (2003)
106-124
10. Text of the Hong Kong Basic Law 125-194
11.
Hong Kong Governments Consultation Document on Methods for Selecting the Chief
Executive in 2017 and for Forming the Legislative Council in 2016
195-255
12.
Albert H.Y. Chen, Hong Kongs Constitutional Moment of 2014 (2013) 43(3) Hong
Kong Law J ournal 791*
256-258
13.
Simon N.M. Young, Hong Kongs Public Consultation on Universal Suffrage Public
Law (forthcoming)*
259-260
14.
Summaries of proposals on nomination and electoral procedures for the election of
Hong Kongs Chief Executive by universal suffrage**
261-277

INTRODUCTION

Article 25(2)(b) of the International Covenant on Civil and Political Rights (ICCPR) provides
that citizens shall be able to vote and be elected by universal and equal suffrage without
discrimination and unreasonable restrictions, guaranteeing the free expression of the will of
the electorate. This article and the jurisprudence developed thereunder have been considered
as the international standard for democratic elections by members of the government of
signatories to the treaty as well as international committees overseeing the implementation of
the ICCPR. While relevant treaty bodies of the United Nations have given ample guidance
and there has been abundant academic and judicial discussion on what voting procedures
would satisfy the requirements of Article 25, much less attention has been paid to an equally
important question concerning the corollary component for democratic elections, that is, what
procedures for nominating candidates to stand for elections would satisfy Article 25
requirements.

This latter question is nevertheless crucial to the realisation of both the right to vote and the
right to be elected. If the nomination process is unduly restrictive, citizens will not be able to
freely stand for election; neither will they be able to have a free choice of candidates to
choose from. Nomination procedures vary greatly around the world. Controversies have
arisen over whether some of them comply with international human rights standards. For
example, the United Nations Human Rights Committee (UNHRC) criticised Iran in 2011 for
allowing an unelected 12-member Guardian Council to filter only 4 male candidates from
more than 450 prospective candidates.
1
This controversial sifting arrangement was continued
in Irans 2013 elections, where the Guardian Council approved only 8 male candidates out of
686 candidates using vague criteria, apparently with a bias for conservatives.
2
Moreover,
nomination procedure has been an issue in numerous emerging democracies. In both Iraq and
Afghanistan, the wide power of electoral commissions to screen candidates has been disputed
and widely criticised in recent elections and the drafting of electoral laws in these countries.
3

Closer to home, Macau and Hong Kongs existing arrangements of having an election
committee to select the Chief Executive have been highlighted by the UNHRC as being in
breach of these regions Article 25 obligations.
4
Hong Kongs constitution guarantees that the
Chief Executive shall ultimately be returned by universal suffrage upon nomination by a
broadly representative nominating committee.
5
China indicated that universal suffrage of the
Chief Executive in Hong Kong may take place in 2017.
6
In the run-up to this watershed
moment, there have been heated deliberations in Hong Kong over the appropriate nomination
procedure for elections to take place in that year. The Hong Kong Government has recently

1
United Nations Human Rights Committee, Concluding Observations on the Third Periodic Report of Islamic
Republic of Iran, adopted by the Committee at the 103
rd
session, 17 October 4 November 2011, at [29].
2
See e.g. Rafsanjani and Mashaei barred from Iran presidency poll, BBC News, 21 May 2013, available at
http://www.bbc.co.uk/news/world-middle-east-22615000
3
See Iraqs Elections Law 2005; Afghanistan Electoral Law 2010 and Procedures for Nomination of
Presidential Candidates issued by the Independent Election Commission, 2009.
4
United Nations Human Rights Committee, Concluding Observations on the Initial Report of Macao, China,
adopted by the Committee at its 107
th
session (1128 March 2013), at [7]; Concluding Observations on the
Third Periodic Report of Hong Kong, China, adopted by the Committee at its 107
th
session (11-28 March 2013),
at [6].
5
Hong Kong Basic Law, article 45.
6
Decision of the Standing Committee of the National Peoples Congress on Issues Relating to the Methods for
Selecting the Chief Executive of the Hong Kong Special Administrative Region and for Forming the Legislative
Council of the Hong Kong Special Administrative Region in the Year 2012 and on Issues Relating to Universal
Suffrage (Adopted at the Thirty First Session of the Standing Committee of the Tenth National Peoples
Congress on 29 December 2007).
PAGE 1

released a consultation document on, among other things, the nomination procedures that
Hong Kong should adopt to ensure that the promise of universal suffrage can be realised.
The 5-month consultation will end in May 2014.
7

Pointers on what Article 25 ICCPR requires in terms of nomination procedures would
provide useful reference to these and other jurisdictions that have committed themselves to
achieving standards of democratic governance in accordance with international norms. The
aim of this roundtable is to kick-start an academic discussion, involving eminent jurists and
experts, on what Article 25 requires in terms of the nomination of candidates, with a view to
generating a set of principles that states can refer to in designing their electoral systems. This
discussion will focus on candidature for presidency, although that for parliamentary seats will
also be relevant.

The text of Article 25 and the UNHRCs general comments highlight three key concepts: i)
the overarching aim of ensuring free expression of the will of the electors; and this to be
achieved through, among other things, ii) restrictions on the right to vote and be elected that
are based on non-discriminatory, objective and reasonable criteria; and iii) genuine elections
with universal and equal suffrage.
8
These requirements raise distinct issues in the context of
nomination.

Suggested questions for discussion:

Part I: Requirements of Article 25 ICCPR in relation to nomination procedures

1. Does Article 25 ICCPR give every eligible voter the right to nominate candidates? If so,
does it give all voters an equal right to nominate candidates?

2. Does Article 25 ICCPR require:
a) a system where individual citizens are allowed to directly nominate candidates (commonly
known as civil nomination)?
b) a system where candidates are returned solely by civil nomination?

3. In systems where candidates are to be returned solely by civil nomination, and a candidate
is required to garner a minimum number of supporters for nomination, what principles should
govern the setting of this nomination threshold? What number of minimum votes and
coverage of constituencies required would constitute an objective, reasonable and non-
discriminatory restriction on the right to vote and stand for election?

4. Assuming that the answer to question 2a) is no, in systems where candidates are to be
returned solely by one or more institutions (e.g. political parties, the legislature, nomination
council / committee, local governments, including systems where such institution(s) perform
a vetting function) rather than civil nomination:
a) Is it necessary that at least one of the organisations involved is returned by universal and
equal suffrage?
b) If not, then where the organisation(s) involved is(are) not returned by universal and equal
suffrage, what conditions would the combination of and constitutive method of the
organisation(s) need to satisfy?

7
The consultation document is included in item 11 of this Brief.
8
United Nations Human Rights Committee, Comment No. 25, adopted at the 57
th
session on 12 J uly 1996, esp
at [1]-[4], [7]-[10], [15]-[17], [19], [21].
PAGE 2

c) What voting, nomination or vetting criteria and procedures would the organisation(s) need
to follow in returning candidates?

5. Assuming that the answer to question 2b) is no, in systems where candidates are to be
returned partly by civil nomination, and partly by one or more institutions mentioned in point
4, would the answers to questions 3 and 4 be different? If so, how?

6. What designs in the nomination procedure can help ensure full and effective participation
of minority groups, such as religious and ethnic minority communities, women, indigenous
peoples, as well as persons with political opinion or affiliation that diverge from that of the
incumbent government?

Part II Compatibility of proposals with Article 25 ICCPR

7. Are the various proposals for electing Hong Kongs Chief Executive listed in Item 14 of
this Brief compatible with Article 25?

Part III Principles for guiding design of nomination procedures

Lastly we hope that roundtable participants can brainstorm on a list of principles that could
guide the design of nomination procedures in democratic elections.

PAGE 3
INTERNATIONAL COVENANT ON CIVIL AND POLITICAL RIGHTS

ADOPTED AND OPENED FOR SIGNATURE, RATIFICATION AND ACCESSION BY GENERAL ASSEMBLY
RESOLUTION 2200A (XXI) OF 16 DECEMBER 1966
ENTRY INTO FORCE 23 MARCH 1976, IN ACCORDANCE WITH ARTICLE 49
Preamble
The States Parties to the present Covenant,
Considering that, in accordance with the principles proclaimed in the Charter of the United Nations,
recognition of the inherent dignity and of the equal and inalienable rights of all members of the human
family is the foundation of freedom, justice and peace in the world,
Recognizing that these rights derive from the inherent dignity of the human person,
Recognizing that, in accordance with the Universal Declaration of Human Rights, the ideal of free human
beings enjoying civil and political freedom and freedom from fear and want can only be achieved if
conditions are created whereby everyone may enjoy his civil and political rights, as well as his economic,
social and cultural rights,
Considering the obligation of States under the Charter of the United Nations to promote universal respect
for, and observance of, human rights and freedoms,
Realizing that the individual, having duties to other individuals and to the community to which he belongs, is
under a responsibility to strive for the promotion and observance of the rights recognized in the present
Covenant,
Agree upon the following articles:
PART I
Article 1
1. All peoples have the right of self-determination. By virtue of that right they freely determine their political
status and freely pursue their economic, social and cultural development.
2. All peoples may, for their own ends, freely dispose of their natural wealth and resources without prejudice
to any obligations arising out of international economic co-operation, based upon the principle of mutual
benefit, and international law. In no case may a people be deprived of its own means of subsistence.
3. The States Parties to the present Covenant, including those having responsibility for the administration of
Non-Self-Governing and Trust Territories, shall promote the realization of the right of self-determination,
and shall respect that right, in conformity with the provisions of the Charter of the United Nations.
PART II
Article 2
1. Each State Party to the present Covenant undertakes to respect and to ensure to all individuals within its
territory and subject to its jurisdiction the rights recognized in the present Covenant, without distinction of
any kind, such as race, colour, sex, language, religion, political or other opinion, national or social origin,
property, birth or other status.
PAGE 4
2. Where not already provided for by existing legislative or other measures, each State Party to the present
Covenant undertakes to take the necessary steps, in accordance with its constitutional processes and with the
provisions of the present Covenant, to adopt such laws or other measures as may be necessary to give effect
to the rights recognized in the present Covenant.
3. Each State Party to the present Covenant undertakes:
(a) To ensure that any person whose rights or freedoms as herein recognized are violated shall have an
effective remedy, notwithstanding that the violation has been committed by persons acting in an official
capacity;
(b) To ensure that any person claiming such a remedy shall have his right thereto determined by competent
judicial, administrative or legislative authorities, or by any other competent authority provided for by the
legal system of the State, and to develop the possibilities of judicial remedy;
(c) To ensure that the competent authorities shall enforce such remedies when granted.
Article 3
The States Parties to the present Covenant undertake to ensure the equal right of men and women to the
enjoyment of all civil and political rights set forth in the present Covenant.
Article 4
1 . In time of public emergency which threatens the life of the nation and the existence of which is officially
proclaimed, the States Parties to the present Covenant may take measures derogating from their obligations
under the present Covenant to the extent strictly required by the exigencies of the situation, provided that
such measures are not inconsistent with their other obligations under international law and do not involve
discrimination solely on the ground of race, colour, sex, language, religion or social origin.
2. No derogation from articles 6, 7, 8 (paragraphs I and 2), 11, 15, 16 and 18 may be made under this
provision.
3. Any State Party to the present Covenant availing itself of the right of derogation shall immediately inform
the other States Parties to the present Covenant, through the intermediary of the Secretary-General of the
United Nations, of the provisions from which it has derogated and of the reasons by which it was actuated. A
further communication shall be made, through the same intermediary, on the date on which it terminates
such derogation.
Article 5
1. Nothing in the present Covenant may be interpreted as implying for any State, group or person any right to
engage in any activity or perform any act aimed at the destruction of any of the rights and freedoms
recognized herein or at their limitation to a greater extent than is provided for in the present Covenant.
2. There shall be no restriction upon or derogation from any of the fundamental human rights recognized or
existing in any State Party to the present Covenant pursuant to law, conventions, regulations or custom on
the pretext that the present Covenant does not recognize such rights or that it recognizes them to a lesser
extent.

PAGE 5
PART III
Article 6
1. Every human being has the inherent right to life. This right shall be protected by law. No one shall be
arbitrarily deprived of his life.
2. In countries which have not abolished the death penalty, sentence of death may be imposed only for the
most serious crimes in accordance with the law in force at the time of the commission of the crime and not
contrary to the provisions of the present Covenant and to the Convention on the Prevention and Punishment
of the Crime of Genocide. This penalty can only be carried out pursuant to a final judgement rendered by a
competent court.
3. When deprivation of life constitutes the crime of genocide, it is understood that nothing in this article shall
authorize any State Party to the present Covenant to derogate in any way from any obligation assumed under
the provisions of the Convention on the Prevention and Punishment of the Crime of Genocide.
4. Anyone sentenced to death shall have the right to seek pardon or commutation of the sentence. Amnesty,
pardon or commutation of the sentence of death may be granted in all cases.
5. Sentence of death shall not be imposed for crimes committed by persons below eighteen years of age and
shall not be carried out on pregnant women.
6. Nothing in this article shall be invoked to delay or to prevent the abolition of capital punishment by any
State Party to the present Covenant.
Article 7
No one shall be subjected to torture or to cruel, inhuman or degrading treatment or punishment. In particular,
no one shall be subjected without his free consent to medical or scientific experimentation.
Article 8
1. No one shall be held in slavery; slavery and the slave-trade in all their forms shall be prohibited.
2. No one shall be held in servitude.
3.
(a) No one shall be required to perform forced or compulsory labour;
(b) Paragraph 3 (a) shall not be held to preclude, in countries where imprisonment with hard labour may be
imposed as a punishment for a crime, the performance of hard labour in pursuance of a sentence to such
punishment by a competent court;
(c) For the purpose of this paragraph the term "forced or compulsory labour" shall not include:
(i) Any work or service, not referred to in subparagraph (b), normally required of a person who is under
detention in consequence of a lawful order of a court, or of a person during conditional release from such
detention;
(ii) Any service of a military character and, in countries where conscientious objection is recognized, any
national service required by law of conscientious objectors;
PAGE 6
(iii) Any service exacted in cases of emergency or calamity threatening the life or well-being of the
community;
(iv) Any work or service which forms part of normal civil obligations.
Article 9
1. Everyone has the right to liberty and security of person. No one shall be subjected to arbitrary arrest or
detention. No one shall be deprived of his liberty except on such grounds and in accordance with such
procedure as are established by law.
2. Anyone who is arrested shall be informed, at the time of arrest, of the reasons for his arrest and shall be
promptly informed of any charges against him.
3. Anyone arrested or detained on a criminal charge shall be brought promptly before a judge or other officer
authorized by law to exercise judicial power and shall be entitled to trial within a reasonable time or to
release. It shall not be the general rule that persons awaiting trial shall be detained in custody, but release
may be subject to guarantees to appear for trial, at any other stage of the judicial proceedings, and, should
occasion arise, for execution of the judgement.
4. Anyone who is deprived of his liberty by arrest or detention shall be entitled to take proceedings before a
court, in order that that court may decide without delay on the lawfulness of his detention and order his
release if the detention is not lawful.
5. Anyone who has been the victim of unlawful arrest or detention shall have an enforceable right to
compensation.
Article 10
1. All persons deprived of their liberty shall be treated with humanity and with respect for the inherent
dignity of the human person.
2.
(a) Accused persons shall, save in exceptional circumstances, be segregated from convicted persons and shall
be subject to separate treatment appropriate to their status as unconvicted persons;
(b) Accused juvenile persons shall be separated from adults and brought as speedily as possible for
adjudication.
3. The penitentiary system shall comprise treatment of prisoners the essential aim of which shall be their
reformation and social rehabilitation. J uvenile offenders shall be segregated from adults and be accorded
treatment appropriate to their age and legal status.
Article 11
No one shall be imprisoned merely on the ground of inability to fulfil a contractual obligation.
Article 12
1. Everyone lawfully within the territory of a State shall, within that territory, have the right to liberty of
movement and freedom to choose his residence.
2. Everyone shall be free to leave any country, including his own.
PAGE 7
3. The above-mentioned rights shall not be subject to any restrictions except those which are provided by
law, are necessary to protect national security, public order (ordre public), public health or morals or the
rights and freedoms of others, and are consistent with the other rights recognized in the present Covenant.
4. No one shall be arbitrarily deprived of the right to enter his own country.
Article 13
An alien lawfully in the territory of a State Party to the present Covenant may be expelled therefrom only in
pursuance of a decision reached in accordance with law and shall, except where compelling reasons of
national security otherwise require, be allowed to submit the reasons against his expulsion and to have his
case reviewed by, and be represented for the purpose before, the competent authority or a person or persons
especially designated by the competent authority.
Article 14
1. All persons shall be equal before the courts and tribunals. In the determination of any criminal charge
against him, or of his rights and obligations in a suit at law, everyone shall be entitled to a fair and public
hearing by a competent, independent and impartial tribunal established by law. The press and the public may
be excluded from all or part of a trial for reasons of morals, public order (ordre public) or national security in
a democratic society, or when the interest of the private lives of the parties so requires, or to the extent
strictly necessary in the opinion of the court in special circumstances where publicity would prejudice the
interests of justice; but any judgement rendered in a criminal case or in a suit at law shall be made public
except where the interest of juvenile persons otherwise requires or the proceedings concern matrimonial
disputes or the guardianship of children.
2. Everyone charged with a criminal offence shall have the right to be presumed innocent until proved guilty
according to law.
3. In the determination of any criminal charge against him, everyone shall be entitled to the following
minimum guarantees, in full equality: (a) To be informed promptly and in detail in a language which he
understands of the nature and cause of the charge against him;
(b) To have adequate time and facilities for the preparation of his defence and to communicate with counsel
of his own choosing;
(c) To be tried without undue delay;
(d) To be tried in his presence, and to defend himself in person or through legal assistance of his own
choosing; to be informed, if he does not have legal assistance, of this right; and to have legal assistance
assigned to him, in any case where the interests of justice so require, and without payment by him in any
such case if he does not have sufficient means to pay for it;
(e) To examine, or have examined, the witnesses against him and to obtain the attendance and examination
of witnesses on his behalf under the same conditions as witnesses against him;
(f) To have the free assistance of an interpreter if he cannot understand or speak the language used in court;
(g) Not to be compelled to testify against himself or to confess guilt.
4. In the case of juvenile persons, the procedure shall be such as will take account of their age and the
desirability of promoting their rehabilitation.
5. Everyone convicted of a crime shall have the right to his conviction and sentence being reviewed by a
higher tribunal according to law.
PAGE 8
6. When a person has by a final decision been convicted of a criminal offence and when subsequently his
conviction has been reversed or he has been pardoned on the ground that a new or newly discovered fact
shows conclusively that there has been a miscarriage of justice, the person who has suffered punishment as a
result of such conviction shall be compensated according to law, unless it is proved that the non-disclosure of
the unknown fact in time is wholly or partly attributable to him.
7. No one shall be liable to be tried or punished again for an offence for which he has already been finally
convicted or acquitted in accordance with the law and penal procedure of each country.
Article 15
1 . No one shall be held guilty of any criminal offence on account of any act or omission which did not
constitute a criminal offence, under national or international law, at the time when it was committed. Nor
shall a heavier penalty be imposed than the one that was applicable at the time when the criminal offence
was committed. If, subsequent to the commission of the offence, provision is made by law for the imposition
of the lighter penalty, the offender shall benefit thereby.
2. Nothing in this article shall prejudice the trial and punishment of any person for any act or omission
which, at the time when it was committed, was criminal according to the general principles of law
recognized by the community of nations.
Article 16
Everyone shall have the right to recognition everywhere as a person before the law.
Article 17
1. No one shall be subjected to arbitrary or unlawful interference with his privacy, family, home or
correspondence, nor to unlawful attacks on his honour and reputation.
2. Everyone has the right to the protection of the law against such interference or attacks.
Article 18
1. Everyone shall have the right to freedom of thought, conscience and religion. This right shall include
freedom to have or to adopt a religion or belief of his choice, and freedom, either individually or in
community with others and in public or private, to manifest his religion or belief in worship, observance,
practice and teaching.
2. No one shall be subject to coercion which would impair his freedom to have or to adopt a religion or belief
of his choice.
3. Freedom to manifest one's religion or beliefs may be subject only to such limitations as are prescribed by
law and are necessary to protect public safety, order, health, or morals or the fundamental rights and
freedoms of others.
4. The States Parties to the present Covenant undertake to have respect for the liberty of parents and, when
applicable, legal guardians to ensure the religious and moral education of their children in conformity with
their own convictions.
Article 19
1. Everyone shall have the right to hold opinions without interference.
PAGE 9
2. Everyone shall have the right to freedom of expression; this right shall include freedom to seek, receive
and impart information and ideas of all kinds, regardless of frontiers, either orally, in writing or in print, in
the form of art, or through any other media of his choice.
3. The exercise of the rights provided for in paragraph 2 of this article carries with it special duties and
responsibilities. It may therefore be subject to certain restrictions, but these shall only be such as are
provided by law and are necessary:
(a) For respect of the rights or reputations of others;
(b) For the protection of national security or of public order (ordre public), or of public health or morals.
Article 20
1. Any propaganda for war shall be prohibited by law.
2. Any advocacy of national, racial or religious hatred that constitutes incitement to discrimination, hostility
or violence shall be prohibited by law.
Article 21
The right of peaceful assembly shall be recognized. No restrictions may be placed on the exercise of this
right other than those imposed in conformity with the law and which are necessary in a democratic society in
the interests of national security or public safety, public order (ordre public), the protection of public health
or morals or the protection of the rights and freedoms of others.
Article 22
1. Everyone shall have the right to freedom of association with others, including the right to form and join
trade unions for the protection of his interests.
2. No restrictions may be placed on the exercise of this right other than those which are prescribed by law
and which are necessary in a democratic society in the interests of national security or public safety, public
order (ordre public), the protection of public health or morals or the protection of the rights and freedoms of
others. This article shall not prevent the imposition of lawful restrictions on members of the armed forces
and of the police in their exercise of this right.
3. Nothing in this article shall authorize States Parties to the International Labour Organisation Convention
of 1948 concerning Freedom of Association and Protection of the Right to Organize to take legislative
measures which would prejudice, or to apply the law in such a manner as to prejudice, the guarantees
provided for in that Convention.
Article 23
1. The family is the natural and fundamental group unit of society and is entitled to protection by society and
the State.
2. The right of men and women of marriageable age to marry and to found a family shall be recognized.
3. No marriage shall be entered into without the free and full consent of the intending spouses.
4. States Parties to the present Covenant shall take appropriate steps to ensure equality of rights and
responsibilities of spouses as to marriage, during marriage and at its dissolution. In the case of dissolution,
provision shall be made for the necessary protection of any children.
PAGE 10
Article 24
1. Every child shall have, without any discrimination as to race, colour, sex, language, religion, national or
social origin, property or birth, the right to such measures of protection as are required by his status as a
minor, on the part of his family, society and the State.
2. Every child shall be registered immediately after birth and shall have a name.
3. Every child has the right to acquire a nationality.
Article 25
Every citizen shall have the right and the opportunity, without any of the distinctions mentioned in article 2
and without unreasonable restrictions:
(a) To take part in the conduct of public affairs, directly or through freely chosen representatives;
(b) To vote and to be elected at genuine periodic elections which shall be by universal and equal suffrage and
shall be held by secret ballot, guaranteeing the free expression of the will of the electors;
(c) To have access, on general terms of equality, to public service in his country.
Article 26
All persons are equal before the law and are entitled without any discrimination to the equal protection of the
law. In this respect, the law shall prohibit any discrimination and guarantee to all persons equal and effective
protection against discrimination on any ground such as race, colour, sex, language, religion, political or
other opinion, national or social origin, property, birth or other status.
Article 27
In those States in which ethnic, religious or linguistic minorities exist, persons belonging to such minorities
shall not be denied the right, in community with the other members of their group, to enjoy their own culture,
to profess and practise their own religion, or to use their own language.
PART IV
Article 28
1. There shall be established a Human Rights Committee (hereafter referred to in the present Covenant as the
Committee). It shall consist of eighteen members and shall carry out the functions hereinafter provided.
2. The Committee shall be composed of nationals of the States Parties to the present Covenant who shall be
persons of high moral character and recognized competence in the field of human rights, consideration being
given to the usefulness of the participation of some persons having legal experience.
3. The members of the Committee shall be elected and shall serve in their personal capacity.
Article 29
1. The members of the Committee shall be elected by secret ballot from a list of persons possessing the
qualifications prescribed in article 28 and nominated for the purpose by the States Parties to the present
Covenant.
PAGE 11
2. Each State Party to the present Covenant may nominate not more than two persons. These persons shall be
nationals of the nominating State.
3. A person shall be eligible for renomination.
Article 30
1. The initial election shall be held no later than six months after the date of the entry into force of the
present Covenant.
2. At least four months before the date of each election to the Committee, other than an election to fill a
vacancy declared in accordance with article 34, the Secretary-General of the United Nations shall address a
written invitation to the States Parties to the present Covenant to submit their nominations for membership of
the Committee within three months.
3. The Secretary-General of the United Nations shall prepare a list in alphabetical order of all the persons
thus nominated, with an indication of the States Parties which have nominated them, and shall submit it to
the States Parties to the present Covenant no later than one month before the date of each election.
4. Elections of the members of the Committee shall be held at a meeting of the States Parties to the present
Covenant convened by the Secretary General of the United Nations at the Headquarters of the United
Nations. At that meeting, for which two thirds of the States Parties to the present Covenant shall constitute a
quorum, the persons elected to the Committee shall be those nominees who obtain the largest number of
votes and an absolute majority of the votes of the representatives of States Parties present and voting.
Article 31
1. The Committee may not include more than one national of the same State.
2. In the election of the Committee, consideration shall be given to equitable geographical distribution of
membership and to the representation of the different forms of civilization and of the principal legal systems.
Article 32
1. The members of the Committee shall be elected for a term of four years. They shall be eligible for re-
election if renominated. However, the terms of nine of the members elected at the first election shall expire
at the end of two years; immediately after the first election, the names of these nine members shall be chosen
by lot by the Chairman of the meeting referred to in article 30, paragraph 4.
2. Elections at the expiry of office shall be held in accordance with the preceding articles of this part of the
present Covenant.
Article 33
1. If, in the unanimous opinion of the other members, a member of the Committee has ceased to carry out his
functions for any cause other than absence of a temporary character, the Chairman of the Committee shall
notify the Secretary-General of the United Nations, who shall then declare the seat of that member to be
vacant.
2. In the event of the death or the resignation of a member of the Committee, the Chairman shall
immediately notify the Secretary-General of the United Nations, who shall declare the seat vacant from the
date of death or the date on which the resignation takes effect.

PAGE 12
Article 34
1. When a vacancy is declared in accordance with article 33 and if the term of office of the member to be
replaced does not expire within six months of the declaration of the vacancy, the Secretary-General of the
United Nations shall notify each of the States Parties to the present Covenant, which may within two months
submit nominations in accordance with article 29 for the purpose of filling the vacancy.
2. The Secretary-General of the United Nations shall prepare a list in alphabetical order of the persons thus
nominated and shall submit it to the States Parties to the present Covenant. The election to fill the vacancy
shall then take place in accordance with the relevant provisions of this part of the present Covenant.
3. A member of the Committee elected to fill a vacancy declared in accordance with article 33 shall hold
office for the remainder of the term of the member who vacated the seat on the Committee under the
provisions of that article.
Article 35
The members of the Committee shall, with the approval of the General Assembly of the United Nations,
receive emoluments from United Nations resources on such terms and conditions as the General Assembly
may decide, having regard to the importance of the Committee's responsibilities.
Article 36
The Secretary-General of the United Nations shall provide the necessary staff and facilities for the effective
performance of the functions of the Committee under the present Covenant.
Article 37
1. The Secretary-General of the United Nations shall convene the initial meeting of the Committee at the
Headquarters of the United Nations.
2. After its initial meeting, the Committee shall meet at such times as shall be provided in its rules of
procedure.
3. The Committee shall normally meet at the Headquarters of the United Nations or at the United Nations
Office at Geneva.
Article 38
Every member of the Committee shall, before taking up his duties, make a solemn declaration in open
committee that he will perform his functions impartially and conscientiously.
Article 39
1. The Committee shall elect its officers for a term of two years. They may be re-elected.
2. The Committee shall establish its own rules of procedure, but these rules shall provide, inter alia, that:
(a) Twelve members shall constitute a quorum;
(b) Decisions of the Committee shall be made by a majority vote of the members present.

PAGE 13
Article 40
1. The States Parties to the present Covenant undertake to submit reports on the measures they have adopted
which give effect to the rights recognized herein and on the progress made in the enjoyment of those rights:
(a) Within one year of the entry into force of the present Covenant for the States Parties concerned;
(b) Thereafter whenever the Committee so requests.
2. All reports shall be submitted to the Secretary-General of the United Nations, who shall transmit them to
the Committee for consideration. Reports shall indicate the factors and difficulties, if any, affecting the
implementation of the present Covenant.
3. The Secretary-General of the United Nations may, after consultation with the Committee, transmit to the
specialized agencies concerned copies of such parts of the reports as may fall within their field of
competence.
4. The Committee shall study the reports submitted by the States Parties to the present Covenant. It shall
transmit its reports, and such general comments as it may consider appropriate, to the States Parties. The
Committee may also transmit to the Economic and Social Council these comments along with the copies of
the reports it has received from States Parties to the present Covenant.
5. The States Parties to the present Covenant may submit to the Committee observations on any comments
that may be made in accordance with paragraph 4 of this article.
Article 41
1. A State Party to the present Covenant may at any time declare under this article that it recognizes the
competence of the Committee to receive and consider communications to the effect that a State Party claims
that another State Party is not fulfilling its obligations under the present Covenant. Communications under
this article may be received and considered only if submitted by a State Party which has made a declaration
recognizing in regard to itself the competence of the Committee. No communication shall be received by the
Committee if it concerns a State Party which has not made such a declaration. Communications received
under this article shall be dealt with in accordance with the following procedure:
(a) If a State Party to the present Covenant considers that another State Party is not giving effect to the
provisions of the present Covenant, it may, by written communication, bring the matter to the attention of
that State Party. Within three months after the receipt of the communication the receiving State shall afford
the State which sent the communication an explanation, or any other statement in writing clarifying the
matter which should include, to the extent possible and pertinent, reference to domestic procedures and
remedies taken, pending, or available in the matter;
(b) If the matter is not adjusted to the satisfaction of both States Parties concerned within six months after the
receipt by the receiving State of the initial communication, either State shall have the right to refer the matter
to the Committee, by notice given to the Committee and to the other State;
(c) The Committee shall deal with a matter referred to it only after it has ascertained that all available
domestic remedies have been invoked and exhausted in the matter, in conformity with the generally
recognized principles of international law. This shall not be the rule where the application of the remedies is
unreasonably prolonged;
(d) The Committee shall hold closed meetings when examining communications under this article;
(e) Subject to the provisions of subparagraph (c), the Committee shall make available its good offices to the
States Parties concerned with a view to a friendly solution of the matter on the basis of respect for human
rights and fundamental freedoms as recognized in the present Covenant;
PAGE 14
(f) In any matter referred to it, the Committee may call upon the States Parties concerned, referred to in
subparagraph (b), to supply any relevant information;
(g) The States Parties concerned, referred to in subparagraph (b), shall have the right to be represented when
the matter is being considered in the Committee and to make submissions orally and/or in writing;
(h) The Committee shall, within twelve months after the date of receipt of notice under subparagraph (b),
submit a report:
(i) If a solution within the terms of subparagraph (e) is reached, the Committee shall confine its report to a
brief statement of the facts and of the solution reached;
(ii) If a solution within the terms of subparagraph (e) is not reached, the Committee shall confine its report to
a brief statement of the facts; the written submissions and record of the oral submissions made by the States
Parties concerned shall be attached to the report. In every matter, the report shall be communicated to the
States Parties concerned.
2. The provisions of this article shall come into force when ten States Parties to the present Covenant have
made declarations under paragraph I of this article. Such declarations shall be deposited by the States Parties
with the Secretary-General of the United Nations, who shall transmit copies thereof to the other States
Parties. A declaration may be withdrawn at any time by notification to the Secretary-General. Such a
withdrawal shall not prejudice the consideration of any matter which is the subject of a communication
already transmitted under this article; no further communication by any State Party shall be received after the
notification of withdrawal of the declaration has been received by the Secretary-General, unless the State
Party concerned has made a new declaration.
Article 42
1.
(a) If a matter referred to the Committee in accordance with article 41 is not resolved to the satisfaction of
the States Parties concerned, the Committee may, with the prior consent of the States Parties concerned,
appoint an ad hoc Conciliation Commission (hereinafter referred to as the Commission). The good offices of
the Commission shall be made available to the States Parties concerned with a view to an amicable solution
of the matter on the basis of respect for the present Covenant;
(b) The Commission shall consist of five persons acceptable to the States Parties concerned. If the States
Parties concerned fail to reach agreement within three months on all or part of the composition of the
Commission, the members of the Commission concerning whom no agreement has been reached shall be
elected by secret ballot by a two-thirds majority vote of the Committee from among its members.
2. The members of the Commission shall serve in their personal capacity. They shall not be nationals of the
States Parties concerned, or of a State not Party to the present Covenant, or of a State Party which has not
made a declaration under article 41.
3. The Commission shall elect its own Chairman and adopt its own rules of procedure.
4. The meetings of the Commission shall normally be held at the Headquarters of the United Nations or at
the United Nations Office at Geneva. However, they may be held at such other convenient places as the
Commission may determine in consultation with the Secretary-General of the United Nations and the States
Parties concerned.
5. The secretariat provided in accordance with article 36 shall also service the commissions appointed under
this article.
PAGE 15
6. The information received and collated by the Committee shall be made available to the Commission and
the Commission may call upon the States Parties concerned to supply any other relevant information.
7. When the Commission has fully considered the matter, but in any event not later than twelve months after
having been seized of the matter, it shall submit to the Chairman of the Committee a report for
communication to the States Parties concerned:
(a) If the Commission is unable to complete its consideration of the matter within twelve months, it shall
confine its report to a brief statement of the status of its consideration of the matter;
(b) If an amicable solution to the matter on tie basis of respect for human rights as recognized in the present
Covenant is reached, the Commission shall confine its report to a brief statement of the facts and of the
solution reached;
(c) If a solution within the terms of subparagraph (b) is not reached, the Commission's report shall embody
its findings on all questions of fact relevant to the issues between the States Parties concerned, and its views
on the possibilities of an amicable solution of the matter. This report shall also contain the written
submissions and a record of the oral submissions made by the States Parties concerned;
(d) If the Commission's report is submitted under subparagraph (c), the States Parties concerned shall, within
three months of the receipt of the report, notify the Chairman of the Committee whether or not they accept
the contents of the report of the Commission.
8. The provisions of this article are without prejudice to the responsibilities of the Committee under article
41.
9. The States Parties concerned shall share equally all the expenses of the members of the Commission in
accordance with estimates to be provided by the Secretary-General of the United Nations.
10. The Secretary-General of the United Nations shall be empowered to pay the expenses of the members of
the Commission, if necessary, before reimbursement by the States Parties concerned, in accordance with
paragraph 9 of this article.
Article 43
The members of the Committee, and of the ad hoc conciliation commissions which may be appointed under
article 42, shall be entitled to the facilities, privileges and immunities of experts on mission for the United
Nations as laid down in the relevant sections of the Convention on the Privileges and Immunities of the
United Nations.
Article 44
The provisions for the implementation of the present Covenant shall apply without prejudice to the
procedures prescribed in the field of human rights by or under the constituent instruments and the
conventions of the United Nations and of the specialized agencies and shall not prevent the States Parties to
the present Covenant from having recourse to other procedures for settling a dispute in accordance with
general or special international agreements in force between them.
Article 45
The Committee shall submit to the General Assembly of the United Nations, through the Economic and
Social Council, an annual report on its activities.

PAGE 16
PART V
Article 46
Nothing in the present Covenant shall be interpreted as impairing the provisions of the Charter of the United
Nations and of the constitutions of the specialized agencies which define the respective responsibilities of the
various organs of the United Nations and of the specialized agencies in regard to the matters dealt with in the
present Covenant.
Article 47
Nothing in the present Covenant shall be interpreted as impairing the inherent right of all peoples to enjoy
and utilize fully and freely their natural wealth and resources.
PART VI
Article 48
1. The present Covenant is open for signature by any State Member of the United Nations or member of any
of its specialized agencies, by any State Party to the Statute of the International Court of J ustice, and by any
other State which has been invited by the General Assembly of the United Nations to become a Party to the
present Covenant.
2. The present Covenant is subject to ratification. Instruments of ratification shall be deposited with the
Secretary-General of the United Nations.
3. The present Covenant shall be open to accession by any State referred to in paragraph 1 of this article.
4. Accession shall be effected by the deposit of an instrument of accession with the Secretary-General of the
United Nations.
5. The Secretary-General of the United Nations shall inform all States which have signed this Covenant or
acceded to it of the deposit of each instrument of ratification or accession.
Article 49
1. The present Covenant shall enter into force three months after the date of the deposit with the Secretary-
General of the United Nations of the thirty-fifth instrument of ratification or instrument of accession.
2. For each State ratifying the present Covenant or acceding to it after the deposit of the thirty-fifth
instrument of ratification or instrument of accession, the present Covenant shall enter into force three months
after the date of the deposit of its own instrument of ratification or instrument of accession.
Article 50
The provisions of the present Covenant shall extend to all parts of federal States without any limitations or
exceptions.
Article 51
1. Any State Party to the present Covenant may propose an amendment and file it with the Secretary-General
of the United Nations. The Secretary-General of the United Nations shall thereupon communicate any
proposed amendments to the States Parties to the present Covenant with a request that they notify him
whether they favour a conference of States Parties for the purpose of considering and voting upon the
proposals. In the event that at least one third of the States Parties favours such a conference, the Secretary-
PAGE 17
General shall convene the conference under the auspices of the United Nations. Any amendment adopted by
a majority of the States Parties present and voting at the conference shall be submitted to the General
Assembly of the United Nations for approval.
2. Amendments shall come into force when they have been approved by the General Assembly of the United
Nations and accepted by a two-thirds majority of the States Parties to the present Covenant in accordance
with their respective constitutional processes. 3. When amendments come into force, they shall be binding on
those States Parties which have accepted them, other States Parties still being bound by the provisions of the
present Covenant and any earlier amendment which they have accepted.
Article 52
1. Irrespective of the notifications made under article 48, paragraph 5, the Secretary-General of the United
Nations shall inform all States referred to in paragraph I of the same article of the following particulars:
(a) Signatures, ratifications and accessions under article 48;
(b) The date of the entry into force of the present Covenant under article 49 and the date of the entry into
force of any amendments under article 51.
Article 53
1. The present Covenant, of which the Chinese, English, French, Russian and Spanish texts are equally
authentic, shall be deposited in the archives of the United Nations.
2. The Secretary-General of the United Nations shall transmit certified copies of the present Covenant to all
States referred to in article 48.
PAGE 18
UNITED
CCP
NATIONS
International covenant
on civil and
political rights
Distr.
GENERAL
CCPR/C/21/Rev.1/Add.7
27 August 1996
Original: ENGLISH
HUMAN RIGHTS COMMITTEE
GENERAL COMMENT ADOPTED BY THE HUMAN RIGHTS COMMITTEE
UNDER ARTICLE 40, PARAGRAPH 4, OF THE INTERNATIONAL
COVENANT ON CIVIL AND POLITICAL RIGHTS
Addendum
General Comment No. 25 (57)
GE.96-18094 (E)
PAGE 19
PAGE 20
page 3
ANNEX V
General Comments under article 40, paragraph 4 of the International
Covenant on Civil and Political Rights
General Comment No. 25 (57) 1/
1. Article 25 of the Covenant recognizes and protects the rights of every
citizen to take part in the conduct of public affairs, the right to vote and
to be elected and the right to have access to public service. Whatever form
of constitution or government is in force, the Covenant requires States to
adopt such legislative and other measures as may be necessary to ensure that
citizens have an effective opportunity to enjoy the rights it protects.
Article 25 lies at the core of democratic government based on the consent of
the people and in conformity with the principles of the Covenant.
2. The rights under article 25 are related to, but distinct from, the right
of peoples to self determination. By virtue of the rights covered by
article 1 (1), peoples have the right to freely determine their political
status and to enjoy the right to choose the form of their constitution or
government. Article 25 deals with the right of individuals to participate in
those processes which constitute the conduct of public affairs. Those rights,
as individual rights, can give rise to claims under the first Optional
Protocol.
3. In contrast with other rights and freedoms recognized by the Covenant
(which are ensured to all individuals within the territory and subject to the
jurisdiction of the State) article 25 protects the rights of "every citizen".
State reports should outline the legal provisions which define citizenship in
the context of the rights protected by article 25. No distinctions are
permitted between citizens in the enjoyment of these rights on the grounds of
race, colour, sex, language, religion, political or other opinion, national or
social origin, property, birth or other status. Distinctions between those
who are entitled to citizenship by birth and those who acquire it by
naturalization may raise questions of compatibility with article 25. State
reports should indicate whether any groups, such as permanent residents, enjoy
these rights on a limited basis, for example, by having the right to vote in
local elections or to hold particular public service positions.
4. Any conditions which apply to the exercise of the rights protected by
article 25 should be based on objective and reasonable criteria. For example,
it may be reasonable to require a higher age for election or appointment to
particular offices than for exercising the right to vote, which should be
available to every adult citizen. The exercise of these rights by citizens
may not be suspended or excluded except on grounds which are established by
law and which are objective and reasonable. For example, established mental
incapacity may be a ground for denying a person the right to vote or to hold
office.

