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Brazil

In law
76
In practice
47

Brazil, in law and in practice, provides a good deal of direct public funding to parties during campaigns. Indirect funding, in the form of free access to advertising on public and private media, is equitably provided to both parties and candidates. Non-financial state resources, in spite of a ban on their use during campaigns, are often deployed for electoral gain. With the exception of cash donations, most forms of contribution are subject to a limit, but expenditure is essentially uncapped, as parties are supposed to set and adhere to their own unique spending limits. This leads to a situation in which parties stipulate extremely high spending limits that enable huge amounts of campaign expenditures. Limits on contributions are often contravened in practice. In law, parties are subject to extensive reporting requirements, and candidates are supposed to report detailed information during campaigns. In practice, political actors often fail to comply with these requirements, and many reports omit contributions. Submitted reports are made available online, but not all are in standardized, machine readable formats. Violations of political finance laws, including vote buying, were frequent during the 2010 elections. The independent activities of third party actors are not regulated, and many such organizations actively participate in campaigning. The Superior Electoral Court (TSE) is charged with monitoring and enforcing political finance laws, and in practice, the TSE is mostly independent, with appointments made based on merit. It has limited capacity due to the scope of its work, but still carries out investigations into violations, and imposes sanctions on violators. However, only some of these sanctions are complied with, and violations continue to occur.

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    Direct and Indirect Public Funding

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      Direct Public Funding
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        1
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        MODERATE
        In law, there is direct public funding for electoral campaigns.More about indicator

        According to the Political Parties' Law 9.096 (Art. 38), political parties receive money from a public fund called “Fundo Partidário” (Party Fund), and they use most of it to finance their candidates during elections (the money is also used to maintain the party itself). Candidates do not receive funding directly.

        The Party Fund is funded by (Politicial Parties' Law 9.096, Article 38): "I - monetary fines and penalties imposed pursuant to the Electoral Code and related laws; II - financial resources allocated to it by law on permanent or temporary fashion; III - donations from individuals or entities made through bank deposits made directly into the account of the Party Fund; IV - appropriations from the Union budget, in amount never inferior, for each year, to the number of registered voters as of December 31 of the year preceding the budget proposal, multiplied by thirty-five cents of Real [Brazilian currency] in August 1995 rates." (Parties Law, Article 38)

        Parties and candidates also have access to free air time on TV and radio, paid by the state (via tax benefits). Public funding is restricted to political parties (even though both parties and individual candidates can receive votes); the distribution is as follows:

        "Five percent (5%) of the total amounts of the Party Fund shall be separated for distribution, in equal shares, to all parties who have registered their statutes in the Superior Electoral Court, and ninety five percent (95%) of the total amounts of the Party Fund shall be distributed to them at the proportion of the votes obtained in the last general election for the Chamber of Deputies." (Article 41-A)

        The same regulations govern all elections in Brazil: Presidential, National Congress, Gubernatorial, States and Federal District Parliaments, Mayors and City Councils.

        Scoring Criteria

        A YES score is earned where there is direct public funding for both political parties and individual candidates to campaign. A 100 also applies where only one of the two actors can be elected and, therefore, only one is entitled to direct public funding.

        A MODERATE score is earned where per law only one of the two actors (either political parties or individual candidates) is allocated direct public funding to campaign, even though both can be elected.

        A NO score is earned where no such law exists.

        Sources

        Resolução nº 23.406 do Tribunal Superior Eleitoral, Article 19. 2014. Link: http://www.tse.jus.br/eleicoes/eleicoes-2014/normas-e-documentacoes/resolucao-no-23.406

        Lei das Eleições - Elections Law - Lei nº 9.504, Article 20; Article 47, Article 99. 1997. Link: http://www.tse.jus.br/legislacao/codigo-eleitoral/lei-das-eleicoes/lei-das-eleicoes-lei-nb0-9.504-de-30-de-setembro-de-1997

        Lei dos Partidos Políticos - Political Parties' Law - Lei nº 9.096, Article 41-A, Article 40 (Paragraph 1). 1995. Link: http://www.tse.jus.br/legislacao/codigo-eleitoral/lei-dos-partidos-politicos/lei-dos-partidos-politicos-lei-nb0-9.096-de-19-de-setembro-de-1995

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        2
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        MODERATE
        In law, there is a transparent and equitable mechanism to determine direct public funding for electoral campaigns.More about indicator

        The “Party Fund” (public money given to parties and used by them to finance their candidates) has a very transparent and equitable mechanism. According to the Political Parties' Law 9.096 (Art. 41-A), it works as follows: 5% of the money is separated for distribution, in equal shares, to all parties who have registered their statutes in the Superior Electoral Court; and the remaining 95% is distributed to them at the proportion of the votes obtained in the last general election for the Chamber of Deputies. The National Treasury deposits monthly apportionments, and each party’s share is published on the oversight authority’s website (www.tse.jus.br), according to the Political Parties' Law 9.096, Art. 40.

        The air time on TV and radio (paid by the state via tax compensations) is similarly divided: 1/3 is separated for equal distribution to all parties; the remaining 2/3 is distributed at the proportion of the number of representatives in the last general election for the Chamber of Deputies (Elections Law - 9.504, Art. 47).

        The same regulations govern all elections in Brazil: Presidential, National Congress, Gubernatorial, States and Federal District Parliaments, Mayors and City Councils.

        Scoring Criteria

        A YES score is earned where: 1) direct public funding for political parties and individual candidates' electoral campaigns is allocated through a clearly defined calculation mechanism that is transparent and equitable, and 2) there are clearly defined eligibility criteria.

        A MODERATE score is earned where direct public funding for political party and individual candidates' electoral campaigns is allocated through a clearly defined calculation mechanism that is transparent and equitable, but eligibility criteria are not clearly defined.

        A NO score is earned where no such law exists.

        Sources

        Lei dos Partidos Políticos - Political Parties' Law - Lei nº 9.096, Article 41-A, Article 40 (Paragraph 1). 1995. Link: http://www.tse.jus.br/legislacao/codigo-eleitoral/lei-dos-partidos-politicos/lei-dos-partidos-politicos-lei-nb0-9.096-de-19-de-setembro-de-1995

        Lei das Eleições - Elections Law - Lei nº 9.504, Article 47 (§ 2º). 1997. Link: http://www.tse.jus.br/legislacao/codigo-eleitoral/lei-das-eleicoes/lei-das-eleicoes-lei-nb0-9.504-de-30-de-setembro-de-1997

        Other relevant source: Parties’ monthly installments per year. Link: http://www.tse.jus.br/partidos/fundo-partidario (Click in “Distribuição em 2014” and/or “Distribuição em anos anteriores” for previews years).

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        75
        In practice, to what extent is the mechanism to determine direct public funding for electoral campaigns transparent, equitable and consistently applied?More about indicator

        In practice, the mechanism to determine direct public funding for electoral campaigns is indeed transparent, equitable and consistently applied: 1) The resources for the fund itself are guaranteed by law -- there is no risk of the state running out of money and not allocating funds for parties in a given year; 2) there are no exceptions, and each party receives their share according to the law.

        "I do not know any case of problems with allocation of the Party Fund. The legislation is very well defined, specially when compared to other countries, where sometimes not even the whole amount is defined by law", says Bruno Speck, professor at University of Sao Paulo.

        There are no news regarding misallocation or exceptions made for specific parties. According to a news article published by Contas Abertas, a Brazilian watchdog group that scrutinizes public budgets, everything is distributed according to the law.

        Even newly-created parties are entitled to receive money from the Party Fund, as shows a news article published at O Estado S.Paulo, one of Brazil's most important newspapers.

        As explained in indicators 1 and 2, no public funding is distributed to candidates.

        Scoring Criteria

        A 100 score is earned where: 1) electoral campaigns allocations are always defined through a clearly defined transparent and equitable calculation mechanism, and 2) the defined eligibility criteria are applied consistently.

        A 50 score is earned where: 1) electoral campaign allocations are usually defined through a clearly defined transparent and equitable calculation mechanism but exceptions exist, or 2) the eligibility criteria are usually applied but exceptions exist.

        A 0 score is earned where: 1) political campaign allocations are rarely or never defined through a clearly defined transparent and equitable calculation mechanism, or 2) the defined eligibility criteria are rarely applied.

        Sources

        Bruno Wilhelm Speck, professor at University of Sao Paulo and specialist in political financing. Date of the interview: August 1st 2014.

        News: Partidos receberam quase R$ 300 milhões do Fundo Partidário em 2013 / Parties received almost R$ 300 millions from Party Fund; author: Dyelle Menezes; Contas Abertas website; April 29th 2014; http://www.contasabertas.com.br/website/arquivos/8426#sthash.D1QH5azL.dpuf

        TSE inclui Solidariedade no cálculo do rateio do Fundo Partidário / Superior Electoral Court authorizes Solidariedade (newly-created party) to receive money from Party Fund; author: Ricardo Britto; O Estado de S.Paulo - Estadao; January 13th 2014; http://politica.estadao.com.br/noticias/geral,tse-inclui-solidariedade-no-calculo-do-rateio-do-fundo-partidario,1118026

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        75
        In practice, to what extent does the entity in charge of public funding make disbursement information publicly available?More about indicator

        The information is publicly available less than one month after disbursement, at the Superior Electoral Court's website. For instance: the money disbursed in the beginning of August is already published by August 26th.

        As explained in indicators 1 and 2, no public funding is distributed to candidates.

        Scoring Criteria

        A 100 score is earned where: 1) complete information on the disbursements is published less than a month after disbursement, and 2) the information is available on the Internet for free or in hard copy at photocopying cost.

        A 50 score is earned where: 1) the information published is incomplete or published more than two months after disbursement, or 2) obtaining the information costs more than photocopying.

        A 0 score is earned where: 1) disbursement information is published more than four months after disbursement, or 2) no disbursement information is published or released upon request.

        Sources

        Parties’ monthly installments per year: Link: http://www.tse.jus.br/partidos/fundo-partidario (Click in “Distribuição em 2014” and/or “Distribuição em anos anteriores” for previews years).

        Bruno Wilhelm Speck, professor at University of Sao Paulo and specialist in political financing. Date of the interview: August 1st 2014.

        Claudio Weber Abramo, head of Transparencia Brasil, a nonprofit watchdog group that fights corruption; Date of the interview: July 30th 2014.

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      Indirect Public Funding
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        5
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        YES
        In law, use of state resources in favor of or against political parties and individual candidates is prohibited.More about indicator

        Use of state resources in favor of candidates or parties is strictly prohibited. According to the Elections Law, public agents are forbidden to: “I) transfer or use, for the benefit of a candidate, political party or coalition, movable or immovable property belonging to the direct or indirect administration at the Federal, State, Federal District, Territory or Municipality government levels, except for holding party Conventions"; "II) II - use materials or services paid for by Governments or Legislative Houses that exceed the prerogatives enshrined in the regulations and standards of the bodies that compose them"; "III - allocate public servants or employees of the direct or indirect administration of the Executive Branch at the federal, state or municipal levels, (or use such civil servant or employee's services) to work for electoral campaign committees of a candidate, political party or coalition during normal business hours, except whether the civil servant or employee is on leave from his/her position"; "IV - make or allow promotional use of the free distribution of goods and services of social nature paid or subsidized by the Government in favor of a candidate, political party or coalition"; "V - appoint, hire or otherwise admit, dismiss without cause, remove or retroactively alter advantages or otherwise hinder or prevent functional exercise, and also, ex officio, remove, transfer or dismiss a public servant in the election district during the three months that precede the inauguration of those elected and until such inauguration, under penalty of nullity of the right to take office” (with some exceptions)". "VI - in the three months preceding the election: a) conduct voluntary transfers of federal funds to states and municipalities, and from states to municipalities, under penalty of nullity under the law, except for the resources earmarked to meet preexisting formal obligation to perform ongoing works or services with prefixed schedules, as well as those intended to meet public emergency and calamity situations; b) with the exception of advertising of products and services that have market competition, authorize institutional advertising of acts, programs, public works, services and campaigns by federal, state or municipal public agencies or by indirect administration entities, except in cases of serious and urgent public need thus recognized by the Electoral Justice; c) make pronouncements on radio and television stations outside of free electoral publicity time, except when considered, at the discretion of the Electoral Court, an urgent, relevant and characteristic matter of government functions"; "VII - realize expenses with advertising for federal, state or municipal agencies or their indirect administration entities during the term fixed in the previous section which exceed the average spending in the three years preceding the election or the last year before the election. VIII - to conduct a general review, within the jurisdiction of the election, of the remuneration earned by civil servants which exceeds the recovery of losses made throughout the election year, beginning on the deadline established in Article 7 of this Law and until inauguration of those elected."

        The same regulations govern all elections in Brazil: Presidential, National Congress, Gubernatorial, States and Federal District Parliaments, Mayors and City Councils.

        Scoring Criteria

        A YES score is earned where there is an explicit ban on the use of state resources in favor of or against political parties and individual candidates. A YES is also earned where there are clearly defined exceptions, which are accessible to all actors equally.

        A MODERATE score is earned where an explicit ban exists but it only applies to one of the two actors, even though both can be elected. A NO score is earned where no such law exists.

        A NO score is also earned where the law exists, but allows discretionary exceptions.

        Sources

        Lei das Eleições - Elections Law - Lei nº 9.504, Article 73. 1997. Link: http://www.tse.jus.br/legislacao/codigo-eleitoral/lei-das-eleicoes/lei-das-eleicoes-lei-nb0-9.504-de-30-de-setembro-de-1997

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        0
        In practice, to what extent are no state resources used in favor of or against political parties and individual candidates' electoral campaigns?More about indicator

        There is evidence of the use of state resources in favor of political parties and individual candidates' electoral campaigns.

        Since no entity collects this kind of data, it is not possible to provide the exact number of lawsuits or impeachments caused by the ilegal use of state resources. However, according to the Regional Electoral Court of the state of Sao Paulo eight mayors were impeached after the last municipal elections (2012) due to the use of state resources in electoral campaigns (see attached file). There are 645 cities in Sao Paulo, which means that more than 1% of mayors were impeached for that reason. This sort of issue crops up all over Brazil. In the South region, for instance, there are news about city counselors impeached for that reason (see sources). In the Southeast, North and Northeast regions, several news articles report the impeachment of small cities' mayors for using state resources.

        According to Silvana Batini, the misuse of state resources during elections occur in both national and subnational levels, but the situation is worst in the cities, since they have less infrastructure to enforce the law and curb this kind of behavior.

        The Elections Attorney José Alfredo Silva says the same in a news article (see sources). "What worries me the most is the situation in municipalities, because there is no oversight by the press, as happens in the capital of the state. There is no exposure. I worry about that habit of supporting party allies and political godfathers". He adds this, regarding the 2012 elections (for mayors and city councilors): "We saw sad episodes in the 2012 election of using government resources in favor of candidates trying re-election or in favor of political allies. I fear this may happen again this year [2014], even in smaller scale, to support a particular candidate, a parliamentary that supports the region. I think we should remain attentive to that." Politicians misuse state resources for their own benefit also during national elections In Rio de Janeiro, several state representatives running for reelection in 2014 are accused of using social centers during 2010's elections (last national elections) to gain votes. Two candidates for state governments in 2014's elections were impeached por using state resources in previous mandates as governors trying reelection: Cassio Cunha Lima, from the state of Paraiba (Northeast of Brazil), and Marcelo Miranda, from the state of Tocantins (Central region of Brazil). Both of them commited the crime in the 2006's elections, were impeached in 2009 and are trying to be reelected in 2014.

        There are news articles about the use of state resources by the president Dilma Rousseff, who seeks reelection in 2014's elections. According to a news article published at Folha de S.Paulo, government officials are being gathered told to help Dilma with her campaign. Also according to the article, though, officials were told to not use state resources (such as cars) in the campaigning.


        Peer reviewer comment: Agree. In the 2014 elections, president Dilma Rousseff, of the Partido dos Trabalhadores (PT, Worker's Party), up for reelection, was accused of using the mail services (Correios) in an illegal manner. 4,8 million campaign pamphlets were distributed without an official stamp that would indicate how many pamphlets actually reached citizens – this, according to lawyers interviewed by journalists (see links 1 and 2 below), constitutes, at the very least, an administrative irregularity and may harm political competition. I sincerely doubt, however, that this will make a dent in the upcoming October 5 elections.

        President Rousseff has also been accused of using the presidential plane (equivalent to Air Force One) to carry out campaign events. Article 76 of the Electoral Law mandates that her campaign should pay for the use of the plane, which might occur after the election takes place (see link 3).

        Gubernatorial candidate Geraldo Alckmin (PSDB) in São Paulo is also being accused, in these 2014 elections, of illegal use of state resources. Alckmin illegaly inaugurated public works in July 2014 (see link 4).

        Scoring Criteria

        A 100 score is earned where there is no evidence of authorities using state resources in favor of or against political parties and individual candidates. A 100 is also earned where there are clearly defined exceptions and are equally accessible to all actors.

        A 50 score is earned where: 1) documented evidence indicates occasional use of state resources in favor of or against political parties and individual candidates, or 2) clearly defined exceptions are not equally accessible to all actors.

        A 0 score is earned where documented evidence indicates regular use of state resources in favor of or against certain political parties and individual candidates.

        Sources

        Interview: Silvana Batini, appellate federal prosecutor and professor of electoral law at FGV. Date of the interview: August 14th 2014.

        Impeached Mayors in the state of Sao Paulo after the last Municipal elections (2012). The file was sent by the Regional Electoral Court of Sao Paulo on August 2014. https://www.dropbox.com/s/y7h1q4b2e84nkwo/Prefeitos%20cassados%202012-2.doc?dl=0

        News Articles: "Fiscalizar uso da máquina no interior da BA é desafio da PRE" - Supervise use of state resource during elections is a challenge in Bahia / Author: Anderson Sotero / Date: July 29th 2014 Link: http://atarde.uol.com.br/politica/eleicoes/noticias/fiscalizar-uso-da-maquina-no-interior-da-ba-e-desafio-da-pre-1609937

        "Workers' Party (Rousseff's party) gathers government officials against Marina Silva (who is running for president)" / Author: Valdo Cruz, Andreia Sadi and Marina Dias / Date: August 28th 2014 Link: http://www1.folha.uol.com.br/fsp/poder/182857-petistas-mobilizam-governo-contra-marina.shtml

        "Risks of using state resources for reelection" / Author: editorial board / Date: August 29th 2014 Link: http://oglobo.globo.com/opiniao/riscos-do-uso-do-estado-para-reeleicao-13761035

        "Cassio Cunha Lima is impeached" / Author: Mariangela Gallucci / Date: October 21st 2010 Link: http://politica.estadao.com.br/noticias/geral,tse-mantem-cassacao-de-registro-de-cassio-cunha-lima,628056

        "Marcelo Miranda is impeached by TSE" / Author: Mariangela Galucci/ Date: June 26th 2009 Link: http://politica.estadao.com.br/noticias/geral,tse-decide-cassar-mandato-do-governador-de-tocantins,393248

        "State representatives and candidates face lawsuits in Rio" / Author: Leandra Lima / Date: July 8th 2014 Link: http://oglobo.globo.com/brasil/deputados-estaduais-candidatos-reeleicao-no-rio-respondem-processos-na-justica-13173214

        "City counselor of Porto Alegre is impeached for using state resources in campaigns" / Author: undisclosed / Date: August 13th 2013 Link: http://www.prers.mpf.mp.br/eleitoral/prers-news/noticias-prers/noticias/uso-da-maquina-publica-na-campanha-de-2012-leva-a-cassacao-de-vereador-em-porto-alegre-rs

        "Mayor of Rio das Ostras is impeached for using state resources in campaign" / Author: undisclosed / Date: May 6th 2010 Link: http://www1.folha.uol.com.br/poder/2010/05/731340-prefeito-de-rio-das-ostras-e-cassado-por-uso-da-maquina-em-campanha.shtml

        "City counselor of Florianopolis is impeached for using state resources in campaigns" / Author: undisclosed / Date: November 12th 2013 Link: http://g1.globo.com/sc/santa-catarina/noticia/2013/11/vereador-da-capital-tem-diploma-cassado-por-uso-da-maquina-publica.html

        "Mayor of Palestina do Para is impeached" / Author: undisclosed / Date: June 25th 2013 Link: http://www.marabanoticias.com/noticias/politica/722-palestina-do-para-prefeita-maria-ribeiro-e-cassada

        "Mayor is impeached for using state resources in campaigns" / Author: undisclosed / Date: April 25th 2009 Link: http://www.gazetadopovo.com.br/vidapublica/conteudo.phtml?id=880548&tit=Prefeito-e-cassado-por-uso-da-maquina

        Reviewer's sources: Link 1:Andreza Matais and Fabio Fabrini, "Correios entregam panfletos de Dilma em SP sem registro de control," Politica Estado, 19 September, 2014. http://politica.estadao.com.br/noticias/eleicoes,correios-entregam-panfletos-de-dilma-em-sp-sem-registro-de-controle,1562461

        Link 2:"Correios distribuem panfletos de Dilma sem registro obrigatorio," Globo, 19 September, 2014. http://g1.globo.com/sao-paulo/eleicoes/2014/noticia/2014/09/correios-distribuem-panfletos-de-dilma-sem-registro-obrigatorio.html

        Link 3: "Em avião presidencial, Dilma chega ao RS para atividades de campanha," Radio Guaiba, 21 August, 2014. http://www.radioguaiba.com.br/noticia/em-aviao-presidencial-dilma-chega-a-porto-alegre-para-atividades-de-campanha/

        Link 4:"O material jornalístico produzido pelo Estadão é protegido por lei," Politica Estado, 9 July, 2014. http://politica.estadao.com.br/noticias/eleicoes,com-inauguracoes-proibidas-alckmin-vistoria-obras-publicas-imp-,1525904

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        7
        Score
        YES
        In law, political parties and individual candidates have free or subsidized access to equitable air time for electoral campaigns?More about indicator

        According to sections 47 and 99 of the Elections Law, all registered political parties and candidates have access to free air time for electoral campaigns, and the slots are distributed in a transparent and equitable way.

        Radio stations, television networks and pay-TV broadcasters have to reserve slots during the forty-five days prior to two days before the election for network-wide advertising of the free electoral publicity. The slots are distributed in the following manner: 1/3 is separated for distribution to all registered parties, and 2/3 is distributed at the proportion of the number of Representatives at the Chamber of Deputies. The air time both on the TV and on the radio is free for parties and candidates, but paid by the state via tax benefits given to stations, networks, and broadcasters.

        Scoring Criteria

        A YES score is earned where: 1) free or subsidized access to air time for electoral campaigns is granted in a transparent, equitable way, and 2) there are clearly defined eligibility criteria.

        A MODERATE score is earned where free or subsidized access to air time for electoral campaigns is granted in a transparent, equitable way, but eligibility criteria are not clearly defined.

        A NO score is earned where no such law exists.

        Sources

        Lei das Eleições - Elections Law - Lei nº 9.504, Article 47, Article 99. 1997. Link: http://www.tse.jus.br/legislacao/codigo-eleitoral/lei-das-eleicoes/lei-das-eleicoes-lei-nb0-9.504-de-30-de-setembro-de-1997

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        8
        Score
        100
        In practice, to what extent is free or subsidized access to air time provided in a transparent, equitable way to political parties and individual candidates for electoral campaigns?More about indicator

        Radio stations, television networks and pay-TV broadcasters have to reserve slots during the forty-five days prior to two days before the election for network-wide advertising of the free electoral publicity. The slots are distributed in the following manner: 1/3 is separated for distribution to all registered parties, and 2/3 is distributed at the proportion of the number of Representatives at the Chamber of Deputies. The air time both on the TV and on the radio is free for parties and candidates, but paid by the state via tax benefits given to stations, networks, and broadcasters. Sources demonstrate that the mandates of the law are strictly followed in practice.

        "In practice, the free access to air time is indeed calculated according to the criteria established in the Electoral Law", says the lawyer Stella Santo, who has been working as a lawyer to many Workers' Party (PT)'s electoral campaigns. "If the calculation is somehow wrong, the aggrieved party can make a claim. There is no way of not meeting the standards set by law here."

        According to the Superior Electoral Court (TSE), the calculation for distribution of time between parties and coalitions is made by a software developed by the TSE itself and adopted by all Regional Electoral Courts.

        There are no instances from within the period of study of parties or candidates complaining about the slot distribution, which is made objectively, with the participation of all the involved actors and widely published on the news, as shown by the fashion in which the sitting president will receive twice as much air time as her challengers in the upcoming presidential elections.


        Peer reviewer comment: Agree. In Brazil, there is a big problem regarding the use of TV and radio concessions/licenses by politicians. According to the website "Donos da Mídia", 271 brazilian politicians are owners of TV or radio stations. This means that, during municipal elections especially, they are able to use their media outlets in order to campaign. In federal elections, this means that mayors, state deputies and federal deputies might also use this resource. This has been documented by scholar Venício Lima. However, there are no such examples from within the period of study, nor is there clear evidence that the situation described by the researcher above is incorrect.

        In the 2014 elections, at least in the state of São Paulo, nothing has been written about this to my knowledge.

        Scoring Criteria

        A 100 score is earned where: 1) free or subsidized access to media advertising is always provided in a transparent and equitable way, and 2) the defined eligibility criteria are applied consistently.

        A 50 score is earned where: 1) free or subsidized access to media advertising is usually provided in a transparent and equitable way, but exceptions exist, or 2) the eligibility criteria are not always applied.

        A 0 score is earned where: 1) there's rarely free or subsidized access to air time for political campaign, and 2) access exists but is not provided in a transparent, equitable way.

        Sources

        Interview: Stella Santo, lawyer with experience working at PT (Workers' Party)'s campaigns. Date of the interview: August 14th and 15th 2014.

        News: Dilma terá quase o dobro do tempo de TV de Aécio e Campos somados / Candidate Dilma will have almost twice as much air time than candidates Aecio and Campos Author: Mariana Oliveira. Name of the publication: G1 (news website). Date published: August 5th 2014. Link: http://g1.globo.com/politica/eleicoes/2014/noticia/2014/08/dilma-tera-quase-o-dobro-do-tempo-de-tv-de-aecio-e-campos-somados.html

        TRE-CE realizará audiência para distribuição do tempo no Horário Eleitoral no rádio e na televisão / Regional Electoral Court will hold public hearing to distribute slots for electoral campaigns in radio and TV Author: undisclosed. Name of the publication: Regional Electoral Court of Ceara's website. Date published: August 11th 2014. Link: http://www.tre-ce.jus.br/noticias-tre-ce/2014/Agosto/tre-ce-realizara-audiencia-para-distribuicao-do-tempo-no-horario-eleitoral-no-radio-e-na-televisao

        Reviewer's sources: "Donos da Mídia," Brazilian website accessed in September, 2014. http://donosdamidia.com.br/levantamento/politicos

        Venício Lima, "Mídia: crise política e poder no Brasil" (São Paulo, Fundação Perseu Abramo, 2006)

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    Contribution and Expenditure Restrictions

    More about category
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    71
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      General Rules on Electoral Campaign Contributions
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        9
        Score
        NO
        In law, cash contributions are banned.More about indicator

        There is no ban on cash donations, though all contributions shall be made deposited in a designated bank account. Thus, cash deposits to candidates' or political parties' accounts are allowed. These cash donations shall be duly identified.

        According to the Article 22 of the Elections Law, both parties and candidates have to open a specific bank account to record all the financial transactions effected during the campaign; donations of financial resources shall only be deposited in these accounts. According to the Article 23 of the same Law, transfers shall be done by means of: crossed and nominal checks or wire transfer; identified cash deposits; web donation via website maintained by the candidate, party or coalition, which may even allow the use of credit card.

        Scoring Criteria

        A YES score is earned where cash contributions are banned and all financial contributions must be made via the banking system.

        A MODERATE score is earned where cash contributions are allowed up to a maximum limit, regardless of the limit.

        A NO score is earned where no such law exists.

        Sources

        Lei das Eleições - Elections Law - Lei nº 9.504, Article 22; Article 23, § 4º, II. 1997. Link: http://www.tse.jus.br/legislacao/codigo-eleitoral/lei-das-eleicoes/lei-das-eleicoes-lei-nb0-9.504-de-30-de-setembro-de-1997

        Resolução nº 23.406 do Tribunal Superior Eleitoral, Article 22, II. 2014. Link: http://www.tse.jus.br/eleicoes/eleicoes-2014/normas-e-documentacoes/resolucao-no-23.406

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        10
        Score
        YES
        In law, there is a ban on anonymous contributions.More about indicator

        Unidentified donations can not be used by candidates or parties, and shall be transferred to the National Treasury, according to the Resolution 23.406 (Art. 29). For a donation to be considered properly identified it has to display the name of the donor and his id: CPF (Taxpayer ID) for individuals, and CNPJ (National Registry of Legal Entities) for companies.

        Scoring Criteria

        A YES score is earned where the law stipulates that anonymous contributions are banned.

        A MODERATE score is earned where the ban exists, but it applies only to one actor (whether political parties or individual candidates). A MODERATE score is also earned where small anonymous donations are allowed up to a maximum threshold equal to or less than the equivalent to US$300.

        A NO score is earned where no such law exists.

        Sources

        Resolução nº 23.406 do Tribunal Superior Eleitoral, Article 29. 2014. Link: http://www.tse.jus.br/eleicoes/eleicoes-2014/normas-e-documentacoes/resolucao-no-23.406

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        11
        Score
        YES
        In law, in-kind donations to political parties and individual candidates must be reported.More about indicator

        In-kind donations can be done and shall be reported as any other donation (with the estimated cash amount of the good or service donated). The goods and services donated have to be part of the economic activity of the donor or be owned by him/her (Resolution 23.406, art. 23). They are under the same restrictions as financial contributions and shall be reported in the rendering of accounts to the Electoral Justice along with any other types of donation (Article 24 of Elections Law).

        Services given by donors must be a product of their usual economic activities, and goods given or leased must be part of the donor's properties (Article 23 of the Elections Law).

        Scoring Criteria

        A YES score is earned where all in-kind donations must be reported to the oversight authority.

        A MODERATE score is also earned if the requirement to report such information exists, but applies only to one actor (whether political parties or individual candidates).

        A NO score is earned where no such law exists.

        Sources

        Resolução nº 23.406 do Tribunal Superior Eleitoral, Article 22; Article 23. 2014. Link: http://www.tse.jus.br/eleicoes/eleicoes-2014/normas-e-documentacoes/resolucao-no-23.406

        Lei das Eleições - Elections Law - Lei nº 9.504, Article 24. 1997. Link: http://www.tse.jus.br/legislacao/codigo-eleitoral/lei-das-eleicoes/lei-das-eleicoes-lei-nb0-9.504-de-30-de-setembro-de-1997

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        12
        Score
        MODERATE
        In law, loans to political parties and individual candidates must be reported.More about indicator

        All money loans to candidates used in the campaign shall be reported and subjected to the same restrictions as donations, according to the Resolution 23.406 (Art. 26). They are considered "self-donations". There is no legal reference to loans to parties.


        Peer reviewer comment: Agree. According to TSE (Tribunal Superior Eleitoral) Resolution 23.406-2014, all loans acquired by candidates will be considered "self-donations" if applied to the campaign. This means that if candidate Luiz gets a bank loan of R$ 400,000 and applies it to his campaign, he must report this "self-donation" to the TSE.

        Scoring Criteria

        A YES score is earned where all loans must be reported to the oversight authority.

        A MODERATE score is earned where loans must be reported, but the requirement applies only to one actor (whether political parties or individual candidates).

        A NO score is earned where no such law exists.

        Sources

        Resolução nº 23.406 do Tribunal Superior Eleitoral, Article 26, § 2º. 2014. Link: http://www.tse.jus.br/eleicoes/eleicoes-2014/normas-e-documentacoes/resolucao-no-23.406

        Reviewer's sources: Resolution 23.406-2014, article 26.2 http://www.tse.jus.br/eleicoes/eleicoes-2014/normas-e-documentacoes/resolucao-no-23.406

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      Limits on Contributions and Expenditures during Electoral Campaign Periods
      More about category
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        13
        Score
        YES
        In law, contributions from individuals are limited to a maximum amount.More about indicator

        Donations and contributions to parties and candidates are limited to up to ten per cent (10%) of the gross income earned by the donor in the year before the elections, according to the Elections Law 9.504 (Art. 23) and to the Resolution 23.406 (Art. 25). There is no fixed limited amount equally valid for all donors; the limit varies from donor to donor, according to his personal income. This means that though a limit exists, rich donors may contribute vastly more than less wealthy citizens.