1/ Adopted by the Committee at its 1510th meeting (fifty-seventh
session) on 12 July 1996.
PAGE 21
CCPR/C.21/Rev.1/Add.7
page 4
5. The conduct of public affairs, referred to in paragraph (a), is a broad
concept which relates to the exercise of political power, in particular the
exercise of legislative, executive and administrative powers. It covers all
aspects of public administration, and the formulation and implementation of
policy at international, national, regional and local levels. The allocation
of powers and the means by which individual citizens exercise the right to
participate in the conduct of public affairs protected by article 25 should be
established by the constitution and other laws.
6. Citizens participate directly in the conduct of public affairs when they
exercise power as members of legislative bodies or by holding executive
office. This right of direct participation is supported by paragraph (b).
Citizens also participate directly in the conduct of public affairs when they
choose or change their constitution or decide public issues through a
referendum or other electoral process conducted in accordance with
paragraph (b). Citizens may participate directly by taking part in popular
assemblies which have the power to make decisions about local issues or about
the affairs of a particular community and in bodies established to represent
citizens in consultation with government. Where a mode of direct
participation by citizens is established, no distinction should be made
between citizens as regards their participation on the grounds mentioned in
article 2, paragraph 1, and no unreasonable restrictions should be imposed.
7. Where citizens participate in the conduct of public affairs through
freely chosen representatives, it is implicit in article 25 that those
representatives do in fact exercise governmental power and that they are
accountable through the electoral process for their exercise of that power.
It is also implicit that the representatives exercise only those powers which
are allocated to them in accordance with constitutional provisions.
Participation through freely chosen representatives is exercised through
voting processes which must be established by laws which are in accordance
with paragraph (b).
8. Citizens also take part in the conduct of public affairs by exerting
influence through public debate and dialogue with their representatives or
through their capacity to organize themselves. This participation is
supported by ensuring freedom of expression, assembly and association.
9. Paragraph (b) of article 25 sets out specific provisions dealing with the
right of citizens to take part in the conduct of public affairs as voters or
as candidates for election. Genuine periodic elections in accordance with
paragraph (b) are essential to ensure the accountability of representatives
for the exercise of the legislative or executive powers vested in them. Such
elections must be held at intervals which are not unduly long and which ensure
that the authority of government continues to be based on the free expression
of the will of electors. The rights and obligations provided for in
paragraph (b) should be guaranteed by law.
10. The right to vote at elections and referenda must be established by law
and may be subject only to reasonable restrictions, such as setting a minimum
age limit for the right to vote. It is unreasonable to restrict the right to
PAGE 22
page 5
vote on the ground of physical disability or to impose literacy, educational
or property requirements. Party membership should not be a condition of
eligibility to vote, nor a ground of disqualification.
11. States must take effective measures to ensure that all persons entitled
to vote are able to exercise that right. Where registration of voters is
required, it should be facilitated and obstacles to such registration should
not be imposed. If residence requirements apply to registration, they must be
reasonable, and should not be imposed in such a way as to exclude the homeless
from the right to vote. Any abusive interference with registration or voting
as well as intimidation or coercion of voters should be prohibited by penal
laws and those laws should be strictly enforced. Voter education and
registration campaigns are necessary to ensure the effective exercise of
article 25 rights by an informed community.
12. Freedom of expression, assembly and association are essential conditions
for the effective exercise of the right to vote and must be fully protected.
Positive measures should be taken to overcome specific difficulties, such as
illiteracy, language barriers, poverty or impediments to freedom of movements
which prevent persons entitled to vote from exercising their rights
effectively. Information and materials about voting should be available in
minority languages. Specific methods, such as photographs and symbols, should
be adopted to ensure that illiterate voters have adequate information on which
to base their choice. States parties should indicate in their reports the
manner in which the difficulties highlighted in this paragraph are dealt with.
13. State reports should describe the rules governing the right to vote, and
the application of those rules in the period covered by the report. State
reports should also describe factors which impede citizens from exercising the
right to vote and the positive measures which have been adopted to overcome
these factors.
14. In their reports, States parties should indicate and explain the
legislative provisions which would deprive citizens of their right to vote.
The grounds for such deprivation should be objective and reasonable. If
conviction for an offence is a basis for suspending the right to vote, the
period of such suspension should be proportionate to the offence and the
sentence. Persons who are deprived of liberty but who have not been convicted
should not be excluded from exercising the right to vote.
15. The effective implementation of the right and the opportunity to stand
for elective office ensures that persons entitled to vote have a free choice
of candidates. Any restrictions on the right to stand for election, such as
minimum age, must be justifiable on objective and reasonable criteria.
Persons who are otherwise eligible to stand for election should not be
excluded by unreasonable or discriminatory requirements such as education,
residence or descent, or by reason of political affiliation. No person should
suffer discrimination or disadvantage of any kind because of that person's
candidacy. States parties should indicate and explain the legislative
provisions which exclude any group or category of persons from elective
office.
PAGE 23
page 6
16. Condition relating to nomination dates, fees or deposits should be
reasonable and not discriminatory. If there are reasonable grounds for
regarding certain elective offices as incompatible with tenure of specific
positions, (e.g., the judiciary, high-ranking military office, public
service), measures to avoid any conflicts of interest should not unduly limit
the rights protected by paragraph (b). The grounds for the removal of elected
office holders should be established by laws based on objective and reasonable
criteria and incorporating fair procedures.
17. The right of persons to stand for election should not be limited
unreasonably by requiring candidates to be members of parties or of specific
parties. If a candidate is required to have a minimum number of supporters
for nomination this requirement should be reasonable and not act as a barrier
to candidacy. Without prejudice to paragraph (1) of article 5 of the
Covenant, political opinion may not be used as a ground to deprive any person
of the right to stand for election.
18. State reports should describe the legal provisions which establish the
conditions for holding elective public office, and any limitations and
qualifications which apply to particular offices. Reports should describe
conditions for nomination, e.g. age limits, and any other qualifications or
restrictions. State reports should indicate whether there are restrictions
which preclude persons in public-service positions (including positions in the
police or armed services) from being elected to particular public offices.
The legal grounds and procedures for the removal of elected office holders
should be described.
19. In conformity with paragraph (b), elections must be conducted fairly and
freely on a periodic basis within a framework of laws guaranteeing the
effective exercise of voting rights. Persons entitled to vote must be free to
vote for any candidate for election and for or against any proposal submitted
to referendum or plebiscite, and free to support or to oppose government,
without undue influence or coercion of any kind which may distort or inhibit
the free expression of the elector's will. Voters should be able to form
opinions independently, free of violence or threat of violence, compulsion,
inducement or manipulative interference of any kind. Reasonable limitations
on campaign expenditure may be justified where this is necessary to ensure
that the free choice of voters is not undermined or the democratic process
distorted by the disproportionate expenditure on behalf of any candidate or
party. The results of genuine elections should be respected and implemented.
20. An independent electoral authority should be established to supervise the
electoral process and to ensure that it is conducted fairly, impartially and
in accordance with established laws which are compatible with the Covenant.
States should take measures to guarantee the requirement of the secrecy of the
vote during elections including absentee voting, where such a system exists.
This implies that voters should be protected from any form of coercion or
compulsion to disclose how they intend to vote or how they voted, and from any
unlawful or arbitrary interference with the voting process. Waiver of these
rights is incompatible with article 25 of the Covenant. The security of
ballot boxes must be guaranteed and votes should be counted in the presence of
the candidates or their agents. There should be independent scrutiny of the
voting and counting process and access to judicial review or other equivalent
PAGE 24
page 7
process so that electors have confidence in the security of the ballot and the
counting of the votes. Assistance provided to the disabled, blind or
illiterate should be independent. Electors should be fully informed of these
guarantees.
21. Although the Covenant does not impose any particular electoral system,
any system operating in a State party must be compatible with the rights
protected by article 25 and must guarantee and give effect to the free
expression of the will of the electors. The principle of one person, one vote
must apply, and within the framework of each State's electoral system, the
vote of one elector should be equal to the vote of another. The drawing of
electoral boundaries and the method of allocating votes should not distort the
distribution of voters or discriminate against any group and should not
exclude or restrict unreasonably the right of citizens to choose their
representatives freely.
22. State reports should indicate what measures they have adopted to
guarantee genuine, free and periodic elections and how their electoral system
or systems guarantee and give effect to the free expression of the will of the
electors. Reports should describe the electoral system and explain how the
different political views in the community are represented in elected bodies.
Reports should also describe the laws and procedures which ensure that the
right to vote can in fact be freely exercised by all citizens and indicate how
the secrecy, security and validity of the voting process are guaranteed by
law. The practical implementation of these guarantees in the period covered
by the report should be explained.
23. Subparagraph (c) of article 25 deals with the right and the opportunity
of citizens to have access on general terms of equality to public service
positions. To ensure access on general terms of equality, the criteria and
processes for appointment, promotion, suspension and dismissal must be
objective and reasonable. Affirmative measures may be taken in appropriate
cases to ensure that there is equal access to public service for all citizens.
Basing access to public service on equal opportunity and general principles of
merit, and providing secure tenure, ensure that persons holding public service
positions are free from political interference or pressures. It is of
particular importance to ensure that persons do not suffer discrimination in
the exercise of their rights under article 25, subparagraph (c), on any of the
grounds set out in article 2, paragraph 1.
24. States reports should describe the conditions for access to public
service positions, any restrictions which apply and the processes for
appointment, promotion, suspension and dismissal on removal from office as
well as the judicial or other review mechanisms which apply to these
processes. Reports should also indicate how the requirement for equal access
is met, and whether affirmative measures have been introduced and, if so, to
what extent.
25. In order to ensure the full enjoyment of rights protected by article 25,
the free communication of information and ideas about public and political
issues between citizens, candidates and elected representatives is essential.
This implies a free press and other media able to comment on public issues
without censorship or restraint and to inform public opinion. It requires the
PAGE 25
page 8
full enjoyment and respect for the rights guaranteed in articles 19, 21 and 22
of the Covenant, including freedom to engage in political activity
individually or through political parties and other organizations, freedom to
debate public affairs, to hold peaceful demonstrations and meetings, to
criticize and oppose, to publish political material, to campaign for election
and to advertise political ideas.
26. The right to freedom of association, including the right to form and join
organizations and associations concerned with political and public affairs, is
an essential adjunct to the rights protected by article 25. Political parties
and membership in parties play a significant role in the conduct of public
affairs and the election process. States should ensure that, in their
internal management, political parties respect the applicable provisions of
article 25 in order to enable citizens to exercise their rights thereunder.
27. Having regard to the provisions of article 5, paragraph 1, of the
Covenant, any rights recognized and protected by article 25 may not be
interpreted as implying a right to act or as validating any act aimed at the
destruction or limitation of the rights and freedoms protected by the Covenant
to a greater extent than what is provided for in the present Covenant.
-----
PAGE 26
OVERVIEW OF NOMINATION PROCEDURES IN VARIOUS JURISDICTIONS

The CCPL would like to thank Professor Ma Ngok from the Chinese University of
Hong Kong for sharing this overview, which was originally presented in Chinese. The
translation was provided by the CCPL.

Presidential System

Country Nomination Procedure
Guinea-Bissau ! Party Nomination, or
! Civil Nomination (nomination by 5,000 registered voters,
with nomination by at least 50 registered voters in each
sector) (Population: 1.7 million)
South Korea ! Party Nomination, or
! Civil Nomination (nomination by at least 5,000, but no more
than 7,000, registered voters, with nomination coming from
(at least) 5 sectors (Do), each of which with at least 500
registered voters) (Population: 49 million)
Chile ! Party Nomination, or
! Civil Nomination (nomination by at least 0.5% of the number
of registered voters from the previous parliamentary election)
Malawi ! Civil Nomination (nomination by at least 10 registered voters
from each region (28 regions in total) in the country
(Population: 16.4 million)
Sierra Leone ! Party Nomination
Ghana ! Civil Nomination (nomination by at least 2 registered voters
from each region in the country (216 districts in total)
Angola ! Party Nomination, or
! Civil Nomination (nomination by at least 5,000, but no more
than 10,000, registered voters) (Population: 18.5 million)
Tajikistan ! Civil Nomination (5% of registered voters) after party
nomination
Zambia ! Civil Nomination (nomination by at least 200 registered
voters) (Population: 14.3 million)

PAGE 27

Semi-Presidential System

Country Nomination Procedure
Austria Civil Nomination (nomination by 6,000 registered voters)
Bulgaria Civil Nomination (nomination by 15,000 registered voters)
(Population: 7 million)
Cape Verde Civil Nomination (nomination by at least 1,000, and at most 4,000,
registered voters) (Population: 0.5 million)
Croatia Civil Nomination (nomination by 10,000 registered voters)
Finland ! Party Nomination (nomination by at least 1 member of the
Parliament (Eduskunta)), or
! Civil Nomination (nomination by 20,000 registered voters)
France Nomination by at least 500 members from the French Parliament,
European Parliament or General Councils (conseils gnraux -
assemblies of the French dpartements), where the 500 votes should
come from at least 30 dpartements with no more than 50 votes
from each dpartements)
Georgia Civil Nomination (nomination by 50,000 registered voters)
Iceland Civil Nomination (nomination by at least 1,500, and at most 3,000,
Ireland ! Nomination by 30 members of the Oireachtas ireann (the
national parliament, including the Upper and Lower House), or
! Nomination by Local Councils: by obtaining support by
majority in 4 Local Councils, or
! Automatic Nomination as the incumbent or former President
serving one term
Lithuania Civil Nomination (nomination by 20,000 registered voters)
Macedonia ! Nomination by 30 Members of the Assembly, or
Mali ! Nomination by 10 Members of the National Assembly, or
! Nomination by 5 elected Municipal Councilors from each
PAGE 28
Region)
Mongolia Party Nomination: Parties with a seat in State Great Khural
(Assembly) are eligible to nominate
Montenegro Civil Nomination (1.5% of the number of registered voters)
Namibia ! Party Nomination, or
! Civil Nomination by 300 registered voters, where the 300 votes
should come from at least 10 different regions) (Population: 2.2
million)
Peru Party Nomination: all parties duly registered with the National Jury
of Elections are eligible to nominate
Poland Civil Nomination (nomination by 10,000 registered voters)
Portugal Civil Nomination (nomination by at least 7,500, and at most, 15,000,
Romania Civil Nomination (nomination by 200,000 registered voters)
Senegal

! Party Nomination, or
! Civil Nomination (nomination by 10,000 registered voters,
where the 10,000 votes should come from 6 regions, with at
least 500 votes from each region) (Population: 13.3 million)
Serbia Civil Nomination (nomination by 10,000 registered voters)
Slovak
Republic
! Nomination by 15 Members of the National Council, or
Slovenia ! Nomination by 10 Members of the Slovenian Parliament, or
! Mixed Nomination (Party Nomination and 3 Members of the
Slovenian Parliament and 3,000 registered voters, or
Taiwan ! Party Nomination (Parties which have obtained 5% of the valid
votes in the preceding Presidential or Legislative Yuan election
are eligible to nominate one candidate), or
! Civil Nomination (1.5% of the number of registered voters)
East Timor Civil Nomination (5,000 registered voters) (Population: 1.2 million)
Turkey ! Nomination by 20 members of the Grand National Assembly,
or
! Party Nomination (parties which have obtained over 10% of the
votes in the preceding General Parliamentary Election)
PAGE 29
Russia ! Party Nomination (officially registered parties must have over
40,000 registered party members, and must have established
branches in each of the region in Russia, with at least half of
the total number of branches having 400 or more registered
party members, and the remaining number of branches having
100 or more registered party members. Such officially
registered party must have a seat in State Durma, or must have
seats in over 1/3 regional parliaments, in order to be eligible to
nominate a presidential candidate, or
! Civil Nomination (nomination by 2 million registered voters)
Czech
Republic
! Nomination by Parliament Members (by 20 members of the
Chamber of Deputies or by 10 members of the Senate), or
Kazakhstan Civil Nomination (nomination by 1% of the number of registered
voters, and the nomination is evenly distributed across at least 2/3
of the provinces)
Kyrgyz
Republic
Civil Nomination (nomination by 30,000 registered voters)
Mozambique Civil Nomination (nomination by 100,00 registered voters)

PAGE 30
SUMMARIES: NOMINATION PROCEDURES FOR HEAD OF STATE/GOVERNMENT IN
SELECTED PRESIDENTIAL OR SEMI-PRESIDENTIAL JURISDICTIONS

Number Jurisdiction Page
1 United States (Presidential) 32-33
2 France (Semi-Presidential) 34
3 Poland (Semi-Presidential) 35-36
4 Czech Republic (Semi-Presidential) 37
5 Finland (Semi-Presidential) 38
6 South Korea (Semi-Presidential) 39
7 Brazil (Presidential) 40
8 Russia (Semi-Presidential) 41-42

PAGE 31
United States

The United States is a federal republic with a presidential system. It comprises 50 states, the
District of Columbia, and a number of overseas territories.

Federal legislation sets out the framework for elections, while the implementation of the
electoral process, including the procedures by which a presidential candidate gets on the
ballot, is regulated by state laws. As a result, a wide variety of practices and procedures have
arisen from the federal arrangement.

As of 2 June 2012, there are 146,311,000 registered voters in the United States.

General Eligibility of Presidential Candidates

To be eligible for the presidency, a person must:

(a) be a natural born citizen of the US;
(b) be at least 35 years of age; and
(c) have been resident in the US for at least 14 years.

Nomination Procedure and Threshold

Political party nomination: States allow political parties to nominate candidates if the parties
meet certain criteria, such as winning a requisite percentage of votes cast at a recent election
for a particular office. The threshold ranges from 1% to 20% across the states.

To be included on all state primary ballots, presidential candidates must pay total filing fees
of $8,100. In addition, candidates must submit petition signatures from registered voters, but
the number of signatures required depends upon whether the candidate falls under the
category of "candidates recognized in the news media" or that of other candidates. Each
state has its own requirement regarding the requisite number of supporting signatures.

A candidate recognized in the news media running in the Democratic primary must submit
26,000 signatures nationwide; a Republican counterpart must submit 54,750. On the contrary,
any other candidate is required to submit 112,251 petition signatures to qualify for access to
the Democratic primary ballot or 141,001 signatures for the Republican.

Primary election: Each state is free to decide whether to hold a closed or an open primary
election. Most states choose the closed primary election. Primaries may be a winner-take-all
primary", under which the winner gets all delegates in the state, or a proportional primary"
under which delegates are awarded in proportion to the votes that each candidate wins in the
primary. Most of the Republican Party primaries are of the former category, whereas all
primaries held by the Democratic Party are of the latter.

Number of candidates: No statutes have specifically restricted the number of candidates that a
political party can nominate for a presidential election.

Nomination by Petition: All states set out procedure allowing (a) candidates from small
political organizations which are not eligible to nominate candidates and (b) independent
candidates to obtain ballot access by public support. Potential candidates are required to
collect the requisite number of supporting signatures in each state to file the petition.

Independent presidential candidates and third party nominees need approximately 750,000
valid signatures in order to get on the general election ballots of all states. Each state has its
PAGE 32
own requirement regarding the requisite number of supporting signatures. A summary of
petition requirements for independent candidates in each state, prepared by the Research
Office of the Hong Kong Legislative Council is included at the end of this summary.

Number of candidates: No statutes have set a limit on the total number of candidates
appearing on the ballots. As restricted by the state ballot access law, some candidates may be
able to appear on the ballots in some but not all of the 50 states.

Reference

1. About.com <http://www.about.com/>
2. Ballot Access News <http://www.ballot-access.org/>
3. Department of State: USA Elections in Brief <http://photos.state.gov/
libraries/amgov/30145/publications-english/USA_Elections_InBrief.pdf>

PAGE 33

France

France is a republic with a semi-presidential system of government, under which the
executive power is shared between the President and the Prime Minister.

The Prime Minister is appointed by the President, and this appointment is not subject to
parliamentary confirmation. However, should the National Assembly (the lower House of
Parliament) pass a resolution of no-confidence or fail to endorse a government programme or
general policy statement, the Prime Minister must tender the resignation of the government to
the President. Hence, the Prime Minister is usually chosen on the basis that he or she can
garner majority support in the National Assembly.

The Constitutional Council is responsible for, among other things, assessing presidential
candidates' eligibility and carrying out all relevant factual and legal checks. It comprises
former Presidents and nine members. Among the nine members, the incumbent President
appoints three members (including the presiding member), while the Presidents of the Senate
and the National Assembly each appoint three members.


In order to be registered as a candidate in the presidential election, a person must:

(a) of French nationality;
(b) at least 18 years of age;
(c) on the electoral roll in his or her commune of residence; and
(d) in full possession of civic rights.


Potential candidates must have public endorsement of at least 500 "sponsors" who are
officials elected directly or indirectly by universal suffrage. These holders of public office can
be categorized as: (a) Members of the National Assembly and Senators; (b) Members of the
European Parliament; (c) councillors of regional and dpartmental 10 legislatures; (d)
mayors; and (e) presidents of governing authorities and assembly members of overseas
territories. Around 47 000 offices confer the right to nominate candidate, which corresponds
overall to around 42 000 elected officials. Each elected official can only make one
nomination regardless of the number of public offices he or she holds.

There is no upper limit on the number of sponsors a candidate may have. Nevertheless, a
candidate must show broadly-based support by having sponsors coming from at least 30 of
the 101 dpartments and seven overseas territories. Moreover, not more than 10% of the
required sponsors, i.e. 50 sponsors, can come from a single dpartment or overseas territory.

Reference

1. Election Resources on the Internet: Presidential and Legislative Elections in France
<http://www.electionresources.org/fr/>
2. In a Political Ritual, Candidates Tour France in a Race for 500 Signatures, New
York Times (30 January 2012) <http://www.nytimes.com/2012/01/31/world/europe/
in-political-rite-french-hopefuls-seek-500-backers.html?_r=0>

PAGE 34
Poland

Poland is a newly democratized parliamentary republic featuring a semi-presidential system.
While the President still wields significant influence, particularly on areas relating to national
defense and foreign policy, the Prime Minister leads most government policy.

The National Electoral Commission, comprising nine judges: three from the Constitutional
Tribunal, three from the Supreme Court and three from the Supreme Administrative Court, is
the supreme electoral body in Poland. It organizes and supervises other electoral
commissions, registration of presidential candidates and proclamation of the election results.


In order to be registered as a candidate in the presidential election, a person must:

(a) be a Polish citizen;
(b) be at least 35 years of age on the day of the first round of the election; and
(c) collect signatures of at least 100,000 voters who hold the right to vote in elections of
the Sejm (the Lower House of Parliament).


Election Committee: The nominations of party-affiliated and independent presidential
candidates require the formation of an election committee. According to the Presidential
Election Law, at least 15 citizens with the right to vote shall form an election committee to
nominate a candidate and conduct election campaign exclusively for the said candidate.

Each election committee has to appoint from among its members (a) a legal representative to
act for and on behalf of the committee, and (b) a financial representative to manage the
financial matters. The legal representative will inform the National Electoral Commission of
the establishment of the election committee.

Registration Process: The legal representative of the election committee has to collect
signatures of at least 1,000 citizens who support the potential candidate and submit these
signatures to the National Electoral Commission for the registration of the election
committee. These 1,000 signatures are counted as part of the required 100,000 signed
endorsements.

The National Electoral Commission examines whether each nomination submitted has
conformed to the following rules: (a) the candidate has met all the requirements; (b) the data
contained in the nomination tally with those in the official documents; and (c) the submitted
nomination has been supported by at least 100,000 citizens. The National Electoral
Commission registers the candidate if his or her nomination is made in accordance with the
relevant rules.

Nomination Threshold: After the registration, the election committee should gather all the
required 100,000 signatures. Its legal representative should submit the signatures gathered to
the National Electoral Commission personally no later than noon on the 45th day before
polling day. There is no prescribed upper limit for the number of signatures gathered.

Number of Candidates: The electoral law does not set out any specified limit for the total
number of presidential candidates. All qualified candidates can run for the presidency.

Involvement of Political Parties: Although nomination is not made by political parties,
PAGE 35
political parties are allowed to provide funding for the election campaigns of presidential
candidates. Furthermore, there are no legal restrictions on the number of presidential
candidates that a political party may support.

Reference

1. The official website of the President of the Republic of Poland.
<http://www.president.pl/en/>
2. Presidential Election Law (1990) on Election of the President of the Republic of
Poland <http://www.legislationline.org/documents/id/4542>
3. National Election Commission. Elections of the President of the Republic of Poland
in 2010 Information <http://cesko.ge/files/all/mk/aceeeo/presentations/poland_
elections_eng.pdf>

PAGE 36
Czech Republic

The Czech Republic is a semi-presidential jurisdiction where the President has a considerable
role in political affairs. Because many of his powers can only be exercised with the signatures
of both himself and the Prime Minister of the Czech Republic, responsibility over some
political issues is effectively shared between the two offices.

Until 2012, the office of president was filled following an indirect election by the Parliament
of the Czech Republic involving multiple ballots, and that nominees to the office must be put
forward by no fewer than 10 Deputies or 10 Senators. However, a change to a direct election,
with the entire Czech Republic as the electorate, was legally enforced on 1 October 2012.


Reading Articles 19 and 57 of the Constitution of the Czech Republic together, candidates
standing for office must be 40 years of age, and must not have already been elected twice
consecutively.


In order to be a candidate, an individual needs to gather:

(1) 50,000 signatures from registered voters; or
(2) the support of twenty Deputies or ten Senators.

The candidates were bound to file their applications with the signatures sixty-six days before
the election; following which the Interior Ministry verified a sampling of the signatures.

Every candidate must form an election committee to be responsible for the campaign funding.
The money is to be deposited in a special account. Anonymous campaigns are to be banned.

Reference

1. Constitution of the Czech Republic <http://www.usoud.cz/fileadmin/user_upload/
Tiskova_mluvci/Ustava_EN_ve_zneni_zak_c._98-2013.pdf>
2. Czech Republic to hold first direct presidential election in January 2013, New
Europe (2 August 2012) <http://www.neurope.eu/article/czech-republic-hold-first-
direct-presidential-election-january>
3. Klaus signs direct presidential election bill, Prague Monitor (2 August 2012)
<http://praguemonitor.com/2012/08/02/klaus-signs-direct-presidential-election-bill>

PAGE 37
Finland

Finland is a semi-presidential republic, where the highest State bodies are the Parliament, the
President of the Republic and the Government (Council of State). The governmental powers
are exercised by the President and the Government. The duties of the President mainly related
to foreign policy. The President mainly takes his or her decisions on the proposal of the
Government. The President appoints the Prime Minister on the proposal of the Parliament and
other ministers on the proposal of the Prime Minister.


According to the Finnish Constitution, the President of the Republic is elected by a direct
vote. Section 54 of the Constitution states that the President shall be a native-born
Finnish citizen. While there is no age requirement for presidential candidates stated in
the Constitution, since every Finnish citizen who has reached eighteen years of age has
the right to vote in presidential elections, it can be readily inferred that the candidate must
be at least eighteen years old.


A presidential candidate may be nominated:

(1) by registered parties from whose lists at least one representative was elected in
the parliamentary elections preceding the presidential elections; or
(2) by constituency associations established by at least 20,000 people entitled to
vote.

Each party chooses its candidate according to its own rules and regulations.

The candidates enter as candidates in the entire country. A party and constituency
association shall submit its candidate application to the Electoral District Committee of
Helsinki not later than 40 days before election day at 4 p.m. The Committee checks the
applications and confirms the nomination of candidates 31 days before election day by
compiling a list of candidates in which the candidates are enumerated in an order drawn
by lot.

Section 54 of the Constitution states: if only one presidential candidate has been nominated,
he or she is appointed President without an election.

Reference

1. The Official Website of the President of the Republic of Finland <http://www.tpk.fi/
public/default.aspx?nodeid=44819&culture=en-US&contentlan=2>
2. Election Unit, the Ministry of Justice, Republic of Finland <http://www.vaalit.fi/
15505.htm>
3. The Constitution of the Republic of Finland <http://www.finlex.fi/fi/laki/kaannokset/
1999/en19990731.pdf>

PAGE 38
South Korea

South Korea is a semi-presidential jurisdiction where the President is head of the state and the
commander-in-chief. The President is directly elected by plurality vote, and appoints a Prime
Minister with the consent of the National Assembly.


A national who is forty years of age or above and who has resided in the country for five
years or longer as of the Election Day is eligible to run for the presidential election.


In the presidential election, the majority representation system is used. If there is only one
candidate running for the office, he or she is required to gain more than one third of the total
number of the voters in order to be elected to the office.

Political party nomination: If a member of a political party stands for an election, he or she
needs the endorsement by a political party.

When any political party intends to recommend its members as candidates, it shall do so
according to democratic procedures. For instance, the 2012 Democratic United Party
presidential primary saw an open primary system implemented for the first time - a registered
voter may vote in any party primary regardless of his own party affiliation. It also introduced
mobile voting.

Candidates of intraparty competition for public official elections who fail to be elected as a
candidate of the relevant political party shall be prohibited from being registered as a
candidate for the relevant election of the same constituency.

Civil nomination: If a person who is not a member of a political party stands for an election,
he or she must be endorsed by at least 3,500, but no more than 5,000, registered voters.
Nomination coming from (at least) 5 sectors (Si or Do), each of which with at least 700
registered voters.

Public officials and any person who are restricted from becoming a candidate due to their
posts shall resign from their posts 90 days before the election day; and documents on
property, military service records, criminal records, certificates of final academic
backgrounds, tax payment history over the last 5 years, and default history shall be submitted
to the competent election commission during the candidate registration period.

Reference

1. Elections for Public Office, National Election Commission of the Republic of Korea,
<http://www.nec.go.kr/engvote_2013/02_elections/01_03.jsp>

PAGE 39
Brazil

Brazil is a federal republic with a presidential system where the President is both head of state
and head of government of the Union.


Article 14 of the Constitution of the Federative Republic of Brazil states that the conditions
for eligibility, according to the law, are:

(1) the Brazilian nationality;
(2) the full exercise of the political rights;
(3) the electoral enrollment;
(4) the electoral domicile in the electoral district;
(5) the membership in a political party;
(6) the minimum age of thirty-five years for President


Political party nomination: Since conditions for eligibility stipulate membership in a political
party, the only means by which a person can obtain candidacy is via political party
nomination.

Law No. 9,096, of 19 September 1995 gives parties the right to determine how they pick their
candidates internally, and each party's rules define the procedures for choosing candidates.

Both the Worker's Party and Brazilian Social Democracy Party, for example, allow for
internal elections by party members if there is more than one potential presidential candidate.
Otherwise, delegates elected by registered party members at the local and state levels choose
the presidential candidate at national party conventions.

Candidates are officially confirmed at the conventions. During federal-level party
conventions, each party finalizes its nominees for president and vice president.

Reference

1. The Constitution of the Federative Republic of Brazil <http://www.wipo.int/wipolex/
en/text.jsp?file_id=267224>
2. Law No. 9,096, of 19 September 1995 <http://www.planalto.gov.br/ccivil_03/
leis/l9096.htm>
3. Explainer: Choosing Latin American Presidential Candidates in 2014, Americas
Society/Council of the Americas (AS/COA) <http://www.as-coa.org/articles/
explainer-choosing-latin-american-presidential-candidates-2014 - Brazil>

PAGE 40
Russia
1

The Russian Federation is a federal semi-presidential republic, in which the executive power
is shared between the President and the Prime Minister.

A presidential candidate must:

(1) Be of Russian citizenship
(2) Be aged 35 or above
(3) Have been a resident in the country for at least 10 years; and
(4) Not hold citizenship or right of residence in another country.


(1) Political party nomination:

Political parties can nominate a candidate only if they are lawfully registered on the date
the election is announced. The requirements for registration include a minimum of
40,000 members, branches with at least 400 members in more than half the 83 regions of
the Federation and no less than 150 members in the remaining regional branches.
With the above requirements as the backdrop, candidates can be nominated via three
means of political party nomination:

(i) Parties winning any number of seats in the immediately preceding Duma (lower
House of the Parliament) election automatically have the right to nominate a
presidential candidate. A party candidate has to be endorsed by a party conference
and have his or her credentials presented to the Central Electoral Commission
within 25 days of the announcement of the election.

(ii) Parties with seats in no less than one third of the legislative assemblies of the 83
regions of the Federation also have the right to nominate a presidential candidate.

(iii) Other legally registered parties can nominate candidates within the same time
scale and in accordance with the same procedures in (i) or (ii) as the
aforementioned parties, subject to the further requirement of signed endorsements
from 100,000 (as opposed to the previous 2 million) voters from an electorate of
approximately 100 million. No more than 2,500 (as opposed to the previous
50,000) of these signatures can be from any one of the 83 regions.

(2) Civil nomination:

Candidates can stand as independents by registering a supporters' group with the Central
Electoral Commission within 20 days of the formal announcement of the election. They
are to raise no less than 300,000 (as opposed to the previous 2 million) signatures with
no more than 7,500 signatures to be collected in any one region, in order to be confirmed
for a place on the ballot.

1
Russia Votes, The Levada Center (Moscow) and Center for the Study of Public Policy (University of
Strathclyde) <http://www.russiavotes.org/president/presidency_electoral_system.php>; Law freeing
political parties from collecting signatures in order to take part in election (02/05/2012)
<http://eng.kremlin.ru/news/3724>; Medvedev Signs Off on Election, Party Signature Laws
(02/05/2012) <http://en.ria.ru/society/20120502/173168974.html>
PAGE 41
Within five days after filing complete nomination papers, the Central Electoral Commission
either accepts or rejects the nomination on stated grounds. Candidates have a right of appeal
to the Supreme Court, which has to rule within five days.
Reference

1. Russia Votes, The Levada Center (Moscow) and Center for the Study of Public
Policy (University of Strathclyde) <http://www.russiavotes.org/president/presidency
_electoral_system.php>
2. Law freeing political parties from collecting signatures in order to take part in
election, Kremlin News (2 May 2012) <http://eng.kremlin.ru/news/3724>
3. Medvedev Signs Off on Election, Party Signature Laws, Ria Novosti (2 May 2012)
<http://en.ria.ru/society/20120502/173168974.html>
PAGE 42
Legislative Council Secretariat Nomination and voting procedures governing
presidential elections in selected places

Research Office page 46
Appendix I

Summary of petition requirements for independent candidates

State/District Petition requirements for independent candidates
Alabama containing signatures of at least 5 000 qualified electors
Alaska containing signatures of qualified voters equal to at least 1%
of the number of votes cast at the last presidential election
Arizona containing signatures equal to 3% of the registered voters in
the state
Arkansas containing names of 1 000 qualified electors
California signed by the number of voters equal to at least 1% of the
entire number of registered voters in the state
Colorado containing signatures of at least 5 000 eligible electors
a fee of US$500 (HK$3,880)
Connecticut containing signatures of qualified electors equal to the lesser
of 1% of the votes cast at the last presidential election, or
7 500
Delaware sworn declaration of non-affiliation and a nominating petition
signed by at least 1% of the total number of registered voters
as of 31 December of the year immediately preceding the
general election
District of
Columbia
signed by at least 1% of registered qualified electors of the
District of Columbia
Florida signed by 1% of the registered electors of the state
Georgia signed by the number of voters equal to 1% of the total
number of registered voters eligible to vote in the last
presidential election
a qualifying fee equal to 3% of the annual fee of the office
Hawaii containing signatures of at least 1% of the number of votes
cast in the state at the last presidential election
PAGE 43

Appendix I (cont'd)


Idaho signed by 1 000 qualified electors
Illinois signed by 1% of the number of voters who voted at the next
preceding statewide general election or 25 000 qualified
voters, whichever is less
Indiana containing the signatures of registered voters equal to 2% of
the votes cast at the last election for secretary of state
Iowa signed by at least 1 500 eligible electors residing in at least
10 counties of the state
Kansas signed by at least 5 000 qualified voters
Kentucky signed by at least 5 000 registered voters
Louisiana containing at least 5 000 signatures of registered voters, at
least 500 of which must be obtained in each of the
congressional districts
Maine signed by at least 4 000 and not more than 6 000 voters
Maryland containing the signatures of at least 1% of the registers voters
of the state
Massachusetts containing the signatures of at least 10 000 voters
Michigan signed by a number of qualified and registered electors of the
state equal to not less than 1% of the total number of votes
cast for all candidates for governor at the last election in
which a governor was elected
at least 100 registered electors in each of at least of the
congressional districts of the state
Minnesota containing the signatures of at least 2 000 eligible voters
Mississippi containing the signatures of 1 000 qualified electors
Missouri containing the signatures of at least 10 000 registered voters
PAGE 44

Appendix I (cont'd)


Montana containing the signatures of electors equal to 5% or more of
the total votes cast for the successful candidate for governor at
the last general election, or 5 000 electors, whichever is less
Nebraska containing the signatures of at least 2 500 registered voters
who did not vote in the primary election of any political party
that held a presidential preference primary election
Nevada containing the signatures of registered voters equal to at least
1% of the total number of votes cast at the last preceding
general election for the office of representative in Congress
a filing fee of US$250 (HK$1,940)
New
Hampshire
containing the signatures of 3 000 registered voters,
1 500 from each congressional district in the state
a fee of US$250 (HK$1,940)
New J ersey containing the signatures of 800 legally qualified voters of the
state
New Mexico containing the signatures of voters equal to at least 3% of the
total vote cast for governor at the last preceding general
election for that office
New York containing 15 000 signatures, with at least 100 signatures
coming from each of of the congressional districts in the
state
North
Carolina
containing the signatures of registered voters equal to 2% of
the total number of voters who voted in the most recent
general election for governor
signed by at least 200 registered voters from each of the
4 congressional districts in the state
North Dakota containing the signatures of 4 000 qualified electors
Ohio containing the signatures of at least 5 000 qualified electors
PAGE 45

Appendix I (cont'd)


Oklahoma containing the signatures of registered voters equal to at least
3% of the total votes cast in the last general election for
President
Oregon containing the signatures of individual electors equal to not
less than 1% of the total votes cast for all candidates for
presidential electors at the last general election
Pennsylvania containing the signatures of qualified electors equal to at least
2% of the largest entire vote cast for any elected candidate in
the state at the last preceding election at which statewide
candidates were voted for
a fee of US$200 (HK$1,552)
Rhode Island containing the signatures of 1 000 voters
South
Carolina
containing the signatures of at least 5% of qualified registered
electors, provided that the petition candidate is not required to
furnish more than 10 000 signatures
South Dakota containing the number of signatures equal to at least 1% of the
total combined vote cast for governor at the last certified
gubernatorial election
Tennessee containing the signatures of 25 or more registered voters for
each elector allotted to the state, which totals 275 valid
signatures
Texas containing the number of signatures equal to at least 1% of the
total votes received in the state by all candidates for President
in the most recent presidential election
Utah containing the signatures of 1 000 registered voters
a fee of US$500 (HK$3,880)
Vermont containing the signatures of 1 000 registered voters

PAGE 46

Appendix I (cont'd)