        Scoring Criteria

        A YES score is earned where: 1) individuals may not contribute more than a maximum amount established by the law.

        A MODERATE score is earned where a maximum amount exists, but it applies only to contributions for one actor (whether political parties or individual candidates). A MODERATE score is also earned where individuals are forbidden from making any contribution.

        A NO score is earned where no such law exists.

        Sources

        Lei das Eleições - Elections Law - Lei nº 9.504, Article 23, Paragraph 1, I. 1997. Link: http://www.tse.jus.br/legislacao/codigo-eleitoral/lei-das-eleicoes/lei-das-eleicoes-lei-nb0-9.504-de-30-de-setembro-de-1997

        Resolução nº 23.406 do Tribunal Superior Eleitoral, Article 25, I. 2014. Link: http://www.tse.jus.br/eleicoes/eleicoes-2014/normas-e-documentacoes/resolucao-no-23.406

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        14
        Score
        YES
        In law, contributions from corporations are limited to a maximum amount.More about indicator

        Donations and contributions are are limited to two percent (2%) of gross revenue earned in the year preceding the elections, according to the Elections Law 9.504 (Art. 81) and to the Resolution 23.406 (Art. 25). But there is no fixed limited amount equally valid to all corporations, the limit varies from company to company, according to its gross revenues.

        Scoring Criteria

        A YES score is earned where: 1) corporations may not contribute more than a maximum amount established by the law.

        A MODERATE score is earned where a maximum amount or ban exists, but it applies only to contributions for one actor (whether political parties or individual candidates). A MODERATE score is also earned where corporations are forbidden from making any contribution.

        A NO score is earned where no such law exists.

        Sources

        Lei das Eleições - Elections Law - Lei nº 9.504, Article 81, Paragraph 1. 1997. Link: http://www.tse.jus.br/legislacao/codigo-eleitoral/lei-das-eleicoes/lei-das-eleicoes-lei-nb0-9.504-de-30-de-setembro-de-1997

        Resolução nº 23.406 do Tribunal Superior Eleitoral, Article 25, II. 2014. Link: http://www.tse.jus.br/eleicoes/eleicoes-2014/normas-e-documentacoes/resolucao-no-23.406

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        15
        Score
        YES
        In law, contributions from foreign sources are banned.More about indicator

        According to the Elections Law (Article 24), political parties and candidates are prohibited to receive, either directly or indirectly, any kind of donation from foreign entity or government. The same prohibition appears in the Article 28 of 2014's National Elections Resolution published by TSE.

        Scoring Criteria

        A YES score is earned where it is forbidden for political parties and individual candidates to receive contributions (financial or in-kind) from foreign sources.

        A MODERATE score is earned where: 1) the ban exists but it applies only to one actor (whether political parties or individual candidates), or 2) contributions from foreign sources are allowed to a maximum amount.

        A NO score is earned where no such law exists.

        Sources

        Lei das Eleições - Elections Law - Lei nº 9.504. Article 24. 1997. Link: http://www.tse.jus.br/legislacao/codigo-eleitoral/lei-das-eleicoes/lei-das-eleicoes-lei-nb0-9.504-de-30-de-setembro-de-1997

        Resolução nº 23.406 do Tribunal Superior Eleitoral. Article 28, I. 2014. Link: http://www.tse.jus.br/eleicoes/eleicoes-2014/normas-e-documentacoes/resolucao-no-23.406

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        16
        Score
        YES
        In law, contributions from third-party actors (unions, foundations, think tanks, political action committees, etc.) are limited to a maximum amount or banned.More about indicator

        According to Article 24 of the Elections Law, political parties and candidates are prohibited to receive, either directly or indirectly, cash donations or estimated cash amounts, including by means of publicity of any kind, that explicitly originate from the following third-party actors: professional associations or unions; not-for-profit legal entities that receive funds from abroad; entities devoted to charity and religious affairs; sports organizations; non-governmental organizations that receive public funds; and civil society organizations of public interest.

        Scoring Criteria

        A YES score is earned where: 1) third-party actors may not contribute more than a maximum amount established by the law, or 2) are forbidden from making any contribution.

        A MODERATE score is earned where: 1) the maximum amount or ban exists only for the majority of third-party actors, but not all, or 2) the maximum amount or ban exists, but applies only to contributions for either political parties or individual candidates.

        A NO score is earned where no such law exists.

        Sources

        Lei das Eleições - Elections Law - Lei nº 9.504, Article 24. 1997. Link: http://www.tse.jus.br/legislacao/codigo-eleitoral/lei-das-eleicoes/lei-das-eleicoes-lei-nb0-9.504-de-30-de-setembro-de-1997

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        17
        Score
        NO
        In law, election campaign spending by political parties and individual candidates is limited to a maximum amount.More about indicator

        According to the Elections Law (Art. 17), the spending limits shall be stipulated by Electoral Justice by June 10th of each electoral year. In the case of the Electoral Justice failing to do so, a self-regulating model is established: each party estimates how much each candidate will spend (by position and state) and then this estimation becomes the party's expenditure limit. Thus, there is no maximum amount valid for everyone. For instance, the party X establishes that their candidates to the Chamber of Deputies elected in Sao Paulo will spend a maximum of R$ 700.000 -- and then each of Sao Paulo candidates must, by the law, respect that limit.

        The Electoral Justice has never published a limit to campaign spending valid to all participants. Thus, during every election there is only the described self-regulating model.


        Peer reviewer comment: Agree. The researcher's description of the law's stance on expenditure limits is correct. Candidates adhere to the spending limit specified by the party because the limit is usually grossly overestimated. There is no punishment for this, nor is there a quick and easy way of knowing when the party puts forth a non-credible limit.

        Scoring Criteria

        A YES score is earned where it is forbidden for political parties and individual candidates to spend more than a certain amount in a political campaign.

        A MODERATE score is earned where the maximum amount exists, but it applies only to one actor (whether political parties or individual candidates).

        A NO score is earned where no such law exists.

        Sources

        Lei das Eleições - Lei nº 9.504, Article 17-A. 1997. Link: http://www.tse.jus.br/legislacao/codigo-eleitoral/lei-das-eleicoes/lei-das-eleicoes-lei-nb0-9.504-de-30-de-setembro-de-1997

        Resolução nº 23.406 do Tribunal Superior Eleitoral, Article 4. 2014. Link: http://www.tse.jus.br/eleicoes/eleicoes-2014/normas-e-documentacoes/resolucao-no-23.406

        Reviewer's sources: Upiara Boschi, "Partidos estimam gastos de R$ 84 milhoes na campanha para governador de Santa Catarina," Diario Catarinaense, July 6, 2014. http://diariocatarinense.clicrbs.com.br/sc/politica/noticia/2014/07/partidos-estimam-gastos-de-r-84-milhoes-na-campanha-para-governador-de-santa-catarina-4545075.html

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        18
        Score
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        Open Question: Do the national laws regulating political finance also apply to sub-national units? If not, to what extent do sub-national units have laws regulating political finance?More about indicator

        The same regulations govern all elections in Brazil: Presidential, National Congress, Gubernatorial, States and Federal District Parliaments, Mayors and City Councils, as it is stated in the first article of the Elections Law (nº 9.504).

        Scoring Criteria

        Please describe the applicability of national political finance regulations at the sub-national level, being sure to answer: 1) whether national laws are applicable to sub-national campaigns; 2) if not, to what extent do sub-national units have similar laws regulating political finance; and 3) whether there are any reports of problems arising from gaps in this framework.

        Sources

        Lei das Eleições - Elections Law - Lei nº 9.504, Article 1. 1997. Link: http://www.tse.jus.br/legislacao/codigo-eleitoral/lei-das-eleicoes/lei-das-eleicoes-lei-nb0-9.504-de-30-de-setembro-de-1997

        Fernando Neves, former minister of the Superior Electoral Court. Date of the interview: August 12th 2014.

        Marlon Reis, electoral judge in Maranhao and active lobbyist for the Clean Slate Bill (2011). Date of the interview: August 19 2014.

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        19
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        Open Question: What are the predominant sources of funding for electoral campaigns?More about indicator

        Electoral campaigns in Brazil are funded by: private actors (companies' and individuals' donations), parties (via Party Fund and other party resources), and candidates themselves (via self-finance), according to Resolution nº 23.406, Article 19.

        The predominant source of funding in the last national electoral campaign (2010) came from corporate donations, which represented almost 60% of all resources. The corporate donations are very concentrated in only a few actors. Considering only the Presidential elections, there were 712 corporate donors; 5% of them (36 of 712) were responsible for 62% of all corporate donations (R$ 401 millions of R$ 648 millions).

        According to a study published by Transparencia Brasil, a Brazilian watchdog group that monitors corruption, the sources of funding were as follows: Donations from companies: R$ 2.313.955.857 (59,1% of total) Party Fund: R$ 817.002.612 (20,9% of total) Donations from individuals: R$ 427.225.396 (10,9%) Donations from candidates to themselves: R$ 331.116.810 (8,5%) Others (mostly funds generated by parties): R$ 25.156.312 (0,6%)

        "Others" refer to methods used by parties to generate campaign funds, such as commercialization of goods and services; events held by parties/candidates; investments. According to Stella Bruno Santo, a lawyer with large experience in political campaigns from PT, a common example of party's strategies for generating campaign funds is holding dinner parties. The candidate or the party itself communicates the event to the Electoral Justice, who will send agents to verify the veracity of the event. The candidate or party will charge for the invitations and get electoral receipts, reporting the money as individual donations.


        Peer reviewer comment: Agree - In the 2014 elections, three companies were, as of September, responsible for 39% of donations for the presidential race. They are food processing company JBS S.A. and construction companies OAS and Andrade Gutierrez.

        According to a recent Journal of Politics article by Taylor Boas and colleagues, construction companies that finance federal deputy campaigns are hired by government (at all levels).

        As for food processing company JBS, it has received more than R$ 10 billion over the last few years from government bank BNDES.

        Scoring Criteria

        Please describe the important sources of funding for electoral campaigns, being sure to answer: 1) where does the preponderance of funding come from - public, individual, corporate, or other; 2) to what extent do individual candidates self-finance; and 3) do political parties have other methods of generating campaign funds, such as owning their own businesses or trusts.

        Sources

        Interview: Stella Santo, lawyer with experience working at PT (Workers' Party)'s campaigns. Date of the interview: August 14th and 15th 2014.

        Resolução nº 23.406 do Tribunal Superior Eleitoral, Article 19. 2014. Link: http://www.tse.jus.br/eleicoes/eleicoes-2014/normas-e-documentacoes/resolucao-no-23.406

        Poder econômico e financiamento eleitoral no Brasil Parte 1: Custo do voto; author: Claudio Weber Abramo; Transparência Brasil; January 2014; http://www.excelencias.org.br/docs/custodovoto.pdf

        Campanha e Finanças; author: Editorial board; Folha de S.Paulo; February 12th 2014; http://www1.folha.uol.com.br/fsp/opiniao/151538-campanhas-e-financas.shtml

        Reviewer's sources: "Três empresas bancam 39% da campanha para presidente," Gazeta Do Povo, September 5, 2014. http://www.gazetadopovo.com.br/vidapublica/eleicoes/2014/conteudo.phtml?id=1496622

        Taylor Boas, Daniel Hidalgo, and Neal Richardson, "The Spoils of Victory: Campaign Donations and Government Contracts in Brazil," The Journal of Politics 76:2. April 2014, pp 415-429. http://journals.cambridge.org/action/displayAbstract?fromPage=online&aid=9209068&fileId=S002238161300145X

        Guilherme Balza, "Campeã em doações, Friboi virou gigante da carne com R$ 10 bi do BNDES," Eleicoes, August 10, 2014. http://eleicoes.uol.com.br/2014/noticias/2014/08/10/campea-em-doacoes-friboi-virou-gigante-da-carne-com-r-10-bi-do-bndes.htm

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        20
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        Open Question: Have there been documented instances of violations of contribution or expenditure limits or any of the laws mentioned above (Section 2)?More about indicator

        Brazil's Superior Electoral Court (TSE) centralizes all information about donation and expenditure and hands it to the "Brazilian IRS" (Receita Federal). TSE itself will check expenditures limits -- limits are self imposed by candidates in the act of registration; TSE's job is to check if the reported expeditures are below the limit previously declared by the candidate.

        The Receita Federal will cross the data with financial reports from donors (individuals and companies) to see if there were any violations regarding donation limits. The Receita will communicate any violation to the state representation of the Electoral Public Prosecutor's Office (the state in which the donor is based), who will file charges in the Electoral Justice system.

        According to Eron Júnior Vieira Pessoa, head of the Advisory Council for Examination of Campaign and Party Accounts at TSE, the most common violations are extrapolation of contribution limits and of expenditure limits; data inconsistencies (wrong IDs of donors, for instance), and irregularities such as receiving donations before the registry of the candidature (which is forbidden by law).

        But all those violations (except donation limits) are detected in three different levels, before being sent to the TSE:

        Election Oversight Commissions check both the accounts of candidates to City Hall and City Council and the accounts of municipal-level party directories; Regional Electoral Courts check the accounts of state-level party directories and the accounts of candidates to be State Governors, Senators, Federal Congressmen, State Representatives and District Representatives; The Superior Electoral Court checks the accounts of Presidencial candidates and national party directories.

        Hence, data about how many violations were detected in a given national election is extremely difficult to gather.

        The Prosecutor General's Office accused 106 companies and 60 individuals for violating contribution limits in the 2010 Presidential elections One single company called Copersucar was fined more than R$ 40 million ($18 million); another one, a bank called Alvorada, was fined more than R$ 45 million ($ 20 million).

        Further, in the last elections for City Hall and City Council (2012), there were more than 800 cases of violations of donation limits.


        Peer reviewer comment: Agree -Another example of contribution violations after January 2013 is of the company Tratenge Engenharia, which was fined R$ 7 million for donating more than the legal limit in the 2010 elections.

        Scoring Criteria

        Please list and describe all documented instances of: 1) violation of contribution limits, 2) violation of expenditure limits, and 3) financial contributions that circumvent the regulatory framework. The objective of this question is to learn more about the local context, so please explain the cases in as much detail as relevant.

        Sources

        Articles: Campanha presidencial teve 300 doações ilegais, diz Procuradoria / There were 300 ilegal donations in the Presidencial campaign; Author: undisclosed; June 7th 2011; Folha de S.Paulo; http://www1.folha.uol.com.br/fsp/poder/po0706201119.htm

        PRE/SP já atuou em mais de 800 processos por doação acima do limite legal, montante das multas ultrapassa 3,5 milhões de reais/ Prosecutor General's Office has found 800 cases of violation of donation limits; fines are more than R$ 3,5 milllion ($1,5 million); author: undisclosed; February 6th 2014; http://www.presp.mpf.mp.br/index.php?option=com_content&view=article&id=924:2014-02-06-13-33-15&catid=1:notas&Itemid=284

        TRE apura doação em excesso para lider do governo / Regional Electoral Court investigates donation limit violation; Author: Fausto Macedo; May 5th 2011; O Estado de S.Paulo http://politica.estadao.com.br/noticias/geral,tre-apura-doacao-em-excesso-para-lider-do-governo,715500

        "Donation of R$ 54 million ends up in fine" / Author: Biaggio Talento / Newspaper A Tarde/ Date: November 25th 2013 Link: http://atarde.uol.com.br/politica/materias/1550831-doacao-de-r-54-milhoes-em-campanhas-gera-multa-recorde

        Interview: Eron Júnior Vieira Pessoa, head of the Advisory Council for Examination of Campaign and Party Accounts at the Superior Electoral Court (TSE). Date of the interview: August 8th 2014.

        Reviewer's sources: "Tribunal Regional Eleitoral multa empresa em R$ 7 milhões por doação acima do limite legal," TSE, 14 June, 2013. http://www.tre-sp.jus.br/noticias-tre-sp/2013/Junho/tribunal-regional-eleitoral-multa-empresa-em-r-7-milhoes-por-doacao-acima-do-limite-legal

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    Reporting and Public Disclosure

    More about category
    composite
    51
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      Reporting Requirements to the Oversight Entity
      More about category
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        21
        Score
        YES
        In law, political parties and individual candidates report itemized contributions and expenditures both during and outside electoral campaign periods.More about indicator

        Political parties have to report itemized contributions and expenditures both during and outside electoral campaign periods. Candidates have to report only during electoral campaigns -- but candidates only exist as political actors during electoral campaigns.