Virginia containing the signatures of at least 10 000 qualified voters
including signatures of at least 400 qualified voters from each
congressional district
Washington holding an organized assembly attended by at least
100 registered voters
a petition containing the signatures of at least 1 000 registered
voters and certificate of nomination filed no later than
one week after the convention is held
West Virginia containing the signatures of registered voters equal to at least
1% of the total votes cast for President in the last preceding
presidential election
a fee equivalent to 1% of the annual salary of the office,
provided that the filing fee for President or Vice President
must not exceed US$2,500 (HK$19,400)
Wisconsin containing between 2 000 and 4 000 signatures
Wyoming containing the signatures of registered electors numbering not
less than 2% of the total number of votes cast for US
representative in the last general election
a fee of US$200 (HK$1,552)
Sources: National Association of Secretaries of States (2012) and District of Columbia Code.
PAGE 47
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PAGE 48
Compendium of
International Standards for Elections
Second Edition
PAGE 49
NEEDS European Commission
6 Chancel Street 200, Rue de la Loi
London SE1 0UU B-1040 Brussels
United Kingdom Belgium
Graphic design: Frjdlund Grafisk Form AB
Cover photos: Ana Paula Alfonso, Salvador Gin, Isabel Ribot, Sonia Sapienza, Jan Solovic
Printed by Elanders Graphic Systems AB, Sweden
ISBN 978-91-633-1479-7
PAGE 50
1
1. Introduction
International standards for elections stem from political rights and fundamental
freedoms established by universal and regional treaties and political commitments.
These provide a basis for the assessment of election processes by both international
and domestic election observers.
The principal universal legal instruments are the Universal Declaration of
Human Rights (UDHR), much of which has the force of international custom-
ary law, and the International Covenant on Civil and Political Rights (ICCPR),
which has been signed and ratified by over 160 States and is legally binding on all
ratifying countries. In addition to having legal force, these instruments have strong
political and moral force. Other universal treaties also provide standards for the
conduct of elections. These include the International Convention on the Elimi-
nation of All Forms of Racial Discrimination (ICERD), the Convention on the
Elimination of All Forms of Discrimination Against Women (CEDAW) and the
Convention on the Rights of Persons with Disabilities (CRPWD).
Regional instruments, agreed to by states within a geographic region or as
members of an international organisation, include both treaties and political
commitments. The organisations that have agreed such instruments include the
African Union (AU), the Economic Community of West African States (ECOW-
AS), the Southern African Development Community (SADC), the Organization
of American States (OAS), the Council of Europe (CoE), the Organization for
Security and Co-operation in Europe (OSCE), the Commonwealth of Inde-
pendent States (CIS), the League of Arab States (LAS), the Organization of the
Islamic Conference (OIC) and the Commonwealth.
This compendium, which has been revised and updated since it was first
published in 2005, outlines the obligations and commitments made by each state.
It lists the signatories of all key international and regional instruments and includes
relevant text and commentary. The compendium has been developed for use by elec-
tion observers, as well as election administrators and others responsible for, and inter-
ested in, the conduct of elections. It will therefore be of interest to state authorities,
PAGE 51
political parties, the media, civil society organisations, international organisations,
diplomats and academics.
Since the year 2000, the European Union has been committed to undertak-
ing comprehensive, long-term observation through the deployment of Election
Observation Missions (EOMs), which are independent in their findings and
conclusions. During this time, understanding and use of international standards
has grown. Furthermore, standards for the conduct of international election obser-
vation have been established through the Declaration of Principles for Interna-
tional Election Observation, commemorated at the United Nations in October
2005. Both the European Commission and the European Parliament have
endorsed the Declaration. With the publication of the second edition of the Hand-
book for EU Election Observation, based on the use of international standards,
it is hoped that reference to such standards will intensify in the assessment and
reporting of EU EOMs, as well as in the work of other international and domes-
tic observers and election stakeholders.
As there will be on-going developments in international law and politics, the
reader is advised to check for any change since 1 May 2007. For a comprehen-
sive guide as to what amounts to best practice for elections, which should also be
considered by international and domestic observers, readers are advised to refer
to the ACE Electoral Knowledge Network (www.aceproject.org).
For elections to be credible, international standards need to be understood by
election stakeholders and met in practice. For observation to be effective, interna-
tional standards should be the basis of methodology and analysis. This compendium
is intended to assist in the consistent and constructive implementation of election
observation, which can thus promote improvements in the conduct of elections.
2
I NTRODUCTI ON
PAGE 52
Abbreviations
ACHPR African Charter on Human and Peoples Rights
ACHPR-PW Protocol to the African Charter on Human and Peoples Rights on the
Rights of Women in Africa
ACP African, Caribbean and Pacific States
Afr.Comm.HPR African Commission on Human and Peoples Rights
AmCHR American Convention on Human Rights
AmCPRW Inter-American Convention on the Granting of Political Rights to
Women
AU African Union
CEDAW Convention on the Elimination of All Forms of Discrimination against
Women
CIS Commonwealth of Independent States
CoE Council of Europe
Comm. Communication
CPFPL Convention on the Participation of Foreigners in Public Life at Local
Level
CRPD Convention on the Rights of Persons with Disabilities
ECHR Convention for the Protection of Human Rights and Fundamental
Freedoms (European Convention on Human Rights)
ECHR-P1 First Protocol to the Convention for the Protection of Human Rights
and Fundamental Freedoms
ECLSG European Charter of Local Self-Government
ECommHR European Commission of Human Rights
ECOWAS Economic Community of West African States
ECtHR European Court of Human Rights
EOM Election Observation Mission
EU European Union
FCPNM Framework Convention for the Protection of National Minorities
HRC Human Rights Committee
ICCPR International Covenant on Civil and Political Rights
ICERD International Convention on the Elimination of All Forms of Racial
Discrimination
IPU Inter-Parliamentary Union
LAS League of Arab States
MWC International Convention on the Protection of the Rights of All
Migrant Workers and Members of Their Families
NEEDS Network of Europeans for Electoral and Democracy Support
NEPAD New Partnership for Africas Development
OAS Organization of American States
OAU Organisation of African Unity
OIC Organization of the Islamic Conference
OSCE Organization for Security and Cooperation in Europe
SADC Southern African Development Community
UDHR Universal Declaration on Human Rights
UN United Nations
3
I NTRODUCTI ON
PAGE 53
4
2. International Human Rights Norms
and the Right to Participation
2.1 Introduction
Before World War II, no comprehensive set of human rights existed at the inter-
national level. Rules concerning participation were confined to the sphere of
national legislation and were in many cases provided for in a general manner in
the constitutions of the countries existing at that time.
Following World War II, the conviction that such rights should be granted in
a binding form at international rather than national level began to take hold. The
Charter of the United Nations (UN) adopted in 1945 mentioned the concept of
human rights in a number of articles, but the content of human rights was not
spelled out in that context. Instead, the UN charged a committee with the task
of formulating these human rights for later adoption of a Bill of Human Rights.
This work led to the adoption of the Universal Declaration of Human Rights (here-
inafter: the Universal Declaration) by the United Nations General Assembly in
December 1948, an adoption that took place just before the so-called Cold War
broke out. It is important to remember that the Universal Declaration, formally
speaking, is not a treaty about human rights but a non-binding resolution only.
However, it contains at least a number of norms which have the status of custom-
ary international law. In addition, the Universal Declaration expresses a strong moral
standard.
The adoption of the Universal Declaration marked the beginning of the devel-
opment of participation as a human right. Participation directly or through freely
chosen representatives is the norm to which a number of other substantive human
rights are connected. Democracy, however, is not prescribed in the Universal
Declaration, nor is it defined. As a matter of fact, democracy is usually not
mentioned as a term connected to participation in human rights documents.
PAGE 54
Article 21 of the Universal Declaration of Human Rights (UDHR) (1948)
1. Everyone has the right to take part in the government of his country,
directly or through freely chosen representatives.
2. Everyone has the right of equal access to public service in his country.
3. The will of the people shall be the basis of the authority of government;
this will shall be expressed in periodic and genuine elections which shall
be by universal and equal suffrage and shall be held by secret vote or by
equivalent free voting procedures.
In the Universal Declaration, the right to participation is included in Article 21.
Whilst the article does not make any distinction between individuals on the basis
of, for instance, citizenship, the norm obviously presumes an organic link of some
sort to a particular country, either on the basis of residence or citizenship.
The article is mainly concerned with the level of central government, rather than
regional or local government. While the exact body in which everyone is entit led
to participate is not specified, it could be the parliament or even the executive in
cases where the executive is elected. However, it is clear that the judiciary is outside
the scope of Article 21, because of the reference to government.
Participation in the government of a country should, according to Article 21,
be either direct or through freely chosen representatives. It is easy to make a
prima facie conclusion that such participation is determined either through a refer-
endum or an election.
In Article 21(3), it is said that the will of the people shall be the basis of the
authority of government. Hence the exercise of public power is to be legitimised
by the people. However, the sentence does not say very much about how the legit-
imacy of government is to be created. The minimum level of participation in govern-
ment is defined after the semi-colon, where an explanation is given of how the
will of the people shall be expressed, with reference to a series of election elements.
The first requirement in Article 21(3) is that elections must indeed be held;
otherwise the government does not ground its authority in the will of the people.
The other elements are periodic elections, genuine elections, universal suffrage,
equal suffrage, and secrecy of the vote.
The requirement for periodic elections implies that a countrys legislation should
prescribe a certain period after which elections must take place. Nothing is said
about the length of the period, although it should probably not be unduly long,
but limited to a maximum of 56 years. This element also contains the implicit
5
I NTERNATI ONAL HUMAN RI GHTS NORMS AND THE RI GHT TO PARTI CI PATI ON
PAGE 55
need for a responsive and independent election administration or other such
structure to ensure the timely holding of the election.
The element of genuine elections may be understood at two levels. At the high-
er or broader level, the adjective genuine can be seen to bring in the so-called adja-
cent political freedoms and rights, such as the freedom of expression, assembly,
association, and movement. At the lower or narrower level, the element of a genuine
election should include a real choice for voters between political contestants.
Universal suffrage defines the electorate. This element concerns who, among
the everyone, that should have the right to participate in elections, with a prem-
ise that it should be defined in terms as inclusive as possible. It is implicitly under-
stood that a relationship of some sort between the individual and the country in
question can be required, in addition to the usual requirement for a minimum age.
The reference to equal suffrage is related to equality among the electorate in
the actual voting. At the outset, equal suffrage translates into the maxim one person,
one vote. That is to say, voters should have an equal number of votes at their disposal
when carrying out the act of voting. Also, each vote should count more or less the
same, with implications for the delineation of electoral district boundaries. Gerry-
mandering, that is, opportune changing of electoral boundaries in bad faith, is inad-
missible under the principle of equal suffrage.
The element of a secret vote is quite clear, at least in principle. It holds that the
voter should cast his or her vote in secret. Nobody else should be able to see how
the voter votes, guaranteeing that the person is actually in a position to vote accord-
ing to his or her own conviction, free from influence and coercion from anybody
else during the act of voting. The secrecy of the vote should also imply that it is
impossible to attribute a vote, marked in the secrecy of the polling booth, to any
particular voter. Rather, the ballot paper, when marked and dropped into the ballot
box, must be completely anonymous in relation to the voter who marked it.
There may of course be special procedures for persons unable to mark the ballot
paper themselves, such as illiterate or physically impaired voters. As far as possible,
the secrecy of the vote should be respected for these persons as well. This is part-
ly provided for in the qualification of secrecy of the vote, which provides for
equivalent free voting procedures.
The various electoral elements found in Article 21(3) of the Universal Declara-
tion provide an operational dimension to the right to participation that is relevant
as a starting point for election observation.
6
PAGE 56
2.2 The Global Norm of Participation
The plan to create a global Bill of Human Rights came to its completion in 1966
with the adoption of the two UN Covenants, the one on Civil and Political Rights
(hereinafter: the ICCPR) and the other on Economic, Social and Cultural Rights.
In relation to the Charter of the United Nations and the Universal Declaration
of Human Rights, the two UN Covenants implement the Universal Declaration
by creating a binding set of human rights norms at the level of international law.
Article 25 of the International Covenant on Civil and Political Rights (ICCPR)
(1966)
Every citizen shall have the right and the opportunity, without any of the
distinctions mentioned in article 2 and without unreasonable restrictions:
(a) To take part in the conduct of public affairs, directly or through freely
chosen representatives;
(b) To vote and to be elected at genuine periodic elections which shall be by
universal and equal suffrage and shall be held by secret ballot,
guaranteeing the free expression of the will of the electors;
(c) To have access, on general terms of equality, to public service in his country.
Although Article 25 of the ICCPR is about participation, it does not mention
the word democracy. In fact, it deserves to be repeated that very few human rights
documents do, and when so, mainly in the preamble of the convention. How ever,
Article 25 does introduce a number of human rights aspects into the electoral process,
and identifies elections as a central component of participation while defining a
number of election-related elements as a minimum level of participation.
In General Comment 25 by the UN Human Rights Committee (hereinafter:
HRC)
1
concerning Article 25 of the ICCPR, it is stated that whatever form of
constitution or government is in force, the ICCPR requires states to adopt such
legislative and other measures that may be necessary to ensure that citizens have
an effective opportunity to enjoy the rights it protects. This statement reflects the
nature of the ICCPR and Article 25 as a legally binding human rights document
and norm, creating formal obligations for states that have signed and ratified the
ICCPR. Against this background, the ICCPR is clearly a binding human rights
norm at the level of international law. Correspondingly, Article 25 of the ICCPR
is binding in relation to the states that have ratified it. As a consequence, the provision
7
PAGE 57
emerges as a norm that specifies in a legally binding form the contents of Article
21 in the Universal Declaration concerning the modalities of participation.
Article 25 of the ICCPR opens up with a chapeau containing a reference to
every citizen. This is clearly a specification and delimitation of the contents of
Article 21 in the Universal Declaration, where the terms everyone and govern-
ment of his country are used. Now the situation is clear concerning the exercise
of the sovereign law-making powers: the states may limit the rights guaranteed
in Article 25 of the ICCPR to that group of persons the state itself has recog-
nised as being its citizens.
The reference to not only the right but also the opportunity to take part differs,
too, from Article 21 in the Universal Declaration. This reference is there to make
clear to the states that the right to participate should not only be guaranteed as a
right de jure, but also as a right de facto. Thus, the state is required to take so-called
positive measures to realise the right to participate. Such positive measures may
include, for example, the effective registration of voters that is as inclusive as pos -
sible, the provision of accessible and inclusive registration procedures for candi-
dates, and the convenient locating of polling stations.
The distinctions referred to in Article 2 of the ICCPR include discrimination
on the basis of race, colour, sex, language, religion, political or other opinion, nation-
al or social origin, property, birth or other status. These grounds of distinction are
examples through which prohibited discrimination can be identified. The refer-
ence to Article 2 brings prohibition of discrimination into the ambit of Article
25 of the ICCPR, but it should be noted that such a dimension is included already
in the very first word of Article 25: every.
As concerns the unreasonable restrictions referred to in the chapeau, nothing
specific is mentioned. This means that the content of such restrictions is a matter
of interpretation. The treaty-body created to oversee the implementation of the
ICCPR, the UN HRC, is obviously the body which especially on the basis of
individual complaints that it receives determines what is to be understood by
unreasonable restrictions. Comments upon such restrictions may be found, for
instance, in the cases of Peter Chiiko Bwalya v. Zambia, Mtyus v. Slovakia, and
Antonina Ignatane v. Latvia (see footnotes below).
Paragraph (a) of Article 25 is a so-called take part clause, but in comparison
with Article 21 of the Universal Declaration, the institutional scope of Article 25
is much broader. Whereas Article 21 is primarily focused on the government of
a country, Article 25 of the ICCPR refers to the conduct of public affairs. Insti-
tutionally speaking, participation should thus not only take place in relation to
the national government, but also in relation to other levels and forms of admin-
istration, such as regional and local government levels.
8
PAGE 58
The HRC of the United Nations has, in its General Comment to Article 25
of the ICCPR, held that direct participation in the conduct of public affairs may
imply that a person appears, for instance, as a voter in elections, as a voter in refer-
endums, as a participant in local decision-making assemblies, as a member of legisla-
tive bodies, as a person holding executive office and as a member of a body which
is established to represent citizens in consultation with government.
The way in which the representatives shall be chosen so that there is a free expres-
sion of the will of the people is established in paragraph (b) of Article 25. This
paragraph can be understood as an operationalisation of paragraph (a) as concerns
direct voter participation in elections and as concerns the reference to freely chosen
representatives. This operationalisation actually defines what the ICCPR under-
stands by the term elections. According to the article, there shall be the right
and the opportunity [t]o vote and to be elected at genuine periodic elections which
shall be by universal and equal suffrage and shall be held by secret ballot, guar-
anteeing the free expression of the will of the electors. This provision contains at
least two distinct matters: firstly, the necessary elements for elections, and second-
ly, the idea of an electoral cycle or a time-span during which the various elements
for elections shall be implemented.
It is also important to mention what Article 25(b) does not contain. Firstly, it does
not contain a definition of democracy, although it seems to have a preference for a
representative system of government. Direct popular decision-making is, however,
not excluded. Secondly, it does not prescribe any particular electoral system.
As concerns the elements of election, it is possible to identify a number of distinct
features, namely the right to vote and the right to stand as a candidate, genuine
as well as periodic elections, universal as well as equal suffrage, the secrecy of the
ballot and the free expression of the will of the electors. In relation to Article 21
of the Universal Declaration, the right to stand as a candidate is a new and very
important dimension, not anymore only implied but made explicit.
There is a body of cases from so-called treaty-bodies supervising the applica-
tion of the human rights treaties that illustrate the interpretation of the various
election elements. The list of cases attached to the various election elements below
will include jurisprudence from both the UN Human Rights Committee and the
European human rights system,
2
as well as some cases from the Inter-American
Commission on Human Rights, and the African Commission on Human and
Peoples Rights. It should be noted that General Comment 25 concerning the right
to participation of the UN HRC says something about virtually every election
element.
As concerns the electoral cycle, it is possible to argue on the basis of paragraph
(a) of Article 25 that the right to participate in the conduct of public affairs is a
continuous right. Against the periodic background, it is possible to argue that in
9
PAGE 59
the context of elections, the election elements included in paragraph (b) of Article
25 can be organised in an order which is more or less chronological:
1 Periodic elections
2 Genuine elections
3 Stand for election
4 Universal suffrage
5 Voting in elections on the basis of the right to vote
6 Equal suffrage
7 Secret vote
8 Free expression of the will of the voters
The attribution of a continuous character to the right to participate through elec-
tions strongly underlines the fact that the simple act of voting on Election Day
does not exhaust elections nor consume this part of participation. Rather, the contin-
uous character of elections implies that elections are an on-going process of a cyclical
nature: when one election has been completed and those elected have assumed
their seats, the process will start again from the beginning.
3
The extension of elections far beyond the immediate act of voting also has wider
implications. It makes it necessary to take into account a number of other human
rights closely linked to the right to participation. The so-called political rights of
freedom of association, freedom of assembly and freedom of speech are brought
into the election context in a more substantive manner by a cyclical understand-
ing of elections and through the requirement of the genuine nature of the elections.
4
There is a reference in Article 25(b) to the right to be elected. In comparison with
Article 21 of the Universal Declaration, the provision is a novelty. It does not imply
that citizens have a subjective right to become members of any elected body, but
rather that all citizens qualifying under the provisions of the law should have not
only the right but also the opportunity to stand as a candidate. The right to stand
for election also includes recognition of the right to stand as an independent candi-
date.
5
In fact, according to the interpretation of the UN HRC, the effective imple-
mentation of the right and the opportunity to stand for elective office ensures that
persons entitled to vote have a free choice of candidates. Combined with the prin-
ciple that candidates cannot be required to be members of parties in the first place,
nor of specific parties, or to hold some defined political opinion, the scene is opened
up for a competitive election.
As a practical matter, the element of standing for election implies that the nation-
al law should contain sufficient provisions concerning registration of parties and
candidates so as to give all political opinions and groupings equal opportunity
without any of the distinctions mentioned in Article 2 of the ICCPR and with-
10
PAGE 60
out unreasonable restrictions to officially become participants in the electoral
process leading up to an election. Registration procedures should not be so dif -
ficult as to inhibit candidacy (e.g., extremely high number of supporters required
for candidacy, or an excessive deposit required from a party before a list of can -
didates is accepted for elections). During this stage of the electoral cycle, which
is crucial for the outcome of the elections, the free expression of the electors will
should not be unduly restricted, but rather promoted.
The element on the right to be elected could also be developed beyond ordinary
concerns related to the nomination of candidates, so as to target a number of special
groups such as women and minorities that may be at a disadvantage in the exer-
cise of their rights in general, and their political rights in particular.
However, certain categories of persons may, under certain conditions, be exclu -
ded from the right to stand for elections. In the case of Joszef Debreczeny v. the
Netherlands, it was alleged that the refusal to accept the credentials of an elected
person for a seat of a local council, because the person was a police sergeant in the
national police force, would amount to a violation of Article 25 of the ICCPR.
The UN HRC noted that the restrictions on the right to be elected to a muni -
cipal council are regulated by law and that they are based on objective criteria, name-
ly the electees professional appointment by or subordination to the municipal author-
ity. Noting the reasons invoked by the State party for these restrictions, in partic-
ular, to guarantee the democratic decision-making process by avoiding conflicts
of interests, the Committee considers that the said restrictions are reasonable and
compatible with the purpose of the law.
Through the term every citizen, the element of universal suffrage emphasi-
ses inclusiveness as well as non-discrimination within the group of persons to whom
the right to vote is granted. As a practical matter, universal suffrage boils down
to the composition of voters lists during a period of time before the elections. The
visible outcome is the specific list of voters managed by the election administra-
tors on Election Day in the polling station.
6
Voting in elections on the basis of the right to vote is normally quite uncon-
troversial once a voter is registered on the voters list. It entails the rights of access
to the polling station, to receive ballot materials, to mark the ballot paper in a polling
booth, and to deposit the ballot paper in the ballot box. The right to vote can also
be said to entail a right to have ones vote counted. The development of electronic
methods of voting may affect the procedure of balloting, and it may contain prob-
lems from the point of view of at least two other election elements, namely the
secrecy and the equality of the vote.
7
The element of equal suffrage deals with the principle of one person, one vote
and its adjacent dimension that each vote should carry more or less the same weight,
with implications for the delineation of electoral district boundaries, thus prevent-
11
PAGE 61
ing, for instance, so-called gerrymandering. However, if justifiable reasons exist, it
should not be impossible to undertake positive measures under the election law
in order to promote the political position of disadvantaged groups.
8
The element of secrecy aims at ensuring for the voter an environment in which
s/he can make her or his own choice, without undue influence or intimidation from
any other person, and without fear that her or his choice would become known
after the vote has been cast.
The final election element in Article 25(b) of the ICCPR, the element of the
free expression of the will of the electors, is of a summary nature. Through the expres-
sion guaranteeing, it emphasises the importance of fulfilment of the other elec-
tion elements. The free expression of the will of the voters is hence the aim of Article
25 of the ICCPR.
There are complicating factors here as well. For instance, political parties and
candidates cannot, in most societies, carry out a significant election campaign with-
out sufficient funds at their disposal. While such funds are needed, and the legal-
ity of donations to such ends cannot be questioned, campaign financing may
come with strings that attach the party or the candidate to the donor. To prevent
legitimate campaign funding from transgressing the line and becoming a non-legit-
imate method of influence, some regulatory measures are needed. This has been
identified as an area of possible legislative action by the UN HRC: Reasonable
limitations on campaign expenditure may be justified where this is necessary to
ensure that the free choice of voters is not undermined or the democratic process
distorted by the disproportionate expenditure on behalf of any candidate or party.
However, the issue of the free expression of the will of the electors is, of course,
not closed once internal safeguards are in place. It must also be possible to bring
issues dealing with the elections to external review as regards their legality. For
this reason, complaints mechanisms should be in place. Voters, as well as parties
and candidates, should be given the opportunity to claim their rights before the
judiciary and raise claims about the conduct of the election administration, all the
way from voter registration to the allocation of mandates. For instance, under Article
2(3) of the ICCPR, each State party to the ICCPR undertakes to ensure that any
person, whose rights or freedoms recognized in the ICCPR are violated, has an
effective remedy. The remedy should preferably be judicial. In terms of the UN
HRC, [t]here should be independent scrutiny of the voting and counting process
and access to judicial review or other equivalent process so that electors have con -
fidence in the security of the ballot and the counting of the votes. The ultimate
remedy should be the disqualification of the elections, with the practical outcome
of new elections, either in the whole country or in the constituency that has been
affected by misconduct.
9
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As our review of the contents of Article 25 of the ICCPR shows, the right to
participation is particularly well-specified in the area of the electoral process,
within which a number of well-established rules exist. A summary of what elec-
tions should look like under Article 25 of the ICCPR is contained in General
Comment 25 of the UN HRC: Although the Covenant does not impose any partic-
ular electoral system, any system operating in a State party must be compatible
with the rights protected by article 25 and must guarantee and give effect to the
free expression of the will of the electors. The principle of one person, one vote,
must apply, and within the framework of each States electoral system, the vote of
one elector should be equal to the vote of another. The drawing of electoral
boundaries and the method of allocating votes should not distort the distribution
of voters or discriminate against any group and should not exclude or restrict un -
reasonably the right of citizens to choose their representatives freely.
2.3 Participation of Special Groups
The issue of participation is discussed in a number of other more specific human
rights documents, such as the 1965 UN Convention on the Elimination of All
Forms of Racial Discrimination (ICERD) and the 1979 UN Convention on the
Elimination of All Forms of Discrimination against Women (CEDAW) as well
as in the 2006 UN Convention on the Rights of Persons with Disabilities (CRPD).
Article 5 of the UN Convention on the Elimination of All Forms of Racial
Discrimination (ICERD) (1965)
States Parties undertake to prohibit and to eliminate racial discrimination in
all its forms and to guarantee the right of everyone, without distinction as to
race, colour, or national or ethnic origin, to equality before the law, notably in
the enjoyment of the following rights: []
(c) Political rights, in particular the right to participate in elections to vote
and to stand for election on the basis of universal and equal suffrage, to
take part in the Government as well as in the conduct of public affairs at
any level and to have equal access to public service; []
In Article 5 of the ICERD, States Parties undertake to prohibit and to eliminate
racial discrimination in all its forms and to guarantee to everyone, without distinc-
tion, the enjoyment of political rights, in particular the right to participate in elec-
tions through voting and through the opportunity to stand for election on the basis
of universal and equal suffrage. Eligibility on equal terms is hence explicitly at the
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core of Article 5(c) of the ICERD. The ICERD emphasises non-discrimination,
but it also contains an element of positive measures when establishing a guaran-
tee of the right to participation for everyone without distinction as to race, colour,
or national or ethnic origin. In this respect the ICERD is of relevance for minorities
of all kinds.
Women are clearly included among the persons who, on the basis of the
Universal Declaration and the ICCPR, shall have the right to participate in
government or public affairs respectively. However, the position of women in govern-
mental structures does not reflect their share of the population, and therefore, the
CEDAW has the important function of reminding everyone, and especially the
States Parties, of the fact that women are part of the people.
Article 7 of the UN Convention on the Elimination of All Forms of
Discrimination Against Women (CEDAW) (1979)
States Parties shall take all appropriate measures to eliminate discrimination
against women in the political and public life of the country and, in particular,
shall ensure to women, on equal terms with men, the right:
(a) To vote in all elections and public referenda and to be eligible for election
to all publicly elected bodies; []
Article 7(a) of the CEDAW promotes inclusiveness for women by prescribing eligi-
bility for election to all publicly elected bodies, and extends inclusiveness in para-
graphs (b) and (c) to the practical functioning in elective office and to participa-
tion in non-governmental organisations and associations concerned with the
public and political life of the country, so as to remind us of Article 20 in the UDHR
and Article 22 in the ICCPR. This could function as a basis of special measures
to support the position of women in political life. In addition, women shall, of
course, have the right to vote in all elections and public referendums on equal terms
with men.
The CEDAW and the ICERD together with the 1992 UN Declaration on
the Rights of Persons Belonging to National or Ethnic, Religious and Linguistic
Minorities, in which the right of effective participation of minorities is mentioned
point out that there are certain disadvantaged groups in society which may need
special attention in terms of participation. It is of little help that these groups have
equal right to vote, if nominated candidates contain nobody from these groups.
Therefore, it might be possible to promote the participation of these groups
already at the nominations stage, for instance by informing them of the necessity
to avail themselves of the legal mechanisms to nominate candidates.
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This perspective gets much support also in Article 5 of the ICERD with a view
to the groups mentioned therein. The ICERD provision separates immediate acces-
sibility through participation from the right to take part in government, as well
as in the conduct of public affairs at any level, and to have equal access to public
service. Measures to promote accessibility are also recommended, for instance in
the UN Declaration on Minorities. Its Article 2 tries to enhance the effective partic-
ipation of minorities. One possible way could be so-called reserved seats for
minority groups, created so as not to violate the election principles more than is
justifiable and necessary.
Against this background, it is interesting to note what the European Court of
Human Rights has said about pluralism, tolerance and broadmindedness as hall-
marks of a so-called democratic society: Although individual interests must on occa-
sion be subordinated to those of a group, democracy does not simply mean that
the views of a majority must always prevail: a balance must be achieved which ensures
the fair and proper treatment of minorities and avoids any abuse of a dominant
position.
10
A recent addition to the norms concerning special groups is the CRPD, which
contains strong language on participation of persons with disabilities in Article 29.
While the provision creates positive obligations on the part of the state to take into
account disabled voters, it simultaneously benefits every other voter in many ways.
2.4 Developments in Europe
Post-1948, the plan to adopt at global level a complete Bill of Human Rights of
a binding nature proved to be a difficult matter, mainly because of the Cold War
and the differences of opinion between the West and the East concerning the
contents of human rights. Instead, steps were taken at regional level, particularly
in Europe, where the Council of Europe and its Convention for the Protection
of Human Rights and Fundamental Freedoms (ECHR) were created in 1949 and
1950, respectively. The ECHR did not in its original fashion of 1950 contain any
mention of participation as such, although its articles made provisions concern-
ing the adjacent political rights, that is, everyones freedom of expression, free-
dom of association and freedom of assembly.
Interestingly, rather than providing citizens with a right to vote in elections,
Article 3 of the First Protocol from 1952 places an obligation on the States to
organise elections. Thus the wording of Article 3 does not indicate any individ-
ual right to participation in elections. Nevertheless, the European Court of Human
Rights has pronounced itself on the matter and interpreted the article as an in -
dividual right, on the basis of which an individual under the jurisdiction of the
member states can file individual complaints against that state. In fact, the inter-
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pretations of the Court have changed the contents of the article so much that the
article could de facto be read as follows: Every citizen has the right to vote and to
stand as a candidate in free elections that are held at reasonable intervals by .
The people referred to in the article is hence to be understood as the citizens of
the state, in the form of the electorate.
Elections according to Article 3 in the First Protocol shall, in addition, be by
reasonable intervals. This qualification is somewhat more specific than the prin ciple
of periodic elections in Article 21 of the Universal Declaration and Article 25 of
the ICCPR. In addition to the requirement of fixed intervals in national legislation,
Article 3 asks the state to establish a reasonable interval for the elections. This
requirement certainly excludes the possibility of fixing very long intervals such as
a generation or 10 years while indicating that a normal length of parliamentary
period should be identified. In the Member States of the Council of Europe, that
period is probably between 3 and 6 years. It is not quite clear on the basis of the
wording of Article 3 what the conditions which will ensure the free expression of
the opinion of the people are, but generally speaking the idea is to facilitate an atmo -
sphere during the election times which is free from intimidation or coercion.
The freedom of political choice familiar to us from the Universal Declaration
and the ICCPR, is also reflected in the OSCE principles adopted in the so-called
Copenhagen Document, which came into existence in the period following the
era of the Cold War. In this document, Paragraph 3, it is declared that the par -
ticipating States recognise the importance of pluralism with regard to political organ-
isations. The Copenhagen Document maintains that the will of the people, freely
and fairly expressed through periodic and genuine elections, is the basis of author-
ity and legitimacy of all government. It is emphasised that citizens should be
able to take part in the governing of their country, either directly or through repre-
sentatives freely chosen by them through fair electoral processes.
The OSCE Copenhagen Document (1991)
(7) To ensure that the will of the people serves as the basis of the authori-
ty of government, the participating States will
(7.1) hold free elections at reasonable intervals, as established by law;
(7.2) permit all seats in at least one chamber of the national legislature to be
freely contested in a popular vote;
(7.3) guarantee universal and equal suffrage to adult citizens;
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(7.4) ensure that votes are cast by secret ballot or by equivalent free voting
procedure, and that they are counted and reported honestly with the
official results made public;
(7.5) respect the right of citizens to seek political or public office, individual-
ly or as representatives of political parties or organizations, without
discrimination;
(7.6) respect the right of individuals and groups to establish, in full freedom,
their own political parties or other political organizations and provide
such political parties and organizations with the necessary legal guar-
antees to enable them to compete with each other on a basis of equal
treatment before the law and by the authorities;
(7.7) ensure that law and public policy work to permit political campaigning
to be conducted in a fair and free atmosphere in which neither admin-
istrative action, violence nor intimidation bars the parties and the
candidates from freely presenting their views and qualifications, or
prevents the voters from learning and discussing them or from casting
their vote free of fear of retribution;
(7.8) provide that no legal or administrative obstacle stands in the way of
unimpeded access to the media on a non-discriminatory basis for all
political groupings and individuals wishing to participate in the elec-
toral process;
(7.9) ensure that candidates who obtain the necessary number of votes
required by law are duly installed in office and are permitted to remain in
office until their term expires or is otherwise brought to an end in a
manner that is regulated by law in conformity with democratic parliamen -
tary and constitutional procedures.
Paragraphs 7.1 and 7.2 of the Copenhagen Document make the same point at
the level of political competition. Paragraph 7.2 stipulates that the participating
States will permit all seats in at least one chamber of the national legislature to
be freely contested in a popular vote. This is sustained in Paragraph 7.6, which
emphasises the necessity of legal guarantees to enable political parties and organ-
isations to compete with each other on a basis of equal treatment before the law
and the authorities. Competition between political contestants will be the basis
for the expression of the electors free will.
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2.5 Participation in the Americas, Africa and Asia
The Americas
The Charter of the Organization of American States (1948) in its Preamble
makes an important statement concerning national decision-making by conclu -
ding that representative democracy is an indispensable condition for the stabili-
ty, peace and development of the region. In Article 2(b) of the OAS Charter, the
promotion and consolidation of representative democracy is identified as an essen-
tial purpose of the OAS. It is therefore not surprising that the American Conven-
tion on Human Rights of 1969 in its Article 23 very much repeats the language
of Article 25 of the ICCPR.
According to Article 3 of the Charter of the OAS, the essential elements of
representative democracy include, inter alia, respect for human rights and funda-
mental freedoms, access to and the exercise of power in accordance with the rule
of law, the holding of periodic, free, and fair elections based on secret balloting
and universal suffrage as an expression of the sovereignty of the people, the plural-
istic system of political parties and organizations, and the separation of powers
and independence of the branches of government. Elections are here embedded
in a broader context of constitutional features. This is sustained by a provision on
the right to vote and to participate in government in Article XX of the American
Declaration of the Rights and Duties of Man (1948) and by the Inter-American
Democratic Charter (2001).
One difference between Article 25 of the ICCPR and Article 23 of the Ameri-
can Convention on Human Rights is that the American Convention adds a limita -
tion clause. On the basis of this clause, the States Parties can, in national law, regu-
late the exercise of the rights and opportunities to participate in government on the
basis of age, nationality, residence, language, education, civil and mental capacity, or
sentencing by a competent court in criminal proceedings. Of these, at least language
and education can be considered problematic against the background of Article 25
of the ICCPR, which in its chapeau makes a reference to the principle of non-
discrimination in its Article 2 and to the prohibition of unreasonable restrictions. The
language criterion could perhaps also be problematic in relation to Article 27 of the
ICCPR and the recognition granted to linguistic minorities, while the educational
criterion could be problematic against the background of the right to education in
Article 13 of the Covenant on Economic, Social and Cultural Rights. If a State is
party to the American Convention and the ICCPR at the same time, and chooses
to use national legislation to create a legal limitation on the right of participation on
grounds of language or education, it might be possible to argue that the national law
is not in harmony with Article 25 of the ICCPR.
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Africa
On the African continent, the African Charter on Human and Peoples Rights
was concluded in 1981. In Article 13 of this Charter, there is a participation clause
that opens up in a manner similar to Article 25 of the ICCPR and Article 21 of
the Universal Declaration. However, Article 13 of the African Charter lacks an
operationalisation of participation in the field of elections.
On the basis of Article 13, it is clear that citizens have the right to take part
in government. It is also possible to maintain, on the basis of the provision about
participation in the government of ones country, that the article is mainly target-
ed towards the national level, leaving regional and local levels aside. Participa-
tion should be free, and representatives should be freely chosen. However, Article
13(1) of the African Charter makes the implementation of the right to participa -
tion almost entirely dependent on national law.
The African Charter says nothing concrete about how participation should take
place. More importantly, the principles governing elections are not explicitly
prescribed, although Article 13(1) mentions that participation can be direct or through
freely chosen representatives. The latter part the freely chosen representatives
seems to presuppose elections, but neither elections nor election elements are
prescribed. Nonetheless, the practice of the African Commission on Human and
Peoples Rights indicates that at least the most extreme forms of exclusion of the
people from national decision-making, such as military overthrow of civilian
government, are not acceptable under Article 13(1) of the African Charter. Such
a point is made in relation to election observation in the case of the Constitu tional
Rights Project and Civil Liberties Organisation v. Nigeria by the African Commis-
sion on Human and Peoples Rights. In its submission to the African Commis-
sion, the Nigerian government acknowledged that international observers of elec-
tions, applying international standards, judged the elections to be free and fair. Yet
it discounted the judgment of these international observers and substituted its own,
unsupported, judgment when the Nigerian military government annulled the
results from the presidential election of 1993. A basic premise of international human
rights law is that certain standards must be constant across national borders, and
governments must be held accountable to these standards. The criteria for what
constitutes free and fair elections are internationally agreed upon, and international
observers are put in place to apply these criteria. It would be contrary to the logic
of international law, if a national government with a vested interest in the outcome
of an election, were the final arbiter of whether the election took place in accord -
ance with international standards.
11
The African Commission on Human and
Peoples Rights held that Nigeria had violated, inter alia, Article 13 of the African
Charter.
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PAGE 69
The OAU/AU Declaration of July 2002 is more explicit with regard to the rights
and obligations relating to elections, and is also useful for consideration of the
commitment to democratic elections in the African context.
The OAU/AU Declaration on the Principles Governing Democratic Elections
in Africa (2002)
Adopted at the 38th Ordinary Session of the Organization of African Unity,
8 July 2002, Durban South Africa.
IV. ELECTIONS: RIGHTS AND OBLIGATIONS
1. Every citizen shall have the right to participate freely in the government of
his or her country, either directly or through freely elected representatives
in accordance with the provisions of the law.
2. Every citizen has the right to fully participate in the electoral processes of
the country, including the right to vote or be voted for, according to the
laws of the country and as guaranteed by the Constitution, without any
kind of discrimination.
3. Every citizen shall have the right to free association and assembly in
accordance with the law.
4. Every citizen shall have the freedom to establish or to be a member of a
political party or organization in accordance with the law.
5. Individuals or political parties shall have the right to freedom of move-
ment, to campaign and to express political opinions with full access to the
media and information within the limits of the laws of the land.
6. Individual or political parties shall have the right to appeal and to obtain
timely hearing against all proven electoral malpractices to the competent
judicial authorities in accordance with the electoral laws of the country.
7. Candidates or political parties shall have the right to be represented at
polling and counting stations by duly designated agents or representa-
tives.
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8. No individual or political party shall engage in any act that may lead to
violence or deprive others of their constitutional rights and freedoms.
Hence all stakeholders should refrain from, among others, using abusive
language and/or incitement to hate or defamatory allegations and
provocative language. These acts should be sanctioned by designated
electoral authorities.
9. All stakeholders in electoral contests shall publicly renounce the practice
of granting favours, to the voting public for the purpose of influencing the
outcome of elections.
10. In covering the electoral process, the media should maintain impartiality
and refrain from broadcasting and publishing abusive language, incite-
ment to hate, and other forms of provocative language that may lead to
violence.
11. Every candidate and political party shall respect the impartiality of the
public media by undertaking to refrain from any act which might constrain
or limit their electoral adversaries from using the facilities and resources of
the public media to air their campaign messages.
12. Every individual and political party participating in elections shall recog-
nize the authority of the Electoral Commission or any statutory body
empowered to oversee the electoral process and accordingly render full
cooperation to such a Commission/Body in order to facilitate their duties.
13. Every citizen and political party shall accept the results of elections
proclaimed to have been free and fair by the competent national bodies as
provided for in the Constitution and the electoral laws and accordingly
respect the final decision of the competent Electoral Authorities or, chal-
lenge the result appropriately according to the law.
The African Charter on Democracy, Elections and Governance (2007) is an impor-
tant addition to the regional regulation of elections, specifying in its Article 17 the
contents of democratic elections and reinforcing the normative nature of the above
Declaration by re-affirming the commitment of the State Parties to holding regu-
lar, transparent, free and fair elections in accordance with the Declaration.
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Asia
In Asia, there are no regional-level human rights conventions and consequently no
specific regionally expressed right to participation with rules on elections. In case
of elections organized in Asia, Article 25 of the ICCPR is applicable, if a State has
ratified it. If this is not the case, an argument to the same effect in the electoral
area could be developed on the basis of Article 21 of the Universal Declaration.
2.6 Conclusion
In the UN General Assembly resolution on Enhancing the Effectiveness of the
Principle of Periodic and Genuine Elections, the member states of the UN stress
their conviction that periodic and genuine elections are a necessary and indis-
pensable element of sustained efforts to protect the rights and interests of the
governed, and that the right of everyone to take part in the government of his or
her country is a crucial factor in the effective enjoyment by all of a wide range of
other human rights and fundamental freedoms.
This statement does not deny the indivisibility or interdependence of human
rights, nor is it an attempt to produce a hierarchy of human rights. Nonetheless,
the resolution may suggest a logical ordering of human rights, so that full realisa tion
of the right to participation, especially in the field of elections, will produce a repre-
sentative law-making body, capable of catering for all the other substantive human
rights.
Participation through elections and, where applicable, through referendums must
therefore be respected, protected, promoted and fulfilled as a human right.
1. Unattributed quotes of text later in this section are from this General Comment 25 on
The Right to Participate in Public Affairs, Voting Rights and the Right of Equal Access to
Public Service (Art. 25) (1996) by the HRC.
2. It should be noted that the cases resolved by the European Court of Human Rights do
not have any binding effect outside the immediate European context, but they can be useful
at least for giving direction to the argumentation and possibly also for interpretation.
3. Concerning the element of periodic elections, see the Greek Case (Yearbook of the Eu-
ropean Convention on Human Rights, Vol. 12(1969)).
4. Concerning the element of genuine elections under the ICCPR, see the case of Kim
Jong-Cheol v. the Republic of Korea (Comm. 968/2001, U.N.Doc. ICCPR/C/84/D/968/2001),
which deals with the element of genuine elections from the perspective of the freedom of the
press. For genuine elections under the ECHR, see the Greek Case (Yearbook of the European
Convention on Human Rights, Vol. 12(1969)), Oberschlick v. Austria (ECtHR A 204 (1990),
Lopes Gomes da Silva v. Portugal (ECtHR, Judgment of 28 September 2000, Reports of Judg-
ments and Decisions 2000-X), Bowman v. U.K. (ECtHR, Judgment of 19 February 1998,
Reports of Judgments and Decisions 1998-I), Incal v. Turkey (ECtHR, Judgment of 9 June
1998, Reports of Judgments and Decisions 1998-IV) and Malisiewicz-Gasior v. Poland
22
PAGE 72
(ECtHR, Judgment of 6 April 2006) in the freedom of expression and media area, while cases
such as Socialist Party and others v. Turkey (ECtHR, Judgment of 25 May 1998, Reports of
Judgments and Decisions 1998-III), United Communist Party and others v. Turkey (ECtHR,
Judgment of 30 January 1998, Reports of Judgments and Decisions 1998-I), Stankov and the
United Macedonian Organisation Ilinden v. Bulgaria (ECtHR, Judgment of 2 October 2001,
Reports of Judgments and Decisions 2001-IX), the Welfare Party v. Turkey (ECtHR, Judg-
ment of 13 February 2003), Gorzelik and others v. Poland (ECtHR, Judgment of 17 February
2004), Linkov v. the Czech Republic (ECtHR, Judgment of 7 December 2006), Kavaki v.
Turkey (ECtHR, Judgment of 5 April 2007) and Silay v. Turkey (ECtHR, Judgment of 5
April 2007) illustrate the right to association and assembly. The case of Rekvnyi v. Hungary
(ECtHR, Judgment of 20 May 1999) illustrates both the freedom of expression and the free-
dom of association area.
5. Concerning the element of the right to stand as a candidate under the ICCPR, see the
cases of Peter Chiiko Bwalya v. Zambia (Comm. 314/1988, U.N. Doc. ICCPR
A/48/40(1993)), Alba Pietraroia v. Uruguay (Comm. 44/1979, views adopted on 27 March
1981, and a number of other similar cases), Joszef Debrezceny v. the Netherlands (Comm.
500/1992, U.N. Doc. ICCPR A/50/40(1995)), Antonina Ignatane v. Latvia (Comm.
884/1999, U.N. Doc. ICCPR/C/72/D884/1999), and Fongum Gorji-Dinka v. Cameroon
(Comm. 1134/2002, U.N. Doc. ICCPR/C/83/D/1134/2002). See also from the ambit of
the Inter-American Convention on Human Rights the case of Andres Aylwin Azocar et al. v.
Chile (Report No. 137/99 of December 27, 1999, by the Inter-American Commission on
Human Rights), Whitbeck Piol v. Guatemala (Report No. 21/94 of September 22, 1994, by
the Inter-American Commission on Human Rights) and Yatama v. Nicaragua (Inter-Ameri-
can Court of HR, Judgment of 23 June 2005, Series C No. 127). For the right to stand as a
candidate under the ECHR, see Gitonas and others v. Greece (ECtHR, Judgment of 1 July
1997, Reports of Judgments and Decisions 1997-IV, No. 42), Ahmed and others v. the United
Kingdom (Application No. 22954/93, ECtHR, Judgment of 2 September 1998), Selim Sadak
and others v. Turkey (ECtHR, Judgment of 11 June 2002, para. 4), Podkolzina v. Latvia
(ECtHR, Judgment of 9 April 2002), Melnychenko v. Ukraine (ECtHR, Judgment of 30
March 2005), Sukhovetskyy v. Ukraine (ECtHR, Judgment of 28 March 2006), danoka v.
Latvia (ECtHR, Judgment of 16 March 2006), and Russian Conservative Party of Entre-
peneurs and Others v. Russia (ECtHR, Judgment of 11 January 2007).
6. Concerning the element of universal suffrage under the ICCPR, see Fongum Gorji-
Dinka v. Cameroon (Comm. 1134/2002, U.N. Doc. ICCPR/C/83/D/1134/2002) and Marie-
Hlne Gillot et al. v. France (Comm. 932/2000, U.N. Doc. ICCPR/C/75/D/932/2000). See
also from the ambit of the Inter-American Convention on Human Rights the case of Andres
Aylwin Azocar et al. v. Chile (Report No. 137/99 of December 27, 1999, by the Inter-Ameri-
can Commission on Human Rights) and Statehood Solidarity Committee v. United States (Re-
port No. 98/03 of December 29, 2003, by the Inter-American Commission on Human
Rights). For universal suffrage under the ECHR, see Polacco and Garofalo v. Italy
(ECommHR No. 23450/94, Commission decision of 15 September 1997, DR 90-A), Labita
v. Italy (Application No. 26772/95, ECtHR, Judgment of 6 April 2001), Matthews v. the
United Kingdom ( Judgment of 18 February 1999, Reports of Judgments and Decisions 1999-
I), Vito Sante Santoro v. Italy (ECtHR, Judgment of 1 July 2004), Aziz v. Cyprus (ECtHR,
Judgment of 22 June 2004, Py v. France (ECtHR, Judgment of 11 January 2005), Hirst v. the
United Kingdom (ECtHR, Judgment of 6 October 2005), Albanese v. Italy, (ECtHR, Judg-
ment of 23 March 2006), Vitiello v. Italy (ECtHR, Judgment of 23 March 2006) and Cam-
pagnano v. Italy (ECtHR, Judgment of 23 March 2006).
23
PAGE 73
7. Concerning the element of the right to vote under the ICCPR, the Inter-American
Human Rights System and the ECHR, see the cases mentioned in relation to universal suff -
rage, above. See also from the ambit of the African Charter of Human Rights and Peoples
Rights the case of Peoples Democratic Organisation for Independence and Socialism v. The Gam-
bia (Comm. No. 44/90(1996), Report on an Amicable Resolution, of the African Commis-
sion on Human and Peoples Rights.
8. Concerning the element of equal suffrage under the ICCPR, see Istvan Mtyus v. Slo-
vakia (Comm. 923/2000, U.N. Doc. ICCPR/C/75/D/923/2000), which, however, was not
resolved on the basis of art. 25(b), but on the basis of art. 25(c).
9. Concerning the element of free expression of the will of the electors under the ICCPR,
see Leonid Sinitsin v. Belarus (Comm. 1047/2002, U.N. Doc. CCPR/C/88/D/1047/2002).
See also from the ambit of the Inter-American Convention on Human Rights the case of Su-
sana Higuchi Miyagawa v. Peru (Report No. 119/99 of October 6, 1999, by the Inter-Ameri-
can Commission of Human Rights and from the ambit of the African Charter of Human
Rights and Peoples Rights the case of Constitutional Rights Project and Civil Liberties Organi-
sation v. Nigeria (Afr.Comm.HPR, Comm. No. 102/93 (1998)). For the same area under the
ECHR, see Mathieu-Mohin and Clerfayt v. Belgium (ECtHR, Judgment of 2 March 1987,
Series A, vol. 113) which is a leading case summarising the interpretation of electoral rules
under Art. 3 of the First Protocol to the ECHR. See also Selim Sadak and others v. Turkey
(ECtHR, Judgment of 11 June 2002, para. 4), Lykourezos v. Greece (ECtHR, Judgment of 15
June 2006), Yumak and Sadak v. Turkey (ECtHR, Judgment of 30 January 2007) and Ilicak v.
Turkey (ECtHR, Judgment of 5 April 2007).
10. Young, James and Webster (ECtHR, Judgment of 13 August 1981, Series A, Vol. 44).
However, the case arose in a trade union context.
11. Afr.Comm. HPR, Comm. No. 102/93 (1998), paras. 47-48.
24
PAGE 74
Andrew Reynolds
Ben Reilly
and Andrew Ellis
With
Jos Antonio Cheibub
Karen Cox
Dong Lisheng
Jrgen Elklit
Michael Gallagher
Allen Hicken
Carlos Huneeus
Eugene Huskey
Stina Larserud
Vijay Patidar
Nigel S. Roberts
Richard Vengroff
Jeffrey A. Weldon
Electoral System Design:
The New International IDEA Handbook
PAGE 75
Handbook Series
The International IDEA Handbook Series seeks to present comparative analysis, information and insights on a
range of democratic institutions and processes. Handbooks are aimed primarily at policy makers, politicians,
civil society actors and practitioners in the eld. They are also of interest to academia, the democracy
assistance community and other bodies.
International IDEA publications are independent of specic national or political interests. Views expressed in
this publication do not necessarily represent the views of International IDEA, its Board or its Council members.
The map presented in this publication does not imply on the part of the Institute any judgement on the legal
status of any territory or the endorsement of such boundaries, nor does the placement or size of any country or
territory reect the political view of the Institute. The map is created for this publication in order to add clarity
to the text.
International Institute for Democracy and Electoral Assistance 2005
Reprinted 2008
Applications for permission to reproduce or translate all or any part of this publication should be made to:
Information Unit
International IDEA
SE -103 34 Stockholm
Sweden
International IDEA encourages dissemination of its work and will promptly respond to requests for permission
to reproduce or translate its publications.
Graphic design by: Magnus Alkmar
Cover photos: Pressens Bild
Printed by: Trydells Tryckeri AB, Sweden
ISBN: 91-85391-18-2
PAGE 76
Foreword
I
The Universal Declaration of Human Rights states that everyone has the right to take
part in the government of his country, directly or through freely chosen representatives.
The United Nations has thus been involved in the eld of electoral assistance since its
founding in 1945, working to establish and advance the principles of democracy and
political rights.
The work of the UN in elections is most often most associated with comprehensive
modern peacekeeping and peace-building operations, for example, in Cambodia, El
Salvador and Mozambique, and more recently in Afghanistan and Iraq. These efforts
are, however, only the most visible part of UN electoral assistance activities that
currently support democratic election processes in over 50 countries.
The design of electoral systems is a vital component of these processes. It cannot be
considered in isolation from the wider context of constitutional and institutional design,
and it can be critical for areas as diverse as conict management, gender representation
and the development of political party systems. Done well, electoral system design can
add to the momentum of political change, encourage popular participation, and enable
the emergence of legitimate representatives who are capable of handling a wide range
of needs and expectations, immediately and in the future. Done badly, it can derail
progress towards democracy or even political stability.
To be successful, electoral system design processes must build understanding and
trustnot just among politicians and election administrators, but among civil society
organizations, among commentators, and above all among the citizens of a country
undergoing democratic reform. Electoral systems must be designed not only to work
under current situations but also to accommodate future changes in attitudes and
behaviour as electoral incentives change. They can contribute to the development of
stable democracy or they can be a major stumbling block to it.
I am delighted therefore to welcome the publication of this new Handbook by
International IDEA. It lays out essential knowledge about electoral systems and their
consequences, presenting complex ideas with accessible clarity. It addresses key issues in
the process of democratic transition and reform in a practical way. It is clear, simple and
global in its approach, and will be a vital tool for those involved in the development of
stable democracies. It should be made widely available and be widely read by electoral
practitioners worldwide.
Carina Perelli
Director, United Nations Electoral Assistance Division
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2
CHAPTER 2
CHAPTER 2
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27
63. There are countless electoral system variations, as noted in paragraph 9
above, but essentially they can be divided into 12 main systems, the majority of which
fall into three broad families. The most common way to look at electoral systems is to
group them according to how closely they translate national votes won into legislative
seats won, that is, how proportional they are. To do this, one needs to look at both the
votes-to-seats relationship and the level of wasted votes. For example, South Africa
used a classically proportional electoral system for its elections of 2004, and with 69.69
per cent of the popular vote the African National Congress (ANC) won 69.75 per cent
of the national seats. The electoral system was highly proportional, and the number
of wasted votes (i.e. those which were cast for parties which did not win seats in the
Assembly) was only 0.74 per cent of the total. In direct contrast, in Mongolia in 2000, a
Two-Round System only requiring a plurality of 25 per cent of the votes for candidates
to be elected resulted in the Mongolian Peoples Revolutionary Party (MPRP) winning
72 seats in the 76-member Parliament with around 52 per cent of the popular vote.
This result was mirrored in Djiboutis Party Block Vote election of 2003 when all 65
legislative seats were won by the Rassemblement Populaire pour le Progrs with 62.7
per cent of the vote.
64. However, under some circumstances non-proportional electoral systems (such as
FPTP) can give rise to relatively proportional overall results, for example, when party
support is concentrated in regional efdoms. This was the case in another Southern
African country, Malawi, in 2004. In that election the Malawian Congress Party won
30 per cent of the seats with 25 per cent of the votes, the United Democratic Front won
27 per cent of the seats with 25 per cent of the votes, and the Alliance for Democracy
won a little more than 3 per cent of the seats with just under 4 per cent of the votes.
The overall level of proportionality was high, but the clue to the fact that this was not
inherently a proportional system, and so cannot be categorized as such, was that the
wasted votes still amounted to almost half of all votes cast.
2. The World of Electoral
Systems
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Equally, some design factors accentuate disproportionality. Systems with a high level
of malapportionment often produce disproportional results, as do proportional systems
with high thresholdswhich can result in a high level of wasted votes, as in Turkey in
2002 where a 10 per cent threshold resulted in 46 per cent of votes being wasted.
65. If we take the proportionality principle into account, along with some other
considerations such as how many members are elected from each district and how many
votes the voter has, we are left with the family structure illustrated in gure 1.
Figure 1: The Electoral System Families