        Political parties are required to annually submit to the Electoral Courts their accounting statements with itemized contributions and expenditures for the last fiscal year no later than April 30 of the following year. The accounting statements of the national body shall be submitted to the Superior Electoral Courts, those of the state bodies to the Regional Electoral Courts and those of the municipal bodies to the Electoral Judges. In elections years, the parties must submit monthly accounting statements to the Electoral Courts during the four months preceding the election and the two months subsequent to it.

        Regarding specifically the expenditures and donations related to electoral campaign, political parties and candidates must submit two partial reports during the electoral campaign, and a final rendering of accounts. Reports must detail "resources in cash or estimated cash amounts that they earned to fund the electoral campaign, as well as campaign expenditures, and such information shall be published in a website to be designed by the Electoral Justice; the names of campaign donors as well as the amounts respectively donated by them shall be informed." (Elections Law, Article 28, Paragraph 4.)

        If there are financial resources still available by the end of the campaign, it is mandatory to report the existence of such amount in the rendering of accounts and, after the review of all appeals, the sum shall be transferred to a body associated with the political party in the district where the elections were held (Elections Law, Article 31.)

        Candidates can only receive donations and spend money during the campaign period, after they do their registration, open a specific bank acount and issue receipts (Resolution 23.406, Art. 3).


        Peer reviewer comment: Agree. Candidates are indeed legally prohibited from receiving donations and making expenditures outside of the campaign season. They can only receive donations after getting a 'CNPJ' (Cadastro Nacional de Pessoa Jurídica) and opening a bank account specifically for the campaign. After the campaign, however, this account stays open in order to pay debts, and has no specific date for closing. So an elected politician could conceivably use this to receive donations outside of the campaign season.

        Financial donations to political parties are a legal loophole that allows candidates to receive donations prior to their registration as candidates. If a company wants to give money to a candidate, it can donate to the candidate's party – which would then forward the amount to the candidate. This is especially enticing for companies that do not want to be identified as donors for specific candidates.

        Financial reports submitted during campaigns must contain itemized lists of contributions and expenditures. It is very common.

        Scoring Criteria

        A YES score is earned where political parties and individual candidates are required to report itemized contributions and expenditures to the oversight authority, both during and outside electoral campaign periods.

        A MODERATE score is earned where: 1) the requirement applies for itemized contributions, but not for itemized expenditures, or 2) it applies only during the electoral campaign but not outside it. A MODERATE score is also earned where the requirement exists, but it only applies to one actor (whether political parties and individual candidates).

        A NO score is earned where no such law exists.

        Sources

        Lei das Eleições - Elections Law - Lei nº 9.504, Article 28, Paragraph 4. 1997. Link: http://www.tse.jus.br/legislacao/codigo-eleitoral/lei-das-eleicoes/lei-das-eleicoes-lei-nb0-9.504-de-30-de-setembro-de-1997

        Lei dos Partidos Políticos - Political Parties' Law - Lei nº 9.096, Articles 32-34. 1995. Link: http://www.tse.jus.br/legislacao/codigo-eleitoral/lei-dos-partidos-politicos/lei-dos-partidos-politicos-lei-nb0-9.096-de-19-de-setembro-de-1995

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        22
        Score
        MODERATE
        In law, political parties and individual candidates are required to report their financial information on a monthly basis during the electoral campaign.More about indicator

        The electoral campaign starts on July 5th (Election Law, Art. 36), and the final rendering accounts shall be presented one month after elections, by November 25th (Resolution 23.406, Art. 38). Thus, the official election period is 143 days. During electoral campaign, political parties and candidates must submit two partial reports and a final one -- thus, three in total.

        Therefore, financial reports must be submitted once every 47 days (143 days divided by three). As such, parties and candidates are not required to report their financial information on a monthly basis (every 30 days).

        Scoring Criteria

        A YES score is earned where political parties and individual candidates must report monthly their financial information to the oversight authority during the electoral campaign.

        A MODERATE score is earned where the requirement exists on a quarterly basis. A MODERATE score is also earned where the requirement only applies to one actor (whether political parties or individual candidates).

        A NO score is earned where no such law exists.

        Sources

        Resolução nº 23.406 do Tribunal Superior Eleitoral, Article 38. 2014. Link: http://www.tse.jus.br/eleicoes/eleicoes-2014/normas-e-documentacoes/resolucao-no-23.406

        Lei das Eleições - Elections Law - Lei nº 9.504, Article 28, Paragraph 4. 1997. Link: http://www.tse.jus.br/legislacao/codigo-eleitoral/lei-das-eleicoes/lei-das-eleicoes-lei-nb0-9.504-de-30-de-setembro-de-1997

        Elections Calendar: http://www.tse.jus.br/eleicoes/eleicoes-2014/calendario-eleitoral#112014

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        23
        Score
        MODERATE
        In law, political parties and individual candidates are required to report their financial information on a quarterly basis outside of electoral campaign periods.More about indicator

        Outside electoral campaign periods, political parties are required to submit reports to the Electoral Courts only on a yearly basis (the accounting statements for the last fiscal year should be submitted no later than April 30th of the following year). Candidates do not have to report outside electoral campaigns -- but candidates only exist as political actors during electoral campaigns (after registration).

        Candidates can only receive donations and spend money during the campaign period, after they do their registration, open a specific bank acount and issue receipts (Resolution 23.406, Art. 3).


        Peer reviewer comment: Agree. Candidates are indeed legally prohibited from receiving donations and making expenditures outside of the campaign season. They can only receive donations after getting a 'CNPJ' (Cadastro Nacional de Pessoa Jurídica) and opening a bank account specifically for the campaign. After the campaign, however, this account stays open in order to pay debts, and has no specific date for closing. So an elected politician could conceivably use this to receive donations outside of the campaign season.

        Scoring Criteria

        A YES score is earned where political parties and individual candidates must report quarterly their financial information to the oversight authority outside of electoral campaign periods.

        A MODERATE score is earned where the requirement exists on a yearly basis. A MODERATE score is also earned where the requirement only applies to one actor (whether political parties or individual candidates).

        A NO score is earned where no such law exists.

        Sources

        Lei dos Partidos Políticos - Political Parties' Law - Lei nº 9.096, Article 32. 1995. Link: http://www.tse.jus.br/legislacao/codigo-eleitoral/lei-dos-partidos-politicos/lei-dos-partidos-politicos-lei-nb0-9.096-de-19-de-setembro-de-1995

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        25
        In practice, to what extent do political parties and individual candidates report itemized financial information monthly?More about indicator

        In law, parties and candidates are required to submit financial reports approximately once every 47 days during the official campaign season.

        Outside electoral campaign periods, political parties are required to submit reports to the Electoral Courts only on a yearly basis (the accounting statements for the last fiscal year should be submitted no later than April 30 of the following year). Candidates do not have to report outside electoral campaigns -- as they only exist as political actors during electoral campaigns.

        In practice, both partial and final reports submitted during campaigns include detailed financial information with both itemized contributions and itemized expenditures, as the attached examples demonstrate.

        The reports have itemized contributions such as name of the donor, ID, amount, and type of contribution. If the money was donated by a private entity to a party, and the party redistributed it among its candidates, in the candidate's rendering of accounts it has to be published the name of the private entity who gave the original donation.

        The reports also have itemized expenditures: name of the supplier, ID, amount and type of expenditure (advertisement, transportation, etc.)

        However, there are several examples of illegal contributions being a common practice. Donations made off the books of course are not reported in the rendering of accounts. This means that all accounts are not reported.

        The most famous scandal in recent years was the Mensalao scandal, a scheme in which the ruling party, PT, was giving monthly stipends to congressmen and party leaders for them to approve projects of interest to the Administration. When the scandal began, former President Lula and other PT leaders dismissed it as being "only" a slush fund scheme to finance election campaigns -- which demonstrates how this illegal practice can be seen as something minor or even expected in Brazil.

        More recently, Petrobras, Brazil’s largest oil company, has been accused of being involved in a large corruption scheme that entails the use of a slush fund for Ms. Rousseff’s PT and its coalition parties in Brasília.

        Scoring Criteria

        A 100 score is earned where: 1) political parties and individual candidates report on their financial information monthly, and 2) the reports include both itemized contributions and itemized expenditures.

        A 50 score is earned where: 1) the reports are occasionally general rather than itemized or don't contain all accounts, or 2) the reporting frequency is quarterly.

        A 0 score is earned where: 1) political parties and individual candidates rarely or never file reports, 2) the reports are filed but are rarely or never itemized or refer only to either contributions or expenditures, or 3) the reporting frequency is less than quarterly.

        Sources

        Example of individual candidate report: First partial report issued in August 2014 by São Paulo governor candidate Alexandre Padilha (of the Workers' Party - PT). https://www.dropbox.com/s/nq4d57nsjkny9w5/receita.csv?dl=0

        Example of party yearly report: Workers' Party 2013 reports http://www.justicaeleitoral.jus.br/arquivos/tse-demonstrativo-de-distribuicao-de-recursos-pt-2013 http://www.justicaeleitoral.jus.br/arquivos/tse-doacoes-recebidas-pt-2013 http://www.justicaeleitoral.jus.br/arquivos/tse-demonstrativo-de-receitas-e-despesas-pt-2013 http://www.tse.jus.br/partidos/contas-partidarias/prestacao-de-contas-partidarias/contribuicoes-recebidas-pelo-pt-em-2013 http://www.justicaeleitoral.jus.br/arquivos/tse-demais-demonstrativos-contabeis-e-pecas-complementares-pt-2013-1399402037291

        Interview: Claudio Weber Abramo, head of Transparencia Brasil, a nonprofit watchdog group that fights corruption; Date of the interview: July 30th 2014.

        Governadora acusada de abuso de poder é afastada / Governor accused of abuse of power is removed from office; Author: undisclosed; December 11th 2013; Folha de S.Paulo; http://www1.folha.uol.com.br/fsp/poder/143191-governadora-acusada-de-abuso-de-poder-e-afastada.shtml

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        25
        In practice, to what extent do financial reports by political parties and individual candidates include all types of contributions?More about indicator

        According to Eron and Stella Santo, all types of legal contribution are reported -- there are no exceptions.

        "Estimable cash donations from companies or individuals need to be registered with the estimated value in use during the period, calculated in accordance with the market value. Movable and immovable property need to be part of the donor's assets, and the goods and services donated must be part of the donor's economic activities. A construction company can not, for example, donate paper to a campaign.

        For individuals, even if the donor does not have annual income (as, for example, an unemployed or retired person) there are norms to follow: he or she can loan a good (like cars or furnitures), provided the value does not exceed R$ 50,000", says Ms. Stella Santos.

        The reports, as the one used as an example demonstrates, are structured as follows: - Name of the donor - Donors' ID - Data of donation - Number of electoral receipt - Amount of donation (in R$, Brazilian currency) - Type of contribution: credit card, bank transfer, bank deposit, check, cash donation, in-kind donation -- this one appears with the word "estimated")

        However, there are several reports of illegal contributions -- donations made off the books, "slush funds" --, as stated in the sources. "Slush funds" are campaign funds received illegally, off the books. The money is usually originated in a complex web of public contracts, corrupt bankers, politicians and companies. Probably the most common way of obtaining this sort of money is overestimating how much a public service costs and hiring a company (or a host of companies) to do the job. The company later "repays" the party in office using part of this money. This is completely illegal due to the fact that all funds must be publicly accounted for in every campaign.

        The most famous scandal in recent years was the Mensalao scandal, a scheme in which the ruling party, PT, was giving monthly stipends to congressmen and party leaders for them to approve projects of interest to the Administration. When the scandal began, former President Lula and other PT leaders dismissed it as being "only" a slush fund scheme to finance election campaigns -- which demonstrates how this illegal practice can be seen as something minor or even expected in Brazil.

        More recently, Petrobras, Brazil’s largest oil company, has been accused of being envolved in a large corruption scheme that entails the use of a slush fund for Ms. Rousseff’s PT and its coalition in Brasília.

        Scoring Criteria

        A 100 score is earned where: 1) reports include an itemized list of all contributions indicating their type (in-kind, cash where allowed, etc.) and amount (estimated value for in-kind contributions), and 2) contain donors' names and addresses (or other personal identifier).

        A 50 score is earned where only one of the two conditions listed in the 100 criteria is met.

        A 0 score is earned where neither condition is met.

        Sources

        Interview: Eron Júnior Vieira Pessoa, head of the Advisory Council for Examination of Campaign and Party Accounts at the Superior Electoral Court (TSE). Date of the interview: August 8th 2014.

        Stella Santo, lawyer with experience working at PT (Workers' Party)'s campaigns. Date of the interview: August 14th and 15th 2014.

        Document from the Regional Electoral Court of Santa Catarina about in-kind donations: http://www.tre-sc.gov.br/site/fileadmin/arquivos/partidospoliticos/prestacaocontascurso/modulo2/25bense_servicos.pdf

        Example of individual candidate report (see attachment): Final report issued in 2012 by Fortaleza mayor candidate Renato Roseno (of the Socialism and Freedom Party - PSOL).

        Example of party yearly report: Workers' Party 2013 reports http://www.justicaeleitoral.jus.br/arquivos/tse-demonstrativo-de-distribuicao-de-recursos-pt-2013 http://www.justicaeleitoral.jus.br/arquivos/tse-doacoes-recebidas-pt-2013 http://www.justicaeleitoral.jus.br/arquivos/tse-demonstrativo-de-receitas-e-despesas-pt-2013 http://www.tse.jus.br/partidos/contas-partidarias/prestacao-de-contas-partidarias/contribuicoes-recebidas-pelo-pt-em-2013 http://www.justicaeleitoral.jus.br/arquivos/tse-demais-demonstrativos-contabeis-e-pecas-complementares-pt-2013-1399402037291

        Governadora acusada de abuso de poder é afastada / Governor accused of abuse of power is removed from office; Author: undisclosed; December 11th 2013; Folha de S.Paulo; http://www1.folha.uol.com.br/fsp/poder/143191-governadora-acusada-de-abuso-de-poder-e-afastada.shtml

        Novo tesoureiro do PT-RJ recebeu R$ 100 mil do valerioduto em 2003 / PT's bookeeper received R$ 100 mil from illegal bribes scheme; Author: Bernardo Melo Franco; December 12th 2013; Folha de S.Paulo; http://www1.folha.uol.com.br/fsp/poder/143312-novo-tesoureiro-do-pt-rj-recebeu-r-100-mil-do-valerioduto-em-2003.shtml

        Scandal Over Brazilian Oil Company Adds Turmoil to the Presidential Race; Author: Simon Romero; October 19th 2014; New York Times http://www.nytimes.com/2014/10/20/world/americas/scandal-over-brazilian-oil-company-petrobras-adds-turmoil-to-the-presidential-race.html?_r=0

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      Availability of Electoral Campaigns' Financial Information to the Public
      More about category
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        YES
        In law, financial information from political parties and individual candidates must be available to the public.More about indicator

        During the electoral campaign, it is mandatory that political parties and candidates send to the Electoral Justice two partial reports (on August 6th and on September 6th) and a final one (November 4th or 25th), detailing resources in cash or estimated cash amounts that they earned to fund the electoral campaign, as well as campaign expenditures. The oversight authority shall publish them on the Internet. (Resolução nº 23.406, Art. 43). Therefore, this means that information is not available in real-time, and the final complete report is only available after the election day

        Parties have to send their monthly and yearly reports, and those documents have to be published online (Resolução nº 21.841, Art. 17, Sole Paragraph).

        Scoring Criteria

        A YES score is earned where in law financial information of political parties and individual candidates must be made available to the public, whether online or digitally within two days of request.

        A MODERATE score is earned where financial information must be made available to the public, but no requirement exists regarding cost, format or number of days within which it must be made available.

        A NO score is earned where no such law exists.

        Sources

        Resolução nº 23.406 do Tribunal Superior Eleitoral, Article 36, Article 43. 2014. Link: http://www.tse.jus.br/eleicoes/eleicoes-2014/normas-e-documentacoes/resolucao-no-23.406

        Lei das Eleições - Lei nº 9.504, Article 28. 1997. Link: http://www.tse.jus.br/legislacao/codigo-eleitoral/lei-das-eleicoes/lei-das-eleicoes-lei-nb0-9.504-de-30-de-setembro-de-1997

        Resolução nº 21.841 do Tribunal Superior Eleitoral, Article 17, Sole Paragraph. 2004. Link: http://www.tse.jus.br/legislacao/codigo-eleitoral/normas-editadas-pelo-tse/resolucao-nb0-21.841-de-22-de-junho-de-2004-brasilia-2013-df

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        50
        In practice, to what extent can citizens easily access the financial information of all political parties and individual candidates?More about indicator

        Citizens can easily access the financial information of all political parties and individual candidates on the Superior Electoral Court’s website. Both parties’ yearly financial reports (since 2007) and candidates/parties’ elections reports are freely available online. However, only election reports are available in machine-readable formats. Indeed, the annual party reports lack standardization and are only available in PDF format (not machine readable).