The Electoral System Families
Plurality/Majority Mixed Proportional Other
Representation
FPTP TRS AV BV PBV PAR- MMP LIST STV SNTV LV BC
ALLEL PR
Plurality/Majority Systems
66. The distinguishing feature of plurality/majority systems is that they usually
use single-member districts. In an FPTP system (sometimes known as a plurality
single-member district system) the winner is the candidate with the most votes but
not necessarily an absolute majority of the votes (see paragraphs 7679). When this
system is used in multi-member districts it becomes the Block Vote. Voters have as
many votes as there are seats to be lled, and the highest-polling candidates ll the
positions regardless of the percentage of the vote they achieve (see paragraphs 8085).
This systemwith the change that voters vote for party lists instead of individual
candidatesbecomes the Party Block Vote (see paragraphs 8688). Majoritarian
systems, such as the Alternative Vote and the Two-Round System, try to ensure that
the winning candidate receives an absolute majority (i.e. over 50 per cent). Each
system in essence makes use of voters second preferences to produce a winner with an
absolute majority if one does not emerge from the rst round of voting (see paragraphs
8999).
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Proportional Representation Systems
67. The rationale underpinning all PR systems is to consciously reduce the disparity
between a partys share of the national vote and its share of the parliamentary seats; if
a major party wins 40 per cent of the votes, it should win approximately 40 per cent of
the seats, and a minor party with 10 per cent of the votes should also gain 10 per cent
of the legislative seats. Proportionality is often seen as being best achieved by the use of
party lists, where political parties present lists of candidates to the voters on a national
or regional basis (see paragraphs 106108), but preferential voting can work equally
well: the Single Transferable Vote, where voters rank-order candidates in multi-member
districts, is another well-established proportional system (see paragraphs 109112).
Mixed Systems
68. Parallel systems use both a PR element and a plurality/majority (or other) element
running independently of each other. Mixed Member Proportional (MMP) systems
also use two elements (one of which is a PR system), with the difference that the PR
element compensates for any disproportionality arising under the plurality/majority or
other system, normally leading to a much more proportional outcome than a Parallel
system. Parallel and MMP systems have been widely adopted by new democracies in
Africa and the former Soviet Union (see paragraphs 128137).
Other Systems
69. Three systems do not t neatly under any one of the above-mentioned categories.
The Single Non-Transferable Vote is a multi-member-district, candidate-centred
system in which voters have one vote. Limited Vote is very much like SNTV but gives
voters more than one vote (however, unlike Block Vote, not as many as there are seats
to be lled). Borda Count is a preferential system in single- or multi-member districts
(see paragraphs 138144).
70. As Table 2 and the map which comes with this book illustrate, just under half (91,
or 46 per cent of the total) of the 199 countries and territories of the world which have
direct elections to the legislature use plurality/majority systems; another 72 (36 per
cent) use PR-type systems; 30 (15 per cent) use mixed systems; and only six (3 per cent)
use one of the other systems. When the different systems are classied by population
size, the dominance of plurality/majority systems becomes even more pronounced,
with legislatures elected by FPTP, Block Vote, PBV, AV or TRS methods representing
collectively 2.65 billion people (54 per cent of the total population of these 199
countries). PR electoral systems are used in countries totalling 1.19 billion inhabitants,
mixed systems are used to represent 1.07 billion people, and the population in countries
using other systems is only 34 million.
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Table 2: Electoral Systems for National Legislatures
Note: As of November 2004. Includes only elections to national legislatures and lower houses.
Based on the methodology used by Arend Lijphart in Patterns of Democracy: Government Forms
and Performance in Thirty-Six Countries (1999). Established democracies include all countries
considered democratic now, and at least for the last 20 years, new democracies include all countries
that are considered democratic now and have been at least for the past 10 years, and others are the
ones which have not been considered democratic throughout the past 10 years by the Freedom House
country ratings (2004) (see <http://www.freedomhouse.org/ratings/index.htm>). For countries
and territories not included in the Freedom House country ratings (countries with a population
less than 250,000) we have based our classications on other sources. Fourteen countries are not
included in this table because they do not have direct elections or have transitional governments.
Countries which use two electoral systems running side by side (hybrids) are classied by the system
under which the largest number of seats in the legislature is elected.
1 = Percentage of the 199 countries covered that have this type of electoral system.
2 = Percentage of the total population of the 199 countries that live in this type of electoral system.
3 = Number of countries/territories.
4 = Percentage of the established democracies that have this type of electoral system.
5 = Percentage of the population in the established democracies that live in this
type of electoral system.
7 = Percentage of the new democracies that have this type of electoral system.
8 = Percentage of the population in the new democracies that live in this
type of electoral system.
Number of Total Population Established Population New Population Other Population
Countries/ Demo- Demo- Countries
Territories cracies cracies
1 2 3 4 5 6 7 8 9 10 11
FPTP 47 23.6% 2 148 870 177 43.5% 22 32.4% 1 458 403 073 70.3% 4 13.0% 205 865 0.1% 21 21.0% 690 261 239 27.0%
BV 15 7.5% 32 102 545 0.6% 8 11.8% 1 515 622 0.1% 0 0 0 0 7 7.0% 30 586 923 1.2%
PBV 4 2.0% 30 423 015 0.6% 0 0 0 0 0 0 0 0 4 4.0% 30 423 015 1.2%
AV 3 1.5% 26 214 298 0.5% 2 2.9% 25 333 424 1.2% 0 0 0 0 1 1.0% 880 874 0.0%
TRS 22 11.1% 409 376 918 8.3% 3 4.4% 60 534 006 2.9% 2 6.5% 14708 102 4.8% 17 17.0% 334 134 810 13.1%
List PR 70 35.2% 1 181 718 922 23.9% 21 30.9% 195 051 175 9.4% 19 61.3% 168 528 219 55.0% 30 30.0% 818 139 528 32.%
STV 2 1.0% 4 366 409 0.1% 2 2.9% 4 366 409 0.2% 0 0 0 0 0 0.0% 0 0
MMP 9 4.5% 298 619 263 6.0% 4 5.9% 153 200 059 7.4% 1 3.2% 10 032 375 3.3% 4 4.0% 135 386 829 5.3%
Parallel 21 10.6% 773 091 334 15.7% 2 2.9% 175 931 177 8.5% 5 16.1% 112 701 569 36.8% 14 14.0% 484 458 588 18.9%
SNTV 4 2.0% 34 327 534 0.7% 2 2.9% 202 655 0.0% 0 0 0 0 2 2.0% 34 124 879 1.3%
Modied 1 0.5% 12 809 0.0% 1 1.5% 12 809 0.0% 0 0 0 0 0.0% 0 0
BC
LV 1 0.5% 27 833 0.0% 1 1.5% 27 833 0.0% 0 0 0 0 0 0.0% 0 0
Total 199 4 939 151 057 68 2 074 578 242 31 306 176 130 100 2 558 396 685
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71. In terms of the number of countries which use them, List PR systems are the most
popular, with 70 out of 199 countries and related territories, giving them 35 per cent of
the total, followed by the 47 cases of FPTP systems (24 per cent of the 199 countries
and territories). When it comes to numbers of people, however, FPTP systems are used
in countries which contain almost twice as many people as List PR countries. The 2.1
billion gure in Table 2 is inated by the size of India (population 1.1 billion) and
the United States (293 million), but FPTP is also used by many tiny Caribbean and
Oceanian islands as well. The largest country that uses List PR is Indonesia, with 238
million people, but it is predominantly a system used by middle-sized West European,
Latin American and African countries. Next in order are Parallel systems (16 per cent
of world population) and Two-Round systems (8 per cent of world population). While
TRS systems are used in more countries, therefore, Parallel systems represent more
people. This is largely because the Russian Federation (144 million inhabitants) and
Japan (127 million) use classic Parallel systems.
10 = Percentage of the other countries that have this type of electoral system.
11 = Percentage of the population in the other countries that live in this type of
electoral system.
Sources: International IDEA databases; for the classication of democracies, Freedom House
country ratings, <http://www.freedomhouse.org/ratings/index.htm>; and, for population, US
Central Intelligence Agency World Factbook and additional estimates for countries and territories
not included in the Factbook.
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Table 3: The Distribution of Electoral Systems across National Legislatures
Africa Americas Asia Eastern Western Oceania Middle Total
Europe Europe East
FPTP 15 17 5 0 1 7 2 47
BV 1 3 2 0 3 2 4 15
PBV 3 0 1 0 0 0 0 4
AV 0 0 0 0 0 3 0 3
TRS 8 3 6 1 1 1 2 22
List PR 16 19 3 13 15 0 4 70
STV 0 0 0 0 2 0 0 2
MMP 1 3 0 2 2 1 0 9
Parallel 4 0 8 7 1 1 0 21
SNTV 0 0 1 0 0 2 1 4
BC 0 0 0 0 0 1 0 1
LV 0 0 0 0 1 0 0 1
Total 48 45 26 23 26 18 13 199
Note: As of 2004. Includes only elections to national legislatures; for countries with bicameral
legislatures, system for the lower house.
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Plurality/ Majority 91
PR 72
Mixed 30
Other 6
LV 1
SNTV 4
Parallel 21
MMP 9
STV 2
List PR 70
TRS 22
AV 3
PBV 4
BV 15
FPTP 47
0
10
20
30
40
50
60
70
Modified BC
1
LV 0,03
Modified BC
0,01
SNTV 34
Parallel 773
MMP 299
STV 4
List PR 1182
TRS 409
AV 26 PBV 30 BV 32
FPTP 2148
0
500
1000
1500
2000
2500
3 - Total population (in millions)
2 - Electoral Systems:
Number of Countries and Territories
Figure 2: Electoral System Families:
1 - Number of Countries and Territories
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72. The Block Vote is used in 15 countries and territories, 8 per cent of the countries
included, but its 32 million people only represent 0.7 per cent of the total population
of the 199 countries in Table 2. Conversely, Mixed Member Proportional systems are
used in only nine countriesAlbania, Bolivia, Germany, Hungary, Italy, Lesotho,
Mexico, New Zealand and Venezuelabut their collective population of 299 million
represents 6 per cent of the total population. The Single Transferable Vote, Limited
Vote, Modied Borda Count, Alternative Vote, Party Block Vote and Single Non-
Transferable Vote systems are the rarest electoral systems in use today, with only one to
four examples of each. The use of AV in Australia, Fiji and Papua New Guinea means
that 26 million people live under AV systems, while the SNTV systems of Afghanistan,
Jordan, the Pitcairn Islands and Vanuatu represent 34 million people, and the Republic
of Ireland and Maltas STV systems 4 million.
73. If we look at electoral systems in established democracies, then we nd that PR
systems are more numerous, with 21 (31 per cent) out of the 68 countries, but the size
of India and the United States still means that 70 per cent of people living in these 68
countries live under FPTP systems. There are a disproportionate number of MMP
systems among established democracies6 per cent of the total, while worldwide
MMP systems are found in only 4.5 per cent of all countries. Both the worlds examples
of STV, the Republic of Ireland and Malta, fall into the category of established
democracies.
74. Across continents, the distribution of electoral systems is more mixed. As Table
3 and the attached map show, FPTP systems make up approximately 35 per cent of
the total in Africa, the Americas and Oceania. The system is less common in Europe,
Asia and Middle East. List PR systems are similarly spread throughout Africa and the
Americas. However, List PR is more dominant in both Eastern and Western Europe,
and together the two PR systems (List PR and STV) constitute almost two-thirds of all
electoral systems in Europe. The Parallel System is primarily used in Asia and Eastern
Europe.
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4
CHAPTER 4
CHAPTER 4
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4. Electoral Systems,
Institutional Frameworks
and Governance
171. Electoral systems have long been considered to have specic effects on
issues of governance, policy making and political stability. Different electoral systems
have marked implications for governance in parliamentary systems. In particular,
there is an inbuilt tension between electoral systems which maximize the potential
for one-party government (e.g. plurality/majority systems) and those which make
multiparty coalitions more likely (e.g. proportional systems). Both constellations
have clear policy impacts: single-party government makes decisive policy making and
clarity of responsibility much easier, while coalitions are more likely to produce more
representative policies and more inclusive decision making. Similarly, major shifts in
government policy are easier to achieve under single-party government, while coalitions
are more likely to see issues discussed and debated before any changes are made.
172. Almost all countries which have a presidential or semi-presidential constitution
elect the president directly. In addition, some republics which have parliamentary
constitutions nevertheless elect their head of state directly.
In presidential systems, the extent to which an elected president can claim a popular
mandate and legitimacy depends signicantly on the means by which he or she is
elected. Presidents who have clear majority support are likely to have much greater
legitimacy and be in a stronger position to push their own policy agenda than those
elected on a small plurality of the vote. This has an important impact on relations
between the president and the legislature. A president elected by a clear absolute
majority of the population can command a great deal of legitimacy in any conict with
the legislature. By contrast, Salvador Allendes election in Chile in 1970 on 36 per cent
of the vote, and opposed by a right-wing Congress, helped create the conditions for the
1973 military coup.
173. The relationship between the legislature and the executive differs between
parliamentary, semi-presidential and presidential systems. In a presidential or semi-
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presidential system, the presidents position does not depend on maintaining the
condence of the legislature: such a president cannot be removed from ofce on purely
policy grounds. However, experience in Latin America in particular indicates that a
directly elected president without a substantial block of support in the legislature will
nd successful government difcult.
In presidential and semi-presidential democracies, the electoral systems for the
presidency and the legislature therefore need to be considered together, although the
different roles of the president and the legislature bring different factors into play in
making the two choices of system. The synchronization or otherwise of the elections
and the provisions which may encourage or discourage fragmentation of parties and
the relationship between parties and elected members should be considered at the same
time.
Electing a President
174. In principle, any of the single-member district systems can be used for the direct
election of a president. When a president is to be elected as the executive head of
state, there is often a strong normative and practical preference for systems which
ensure a victory by an absolute majority. The majority of all countries that have direct
presidential elections use a Two-Round system.
175. The separation of the two rounds leads to efforts by the leading candidates to attract
second-round support and endorsement from those eliminated after the rst round.
Such agreements are sometimes driven primarily by the desire for victory. They are thus
perhaps less likely to reect compatibility of policies and programmes than are pre-poll
preference-swapping agreements reached between candidates in preferential systems
with a single polling day. In addition, presidential elections held under TRS increase
the cost of elections and the resources needed to run them, and the drop-off in turnout
between the rst and second rounds of voting can often be severe and damaging. For
this reason, other options such as the Alternative Vote and the Supplementary Vote are
increasingly being examined.
First Past The Post
176. The most straightforward way of electing a president is to simply award the
ofce to the candidate who wins a plurality of the votes, even if this is less than an
absolute majority. This is the case for presidential elections in Bosnia and Herzegovina,
Cameroon, the Comoros Islands, Equatorial Guinea, Guyana, Honduras, Iceland,
Kiribati, South Korea, Malawi, Mexico, Palestine, Panama, Paraguay, the Philippines,
Rwanda, Singapore, Taiwan, Tunisia, Venezuela and Zambia. Clearly, such a system
is simple, cheap and efcient, but in a strongly competitive multi-candidate contest it
leaves open the possibility that the president will be elected with so few votes that he
or she is not seen as the choice of a substantial majority of the electorateand indeed
may specically be opposed by a substantial majority: the majority voted against him
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Palestinian FPTP presidential ballot paper
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Kenyan FPTP presidential ballot paper
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or her. Examples include Venezuela in 1993, when Rafael Caldera won the presidency
with 30.5 per cent of the popular vote, and the May 1992 election in the Philippines,
when Fidel Ramos was elected from a seven-candidate eld with only 24 per cent of the
popular vote. Taiwan experienced a major political shift in 2000 when the challenger
Chen Shuibian won the presidency with just 39 per cent of the vote, less than 3 per cent
ahead of the next candidate.
177. The United States is unique in conducting its national presidential election by
FPTP at federal state level. The FPTP winner in each federal state gains all the votes
of that state in an electoral college, with two exceptions, Maine and Nebraska, where
the votes of the state are allocated two to the FPTP winner state-wide, and one to the
FPTP winner of each individual congressional district in the state. The electoral college
then elects the president by absolute majority. This can lead to a situation in which
the winning candidate polls fewer votes than the runner-upas in 2000 when the
Republican candidate George W. Bush won despite polling some half a million fewer
votes than the Democrat candidate, Al Gore.
Two-Round Systems
178. As in legislative elections, one way to avoid candidates being elected with only
a small proportion of the popular vote is to hold a second ballot if no one candidate
wins an absolute majority on the rst round. This can either be between the top
two candidates (majority run-off ) or between more than two candidates (majority-
plurality), as described above (see paragraph 96). France, most Latin American
countries, all the ve post-Soviet Central Asian republics, and many countries in
francophone Africa use TRS to elect their presidents. Elsewhere in Africa the system is
used by Angola, Cape Verde, Gambia, Ghana, Guinea-Bissau, Kenya, Mozambique,
Namibia, Nigeria, So Tom and Principe, the Seychelles, Sierra Leone, Sudan,
Tanzania, Uganda and Zimbabwe; in Europe, apart from France, it is used by Armenia,
Azerbaijan, Austria, Belarus, Bulgaria, Croatia, Cyprus, Finland, Georgia, Lithuania,
Macedonia, Poland, Portugal, Romania, Russia, Slovakia, Slovenia and Ukraine; and it
is found in Afghanistan, Haiti, Indonesia, Iran, Timor-Leste and Yemen.
179. There are a number of adaptations to straight majority run-off and majority-
plurality rules. In Costa Rica a candidate can win on the rst round with only 40
per cent of the vote; conversely, in Sierra Leone a second round is only avoided if
one candidate gets 55 per cent in the rst. In Argentina, a successful candidate must
poll 45 per cent, or 40 per cent plus a lead of more than 10 per cent over the second-
placed candidate. A similar 40 per cent threshold with a 10 per cent margin exists in
Ecuador.
180. A number of countries also have minimum turnout rates for their presidential
elections, typically 50 per cent, as is the case in Russia and many of the former Soviet
republics; this is an additional mechanism for ensuring the legitimacy of the result.
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Afghan TRS presidential
ballot paper
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181. Apart from those countries where parties could create winning pre-election
alliances so that presidential candidates could be elected in the rst round (e.g. in
Brazil in 1994 and Chile in 1989 and 1994), the experience of TRS has appeared
problematic in Latin America. For example, in the 1990 elections in Peru, Alberto
Fujimori obtained 56 per cent of the votes in the second round, but his party won only
14 of 60 seats in the Senate and 33 seats of 180 in the Chamber of Deputies. In Brazil
in 1989, Fernando Collor de Melo was elected in the second round with just under half
of the votes, but his party won, in non-concurrent legislative elections, only three of
the 75 Senate seats and only 40 of 503 seats in the Chamber of Deputies. No president
in Ecuador has had majority support in the legislature since TRS was introduced for
presidential elections in 1978.
The problems of governance which have resulted demonstrate the importance of
considering interlinked institutional provisions together. Although TRS produced
presidents who had the second-round support of a majority of the electorate, it existed
alongside systems for election to the legislature which did not guarantee those presidents
signicant legislative support. In Brazil in particular it encouraged party fragmentation.
While the successful candidates gathered the support of other parties between the rst
and second rounds, there was little to enable them to keep that support in place after
the elections.
Preferential Voting
182. One way of getting around the disadvantages of TRS is to merge the rst and
second round into one election. There are several ways of doing this. AV is one obvious
solution; it is used to elect the president of the Republic of Ireland. A lower-placed
candidate who picks up many second-preference votes can overtake higher-placed
candidates. The most recent example of a president winning through the transfer
of preferences in this manner was the 1990 election of Mary Robinson to the Irish
presidency.
183. A second possibility is the preferential system used for presidential elections in Sri
Lanka and for London mayoral elections, known as the Supplementary Vote. Voters are
asked to mark not only their rst-choice candidate but also their second (and, in Sri
Lanka, their third) choices. The way in which this is done differs: in Sri Lanka, voters
are asked to place the numbers 1, 2 and 3 next to the names of the candidates, in
the same manner as under AV and STV. In London, no numbers are required; the
ballot paper contains two columns, for a rst-choice vote and a second-choice vote,
respectively. Voters are asked to mark their rst-choice and second-choice candidates
accordingly. This means that voters do not have to write in any numbers themselves.

184. Counting is the same in both cases: if a candidate gains an absolute majority of
rst-preference votes, he or she is immediately declared elected. However, if no candidate
gains an absolute majority, all candidates other than the top two are eliminated and
their second- (or, in Sri Lanka, second- and third-) choice votes are passed on to one or
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Sri Lankan preferential presidential ballot paper
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the other of the two leading candidates, according to the preference ordering marked.
Whoever achieves the highest number of votes at the end of this process is declared
elected. This system thus achieves in one election what TRS achieves in two, with
signicant cost savings and greater administrative efciency.
185. The disadvantages of the Supplementary Vote system include its additional
complexity and the fact that voters are effectively required to guess who the top two
candidates will be in order to make full use of their vote.
186. Despite these differences, both AV and the Supplementary Vote have the same core
aim: to make sure that whoever wins the election will have the support of an absolute
majority of the electorate. The use of preference votes to express a second choice means
that a second round of voting is not required, and this results in signicant cost savings
as well as benets in administrative, logistics and security terms.
Distribution Requirements
187. Three countriesIndonesia, Kenya and Nigeriacombine their presidential
elections with a so-called distribution requirement, which requires candidates to
gain a regional spread of votes, in addition to an absolute majority, before they can be
declared duly elected. In Indonesia, which held its rst direct presidential elections in
2004, a successful presidential and vice-presidential candidate team needed to gain an
absolute majority of the national vote and at least 20 per cent of the vote in over half
of all provinces to avoid a second round of voting. This requirement was inspired by
Nigeria, another large and regionally diverse country, where presidential candidates
need not only to win an absolute majority of the vote nationally but also to secure at
least one-third of the vote in at least two-thirds of the countrys provinces.
188. Distribution requirements do have the benet of encouraging presidential
candidates to make appeals outside their own regional or ethnic base, and if appropriately
applied can work very well. However, the specication of two requirements for victory
always carries the possibility that no candidate will full both. It is important that
designers note this possibility and include provisions to resolve it, because a system
which produces no winner and no method of nding a winner could create a vacuum
of power fraught with the dangers of instability.
The second round in Indonesia merely requires a simple majority for the winner to be
declared elected, but Nigeria retains the distribution requirement for the second round
too, which creates the possibility of a third round. If this were to take place in practice
it could have implications both for the length of the election period and for the nancial
and administrative resources required.
Distribution requirements introduce strategic imperatives for candidates. In Kenya, to
be elected president a candidate has to receive a plurality overall and at least 25 per cent
of the vote in at least ve out of the eight provinces. Even so, throughout the 1990s
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a divided opposition allowed Daniel Arap Moi to remain president with less than an
absolute majority of the vote.
Electing an Upper House
189. Not all legislatures consist only of one chamber; particularly in larger countries,
many are bicameral. Most second chambers (often called upper houses or senates) exist
for one or both of two reasons. The rst is to provide a different type of representation
or represent different interests, most often the regions or provinces of a country. The
second is to act as a house of review, to provide a brake or delay against impetuous
decisions in a lower chamber. The powers of upper houses are often less than those of
lower chambers, especially when they are chambers of review. Around the world, about
two-thirds of all countries have unicameral legislatures, while the remaining one-third
have some kind of second chamber.
190. The structures of these vary widely, but in general the most common use of second
chambers is in federal systems to represent the constituent units of the federation.
For example, the states in the USA and Australia, the Lnder in Germany and the
provinces in South Africa are all separately represented in an upper house. Typically,
this involves a weighting in favour of the smaller states or provinces, as there tends to be
an assumption of equality of representation between them. In addition, many second
chambers feature staggered elections: half the chamber is elected every three years in
Australia and Japan; one-third of the chamber is elected every second year in the USA
and India, and so on.
191. Some countries whose upper houses are houses of review place special restrictions
on them. In Thailand, for example, the Senate is now elected, but senators are prohibited
from belonging to a political party or campaigning for election.
192. A less common type of alternative representation is the deliberate use of the second
chamber to represent particular ethnic, linguistic, religious or cultural groups. A second
chamber may also deliberately contain representatives of civil society. In Malawi, for
instance, the constitution provides for 32 of the 80 senators to be chosen by elected
senators from a list of candidates nominated by social interest groups. These groups
are identied as womens organizations, the disabled, health and education groups,
the business and farming sectors, the trade unions, eminent members of society and
religious leaders. The much-maligned British House of Lords is occasionally defended
on the grounds that it contains individuals with specic policy expertise who can check
government legislation drawn up by generalist politicians. Similarly, second chambers
in countries like Fiji and Botswana are used to represent traditional chiefs, although
these are appointed in the rst case and elected in the second.
193. Because of these variations, many second chambers are partly elected, indirectly
elected or unelected. Of those that are elected, most jurisdictions have chosen to reect
the different roles of the two houses by using different electoral systems for the upper
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203. The debate between parliamentarism and presidentialism in national constitutions
has a counterpart in discussion of the structure of local government. Directly elected
governors and mayors who head executive authorities that are separate from the elected
local legislative body are becoming more popular worldwide, at the expense of elected
authorities with collective committee structures directly responsible for services. The
range of systems for electing governors and mayors is in principle the same as that for
the direct election of presidents, and parallels may also be drawn when considering the
issues surrounding the relationship between the electoral system and the legislative
executive relationship at local level.
Electoral Systems and Political Parties
204. Different kinds of electoral system are likely to encourage different kinds of
party organization and party system. While it is important for party systems to
be as representative as possible, most experts favour systems which encourage the
development of parties based on broad political values and ideologies and specic
policy programmes, rather than narrow ethnic, racial or regional concerns. As well as
reducing the threat of societal conict, parties which are based on these broad cross-
cutting cleavages are more likely to reect national opinion than those that are based
predominantly on sectarian or regional concerns.
205. Highly centralized political systems using closed-list PR are the most likely to
encourage strong party organizations; conversely, decentralized, district-based systems
like FPTP may have the opposite effect. But there are many other electoral variables
that can be used to inuence the development of party systems. For example, new
democracies like Russia and Indonesia have attempted to shape the development of
their nascent party systems by providing institutional incentives for the formation of
national rather than regional political parties (see the case study on Indonesia). Other
countries such as Ecuador and Papua New Guinea have used party registration and
funding requirements to achieve similar objectives. Access to public and/or private
funding is a key issue that cuts across electoral system design, and is often the single
biggest constraint on the emergence of viable new parties.
Just as electoral system choice will affect the way in which the political party system
develops, the political party system in place affects electoral system choice. Existing
parties are unlikely to support changes that are likely to seriously disadvantage them,
or changes that open the possibility of new, rival parties gaining entry to the political
party system, unless there is a strong political imperative. The range of options for
electoral system change may thus be constrained in practice.
206. Different kinds of electoral system also result in different relationships between
individual candidates and their supporters. In general, systems which make use of
single-member electoral districts, such as most plurality/majority systems, are seen
as encouraging individual candidates to see themselves as the delegates of particular
geographical areas and beholden to the interests of their local electorate. By contrast,
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systems which use large multi-member districts, such as most PR systems, are more likely
to deliver representatives whose primary loyalty lies with their party on national issues.
Both approaches have their merits, which is one of the reasons for the rise in popularity
of mixed systems that combine both local and national-level representatives.
207. The question of accountability is often raised in discussions of political parties
and electoral systems, especially in relation to individual elected members. The
relationships between electors, elected members and political parties are affected not
only by the electoral system but also by other provisions of the political legislative
framework such as term limits, provisions regulating the relationship between parties
and their members who are also elected representatives, or provisions barring elected
members from changing parties without resigning from the legislature.
208. The freedom for voters to choose between candidates as opposed to parties
is another aspect of accountability. Many countries in recent years have therefore
introduced a greater element of candidate-centred voting into their electoral systems,
for example, by introducing open lists in PR elections.
Direct Democracy Options
209. This Handbook covers issues of electoral system design for the election of
representatives at all levels. When considering the question of accountability, however,
a broader framework may be necessary which also takes into account the role of
institutions of direct democracy. The use of referendums is becoming more common
worldwide. Switzerland has a long history of use of the citizens initiative, a procedure
which enables legislative proposals to be submitted by groups of citizens to popular vote.
While Venezuela is the only country which provides for a recall vote against a directly
elected president, such votes can be demanded against legislators and/or regional and
local ofce holders in some presidential systems and many US states.