        According to Claudio Weber Abramo, head of the NGO Transparencia Brasil, TSE’s election data is very complete, but lacks organization. That’s why the NGO maintains a user-friendly platform to access all financial information about candidates and political committees: www.asclaras.org.br.

        Scoring Criteria

        A 100 score is earned where: 1) all relevant financial information is freely available online, 2) it can be obtained digitally within two days of requesting it, and 3) it is in a machine readable format (for example in csv or xml format).

        A 50 score is earned where: 1) information is available but in some cases is incomplete or lacking detail, 2) obtaining complete information takes up to a month, or 3) it's not necessarily digital or in machine readable format.

        A 0 score is earned where: 1) the information is not publicly available, or 2) obtaining it takes more than three months, or 3) the cost of obtaining it is prohibitive for the regular citizen.

        Sources

        Parties’ financial reports (yearly report since 2007): http://www.tse.jus.br/partidos/contas-partidarias/prestacao-de-contas-partidarias

        Candidates, parties and committees’s elections reports (2010 national elections): http://spce2010.tse.jus.br/spceweb.consulta.prestacaoconta2010/

        Claudio Weber Abramo, head of Transparencia Brasil (anti-corruption watchdog); Date of the interview: July 30th 2014.

        Website for political finance: www.asclaras.org.br

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        50
        In practice, to what extent is financial information published in a standardized format?More about indicator

        Election data (candidates’ or parties’) is available to the public in a standardized format. Yearly parties’ financial reports are not, though. “Each party displays information differently and in non-machine-readable formats, but the data is fairly comparable”, says Claudio W. Abramo. It is possible to compare general itens (like amount and type of donations).

        For instance, the organization of the information (income, expenses) on the 2013 financial reports from PT and PSDB, two of Brazil's most important parties, varies a great deal. But with some time and work it is possible to find the comparable data (one party's surplus compared to the other's, for instance, as is evident in the listed sources.

        That said, according to José Roberto de Toledo, president of the Brazilian Association of Investigative Journalism, the accounts presented by parties outside electoral periods are of relatively poor quality (in PDF format and without standardization). He states, "it is almost impossible to explore these data. Doing so requires a lot of manual labor, which discourages reporters."

        Scoring Criteria

        A 100 score is earned where financial information for all political parties and individual candidates is available to the public in a standardized format.

        A 50 score is earned where only part of the information is published in a standardized format. A 50 score is also earned where the information is standardized, but it doesn't cover all political parties and individual candidates.

        A 0 score is earned where financial information is not available in a standardized format.

        Sources

        Parties’ financial reports (yearly report since 2007), published by the TSE, and available at: http://www.tse.jus.br/partidos/contas-partidarias/prestacao-de-contas-partidarias

        PDSB Annual Statements of Income and Expenses, 2013. Available at: http://www.justicaeleitoral.jus.br/arquivos/demonstrativo-de-receitas-e-despesas-psdb-2013 and http://www.justicaeleitoral.jus.br/arquivos/demais-demonstrativos-contabeis-e-pecas-complementares-psdb-2013 PT Annual Statements of Income and Expenses, 2013. Available at http://www.justicaeleitoral.jus.br/arquivos/tse-demonstrativo-de-receitas-e-despesas-pt-2013 and http://www.justicaeleitoral.jus.br/arquivos/tse-demais-demonstrativos-contabeis-e-pecas-complementares-pt-2013-1399402037291

        Candidates, parties and committees’s election reports (2010 national elections): http://spce2010.tse.jus.br/spceweb.consulta.prestacaoconta2010/

        Claudio Weber Abramo, head of Transparencia Brasil (anti-corruption watchdog); Date of the interview: July 30th 2014.

        José Roberto de Toledo; president of the Brazilian Association of Investigative Journalism (ABRAJI), journalist and columnist at O Estado de S.Paulo; Date of the interview: July 28th 2014.

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        100
        In practice, to what extent do mainstream journalism media outlets use political finance data in their reporting?More about indicator

        Mainstream journalism media outlets -- both national and regional -- use political finance data often in their reporting.

        During elections, political parties and candidates must report their financial data to the relevant authorities thrice. For the current campaign period, the first reports were released on August 6th 2014. The next few days after that, all mainstream newspapers published articles about them.

        They published information regarding main corporate donors (such as the article "Three companies are responsible for 65% of all contributions given to Presidential candidates", published at Folha); concentration of contributions ("Dilma, Aecio and Campos received 94% of all donations to Presidencial candidates", published at Folha); donations by economic sector ("Dilma is the Presidencial candidate with more donations from agribusiness", at O Estado de S.Paulo) or by parties ("PMDB is the party that received donations the most").

        However, as points out José Roberto de Toledo, president of the Brazilian Association of Investigative Journalism, most journalists are incapable of substantively exploring the data themselves in order to reach new and non-cliche conclusions. Most articles are restricted to lists of candidates who spend the most, biggest donors etc.

        "There is a lot of room for improvement. Especially when it comes to training journalists and helping them to explore these databases, crossing them with other kind of data. For instance, crossing corporate donations and contracts these firms have with state-owned companies", says Toledo.

        Scoring Criteria

        A 100 score is earned where at least three independent mainstream journalism media outlets have used officially published political party or individual candidate financial information as part of their reporting.

        A 50 score is earned where one independent mainstream journalism media outlet has used officially published financial information as part of its reporting.

        A 0 score is earned where no mainstream journalism media outlet has used officially published financial information as part of its reporting.

        Sources

        Interview: José Roberto de Toledo; president of the Brazilian Association of Investigative Journalism (ABRAJI), journalist and columnist at O Estado de S.Paulo; Date of the interview: July 28th 2014.

        Três empresas bancam 65% da arrecadação de presidenciáveis / Three companies are responsible for 65% of all contributions received by Presidential candidates; author: undisclosed; August 7th 2014; Folha de S.Paulo; http://www1.folha.uol.com.br/poder/2014/08/1496943-tres-empresas-bancam-65-da-arrecadacao-de-presidenciaveis.shtml

        Dilma, Aécio e Campos arrecadam 94% do total de doações às campanhas / Dilma, Aecio and Campos received 94% of all donations to Presidencial candidates; author: undisclosed; August 6th 2014; Folha de S. Paulo; http://www1.folha.uol.com.br/poder/2014/08/1496850-candidatos-ao-planalto-arrecadam-quase-r-30-milhoes-no-primeiro-mes.shtml

        Dilma é a candidata com mais doações do agronegócio / Dilma is the Presidencial candidate with the most contributions from agribusiness; author: Nivaldo Souza; August 8th 2014; O Estado de S.Paulo; http://politica.estadao.com.br/noticias/geral,dilma-e-a-candidata-com-mais-doacoes-do-agronegocio,1540991

        PMDB é o partido que mais arrecadou / PMDB is the party that received donations the most; author: Eirch Dacat; August 8th 2014; O Estado de S.Paulo; http://politica.estadao.com.br/noticias/geral,pmdb-e-o-partido-que-mais-arrecadou-imp-,1540650

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        0
        In practice, to what extent were there no news reports or other documented incidents of violation or abuse of political finance laws?More about indicator

        The most famous scandal in recent years was the Mensalao scandal, a scheme in which the ruling party, PT, was giving monthly stipends to congressmen and party leaders for them to approve projects of interest to the Administration. When the scandal began, former President Lula and other PT leaders dismissed it as being "only" a slush fund scheme to finance election campaigns -- which demonstrates how this ilegal practice can be seen as something minor or even expected in Brazil.

        Regarding the most recent national elections (2010), there were several reports about slush funds (campaigns with illict cash books).

        Just a few examples: In the state of Goias, a journalist said he received R40.000 ($17,199) from slush funds of the governor Marconi Perillo's reelection campaign; in a hearing at the National Congress, the journalist added that "it is common" to be paid with money from slush funds.

        After 2010's national elections, a former appointee of Dnit [National Department of Transport Infrastructure] said that PT and PSDB used slush funds and kickback money to finance their campaigns. Another common violation is the exceeding of contribution limits. In 2010, the Electoral Justice analyzed more than 10.000 cases of ilegal donations.


        Peer reviewer comment: Agree. "Slush funds" are campaign funds received illegally, off the books. The money is usually originated in a complex web of public contracts, corrupt bankers, politicians and companies. Probably the most common way of obtaining this sort of money is overestimating how much a public service costs and hiring a company (or a host of companies) to do the job. The company later "repays" the party in office using part of this money. This is completely illegal due to the fact that all funds must be publicly accounted for in every campaign.

        Scoring Criteria

        A 100 score is earned where there were no news reports or other documented incidents of violation or abuse of political finance laws during the most recent national election.

        A 50 score is earned where there were news reports or other documented incidents of no more than two cases of violation or abuse of political finance laws during the most recent national election.

        A 0 score is earned where there were frequent news reports or other documented incidents of violation or abuse of political finance laws during the most recent national election.

        Sources

        Jornalista diz que foi pago com caixa dois de Perillo/ Jornalist says he was paid with slush funds from Perillo's campaign; author: undisclosed; Junho 28th 2010; Folha de S. Paulo; http://www1.folha.uol.com.br/fsp/poder/51454-jornalista-diz-que-foi-pago-com-caixa-dois-de-perillo.shtml

        Ex-diretor do Dnit diz que PT e PSDB usaram obras para financiar eleição / Former appointee of Dnit [National Department of Transport Infrastructure] says that PT and PSDB used slush funds to finance campaigns; authour: undisclosed; June 2 2012; http://www1.folha.uol.com.br/fsp/poder/46414-ex-diretor-do-dnit-diz-que-pt-e-psdb-usaram-obras-para-financiar-eleicao.shtml

        PM preso com R$ 159 mil acusa petista de caixa dois / Police Officer arrested holding R$ 159 mil accuses PT of having slush funds; author: Filipe Coutinho; December 9h 2011; http://www1.folha.uol.com.br/fsp/poder/13832-pm-preso-com-r-159-mil-acusa-petista-de-caixa-dois.shtml

        Justiça recebeu mais de dez mil representações contra doadores ilegais em todo País / Justice received more than 10.000 cases of ilegal donations; author: Jair Stangler; June 6th 2011; http://blogs.estadao.com.br/radar-politico/2011/06/20/justica-recebeu-mais-de-dez-mil-representacoes-contra-doadores-ilegais-em-todo-pais/

        Interview: Interview with Claudio Weber Abramo, head of Transparencia Brasil (anti-corruption watchdog); Date of the interview: August 1st 2014.

        Reviewer's sources: "Candidata Marina Silva dirá se PSB pagou avião com caixa 2," Odia, August 26, 2014. http://odia.ig.com.br/eleicoes2014/2014-08-26/candidata-dira-se-psb-pagou-aviao-com-caixa-2.html)

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        25
        In practice, to what extent were there no news reports or other documented incidents of vote-buying?More about indicator

        Regarding the most recent national elections (2010), there were several reports about vote-buying. Though reports were not exactly "frequent", they were definitely more than two.

        The examples range from more well-thought schems to more prosaic attempts. For instance: a) Wiretapes revealed that the governor or Roraima was envolved in a vote-buying scheme in 2010: his wife and brother were heard offering cash and social benefits to voters. b) A candidate running for the Senate was publicly accused of paying for the gas of voters if they would agree to participate in car demonstration for his campaign.

        Three candidates running for state governments in 2014 elections were already condemned in the past for vote-buying.

        In 2012 elections, more than 10 thousand cases were analyzed by the Electoral Justice, and 166 mayors were impeached, according to a news article at Fantastico.


        Peer reviewer comment: Disagree. Suggests a score of 0.

        Vote buying is rampant in Brazil. A former campaign official for the PSDB told me, anonymously, how the party hired "cabos eleitorais" (ie, fake party members) for US$ 50/day, during three days in the 2010 elections, to vote for a specific candidate and also bring a list of the name and electoral registry of at least ten people who would also vote for the candidate. The candidate in question received more than 6,000 votes in the city in which this strategy took place.

        There are at least three states in which vote buying was common in the 2010 elections, as is clear in the articles included below.

        Scoring Criteria

        A 100 score is earned where there were no news reports or other documented incidents of vote-buying during the most recent national election.

        A 50 score is earned where there were news reports or other documented incidents of no more than two cases of vote-buying during the most recent national election.

        A 0 score is earned where there were frequent news reports or other documented incidents of vote-buying during the most recent national election.

        Sources

        Grampo revela compra de votos em RR / Wiretap revels vote-buying in state of Roraima; Authors: Renata Lo Prete and Fabio Zambeli; December 16th 2010; Folha de S. Paulo; http://www1.folha.uol.com.br/fsp/poder/po1612201022.htm

        Nascimento é denunciado por compra de votos no AM / Nascimento is accused of vote-buying in the state of Amazonas; author: Liege Albuquerque; December 8th 2010; O Estado de S.Paulo; z

        Justiça cassa mandato de deputado acusado de manter curral eleitoral / Representative is removed after accusations of vote-buying; Authors: Marco Antonio Martins and Italo Nogueira; July 15 2011; Folha de S. Paulo; http://www1.folha.uol.com.br/fsp/poder/po1507201112.htm

        Fantastico shows catches politicians trying to buy votes. Author: Fantastico (Rede Globo) / Date: September 2014 / Link: http://g1.globo.com/fantastico/noticia/2014/09/fantastico-mostra-flagrantes-de-politicos-corruptos-comprando-votos.html

        4 in each 10 candidates running for state governments are being sued / Authors: Natalia Paiva and Juliana Sakai/ Transparencia Brasil/ Date: August 2014/ Link: http://www.excelencias.org.br/docs/GovernadoresprocessadosX.pdf

        Interview with Claudio Weber Abramo, head of Transparencia Brasil (anti-corruption watchdog); Date of the interview: August 1st 2014.

        Reviewer's sources: Pollyanna Araujo, "Federal MT deputy impeached for vote buying," Mato Grosso, July 22, 2014. http://g1.globo.com/mato-grosso/noticia/2014/07/deputado-federal-de-mt-tem-mandato-cassado-por-compra-de-votos.html

        Naira Di Lorezno, "Judge warns that buying votes with drugs may occur again in this election," UOL, July 30, 2014. http://portalcorreio.uol.com.br/politica/politica/eleicoes/2014/07/30/NWS,243966,7,207,POLITICA,2193-JUIZ-ALERTA-COMPRA-VOTOS-DROGAS-REPETIR-ELEICAO.aspx) and Piauí

        Sergio Fontenele, "Police caught buying votes for Wilson Martins," March 27, 2014. http://www.capitalteresina.com.br/noticias/politica/policial-flagrou-compra-de-votos-para-wilson-martins-6471.html

        Daniel Gingerich, "Brokered Politics in Brazil: An Empirical Analysis," Quarterly Journal of Political Science, Vol. 9, Issue 3, September 2014. http://nowpublishers.com/articles/quarterly-journal-of-political-science/QJPS-13040

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        50
        In practice, to what extent do civil society organizations use political finance data?More about indicator

        According to experts there is only one NGO that systematically uses officially published financial information as part of its work. The NGO is Transparencia Brasil. It maintains a website called Às Claras -- the website has not only the official data about contributions in a user-friendly platform, but also brings the possibility to explore the submitted data by parties, donors etc. Other organizations refrain from focusing on political finance because of a lack of popular demand for such information.

        Scoring Criteria

        A 100 score is earned where at least three civil society organizations have used officially published political party or individual candidate financial information as part of their advocacy or awareness work.

        A 50 score is earned where one civil society organization has used officially published financial information as part of its advocacy or awareness work.

        A 0 score is earned where no civil society organization has used officially published financial information as part of its work.

        Sources

        Interview with Claudio Weber Abramo, head of Transparencia Brasil (anti-corruption watchdog); Date of the interview: August 1st 2014.