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6
CHAPTER 6
CHAPTER 6
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6. Advice for Electoral
System Designers
221. One of the clearest conclusions to be drawn from the comparative
study of electoral systems is simply the range and utility of the options available.
Often, designers and drafters of constitutional, political and electoral frameworks
simply choose the electoral system they know bestoften, in new democracies, the
system of the former colonial power if there was onerather than fully investigating
the alternatives. Sometimes the elements of a peace settlement or external pressures
constrain the options available.
The major purpose of this Handbook is to provide some of the knowledge for informed
decisions to be made. The Handbook does not necessarily advocate wholesale changes
to existing electoral systems; in fact, the comparative experience of electoral reform to
date suggests that moderate reform, building on those parts of an existing system which
work well, is often a better option than jumping to a completely new and unfamiliar
system.
222. There is much to be learned from the experience of others. For example, a country
with an FPTP system which wishes to move to a more proportional system while still
retaining the geographical link to constituents might want to consider the experience
of New Zealand, which adopted an MMP system in 1993, or Lesotho, which did so in
2002. A similar country which wants to keep single-member districts but encourage
inter-group accommodation and compromise could evaluate the experience of AV in
the Oceania region (Fiji or Papua New Guinea in particular). Any deeply divided
country that wishes to make the transition to democracy would be well advised to
consider both the multi-ethnic power-sharing government the List PR electoral system
in South Africa has facilitated and the more troubled history of the Northern Ireland
Assembly elected by STV. Lastly, a country which simply wishes to reduce the cost
and instability created by a TRS system for electing a president could examine the AV
option used by the Republic of Ireland. In all these cases, the choice of electoral system
has had a clear impact on the politics of that country.
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223. The following guidelines summarize the advice contained in this Handbook.
Keep It Simple and Clear
224. Effective and sustainable electoral system designs are more likely to be easily
understood by the voter and the politician. Too much complexity can lead to
misunderstandings, unintended consequences, and voter mistrust of the results.
Dont be Afraid to Innovate
225. Many of the successful electoral systems used in the world today themselves
represent innovative approaches to specic problems, and have been proved to work
well. There is much to learn from the experience of othersboth neighbouring
countries and seemingly quite different cases.
Pay Attention to Contextual and Temporal Factors
226. Electoral systems do not work in a vacuum. Their success depends on a happy
marriage of political institutions and cultural traditions. The rst point of departure
for any would-be electoral system designer should be to ask: What is the political and
social context I am working within? The second might be: Am I designing a permanent
system or one which needs to get us through a transitional period?
Dont Underestimate the Electorate
227. While simplicity is important, it is equally dangerous to underestimate the voters
ability to comprehend and successfully use a wide variety of different electoral systems.
Complex preferential systems, for example, have been used successfully in developing
countries in the AsiaPacic region, while the experience of many recent elections
in new democracies has underlined the important distinction between functional
literacy and political literacy. Even in very poor countries, voters often have, and wish
to express, relatively sophisticated orderings of political preferences and choices.
Err on the Side of Inclusion
228. Wherever possible, whether in divided or relatively homogeneous societies, the
electoral system should err on the side of including all signicant interests in the
legislature. Regardless of whether minorities are based on ideological, ethnic, racial,
linguistic, regional or religious identities, the exclusion of signicant shades of opinion
from legislatures, particularly in the developing world, has often been catastrophically
counterproductive.
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Process is a Key Factor in Choice
229. The way in which a particular electoral system is chosen is also extremely
important in ensuring its overall legitimacy. A process in which most or all groups are
included, including the electorate at large, is likely to result in signicantly broader
acceptance of the end result than a decision perceived as being motivated by partisan
self-interest alone. Although partisan considerations are unavoidable when discussing
the choice of electoral systems, broad cross-party and public support for any institution
is crucial to its being accepted and respected. The reform of the New Zealand electoral
system from FPTP to MMP, for example, involved two referendums which served to
legitimize the nal outcome. By contrast, the French Socialist governments decision
in 1986 to switch from the existing Two-Round System to PR was widely perceived
as being motivated by partisan considerations, and was quickly reversed as soon the
government lost power in 1988.
Build Legitimacy and Acceptance Among All Key Actors
230. All groupings which wish to play a part in the democratic process should feel
that the electoral system to be used is fair and gives them the same chance of electoral
success as anyone else. The paramount aim should be that those who lose the election
cannot translate their disappointment into a rejection of the system itself or use the
electoral system as an excuse to destabilize the path of democratic consolidation. In
1990 in Nicaragua, the Sandinistas were voted out of the government but accepted the
defeat, in part because they accepted the fairness of the electoral system. Cambodia,
Mozambique and South Africa were able to end their bloody civil wars through
institutional arrangements which were broadly acceptable to all sides.
Try to Maximize Voter Inuence
231. Voters should feel that elections provide them with a measure of inuence over
governments and government policy. Choice can be maximized in a number of
different ways. Voters may be able to choose between parties, between candidates of
different parties, and between candidates of the same party. They may also be able to
vote under different systems when it comes to presidential, upper house, lower house,
regional and local government elections. They should also feel condent that their vote
has a genuine impact on the formation of the government, not just on the composition
of the legislature.
But Balance That Against Encouraging Coherent Political Parties
232. The desire to maximize voter inuence should be balanced against the need to
encourage coherent and viable political parties. Maximum voter choice on the ballot
paper may produce such a fragmented legislature that no one ends up with the result
they were hoping for. There is widespread agreement among political scientists that
broadly-based, coherent political parties are among the most important factors in
promoting effective and sustainable democracy.
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Long-Term Stability and Short-Term Advantage
Are Not Always Compatible
233. When political actors negotiate over a new electoral system they often push
proposals which they believe will advantage their party in the coming elections.
However, this can often be an unwise strategy, particularly in developing nations, as
one partys short-term success or dominance may lead to long-term political breakdown
and social unrest. For example, in negotiations prior to the transitional 1994 election,
South Africas ANC could reasonably have argued for the retention of the existing
FPTP electoral system, which would probably have given it, as by far the largest party, a
seat bonus over and above its share of the national vote. That it argued for a form of PR,
and thus won fewer seats than it could have under FPTP, was a testament to the fact
that it saw long-term stability as more desirable than short-term electoral gratication.
234. Similarly, electoral systems need to be responsive enough to react effectively to
changing political circumstances and the growth of new political movements. Even in
established democracies, support for the major parties is rarely stable, while politics in
new democracies is almost always highly dynamic and a party which benets from the
electoral arrangements at one election may not necessarily benet at the next.
Dont Think of the Electoral System as a Panacea for All Ills
235. While it is true that if one wants to change the nature of political competition the
electoral system may be the most effective instrument for doing so, electoral systems
can never be the panacea for all the political ills of a country. The overall effects of
other variables, particularly a countrys political culture, usually have a much greater
impact on its democratic prospects than institutional factors such as electoral systems.
Moreover, the positive effects of a well-crafted electoral system can be all too easily
submerged by an inappropriate constitutional dispensation, the dominance of forces of
discord internally, or the weight of external threats to the sovereignty of the country.
But Conversely Dont Underestimate its Inuence
236. Throughout the world the social constraints on democracy are considerable, but
they still leave room for conscious political strategies which may further or hamper
successful democratization. Electoral systems are not a panacea, but they are central to
the structuring of stability in any polity. Skilful electoral system engineering may not
prevent or eradicate deep enmities, but appropriate institutions can nudge the political
system in the direction of reduced conict and greater government accountability. In
other words, while most of the changes that can be achieved by tailoring electoral
systems are necessarily at the margins, it is often these marginal impacts that make the
difference between democracy being consolidated or being undermined.
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Be Mindful of the Electorates Willingness to Embrace Change
237. Electoral system change might seem a good idea to political insiders who
understand the aws of the existing system, but unless proposals for reform are
presented in an appropriate way the public may well reject tinkering with the system,
perceiving reform to be nothing more than a case of politicians altering the rules for
their own benet. Most damaging are situations when the change is seen to be a blatant
manoeuvre for political gain (as was the case in Chile in 1989, in Jordan in 1993, and
in Kyrgyzstan on several occasions since 1995 (see the case study)), or when the system
alters so frequently that the voters do not quite know where they are (as some observers
have argued is the case in Bolivia).
And Dont Assume that Defects can Easily be Fixed Later
238. All electoral systems create winners and losers, and therefore vested interests.
When a system is already in place, these are part of the political environment. At a time
of change, however, it may be unwise to assume that it will be easy to gain acceptance
later to x problems which arise. If a review of the system is intended, it may be sensible
for it to be incorporated into the legal instruments containing the system change.
Avoid Being a Slave to Past Systems
239. Nevertheless, all too often electoral systems that are inappropriate to a new
democracys needs have been inherited or carried over from colonial times without
any thought as to how they will work within the new political realities. Almost all the
former British colonies in Asia, Africa and the Pacic, for example, adopted FPTP
systems. In many of these new democracies, particularly those facing ethnic divisions,
this system proved utterly inappropriate to their needs. Similarly, it has been argued
that many of the former French colonies in West Africa which retained the TRS system
(such as Mali) suffered damaging polarization as a result; and many post-communist
regimes retain minimum turnout or majority requirements inherited from the Soviet
era. One of the fascinating things about the map which comes with this Handbook is
that in many ways it mirrors a map of the worlds colonies 100 years ago, with many
former British colonies using FPTP, those countries under French inuence using TRS,
and the former Belgian and Dutch colonies often opting for a version of the List PR
systems used in continental Europealthough it is true to say that over time this is
changing.
Assess the Likely Impact of Any New System on Societal Conict
240. As noted at the very start of this Handbook, electoral systems can be seen not
only as mechanisms for choosing legislatures and presidents but also as a tool of
conict management within a society. Some systems, in some circumstances, will
encourage parties to make inclusive appeals for support outside their own core support
base. Unfortunately, it is more often the case in the world today that the presence of
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inappropriate electoral systems serves actually to exacerbate negative tendencies which
already exist, for example, by encouraging parties to see elections as zero-sum contests
and thus to act in a hostile and exclusionary manner to anyone outside their home
group. When designing any political institution, the bottom line is that, even if it does
not help to reduce tensions within society, it should, at the very least, not make matters
worse.
Try and Imagine Unusual or Unlikely Contingencies
241. Too often, electoral systems are designed to avoid the mistakes of the past,
especially the immediate past. Care should be taken in doing so not to overreact and
create a system that goes too far in terms of correcting previous problems. Furthermore,
electoral system designers would do well to pose themselves some unusual questions to
avoid embarrassment in the long run. What if nobody wins under the system proposed?
Is it possible that one party could win all the seats? What if you have to award more
seats than you have places in the legislature? What do you do if candidates tie? Might
the system mean that, in some districts, it is better for a party supporter not to vote for
their preferred party or candidate?
A Design Checklist
Is the system clear and comprehensible?
Has context been taken into account?
Is the system appropriate for the time?
Are the mechanisms for future reform clear?
Does the system avoid underestimating the electorate?
Is the system as inclusive as possible?
Was the design process perceived to be legitimate?
Will the election results be seen as legitimate?
Are unusual contingencies taken into account?
Is the system nancially and administratively sustainable?
Will the voters feel powerful?
Is a competitive party system encouraged?
Does the system t into a holistic constitutional framework?
Will the system help to alleviate conict rather than exacerbate it?
PAGE 105
Warsaw
October 2003
EXISTING COMMITMENTS FOR
DEMOCRATIC ELECTIONS
IN OSCE PARTICIPATING STATES
PAGE 106
Published by the OSCE Office for Democratic Institutions and
Human Rights (ODIHR)
Al. Ujazdowskie 19, 00-557 Warsaw, Poland
http://www.osce.org/odihr
OSCE/ODIHR 2003
All rights reserved. The contents of this publication may be freely used and copied for educational and other
non-commercial purposes, provided that any such reproduction be accompanied by an acknowledgement of the
OSCE/ODIHR as the source.
Designed by Pebekom, Pia, Poland
Printed in Poland by Drukarnia Waldemar Grzebyta
PAGE 107
5.5 Residence in the state may be required for the exercise of the right to vote.
59
To vote in local or regional
elections, a reasonable period of residence in the area may be required.
60
5.6 Registration of voters must be accomplished in an accurate, timely, and transparent manner, and
individuals shall be given effective opportunity to understand their rights, check the accuracy of their
registration, and ensure that errors are corrected.
61
5.7 Secure mechanisms
62
should be implemented to permit absentee voting by persons who are temporarily
away from their area of residence, especially if such persons are residing internally.
63
The absence of
a permanent residence should not prevent an otherwise qualified person from being registered as a voter.
64
6. Candidacies and Political Parties
6.1 To ensure that the will of the people serves as the basis of the authority of government, the participating
States will
65
respect the right of citizens to seek political or public office, individually or as representatives of
political parties or organizations, without discrimination;
66
[and] respect the right of individuals and groups to
establish, in full freedom, their own political parties or other political organizations and provide such political
parties and organizations with the necessary legal guarantees to enable them to compete with each other on
a basis of equal treatment before the law and by the authorities.
67
6.2 States must permit candidates to seek elective office, either independently or as representatives
of political parties or other organizations, without unnecessary obstacles.
68
Candidacies may be subject
only to reasonable and equally applied registration procedures, such as a requirement to provide personal
identification information, a personal statement or party endorsement, or evidence of a minimum level of
public support.
69
59
See ECtHR, Hilbe case; EComHR, X v. United Kingdom In the latter decision, p. 122, the European Commission of Human Rights found that
a residence requirement in national elections was justified by several factors: [F]irst, the assumption that a non-resident citizen is less directly
or continuously interested in, and has less day-to-day knowledge of its problems; secondly, the impracticability for Parliamentary candidates
of presenting the different electoral issues to citizens abroad so as to secure a free expression of opinion; thirdly, the need to prevent electoral
fraud, the danger of which is increased in uncontrolled postal votes; and finally the link between the right of representation in the Parliamentary
vote and the obligation to pay taxes, not always imposed on those in voluntary and continuous residence abroad. The CIS Electoral
Convention, 2(c), adopts a different approach, opting to exclude non-resident status from preventing voting by citizens in national elections:
[E]very citizen living or staying in the period of conducting of the national elections beyond the boundaries of their state has the voting rights
equal to those pertaining to other citizens of their state. ...
60
See EComHR, Polacco case; CDL Guidelines, I, 1.c (ordinarily, a maximum of six months); ACEEEO, 8 (1.3). In the Polacco case, id., the
Commission indicated that the required period of residency for local elections may not exceed a few months.
61
See, generally, ECHR, 8; Personal Data Convention, 108; CDL Guidelines, I, 1.2; ODIHR Legal Review Guidelines, VII; ACEEEO, 8(1.5),
21 (2.3-.4); IPU, 2(2) & (4), 4(1).
62
See ODIHR Legal Review Guidelines, XII.E. The CIS Electoral Convention, 3(3), states that, assuring provision of the maximum
convenience for voters, but subject to implementation through the law, citizens should be provided an opportunity to vote through absentee
and other means (including advance voting, mobile voting, or other procedures).
63
See ODIHR final report on the 2002 parliamentary elections in the former Yugoslav Republic of Macedonia, p. 18.
64
See ODIHR final report on the 2000 Croatian House of Representatives elections, p. 28.
65
Copenhagen Document, 7.
66
Id., 7.5.
67
Id., 7.6. The CIS Electoral Convention, 9(2), insists that authentic elections are based on real political pluralism, and ideological variety and
a multi-party system that are exercised through functioning of political parties. See also id., Art. 19(g) (facilitation of political parties).
Consistent with the previous practice in the CIS area, however, the Convention, in Art. 10(3) on Fair Elections, also stresses the role of
independent candidacies and candidacies sponsored by other public formations and subjects ... mentioned in the Constitution, laws.
68
See UDHR, 20(1), 21; UNHRC Kyrgyzstan report; ECHR, 14; ECtHR, Podkolzina case; CDL Guidelines I, 1.3, 2.3 and 3.1.b; ODIHR Legal
Review Guidelines, VIII, A-B; ACEEEO, 4(5), 9(1.3), 14, 20; IPU, 3(1) and (7). See, for example, CDL Guidelines, 2.3.a: Equality of
opportunity must be guaranteed for parties and candidates alike. This entails a neutral attitude by state authorities ....
69
See ODIHR Legal Review Guidelines, id.; ACEEEO, id. ACEEEO, 4(5) states: Genuine elections shall ensure fair legal conditions for
nomination, registration, refusal or cancellation of registration of candidates, lists of candidates of political parties (coalitions) and for
16 EXISTING COMMITMENTS FOR DEMOCRATIC ELECTIONS IN OSCE PARTICIPATING STATES
PART ONE
INVENTORY OF OSCE COMMITMENTS AND OTHER
PRINCIPLES FOR DEMOCRATIC ELECTIONS
PAGE 108
6.3 No additional qualification requirements, beyond those applicable to voters, may be imposed on
candidates except, for certain offices, concerning age and duration of citizenship and/or residence.
70
Some
categories of public employment may be made incompatible with candidacy, if justified by the nature of the
position
71
or the potential for conflict of interest.
6.4 Denial of candidacy on the grounds that the programme of a candidate or party violates the constitution
or that candidacy poses an unreasonable risk of violence must be based on a justified determination, subject to
judicial review, that: (a) the programme of the candidate or party is based on ethnic hatred, political violence,
or war propaganda or is otherwise inconsistent with fundamental democratic values; or (b) its conduct
demonstrates that it is not prepared to respect the law or to confine itself to peaceful means in order to achieve
its objectives.
72
Actions against candidacies on such grounds must be proportionate and not undertaken for
political reasons.
73
6.5 No discriminatory actions may be carried out against certain candidacies,
74
and no special advantages of
an organizational or financial nature may be granted to other candidates or political parties,
75
except with
respect to the submission of signature petitions or financial surety.
76
Any such advantages should be equally
available and should reflect the parties base of support or electoral record.
77
7. Election Campaign
A. General
7.1 The participating States reaffirm that [1] everyone will have the right to freedom of expression including
the right to communication. This right will include freedom to hold opinions and to receive and impart
information and ideas without interference by public authority and regardless of frontiers. ...; [2] everyone will
have the right of peaceful assembly and demonstration. Any restrictions which may be placed on the exercise
participation of all political parties (coalitions) in the election campaign. Requirements to registration shall be established in good time before
the commencement of the election campaign; they shall be clear, definite, free from any conditions which may serve as a basis for
discriminatory restrictions or possible abuses and shall be applied in a uniform manner. See also CIS Electoral Convention, 9(6): Authentic
elections assume equal and fair conditions for registration of candidates, lists of candidates and political parties (coalitions). Registration
requirements should be clear, and they should not include requirements that may become the grounds for limitations or privileges of a
discriminatory nature. Any arbitrary or discriminatory application of standards for registration in order to damage separate political parties
(coalitions), candidates, lists of candidates is not allowed.
70
See Copenhagen Document, 7.5 and 7.6; UDHR, 29-30; UNCHR Comments, 15; UNHRC Latvian case; ECHR, 10(2); CDL Guidelines, I, 1;
ACEEEO, 4(5), 8(1.1), 20(3); IPU, 3(7). The CDL Guidelines, 1.1.a.iii, state that the right to stand for election should preferably be acquired
at the same age as the right to vote and in any case not later than the age of 25, except where there are specific qualifying ages for certain
offices (e.g. member of the upper house of parliament, head of state).
71
See ECtHR, Ahmad case.
72
See ECtHR, Turkish political cases (esp. Refah Partisi case, par. 98), Stankov case; EComHR, Glimmerveen case. The CIS Electoral
Convention, 13(6), provides: During an election campaign, there shall not be allowed abuse of the freedom of speech and freedom of mass
communication, including appeals to a violent seizure of power, violent alteration of the constitutional system and breach of the territorial
integrity of the state, appeals aimed at propaganda of war, terrorist, any other violent actions, appeals provoking a social, racial, national,
ethnic, religious hatred and hostility.
73
See ECtHR and EComHR cases, id. In its final report on the October 2002 general elections in Bosnia and Herzegovina (Warsaw, 9 January
2003), the ODIHR observed that the basis for international-community decisions to exclude individuals from running for election was not
always clearly spelled out, the process was not transparent, and there was no effective means of judicial redress or right to a fair and public
hearing. It was found that both international standards and OSCE commitments required these elements.
74
See Copenhagen Document 7.5 and 7.6; CDL Guidelines, I, 2.3.a; ACEEEO, 14(2).
75
See Copenhagen Document, 5.4
76
See, for example, ACEEEO 14(5): In the cases and in the procedure provided for by laws, nomination and registration of candidates, lists of
candidates of political parties (coalitions) may be carried out by collection of the number of voters signatures established by law or payment of
an electoral (monetary) deposit or by means of other procedures which take into account, among other things, the parliamentary status of a
political party (coalition), the number of votes received by a political party at the previous elections to the national legislative body (parliament).
77
See CDL Guidelines, I, 2.3.b: Depending on the subject matter, equality may be strict or proportional. .... If it is proportional, political parties
must be treated according to the results achieved in the elections. ...
17 Inventory of OSCE Commitments and Other Principles for Democratic Elections
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7.12 States must ensure that equal access and fair treatment of election contestants is provided by all state-
owned media outlets, including all electronic and print media.
102
This obligation extends to news reports,
editorial comment, and all other content.
7.13 The state shall ensure that all parties and candidates are offered consistent and equivalent rates for
campaign advertising.
103
During an election period, all media should be required to identify clearly the source
of all advertising or other programming related to the elections that is sponsored by political parties,
candidates, or others.
104
7.14 States shall establish means through which the fairness of media coverage of the elections can be
maintained but without unnecessarily limiting the ability of the media to report fully on elections and, in the
case of the private media, to express views about the candidates, parties, and their programmes.
105
In particular,
states should establish procedures to receive and act on complaints by election contestants concerning unfair
or illegal media activities during an election.
106
8. Voting Process
States will
107
ensure that votes are cast by secret ballot or by equivalent free voting procedure.
108
8.2 The procedures that govern voting at regular polling places, as well as in other special locations must
ensure that all voting is conducted in a secure, orderly, personal, and secret manner.
109
8.3 Voting procedures should ensure that registered voters are promptly and adequately identified and that
mechanisms are in place to prevent fraudulent voting.
110
Procedures should also be implemented to safeguard
the integrity of ballots and other sensitive election materials before, during, and after the vote.
111
8.4 Polling places must be established
112
in locations that ensure that voters have an equivalent opportunity to
exercise their right to vote in a way that is not unduly burdensome.
113
Subject to necessary security controls,
special voting procedures should be employed to permit sick, disabled, elderly, or geographically dispersed
voters who are unable to reach the polls an opportunity to cast their votes.
114
102
See Copenhagen Document, 7.7, 7.8; OSCE, BiH media case; UDHR, 19; CDL Guidelines, I, 2.3.a.ii; ACEEEO, 4(3), 17; IPU, 3(4).
103
See CDL Guidelines, I, 2.3: In conformity with freedom of expression, legal provision should be made to ensure that there is a minimum
access to privately owned audiovisual media, with regard to the election campaign and to advertising, for all participants in elections. See
also ODIHR final report on the 2000 parliamentary elections in the former Yugoslav Republic of Macedonia.
104
See ODIHR Legal Review Guidelines.
105
See Copenhagen Document, 7.7 and 7.8; UDHR, 19; UNHRC Kyrgyzstan report, 21; ECtHR, Lopes Gomes Da Silva and Oberschlik cases;
CDL Guidelines, I, 2.3.a.ii & c; ACEEEO, 4(3), 17; IPU, 3(4).
106
See, for example, ODIHR final reports on the 2000 Kyrgyz Republic parliamentary and presidential elections and Georgian parliamentary
elections.
107
Copenhagen Document, 7.
108
Id., 7.4 (excerpt).
109
See Copenhagen Document, 5.1 and 7.4; UNHRC Comments, 20; CDL Guidelines, I, 3.2; ACEEEO, 11 (1 and 3); IPU, 4(5). The CIS
Electoral Convention, 5(4), also stresses the exclusion of the possibility to exert any control or monitoring over filling in the voting paper by
the voter .... The CIS Convention also opposes any compulsion or coercion on voters to cast ballots in an election. Id., Art. 8.
110
See CDL Guidelines, I, 3.2.
111
See, for example, ODIHR final report on the 2000 Albanian local-government elections, p. 19.
112
See id., ii: [V]oters should always have the possibility of voting in a polling station. ...
113
See IPU, 2(5): Every voter has the right to equal and effective access to a polling station in order to exercise his or her right to vote.
114
See CDL Guidelines, I, 3.2.ii-vi.
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8.5 Polling procedures should ensure a calm and orderly atmosphere within the polling station and, to the
extent possible, in the immediate vicinity. Voters must not be subjected to any form of harassment,
intimidation, or coercive influence.
115
8.6 Inside the polling place, there should be no display of party symbols, photographs of officials affiliated
with a particular party, or political paraphernalia of any sort or broadcasting of news or other programming
with political relevance.
116
Persons who are not authorized to participate in, or observe, polling operations
should not be permitted to remain present.
117
8.7 The polling board should have the authority to request security assistance from the relevant authorities in
the event of a disturbance,
118
but, otherwise, the security forces should not enter a polling station or otherwise act
in a manner that could influence the voting.
119
The locations of polling places and the immediately surrounding
environment should be policed by the authorities to the extent necessary as dictated by local conditions.
120
8.8 Applicable laws and regulations shall provide that all voting must be personal, and no exceptions should
be made by election workers to permit any form of non-personal voting (including group, family, or informal
proxy voting),
121
except when a voter who is not able to cast a ballot requires personal assistance in order to do
so. In the latter situation, the assistance should be provided by someone of the voters own choosing or by
another person chosen in a neutral manner, who shall be obliged to respect the secrecy of the vote, and the
potential for undue influence should be avoided.
122
8.9 Absolute secrecy of voting must be preserved in all aspects of operations at the polling place, including with
respect to the issuance of ballot papers, arrangement and number of voting booths or screens, and casting of ballots.
123
8.10 Special voting, e.g., voting conducted either in advance or on election day in residential facilities
(including hospitals, other residential institutions, or places of detention or imprisonment), at special sites
(such as military bases, diplomatic and consular facilities, or ships at sea), through absentee (including postal)
balloting; or by other voting conducted outside the polling station (such as for ill or infirm persons), as well
various forms of remote electronic voting, potentially gives greater effect to the right to vote.
124
Special or
115
See Copenhagen Document, 7.4 and 7.7. The UNHRC Comments, 10, indicate: Any abusive interference with registration or voting as well
as intimidation or coercion of voters should be prohibited by penal laws and those laws should be strictly enforced.
116
No specific reference has been found on this point, but election observers regularly report violations of the principle of keeping political
materials out of polling places in order to preserve the orderly and non-coercive atmosphere required for truly free voting.
117
See ODIHR final reports on the 1999 Armenian and Uzbek parliamentary elections and 2000 Georgian and Tajik parliamentary elections and
municipal elections in the former Yugoslav Republic of Macedonia (no unauthorized persons to remain in polling stations, including, in many
cases, local officials).
118
The Explanatory Report accompanying the CDL Guidelines, op. cit., states: Every electoral law must provide for intervention by the security
forces in the event of trouble. In such an event, the presiding officer of the polling station (or his or her representative) must have sole authority
to call in the police[,] ... since what is needed in such circumstances is an on-the-spot decision .... The recommendation concerning assignment
of this power to the presiding officer rather than the polling committee as a whole has not been included in this paragraph, since there is
a division of views among election experts on this matter, especially with respect to how it would apply in certain circumstances.
119
See, for example, ODIHR final reports on the 2002 Ukrainian and Latvian parliamentary elections and the 2001 Belarusian presidential
elections.
120
See IPU, 4(8) (quoted previously).
121
See CDL Guidelines, I, 4.b: Voting must be individual. Family voting and any other form of control by one voter over the vote of another
must be prohibited.
122
No specific reference has been found on this point, but the principle follows from the overarching rules concerning the avoidance of violations
of voter secrecy, security, and freedom of voting. Election experts regularly advise consideration of the factors mentioned in this sentence in
connection with assistance to disabled voters.
123
See ICCPR, 25(2); CDL Guidelines, I, 4.
124
Less attention has been paid to the benefits of special voting than to the problems it creates from the perspective of security. Special voting
was recently recommended in the CIS Electoral Convention, 3(3): In the cases and in the course stipulated by the laws, the citizen should be
provided with the possibility to exercise their right to vote through organization of an [advance] voting, voting outside the voting premises or
other voting procedures assuring provision of the maximum convenience for voters.
21 Inventory of OSCE Commitments and Other Principles for Democratic Elections
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electronic voting procedures must, however, be carefully designed and carried out in order to preserve ballot
secrecy and accountability, while safeguarding against fraud and undue influence.
125
9. Results: Determination, Publication, and Implementation
States will
126
ensure that votes [are] reported honestly with the official results made public;
127
[and] ensure that
candidates who obtain the necessary number of votes required by law are duly installed in office and are
permitted to remain in office until their term expires or is otherwise brought to an end in a manner that is
regulated by law in conformity with democratic parliamentary and constitutional procedures.
128
9.2 The counting of ballots and determination of the results of voting must be a transparent process that is
open to observation by representatives of election contestants, as well as other observers.
129
The summarized
results shall be signed by the presiding official and offered for signature or recording of comments by other
board members. The results should also be displayed to the representatives of election contestants and other
observers present; posted for public inspection; and copies should be provided to all board members, any
representatives of election contestants, and, if possible, to other observers in attendance.
130
9.3 The transfer and receipt of results by election bodies responsible for consolidating the results of voting
must also be transparent and permit observation by representatives of the contestants, as well as other
observers.
131
Copies of consolidated results should also be provided to the representatives and, if possible, other
observers present.
132
There should be means to ensure the integrity of the software and accuracy of the data for
voting information that is transmitted electronically.
133
9.4 The announcement of results including numerical vote tallies (not only percentages) for different
candidates or lists of candidates and, where applicable, the recipients of mandates awarded on the basis of
proportional representation or other system that requires further calculation should be carried out in an
expeditious and transparent manner.
134
Final results may be delayed pending timely completion of appeals or
required repeat elections, but, except in extraordinary circumstances, preliminary results should be released as
soon as possible.
135
9.5 Published results should include a table containing a complete breakdown of the vote by constituency
(district) and region (in the event votes are consolidated by an intermediate election body), as well as by polling
station (precinct),
136
except when the vote count is not conducted on a precinct basis. A breakdown of the votes
125
See CDL Guidelines, I, 3.2; ACEEEO, 9(3).
126
Copenhagen Document, 7
127
Id., 7.4 (excerpt).
128
Id., 7.9.
129
See CDL Guidelines, I, 3.2.xiii; ODIHR Legal Review Guidelines, XIII; ACEEEO, 5(2.4); IPU, 4(6).
130
See, generally, ODIHR Legal Review Guidelines, id.
131
See CDL Guidelines, I, 3.2: xiii. [C]ounting must be transparent. Observers, candidates representatives and the media must be allowed to be
present. These persons must also have access to the records; xiv. results should be transmitted to the higher level in an open manner.
132
See ODIHR Legal Review Guidelines, id.
133
The subject of this sentence has not been addressed in detail in existing norms or standards for election practice. As the transmission of results
becomes increasingly computerized, there is a greater need for ways to check the integrity of the software and accuracy of data transfer.
134
See, for example, ACEEEO, 5 (2): Fair elections shall guarantee: ... 2.4. honest performance of electoral actions and electoral procedures
provided for by laws, specifically during voting and vote counting; rapid provision of full information about all voting results, beginning from
the level of election precincts, including provision of the possibility for observers to receive official copies or protocols of voting and/or
election results from election bodies with subsequent official publication of all voting and election results within a reasonable time.
135
See, for example, ODIHR final report on the 2000 Croatian House of Representatives elections, p. 29.
136
See ACEEEO, id. This principle is also supported by the conclusions of a number of recent ODIHR election observation missions.
PART ONE
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list. Many countries permit access to voter list information by other voters, election contestants, or researchers,
sometimes on a controlled or limited basis, to protect personal information about voters. Some countries even
permit access by other organizations, including commercial interests, except that in many cases certain
personal information is removed (sometimes at the request of the voter).
New international and national privacy regulations about the storage and handling of personal information
especially information available in electronic form make it very difficult to define a clear and generally
acceptable principle to govern access to voter list information. Clearly, election contestants have a legitimate
interest in obtaining information from the list in order to assist them to reach the electorate and monitor the
danger of fraudulent voting. At present, however, it is unclear how that interest can be exercised under the rules
applicable in this area in many countries.
Paragraph 5.7 addresses absentee voting. It recommends that absentee-voting procedures should be made
available to those voters who are away from the areas of residence on election day. This principle is based on
the fact that such procedures give much greater effect to the individual right to vote.
This paragraph calls for absentee voting to be implemented through secure mechanisms. It also addresses the
issue of homelessness or the potential exclusion of voters who lack residential documentation by indicating
that persons without a permanent address should not be excluded from voter registration.
Most of the published international standards on absentee voting focus on the security issue and do not, as
such, recommend that such systems should be put into place. The views of election experts and the results of
election observations do, however, support a recommendation that appropriate absentee-voting systems should
be implemented for voters who are away from their home areas, especially if they are located elsewhere on
national territory.
VI. Candidacies and Political Parties
Paragraph 6.1 repeats the provisions from Copenhagen Document Paragraphs 7, 7.5, and 7.6 concerning
respecting the right of citizens to seek political or public office, individually or as representatives of political
parties or organizations, without discrimination; the right of individuals and groups to establish, in full
freedom, their own political parties or other political organizations; and providing such parties and other
organizations with the necessary legal guarantees to enable them to compete with each other on a basis of
equal treatment before the law and by the authorities.
Paragraph 6.2 re-emphasizes the importance of avoiding discrimination among individual candidates and
political parties and other political organizations. It also adds the necessity of avoiding unnecessary obstacles
to candidacies, specifying that registration of candidacies can only be subject to certain reasonable and equally
applied registration procedures.
Common and acceptable registration requirements include providing personal identification information for
candidates, a statement by the candidate and/or party concerning the nomination, and evidence of a minimum
level of public support (such as through submission of a petition containing a reasonable number of voter
signatures), all of which are specifically mentioned in the paragraph. Other requirements should be scrutinized
carefully to determine whether they are truly necessary, unduly burdensome, or potentially discriminatory. On
this point, it is also useful to refer to the provisions referred to in the footnotes that were recently adopted by
the CIS and recommended by the ACEEEO.
33 Explanatory Comments on the Inventory of OSCE Commitments and Other Principles for Democratic Elections
PART TWO
EXPLANATORY COMMENTS ON THE INVENTORY OF
OSCE COMMITMENTS AND OTHER PRINCIPLES FOR
PAGE 113
Paragraph 6.3 would make clear that no additional qualifications can be required to exercise the right to be
elected than for the right to elect (vote), except in certain cases for factors related to additional age and/or the
duration of citizenship or residence.
This paragraph also reflects international legal authority, including European Court of Human Rights case law
(see footnotes), related to disqualification of candidacies based on the holding of certain types of government
employment. Similarly, many political systems include provisions for prevention of conflicts of interest
between overlapping governmental responsibilities often also referred to as incompatibility. Thus, it is
common for senior executive branch officials to be prevented by law from serving in the legislative branch.
Paragraph 6.4 addresses concerns over candidacies that violate the national constitution or include incitement
to violence. This paragraph also reflects international human rights case law and other authority related to the
permissibility of excluding such candidacies in certain circumstances.
Relying in great part on the Refah Partisi case decided by the European Court of Human Rights and the
Glimmerveen decision of the European Commission of Human Rights (see footnotes and references), the
paragraph would permit a candidacy to be excluded for certain reasons that do not, as such, include illegal or
violent conduct. These grounds would include that the programme of the party is inconsistent with
fundamental democratic values, such as by including appeals for ethnic hatred, political violence, or war.
A party that advocates peaceful change of the constitutional order, including even by altering the boundaries of
the state, would not be making an appeal that is inconsistent with fundamental democratic values (see footnotes).
Such candidacies may not be excluded from the electoral process unless they also involve specific conduct that
demonstrates that the candidate or group is not prepared to respect the law or limit itself to peaceful means.
Nor is it sufficient for a candidacy to present a risk of public disorder, including violence. The probability of
disorder or violence initiated by others in response to a candidacy is not grounds for excluding the candidacy.
Finally, if candidacies are to be excluded for the reasons addressed in this paragraph, there must be a specific
determination on the grounds, subject to judicial review, and the electoral sanction must be proportionate to
those grounds.
Paragraph 6.5 addresses special preferences for candidacies put forward by certain organizations, e.g.,
registered or established political parties. Such preferences would be considered impermissible unless they are
limited in nature and supported by objective criteria, such as the partys base of support or electoral record.
Some of the limited advantages extended to established parties include exemption from, or limitation of, the
requirement to submit signature petitions or financial surety. Such advantages are relatively common and tend
to enhance political pluralism by facilitating the participation of political parties in elections. At the same time,
however, these or other preferences can become discriminatory if they make participation in the electoral
process too difficult for new entrants.
VII. Election Campaign
A. General
Paragraph 7.1 incorporates parts of Copenhagen Document Paragraph 9 concerning the rights of free
expression (including communication), peaceful assembly and demonstration, and association. As the excerpts
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Paragraph 7.11 goes beyond the literal language of Copenhagen Document 7.8 (see the General subsection on
Page 34), which provides that states must not prevent free access to the media by election contestants. Paragraph
7.11 indicates that states should encourage active media coverage of elections and that an election administration
should provide the media regular information and opportunities to cover the elections. An affirmative obligation
in this respect would be undertaken by states that ratify the recent CIS Electoral Convention.
This paragraph also makes clear that states should not impose special restrictions on the media during
elections, except with respect to publication of certain materials (such as election polls or advertising) during
the period immediately preceding elections. These matters often arise during the observation of elections, as
indicated by the footnotes.
Paragraph 7.12 also goes further in the same direction as Copenhagen Document Paragraphs 7.7 and 7.8 by
providing that states must ensure equal access and fair treatment of election contestants on all programming
by state media.
Paragraph 7.13 requires states to ensure that all election contestants are offered consistent and equivalent rates
for their campaign advertising in both state and private media. The paragraph also calls for all election-related
advertising to be clearly identified.
Paragraph 7.14 requires states to establish means to address the fairness of coverage of elections by private
media. While this requirement could be met through normal legal channels, the paragraph also indicates that
states should establish procedures to receive and act on complaints about unfair or illegal media activities
during the election period.
VIII. Voting Process
This section deals mainly with technical aspects of the voting process conducted inside polling stations or in
other places or ways. No attempt has been made to address sometimes-controversial issues about the materials
available to voters at the time they vote.
Perhaps the most difficult issue in this regard is the language, or languages, of ballot papers and other voting
materials. (The other materials in question include published and posted official notices identifying candidates
and giving instructions on how to vote.)
It is generally conceded (see Paragraph 7.5, discussed previously) that purely informational programmes and
materials should be addressed to voters in their own language. For constitutional and other reasons, however,
there is less agreement on whether and under what circumstances actual election materials should also be made
available in minority languages or dialects.
A recent attempt to address this issue in a legal document is that of the CIS in its Electoral Convention. This
treatment of the issue in the CIS Convention, however, only strengthens the view that the language issue about
election materials cannot be well addressed through general principles at the present time. Article 9(4) of the
Convention essentially refers the question of the issuance of election materials in languages other than the state
language to determination by law; it is reproduced below (see also Art. 17[1] thereof):
In the course of preparation for and conducting of elections, there is used the official language or official
languages, and in the cases and in the course being fixed by laws, also the official languages of the
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PAGE 115
composite parts of the state territory, languages of nations and nationalities, national minorities and ethnic
groups in the territories of their [concentrated residence].
Paragraph 8.1 repeats the language of Copenhagen Document Paragraphs 7 and 7.4 with respect to the
necessity for the will of the people to be expressed in votes cast by secret ballot or equivalent free voting
procedure.
Paragraph 8.2 identifies the basic principles of the voting process as ensuring secure, orderly, personal, and
secret balloting. These principles are consistent with those put forward in numerous sources, some of which
are cited in the footnote to this provision.
Paragraph 8.3 calls for efficient and effective voter identification and other anti-fraud mechanisms to be in
place to ensure that only eligible voters are permitted to cast ballots. The paragraph also calls for other
safeguards, especially with respect to the control of ballots and other sensitive election materials.
Paragraph 8.4 indicates that polling stations must be established in places where voters would have an
equivalent opportunity to vote in a way that is not unduly burdensome. These concepts are similar to those used
by other recommendations about polling-station locations, such as those of the IPU (equal and effective
access to a polling station).
This paragraph also indicates that, subject to necessary security controls, special voting procedures should be
employed to enable voting by persons who cannot reasonably be expected to travel to a polling station.
Paragraph 8.5 addresses the atmosphere within (calm and orderly) and, in the vicinity of, polling stations.
It indicates that voters must not be subjected to harassment, intimidation, or coercive influence.
Paragraph 8.6 makes clear that, inside the polling station, there should be no party symbols or other political
paraphernalia. It also provides that unauthorized persons should not be permitted to remain present during
voting and counting.
Many election laws do not clearly provide for the exclusion from election facilities of persons who are not
specifically authorized to attend them. The exclusion in this paragraph is phrased in terms of not allowing such
persons to remain in the polling station. This is because election observation shows that inevitably some
unauthorized persons enter the polling station for ostensibly innocent purposes. For example, a candidate may
come in to speak to his representatives at the station, or a local official may enter to check up on arrangements
(physical, equipment, or staffing) there. Such visits are not of particular concern so long as they are of brief
duration.
Paragraph 8.7 calls for appropriate policing of polling stations and the immediate surrounding area. It
indicates that the polling board should have the authority to request security assistance but that, otherwise,
security forces should not enter the station or act in a manner that could influence the voting.
There is some disagreement among election experts whether it is more desirable to assign the responsibility for
calling for security assistance to the chairman or presiding officer or the entire polling board or committee. For
this reason, no specific practice is recommended in this regard.
Paragraph 8.8 emphasizes that applicable laws and regulations must provide for all voting to be personal and
that exceptions should not be made by election workers to permit group, family, or informal proxy voting
except by voters who are unable to fill in or cast a ballot by themselves. For the latter voters, assistance may
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only be provided in a way that is voluntary and avoids violation of voting secrecy or exercise of undue
influence over the voter.
Paragraph 8.9 indicates the highest importance attached to the secrecy of voting, including with respect to all
operations at polling stations. The specific references to issuance of ballot papers, arrangement of voting
booths or screens, and casting of ballots draw attention to the problems associated with ballot swapping and
so-called open voting, i.e., filling in a ballot outside the voting screen.
Paragraph 8.10 deals with various forms of special voting and also deals with emerging systems of remote
electronic voting in connection with this category. The paragraph recognizes that special voting procedures
have the desirable effect of expanding the franchise but must be carefully designed and carried out to prevent
fraud or undue influence.
IX. Results: Determination, Publication, and Implementation
Paragraph 9.1 repeats the provisions of Copenhagen Document Paragraph 7, including 7.4 and 7.9, with
respect to honest reporting and official publication of results and implementation of the results through the
installation in office of successful candidates. Note that, under Copenhagen Document Paragraph 7.9, winning
candidates must not only be duly installed in office but permitted to remain in office until their term expires
or is otherwise brought to an end in a manner that is regulated by law in conformity with democratic
parliamentary and constitutional procedures.
Paragraph 9.2 characterizes the key criterion of the process of counting ballots and determination of results
as transparency, fulfilled through such measures as openness to attendance at related operations by
representatives of election contestants and other observers. In order to achieve the necessary level of
transparency, members of election commissions should sign reporting forms and record any comments thereto;
results should be shown to representatives and observers and posted for public inspection, and copies should
also be given to all commission members and, if possible, to other representatives and observers.
Paragraph 9.3 extends the transparency of proceedings during this phase of an election also to the transfer to,
and receipt of, results by election bodies responsible for consolidating the vote count. Similar provisions for
openness should be applied during this process, and, in addition, there should be a means for checking the
accuracy of results that are transmitted electronically.
Paragraph 9.4 calls for announcements of results to be carried out in an expeditious and transparent manner.
Final results may be delayed due to appeals, but, except in extraordinary circumstances, preliminary results
should be released as soon as possible. (Such circumstances could include extreme closeness of the vote or
other results and the likelihood of unrest in case partial results might not reflect accurately the trend of the total
results.)
Paragraph 9.5 provides that all results should be announced in terms of the numbers of votes received by the
contestants, and not only percentages. This is essential for the transparency of the count, since it enables
election contestants and observers to compare the official results with reported returns.
The final published results should also include a complete breakdown of the voting by district, region, and
polling station whenever possible. Election administrators may, however, avoid releasing regional or precinct-
level tallies when publication of such data could cause discrimination or adverse action against the population
in those areas.
PART TWO
PAGE 117
ballot and prevents undue influence on the voter; and application of special voting methods (such as absentee
voting using a two-envelope system, or voting outside the polling station sometimes referred to as mobile
voting). In addition, the authorities responsible for civic education and voter information should consider the
needs of special voters in designing and carrying out these programmes.
5. Voter Registration
From the individuals right to vote follows a duty of states to guarantee effective exercise of that right through
the registration of voters. Voter lists should be current, accurate, complete, easily accessible for inspection by
qualified voters and subject to the protection of personal information possibly by others (such as election
contestants and scientific researchers) with a legitimate reason to access them. A procedure must be in place
to provide for the proper registration of voters who have been omitted from the register, whose details are
registered incorrectly, or who have reached the legal age for registration after publication of the register.
Likewise, procedures must be in place to object to the presence and call for the removal of entries on the voter
lists of persons who have died, are underage, or are otherwise ineligible to vote.
Some of the best practices for voter registration include maintenance of permanent lists that are periodically
updated, at minimum once a year. If voters are not registered automatically, then it should be possible to apply
for registration over a relatively lengthy period. Voters should be fully informed of their ability to check the
accuracy of their registration. If the authorities fail to make requested corrections, the individual should have
the ability to seek further review, including by a court.
No matter what system is employed for creating and maintaining a voter list, it is necessary for the system to
be transparent and open to verification by voters, political contestants, and election observers. While there are
important privacy considerations, which may be weighted differently by different countries, access to the voter
lists for verification exercises should be provided. In many countries, political contestants and election
observers are not only allowed to inspect the voter lists but are provided copies of the list. Computerization of
voter lists allows inexpensive and easy copying of data onto CD-ROM and other means, which enhances the
ability of an election administration to encourage verification of the voter list, leading to improved accuracy
of the voter lists and higher public confidence in the election process.
F. Candidacies and Political Parties
1. Equal Treatment in Legal Recognition of Political Parties and Ballot Qualification
Together with the right to vote, the right to be elected is a fundamental element of democratic elections.
Individuals and groups must be allowed, without discrimination or unreasonable restrictions, to establish
political parties in order to seek governmental office and to advance public policies based on their common
programmes.
249
Legal recognition to political parties must be granted on a non-discriminatory basis and in
a timely manner that allows the effective exercise of the right to be elected and all of the related civil and
political rights.
250
All political parties and candidates must be able to compete in elections with each other on
the basis of equal treatment before the law.
251
In addition, the law and official policies should create a level
playing field for all political parties and candidates involved in the electoral processes.
252
249
See Copenhagen Document, 7.6.
250
See id.; see also ICCPR, 25, op. cit.; UNHRC General Comments, op. cit; and discussion and footnotes in Section 3 below.
251
See Copenhagen Document, 7, esp. 7.5-7.6.
252
See id., esp. 7.7-7.8.
PART THREE
BACKGROUND REPORT:
OSCE COMMITMENTS AND OTHER PRINCIPLES
FOR DEMOCRATIC ELECTIONS
PAGE 118
As with the right to vote, restrictions on the right to be elected must be confined to accepted criteria: age
requirements, which may be somewhat higher than the legal voting age in the case of candidacies for high
governmental office; citizenship requirements; reasonable residency requirements; and proportionate
restrictions or disqualification in cases of findings of mental incapacity and criminal convictions. In addition,
it is permissible to deny qualification for candidacy to elected office those who presently hold certain other
governmental offices on the basis of conflicts of interest or the doctrine of incompatibility of offices. All such
restrictions on the right to be elected must be reasonable, non-discriminatory, and must be defined clearly in
law or in the constitution.
Candidates seeking office must be permitted to run either as party candidates or individually.
253
In countries
using proportionate representation based on party list voting, parties must be allowed to include persons who
are not party members on the party lists. In addition, candidates cannot be discriminated against regardless of
party affiliation or lack thereof.
2. Ballot Access
In order to give effect to the right to be elected, the procedures for registration of candidacies must be non-
discriminatory and should also be straightforward.
254
The grounds for rejection of a registration application
should be based on objective criteria clearly stated in law. Monetary deposits may be of a sufficient amount to
discourage frivolous candidacies but should not be so high as to prevent legitimate political parties or
independent candidates from obtaining access to the ballot. Financial sureties should be refundable if a certain
reasonable number (or percentage) of votes is obtained. The threshold level of support (such as demonstrated
through the submission of petitions signed by voters) should also be reasonable (in terms of the number of
signatures required, the time allowed for collection, and other procedural requirements). The process of
verifying the authenticity of signatures supporting a candidacy must be reasonable and applied in a non-
discriminatory manner. Such processes must also be transparent, including being open to monitoring by
political party/candidate representatives and election observers. Registered voters, or citizens more generally,
should be allowed to sign ballot qualification petitions of more than one party and candidate, so that citizens
are free to demonstrate their support for a system of political pluralism and are free from circumstances
that could become politically coercive by being called upon to demonstrate support for just one party or
candidate.
Deadlines for the registering authority to approve or reject political party applications for legal recognition
and party and candidate ballot qualification requests should be clearly specified. The grounds for rejection
must be clearly stated in the law and based on objective criteria. The law should allow for correcting
minor deficiencies concerning applications for the legal recognition of political parties and for ballot
nominations within a reasonable amount of time after rejection, provide for appeal to a court of law after
final rejection of legal recognition or ballot qualification, and clearly specify an expedited process for appeal
to enable legal recognition and access to the ballot if registration or ballot qualification was improperly
denied.
Once registration of candidacy is obtained, the issue of registration or possible de-registration should normally
not again be considered by the election authorities. The possibility for withdrawing a political party or
candidates registration should be very narrow, allowing for a review of registration only in cases of serious
violations of the law and pursuant to clearly defined procedures, including judicial involvement.
253
Copenhagen Document, 7.5
254
See ACEEEO, 4(5).
63 Background Report: OSCE Commitments and Other Principles for Democratic Elections
PART THREE
BACKGROUND REPORT:
PAGE 119
3. Denial of Candidacy: Grounds and Limitations
Due to the importance of access to the ballot for political pluralism and democratic elections, a body of
jurisprudence has developed concerning what limitations may be imposed on the right without violating
international human rights principles. This section discusses some of the main cases that have addressed
limitations on candidacy and political parties.
In Podkolzina v. Latvia,
255
the European Court of Human Rights addressed the problem of lack of procedural
and substantive legal guarantees to protect a persons right to be a candidate. The applicant stood as a candidate
in the parliamentary elections. Based on an assessment given by a state examiner, the Central Election
Commission struck her name off the list of candidates on the grounds that she had an inadequate command of
the state language. The applicant argued that the removal of her name from the list of candidates for the
parliamentary elections infringed her right to stand as a candidate in elections as guaranteed by ECHR Protocol
No. 1, Article 3. The Court found that, since the assessment had been left to the sole discretion of a single
official, and due to the absence of any objective guarantees or procedures for challenging such an assessment,
the handling of Ms. Podkolzinas candidacy was incompatible with the procedural requirements of fairness and
legal certainty for determining eligibility for election. It held unanimously that there had been a violation of
Protocol No. 1, Article 3.
In Ahmad and Others v. United Kingdom,
256
the Court dealt with restrictions limiting senior local-government
officials involvement in certain types of political activity, including restrictions on their right to be candidates
in elections. The applicants challenged the limitations as denying their rights to participate fully in the electoral
process under ECHR Protocol No. 1, Article 3. The Court noted that under the article, states may impose
restrictions on an applicants right to contest seats at elections. However, these restrictions must be viewed in
the context of the aim pursued by the legislature in enacting the limiting regulations. Here, the aim of securing
political impartiality in certain civil service positions was considered sufficient for the purpose of restricting
the exercise of the applicants subjective right to stand for election, especially in light of the fact that the
limitation only operates for as long as the applicants occupy politically restricted posts. The Court therefore
concluded that there had been no violation of Protocol No. 1, Article 3.
In Sadak and Others v. Turkey,
257
the European Court of Human Rights addressed the right to be a candidate
within the context of post-election forfeiture of a mandate. A Turkish court terminated the applicants
parliamentary mandates following the court-ordered dissolution of their political party based on statements of
the partys former chairman and not as a result of the applicants political activities as individuals. The
European Court of Human Rights held that the extremely harsh penalty imposed on the applicants could not
be regarded as proportionate to the legitimate aim relied on by Turkey, that the measure was incompatible with
the very essence of the right to stand for election and to hold parliamentary office, and that it had infringed the
unfettered discretion of the electorate that had elected the applicants.
A similar case is Socialist Party and Others v. Turkey.
258
A Turkish court dissolved the Socialist Party, finding
the objectives of the party unacceptable, and banned the founders and managers of the party from holding
similar office in any other political body. The applicants claimed that dissolution of the party and the ban
255
ECtHR, Podkolzina case.
256
ECtHR, Ahmad case.
257
See ECtHR, Turkish political cases, op. cit.
258
See id.
PART THREE
BACKGROUND REPORT:
PAGE 120
placed on its leaders had infringed their right to freedom of association under ECHR Article 11.
259
The court
found that the protection of opinions and the freedom to express them is one of the objectives of the freedoms
of assembly and association as enshrined in Article 11, which also applies to political parties. The court also
considered whether the dissolution of the party could be considered to have been necessary in a democratic
society. The court reiterated that the exceptions set out in Article 11 are to be interpreted strictly when political
parties are concerned. Applying strict review, the court concluded that the dissolution of the Socialist Party was
disproportionate to the aim pursued and consequently unnecessary in a democratic society. Accordingly, there
had been a violation of ECHR Article 11.
Another case from this series is United Communist Party of Turkey and Others v. Turkey.
260
Within 14 days of
the formation of the United Communist Party of Turkey (TBKP), a Turkish court dissolved the party and
banned its founders and managers from holding similar office in any other political body. This was based on
a finding that the TBKPs objectives encouraged separatism and the division of the Turkish nation. The
applicants maintained that the dissolution and the ban placed on its members infringed their right to freedom
of association guaranteed by ECHR Article 11. The European Court of Human Rights determined that Article
11 is applicable to political parties, even though such organizations are not specifically listed therein, because
political parties are essential to the proper functioning of democracy and the importance of democracy in the
ECHR system. The Court concluded that a measure as drastic as the immediate and permanent dissolution of
the TBKP, ordered before its activities had even started, together with a ban barring its leaders from
discharging any other political responsibility, was disproportionate to the aim pursued and consequently
unnecessary in a democratic society. Accordingly, the Court held that there had been a violation of ECHR
Article 11.
In these two cases, United Communist Party of Turkey and Others v. Turkey
261
and Socialist Party and Others
v. Turkey,
262
the European Court of Human Rights recognized the right of citizens to participate in political
deliberation and activity regarding the political questions of the day. The Court made clear that political parties
in Turkey could not be proscribed on the grounds that they advocated autonomy for the Kurdish population
within a federal state. In other words, individuals and parties may not be excluded from the political debate
merely because they are members of a minority group or because they espouse views or programmes that are
incompatible with the principles and structures of the current government. Similarly, in Stankov and the United
Macedonian Organisation Ilinden v. Bulgaria,
263
the Court held that a group calling for autonomy or secession
of part of a countrys territory could not automatically be prohibited from entering the countrys assemblies.
In Refah Partisi (The Welfare Party), Erbekan, Kazan and Tekdal v. Turkey,
264
however, the European Court of
Human Rights found no violation of the ECHR when the Welfare Party was dissolved. The Court held that the
sanctions imposed on the party and its leaders could reasonably be considered to meet the pressing social need
of protecting democracy, since, on the pretext of giving a different meaning to the principle of secularism, the
leaders of the party had declared their intention to establish a plurality of legal systems based on differences
259
ECHR Art. 11 reads as follows:
1. Everyone has the right to freedom of peaceful assembly and to freedom of association with others, including the right to form and to
join trade unions for the protection of his interests.
2. No restrictions shall be placed on the exercise of these rights other than such as are prescribed by law and are necessary in a democratic
society in the interests of national security or public safety, for the prevention of disorder or crime, for the protection of health or morals
or for the protection of the rights and freedoms of others. This article shall not prevent the imposition of lawful restrictions on the
exercise of these rights by members of the armed forces, of the police or of the administration of the State.
260
261
See id.
262
See id.
263
ECtHR, Stankov case.
264
PART THREE
BACKGROUND REPORT:
PAGE 121
in religious belief and to institute Islamic law, a system of law that was in marked contrast to the values
embodied in the ECHR. They had also left in doubt their position regarding recourse to force in order to obtain
and retain power. Acknowledging the narrow margin of appreciation for actions involving the dissolution of
political parties, and considering that pluralism of ideas and parties is an inherent element of democracy, the
Court held that a state can reasonably prevent the implementation of such a political programme.
The Welfare Party case is consistent with principles stated in international human rights instruments for
limiting activities against the constitution or that involve incitement to violence, such as those that promote
hatred between different groups.
265
For instance, the ICCPR requires a prohibition against advocacy of national,
racial, or religious hatred that constitutes incitement of discrimination, hostility, or violence.
266
Also, the
European Court of Human Rights has repeatedly held inadmissible complaints from neo-Nazi organizations
that their right to freedom of expression has been limited by such restraints.
267
The Court has also emphasized
that it is up to states to consider what the real policies of a political party are, regardless of its stated
objectives.
268
G. Election Campaign, Finance, and Media
1. General
Through the Copenhagen Document, OSCE participating States committed themselves to respect and provide
effective opportunities for the exercise of the rights and freedoms guaranteed under international law,
including, among others, to free expression, assembly, and association.
269
They went beyond these general
guarantees to the subject of the exercise of these rights during election campaigns, through the following
provisions:
To ensure that the will of the people serves as the basis of the authority of government, the participating
States will
270
... ensure that law and public policy work to permit political campaigning to be conducted
in a fair and free atmosphere in which neither administrative action, violence nor intimidation bars the
parties and the candidates from freely presenting their views and qualifications, or prevents the voters
from learning and discussing them or from casting their vote free of fear of retribution ...
271
These provisions imply that participating States have a duty to create a level playing field for election
contestants and above all not to hinder them from addressing their messages to the electorate. This not only
prevents participating States from obstructing the political campaigns of parties and candidates but requires
them to act against unfair interference by private persons.
The provisions concerning the role of participating States in creating a fair and free atmosphere for election
campaigning, combined with the commitment to provide that no legal obstacle stands in the way of unimpeded
access to the media on a non-discriminatory basis for all political groupings and individuals wishing to
participate in the electoral process, creates an affirmative duty to encourage and facilitate some level of
265
The UN Commission on Human Rights has argued that political platforms based on racism, xenophobia or doctrines of racial superiority and
related discrimination must be condemned as incompatible with democracy. UN Commission on Human Rights, E/CN.4/2000/40, Preamble.
The General Assembly of the UN has likewise condemned such political platforms, urging states to combat political platforms and activities
based on doctrines of superiority which are based on racial discrimination or ethnic exclusiveness and xenophobia, including, in particular,
neo-Nazism. UNGA Res. No. 55/82, adopted 26 February 2001, A/RES/55/82, at par. 3.
266
Article 20(2).
267
ECtHR, Glimmerveen case.
268
ECtHR, United Communist Party of Turkey and Others v. Turkey, op. cit, par. 58.
269
Copenhagen Document, 9 and 24
270
Id., 7.
271
Id., 7.7.
PART THREE
BACKGROUND REPORT:
PAGE 122
small-scale illegal trading and squatters camps. Mr. Incal argued that the criminal conviction infringed his
right to freedom of expression guaranteed by ECHR Article 10. The Court concluded that Mr. Incals
conviction was disproportionate to the aim pursued and therefore unnecessary in a democratic society. The
Court found that there had accordingly been a breach of Article 10.
(d) Publication of polling data
An issue that often arises with respect to the media during elections concerns the publication of polling data
just before or during the time of voting. Some restriction on publication of pre-election polls is not uncommon,
although the time period prior to election day in which the restriction applies is subject to considerable
variation.
283
The best practice is that the publication of such polling data should only be restricted during the
immediate pre-election period and during voting hours, since, during that time, there would not be an effective
opportunity for election contestants who might be adversely affected by the published report to challenge the
findings of the polls.
For a short time before election day and during voting hours, it is a common but by no means universal
practice to prohibit political campaign advertisements or other media programmes that directly discuss the
election campaign and/or likely outcome of an election (based on opinions rather than recent polling data). The
length of such a blackout period, beyond voting hours, is usually relatively short not more than one day.
In some countries, free-speech considerations have caused this issue to be addressed through voluntary self-
regulation by the media rather than law or regulation.
H. Voting Process
The election system must regulate the process of voting, in particular by establishing the procedures necessary
for ensuring the secrecy and security of the vote. This requires the election system to address the form, printing,
secure distribution of ballots, their manner of casting and method of counting, as well as procedures for
tabulating and reporting electoral results. Every one of these steps should be transparent, by opening them to
the scrutiny of the political contestants and election observers. Clear rules must be established for voting in
polling stations, as well as other methods of voting, that include safeguards for secret balloting and that provide
for monitoring by political contestants and observers. Voting procedures must ensure that only persons who
have the right to vote are permitted to do so and that all persons who have the right to vote are able to exercise
that right effectively.
The importance of balloting procedures is indicated by Paragraph 7.3 of the Copenhagen Document, which
states that participating States will ensure that votes are cast by secret ballot or by equivalent free voting
procedure and that they are counted and reported honestly with the official results made public.
284
Although
this appears self-explanatory, some technical procedures are better suited than others for meeting this
commitment. As shown by election observation and other reports compiled by international organizations
active in this field, there are practices to be recommended, as well as avoided, in this area.
One issue related to polling stations is their location and the number of voters they are expected to service. The
location of polling stations should be, as far as possible, equally convenient and accessible to voters
285
in terms
of geographical conditions and existing transportation facilities. The station and the polling board (and staff,
if applicable) should be of sufficient size to handle the expected number of voters. It is often
283
See ODIHR, Electoral Opinion Polls Study.
284
Copenhagen Document, 7.4.
285
See, for example, IPU, 2(5): Every voter has the right to equal and effective access to a polling station in order to exercise his or her right to
vote.
PART THREE
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PAGE 123
recommended that election authorities conduct time-and-motion studies to determine the amount of time
required to process each voter under established rules for voter identification and filling-in of ballots.
The recruitment of polling-station officials, the comprising of polling-station boards that are politically
impartial, and the adequate training of polling-station officials are all sensitive matters that require sufficient
time and resources derived through a politically inclusive process that promotes public confidence.
Considerations discussed above in Section IV.D., Impartiality: Administration and Management, are relevant
to polling-station administration as well.
Another issue related to voting in polling stations is the physical adequacy and the layout and organization of
the station itself. Polling places should be of sufficient size, preferably with an open floor plan that enhances
the visibility of all parts of the voting process. Stations should also be laid out in a manner that provides for an
orderly flow of voters to the identification and ballot-issuance counters, the voting screens or booths (of which
there must be a sufficient number), and the ballot box.
Various forms of special voting are a major concern. Special voting procedures give greater effect to the
right to vote by providing an opportunity for voting to those who might not be able to go to the polling
station. Special voting materials and procedures must be designed and operated in a way that provides
the necessary security, as well as for sufficient transparency of the voting process, return of ballots, and
counting.
There is little jurisprudence on balloting procedures, since they are primarily of a technical nature.
286
It is to be
expected, however, that this issue will be brought into judicial forums as voting technology develops and
electronic means of voting are explored.
A key developing issue in the area of balloting is the use of electronic and older mechanical means of
automating voting and counting. In the world of developing voting and counting technology, the security of
electronic systems is a major concern. Another area of concern is the reliability of the systems that require both
reliable hardware and software and that should be able to function even if the hardware or software should fail.
Other important concerns include: ensuring public confidence, which is closely related to the security and
reliability issues; designing a ballot that will avoid confusion; creating a system that will allow voters to
confirm their votes and/or correct errors in voting without the secrecy of their votes being compromised;
making a back-up system available in case of failure of the electronic system (which may include the ability
to print votes onto ballot papers); and ensuring that the system can be checked to determine whether it is
functioning properly. Protecting balloting secrecy is of particular concern for electronic and other special
voting that takes place at locations not under the control of election officials.
Electronic counting, tabulating, and transmitting of results also pose concerns. It is important that all such
systems be verifiable and subject to scrutiny of representatives of the political contestants and election
observers. As discussed immediately below, it is necessary to allow political contestants and observers to test
computer programs for tabulating results and take other measures to ensure public confidence in electoral
technology used to determine which competitor won election.
286
The European Court of Human Rights has briefly addressed the issue of balloting procedures within the context of prisons. In the Iwanczuk
case, op. cit., the Court found that it was doubtful whether the exercise of the right to vote in parliamentary elections by persons detained in
prison should be subject to any special conditions other than those dictated by the normal requirements of prison security. Specifically, the
Court found that it was not appropriate to require a prisoner to strip naked in front of a group of prison guards before being given a ballot.
PART THREE
BACKGROUND REPORT:
PAGE 124
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2