        Website for political finance: www.asclaras.org.br

        Interview with José Roberto de Toledo; president of the Brazilian Association of Investigative Journalism (ABRAJI), journalist and columnist at O Estado de S.Paulo; Date of the interview: July 28th 2014.

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        Open Question: Have there been political finance legal reforms or reform bills presented to the legislature in the last 10 years?More about indicator

        In every election cycle there are several reforms. The most significant ones regarding political finance in the last 10 years were the following:

        1. In 2006, the Law 11.300/06 added four items to the list of legal entities unable to donate do political parties and candidates: charitable and religious organizations; sports entities; non-governmental organizations that receive public funds and civil society organizations of public interest.

        2. In the face of widespread outrage over the Mensalao Scandal (several irregularities involving politicians and campaign fundraising), in 2006 the same act established a mechanism by which it is possible for the Electoral Court to annul a candidate’s registration or diploma, if it is proven that he or she received illegal donations or made illegal expenditures.

        3. Change in the distribution of television and radio airtime’s slots and the distribution of the Party Fund (Lei nº 12.875, de 2013). Previously, the calculation considered the number of representatives or votes the party had in the last elections for the Chamber of Representatives. Now the calculation considered the number of representatives actually elected and votes received by the party in the last national elections -- newly-created parties who haven't been through elections will no longer profit from the affiliation of representatives who were elected by a different party. Since it is relatively common for Brazilian politicians to change parties in the middle of legislatures, this measure discourages them from negotiating their migration solely based on the addition of airtime and Party Fund contribution to the new party.

        4. Candidates and parties were required in 2012 to detail donors and suppliers in the partial accounts submitted during elections -- before the change, they were required to do so only in the final redering of accounts. The decision was made in 2012 by the minister Carmem Lúcia based on the Access to Information Law (12,527/10). Now it has already been incorporated to the Election's Law (9,504).

        5. With the Clean Slate Law (Law 135/2010), from 2010, candidates who had been revoked under certain circumstances or sentenced by a decision of a collective body (with more than one judge) for specific irregularities (such as for using state resources in electoral campaigns or for vote-buying) become ineligible for eight years. The ineligibility period counts from the election in which the illegal act occurred.

        6. In 2014, for the first time candidates and political parties had to present the original donor of each contribution. This means that if the company Y donated $ 100 to a party committee, that would later pass part of that amount to the candidate X, in candidate X's rendering of account the name of firm Y has to appear as the "original donor".

        What has not yet been approved:

        One of the hottest topics in political finance regulation in Brazil is the private funding of campaigns. This discussion comes in the aftermath of Brazil's Mensalão scandal, in which politicians and officials diverted public funds to buy political support for the government of the then President Lula. Defendants said the scheme was only a way of paying electoral campaign debts (which is also illegal, as the debts were not made public). This allegation generated debate about the high cost of electoral campaigns, which are fueled by corporate donations.

        There are a few bills and a court rulling under debate: a) The Supreme Court is rulling about whether to prohibite corporate donations or not (ADI 4650). The trial started in 2013. b) One of the most important bills under discussion is the PEC 352/13, in the Chamber of Deputies, to create caps for campaign expenditures and to limit corporate donations to parties (not candidates).

        Scoring Criteria

        Please list and describe all documented instances of: 1) political finance reforms, including bills passed, executive orders signed, court rulings and any other legal act that had a direct effect on existent political finance regulation, and 2) all legal reform attempts presented to the legislature even if they were not approved. Please describe the political context that produced the reforms or reform attempts.

        Sources

        Bruno Wilhelm Speck, professor at University of Sao Paulo and specialist in political financing. Date of the interview: August 1st 2014.

        Marlon Reis, electoral judge in Maranhao and active lobbyist for the Clean Slate Bill (2011). Date of the interview: August 19 2014.

        Financiamento de Campanhas: O que pode mudar em 2014 / Political financing: What might change in 2014. Author: Ana Luiza Backes. Date of the publication: February 2014. Link: http://www2.camara.leg.br/documentos-e-pesquisa/fiquePorDentro/temas/financiamento-de-campanha/TextobasedaConsultoria.pdf

        Financiamento de Campanhas: O que pode mudar em 2014 / Political financing: What might change in 2014. Consultancy at Brazil's Chamber of Deputies. Author: Ana Luiza Backes. Date of the publication: February 2014. Link: http://www2.camara.leg.br/documentos-e-pesquisa/fiquePorDentro/temas/financiamento-de-campanha/TextobasedaConsultoria.pdf

        Q&A: Brazil's 'big monthly' corruption trial. BBC UK. Author: undisclosed. Date of the publication: November 15th 2013. Link: http://www.bbc.com/news/world-latin-america-19081519

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    Third Party Actors

    More about category
    composite
    0
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      Applicability of the Law to Third-Party Actors
      More about category
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        34
        Score
        NO
        In law, third-party actors (foundations, think tanks, unions, political action committees, etc.) report itemized contributions received and expenditures to an oversight authority and the information is made publicly available.More about indicator

        By Article 24 of the Elections Law, most third-party actors are banned from donating to political campaigns. Such actors include:

        professional association or unions; not-for-profit legal entity that receives funds from abroad; entities devoted to charity and religious affairs; sports organizations; non-governmental organizations that receive public funds; civil society organizations of public interest.

        The few third-party actors that can donate, such as clubs or associations, do not have any obligation to report itemized contributions received and expenditures to an oversight authority. This includes independent expenditures.

        Scoring Criteria

        A YES score is earned where: 1) third-party actors are required to report to the oversight authority itemized contributions received and expenditures related to their support of electoral campaigns, and 2) the information must be publicly available.

        A MODERATE score is earned where third-party actors are required to report itemized contributions received and expenditures related to their support of electoral campaigns, but the information is not required to be publicly available. A MODERATE score is also earned where regulations exist, but only apply to electoral campaigns of one actor (whether political party or individual candidate).

        A NO score is earned where no such law exists.

        Sources

        Lei das Eleições - Lei nº 9.504, Article 24. 1997. Link: http://www.tse.jus.br/legislacao/codigo-eleitoral/lei-das-eleicoes/lei-das-eleicoes-lei-nb0-9.504-de-30-de-setembro-de-1997

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        35
        Score
        0
        In practice, to what extent do third-party actors (foundations, think tanks, unions, political action committees, etc.) report itemized contributions received and expenditures to an oversight authority?More about indicator

        By Article 24 of the Elections Law, most third-party actors are banned from donating to political campaigns. Such actors include:

        professional association or unions; not-for-profit legal entity that receives funds from abroad; entities devoted to charity and religious affairs; sports organizations; non-governmental organizations that receive public funds; civil society organizations of public interest.

        The few third-party actors that can donate do not have to submit any special political finance report to the oversight authority. Thus, there is no such reporting in practice.

        Scoring Criteria

        A 100 score is earned where all third-party actors report to an oversight authority both itemized contributions received and itemized expenditures.

        A 50 score is earned where third-party actors report to an oversight authority either itemized contributions received or expenditures, but not both. A 50 score is also earned where the reports refer only to one type of third-party actor, but do not cover others.

        A 0 score is earned where third-party actors rarely or never report itemized contributions received or expenditures.

        Sources

        Claudio Weber Abramo, head of Transparencia Brasil (anti-corruption watchdog); July 30th 2014.

        José Roberto de Toledo; president of the Brazilian Association of Investigative Journalism (ABRAJI), journalist and columnist at O Estado de S.Paulo; July 28th 2014.

        Lei das Eleições - Lei nº 9.504, Article 24. 1997. Link: http://www.tse.jus.br/legislacao/codigo-eleitoral/lei-das-eleicoes/lei-das-eleicoes-lei-nb0-9.504-de-30-de-setembro-de-1997

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        0
        In practice, to what extent can journalists and citizens easily access the financial information of third party actors, including the political spending of those actors in support of political parties and individual candidates?More about indicator

        Most third-party actors (professional association or union; not-for-profit legal entity that receives funds from abroad; entities devoted to charity and religious affairs; sports organizations; non-governmental organizations that receive public funds; civil society organizations of public interest) are banned from participating in electoral campaigns. The few third-party actors that can donate do not have any obligation to report itemized contributions received and expenditures to an oversight authority. Independent expenditures are unregulated.

        However, two actors mentioned above (banned from donations) have to make public reports (unrelated to elections, since they cannot donate): non-profits that receive public funds ; and civil society organizations of public interest. Those reports are publicly available.

        In a general overview, however, the financial information of third party actors is not easily accessible for journalists or citizens.

        Scoring Criteria

        A 100 score is earned where: 1) all relevant financial information is freely available online or in hard copy at the cost of photocopying, 2) it can be obtained within two days of requesting it, and 3) it is in a machine readable format (for example in csv or xml format).

        A 50 score is earned where: 1) information is available but in some cases is incomplete or lacking detail, 2) obtaining complete information takes up to a month, or 3) it's not necessarily in machine readable format.

        A 0 score is earned where: 1) the information is not publicly available, or 2) obtaining it takes more than three months, or 3) the cost of obtaining it is prohibitive for the regular citizen.

        Sources

        José Roberto de Toledo; president of the Brazilian Association of Investigative Journalism (ABRAJI), journalist and columnist at O Estado de S.Paulo; July 28th 2014.

        Non-profits that receive public funds's financial reports: (http://www.planalto.gov.br/ccivil03/Ato2011-2014/2014/Decreto/D8244.htm)

        Civil society organizations of public interest's financial reports: (http://portal.mj.gov.br/main.asp?View={0FA9C8DB-721B-4B8C-998E-0956ED31CC15}&BrowserType=NN&LangID=pt-br&params=itemID%3D%7BA95386BF-97A7-44FC-B897-7C8FA1CC70A8%7D%3B&UIPartUID=%7B2868BA3C-1C72-4347-BE11-A26F70F4CB26%7D)

        Lei das Eleições - Lei nº 9.504, Article 24. 1997. Link: http://www.tse.jus.br/legislacao/codigo-eleitoral/lei-das-eleicoes/lei-das-eleicoes-lei-nb0-9.504-de-30-de-setembro-de-1997

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        Open Question: Please describe how third party-actors (even if they are not regulated by your country's laws) obtain contributions and spend in support of political parties and/or individual candidates.More about indicator

        Most third-party actors (professional association or union; not-for-profit legal entity that receives funds from abroad; entities devoted to charity and religious affairs; sports organizations; non-governmental organizations that receive public funds; civil society organizations of public interest) are banned from donations. The few third-party actors that can donate do not have any obligation to report itemized contributions received and expenditures to an oversight authority.

        However, some of them have direct or indirect influence over the electoral process.

        Unions, for instance, are usually indirectly managed by parties -- the most prominent are PT, Solidariedade, PDT, PSTU, PSOL, PCB. Therefore, the infrastructure of the unions is usually used for campaigns. In 2014 elections, the largest union, CUT, controlled by PT, made a formal endorsement for Dilma Rousseff (PT candidate to reelection).

        There are cases in which entities break the law in order to donate. In 2008, a large patronal union (real state in Sao Paulo) created a fake entity in order to donate to campaigns. The fake entity became the second largest donor of that year's municipal elections.

        Scoring Criteria

        To answer this question please: 1) list the types of third-party actors that exist in your country and describe how they work to influence campaigns, 2) explain how important such actors are or not in the context of campaigns, including whether their expenditures are substantial in relation to that of political parties and individual candidates, and 3) if documented evidence indicates they circumvent laws intended to regulate political finance, please explain how and include references to the evidence.

        Sources

        Setor imobiliário de SP dribla a lei para ocultar doadores / Real State in Sao Paulo breaks the law and hides real donors; Felipe Seligman and Ranier Bragon; April 14 2009; Folha de S.Paulo; http://www1.folha.uol.com.br/fsp/brasil/fc1404200902.htm

        Strikes in Sao Paulo are organized by political parties. Author: Guilherme Balza / Date: June 12th 2014 / UOL/ Link: http://noticias.uol.com.br/politica/ultimas-noticias/2014/06/12/greves-em-sp-tem-por-tras-partidos-de-varias-tendencias-entenda.htm

        CUT says that it would be catastrophic if Aecio or Campos won the elections. Author: Felipe Frazão / Date: July 28th 2014 / Veja/ Link: http://veja.abril.com.br/noticia/brasil/cut-prega-terror-se-aecio-vencer

        José Roberto de Toledo; president of the Brazilian Association of Investigative Journalism (ABRAJI), journalist and columnist at O Estado de S.Paulo; Date of the interview: July 28th 2014.

        Claudio Weber Abramo, head of Transparencia Brasil (anti-corruption watchdog); Date of the interview: July 30th 2014.

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    Monitoring and Enforcement

    More about category
    composite
    80
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      Monitoring Capabilities
      More about category
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        38
        Score
        YES
        In law, political finance information is monitored by an independent oversight authority.More about indicator

        Political finance information is monitored by the Electoral Justice, who has powers to approve or disapprove financial reports. The Electoral Justice is composed of the Superior Electoral Court (TSE), the 27 Regional Electoral Courts (Brazilian states plus Federal District), the Electoral Boards, and the Electoral Judges. (Brazilian Constitution, Art. 118)

        The Electoral Justice performs an assessment of the regularity and consistency of campaign accounts, and shall decide as follows (Elections Law, Article 30; Article 30-A): I – approval of accounts in case they are proper and correct; II – approval with reservations in case the accounts feature minor errors which do not compromise their regularity; III – denial of accounts in case they feature errors that compromise their regularity; IV – non-rendering of accounts in case they are not filed after notice issued by the Electoral Justice which expressly orders the rendering of such accounts within seventy-two hours.

        The Electoral Justice will make full assessment of incomes and expenditures, the use of Party Fund, and formal inconsistencies. In order to perform its job, shall require the assistance of technicians from the Federal Court of Accounts or Courts of Accounts of the States, Federal District or Municipalities, for as long as it deems necessary.

        However, the Electoral Justice will not investigate things such as slush funds (second cash books) or vote-buying. Another actor will perform this job: the Electoral Attorney General's Office. For instance, the Electoral Justice will hand to the Brazilian IRS (Receita Federal) a list of all donations received by candidates and parties. The Receita Federal will check if donation limits were respected or not; then will send a list of companies and individuals to be prosecuted by the Electoral Attorney General's Office, who will file lawsuits in the Electoral Justice.

        The Electoral Attorney General's Office will also make investigations and audits when necessary.

        Also any political party or coalition is required to present to the Electoral Justice (reporting facts and indicating evidence) and comply with judicial investigations on conduct that does not comply with the regulations established in law, notably those related to fund raising and spending.

        Scoring Criteria

        A YES score is earned where: 1) an independent oversight authority is mandated to monitor political finance information, and 2) the authority has investigation and audit powers.

        A MODERATE score is earned where the independent oversight authority is mandated to monitor political finance information, but doesn't have investigation or audit powers.

        A NO score is earned where no such law exists.

        Sources

        Brazilian Constitution. Article 95, 119. 1988. Link: http://www.stf.jus.br/repositorio/cms/portalStfInternacional/portalStfSobreCorteenus/anexo/constituicaoingles3ed2010.pdf

        Lei das Eleições - Elections Law - Lei nº 9.504, Article 23; Article 25, Article 30-A. 1997. Link: http://www.tse.jus.br/legislacao/codigo-eleitoral/lei-das-eleicoes/lei-das-eleicoes-lei-nb0-9.504-de-30-de-setembro-de-1997

        Silvana Batini, former appellate federal prosecutor and professor of electoral law at FGV. Date of the interview: August 14th 2014.

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        YES
        In law, high-level appointments to the oversight authority are based on merit.More about indicator

        The ministers of the Superior Electoral Court are the highest-level appointments to the oversight authority (Electoral Justice).

        According to Brazilian constitution: "The superior electoral court shall be composed of a minimum of seven members chosen: I – through election, by secret vote elected (by the ministers themselves that are part of the courts): a) three judges from among the Justices of the Supreme Federal Court (STF); b) two judges from among the Justices of the Superior Court of Justice (STJ); II – through appointment by the President of the Republic, two judges from among six lawyers of notable juridical learning and good moral repute, nominated by the supreme federal court.

        The superior electoral court shall elect its president and vice- president from among the Justices of the supreme federal court, and its electoral magistrate from among the Justices of the superior court of Justice." (Brazilian Constitution, Article 119).

        The judges from STF and STJ are chosen to be part of the TSE on a rotational basis. To be part of either the STF or the STJ, judges have to be appointed by the President, after being approved by the absolute majority of the Senate. But to be even appointed, they have to be either:

        I – a judge of the Federal Regional Courts or a judge of the Courts of Justice, nominated in a list of three names prepared by the Court itself; II – a lawyer and or a member of the federal public prosecution, the public prosecution of the states, the public prosecution of the federal district and the territories.

        Which means that in order to become a member of the STJ or STF, the individual will have to: have been approved in a high-level public competition ("concurso público); will have been approved by the majority of Senators, after a public hearing; and will finally be nominated by the President.

        The members enjoy full guarantees of tenure and shall be non-removable. (Brazilian Constitution, Article 95)

        Judges are forbidden to (Brazilian Constitution, Article 95): I – hold, even when on paid availability, another office or position, except for a teaching position; ii – receive, on any account or for any reason, court costs or participation in a lawsuit; iii – engage in political or party activities; IV – receive, on any account or for any reason, financial aid or contribution from individuals, and from public or private institutions, save for the exceptions set forth in law; V – practice law in the court or tribunal on which they served as judges, for a period of three years following their retirement or discharge.

        Further, article 16 of the Electoral Code states that members should not: own companies that have contracts with government; ocupy public position; or be related by blood with one another.

        Scoring Criteria

        A YES score is earned where: 1) high-level appointments must be based on merit in a public appointment process; and 2) appointees must be free of conflicts of interest due to personal loyalties, family connections, political party affiliations, business partners or other biases.

        A MODERATE score is earned where high-level appointments must be based on merit in a public appointment process, but the regulations don't forbid appointments involving conflicts of interest or other biases.

        A NO score is earned where no such law exists.

        Sources

        Brazilian Constitution, Article 95, 119. 1988. Link: http://www.stf.jus.br/repositorio/cms/portalStfInternacional/portalStfSobreCorteenus/anexo/constituicaoingles3ed2010.pdf

        Lei da Magistratura - Magistrature Law - Lei Complementar 35, Article 26. 1979. Link: http://www.planalto.gov.br/ccivil_03/leis/lcp/lcp35.htm

        Código Eleitoral - Electoral Code - Law 4.737, Article 16. 1965. Link: http://www.tse.jus.br/legislacao/codigo-eleitoral/codigo-eleitoral-1/codigo-eleitoral-lei-nb0-4.737-de-15-de-julho-de-1965

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        75
        In practice, to what extent are high-level appointments to the oversight authority based on merit?More about indicator

        As previously noted, there are seven ministers at the TSE, including three judges from among the judges of the Supreme Federal Court (STF), two judges from among the judges of the Superior Court of Justice (STJ), and two judges from among six lawyers of notable juridical learning and good moral repute.

        According to Mr. Fernando Neves and Ms. Silvana Batini, there are no questions or doubts about the merit of the members of the STF or STJ.

        Two lawyers from a list of six lawyers of notable juridical learning and good moral repute appointed by the STF are nominated by the President. The list is only a "suggestion", but in "80% of the cases, the President goes with the most well-ranked nominee", says Fernando Neves, former minister of the TSE. According to him, even the choosing of lawyers is strictly based on merit. "In the end, this is STF's decision. We are talking about a group of 11 ministers, with a lot of diversity among themselves, and with no one willing to risk their reputation."

        According to Mr. Neves, the lawyers stay at the TSE for two years, which can be extended for up to two more years (Constitution, Article 121, Paragraph 2). "I have over of 40 years of experience in electoral courts, I don't see it as a biased choice."

        According to Ms. Batini, there is no measuring of these lawyers' "notable juridical learning", since they do not take any exam nor are submitted to public hearings. "They don't have to be experts in electoral law", she says.

        Mr. Claudio Weber Abramo adds that all appointed lawyers work with elections and have amongst their clients politicians and political parties. One recent example is Ms. Luciana Lossio, the most recent appointee from the lawyers' quota and current minister of TSE. She was appointed in 2013 via the process of a triple list sent by STF to the President Dilma Rousseff, who chose her. Ms. Lossio is specialized in Elections Legislation and a professor at Centro Universitário de Brasília (UniCEUB). Before being appointed, Ms. Lossio represented several politicians and parties, including the party coalition that elected Ms. Rousseff in 2010.

        Scoring Criteria

        A 100 score is earned where: 1) there is an advertised competition and public vetting process, 2) candidates with the most merit and without conflicts of interest or other biases are appointed.

        A 50 score is earned where the public competition is usually advertised and the vetting process public, but exceptions exist. A 50 score is also earned where candidates with the most merit and without conflicts of interest or other biases are appointed but exceptions exist.

        A 0 score is earned where there's rarely or never a public competition, or appointees are rarely selected on merit or without conflicts of interest or other biases.

        Sources

        Silvana Batini, former appellate federal prosecutor and professor of electoral law at Fundacao Getulio Vargas. Date of the interview: August 14th 2014.

        Fernando Neves, former minister of the Superior Electoral Court. Date of the interview: August 12th 2014.

        Claudio Weber Abramo, head of Transparencia Brasil (anti-corruption watchdog); Date of the interview: July 30th 2014.

        Superior Electoral Courts' members and mandates: http://www.tse.jus.br/institucional/ministros. Accessed August 2014.

        New Minister is seated at TSE / Author: undisclosed/ Date: October 25th 2014. Link: http://www.conjur.com.br/2011-out-25/luciana-lossio-empossada-nesta-terca-feira-ministra-tse

        Brazilian Constitution, Article 121. 1988. Link: http://www.stf.jus.br/repositorio/cms/portalStfInternacional/portalStfSobreCorteenus/anexo/constituicaoingles3ed2010.pdf

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        YES
        In law, the independence of high-level appointees is guaranteed.More about indicator

        High-level appointees to the TSE are judges. They are in charge of issuing decisions regarding elections and reviewing cases from lower levels, if there is an appeal -- hence, they have the authority to review all political cases. "The decisions of the TSE are unappealable, save those which are contrary to this constitution and those denying habeas corpus or writs of mandamus" (Constitution, Article 121, Paragraph 3).

        They enjoy full guarantees of tenure and shall be non-removable (Constitution, Article 121, Paragraph 1). Their terms of office last two years (Constitution, Article 121, Paragraph 2).

        Judges can be removed only if they engage in illegal activities such as receiving brives or engage in political activities, for example. Judges Law, Art. 26). The court itself will decide on this matter (it has to reach a 2/3 majority), according to the Art. 27 of the Judges Law. Article 27 states that, if a judge is involved in illegal activiites, a committee of 25 judges (12 according to seniority, twelve elected, plus the judge who presides at the state court), decides whether to remove or acquit the accused justice.

        Scoring Criteria

        A YES score is earned where: 1) appointees have the authority or mandate to review cases and issue decisions, 2) the law establishes security of tenure, and 3) removal or disciplinary actions are based on due process conducted by a peer panel or independent oversight body.

        A MODERATE score is earned where appointees have the authority or mandate to review cases and issue decisions, BUT one of the second two conditions mentioned in the YES criteria is not met.

        A NO score is earned where no such law exists.

        Sources

        Brazilian Constitution, Article 95; Article 119. 1988. Link: http://www.stf.jus.br/repositorio/cms/portalStfInternacional/portalStfSobreCorteenus/anexo/constituicaoingles3ed2010.pdf

        The Judges Law, Art. 26, Art. 27. 1979/ Link: http://www.planalto.gov.br/ccivil_03/leis/lcp/lcp35.htm

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        Score
        100
        In practice, to what extent is the independence of high-level appointees guaranteed?More about indicator

        As previously stated, there are seven ministers at the Superior Electoral Court (TSE), and they are composed by three judges from among the judges of the Supreme Federal Court (STF), two judges from among the judges of the Superior Court of Justice (STJ), and two judges from among six lawyers of notable juridical learning and good moral repute.

        The judges from STF and STJ are chosen to be part of the TSE on a rotational basis. To be part of either the STF or the STJ, judges have to be appointed by the President, after being approved by the absolute majority of the Senate -- but before even being considered for those higher courts, they went through a public competition in order to become regular judges. Two lawyers from a list of six lawyers of notable juridical learning and good moral repute appointed by the STF are nominated by the President to also be a part of the TSE board.

        Although they don't go through a competition process or hearings, according to Mr. Fernando Neves, former minister of the TSE, lawyers are also independent. "In the end, this is the STF's decision. We are talking about a group of 11 ministers, with a lot of diversity among themselves, and with no one willing to risk their reputation."

        According to Ms. Batini, however, lawyers are nominated for this on the basis of their political influence. "They are not submitted to exams, they don't go through public hearings, and don't have to leave their careers as lawyers."

        Appointees are granted security of tenure; for them to be removed, disciplined or transferred they have to go through a due process by a peer panel (Electoral Code, Article 22). There are no recent examples of attempt of removing judges.

        Five out of the seven TSE judges were appointed either by the current President Dilma Rousseff or by former President Luiz Inacio Lula da Silva, both from PT. This hasn't prevented them from ruling against Ms. Rousseff in her reelection campaign. On September 3rd 2014, for instance, the Court fined the president of Petrobras, a state-owned company, for airing advertisement in favor of the company -- thus, in favor of the government. Petrobras' president was fined in more than R$ 200,000 ($ 90,000).

        Scoring Criteria

        A 100 score is earned where all of the following conditions are met: 1) appointees review cases and issue decisions without fear or favor from other branches of government, and 2) appointees are granted security of tenure and 3) no appointees are removed, disciplined or transferred without due process by a peer panel or independent oversight body.

        A 50 score is earned where any of the following conditions apply: 1) appointees generally operate without fear or favor from other branches of government but exceptions exist, or 2) some but not all appointees are granted security of tenure, or 3) appointees are occasionally removed, disciplined or transferred without due process by a peer panel or independent oversight body.

        A 0 score is earned where at least one of the following conditions apply: 1) appointees operate with fear or favor from other branches of government, or 2) are not granted security of tenure, or 3) are usually removed, disciplined or transferred without observing due process by a peer panel or independent oversight body.

        Sources

        Silvana Batini, former appellate federal prosecutor and professor of electoral law at FGV. Date of the interview: August 14th 2014.

        Fernando Neves, former minister of the Superior Electoral Court. Date of the interview: August 12th 2014.

        Marlon Reis, electoral judge in Maranhao and active lobbyist for the Clean Slate Bill (2011). Date of the interview: August 19 2014.

        News: TSE considers Petrobras add irregular electoral campaign/ Author: Filipe Matoso/ G1/ Date: September 3rd 2014 / Link: http://g1.globo.com/politica/noticia/2014/09/plenario-do-tse-aprova-multa-graca-foster-por-propaganda-eleitoral.html

        Law: Código Eleitoral - Electoral Code - Law 4.737, Article 22. 1965. Link: http://www.tse.jus.br/legislacao/codigo-eleitoral/codigo-eleitoral-1/codigo-eleitoral-lei-nb0-4.737-de-15-de-julho-de-1965

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        Open Question: How does decision-making work in the oversight authority?More about indicator

        The composition of the decision-making body within the oversight authority (the TSE board) is as follows: There are seven ministers; three of them are judges from among the judges of the Supreme Federal Court (STF); two others are judges from among the judges of the Superior Court of Justice (STJ); and two judges from among a list of six lawyers of "notable juridical learning and good moral repute" issued by the STF (the President chooses the two names).

        The decision-making process works as follows:

        For every case, there is one designated minister to be some kind of reporter. He will read the whole lawsuit, make a summary and state his vote on the matter. The involved partiess in the lawsuit can intervene and present oral defenses. The other ministers can agree with the minister that reported the lawsuit or have a different take on the subject. A majority is required in all decisions to declare a candidate or a party guilty.

        TSE's decision are unappealable, save those which are allegedly contrary to the constitution and those denying habeas corpus or writs of mandamus (Electoral Code, Article 281; Constitution, Article 121). There have been no well substantiated complaints about the decision-making process being ineffective or politicized.

        Scoring Criteria

        Please describe: 1) the composition of the decision-making body within the oversight authority, 2) the type of decisions it's allowed to make and makes in practice, and 3) in which cases majority is required. If there have been well substantiated complaints about the decision-making process being ineffective or politicized please explain.

        Sources

        Silvana Batini, former appellate federal prosecutor and professor of electoral law at FGV. Date of the interview: August 14th 2014.

        Fernando Neves, former minister of the Superior Electoral Court. Date of the interview: August 12th 2014.

        Marlon Reis, electoral judge in Maranhao and active lobbyist for the Clean Slate Bill (2011). Date of the interview: August 19 2014.

        Código Eleitoral - Electoral Code - Law 4.737, Article 22. 1965. Link: http://www.tse.jus.br/legislacao/codigo-eleitoral/codigo-eleitoral-1/codigo-eleitoral-lei-nb0-4.737-de-15-de-julho-de-1965

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        In practice, to what extent does the authority have sufficient capacity to monitor political finance regulations?More about indicator

        Presidential candidates and national party directories send their financial reports straight to the Superior Electoral Court (TSE); candidates to State Government, Senate, Congressmen, State Representatives and state-level party directories report to the Regional Electoral Court; candidates to municipal-level elections and municipal-level party directories report to the electoral boards.

        All financial reports are monitored -- if they are not submitted, the responsible candidates/parties will be notified by the relevant authorities. Once received, all reports are reviewed for compliance with basic regulatory requirements.

        However, the Electoral Justice staff for monitoring and reviewing political financial reports operates with almost half of the ideal number of technicians, says Eron Júnior Vieira Pessoa, head of the Advisory Council for Examination of Campaign and Party Accounts at the Superior Electoral Court.

        In this structure, the TSE is the one with the best structure, but has only 17 employees to monitor and review all national accounts. According to Mr. Pessoa, they needed at least 30 people full time in order to review all reports.

        In the Regional Electoral Courts and Electoral Boards, the lack of professionals is worse. Mr. Marlon Reis, electoral judge in the city of Joao Lisboa, in the state of Maranhao, says his staff has only two technicians -- during elections, three technicians are "borrowed" from the City Hall, and none of them are trained accountants. Further, according to Mr Reis, there is the additional problem of potential bias, as City Hall technicians have close links to the Mayor, which can impact their performance of their duties.

        Scoring Criteria

        A 100 score is earned where: 1) the authority has sufficient budget to monitor all incoming reports, and 2) it has sufficient staff to review all incoming reports.

        A 50 score is earned where: 1) the authority has insufficient budget to monitor all incoming reports, or 2) its staff can only review half of all incoming reports.

        A 0 score is earned where: 1) the authority can't fulfill most of its essential functions due to budget constraints, or 2) its staff only has the capacity to review 25% or less of all incoming reports.

        Sources

        Silvana Batini, former appellate federal prosecutor and professor of electoral law at Fundacao Getulio Vargas. Date of the interview: August 14th 2014.

        Eron Júnior Vieira Pessoa, head of the Advisory Council for Examination of Campaign and Party Accounts at the Superior Electoral Court (TSE). Date of the interview: August 8th 2014.

        News:

        Presidente do TRE alerta que saída de servidores prejudicará o órgão / President of the Regional Electoral Court in the state of Amazonas warns: lack of technicians harms the entity; Diario do Amazonas; Author: undisclosed; Date: December 23rd 2014; Link: http://new.d24am.com/noticias/politica/presidente-do-tre-alerta-que-saida-de-servidores-prejudicara-o-orgao/76600

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        In practice, to what extent does the authority conduct investigations or audits when necessary?More about indicator

        The Electoral Justice does not conduct investigations for things such as slush funds (second cash books), vote-buying or donation limits violations. Two other actors perform this job: the Electoral Attorney General's Office and the Federal Police.

        For instance, the Electoral Justice will hand to the Brazilian IRS (Receita Federal) a list of all donations received by candidates and parties. The Receita Federal will check if donation limits were respected or not; then will send a list of companies and individuals to be prosecuted by the Electoral Attorney General's Office, who will file lawsuits in the Electoral Justice. The Electoral Attorney General's Office and the Federal Police conduct investigations and audits when necessary -- and there have been certainly more than three during 2014's elections.

        For instance: the federal police is investigating if the airplane in which former candidate Eduardo Campos was killed in an accident last August was bought with slush funds money; the Electoral Attorney General's Office is investigating if a state government candidate in Parana and another one in Mato Grosso do Sul are using slush funds during this campaign.

        Any political party or coalition is entitled to represent before the Electoral Justice after the certification, reporting facts and indicating evidence, and require judicial investigation on conducts that do not comply with the regulations established in law, notably those related to fund raising and spending.