C
h
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l
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5

C
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1
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1
5

S
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1

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1
5

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2
1

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3

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2
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4

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2
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3
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3
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3
4

S
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3
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3
7

S
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3

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3
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S
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3
9

C
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d
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,

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c
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4
3

C
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4
7

C
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5
0

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5
2

A
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I

M
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f
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5
3

I
n
s
t
r
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m
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n
t

1

D
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c
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n

o
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t
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P
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o
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p
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t
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m
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B
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2
8

A
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2
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5
5

I
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2

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t
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2
8

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5
7

A
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f
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F
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PAGE 131

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6

PAGE 132

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PAGE 133
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1
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PAGE 134

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1
2

PAGE 135

A
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1
4

PAGE 136

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1
6

PAGE 137

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:

1
8

PAGE 138
(
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PAGE 139
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2
2

PAGE 140
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2
4

PAGE 141

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2
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PAGE 142
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3
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PAGE 144
A
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3
2

PAGE 145
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3
4

PAGE 146

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3
8

PAGE 148
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4
0

PAGE 149
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4
2

PAGE 150
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4
4

PAGE 151

A
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4
6

PAGE 152
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4
8

PAGE 153

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5
2

PAGE 155

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1
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#
2
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5
3

#
4
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5
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6
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7
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5
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PAGE 158

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6
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PAGE 159
I
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6
2

PAGE 160

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PAGE 161

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7

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6

PAGE 162

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PAGE 164

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7
2

PAGE 165

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7
4

PAGE 166

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7
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PAGE 167

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7
8

PAGE 168

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PAGE 169

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8
2

PAGE 170

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8
4

PAGE 171

I
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PAGE 172
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9
2

PAGE 175
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4

PAGE 176
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9
6

PAGE 177
I
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1
3

*

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9
8

PAGE 178

I
n
s
t
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1
4

*

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1
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PAGE 179
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1
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2

PAGE 180
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6

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8

PAGE 183
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1
1
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PAGE 184
A
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2
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1
1
4

PAGE 186
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PAGE 187

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1
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1
2
8

PAGE 193
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PAGE 194

PAGE 195
Methods for Selecting the Chief Executive in 2017 and
for Forming the Legislative Council in 2016
Consultation Document
December 201 3

Content

Chapter One: Introduction 1

Chapter Two: Constitutional Basis of the Constitutional
Development and the Design Principles
of the Political Structure of the Hong
Kong Special Administration Region
9

Chapter Three: Method for Selecting the Chief Executive
in 2017 Issues to be Considered
18

Chapter Four: Method for Forming the Legislative
Council in 2016 Issues to be Considered
31

Chapter Five: Views Sought 38

Chapter Six: Ways of Providing Views or Suggestions 42

Annex I Decision of the Standing Committee of
the National Peoples Congress on Issues
Relating to the Methods for Selecting the
Chief Executive of the Hong Kong
Special Administrative Region and for
Forming the Legislative Council of the
Hong Kong Special Administrative
Region in the Year 2012 and on Issues
Relating to Universal Suffrage (Adopted
at the Thirty First Session of the Standing
Committee of the Tenth National Peoples
Congress on 29 December 2007)
44

PAGE 196

Annex II The Interpretation by the Standing
Committee of the National Peoples
Congress of Article 7 of Annex I and
Article III of Annex II to the Basic Law
of the Hong Kong Special Administrative
Region of the Peoples Republic of China
(Adopted at the Eighth Session of the
Standing Committee of the Tenth
National Peoples Congress on
6 April 2004)
48

Annex III Decision of the Standing Committee of
the National Peoples Congress on Issues
Relating to the Methods for Selecting the
Chief Executive of the Hong Kong
Special Administrative Region in the Year
2007 and for Forming the Legislative
Council of the Hong Kong Special
Administrative Region in the Year 2008
(Adopted at the Ninth Session of the
Standing Committee of the Tenth
National Peoples Congress on
26 April 2004)
51

Annex IV Composition of the Election Committee 55

Annex V Functional Constituencies of the
Legislative Council
57

PAGE 197
Chapter One: Introduction

Background

1.01 The Government of the Peoples Republic of China (PRC)
resumed the exercise of sovereignty over Hong Kong on
1 J uly 1997. The Preamble of The Basic Law of the Hong Kong
Special Administrative Region of the Peoples Republic of China
(the Basic Law), adopted at the Third Session of the Seventh
National Peoples Congress (NPC) on 4 April 1990, states that
Upholding national unity and territorial integrity, maintaining the
prosperity and stability of Hong Kong, and taking account of its
history and realities, the Peoples Republic of China has decided
that upon Chinas resumption of the exercise of sovereignty over
Hong Kong, a Hong Kong Special Administrative Region will be
established in accordance with the provisions of Article 31 of the
Constitution of the Peoples Republic of China, and that under the
principle of one country, two systems, the socialist system and
policies will not be practised in Hong Kong. The basic policies
of the Peoples Republic of China regarding Hong Kong have
been elaborated by the Chinese Government in the Sino-British
J oint Declaration.

1.02 The Elaboration by the Government of the Peoples Republic of
China of its Basic Policies Regarding Hong Kong as set out in the
J oint Declaration of the Government of the United Kingdom of
Great Britain and Northern Ireland and the Government of the
Peoples Republic of China on the Question of Hong Kong (the
Sino-British J oint Declaration) states that:

(i) the Chief Executive (CE) of the Hong Kong Special
Administration Region (HKSAR) shall be selected by
election or through consultations held locally and be
appointed by the Central Peoples Government (CPG); and

(ii) the legislature of the HKSAR shall be constituted by
elections.

1.03 After the signing of the Sino-British J oint Declaration, and
through extensive consultations, the NPC decided to establish the
HKSAR pursuant to Article 31 and paragraph 13 of Article 62 of
the Constitution of the Peoples Republic of China (the
PAGE 198

Constitution), and to enact the Basic Law to prescribe the
systems to be practised in the HKSAR, in order to ensure the
implementation of the PRCs basic policies towards Hong Kong.

1.04 The Basic Law prescribes the systems to be implemented in the
HKSAR, including the methods for selecting the CE and for
forming the Legislative Council (LegCo), and provides for the
attainment of the ultimate aims of selecting the CE by universal
suffrage upon nomination by a broadly representative nominating
committee in accordance with democratic procedures, and of
electing all the members of the LegCo by universal suffrage, in
the light of the actual situation in the HKSAR and in accordance
with the principle of gradual and orderly progress.

Constitutional Development of the HKSAR

1.05 Acting in accordance with the Basic Law, the Central Authorities
and the HKSAR Government have all along been firmly
committed to gradually promoting the democratic development of
Hong Kong, and to taking forward the constitutional development
of Hong Kong towards the ultimate aim of universal suffrage.

1.06 Since the establishment of the HKSAR, the political structure of
Hong Kong has been developing towards the ultimate aim of
universal suffrage in a gradual and orderly manner in accordance
with the Basic Law. Before the PRC resumed the exercise of
sovereignty, the Governors of Hong Kong were appointed by the
British Government, and Hong Kong was under colonial rule.
After the PRC resumed the exercise of sovereignty in accordance
with the principles of One Country, Two Systems, Hong Kong
people ruling Hong Kong and a high degree of autonomy, and
the relevant provisions of the Basic Law, the office of the CE is
filled by Chinese citizens who are permanent residents of the
HKSAR. Elections have been held for four terms of the CE; the
first term CE being nominated and elected by a Selection
Committee, and the second to fourth terms CE being nominated
and elected by the Election Committee (EC). The size of the
Selection Committee and the EC has gradually expanded from
400 members in 1996, to 800 in 2002 and 1 200 in 2012.

1.07 Moreover, the first and second terms of the LegCo were
composed of Members returned by the functional constituencies
(FCs), the EC and the geographical constituencies (GCs).
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Since the third term LegCo, Members returned by FCs and
Members returned by GCs each account for half of all seats in the
LegCo. The number of LegCo seats returned by direct GC
elections increased from 20 in 1998 to 24 in 2000, 30 in 2004 and
35 in 2012. In addition, the five new FC seats created in 2012
returned members through election, on the basis of
one-person-one-vote, by some 3.2 million registered voters who
previously did not have a vote in the traditional FCs.

1.08 Since 2004, there have been extensive and detailed discussions in
the community of Hong Kong on how to amend the methods for
selecting the CE and for forming the LegCo, and on issues
relating to universal suffrage.

1.09 In November 2005, the HKSAR Government initiated discussions
on the models, roadmap and timetable for implementing universal
suffrage in Hong Kong through the Commission on Strategic
Development (CSD). With members drawn from different
sectors of the community, including professionals, academics,
businessmen, personalities of different political parties, LegCo
Members, personalities of the labour and media sectors and others,
the CSD provided an open platform for discussion.

1.10 Subsequently, the third term HKSAR Government published the
Green Paper on Constitutional Development (the Green Paper)
in J uly 2007 to consult the public on the options, roadmap and
timetable for implementing universal suffrage for the CE and the
LegCo. In December of the same year, the CE submitted a
report to the Standing Committee of the National Peoples
Congress (NPCSC), faithfully reflecting the views expressed by
different sectors of the society regarding universal suffrage
collected during the consultation.

1.11 After considering the report made by the CE, the NPCSC adopted
the Decision of the Standing Committee of the National Peoples
Congress on Issues Relating to the Methods for Selecting the
Chief Executive of the Hong Kong Special Administrative Region
and for Forming the Legislative Council of the Hong Kong
Special Administrative Region in the Year 2012 and on Issues
Relating to Universal Suffrage (the Decision) on 29 December
2007. Since then, Hong Kong has a clear timetable for universal
suffrage. The Decision provides:

3

PAGE 200

The election of the fifth Chief Executive of the Hong Kong
Special Administrative Region in the year 2017 may be
implemented by the method of universal suffrage; that after the
Chief Executive is selected by universal suffrage, the election of
the Legislative Council of the Hong Kong Special Administrative
Region may be implemented by the method of electing all the
members by universal suffrage.

Full text of the Decision of the NPCSC is at Annex I.

1.12 The package of proposals for the methods for selecting the Chief
Executive and for forming the Legislative Council in 2012 (the
2012 package of proposals) put forth by the HKSAR
Government was passed by a two-thirds majority of all LegCo
Members, received the consent of the CE and was approved and
recorded by the NPCSC in the summer of 2010. The successful
implementation of the 2012 package of proposals had greatly
enhanced the democratic element of the two electoral methods.
In respect of the CE election, the number of members of the EC
had increased from 800 to 1 200, while the number of seats for
elected District Council members in the fourth sector had
substantially increased to 117, thereby enhancing the democratic
element. In respect of the LegCo Election, the numbers of
Members returned by the GC and FC elections had both increased
from 30 to 35, whereas the five new FC seats returned Members
through election, on the basis of one-person-one-vote, by some
3.2 million registered voters who previously did not have a vote in
the traditional FCs. Thus, nearly 60% of the LegCo seats had an
electorate base of more than 3 million voters. In the 2012 LegCo
Election, each registered voter could have two votes one for GC
and one for FC. The turnout of the GC elections of the 2012
LegCo Election hit a record high with more than 1.83 million
registered voters casting their votes. The increase in the number
of registered voters and also the turnout reflected the publics
aspiration for active participation in elections.

Procedure for Amending the Methods for Selecting the CE and for
Forming the LegCo

1.13 According to The Interpretation by the Standing Committee of the
National Peoples Congress of Article 7 of Annex I and Article III
of Annex II to the Basic Law of the Hong Kong Special
Administrative Region of the Peoples Republic of China (the
4

PAGE 201

Interpretation) adopted on 6 April 2004, the Chief Executive of
the Hong Kong Special Administrative Region shall make a report
to the Standing Committee of the National Peoples Congress as
to whether or not there is a need to make an amendment to the
method for selecting the Chief Executive or the method for
forming the Legislative Council, and the Standing Committee of
the National Peoples Congress shall, in accordance with the
provisions of Articles 45 and 68 of the Basic Law of the Hong
Kong Special Administrative Region of the Peoples Republic of
China, make a determination in the light of the actual situation in
the Hong Kong Special Administrative Region and in accordance
with the principle of gradual and orderly progress. The bills on
the amendments to the method for selecting the Chief Executive
and the method for forming the Legislative Council and its
procedures for voting on bills and motions and the proposed
amendments to such bills shall be introduced by the Government
of the Hong Kong Special Administrative Region into the
Legislative Council.

Full text of the Interpretation of the NPCSC is at Annex II.

1.14 Therefore, according to the Basic Law and the Interpretation of
NPCSC in 2004, amendments to the two methods have to go
through the Five-step Process

First Step: the CE to make a report to the NPCSC, so as to
invite the NPCSC to decide whether it is
necessary to amend the method of selection /
formation;

Second Step: the NPCSC to make a determination on whether
any amendment to the method of selection /
formation may be made;

Third Step: if the NPCSC determines that amendments to the
method of selection / formation may be made, the
HKSAR Government to introduce to the LegCo a
resolution on the amendments to the method for
selecting the CE / method for forming the LegCo,
to be passed by a two-thirds majority of all
LegCo Members;

5

PAGE 202

Fourth Step: the CE to consent to the resolution as passed by
the LegCo; and

Fifth Step: the CE to lodge the relevant bill to the NPCSC
for approval or for the record.

Work of the Fourth Term HKSAR Government

1.15 It has been 16 years since the PRC resumed the exercise of
sovereignty over Hong Kong. The society in general is eagerly
looking forward to the attainment of the aim of universal suffrage
in accordance with the Basic Law. It is the common aspiration
of the Central Authorities, the HKSAR Government and the Hong
Kong general public to implement the election of the CE by way
of universal suffrage in 2017 and to properly handle the work
relating to the method for forming the LegCo in 2016, strictly in
accordance with the Basic Law and the Interpretation of the
NPCSC in 2004 and the Decision of the NPCSC in 2007. It is
also the constitutional responsibility and an important policy
objective of the current term HKSAR Government.

1.16 The CE has made it clear in his Manifesto and his first Policy
Address after assuming office that he will, strictly in accordance
with the provisions of the Basic Law and relevant Decisions of the
NPCSC, strive to secure the support of the Central Authorities and
Members of the LegCo, and to forge consensus with the aim of
achieving universal suffrage. Since his assumption of office, the
CE and his team have been maintaining communications and
dialogues with various sectors of the community on issues
concerning constitutional development, so as to strive for a
smooth implementation of universal suffrage for the CE election
in 2017, and to properly handle the work concerning the LegCo
electoral method in 2016.

1.17 The NPCSC 2007 Decision clearly stipulates that at an
appropriate time prior to the selection of the CE by universal
suffrage, the CE should submit a report to the NPCSC as regards
the issue of amending the method for selecting the CE in
accordance with the relevant provisions of the Basic Law and the
Interpretation of the NPCSC adopted in 2004, for determination
by the NPCSC. In other words, in order to implement universal
suffrage for the election of the CE in 2017, the above-mentioned
Five-step Process has to be followed.
6

PAGE 203

1.18 Before formally initiating the First Step, the HKSAR
Government would like to launch consultation on issues relating
to the methods for selecting the CE in 2017 and for forming the
LegCo in 2016, in order to collect views from different sectors of
the community extensively. To this end, the Constitutional and
Mainland Affairs Bureau has prepared this Consultation
Document to commence a five-month public consultation.

1.19 There are views from the public requesting the current term
Government to handle the electoral methods for the LegCo in
2016, the CE in 2017 and the LegCo in 2020 simultaneously.
However, according to the Decision of the NPCSC in 2007,
election of all Members of LegCo by universal suffrage may be
implemented only after the CE is selected by universal suffrage.
The selection of the CE by universal suffrage is accordingly a
pre-condition for the election of all Members of the LegCo by
universal suffrage. Therefore, it is appropriate and pragmatic for
the current term Government to focus on the electoral methods of
the CE in 2017 and the LegCo in 2016. The work relating to the
election of LegCo by universal suffrage will be handled by the CE
returned by universal suffrage in 2017 and the Administration
under his leadership.

1.20 In preparing this Consultation Document, we have made reference
to views and suggestions collected during discussions and public
consultations on constitutional development initiated by the
HKSAR Government since 2004, including

(i) views expressed at discussions of the Committee on
Governance and Political Development under the CSD
during 2005 to 2007 on the possible models for the election
of the CE by universal suffrage;

(ii) views relating to the universal suffrage of the CE collected
during the public consultation held in the third quarter of
2007 by the third term HKSAR Government on the models,
roadmap and timetable for selecting the CE and forming the
LegCo;

(iii) views relating the election of the CE by universal suffrage
collected during the public consultation held during the end
of 2009 to the beginning of 2010 on the two electoral
methods in 2012 by the third term HKSAR Government;
and
7

PAGE 204

(iv) recent preliminary exchanges of views between certain
groups and individuals and the Administration at meetings
prior to this public consultation.

1.21 We would emphasise that the HKSAR Government is yet to have
any position regarding the methods for selecting the CE in 2017
and for forming the LegCo in 2016. Our aim is, through this
round of public consultation, to listen extensively to the views of
the public, groups and individuals from different sectors and of
the LegCo as to how the two electoral methods may be amended.
The CE would then submit a report to the NPCSC, faithfully
reflecting the views received during the public consultation period
and seeking the NPCSCs determination on whether any
amendment to the methods for selecting the CE and for forming
the LegCo may be made.

1.22 Chapters Two, Three and Four of this Consultation Document set
out respectively the constitutional basis of the constitutional
development and the design principles of the political structure of
the HKSAR, as well as the major issues and related questions to
be considered in relation to the methods for selecting the CE in
2017 and for forming the LegCo in 2016. Some of these issues
require amendments to Annex I and Annex II to the Basic Law,
while others may involve amendments to local legislation. We
hope that the public could discuss the relevant issues upon the
constitutional basis of the relevant provisions of the Basic Law,
the 2004 Interpretation and the relevant Decisions of the NPCSC.

1.23 Chapters Three and Four of this Consultation Document contain
anonymous references to recent views and suggestions on the
methods for selecting the CE in 2017 and for forming the LegCo
in 2016 raised by certain groups and individuals by way of
illustrations so as to assist the public in understanding and
discussing the relevant issues. The views and suggestions so
mentioned do not represent the position of the HKSAR
Government, nor should it be taken that the HKSAR Government
agrees that such views or suggestions are in conformity with the
Basic Law and the 2004 Interpretation and relevant Decisions of
the NPCSC. Due to limited space, this document cannot
exhaustively set out all the views and suggestions which have
been raised by groups and individuals on the relevant issues.
8

PAGE 205

Chapter Two: Constitutional Basis of the Constitutional
Development and the Design Principles of
the Political Structure of the Hong Kong
Special Administration Region

Constitutional and Legal Status of the HKSAR

2.01 The constitutional basis of the HKSAR lies in the Constitution of
the PRC and the Basic Law. The Constitution provides the
ultimate basis for the Basic Law. The HKSAR was established
by the decision of the NPC made pursuant to the provisions of
Article 31 and paragraph 13 of Article 62 of the Constitution, and
the Basic Law was enacted pursuant to the Constitution to
prescribe the systems to be implemented in the HKSAR.

2.02 As to the constitutional status of the HKSAR, Article 1 of the
Basic Law clearly stipulates that:

The Hong Kong Special Administrative Region is an inalienable
part of the Peoples Republic of China.

2.03 Article 12 of the Basic Law clearly stipulates that:

The Hong Kong Special Administrative Region shall be a local
administrative region of the Peoples Republic of China, which
shall enjoy a high degree of autonomy and come directly under
the Central Peoples Government.

Constitutional Powers of the Central Authorities on the HKSAR

2.04 The PRC is a unitary, multi-ethnic state. Under the unitary state
structure, all administrative regions are established by the CPG
according to the needs, and are local administrative regions. The
systems to be implemented in the administrative regions are
prescribed by the Constitution and by national laws, and all
powers exercised by local administrative regions are derived by
way of authorisation by the Central Authorities, which is
distinctly different from the system of federal states under which
local governments hand over certain powers to the federal
government and retain residual powers. The Basic Law
provides that the HKSAR comes directly under the CPG, with no
intermediate layers in between.
9

PAGE 206

2.05 Given the above-mentioned constitutional status of the HKSAR,
the Central Authorities have the constitutional powers and
responsibilities to determine the systems to be implemented in the
HKSAR, including the model of political structure of the HKSAR.
The role of the Central Authorities in this regard is reflected in the
enactment and implementation of, and amendments to the Basic
Law, for example:

(i) according to the Interpretation adopted by the NPCSC in
2004, the CE should make a report to the NPCSC for
determination as to whether there is a need to make an
amendment to the methods for selecting the CE and for
forming the LegCo for the terms subsequent to the year 2007
as stipulated in Annexes I and II to the Basic Law. The
relevant amendment, after being endorsed by the LegCo and
having received the consent of the CE, will still require the
approval of or recording by the NPCSC before it may take
effect. This reflects the constitutional power of the Central
Authorities in amending the two methods, i.e. the ultimate
power of the Central Authorities to determine the
constitutional development of the HKSAR, including the
timetable for attaining universal suffrage and the model and
design of the universal suffrage system. As a local
administrative region directly under the CPG, the HKSAR
cannot decide its political structure on its own;

(ii) Article 43 of the Basic Law provides that the CE shall be the
head of the HKSAR and shall represent the Region and be
accountable to the CPG and the HKSAR. Article 45 of the
Basic Law provides that the CE shall be selected by election
or through consultation held locally and be appointed by the
CPG. The appointment by the CPG is a substantive power
and not a mere formality. In other words, the CPG may
make the appointment or it may not. This arrangement
reflects the constitutional power of the Central Authorities in
the actual implementation of the political structure of the
HKSAR. The CE, irrespective of how he is selected,
including ultimately by universal suffrage, is to be appointed
by the CPG through the exercise of a substantive power of
appointment before assuming office;

10

PAGE 207

(iii) Article 48 of the Basic Law provides that the CE shall lead
the Government of the HKSAR, implement the directives
issued by the CPG in respect of the relevant matters provided
for in the Basic Law, as well as conduct, on behalf of the
Government of the HKSAR, external affairs and other affairs
as authorised by the Central Authorities, etc.; and

(iv) Article 104 of the Basic Law requires the CE to swear to
uphold the Basic Law and swear allegiance to the HKSAR of
the PRC.

Design Principles of the Political Structure of the HKSAR

2.06 The design of the political structure of the HKSAR relates to the
exercise of sovereignty by the State over Hong Kong as well as
the full implementation of One Country, Two Systems and the
basic policies of the Central Authorities towards Hong Kong.
The HKSAR does not have the power to unilaterally alter the
system prescribed by the Central Authorities. The universal
suffrage electoral method is an integral part of the political
structure. Therefore, any proposals on universal suffrage must
comply with the design and principles of the political structure as
prescribed in the Basic Law.

2.07 In the course of attaining the ultimate aim of universal suffrage
and in devising a model for implementing universal suffrage, we
must ensure that they are consistent with the basic policies of the
State regarding Hong Kong and the four major principles on
constitutional development under the Basic Law
1
:
1
In submitting the Basic Law (Draft) and related documents at the Third Session
of the Seventh NPC on 28 March 1990, the Chairman of the Drafting Committee
for the Basic Law, Mr J i Pengfei, explained as follows:

The political structure of the HKSAR should accord with the principle of One
Country, Two Systems and aim to maintain stability and prosperity in Hong
Kong in line with its legal status and actual situation. To this end, consideration
must be given to the interests of the different sectors of society and the structure
must facilitate the development of the capitalist economy in the Region. While
the part of the existing political structure proven to be effective will be
maintained, a democratic system that suits Hong Kongs reality should gradually
be introduced.

The four principles on constitutional development can be derived from the above
explanations of Director J i on the political structure and the provisions in
Articles 45 and 68 of the Basic Law.
11

PAGE 208

(I) Meeting the Interests of Different Sectors of the Society;

(II) Facilitating the Development of the Capitalist Economy;

(III) Gradual and Orderly Progress; and

(IV) Appropriate to the Actual Situation in the HKSAR.

(I) Meeting the Interests of Different Sectors of Society

2.08 As illustrated by the history of Hong Kongs development, the
sustainability of the long-term economic prosperity of Hong Kong
depends on the joint endeavours of all sectors of the society,
people from all walks of life, including the industrial and
commercial sectors, the middle class, professionals, and the
working class, who work together to perform their functions
industriously regardless of their positions. To maintain our
long-term prosperity and stability, due regard must be given to the
interests of different sectors of society.

2.09 The Decision of the Standing Committee of the National Peoples
Congress on Issues Relating to the Methods for Selecting the
in the Year 2007 and for Forming the Legislative Council of the
Hong Kong Special Administrative Region in the Year 2008
adopted on 26 April 2004, apart from pointing out that the two
methods shall be specified in the light of the actual situation in the
HKSAR and in accordance with the principle of gradual and
orderly progress, with universal suffrage as the ultimate aim, also
states that any change relating to the two methods shall conform
to principles such as being compatible with the social, economic,
political development of Hong Kong, being conducive to the
balanced participation of all sectors and groups of society, being
conducive to the effective operation of the executive-led system,
being conducive to the maintenance of the long-term prosperity
and stability of Hong Kong.

Full text of the Decision of the NPCSC in 2004 is at Annex III.

(II) Facilitating the Development of the Capitalist Economy

2.10 In submitting the Basic Law (Draft) and related documents at the
Third Session of the Seventh NPC on 28 March 1990, the
12

PAGE 209

Chairman of the Drafting Committee for the Basic Law, Mr J i
Pengfei, pointed out in his explanations that Chapter V of the
Basic Law contains stipulations on the economic systems and
policies of the HKSAR. These stipulations are indispensable to
ensuring the normal operation of Hong Kongs capitalist economy
and maintaining its status as an international financial centre and a
free port. The relevant principles are implemented through
Article 5 of the Basic Law and other relevant provisions.
2

2.11 The political structure of the HKSAR should facilitate the
development of the capitalist economy. This is to ensure the
prosperity and stability of Hong Kong. The method for selecting
the CE by universal suffrage and the method for forming the
LegCo should ensure that the HKSAR can develop its economy
and the livelihood of the people can be improved under One
Country, Two Systems.

(III) Gradual and Orderly Progress

2.12 Gradual and orderly progress is generally understood to mean
proceeding forward in different steps or stages in an orderly
fashion. It involves a step by step transition and different stages
of evolution over time. With regard to attaining the ultimate
aims of electing the CE and all the Members of LegCo by
universal suffrage, the evolutionary process could not be taken
forward too rapidly, but should proceed in a gradual and orderly
manner and in the light of the actual situation in the HKSAR, in
order to preserve its prosperity and stability.

(IV) Appropriate to the Actual Situation in the HKSAR

2.13 The actual situation in the HKSAR as referred to in the Basic
Law includes the political, economic, and social conditions, as
well as the evolution and current status of the electoral methods
for the CE and the LegCo.

2.14 Since the establishment of the HKSAR, the political system of
Hong Kong has been developing in a gradual and orderly manner
in accordance with the provisions of the Basic Law. In
considering the further development of the political structure, the
current actual situation of Hong Kong must be examined. Hong
2
See Chapter V of the Basic Law.
13

PAGE 210

Kong is an open economy, a cosmopolitan city, a financial centre,
shipping and logistics centre, information centre as well as
commercial centre. Our per capita Gross Domestic Product in
2012 already exceeded US$36,500. The level of economic
development in Hong Kong ranks among the highest in the world.
The rule of law is the cornerstone and core value of Hong Kong.
Hong Kong has a clean and dedicated civil service. There is a
high degree of social mobility in Hong Kong. Our people are
generally diligent and pragmatic, and are keen to enhance their
educational and professional standards through continuous
learning. In Hong Kong, there is free flow of information. The
mass media is free and multi-faceted. The public in general take
interest in public affairs and in their community.

2.15 Since the State resumed the exercise of sovereignty over Hong
Kong, successive terms of the CE and the Administration under
their leadership have been exercising executive powers as
authorised by the Basic Law, and have been governing Hong
Kong strictly in accordance with the provisions of the Basic Law.
Over the past 16 years, the economy of Hong Kong has been
undergoing a process of restructuring. Despite the challenges,
the HKSAR Government has been devising economic policies
and measures in light of the rising trend of globalisation, and
taking full advantage of the development of our country. With
years of hard work, we are gradually seeing the benefits of these
strategies.

2.16 In addition, with closer links between the Mainland and Hong
Kong, the Hong Kong publics identification with the country and
their sense of belonging is enhancing by the day. With the
safeguards of the Basic Law, the Hong Kong public continue to
enjoy all the rights associated with a free and open society. They
have high expectations of the HKSAR Government, and actively
participate in public affairs and convey their demands through
different channels. The HKSAR Government understands the
expectations and demands of the Hong Kong public. Further
enhancing and improving the quality of governance has all along
been one of the major policy agendas of the HKSAR Government.

2.17 Against this background, different sectors of the community are
eagerly looking forward to the smooth implementation of
universal suffrage for the CE election in 2017, so that the CE-elect
may be elected through one-person-one-vote.
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Procedure to be Followed in Amending the Political Structure of the
HKSAR

2.18 According to the Basic Law and the Interpretation of the NPCSC
in 2004, the Five-step Process must be followed in amending
the methods for selecting the CE and for forming the LegCo.
The making of a report by the CE to the NPCSC; the
determination by the NPCSC whether to make amendments to the
electoral methods; the decision by all Members of the LegCo
whether to pass the Governments resolution to amend the
electoral methods; the consent by the CE or otherwise to the
resolution passed by the LegCo; and the decision of the NPCSC to
approve or record, or otherwise, the relevant amendments, are all
necessary steps in the constitutional process. In handling issues
relating to constitutional development, the Central Authorities, the
CE, the HKSAR Government, the LegCo, and indeed all sectors
of the community, must strictly follow the law. This is also the
core value of Hong Kong.

Relevant Provisions of the Basic Law

2.19 Article 11 of the Basic Law provides that the systems and policies
practiced in the HKSAR shall be based on the provisions of the
Basic Law. The political structure of the HKSAR is prescribed
in Chapter IV of the Basic Law and Annexes I and II to the Basic
Law.

2.20 Article 45 of the Basic Law provides that:

The Chief Executive of the Hong Kong Special Administrative
Region shall be selected by election or through consultations held
locally and be appointed by the Central Peoples Government.

The method for selecting the Chief Executive shall be specified in
the light of the actual situation in the Hong Kong Special
Administrative Region and in accordance with the principle of
gradual and orderly progress. The ultimate aim is the selection
of the Chief Executive by universal suffrage upon nomination by
a broadly representative nominating committee in accordance
with democratic procedures.

The specific method for selecting the Chief Executive is
prescribed in Annex I: Method for the Selection of the Chief
Executive of the Hong Kong Special Administrative Region.
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The Legislative Council of the Hong Kong Special
Administrative Region shall be constituted by election.

The method for forming the Legislative Council shall be specified
in the light of the actual situation in the Hong Kong Special
gradual and orderly progress. The ultimate aim is the election of
all the members of the Legislative Council by universal suffrage.

The specific method for forming the Legislative Council and its
procedures for voting on bills and motions are prescribed in
Annex II: Method for the Formation of the Legislative Council of
the Hong Kong Special Administrative Region and Its Voting
Procedures.

2.22 The above provisions of the Basic Law clearly stipulate the
methods for selecting the CE and for forming the LegCo. In
order to understand the background and meaning of relevant
provisions of the Basic Law, we must take the constitutional status
of the HKSAR and the principles of design of its political
structure as the starting point.

Conclusion on the Design Principles of the Electoral Methods

2.23 When discussing the methods for selecting the CE by universal
suffrage, we should also take into account the constitutional status
of the HKSAR and that of the CE, the constitutional powers of the
Central Authorities as regards the HKSAR, the design principles
of the political structure of the HKSAR, as well as the necessary
steps to amend the political structure of the HKSAR. In dealing
with the methods for selecting the CE in 2017 and for forming the
LegCo in 2016, due regard has to be paid to the following three
aspects:

(i) the proposal should be strictly in accordance with the Basic
Law and the Interpretation of the NPCSC in 2004 and
relevant Decisions of the NPCSC;

(ii) the proposal should stand a reasonable chance of gaining
majority support of the Hong Kong community, securing
passage by a two-thirds majority in the LegCo, and
receiving the approval or record by the NPCSC; and
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(iii) in terms of actual operation, the electoral procedures under
the proposal should be practical and practicable, simple and
easy to understand, convenient to voters in exercising their
voting rights, and conducive to maintaining an open, fair
and honest electoral system.

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Chapter Three: Method for Selecting the Chief Executive in
2017 Issues to be Considered

Constitutional and Legal Status of the CE


Region shall be the head of the Hong Kong Special
Administrative Region and shall represent the Region. The
shall be accountable to the Central Peoples Government and the
Hong Kong Special Administrative Region in accordance with the
provisions of this Law.

Article 48 of the Basic Law also provides that the CE shall lead
the Government of the HKSAR; shall be responsible for the
implementation of the Basic Law and other laws which, in
accordance with the Basic Law, apply in the HKSAR; shall
implement the directives issued by the CPG in respect of relevant
matters provided for in the Basic Law; as well as conduct, on
behalf of the Government of the HKSAR, external affairs and
other affairs as authorised by the Central Authorities, etc.

3.02 The HKSAR is a special administrative region of the State
established in accordance with Article 31 of the Constitution.
The CE, apart from being the head of the executive authorities of
the HKSAR, is also the head of the HKSAR and represents the
HKSAR, and plays an important role in the relationship between
the Central Authorities and the HKSAR. Under the
constitutional order, the CE being the head of a special
administrative region of our country, apart from being accountable
to the HKSAR, has to be accountable to the CPG as well. Under
One Country, Two Systems, the constitutional status of the CE
is special and important.

Method for Selecting the CE


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The method for selecting the Chief Executive shall be specified in
the light of the actual situation in the Hong Kong Special
gradual and orderly progress. The ultimate aim is the selection
of the Chief Executive by universal suffrage upon nomination by
a broadly representative nominating committee in accordance
with democratic procedures.

The specific method for selecting the Chief Executive is
prescribed in Annex I: Method for the Selection of the Chief
Executive of the Hong Kong Special Administrative Region.

As can be seen from Article 45 of the Basic Law, the process for
selecting the CE by universal suffrage involves three main steps,
namely nomination, election by universal suffrage and
appointment.

3.04 According to the Decision of the NPCSC in 2007:

the election of the fifth Chief Executive of the Hong Kong
Special Administrative Region in the year 2017 may be
implemented by the method of universal suffrage; that after the
Chief Executive is selected by universal suffrage, the election of
Region may be implemented by the method of electing all the
members by universal suffrage.

in selecting the Chief Executive of the Hong Kong Special
Administrative Region by the method of universal suffrage, a
broadly representative nominating committee shall be formed.
The nominating committee may be formed with reference to the
current provisions regarding the Election Committee in Annex I to
the Hong Kong Basic Law. The nominating committee shall in
accordance with democratic procedures nominate a certain
number of candidates for the office of the Chief Executive, who is
to be elected through universal suffrage by all registered electors
of the Hong Kong Special Administrative Region, and to be
appointed by the Central Peoples Government.

3.05 The Interpretation of the NPCSC in 2004 and the Decision in
2007 also stipulate that if no amendment is made to the method
for selecting the CE in accordance with the legal procedures, the
method for selecting the CE used for the preceding term shall
continue to apply.
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Composition and Nominating Procedures of the Existing Election
Committee

3.06 As mentioned in paragraph 3.04 above, the Decision of the
NPCSC in 2007 stipulates that the nominating committee may be
formed with reference to the current provisions regarding the
Election Committee in Annex I to the Hong Kong Basic Law.

3.07 According to the Amendment to Annex I to the Basic Law of the
Hong Kong Special Administrative Region of the Peoples
Republic of China Concerning the Method for the Selection of the
approved at the Sixteenth Session of the Standing Committee of
the Eleventh NPC on 28 August 2010, the EC to elect the fourth
term CE in 2012 shall be composed of 1 200 members from the
following four sectors:

Industrial, commercial and financial sectors

300
The professions

300
Labour, social services, religious and other sectors

300
Members of the Legislative Council, representatives
of members of the District Councils, representatives
of the Heung Yee Kuk, Hong Kong deputies to the
National Peoples Congress, and representatives of
Hong Kong members of the National Committee of
the Chinese Peoples Political Consultative
Conference
300

3.08 In accordance with the provisions of Annex I to the Basic Law
and the above Amendment, the Chief Executive Election
Ordinance (Cap. 569) (CEEO) prescribes the detailed statutory
requirements and procedures for the election of the CE, including
the composition of the EC. The four sectors of the EC are
constituted by 38 subsectors. The details are set out
in Annex IV.

3.09 As regards the voting system, among the 38 existing subsectors of
the EC, members of 35 subsectors are returned by the
first-past-the-post voting method. As to the remaining three
subsectors, the members of the religious subsector (60 members)
are nominated by the six designated religious bodies; whereas the
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Hong Kong deputies to the NPC and LegCo Members are
ex-officio members.

3.10 According to the Amendment to Annex I to the Basic Law of the
Republic of China Concerning the Method for the Selection of the
approved at the Sixteenth Session of the Standing Committee of
the Eleventh NPC on 28 August 2010, candidates for the office of
the CE may be nominated jointly by not less than 150 members
(i.e. one-eighth) of the EC, and there is no cap on the number of
candidates to be nominated. Each member may nominate only
one candidate.

Issues to be Considered

3.11 According to Article 45 of the Basic Law, the process for selecting
the CE by universal suffrage involves three main steps, namely
nomination, election by universal suffrage and appointment.
Subject to conformity with the Basic Law and the Decision of the
NPCSC in 2007, in discussing the method for selecting the CE in
2017, we may consider the following key issues:

(I) Size and Composition of the Nominating Committee;

(II) Electorate Base of the Nominating Committee;

(III) Method for Forming the Nominating Committee;

(IV) Procedures for the Nominating Committee to Nominate CE
Candidates;

(V) Voting Arrangements for Electing the CE by Universal
Suffrage;

(VI) Procedures for Appointing the CE and the Linkage with
Local Legislation; and

(VII) Political Affiliation of the CE.

(I) Size and Composition of the Nominating Committee
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3.12 According to Article 45 of the Basic Law, the method for selecting
the CE by universal suffrage shall consist of nomination of CE
candidates by a broadly representative nominating committee,
followed by election through universal suffrage. At present,
pursuant to Annex I to the Basic Law, the CE is to be elected by a
broadly representative Election Committee. This is in line and
consistent with the principles which the broadly representative
nominating committee (NC) in Article 45 of the Basic Law
shall follow. The two references to broadly representative
should have the same meaning. Since the composition of the NC
shall comply with the requirement of broadly representative, the
broadly representative composition of the EC as provided in
Annex I to the Basic Law is of important reference value.

3.13 The Decision of the NPCSC in 2007 further stipulates that the NC
may be formed with reference to
3
the current provisions regarding
the EC in Annex I to the Basic Law. Although the EC had 800
members (consisting of 200 members in each of the four sectors)
at the time the Decision was adopted by the NPCSC in
December 2007, with passage of the proposal of the method for
selecting the CE in 2012 put forward by the HKSAR Government
in 2010, the number of members of the EC in 2012 has increased
from 800 to 1 200 (the number of members in each of the four
sectors having increased from 200 to 300 respectively).

3.14 On the size and composition of the NC, we may consider:

3
Mr Qiao Xiaoyang, Deputy Secretary-General of the NPCSC, discussed the legal
meaning of with reference to at a constitutional development forum on
19 December 2007. In 230 pieces of legislation then in force in the PRC, there
were a total of 85 usages of with reference to in 56 pieces of legislation.
Amongst the 85 usages of with reference to, the most common meaning, in
colloquial language, is that the law has made specific provisions for a certain
situation, but has not made specific provisions for another similar situation. In
such cases, the law would usually provide for reference to be made as appropriate.
Therefore, the term with reference to is binding while at the same time allowing
appropriate adjustment to be made in light of the actual situation. The Decision
of the NPCSC expressly provides that the NC may be formed with reference to the
composition of the EC. The purpose is to maintain, on the one hand, the basic
components of the four sectors which compose the EC, while at the same time
enabling the actual formation and size of the NC to be further discussed, with
appropriate room for adjustment.
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(i) should the existing composition framework of the four
sectors in the EC be followed when designing the
composition of the NC?
4, 5

(ii) should the total number of NC members remain at 1 200,
the same as the current EC, or should it be increased /
decreased?
6

4
Recently, there are views that the four sectors should be retained, while
consideration may be given to increasing their electorate bases and public
recognition. There are other views suggesting the abolition of some subsectors
with a relatively small electorate base or reducing the number of seats in such
subsectors and distributing the seats to new subsector(s) to be created. There are
also views suggesting a complete abolition of all the four sectors, and that the NC
should compose solely of all District Council members and / or LegCo Members.

5
According to paragraph 3.12 of the Green Paper on Constitutional Development
issued in J uly 2007, there were views at the time that the NC should not be
constituted by LegCo Members solely. The major reasons include:

(i) the Basic Law has already prescribed clearly the functions of the LegCo, and
has not empowered LegCo Members to nominate CE candidates. The
proposal of allowing the LegCo to nominate CE candidates will not be
consistent with the Basic Law;

(ii) according to the Basic Law, the relationship between the executive authorities
and the legislature is one of mutual regulation. If CE candidates are
nominated by the LegCo, this will undermine the function of the executive
authorities and the legislature to operate with due checks and balances. This
will also not be consistent with the legislative intent of the Basic Law;

(iii) it is prescribed in the Basic Law that the NC should be broadly representative.
This is to reflect the principle of balanced participation. It may not be
consistent with the legislative intent of the Basic Law, if the NC is composed
of LegCo Members solely; and

(iv) during the drafting of the Basic Law, the option of nominating CE candidates
by the LegCo had already been ruled out because this was not consistent with
the principle of an executive-led system.

6
From 2005 to 2007 during the discussions of the Committee on Governance and
Political Development established under the CSD on possible models of universal
suffrage of the CE, some of the members suggested that the composition of the NC
could make reference to the EC, but the number of members should be increased to
1 500. In 2005, when considering the method for selecting the CE in 2007, the
then Commission on Strategic Development suggested that the number of members
of the EC in 2007 should be increased from 800 to 1 600, and should include all
members of the District Council. Recently, some groups and individuals consider
that the total number of members of the NC should remain at the existing level, i.e.
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(iii) should the NC be composed of the 38 subsectors of the
existing EC, or should there be an increase or decrease of
the number of subsectors?

(iv) if the total number of NC members is to be increased, how
should the newly added seats be distributed among the four
sectors?
7

(v) if the total number of NC members is not to be increased,
should the distribution of seats among the four sectors
remain unchanged?

(II) Electorate Base of the Nominating Committee

3.15 If the composition of the NC makes reference to the composition
of the current EC, we may consider whether the electorate base of
the existing subsectors should be maintained without the need for
major changes. If it is considered that the electorate base of the
existing EC should be further enlarged, we may consider how to
enlarge the electorate base of the NC.
8

(III) Method for Forming the Nominating Committee

3.16 As mentioned in paragraph 3.09 above, among the existing
38 subsectors, members of 35 subsectors are returned by the
first-past-the-post voting method, whereas members of the
religious subsector are returned through nomination, and the Hong
Kong deputies to the NPC and LegCo Members are ex-officio
members.
3.17 If the NC is to be composed with reference to the composition of
1 200. There are also other suggestions that the membership size be increased to
1 500, 1 600, 2 000 or more. On the other hand, there are also suggestions that
the size and formation of the NC can be substantially reduced.

7
Recently, there are suggestions that all elected District Council members should be
included in the NC. There are also views suggesting that, based on the four
sectors, new sectors or subsectors should be added.

8
Recently, there are views suggesting that corporate votes should be replaced by
director / executive / affiliated organisation / individual votes. There are views
that certain subsectors should include all practitioners / work personnel of the
subsectors, and that the voting members should be replaced by all members for
some subsectors. There are also views that corporate votes should be
completely abolished.
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the current EC, for the subsector elections of the NC in 2017, we
may consider:

(i) should the existing voting, nomination and ex-officio
arrangements of the subsectors be maintained?

(ii) if new sub-sector(s) is / are to be added, what kind of system
should be adopted by the subsector(s) to return its / their
members?

Candidates

3.18 Article 45 of the Basic Law stipulates that the method for
selecting the Chief Executive shall be specified in the light of the
actual situation in the Hong Kong Special Administrative Region
and in accordance with the principle of gradual and orderly
progress. The ultimate aim is the selection of the Chief
Executive by universal suffrage upon nomination by a broadly
representative nominating committee in accordance with
democratic procedures. The Decision of the NPCSC in 2007
further provides that the nominating committee shall in
accordance with democratic procedures nominate a certain
number of candidates for the office of the Chief Executive.

3.19 It is clear from Article 45 of the Basic Law that the power to
nominate CE candidates is vested in the NC only, and that the
power is a substantive one. Any proposal which bypasses the
nomination procedures of the NC, or undermines the substantive
power of the NC to nominate candidates, might be considered not
conforming with Article 45 of the Basic Law.

3.20 Furthermore, Article 45 of the Basic Law and the Decision of the
NPCSC in 2007 provide for CE candidates to be nominated by the
NC in accordance with democratic procedures (i.e. the so-called
organisational nomination
9, 10
or collective nomination), as
9
As stated in paragraph 3.12 of the Report on Public Consultation on Green Paper
on Constitutional Development published in December 2007, the NC will play a
crucial role in ensuring that CE candidates nominated shall be accountable to the
CPG and the HKSAR. Hence, when considering the method for nominating CE
candidates by the NC, we should ensure that the NC, as a nominating organ, will
be able to perform its role.

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distinct from the current model of election by the EC whereby
individual EC members may jointly nominate candidates.

3.21 As to the number of the CE candidates to be nominated by the NC,
the Decision of the NPCSC in 2007 mentions that the NC shall
nominate a certain number of candidates for the office of the
Chief Executive. In considering this issue, we have to consider
also whether a candidate has sufficient public acceptance, whether
a fair chance is given to people who are interested in running for
election, and whether to ensure the competitiveness of the election.
During the consultation on the models of universal suffrage for the
CE election in 2007, there were relatively more views that it
would be appropriate to have two to four CE candidates.

3.22 Issues to be considered regarding the procedures of nominating
the CE candidates include:

(i) how should the NC nominate CE candidates in accordance
with democratic procedures?
11

10
Mr Qiao Xiaoyang, Chairman of the Law Committee of the National Peoples
Congress, mentioned in his speech on 24 March 2013 that the nominating
committee is in fact an organisation. The nomination of CE candidates by the
nominating committee is a form of organisational nomination.

11
Recently, there are suggestions that to formally become a candidate, one must
obtain the support of more than half or a certain number of NC members. There
are other suggestions that to become a candidate, one has to obtain a certain
proportion of support from each sector. There are also suggestions that one could
first obtain nomination from a certain number of NC members, or recommendation
from a certain number of registered voters, to become an applicant; and then
formally become a nominated candidate through a voting procedure by the NC.
Among these suggestions, some are of the view that support can be obtained from
individual NC members, similar to the existing nomination arrangement for the EC;
while others have suggested that a secret ballot may be adopted and, in such case,
those candidates who obtain the highest number of votes could formally become
nominated candidates. Besides, there are suggestions of introducing for and
against votes; to become a candidate, a persons for votes must outnumber the
against votes. There are also suggestions that any eligible member of the public,
as long as he or she could obtain nominations from a certain number of eligible
voters, could directly become candidates and participate in the
one-person-one-vote universal suffrage. There are also suggestions that
nominations could be made through political parties. Recently, there are also
suggestions that reference be made to the one-eighth nomination threshold as in the
existing CE Election. There are also views that the threshold should be relaxed to
one-tenth, or that a certain number of persons obtaining the highest support by NC
members and at the same time passing a certain threshold could become candidates.
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(ii) how could the democratic procedures reflect the
requirement of organisational nomination?

(iii) how many CE candidates should the NC nominate?
12

Suffrage

3.23 At present, under the Basic Law, the CE is elected by an EC
composed of 1 200 members. Under the CEEO:

(i) where there is only one candidate, election is still required to
be held. The candidate has to obtain more than 600 support
votes to be elected as the CE;

(ii) if it is a contested election (with two or more validly
nominated candidates), a candidate must obtain more than
600 valid votes to be elected as the CE;

(iii) if it is a contested election, and in case no candidate is
returned after the first round of polling, only the two
candidates obtaining the highest number of votes can enter
into the second round polling. Other candidates will be
eliminated. If at the end of the second round of polling no
candidate obtains more than 600 votes, the election would be
terminated.

3.24 According to the Decision of the NPCSC in 2007, the
nominating committee shall in accordance with democratic
procedures nominate a certain number of candidates for the office
of the Chief Executive, who is to be elected through universal
suffrage by all registered electors of the Hong Kong Special
Administrative Region, and to be appointed by the Central
Peoples Government. If the CE Election in 2017 is in the form
of universal suffrage, the electorate base would be expanded to all
eligible voters in Hong Kong. As such, we have to consider:
There are views that a nomination cap should apply.

12
There are suggestions that the certain number of candidates should be 2 to 4.
Some are of the view that there should be at least 3 candidates. Some consider
that there should be 5, while some consider that the number should be pegged to
the nomination threshold, or no restriction should be imposed at all.
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(i) should only one round of election be held (for example, the
candidate with the highest number of votes is to be elected,
without having to obtain more than half of the total number
of valid votes)?

(ii) should we require a candidate to obtain more than half of the
total number of valid votes in order to be elected (for
example, if no candidate could obtain more than half of the
total number of valid votes in the first round election, two
candidates with the highest number of votes would proceed
to the second round election, and the candidate with the
highest number of votes in the second round would be
elected)?

(iii) should other voting methods, such as preferential elimination
system or instant runoff system be considered?
13, 14

(iv) should an election be required to be held if there is only one
candidate?

(VI) Procedures for Appointing the CE and the Linkage with Local
Legislation

3.25 Article 15 of the Basic Law stipulates that:

The Central Peoples Government shall appoint the Chief
Executive and the principal officials of the executive authorities
of the Hong Kong Special Administrative Region in accordance
with the provisions of Chapter IV of this Law.

13
Preferential elimination system or instant runoff system: in the case of more than
two candidates, a voter may rank the candidates on the ballot paper in the order of
preference. During counting of votes, the number of first preference votes a
candidate obtains would be counted first, and the candidate with the fewest first
preference votes will be eliminated, and his / her votes would be transferred to
other candidates according to the second preferences marked on the ballot papers.
The remaining candidates are again arranged in the order of the number of votes
obtained, and the candidate with the least number of votes will be eliminated, and
his / her votes transferred to other remaining candidates, and so on, until one
candidate obtains more than half of the total number of votes.

14
There are suggestions of adopting for and against votes, so that a candidate
must obtain more for votes than against votes in order to be elected.
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3.27 Section 4 of the CEEO provides that the office of the CE becomes
vacant in the following circumstances:

(i) on the expiry of the term of office of the Chief Executive;

(ii) if the Chief Executive dies; or

(iii) if the Central Peoples Government removes the Chief
Executive from office in accordance with the Basic Law.

3.28 A candidate returned by election can become the CE only after
being appointed by the CPG, and this is a mandatory procedure
prescribed by law. The HKSAR is a local administrative region
coming directly under the CPG, and the CE must be appointed by
the CPG. This power of appointment reflects the sovereignty of
the State. The appointment of the CE by the CPG under the law
is not a mere formality, but a substantive appointment. The CPG
has the power to appoint or not to appoint.

3.29 At present, Section 11 of the CEEO provides that a new polling
date shall be fixed for a by-election of the CE to be held in certain
circumstances. Section 11(3) of the CEEO only provides for a
by-election to be held on the 120
th
day after the expiry of the term
of office of the serving CE (or the Sunday immediately following
that day) where a CE candidate returned at an election cannot
assume the office of the CE on 1
st
J uly. However, the current
CEEO does not have any provision which deals with the situation
where the CPG declines to appoint the elected candidate before
1
st
J uly. In view of the above constitutional arrangements, we
have to consider whether the existing CEEO should be amended
to provide for a re-election if such situation were to take place.

(VII) Political Affiliation of the CE

3.30 At present, the CEEO allows members of political parties to run
for the office of CE. However, candidates have to declare that
they are running for the election in a personal capacity. If a
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member of a political party is elected, the person is required to
publicly make a statutory declaration within seven working days
after being elected to the effect that he / she is not a member of
any political party, and provide a written undertaking to the effect
that he / she will not become a member of any political party or be
subject to the discipline of any political party during his / her term
of office.

3.31 During the public consultation on the method for selecting the CE
in 2012 held by the third term HKSAR Government from the end
of 2009 to early 2010, more than half of the members of the
public who were polled took the view that the requirement of the
CE not to have any political affiliation should be maintained.
Separately, of the views received in writing, there was a clear
majority of views that such requirement should be maintained.
However, most parties and then Members of the LegCo who had
submitted views on the issue had suggested that the existing
requirement should be abolished.

3.32 Subsequently, the HKSAR Government decided not to make any
changes to relevant provisions for the CE Election in 2012, but
agreed that the issue might be reviewed in the long run.

3.33 Since the requirement for the CE not to belong to any political
parties is set out in local legislation, we may consider whether to
maintain such requirement when we conduct the consultation on
the amendments to the CEEO.
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Chapter Four: Method for Forming the Legislative Council
in 2016 Issues to be Considered

Background


The Legislative Council of the Hong Kong Special
Administrative Region shall be constituted by election.

The method for forming the Legislative Council shall be specified
in the light of the actual situation in the Hong Kong Special
gradual and orderly progress. The ultimate aim is the election of
all the members of the Legislative Council by universal suffrage.

The specific method for forming the Legislative Council and its
procedures for voting on bills and motions are prescribed in
Annex II: Method for the Formation of the Legislative Council of
the Hong Kong Special Administrative Region and Its Voting
Procedures.

4.02 According to the Decision of the NPCSC in 2007, after the CE is
selected by universal suffrage, the election of the LegCo may be
implemented by the method of electing all the members by
universal suffrage. Therefore, election of all members by
universal suffrage would not be implemented in the 2016 LegCo
Election. On the other hand, effective from the new term of the
LegCo in 2012, the number of Members each returned by the GC
and FC elections has increased from 30 to 35 respectively. Five
new FC seats have been created and return members through
election, on the basis of one-person-one-vote, by some 3.2 million
registered voters who previously did not have a vote in the
traditional FCs, and thus nearly 60% of the LegCo seats have an
electorate base of more than 3 million voters.

Current Composition of the LegCo

4.03 According to the Amendment to Annex II to the Basic Law of the
Republic of China Concerning the Method for the Formation of
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Region and Its Voting Procedures recorded at the Sixteenth
Session of the Standing Committee of the Eleventh NPC on
28 August 2010, the fifth term LegCo in the year 2012 shall be
composed of 70 members, the number of Members returned each
by the GC and FC elections is 35 respectively.

4.04 In accordance with the provisions of Annex II to the Basic Law
and the above Amendment, the Legislative Council Ordinance
(Cap. 542) (LCO) contains detailed provisions regarding the
delineation of GCs and the voting method for direct GC elections;
and the delineation of FCs, their seat distribution and election
methods, etc.

4.05 As regards direct GC elections, the LCO stipulates that there
should be five GCs. In general, the 35 seats to be returned by
GCs through direct elections are distributed among the
constituencies in accordance with their population distribution.
Details are as follows:

Geographical Constituency

Number of Seats
Hong Kong Island 7
Kowloon East 5
Kowloon West 5
New Territories East 9
New Territories West 9

4.06 For direct GC elections, the list voting system operating under the
largest remainder formula, which is a form of proportional
representation voting system, is adopted. Under this system,
candidates contest the election in the form of lists. Each list may
consist of any number of candidates up to the number of seats in
the relevant constituency. An elector is entitled to vote for one
list. Seats are distributed among the lists according to the
number of votes obtained by the respective lists.

4.07 For FC elections, the 35 seats are returned from 29 FCs
(see Annex V). Among the 29 FCs, the District Council (Second)
Functional Constituency (DC (Second) FC) returns five LegCo
Members, and the Labour FC returns three Members. The
remaining 27 FCs return one Member each.

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4.08 As regards the voting system, the DC (Second) FC takes the entire
HKSAR as a single constituency, and adopts the list voting system
under the proportional representation voting system, and operates
under the largest remainder formula to come up with the election
results. Separately, four FCs (namely the Heung Yee Kuk,
Agriculture and Fisheries, Insurance, and Transport) adopt the
preferential elimination system. The remaining 24 FCs adopt the
first-past-the-post voting system.

Issues to be Considered

4.09 Subject to conformity with the Basic Law and the Interpretation
of the NPCSC in 2004 and the Decision in 2007, the
implementation of universal suffrage for the LegCo would be
taken forward by the CE returned by universal suffrage in 2017
and the Administration under his leadership. When discussing
the method for forming the LegCo in 2016, we may consider the
following key issues:

(I) Number of Seats and Composition of the LegCo;

(II) Composition and Electorate Base of Functional
Constituencies; and

(III) Number of Geographical Constituencies and Number of
Seats in Each Geographical Constituency.

(I) Number of Seats and Composition of the LegCo

4.10 During the public consultation held by the third term HKSAR
Government from the end of 2009 to early 2010 on the method for
forming the LegCo in 2012, the majority of views received
supported the increase of the number of LegCo seats from 60 to
70, but there were also views that the number should be
maintained at 60, or increased to 80. Subsequently, the third
term HKSAR Government suggested increasing the number of
seats of the fifth term LegCo commencing in 2012 from 60 to 70,
and the proposal was eventually passed. The composition of the
LegCo was enlarged, thereby enhancing the democratic element
in the LegCo.

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4.11 As for the sixth term LegCo commencing in 2016, we may
consider whether the number of LegCo seats be capped at 70
without major changes or, subject to conformity with the
principles of the Basic Law (see paragraph 2.07 above), to further
increase the number of LegCo seats.

4.12 If the number of LegCo seats is to remain at 70 without any
change
15
:

(i) should the half-and-half ratio between Members returned
by FCs and Members returned by GCs remain unchanged?

(ii) if the ratio is to be adjusted, what level should it be adjusted
to?
16

4.13 If the number of LegCo seats is to be increased:

(i) what should be the total number of seats?
17

(ii) how should the new seats be distributed?

(a) should the half-and-half ratio of Members from GCs
and FCs be maintained and the new seats be
distributed evenly?

(b) if the half-and-half ratio of Members from GCs and
FCs is not maintained, should more of the new seats be
allocated to FCs (such as the DC (Second) FC) or
GCs?
18

15
Recently, there are views that there is no need to increase the number of LegCo
seats in 2016.

16
Recently, there are views that the proportion of Members returned from direct GC
elections should be adjusted upward to 60%. There are also other views that the
number of FC seats should be reduced in 2016, or that the number of traditional FC
seats should be maintained at 30 while the remaining seats should be returned
through direct elections.

17
Recently, there are views that the number of LegCo seats in 2016 should be
increased to 80. There are also views that it should be increased to 90 or 100.

18
Recently, there are views that the new seats could be allocated to the DC (Second)
FC. There are also views that the new seats should all be allocated to direct
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(II) Composition and Electorate Base of Functional Constituencies

4.14 According to the 2013 Final Register, there are about 238 000
registered electors for the 28 traditional FCs, including 16 000
corporate bodies and some 222 000 individuals.

4.15 During the public consultation held by the third term HKSAR
Government from the end of 2009 to early 2010 on the method for
forming the LegCo in 2012, there were more views that the
electorate base of FCs should be broadened. As to how the
electorate base of FCs could be broadened, the majority of views
supported increasing the number of District Council members,
whose electorate base is wide, in the LegCo to enhance the
representativeness of the LegCo election. Besides, there were
also views that new FCs should be added, or that corporate /
organisations votes of existing FCs should be replaced with
directors votes or individuals votes. Subsequently, the
third term HKSAR Government suggested that candidates for the
five new FC seats should be nominated by elected District
Council members, and returned through election, on the basis of
one-person-one-vote, by registered voters who previously did not
have a vote in the traditional FCs, thereby enhancing the
democratic element in the LegCo election. This proposal was
passed.

4.16 For the sixth term LegCo in 2016, we may consider whether to
enlarge the electoral base of the FCs.
19

elections. Besides, there are also views that a new category of seats with the
entire Hong Kong as a single constituency should be established, and its seats be
returned using the proportional representation voting system, or returned by the
districts using the single-seat, single-vote system, and abolish the DC (Second)
FC.

19
Recently, there are views that the corporate votes should be abolished and be
replaced by votes of the executives or staff members of such corporations. There
are also views that the electorate base of FCs should be enlarged by covering as far
as possible electors with relevant professional qualifications and work experience.
Besides, there are also views that candidates could be nominated by the relevant
sectors, but returned through one-person-one-vote by all eligible electors in
Hong Kong. There are also views that FCs could be reorganised into a few larger
sectors, so that each candidate would have to face a larger number of electors and
electors from a wider range of background.
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(III) Number of Geographical Constituencies and Number of Seats
in Each Geographical Constituency

4.17 As mentioned in paragraph 4.05 above, there are currently five
GCs, returning a total of 35 Members. Each GC has to return at
least 5 and no more than 9 Members.

4.18 Regardless of whether the number of LegCo seats in 2016 would
be increased, we may consider:

(i) should the existing number of GCs be adjusted?
20

(ii) should the upper and lower limits of seats returned by each
GC be adjusted?

Procedures for Voting on Bills and Motions in the LegCo

4.19 Pursuant to Annex II to the Basic Law, the LegCo of the HKSAR
is to adopt the following procedures for voting on bills and
motions:

The passage of bills introduced by the government shall require
at least a simple majority vote of the members of the Legislative
Council present.

The passage of motions, bills or amendments to government bills
introduced by individual members of the Legislative Council shall
require a simple majority vote of each of the two groups of
members present: members returned by functional constituencies
and those returned by geographical constituencies through direct
elections and by the Election Committee.

4.20 In submitting the Basic Law (Draft) and related documents to
the Third Session of the Seventh NPC on 28 March 1990, Mr J i
Pengfei, Chairman of the Drafting Committee for the Basic Law
of the Hong Kong Special Administrative Region of the Peoples
Republic of China made the following explanation in respect of
the voting procedures of the LegCo in the Annex II to the Basic
Law:
20
Recently, there are views that the number of GCs should be increased to 6 to 9, and
that through realignment of GCs, the number of seats in each GC can even out.
There are also views suggesting that certain seats may be returned from smaller
constituencies.
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Annex II also stipulates that different voting procedures shall be
adopted by the Legislative Council in handling bills introduced by
the government and motions and bills introduced by individual
members of the Legislative Council. The passage of bills
introduced by the government requires a simple majority vote of
the members of the Legislative Council present. The passage of
motions, bills or amendments to government bills introduced by
individual members of the Legislative Council requires at least a
simple majority vote by each of the two groups of members
present, i.e., members returned by functional constituencies and
those returned by geographical constituencies through direct
elections and by the Election Committee. Such provisions take
into consideration the interests of all social strata and will prevent
endless debates over government bills, thus helping the
government work with efficiency.

4.21 In accordance with the Decisions of the NPCSC in 2004 and 2007,
the elections of the LegCo in the fourth and fifth terms in the
years 2008 and 2012 were not implemented by the method of
electing all the members by universal suffrage. The ratio
between members returned by FCs and members returned by GCs
through direct elections remained unchanged. The procedures
for voting on bills and motions in the LegCo were to remain
unchanged. At an appropriate time prior to the election of all the
members of the LegCo by universal suffrage, the CE shall make a
report to the NPCSC as regards the issue of amending the method
for forming the LegCo and the procedures for voting on bills and
motions in the LegCo in accordance with the relevant provisions
of the Basic Law and the Interpretation of the NPCSC in 2004,
and a determination thereon shall be made by the NPCSC.
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Chapter Five: Views Sought

Method for Selecting the CE in 2017

(I) Size and Composition of the Nominating Committee

5.01 The current EC is formed by 1 200 members from four sectors.
As regards the size and composition of the NC, we may consider:

(i) should the existing composition framework of the four
sectors in the EC be followed when designing the
composition of the NC?

(ii) should the total number of NC members remain at 1 200, the
same as the current EC, or should it be increased /
decreased?

(iii) should the NC be composed of the 38 subsectors of the
existing EC, or should there be an increase or decrease of the
number of subsectors?

(iv) if the total number of NC members is to be increased, how
should the newly added seats be distributed among the four
sectors?

(v) if the total number of NC members is not to be increased,
should the distribution of seats among the four sectors
remain unchanged?

(II) Electorate Base of the Nominating Committee

5.02 If the composition of the NC makes reference to the composition
of the current EC, should the electorate base of the existing
subsectors be maintained without the need for major changes? If
the electorate base of the existing EC is to be further enlarged,
how to enlarge the electorate base of the NC?

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(III) Method for Forming the Nominating Committee

5.03 If the NC is to be composed with reference to the composition of
the current EC, for the subsector elections of the NC in 2017, we
may consider:

(i) should the existing voting, nomination and ex-officio
arrangements of the subsectors be maintained?

(ii) if new subsector(s) is / are to be added, what kind of system
should be adopted by the subsector(s) to return its / their
members?

Candidates

5.04 Article 45 of the Basic Law and the Decision of the NPCSC in
2007 provide for CE candidates to be nominated by the NC in
accordance with democratic procedures (i.e. the so-called
organisational nomination or collective nomination), as
distinct from the current model of election by the EC whereby
individual EC members may jointly nominate candidates.

5.05 Issues to be considered regarding the procedures of nominating
CE candidates include:

(i) how should the NC nominate CE candidates in accordance
with democratic procedures?

(ii) how could the democratic procedures reflect the
requirement of organisational nomination?

(iii) how many CE candidates should the NC nominate?

Suffrage

5.06 As regards the method of universal suffrage after the nominating
procedures, we have to consider:

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(i) should only one round of election be held (for example, the
candidate with the highest number of votes is to be elected,
without having to obtain more than half of the total number
of valid votes)?

(ii) should we require a candidate to obtain more than half of the
total number of valid votes in order to be elected (for
example, if no candidate could obtain more than half of the
total number of valid votes in the first round election, two
candidates with the highest number of votes would proceed
to the second round election, and the candidate with the
highest number of votes in the second round would be
elected)?

(iii) should other voting methods, such as preferential elimination
system or instant runoff system be considered?

(iv) should an election be required to be held if there is only one
candidate?

(VI) Procedures for Appointing the CE and the Linkage with Local
Legislation

5.07 To take account of a situation whereby the elected CE candidate
were not appointed by the Central Authorities before 1
st
J uly,
should we amend the existing CEEO to provide for a mechanism
for re-election?

Method for Forming the LegCo in 2016

(I) Number of Seats and Composition of the LegCo

5.08 Should the number of LegCo seats be capped at 70 without major
changes or, subject to conformity with the principles of the Basic
Law, should the number of LegCo seats be further increased?

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5.09 If the number of LegCo seats is to remain at 70 without any
change:

(i) should the half-and-half ratio between Members returned by
FCs and Members returned by GCs remain unchanged?

(ii) if the ratio is to be adjusted, what level should it be adjusted
to?

5.10 If the number of LegCo seats is to be increased:

(i) what should be the total number of seats?

(ii) how should the new seats be distributed?

(a) should the half-and-half ratio of Members from GCs
and FCs be maintained and the new seats be
distributed evenly?

(b) if the half-and-half ratio of Members from GCs and
FCs is not maintained, should more of the new seats be
allocated to FCs (such as the DC (Second) FC) or
GCs?

(II) Composition and Electorate Base of Functional Constituencies

5.11 Should the electorate base of FCs be enlarged?

(III) Number of Geographical Constituencies and Number of Seats
in Each Geographical Constituency

5.12 Regardless of whether the number of LegCo seats in 2016 would
be increased, we may consider:

(i) should the existing number of GCs be adjusted?

(ii) should the upper and lower limits of seats returned by each
GC be adjusted?
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Chapter Six: Ways of Providing Views or Suggestions

6.01 We welcome your views by mail, facsimile or email on or before
3 May 2014:

Address: Constitutional and Mainland Affairs Bureau
12/F, East Wing, Central Government Offices
2 Tim Mei Avenue, Tamar, Hong Kong

Fax number: 2563 9292

E-mail address: views@2017.gov.hk

Website: www.2017.gov.hk

6.02 It is optional for any member of the public to supply his / her
personal data in providing views on this Consultation Document.
Any personal data provided with a submission may be transferred
to the relevant Government bureaux and departments for purposes
directly related to this consultation exercise. The Government
bureaux and departments receiving the data are bound by such
purposes in their subsequent use of such data.

6.03 The names and views of individuals and organisations which put
forth submissions in response to this Consultation Document
(senders) may be published for public viewing after conclusion
of the public consultation exercise. This Bureau may, either in
discussion with others (whether privately or publicly), or in any
subsequent report, attribute comments submitted in response to
this Consultation Document.

6.04 To safeguard senders data privacy, we will remove senders
relevant data (if provided), such as residential / return addresses,
email addresses, identity card numbers, telephone numbers,
facsimile numbers and signatures, where provided, when
publishing their submissions.

6.05 We will respect the wishes of senders to remain anonymous and /
or keep the views confidential in part or in whole. If the senders
request anonymity in the submissions, their names will be
removed when publishing their views. If the senders request
confidentiality of their views, their submissions will not be
published.
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6.06 If the senders do not request anonymity or confidentiality in the
submissions, it will be assumed that the senders can be named and
the views can be published in their entirety.

6.07 Any sender providing personal data to this Bureau in the
submission will have rights of access and correction with respect
to such personal data. Requests for data access and correction of
personal data should be made in writing to:

Address: Assistant Secretary (3B)
Constitutional and Mainland Affairs Bureau
12/F, East Wing, Central Government Offices
2 Tim Mei Avenue, Tamar, Hong Kong

Fax number: 2563 9292

E-mail address: views@2017.gov.hk

Constitutional and Mainland Affairs Bureau
December 2013

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Annex I

(This is an English translation of the original instrument in Chinese)

Decision of the Standing Committee of the National Peoples
Congress on Issues Relating to the Methods for Selecting
the Chief Executive of the Hong Kong Special Administrative Region
and for Forming the Legislative Council of
the Hong Kong Special Administrative Region in the Year 2012 and
on Issues Relating to Universal Suffrage

(Adopted by the Standing Committee of the Tenth National Peoples
Congress at its Thirty-first Session on 29 December 2007)

The Standing Committee of the Tenth National Peoples Congress
considered at its Thirty-first Session the Report on the Public
Consultation on Constitutional Development and on whether there is a
need to amend the methods for selecting the Chief Executive of the Hong
Kong Special Administrative Region and for forming the Legislative
Council of the Hong Kong Special Administrative Region in 2012
submitted by Tsang Yam-kuen, the Chief Executive of the Hong Kong
Special Administrative Region, on 12 December 2007. The Session is
of the view that appropriate amendments may be made to the specific
method for selecting the fourth Chief Executive and the specific method
for forming the fifth term Legislative Council of the Hong Kong Special
Administrative Region in the year 2012; that the election of the fifth
Chief Executive of the Hong Kong Special Administrative Region in the
year 2017 may be implemented by the method of universal suffrage; that
after the Chief Executive is selected by universal suffrage, the election of
the Legislative Council of the Hong Kong Special Administrative Region
may be implemented by the method of electing all the members by
universal suffrage. Pursuant to the relevant provisions of the Basic Law
Republic of China and The Interpretation by the Standing Committee of
the National Peoples Congress of Article 7 of Annex I and Article III of
Annex II to the Basic Law of the Hong Kong Special Administrative
Region of the Peoples Republic of China, the Standing Committee of
the National Peoples Congress hereby makes the following decision:

1. The election of the fourth Chief Executive of the Hong Kong
Special Administrative Region in the year 2012 shall not be
implemented by the method of universal suffrage. The election of
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the fifth term Legislative Council of the Hong Kong Special
Administrative Region in the year 2012 shall not be implemented
by the method of electing all the members by universal suffrage.
The half-and-half ratio between members returned by functional
constituencies and members returned by geographical
constituencies through direct elections shall remain unchanged.
The procedures for voting on bills and motions in the Legislative
Council shall remain unchanged. Subject to the aforementioned,
appropriate amendments conforming to the principle of gradual and
orderly progress may be made to the specific method for selecting
the fourth Chief Executive of the Hong Kong Special
Administrative Region in the year 2012 and the specific method for
forming the fifth term Legislative Council of the Hong Kong
Special Administrative Region in the year 2012 in accordance with
the provisions of Articles 45 and 68, and those of Article 7 of
Annex I and Article III of Annex II to the Basic Law of the Hong
Kong Special Administrative Region of the Peoples Republic of
China.

2. At an appropriate time prior to the selection of the Chief Executive
of the Hong Kong Special Administrative Region by universal
suffrage, the Chief Executive shall make a report to the Standing
Committee of the National Peoples Congress as regards the issue
of amending the method for selecting the Chief Executive in
accordance with the relevant provisions of the Hong Kong Basic
Law and The Interpretation by the Standing Committee of the
National Peoples Congress of Article 7 of Annex I and Article III
of Annex II to the Basic Law of the Hong Kong Special
Administrative Region of the Peoples Republic of China; a
determination thereon shall be made by the Standing Committee of
the National Peoples Congress. The bills on the amendments to
the method for selecting the Chief Executive and the proposed
amendments to such bills shall be introduced by the Government of
the Hong Kong Special Administrative Region to the Legislative
Council; such amendments must be made with the endorsement of
a two-thirds majority of all the members of the Legislative Council
and the consent of the Chief Executive and they shall be reported to
the Standing Committee of the National Peoples Congress for
approval.

3. At an appropriate time prior to the election of all the members of
Region by universal suffrage, the Chief Executive shall make a
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report to the Standing Committee of the National Peoples
Congress as regards the issue of amending the method for forming
the Legislative Council and the issue of whether any corresponding
amendment should be made to the procedures for voting on bills
and motions in the Legislative Council in accordance with the
relevant provisions of the Hong Kong Basic Law and The
Interpretation by the Standing Committee of the National Peoples
Congress of Article 7 of Annex I and Article III of Annex II to the
Basic Law of the Hong Kong Special Administrative Region of the
Peoples Republic of China; a determination thereon shall be
made by the Standing Committee of the National Peoples
Congress. The bills on the amendments to the method for
forming the Legislative Council and its procedures for voting on
bills and motions and the proposed amendments to such bills shall
be introduced by the Government of the Hong Kong Special
Administrative Region to the Legislative Council; such
amendments must be made with the endorsement of a two-thirds
majority of all the members of the Legislative Council and the
consent of the Chief Executive and they shall be reported to the
Standing Committee of the National Peoples Congress for the
record.

4. If no amendment is made to the method for selecting the Chief
Executive, the method for forming the Legislative Council or its
procedures for voting on bills and motions in accordance with the
legal procedures, the method for selecting the Chief Executive used
for the preceding term shall continue to apply, and the method for
forming the Legislative Council and the procedures for voting on
bills and motions used for the preceding term shall continue to
apply.

The Session is of the view that in accordance with the provisions of
Article 45 of the Hong Kong Basic Law, in selecting the Chief Executive
of the Hong Kong Special Administrative Region by the method of
universal suffrage, a broadly representative nominating committee shall
be formed. The nominating committee may be formed with reference to
the current provisions regarding the Election Committee in Annex I to the
Hong Kong Basic Law. The nominating committee shall in accordance
with democratic procedures nominate a certain number of candidates for
the office of the Chief Executive, who is to be elected through universal
suffrage by all registered electors of the Hong Kong Special
Administrative Region, and to be appointed by the Central Peoples
Government.
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The Session is of the view that with the joint efforts of the
Government of the Hong Kong Special Administrative Region and the
people of Hong Kong, the democratic system of the Hong Kong Special
Administrative Region will definitely make progress continuously, and
that the aim of the selection of the Chief Executive and the election of all
the members of the Legislative Council by universal suffrage will be
realized in accordance with the Hong Kong Basic Law and this Decision.

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Annex II


The Interpretation by the Standing Committee of the National
Peoples Congress of Article 7 of Annex I and Article III of Annex II
to the Basic Law of the Hong Kong Special Administrative Region of
the Peoples Republic of China

(Adopted at the Eighth Session of the Standing Committee of
the Tenth National Peoples Congress on 6 April 2004.)

examined at its Eighth Session the motion regarding the request for
examination of The Draft Interpretation of Article 7 of Annex I and
Article III of Annex II to the Basic Law of the Hong Kong Special
Administrative Region of the Peoples Republic of China submitted by
the Council of Chairmen. Having consulted the Committee for the
Basic Law of the Hong Kong Special Administrative Region under the
Standing Committee of the National Peoples Congress, the Standing
Committee of the National Peoples Congress has decided to make, under
the provisions of Article 67(4) of the Constitution of the Peoples
Republic of China and Article 158(1) of the Basic Law of the Hong Kong
Special Administrative Region of the Peoples Republic of China, an
interpretation of the provisions of Article 7 of Annex I Method for the
Selection of the Chief Executive of the Hong Kong Special
Administrative Region to the Basic Law of the Hong Kong Special
Administrative Region of the Peoples Republic of China regarding If
there is a need to amend the method for selecting the Chief Executives for
the terms subsequent to the year 2007, such amendments must be made
with the endorsement of a two-thirds majority of all the members of the
Legislative Council and the consent of the Chief Executive, and they shall
be reported to the Standing Committee of the National Peoples Congress
for approval and the provisions of Article III of Annex II Method for
the Formation of the Legislative Council of the Hong Kong Special
Administrative Region and Its Voting Procedures regarding With
regard to the method for forming the Legislative Council of the Hong
Kong Special Administrative Region and its procedures for voting on
bills and motions after 2007, if there is a need to amend the provisions of
this Annex, such amendments must be made with the endorsement of a
two thirds majority of all the members of the Council and the consent of
the Chief Executive, and they shall be reported to the Standing
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Committee of the National Peoples Congress for the record as follows:

1. The phrases subsequent to the year 2007 and after 2007
stipulated in the two above-mentioned Annexes include the year
2007.

2. The provisions in the two above-mentioned Annexes that if there
is a need to amend the method for selecting the Chief Executives
for the terms subsequent to the year 2007 or the method for
forming the Legislative Council and its procedures for voting on
bills and motions after 2007 mean they may be amended or remain
unamended.

3. The provisions in the two above-mentioned Annexes that any
amendment must be made with the endorsement of a two-thirds
majority of all the members of the Legislative Council and the
consent of the Chief Executive and shall be reported to the
Standing Committee of the National Peoples Congress for
approval or for the record mean the requisite legislative process
through which the method for selecting the Chief Executive and the
method for forming the Legislative Council and its procedures for
voting on bills and motions are amended. Such an amendment
may take effect only if it has gone through the said process,
including the approval or recording ultimately given or made by
the Standing Committee of the National Peoples Congress in
accordance with law. The Chief Executive of the Hong Kong
Special Administrative Region shall make a report to the Standing
Committee of the National Peoples Congress as regards whether
there is a need to make an amendment; and the Standing
Committee of the National Peoples Congress shall, in accordance
with the provisions of Articles 45 and 68 of the Basic Law of the
Republic of China, make a determination in the light of the actual
situation in the Hong Kong Special Administrative Region and in
accordance with the principle of gradual and orderly progress.
The bills on the amendments to the method for selecting the Chief
Executive and the method for forming the Legislative Council and
its procedures for voting on bills and motions and the proposed
amendments to such bills shall be introduced by the Government of
the Hong Kong Special Administrative Region into the Legislative
Council.

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4. If no amendment is made to the method for selecting the Chief
Executive, the method for forming the Legislative Council and its
procedures for voting on bills and motions as stipulated in the two
above-mentioned Annexes, the provisions relating to the method
for selecting the Chief Executive in Annex I will still be applicable
to the method for selecting the Chief Executive, and the provisions
relating to the method for forming the third term of the Legislative
Council in Annex II and the provisions relating to its procedures
for voting on bills and motions in Annex II will still be applicable
to the method for forming the Legislative Council and its
procedures for voting on bills and motions.

This Interpretation is hereby proclaimed.

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Annex III


Decision of the Standing Committee of the National Peoples
Congress on Issues Relating to the Methods for Selecting the Chief
Executive of the Hong Kong Special Administrative Region in the
Year 2007 and for Forming the Legislative Council of the Hong Kong
Special Administrative Region in the Year 2008

(Adopted at the Ninth Session of the Standing Committee of the Tenth
National Peoples Congress on 26 April 2004.)

examined at its Ninth Session the Report on whether there is a need to
amend the methods for selecting the Chief Executive of the Hong Kong
Special Administrative Region in 2007 and for forming the Legislative
Council of the Hong Kong Special Administrative Region in 2008
submitted by Tung Chee-hwa, the Chief Executive of the Hong Kong
Special Administrative Region, on 15 April 2004 and, before the Session,
had consulted the Hong Kong deputies to the National Peoples Congress,
the Hong Kong members of the National Committee of the Chinese
Peoples Political Consultative Conference, different sectors of Hong
Kong, the Hong Kong members of the Committee for the Basic Law of
the Hong Kong Special Administrative Region under the Standing
Committee of the National Peoples Congress, and the Constitutional
Development Task Force of the Government of the Hong Kong Special
Administrative Region, and had also sought the views of the Hong Kong
and Macao Affairs Office of the State Council. The Standing
Committee of the National Peoples Congress was, in the course of the
examination, fully aware of the recent concerns of the Hong Kong society
about the methods for selecting the Chief Executive and for forming the
Legislative Council after the year 2007, including the views of some
bodies and people that they wish to see the selection of the Chief
Executive by universal suffrage in the year 2007 and the election of all
the members of the Legislative Council by universal suffrage in the year
2008.

The Session is of the view that Articles 45 and 68 of the Basic Law
Republic of China (hereinafter referred to as Hong Kong Basic Law)
already expressly provide that the methods for selecting the Chief
51

PAGE 248

Executive of the Hong Kong Special Administrative Region and for
forming the Legislative Council of the Hong Kong Special
Administrative Region shall be specified in the light of the actual
situation in the Hong Kong Special Administrative Region and in
accordance with the principle of gradual and orderly progress, and that
the ultimate aims are the selection of the Chief Executive by universal
suffrage upon nomination by a broadly representative nominating
committee in accordance with democratic procedures and the election of
all the members of the Legislative Council by universal suffrage. The
methods for selecting the Chief Executive of the Hong Kong Special
Administrative Region and for forming the Legislative Council of the
Hong Kong Special Administrative Region shall conform to the above
principles and provisions of the Hong Kong Basic Law. Any change
relating to the methods for selecting the Chief Executive of the Hong
Kong Special Administrative Region and for forming the Legislative
Council of the Hong Kong Special Administrative Region shall conform
to principles such as being compatible with the social, economic, political
development of Hong Kong, being conducive to the balanced
participation of all sectors and groups of the society, being conducive to
the effective operation of the executive-led system, being conducive to
the maintenance of the long-term prosperity and stability of Hong Kong.