        Peer reviewer comment: Agree. In the 2014 presidential elections, the Workers' Party asked the Attorney General's Office to investigate how Marina Silva (PSB), the candidate who took over from Eduardo Campos after his death, was paid for lectures and work as a consultant after she left the Senate. So far, she has been publicly acquitted of any sort of wrongdoing.

        Scoring Criteria

        A 100 score is earned where the authority conducted at least three investigations or audits during the most recent electoral campaign.

        A 50 score is earned where the authority conducted at least one investigation or audit during the most recent electoral campaign.

        A 0 score is earned where the authority didn't conduct any investigation or audit during the most recent electoral campaign.

        Sources

        Silvana Batini, former appellate federal prosecutor and professor of electoral law at FGV. Date of the interview: August 14th 2014.

        Eron Júnior Vieira Pessoa, head of the Advisory Council for Examination of Campaign and Party Accounts at the Superior Electoral Court (TSE). Date of the interview: August 8th 2014.

        News: Electoral Attorney General's Office investigates companies linked to campaing coordinator / O Globo/ Author: undisclosed / Date: September 2nd 2014/ Link: http://oglobo.globo.com/brasil/mp-investiga-empresas-ligadas-coordenador-da-campanha-de-candidato-em-ms-13808753

        Federal Police will investigate if Campos' airplane was bought with slush fund money / Author: undisclosed/ Folha de S.Paulo/ Date: August 24th 2014/ Link: http://www1.folha.uol.com.br/poder/2014/08/1505040-pf-vai-investigar-se-aviao-foi-comprado-com-uso-de-caixa-dois.shtml

        Electoral Attorney General's Office investigates Beto Richa for alleged slush funds/ Author: undisclosed / Parana Portal / Date: August 14th 2014/ Link: http://www.paranaportal.com.br/blog/2014/08/14/mp-quer-investigar-beto-richa-por-suposto-caixa-2/

        Reviewer's sources: Ricardo Galhardo, "PT pede á Prcuradoria Eleitoral investigacao sobre rendimentos de Marina," Politica Eleicoes, 4 September, 2014. http://politica.estadao.com.br/noticias/eleicoes,pt-pede-a-procuradoria-eleitoral-investigacao-sobre-rendimentos-de-marina,1554937

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        In practice, to what extent does the authority publish the results of investigations or audits?More about indicator

        All the following Electoral Justice's decisions are immediately published: - The denial or non-rendering of accounts; - The decision regarding complaints brought either by the Electoral Attorney General's Office or by any political party, candidate or coalition (who are entitled to represent before the Electoral Justice and require judicial investigation).

        For instance, if a politician is convicted for an electoral crime, for irregularities in his rendering of accounts, or for any other reason under TSE's jurisdiction, the decision will be fully published.

        For instance: two 2014 candidates for state government positions were impeached for vote-buying in the past. One of them was Mr. Expedito Junior, from the state of Rondonia. In the decision, published in 2010, it is possible to see what was exactly the crime (he made bank deposits directly to employees of a private security company), and what the judge ruled. The other one was Cassio Cunha Lima, from the state of Paraiba. In the published sentence, it is possible to know that he used social programs to distributed checks to electors and to read the judge's sentence.

        However, full reports of deeper investigations conducted by the Electoral Attorney General's Office or by the Federal Police are not published. What is published is only the text with the Court's decisions.

        Scoring Criteria

        A 100 score is earned where the authority publishes reports of all its investigations or audits a month or less after their conclusion.

        A 50 score is earned where reports are available to the public more than a month after the conclusion of the investigation or audit.

        A 0 score is earned where reports are not available to the public or they become available after six months or more after conclusion of the investigation or audit. A 0 score is also earned where only summaries of the reports are publicly available.

        Sources

        Silvana Batini, former appellate federal prosecutor and professor of electoral law at FGV. Date of the interview: August 14th 2014.

        Example of published decisions: Cassio Cunha Lima, 2014 candidate, was impeached for vote-buying, and the decision is available at TSE's website: http://www.tse.gov.br/sadJudSadpPush/ExibirPartesProcessoJud.do;jsessionid=CD16D88D7A3EE222075465465180A6A4

        Expedito Junior, 2014 candidate, was impeached for vote-buying, and the decision is available at TSE's website: http://www.tse.gov.br/sadJudSadpPush/ExibirDadosProcesso.do?nprot=265762008&comboTribunal=tse

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      Enforcement Capabilities
      More about category
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        In law, there are sanctions in response to political finance violations.More about indicator

        In the Elections Law, there are sanctions clearly stated in response to political finance violations: - Donations that exceed the limits established by the law shall subject offenders to the payment of a fine of five to ten times the amount paid in excess (Article 23, Paragraph 3). - Parties that violate the regulations on fundraising and allocation of resources established by the law shall lose the right to receive monies from the Party Fund in the coming year, which does not exempt candidates that benefited from abuse of economic power to be held liable for such offense (Article 25) - Expenditures that exceed the limits established by candidates themselves shall subject them to the payment of a fine of five to ten times the amount paid in excess (Article 23, Paragraph 3). - Should fund raising and spending for electoral purposes be proven illegal, the candidate shall have his/her certification denied or annulled, in case it has already been issued (Article 30-A, Paragraph 2).

        Scoring Criteria

        A YES score is earned where: 1) the law clearly defines violations of political finance laws, and 2) there are clearly defined sanctions for specific violations.

        A MODERATE score is earned where violations are clearly defined but sanctions for specific violations are not.

        A NO score is earned where no such law exists.

        Sources

        Lei das Eleições - Elections Law - Lei nº 9.504. Article 23; Article 25, Article 30-A. 1997. Link: http://www.tse.jus.br/legislacao/codigo-eleitoral/lei-das-eleicoes/lei-das-eleicoes-lei-nb0-9.504-de-30-de-setembro-de-1997

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        In law, the oversight authority has the power to impose sanctions.More about indicator

        The TSE (Superior Electoral Court), the oversight authority, has the power to prosecute violators and impose sanctions such as fines, imprisonment and ineligibility. (To see all sanctions: Chapter 2 of the Electoral Code - Lei 4.737.)

        Their decisions are unappealable, save those which are contrary to the Constitution and those denying habeas corpus or writs of mandamus.

        Scoring Criteria

        A YES score is earned where: 1) the oversight authority has the power to impose sanctions, and 2) it can directly prosecute violators before the courts or is independent to send cases to public prosecution.

        A MODERATE score is earned where the oversight authority has the power to impose sanctions, but it can't directly prosecute violators before the courts or is not independent to send cases to public prosecution.

        A NO score is earned where no such law exists.

        Sources

        Brazilian Constitution, Article 121. 1988. Link: http://www.stf.jus.br/repositorio/cms/portalStfInternacional/portalStfSobreCorteenus/anexo/constituicaoingles3ed2010.pdf

        Código Eleitoral - Electoral Code - Lei 4.737, Chapter 2. 1965. Link: http://www.tse.jus.br/legislacao/codigo-eleitoral/codigo-eleitoral-1/codigo-eleitoral-lei-nb0-4.737-de-15-de-julho-de-1965

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        In practice, to what extent do offenders comply with sanctions imposed?More about indicator

        The Electoral Justice's decisions are usually obeyed. Especially in cases of imprisonment and ineligibility, there is no debate or possibility of offenders not complying -- the only thing that can be done is to file an appeal at the Supreme Court. "But even in that case, eventually the decision will become definitive. The TSE removes mayors, governors, representatives, city counselors from office, and makes them ineligible for future office -- which is political death", says Mr. Fernando Neves.

        According to the Regional Electoral Court of the state of Sao Paulo, 47 mayors were impeached by the court after the last municipal elections (2012) due to violations (see attached file). There are 645 cities in Sao Paulo, which means 7% of elected mayors were impeached.

        Ms. Silvana Batini, though, highlights that when financial reports submitted to the TSE by candidates are not approved, nothing really happens. Political parties can argue before the TSE that their political opponents should be sanctioned, but they have only 15 days after the certification to argue before the Electoral Justice, reporting facts, indicating evidence and requiring judicial investigation on conduct that do not comply with the regulations established in the law, notably those related to fundraising and spending. "This is a very tight deadline. Additionally, this is usually done only for the elected candidates. Which means that whoever financed himself illegally, but did not win, will not even be bothered."

        In another relevant example, the senator Cassio Cunha Lima appealed a large fine that imposed for an abuse of power in 2006, and has yet to comply with the fine. His case is still ongoing.

        Scoring Criteria

        A 100 score is earned where: 1) offenders comply with the sanctions imposed without exception, and 2) they are not repeat offenders.

        A 50 score is earned where: 1) offenders usually comply with the sanctions imposed but exceptions exist, or 2) most are not repeat offenders but some exceptions exist.

        A 0 score is earned where: 1) offenders rarely comply with the sanctions imposed, or 2) most are repeat offenders.

        Sources

        Silvana Batini, former appellate federal prosecutor and professor of electoral law at FGV. Date of the interview: August 14th 2014.

        Fernando Neves, former minister of the Superior Electoral Court. Date of the interview: August 11th 2014.

        Robson Pires, "Most politicians avoid election fines," Robson Pires blog, May 6, 2012. http://www.robsonpiresxerife.com/notas/maioria-dos-politicos-da-calote-nas-multas-eleitorais/#.VBcL8vldWhs

        Lei das Eleições - Elections Law - Lei nº 9.504, Article 30-A. 1997. Link: http://www.tse.jus.br/legislacao/codigo-eleitoral/lei-das-eleicoes/lei-das-eleicoes-lei-nb0-9.504-de-30-de-setembro-de-1997

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        Open Question: How strong is enforcement, and what impedes more effective enforcement?More about indicator

        There are two main factors impeding more effective enforcement of political finance regulation.

        One is the limited staff at the Electoral Justice's branches and at the Electoral Prosecutor's Office. The Electoral Justice staff for monitoring and reviewing political financial reports operates with almost half of the ideal number of technicians, according to Eron Júnior Vieira Pessoa, head of the Advisory Council for Examination of Campaign and Party Accounts at the Superior Electoral Court.

        The situation at the Electoral Prosecutor's Office's office is no different, says Silvana Batini, former appellate federal prosecutor and professor of electoral law at FGV. "There is no pattern, when analyzing the Electoral Prosecutor's Office (MPE) in different states. In Rio de Janeiro and Sao Paulo, the MPE investigates and receives complaint from citizens. But we do not have capacity for putting investigators in the field. We work in-doors, in offices, depending on the complaints brought by citizens and candidates. Sometimes we require the assistance of the Federal Police", says Ms. Batini.

        The other reason is the Brazilian judicial system itself: candidates and parties usually are able to file a lot of appeals. "Since candidates can file a lot of appeals, the timing goes against removing him from office in his first mandate."

        Regarding specifically the political finance system, there are a few urgent reforms. First, establishing an absolute ceiling for donations both by private firms and individuals. Ideally, since the economic disparity among states is very high, the ceiling would vary from state to state according to the their GDPs. Second, the penalties -- specially the ones applied for using slush funds -- should be more severe, in an attempt to curb this kind of practice. Third, donations from individuals should be promoted. Possible incentives in this direction are tax benefits and matching funds (in this latter situation, parties would look more for citizen contribution).


        Peer reviewer comment: Agree - Enforcement is weak in Brazil's political system due to mainly two reasons. First, the "web of accountability" institutions are not as functional as they could be. In the last twenty years, Brazilian state accountability institutions have evolved in ways that are contingent upon the interaction between the rules, routines, roles and resources allocated to diverse institutions, as well as the way in which this complex network of institutions has interacted to allocate roles and resources, as well as to develop consensual rules and routines. Unfortunately, Brazil remains subject to political corruption and administrative malfeasance, and not all movement on the accountability front has been positive. Some institutions, such as the Public Ethics Committee, have been purposefully weakened by presidents wary of their meddling. The courts continue to be a major bottleneck to accountability: most emblematically, although it convicted some of the defendants to significant prison terms, the Supremo Tribunal Federal has taken seven years to reach a final decision on the most prominent scandal of the past decade, the mensalão. Slow courts mean that despite increasing transparency, sanctions are slow to emerge, feeding “a politics of permanent scandal” with consequences not only for governability but also for institutional legitimacy (see Filgueiras and Aranha 2011, 380). Equally disturbing are recurring scandals within important accountability agencies, suggesting that corruption remains a pernicious force working against accountability from within. (This paragraph is based on Praça and Taylor 2014.)

        Secondly, the excessive number of political parties (more than 30 at the last count) is a major factor in making campaigns expensive. If campaigns are too expensive and the expectation of being punished is low, rational political actors tend to engage in illegal financing in order to get an electoral advantage (of course this is a simplification, but it gets to the gist of how politics work in Brazil). How might these two aspects be resolved? First, accountability agencies are in dire need of getting more bureaucratic capacity. The Controladoria-Geral da União, a comptroller's office at the federal level, has been very vocal, in the last few months, about how they lack funds and human resources. And although the Polícia Federal (equivalent to the FBI) has received a lot of pay rises in the last ten years (Carvalho 2011), it is more prone to political interference than it could be (although political appointments are not a mechanism for this, contrary to popular understanding).

        Finally, regarding electoral competition, a barrier clause that would shun from parliament political parties that receive less than 5% of the vote in a certain number of districts would go a very, very long way in reducing corruption and making campaigns cheaper.

        Scoring Criteria

        Please provide a general explanation of the effectiveness of enforcement, describing: 1) any conditions that may prevent effective enforcement, and 2) explain what are the most urgent areas of reform in the country's political finance system.

        Sources

        Silvana Batini, former appellate federal prosecutor and professor of electoral law at FGV. Date of the interview: August 14th 2014.

        Eron Júnior Vieira Pessoa, head of the Advisory Council for Examination of Campaign and Party Accounts at the Superior Electoral Court (TSE). Date of the interview: August 8th 2014.

        Marlon Reis, electoral judge in Maranhao and active lobbyist for the Clean Slate Bill (2011). Date of the interview: August 19 2014.

        Claudio Weber Abramo, head of Transparencia Brasil, a nonprofit watchdog group that fights corruption; Date of the interview: July 30th 2014.

        Bruno Wilhelm Speck, professor at University of Sao Paulo and specialist in political financing. Date of the interview: August 1st 2014.

        Reviewer's sources: Carvalho, Eneuton Dornellas Pessoa. “Salários e política de vencimentos no poder Executivo federal na primeira década de 2000”, in Cardoso Jr., José Celso. (org). Burocracia e Ocupação no Setor Público Brasileiro. Brasília, IPEA, 2011, p. 133-178.

        Filgueiras, Fernando and Ana Luiza Melo Aranha. 2011. Controle da Corrupção e Burocracia da Linha de Frente: Regras, Discricionariedade e Reformas no Brasil. Dados – Revista de Ciências Sociais. 54(2): 349-387.

        Praça, Sérgio & Taylor, Matthew. "Inching toward accountability: the evolution of Brazil's anti-corruption institutions, 1985-2010”, Latin American Politics & Society, v. 56, n. 2, 2014, p. 27-48.

Brazil is led by a directly elected President, and also has a bicameral Parliament. The President is elected by majority vote in a two round system, and is the head of state.

Members of the lower house of Parliament, the Chamber of Deputies, are elected in a proportional system to four year terms. There are 513 seats in the chamber, and they're allocated proportionally between the 27 states according to each state's population. The number of seats for electoral districts varies between 8 and 70, with seats allocated according to an open list system: parties put forward a list of candidates in no order of preference and voters may vote for a party (legenda) or for a candidate (nominal). Votes are totalled in each electoral district, with nominal plus legenda votes determining the distribution of seats among the parties; the candidates of each party receiving the most votes take up the number of seats won by their party.

The 81 members of the Federal Sentate are elected on a majority basis to eight year terms. The 81 Senate seats are made up of three members for each state and the Federal District. Senators are elected by simple majority for an eight-year term. Part of the Senate is renewed at each election, (two-thirds in one election, one-third in the next election).

Parties and individual candidates both play a role in the management of campaigns and electoral funds.

The most recent elections were held in October 2010, and new elections will occur later this year.

In the 2010 presidential elections, Dilma Rousseff of the Worker's Party (PT) was elected president. The leftist PT elected 86 federal deputies, while center PMDB elected 78, opposition party PSDB elected 54, minor coalition member PP 44, and nine other parties elected more than 10 deputies, making this a very fragmented Chamber of Deputies.