The Session is of the view that since the establishment of the Hong
Kong Special Administrative Region, Hong Kong residents have enjoyed
democratic rights that they have never had before. The first Chief
Executive was elected by the Selection Committee, which was composed
of 400 members. The second Chief Executive was elected by the
Election Committee, which was composed of 800 members. Out of the 60
members of the Legislative Council, the number of members returned by
geographical constituencies through direct elections increased from 20 in
the Legislative Council in the first term to 24 in the Legislative Council
in the second term and will reach 30 in the Legislative Council in the
third term to be formed this September. Hong Kong does not have a long
history of practising democratic elections. Until now, Hong Kong
residents have exercised the democratic right to participate in the
selection of the Chief Executive of the Special Administrative Region for
less than 7 years. Since the reunification of Hong Kong with the
motherland, the number of members of the Legislative Council returned
by geographical constituencies through direct elections has already
substantially increased. When the set-up is such that half of the
members are returned by geographical constituencies through direct
elections and half of the members are returned by functional
constituencies, the impact on the operation of the Hong Kong society as a
52

PAGE 249

whole, especially the impact on the executive-led system, remains to be
examined through practice. Further, at present, different sectors of the
Hong Kong society still have considerable differences on how to
determine the methods for selecting the Chief Executive and for forming
the Legislative Council after the year 2007 and have not come to a broad
consensus. In the circumstances, conditions do not exist for the
selection of the Chief Executive by universal suffrage upon nomination
by a broadly representative nominating committee in accordance with
democratic procedures as provided for in Article 45 of the Hong Kong
Basic Law and the election of all the members of the Legislative Council
by universal suffrage as provided for in Article 68 of the Hong Kong
Basic Law.

In the light of the above and pursuant to the relevant provisions of
the Hong Kong Basic Law and The Interpretation by the Standing
Committee of the National Peoples Congress of Article 7 of Annex I and
Article III of Annex II to the Basic Law of the Hong Kong Special
Administrative Region of the Peoples Republic of China, the Standing
Committee of the National Peoples Congress makes the following
decision on the methods for selecting the Chief Executive of the Hong
Kong Special Administrative Region in the year 2007 and for forming the
Legislative Council of the Hong Kong Special Administrative Region in
the year 2008:

1. The election of the third Chief Executive of the Hong Kong Special
Administrative Region to be held in the year 2007 shall not be by
means of universal suffrage. The election of the Legislative
Council of the Hong Kong Special Administrative Region in the
fourth term in the year 2008 shall not be by means of an election of
all the members by universal suffrage. The ratio between
members returned by functional constituencies and members
returned by geographical constituencies through direct elections,
who shall respectively occupy half of the seats, is to remain
unchanged. The procedures for voting on bills and motions in the
Legislative Council are to remain unchanged.

2. Subject to Article 1 of this Decision not being contravened,
appropriate amendments that conform to the principle of gradual
and orderly progress may be made to the specific method for
selecting the third Chief Executive of the Hong Kong Special
Administrative Region in the year 2007 and the specific method for
forming the Legislative Council of the Hong Kong Special
Administrative Region in the fourth term in the year 2008
53

PAGE 250

according to the provisions of Articles 45 and 68 of the Hong Kong
Basic Law and the provisions of Article 7 of Annex I and Article
III of Annex II to the Hong Kong Basic Law.

The Session is of the view that developing democracy in the Hong
Kong Special Administrative Region in the light of the actual situation
and in a gradual and orderly manner according to the provisions of the
Hong Kong Basic Law has all along been the resolute and firm stance of
the Central Authorities. With the development and progress in all
aspects of the Hong Kong society and through the joint endeavours of the
Government of the Hong Kong Special Administrative Region and Hong
Kong residents, the democratic system of the Hong Kong Special
Administrative Region will certainly be able to progress forward
incessantly, and ultimately attain the aims of selecting the Chief
Executive by universal suffrage upon nomination by a broadly
representative nominating committee in accordance with democratic
procedures and electing all the members of the Legislative Council by
universal suffrage provided for in the Hong Kong Basic Law.

54

PAGE 251

Annex IV

Composition of the Election Committee

First Sector (Industrial, commercial and financial sectors)

Subsector Number of
members
1. Catering 17
2. Commercial (First) 18
3. Commercial (Second) 18
4. Employers Federation of Hong Kong 16
5. Finance 18
6. Financial Services 18
7. Hong Kong Chinese Enterprises Association 16
8. Hotel 17
9. Import and Export 18
10. Industrial (First) 18
11. Industrial (Second) 18
12. Insurance 18
13. Real Estate and Construction 18
14. Textiles and Garment 18
15. Tourism 18
16. Transport 18
17. Wholesale and Retail 18

Second Sector (The professions)

Subsector Number of
members
18. Accountancy 30
19. Architectural, Surveying and Planning 30
20. Chinese Medicine 30
21. Education 30
22. Engineering 30
23. Health Services 30
24. Higher Education 30
25. Information Technology 30
26. Legal 30
27. Medical 30

55

PAGE 252

Third Sector (Labour, social services, religious and other sectors)

Subsector Number of
members
28. Agriculture and Fisheries 60
29. Labour 60
30. Religious* 60
31. Social Welfare 60
32. Sports, Performing Arts, Culture and Publication 60

Fourth Sector (Members of the Legislative Council, representatives
of members of the District Councils, representatives of the Heung
Yee Kuk, Hong Kong deputies to the National Peoples Congress,
and representatives of Hong Kong members of the National
Committee of the Chinese Peoples Political Consultative
Conference)

Subsector Number of
members
33. National Peoples Congress 36
34. Legislative Council 70
35. Chinese Peoples Political Consultative Conference 51
36. Heung Yee Kuk 26
37. Hong Kong and Kowloon District Councils 57
38. New Territories District Councils 60

* The number of members to be nominated by each of the six designated
bodies of the religious subsector are as follows:

Number of
members
1. Catholic Diocese of Hong Kong 10
2. Chinese Muslim Cultural and Fraternal Association 10
3. Hong Kong Christian Council 10
4. The Hong Kong Taoist Association 10
5. The Confucian Academy 10
6. The Hong Kong Buddhist Association 10

56

PAGE 253

Annex V

Functional Constituencies of the Legislative Council

Functional constituency Number of members
to be returned

1. Heung Yee Kuk 1
2. Agriculture & Fisheries 1
3. Insurance 1
4. Transport 1
5. Education 1
6. Legal 1
7. Accountancy 1
8. Medical 1
9. Health Services 1
10. Engineering 1
11. Architectural, Surveying & Planning 1
12. Labour 3
13. Social Welfare 1
14. Real Estate and Construction 1
15. Tourism 1
16. Commercial (First) 1
17. Commercial (Second) 1
18. Industrial (First) 1
19. Industrial (Second) 1
20. Finance 1
21. Financial Services 1
22. Sports, Performing Arts, Culture & Publication 1
23. Import and Export 1
24. Textiles and Garment 1
25. Wholesale and Retail 1
26. Information Technology 1
27. Catering 1
28. District Council (First) 1
29. District Council (Second) 5
57

PAGE 254

PAGE 255
Hong Kongs Constitutional
Moment of 2014
Mr C.Y. Leung, the Chief Executive of the Hong Kong Special
Administrative Region (HKSAR), announced on 17 October 2013
the establishment of a three-person Task Force on Constitutional
Development which will prepare to launch a public consultation
exercise on the electoral reforms for the Legislative Council and the
Chief Executive (CE) to be elected in 2016 and 2017 respectively. As the
HKSAR Government takes steps to implement the electoral reforms and
as the Occupy Central movement further unfolds, it can be expected
that the people of Hong Kong will live through their constitutional
moment in 2014, in the course of w hich the shape of the future political
system of the HKSAR will be decided.
The Basic Law, which not only regulates the relationship between
the HKSAR and the Central Government in Beijing but also provides
for the formation and operation of the HKSAR Government, stipulates
that the ultimate aim in the evolution of Hong Kongs political system
is the election of the CE and of all members of the Legislative Council
by universal suffrage. In December 2007, the National Peoples Congress
Standing Committee (NPCSC) set the timetable for the realization of
this ultimate aim: the CE may be elected by universal suffrage in 2017,
and thereafter the whole of the Legislative Council may also be so
elected.
It is important to note, however, that the NPCSCs 2007 decision
does not automatically mean that election of the CE by universal
suffrage will defnitely materialize in 2017. According to Annex I to the
Basic Law and the interpretation of this Annex by the NPCSC in 2004,
any reform of the electoral method for the CE can only be initiated with
the consent of the NPCSC, and the basic features of the reform which
have to be proposed by the HKSAR Government must win the support
of a two-thirds majority in the Legislative Council before the reform can
go ahead. This means that whether universal suffrage for the election
of the CE in 2017 will be realized or not depends ultimately on the
collective will of the Central Government, the HKSAR Government
and the people of Hong Kong as represented by its Legislative Council.
It is widely accepted that the people of Hong Kong desire to exercise the
right to elect the CE directly by 2017. Given that the NPCSC has already
decided that 2017 is the target date for the introduction of suchuniversal
suffrage, why is there still uncertainty as to whether this will materialize?
The answer lies in the constitutional requirement of a two-thirds majority
COMMENT
HKLJ3-1 Hong Kongs Constitutional Moment.indd 791 12/14/13 7:23 PM
PAGE 256
792 Albert H.Y. Chen (2013) HKLJ
in the Legislative Council and the spectrum of existing political forces
in Hong Kong, which includes pro-establishment parties and fgures
as well as what is commonly known as the camp of pan-democrats or
the opposition. In 2005, the pan-democrats in the Legislative Council
vetoed the political reform package proposed by Mr Donald Tsang on
the ground that it was not democratic enough. In 2010, another package
proposed by Mr Tsang would have been vetoed again on the ground
that it was not democratic enough but for a last-minute amendment of
the proposal relating to the creation of the super District Council seats.
Similarly, the success or failure of the forthcoming electoral reform hinges
on whether the Government can propose a model for the CE election
which satisfes the democratic aspirations of the people of Hong Kong as
represented by at least a two-thirds majority in the Legislative Council.
In 2013, senior offcials from Beijing and the Hong Kong Government
have repeatedly said that any model for the CE election must be
based on and consistent with the provisions of the Basic Law and the
relevant decisions of the NPCSC. For example, the mode of citizens
nomination of candidates for the CE election proposed by some pan-
democrats and the Alliance for True Democracy is considered to be
inconsistent with the provision on nominations by the Nominating
Committee (NC) in Article 45 of the Basic Law. Offcials have also
pointed out that nominations by the NC are institutional nominations
(nominations by the NC as an institution), which are different in nature
from the procedure of joint nominations by individuals used by the
existing Election Committee for the election of the CE. It has also been
stressed that the Central Government will not appoint as CE someone
who is confrontational towards the Central Government and attempts
to change the socialist political system in mainland China. These
considerations are likely to shape the parameters for the design of the
model for CE election to be proposed by the Government.
The realization of the election of the Chief Executive of the HKSAR
by universal suffrage in 2017 will be no easy task. If politics is the art of
the possible, the project of realizing such universal suffrage would be a
supreme test of the skills, acumen, courage and wisdom of Hong Kong
politicians in practising this art. I believe that it is possible to devise
a model for the CE election which both recognizes the democratic
aspirations of the people of Hong Kong and preserves the prerogatives
of the Central Government in ensuring that the CE of the HKSAR will
not be someone confrontational towards the Central Government. For
example, it is possible to design a nominating system with a relatively
low nomination threshold so that pan-democrats may put forward at
least one candidate for the CE election (as they did in the 2007 and 2012
PAGE 257
Vol 43 Part 3 Hong Kongs Constitutional Moment of 2014 793
elections), and at the same time enabling the Central Government to set
criteria and make determinations as to whether a candidate is acceptable
and appointable from the Central Governments perspective. It is to be
hoped that the people of Hong Kong will fnd such a system acceptable as
a sincere and reasonable attempt to achieve the delicate balance between
one country and two systems.
Albert H.Y. Chen*
Associate Editor, Hong Kong Law Journal
* Professor, Faculty of Law, University of Hong Kong.
PAGE 258
Forthcoming in Public Law, 2014

Hong Kongs Public Consultation on Universal Suffrage

Professor Simon NM Young
Centre for Comparative and Public Law, The University of Hong Kong

The Chief Executive (CE) of the Hong Kong Special Administrative Region (HKSAR) is
selected by elections and appointed by the Central Peoples Government (Basic Law, Art.
45).
1
The size of the electorate, known as the Election Committee, has varied from 400 to
1,200 people. No more than 250,000 persons including corporate bodies have ever been
registered to vote in an Election Committee election. Constitutionally, the selection method
is to be specified in the light of the actual situation in Hong Kong and in accordance with
the principle of gradual and orderly progress (Basic Law, Art. 45). But the ultimate aim is
the selection of the CE by universal suffrage upon nomination by a broadly representative
nominating committee in accordance with democratic procedures (Basic Law, Art. 45).
Annex I to Hong Kongs Basic Law specifies the CE election method.
In December 2007, the Standing Committee of the National Peoples Congress
(NPCSC) decided that the CE election in the year 2017 may be implemented by the method
of universal suffrage, and only after the CE is selected by universal suffrage may the
members of the Legislative Council (LegCo) be elected by universal suffrage. By election
timetables, 2020 is the earliest possible year for the legislature to be democratically elected;
the next election in 2016 can have only incremental reform. If Hong Kong is to realise
universal suffrage in 2017, Annex I must be amended in accordance with the prescribed
formula that requires the endorsement of two-thirds majority of all LegCo members, the
consent of the CE and the approval of the NPCSC.
On 4 December 2013, the Hong Kong government commenced a public consultation
for five months on methods for selecting the CE in 2017 and for forming the LegCo in 2016.
2

The 57-page document, titled Lets talk and achieve universal suffrage, solicits views on 17
specific questions concerning universal suffrage and nine questions concerning LegCo
election reform. It acknowledges that society in general is eagerly looking forward to the
attainment of the aim of universal suffrage, which is the common aspiration of the Central
Authorities, the HKSAR Government and the Hong Kong general public (para. 1.15).
Realising the aim is said to be the constitutional responsibility and an important policy
objective of the current term HKSAR Government (para. 1.15). The questions cover a wide
range of topics including the size, composition, electorate base and method for forming the
nominating committee, the method of nominating CE candidates, voting arrangements for
electing the CE by universal suffrage and procedures for appointing the CE.
While the document is presented in neutral terms with an air of open-mindedness, the
consultation has been criticized as a sham with outcomes pre-determined by Central
Government officials.
3
With repeated references to acting strictly in accordance with the
Basic Law and previous NPCSC decisions, the implicit message is that nominations for CE
candidates will only come from a nominating committee constructed on the basis of the
current Election Committee, which is generally regarded as being insufficiently
representative of the community.
4
There is growing public support
5
for having a power of

1
Simon NM Young & Richard Cullen, Electing Hong Kongs Chief Executive (Hong Kong: HKU Press, 2010).
2
The governments political reform website can be accessed at www.2017.gov.hk.
3
Frank Ching, Political reform consultation fails the test of open debate, South China Morning Post, 31
December 2013.
4
Young & Cullen, above note 1, pp 75-6.
PAGE 259

2
nomination in the people (what has become known as civic nomination), but to the
disappointment of many the consultation document did not canvass this option. It is still
unknown if the respective governments will accept the middle road position, which some
have advocated, that allows civic nominations within a framework of a nominating
committee.
6
Chinese officials have also said that nomination should be by the committee as a
whole, rather than jointly by individual members, which under the current system, with a
nomination threshold of 12.5 percent of Election Committee members, was capable of
producing both pro-establishment and pan-democratic candidates. Whether and how a
system of institutional nomination might change this remains unclear.
Another serious concern is with the timing of the overall reform process. The
document provides no ready-made schedule. Given that local legislation must be in place
before the new legislature is formed in September 2016, there is only a little more than two
years after consultation to complete the six steps required for reform. When only minor
reform was made for the 2012 CE and LegCo elections, the whole process took more than
three years. This time the issues are more complex and weighty. At present, it is far from
clear whether the Hong Kong government will be able to deliver a reform proposal that has
the support of two-thirds of legislators. But so long as the reform process can be directed
rationally towards a small number of central issues, such as civic nomination and the
nomination threshold, compromise and consensus can be achieved within a short period of
time if all parties genuinely share the common aim of realising universal suffrage.

5
Tony Cheung, J ennifer Ngo & J ohnny Tam, Referendum voters back greater public voice in 2017
elections, South China Morning Post, 2 J anuary 2014. See also University of Hong Kongs Design Democracy
Hong Kong website accessible at www.designdemocracy.hk.
6
Albert Chen, Hong Kongs Constitutional Moment of 2014 (2013) 43 Hong Kong Law Journal 791.
PAGE 260
SUMMARIES: PROPOSALS ON NOMINATION AND ELECTORAL PROCEDURES FOR
ELECTION OF HONG KONGS CHIEF EXECUTIVE BY UNIVERSAL SUFFRAGE

Number Proposer Page
1 Scholarism 262
2 Defense of Hong Kong Freedom 262
3 Peoples Power 262-263
4 Alliance for True Democracy 263-264
5 Professor Johannes CHAN SC (Hon) 264
6 Hong Kong Democratic Foundation 265
7 Eric CHEUNG Tat Ming 266
8 Dr. FONG Chi Hang, Brian 266-267
9 Eric LAM Lap Chi 267
10 Joseph WONG Wing-ping GBS JP 268
11 Dr LAW Chi-kwong JP 268-269
12 CHOW Yung, Robert 269
13 Alan HOO, Basic Law Institute 269-270
14 Priscilla LEUNG Mei-fun 270
15 Ronny TONG SC 271-272
16 Professor Albert CHEN Hung-yee 272-273
17 Benny TAI Yiu Ting 274-275
18 Voice of Loving Hong Kong 275-276
19 The Hong Kong Rightfulness Alliance 276
20 LEW Mon-hung 277

*Summary of Proposals as at 16 March 2014
PAGE 261
Proposer: Scholarism

Composition of the Nominating Committee:

The Nominating Committee shall comprise all registered voters (presently 3.5 million voters)

Nomination Procedure and Threshold:

The candidate must obtain signed endorsement of 100,000 registered voters [2.86%]. The
proposal contends that the arrangement adheres to the principle of one-person-one-vote.

Remarks:

Political party membership affiliation shall be permitted for Chief Executive candidates.

Reference:

1. Scholarism Website (http://scholarism.com/?p=3288)

Proposer: Defense of Hong Kong Freedom


The Nominating Committee shall comprise all registered voters (presently 3.5 million voters)


The nomination threshold is set at nomination by 2% of the registered Geographical
Constituency voters.

Reference:

1. The House News (29 July 2013) (https://thehousenews.com/politics/
-)
2. Apple Daily (29 July 2013) (http://hk.apple.nextmedia.com/news/art/20130729/
18353598)
3. Defense of Hong Kong Freedom Facebook (https://www.facebook.com/defendHK
freedom/photos/a.645683978797896.1073741836.486829888016640/625457610820
533/?type=1&theater)

Proposer: Peoples Power


The Nominating Committee shall comprise all popularly elected District Councilor and
Legislative Councilors at present.


The Nominating Committee must endorse ones candidacy if the potential candidate satisfies
the requirement in Article 44 of the Basic Law, and, within a nomination period of at least 4
weeks, satisfies any of the three requirements below:
PAGE 262

(1) Nomination by 1% of the registered Geographical Constituency voters
(approximately 35,000 voters);
(2) Nomination by 5% of all Legislative Councilors; or
(3) Nomination by 5% of all District Councilors.

Voting System:

The election shall employ the two-round, run-off system by universal suffrage. A candidate is
elected as Chief Executive by winning a requisite simple majority (more than 50%) of the
valid votes in the first round. If no candidate wins the requisite simple majority in the first
round, a run-off election (second round) shall be held between the two highest-placed
candidates, in which the candidate with the greater number of valid votes shall be elected as
Chief Executive.

Reference:

1. People Power Website (http://www.peoplepower.hk/tc/article/2013 12 11 -
2017-/20/66/)

Proposer: Alliance for True Democracy


The Nominating Committee can be constituted via the present method for the constitution of
the election committee, but it would be desirable to democratize to a large degree the
composition of the Nominating Committee. The more democratic, the better.


A person is to be nominated as a candidate through any one of the following procedures:

(1) Civil Nomination: A nominee having received the signed endorsement of 1% of the
registered voters shall be endorsed by the Nominating Committee.
(2) Political Party Nomination: Any political party or political group having received 5%
or more of the total valid votes in the last Legislative Council direct election can
independently or jointly nominate one person as nominee. The nominee shall be
endorsed by the Nominating Committee.
(3) Nomination by the Nominating Committee: Members of the Nominating Committee
shall conduct direct nominations.

Candidates nominated via civil nomination and party nomination must ultimately obtain the
endorsement of the Nominating Committee, but the nominating committee shall not refuse to
endorse any legal nominations by civil nomination and political party nomination. Conditions
such as love China, love Hong Kong and no confrontations with Beijing amount to
political censorship and are not permissible in seeking to deny potential candidacies.

Voting System:

PAGE 263
Chief Executive.

Remarks:

The proposers emphasize the need for all three procedures to run in parallel, although the
proposal will not include terms to the effect that all three tracks are indispensable
().

The existing requirement in the Chief Executive Election Ordinance that bans a Chief
Executives political party membership affiliation should be abolished.

Reference:

1. Alliance for True Democracy Website (http://www.atd.hk/wp-content/Election_
Plans/ATD_CE_Election_Plan_ENG.pdf)
2. Apple Daily (9 January 2014) (http://hk.apple.nextmedia.com/news/art/20140109
/18585320)

Proposer: Professor Johannes CHAN S.C. (Hon)


The Nominating Committee shall be comprise 160 members via the same principles
underlying the notion of Four Sectors in the present composition of the election committee.
The first three sectors of the present election committee shall be reflected in the Nominating
Committee by 35 members: the 30 Legislative Councillors returned from the Functional
Constituencies (excluding the 5 Legislative Councillors returned from the District Council
(second) Functional Constituencies), with the addition of a religious leader, a student
representative and three members of the civil service.

The Fourth Sector will be reflected in the Nominating Committee by 125 members: all 36
National People's Congress local deputies; all 31 members of the National Committee of
Chinese People's Political Consultative Conference; 18 elected District Councillors; and the
remaining 40 Legislative Councillors returned from Geographical Constituency direct
elections and the District Council (second) Functional Constituency elections.


A person is to be nominated as a candidate if he or she is endorsed by 20 members (one-
eighth) of the Nominating Committee. Mathematically, the maximum number of candidates
running for office is 8 persons.

Reference:

1. South China Morning Post (5 October 2013) (http://www.scmp.com/news/hong-
kong/article/1324664/legal-scholars-2017-plan-gives-legco-members-voice)
2. Apple Daily (4 November 2013) (http://hk.apple.nextmedia.com/news/art/20131104/
18492617)

PAGE 264
Proposer: Hong Kong Democratic Foundation


(1) By direct election of registered voters electing 3 members in each of the 400 District
Council sub-constituencies by the Single Transferrable Voting system.
(2) Nominating Committee based on 2012 CE election committee with following
changes:
a. All corporate votes replaced by individual votes from staff and management
of companies in each sector
b. All elected district councilors to join the nominating committee
(3) Nominating committee formed through random selection of a statistically
representative sample from all registered voters.


Any Chinese national who is a registered Geographical Constituency voter can become a
potential candidate with nominations from at least 1/8 of the members of the Nominating
Committee or with at least 100,000 nominations from all registered Geographical
Constituency voters.

All candidates once elected to be nominated by the Nominating Committee have to affirm to
abide by the Oath of the Chief Executive Office.

After the closing date for submission of requests for nominations by candidates, the
Nominating Committee (e.g. jointly signed by 100 Nominating Committee members) has
right to evaluate the nominations for compliance with the rules after his or her declaration of
candidacy and make complaint to the Electoral Affairs Commission to start a judicial process
of removing the candidate.

Voting System:

Chief Executive.

Reference:

1. Hong Kong Democratic Foundation Website (http://www.hkdf.org/download/
HKDF_2016_%202017_Elections_Proposal_(Chi_Eng)_v_5.pdf)

PAGE 265
Proposer: Eric CHEUNG Tat Ming


N/A


A multiple-track nomination procedure involving two stages shall be introduced: potential
candidates may first be nominated via routes such as civil and political party nominations,
before subsequently entering the formal procedure through the Nominating Committee.

The Nomination threshold shall be set no higher than one-eighth of the total number of the
Nominating Committee members as adopted by the present election committee.

Reference:

1. Ming Pao (6 December 2013) http://news.hk.msn.com/highlight/
-

Proposer: Dr. FONG Chi Hang, Brian


In accordance with the NPCSC Decision in 2007, and with reference to the present Election
Committee, the Four Sectors shall be retained, expanded and reflected in the Nominating
Committee by a body of 1,500 members.

The Fourth Sector shall expand to include 400 popularly elected District Councilors.

The electorate bases of the First and Third Sectors shall be expanded: corporate votes in the
First Sector shall be replaced by votes via individual directors of body corporates; union votes
in the Third Sector shall be replaced by votes via individual union members.


The nomination procedure involves two statutory stages:

(1) First stage civil nomination:

A person qualifies as a potential candidate upon the satisfaction of Article 44 of the
Basic Law and upon the collection of jointly signed endorsements of 100,000
registered voters (approximately 3% of the total number of registered voters).

This is a necessary and singular route through which all aspiring potential candidates
must go. This ought to be included in the Appendix to Basic Law and the Chief
Executive Election Ordinance.

(2) Second stage nomination via the Nominating Committee

In accordance with Article 45 of the Basic Law and the principle of organizational
nomination, the Nominating Committee shall pass a resolution to nominate a
potential candidate as an official Chief Executive candidate upon his/her collection of
PAGE 266
10% of the votes (150 members) in the Nominating Committee. Each member of the
Nominating Committee shall have 1 vote. In theory, the Nominating Committee may
nominate no more than 10 persons as official Chief Executive candidates.

Voting System:

The election shall employ the two-round system by universal suffrage. A candidate is elected
as Chief Executive by winning a requisite simple majority (more than 50%) of the valid votes
in the first round. If no candidate wins the requisite simple majority in the first round, a run-
off election (second round) shall be held between the two highest-placed candidates, in which
the candidate with the greater number of valid votes shall be elected as Chief Executive.

Appointment:

The proposal suggests adding a fourth subsection to Chief Executive Election Ordinance (Cap
569) Section 4 that the office of the Chief Executive becomes vacant if the Central
Peoples Government does not confer the Certificate of Appointment on the Chief Executive
Elect within one month of the election results. The election results shall then be nullified and
the HKSAR Government must reinstate nomination and election procedures within 3 months.

Proposer: Eric LAM Lap Chi


With reference to the 2016 Legislative Council General Election, the percentage of the total
number of valid votes all candidates from a political party obtain from Geographical
Constituency direct elections shall determine the proportion of seats the political party gets in
the Nominating Committee. For instance, in the 2012 Legislative Council General Election,
each percent (1%) of the total number of valid votes (18,400 votes out of a total of 1,840,000
votes) shall ensure one percent (1%) of the seats in the Nominating Committee (12 seats out
of a total of 1,200).


Any political party representative nominated by no less than one-eighth, and no more than
one-sixth, of members of the Nominating Committee (i.e. no less than 150, and no more than
200, members) shall qualify as a candidate running for office.

Voting System:

Chief Executive.

Reference:

1. Pentoy (30 October 2013) (http://www.pentoy.hk/ / /
/mpforum2013/2013/10/30//)

PAGE 267

Proposer: Joseph WONG Wing-ping GBS JP


The Nominating Committee shall comprise, and only comprise, all members of the 2016
Legislative Council.


A person qualifies as a candidate if he is nominated by at least 10 members of the Nominating
Committee (i.e. 10 Legislative Councilors). Each Legislative Councilor can only nominate
one person.

Voting System:

candidates, in which the candidate with more votes shall be elected as Chief Executive.

Appointment:

If the Chief Executive Elect dies before the appointment by the Central Peoples Government,
or if the CPG does not appoint the Chief Executive Elect, the election results shall then be
nullified and the HKSAR Government must reinstate the election procedures.

Reference:

1. Hong Kong Economic Journal (11 September 2013) (http://forum.hkej.com/node/
105329)

Proposer: Dr LAW Chi-kwong JP


The Nominating Committee shall comprise the present Election Committee with the addition
of 300 District Councilors, thus having a total of 1,500 members.


A person shall qualify as a potential candidate with the signed endorsement of 2% of the total
number of registered voters. Subsequently, by way of secret ballot, members of the
Nominating Committee shall each have one vote to vote for the potential candidate of their
choice. Potential candidates who obtain one-eighth of the votes in the Nominating Committee
shall be declared a candidate running for office.

Reference:

1. The House News (22 August 2013) (https://thehousenews.com/politics/
--/)
PAGE 268
2. Singtao Daily (1 October 2013) (http://news.singtao.ca/toronto/2013-10-
01/hongkong1380615211d4724307.html)

Proposer: CHOW Yung, Robert


The Nominating Committee shall be constituted in the same method the present Election
Committee is constituted, with the inclusion of all 400 popularly elected District Councilors
the number of the Nomination Committee members will thus be increased to 1,600 people.


The nomination process shall involve two stages. Firstly, eligible personnel must obtain at
least 30, and at most 80, votes from the Nominating Committee, members of which each have
1 vote, in order to be a potential Chief Executive candidate.

In the subsequent stage, the plurality-at-large voting method is to be employed. Members of
the Nomination Committee, each having 3 votes, shall cast votes for their preferred
potential Chief Executive candidate. The top three potential Chief Executive candidates
obtaining the most votes shall be nominated as Chief Executive candidates.

Reference:

1. Sing Pao (14 January 2014) (http://www.singpao.com/xw/gat/201401/t20140114_
484064.html)

Proposer: Alan HOO, Basic Law Institute


The Nominating Committee shall be constituted in the same method the present Election
Committee is constituted, with the inclusion of all District Councilors the number of the
Nomination Committee members will thus be increased to 1,500 people.

Due to the significant increase in members, it is proposed that the Fourth Sector, under the
present classification in the Election Committee, be subdivided into Fourth Sector (I) and
Fourth Sector (II). The Fourth Sector (I) shall include 230 District Councilors and the 70
Legislative Councilors; the Fourth Sector (II) shall include the other 195 District Councilors,
all 36 National Peoples Congress local deputies, and the 69 members of the Chinese People's
Political Consultative Conference (in both the National Committee and regional committees).

The proposal further suggests fine-tuning the balance among the existing 38 largely trade-
based subsectors, for instance reducing the number of seats for agriculture and fisheries from
60 to 10 to make room for new subsectors for young people and women (each with 12 seats).
It is further proposed to categorize the Heung Yee Kuk under the Third Sector instead of its
original Fourth Sector.

Corporate voting in some subsectors, which gave some members multiple votes, should also
be reviewed.

PAGE 269

Any person who obtains the nomination of one member of the Nominating Committee, which
is seconded by another member, shall qualify as a potential candidate.

The Nominating Committee would then conduct a pre-election amongst the potential
candidates by block voting to return three or four official candidates for one-round election
by universal suffrage.

Reference:

1. Hong Kong Economic Journal (15 July 2013) (http://forum.hkej.com/node/103447)
2. Singtao Daily (15 July 2013) (http://m.singtao.com/showContent.php?
main=paper&sub=1&title=&page=0&StrContentId=20130715a12)
3. South China Morning Post (15 July 2013) (http://www.scmp.com/print/news/hong-
kong/article/1282658/basic-law-institute-counters-alliance-true-democracys-
electoral)

Proposer: Priscilla LEUNG Mei-fun


The Nominating Committee shall resemble the present Election Committee and its Four
Sectors. The number of committee members should be increased pro rata across Four Sectors
each sector should incorporate an additional 100 members, making the total number 1,600
members.

The proposal contends that the electorate bases of the Nominating Committee should be
enlarged, and that a prescribed number of Nominating Committee members should be
returned via civil or political party nominations. The proposal raises the example of including
licensed estate agents in the Real Estate and Construction subsector within the First Sector.
Similar arrangements would increase the electorate base from 240,000 voters to 1 1.5
million voters.


The procedure involves two stages:

In the first stage, a person has to be nominated by a member of the Nominating Committee in
his or her personal capacity to be a potential candidate. The maximum number of potential
candidates after the first stage is 8 people.

In the second stage, the Nominating Committee shall nominate, in its collective capacity,
among the 8 potential candidates, 3 to 5 people to be an official candidate running for
election. It is not necessary for the official candidates to obtain a simple majority of
nominations within the Nominating Committee, but the nominations he or she obtains must
adequately represent the Four Sectors.

Reference:

1. Singtao Daily (14 January 2014) (http://news.singtao.ca/toronto/2014-01-
14/hongkong1389685702d4873794.html)

PAGE 270

Proposer: Ronny TONG SC


Nominating Committee shall be formed with reference to the Election Committees current
composition consisting of the Four Sectors, with its representation broadened as
recommended below:

The first sector

1. The Financial Services subsectors electorate base should be broadened to include
all financial services practitioners in the previous year;
2. The Insurance subsectors electorate base should be broadened to include all
insurance practitioners in the previous year;
3. The Tourism subsectors electorate base should be broadened to include all tourism
members in the previous year;
4. All corporate or institutional voters of these sectors should be eliminated.

The second sector

5. The Architectural, Surveying and Planning subsectors electorate base consisting of
members entitled to vote at general meetings should be broadened to include all
members.
6. The Chinese Medicine subsectors electorate base consisting of members entitled to
vote at general meetings should be broadened to include all members.
7. The Engineering subsectors electorate base consisting of members entitled to vote
at general meetings should be broadened to include all members.
8. The Information Technology subsectors electorate base consisting of members
entitled to vote at general meetings should be broadened to include all members. All
corporate voters should be eliminated.

The third sector

9. The Social Welfare subsectors electorate base should be broadened to include all
practitioners in the previous year. All corporate voters should be eliminated.
10. The Sports, Performing Arts, Culture and Publication subsectors electorate base
should be broadened to include all members in the previous year. All of the current
subsector voters will thus be unnecessary and should be eliminated.

The fourth sector

11. All elected members of the District Council should be ex-officio members of the
Nominating Committee. All of the current District Council members
representatives will thus be unnecessary and should be eliminated.

It is expected that the electorate bases for the first three sectors would expand from the
current 200,000 people to 1 million people. The above change shall transform the 1,200
member Election Committee into a 1,514 member Nominating Committee.

PAGE 271

The nominating threshold is to remain at 150 members, while a nominating ceiling is to be
imposed at 200 members, so that the number of Chief Executive candidates will be limited to
7 to 10.

Voting System:

The election shall employ the instant-runoff voting system by universal suffrage. Voters may
either vote for a single candidate, or instead rank the candidates in order of preference on
their ballots.

Ballots are initially distributed based on each elector's first preference. If a candidate secures
more than half of votes cast, that candidate wins. Otherwise, the candidate with the fewest
votes is eliminated. Ballots assigned to the eliminated candidate are recounted and assigned to
those of the remaining candidates who rank next in order of preference on each ballot. This
process continues until one candidate wins by obtaining more than half the votes.

Remarks:

Political party membership affiliation shall be permitted for Chief Executive candidates.

Reference:

1. Apple Daily (5 December 2013) (http://hk.apple.nextmedia.com/news/art/20131016/
18465377)
2. Ronny Tong Reform Package Facebook (https://www.facebook.com/notes/
/an-initial-proposal-for-election-of-the-chief-executive-by-universal-
suffrage/475259502584635)

Proposer: Professor Albert CHEN Hung-yee


The Nominating Committee shall retain the Four Sectors with reference to the present
Election Committee and expand its composition.

The proposal suggests the abolishment of corporate votes (in the First Sector) and union votes
(in the Third Sector) in advocacy of individual votes (enabling individual directors of the
body corporate and individual union members to vote respectively). This ensures that the
electorate bases of the first three sectors increases from the current 200,000 people to
approximately 600,000 people. All popularly elected District Councilors shall be included in
the Fourth Sector.


The organizational/collective nomination procedure involves two stages:

The first stage requires an aspirant, upon the satisfaction of Article 44 of the Basic Law and
the Chief Executive Election Ordinance, to obtain the jointly signed endorsement of a
prescribed number of members in order to qualify as a potential candidate. The prescribed
number is one-eighth of the total number of members in the Nominating Committee.

PAGE 272
The second stage involves the democratic procedures two scenarios can be elaborated
depending on the result of the first stage:

(1) If the first stage yields no more than 5 potential candidates, then members of the
Nominating Committee, on a one-person-one-vote basis, shall vote for their preferred
potential candidates in the second stage. Should the potential candidate obtain no less
than one-eighth of the total votes, he or she qualifies as an official candidate running
for election.
(2) If the first stage yields more than 5 potential candidates, then members of the
Nominating Committee, on a one-person-one-vote basis, shall vote for their preferred
potential candidates in the second stage. The top 5 potential candidates with the most
votes, and has each obtained no less than one-eighth of the total votes, qualify as
official candidates running for election.

Voting System:

The election shall employ the instant-runoff voting system, proposed by Mr Ronny Tong, by
universal suffrage. Voters may either vote for a single candidate, or instead rank the
candidates in order of preference on their ballots.

Ballots are initially distributed based on each elector's first preference. If a candidate secures
more than half of votes cast, that candidate wins. Otherwise, the candidate with the fewest
votes is eliminated. Ballots assigned to the eliminated candidate are recounted and assigned to
those of the remaining candidates who rank next in order of preference on each ballot. This
process continues until one candidate wins by obtaining more than half the votes.

Appointment:

Once the election is over, the Central Peoples Government may exercise its power to appoint
under Article 45 of the Basic Law. Prior to such exercise, the Central Peoples Government
may, in advance, make known the list of criteria, guidelines or relevant considerations for the
purposes of appointment.
Upon the end of the election, should the Central Peoples Government find that the Chief
Executive Elect unsatisfactory with reference to the said list of criteria, guidelines or relevant
considerations, the Central Peoples Government may elect not to appoint the Chief
Executive Elect, but instead appoint the candidate with the second highest number of votes.

If the Central Peoples Government does not appoint the Chief Executive Elect within 3
months of the election results, the election results shall then be nullified and the HKSAR
Government must reinstate the election procedures (including the nomination procedures).

Reference:

1. Sina News (with reference to Singtao Daily) (30 November 2013)
(http://news.sina.com.hk/news/20131130/-2-3129828/1.html)
2. Harbour Times (20 December 2013) (http://harbourtimes.com/openpublish/photo-
gallery/overview-proposals-2017-ce-election-click-image-enlarge#overlay-
context=photo-gallery/overview-proposals-2017-ce-election-click-image-enlarge)
3. Apple Daily (5 December 2013) (http://hk.apple.nextmedia.com/news/art/20131205/
18537777)

PAGE 273
Proposer: Benny TAI Yiu Ting


N/A


Four sets of nomination procedures are set out by way of confirmation or non-
confirmation:

(1) In accordance with law, the Nominating Committee shall pass a resolution to
collectively nominate all potential candidates arisen through civil nomination.

collectively nominate all potential candidates who have obtained the jointly signed
endorsement of a prescribed threshold (for example, one-tenth or one-eighth) of
members of the Nominating Committee, including those arisen through civil
nomination.

(3) The law shall prescribe the statutory limit of candidates running for election (for
example, 8). The Nominating Committee shall hold a poll, in which members each
have one vote to cast for their preferred potential candidate the list of potential
candidates, from which members choose, should include potential candidates arisen
through civil nomination.

In accordance with law, the Nominating Committee shall pass a resolution to
collectively nominate the prescribed number of potential candidates (8 people) who
obtain the most votes, provided that:

a. The number of votes he or she wins in this poll reaches the statutory
threshold (for example, one-eighth of the total number of votes/members of
the Nominating Committee).

b. His or her ranking, by reference to the number of votes he or she wins, falls
within the prescribed limit of candidates.

collectively nominate all potential candidates put forward, regardless of the means by
which they were initially nominated, with the exception of those whom the
Nominating Committee has confirmed as unfit candidates (thus non-confirmation of
candidacy) according to the set of prescribed statutory procedures.

The statutory procedures for non-confirmation of candidacy must include the
following:

a. The law must define with clarity and without ambiguity the objective
standard for not confirming the candidacy of a potential candidate, and the
requirements must be related to the duties and responsibilities of the winner
of the election.

b. There must be sufficient evidence to support the allegation that the alleged
potential candidate has already committed, in rather definitive terms, an act
PAGE 274
or omission in violation of the standards and requirements in the preceding
sub-paragraph.

c. The motion to initiate a non-confirmation of candidacy must be proposed
jointly by a statutory threshold (for example, one-fourth) of Nominating
Committee members. The particulars of the allegation should be attached to
the motion in prescribed formats.

d. An independent investigation body commissioned by the Nominating
Committee, , the members of which would ideally be members of the
judiciary, shall carry out the official investigation into the matter. The
investigation process must be just, fair, impartial and transparent. The
investigation process must take place within a statutorily prescribed
timeframe (for example, a month) in an open manner, so that the alleged
potential candidate has reasonable and sufficient opportunity to defend. The
independent investigation body shall rule in relation to the allegation only
when it has comprehensive and sufficiently accurate evidence.

e. Should the independent investigation body rule against the potential
candidate, the Nominating Committee may pass the motion of non-
confirmation of candidacy by a statutory threshold (for example, three-
quarter) and deny the said person candidacy.

Reference:

1. Occupy Central with Love and Peace Website (http://oclp.hk/index.php?route=
occupy/article_detail&article_id=89)
2. Sina News (with reference to Ming Pao Daily) (http://news.sina.com.hk/news/
20131213/-6-3140513/1.html)
3. Oriental Daily (14 December 2013) (http://orientaldaily.on.cc/cnt/news/20131214/
00176_028.html)

Proposer: Voice of Loving Hong Kong


The Nominating Committee shall build on the present Election Committee of 1,200 members,
and expand its membership to 2,400 members, the electorate base of which shall be more
representative.

Each sub-sector under the First and Second Sectors shall be entitled to doubling the number
of seats they presently have in the Election Committee, thereby having a total of 1,200
members from the First and Second Sectors. The electorate base of the First Sector shall
extend to directors of body corporates, whereas that of the Second Sector shall include
personnel with the relevant recognized professional certification.

Sub-sectors in Construction, Tourism, Logistics, Catering and Wholesale and Retail shall be
included in the Third Sector. The electorate bases shall include all trade and labor union
members from the sub-sectors. The Third Sector shall return 600 members.

The Fourth Sector shall expand to include all Hong Kong members of the National
Committee of the Chinese People's Political Consultative Conference, as well as all District
Councilors, returning 600 members.
PAGE 275


The nomination process shall involve two stages. Firstly, a person must obtain the support of
at least 300, and no more than 400, members of the Nominating Committee to qualify as a
potential candidate.

Secondly, the Nominating Committee would conduct a pre-election amongst the potential
candidates to return four official candidates for election via universal suffrage. Each member
of the Nominating Committee shall have 4 votes. The Nominating Committee shall nominate
the top four candidates as official candidates running for office.

Reference:

1. Sina News (15 February 2014) (http://news.sina.com.hk/news/20140215/-2-
3190025/1.html)
2. Wen Wei Po (16 February 2014) (http://paper.wenweipo.com/2014/02/16/
HK1402160015.htm)

Proposer: The Hong Kong Rightfulness Alliance


The Nominating Committee shall build on the present Election Committee of 1,200 members,
and expand its membership to 2,429 members, the electorate base of which shall be more
representative. The Four Sectors shall be retained.

The First, Second and Third Sectors shall each be entitled to doubling the number of seats
they presently have in the Election Committee, thereby having 1,800 members (600 each) for
the three Sectors in total.

The Fourth Sector shall expand to include all popularly elected District Councilors and Heung
Yee Kuk, returning 629 members.

All corporate votes will be replaced by individual votes.


The nomination process shall involve two stages. To qualify as a first-round Chief Executive
candidate, a person must obtain the signed endorsement of no less than 150, and no more than
200, members of the Nominating Committee.

If there are more than 3 eligible first-round Chief Executive candidates, the Nominating
Committee shall hold a second-round poll, members of which shall each have one vote. The
three first-round candidates with the highest number of votes shall qualify as the official
Chief Executive candidates, returned for election by universal suffrage.

Reference:

1. Ta Kung Pao (4 March 2014) (http://news.takungpao.com.hk/paper/q/2014/0304/
2319101.html)

PAGE 276
Proposer: LEW Mon-Hung


With reference to the composition of the present Election Committee, i.e. by incorporating the
Four Sectors on a pro rata basis, the Nominating Committee shall be the only statutory
nomination body consisting of 1,200 or 1,600 members.

Representation of certain sub-sectors within the Four Sectors may be adjusted. For instance,
the working population within Agriculture and Fisheries, or in the alternative, the GDP
contribution by the said sub-sector, is not as high as 5%, and should not warrant 60 seats in
the 1,200-strong Nominating Committee as it did in the previous Election Committee.

The electorate base of the Nominating Committee shall be more representative. All corporate
votes will be replaced by individual votes of employees and workers.


The nomination process may be set with reference to the process by which Chief Executive
candidates for the past four terms were nominated, i.e. qualifying as an official candidate by
obtaining the signed endorsement of one-eighth of the members of the Nominating
Committee. All candidates are then subject to popular election via universal suffrage. The
Central Peoples Government shall decide whether or not to appoint the Chief Executive
Elect.

There is no upper limit as to the number of candidates running for office. In practice, there
will only be 2 to 3 candidates nominated.

Reference:

1. Ming Pao (12 March 2014) (http://news.mingpao.com/20140312/faa1.htm)

PAGE 277

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This Brief was prepared by Research Assistant for the project, Mr Byron Chiu (J uris Doctor Candidate)

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