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Compliance Review: Final Report and Recommendations

Annex C – Summary of Conformity Audit Measures

The table in this annex is a summary of results from compliance audits conducted by Elections Canada between September and December 2012:

  • A sample of 1,000 polls from the 2011 federal general election
  • The 10 polls that were the subject of the Etobicoke Centre legal contestation
  • A sample of 50 polls from the 2012 Victoria by-election
  • A sample of 50 polls from the 2012 Durham by-election
  • A sample of 50 polls from the 2012 Calgary Centre by-election

Rates of error identified in the 2011 general election and the 3 by-election samples were used to project overall numbers of errors estimated to have occurred within these events. Margins of error for these audits were obtained with a 95% level of statistical confidence.

The Etobicoke Centre sample contains only those polls considered in the legal contestation and results from that audit are not representative of any wider population group.

The audits took place at Elections Canada's distribution centre in Ottawa. Specialists and trained staff audited poll records which are sent to the distribution centre at the conclusion of each election. Audits were undertaken one polling station at a time and were exclusively paper-based. All elements in the audit relate to whether, and to what extent, information was captured on hand-written documentation. The audit provided for results to be reported only at an aggregated national level, but not at an electoral district level.

The audit first considered, of all voters in each sample, which cases involved registration and/or vouching procedures. For all cases involving registration and/or vouching, every step that should have been completed by election officers was checked to determine whether it had been completed correctly. Failures to properly complete steps were then classified as either serious errors ("irregularities") or other errors.

The table contains both: (i) estimated number of times each individual step was not completed correctly; and (ii) 'total irregularities', which estimates the number of voters for whom at least one major error was made during that event.

An "irregularity" is a failure by an election officer to administer safeguards demonstrating that a voter is entitled to receive a ballot. It is important to note that the failure of an election officer to administer these safeguards does not, in and of itself, mean that the voter was not in fact eligible to vote.

2011 General Election Etobicoke Centre Victoria by-election Durham by-election Calgary Centre by-election
  All Voters Estimate % Number in sample % Estimate % Estimate % Estimate % % formula used
(1) Total number of voters* Footnote 1 12,490,692 1,957 33,071 29,280 24,091 none
(2) Total number of polling stations in sample Footnote 2 1,000 10 50 50 50 none
(3) Voters who were pre-registered and met standard ID requirements Footnote 3 11,516,289 92.2% 1,749 89.4% 30,322 91.7% 28,467 97.2% 22,098 91.7% (3)/(1)
(4) Voters who needed to register on polling day Footnote 4 974,403 7.8% 197 10.1% 2,749 8.3% 813 2.8% 1,993 8.3% (4)/(1)
(5) Voters who needed to be vouched for Footnote 5 120,171 1.0% 33 1.7% 677 2.0% 290 1.0% 139 0.6% (5)/(1)
Voters needing to register on polling day
Irregularities
(6) Registration Certificate not completed at polling site Footnote 6 63,115 6.5% 95 48.2% 14 0.5% 29 3.6% 8 0.4% (6)/(4)
(7) Name of voter not captured on Registration Certificate Footnote 7 0 0.0% 0 0.0% 0 0.0% 0 0.0% 0 0.0% (7)/(16)
(8) Address of voter not captured on Registration Certificate Footnote 8 1,210 0.2% 1 1.1% 0 0.0% 0 0.0% 0 0.0% (8)/(16)
(9) Registration Certificate not signed by voter Footnote 9 32,629 4.1% 14 14.9% 67 2.7% 15 2.1% 34 1.9% (9)/(16)
(10) Registration Certificate not signed by poll official Footnote 10 44,689 5.6% 4 4.3% 95 3.8% 39 5.4% 205 11.5% (10)/(16)
(11) Total registration irregularities (% of voters registering on polling day) Footnote 11 114,693 11.8% 109 55.3% 176 6.4% 82 10.1% 248 12.4% (11)/(4)
(12) Total registration irregularities (% of all voters) Footnote 12 114,693 0.9% 109 5.6% 176 0.5% 82  0.3% 248  1.0% (11)/(1)
Other errors
(13) Record not found on Final List of Electors Footnote 13 199,839 20.5% 92 46.7% 225 8.2% 154 18.9% 156 7.8% (13)/(4)
(14) Record not found in Poll Book Footnote 14 289,517 29.7% 183 92.9% 481 17.5% 140 17.3% 478 24.0% (14)/(4)
(15) Registration Certificate not returned to Elections Canada by Returning Officer Footnote 15 173,652 17.8% 103 52.3% 255 9.3% 98 12.0% 207 10.4% (15)/(4)
(16) Registration Certificate returned to Elections Canada by Returning Officer Footnote 16 800,751 82.2% 94 47.7% 2,494 90.7% 715 88.0% 1,786 89.6% (16)/(4)
(17) Electoral district or poll not captured on Registration Certificate Footnote 17 41,029 5.1% 34 33.0% 5 0.2% 73 10.1% 180 10.1% (17)/(16)
(18) Registration Certificate not dated by voter Footnote 18 59,403 7.4% 16 15.5% 90 3.6% 48 6.7% 65 3.6% (18)/(16)
(19) Registration Certificate not dated by poll official Footnote 19 63,402 7.9% 16 15.5% 138 5.5% 77 10.8% 287 16.1% (19)/(16)
(20) Confirmation that ID and address verified not provided on Registration Certificate Footnote 20 106,997 13.4% 34 33.0% 80 3.2% 37 5.1% 282 15.8% (20)/(16)
(21) Voters needing to register on the day who also needed to be vouched for Footnote 21 53,909 6.7% 0 0.0% 299 12.0% 107 15.0% 89 5.0% (21)/(16)
(22) Confirmation that vouching required not provided on Registration Certificate (in cases where voter needed to be vouched for) Footnote 22 13,747 25.5% 0 0.0% 48 16.0% 18 16.8% 20 22.5% (22)/(21)
(23) Registration Certificate does not capture voucher information (in cases where voter needed to be vouched for) Footnote 23 22,318 41.4% 0 0.0% 39 13.0% 22 20.5% 35 39.3% (23)/(21)
(24) Name of voucher on Registration Certificate doesn't match name in Poll Book (in cases where voter needed to be vouched for) Footnote 24 45,271 84.0% 0 0.0% 178 59.5% 49 45.8% 74 83.1% (24)/(21)
Voters needing to be vouched for
Irregularities
(25) Record in Poll Book does not identify both a voter and a voucher Footnote 25 45,868 38.2% 4 12.1% 118 17.5% 60 20.7% 19 13.5% (25)/(5)
(26) Voucher vouched more than once Footnote 26 361 0.3% 2 6.1% 0 0.0% 5 1.7% 0 0.0% (26)/(5)
(27) Voucher not from within voter's polling division Footnote 27 4,866 4.0% 13 39.4% 20 3.0% 0 0.0% 10 7.2% (27)/(5)
(28) Total vouching irregularities (% of voters who were vouched for) Footnote 28 50,735 42.4% 13 39.4% 192 28.4% 38 13.1% 26 19.0% (28)/(5)
(29) Total vouching irregularities (% of all voters) Footnote 29 50,735 0.4% 13 0.7% 192 0.6% 38 0.1% 26 0.1% (28)/(1)
Other errors
(30) Record of voter in Poll Book is incomplete Footnote 30 44,824 37.3% 18 54.5% 213 31.5% 58 20.1% 47 34.0% (30)/(5)
(31) Record of voucher in Poll Book is incomplete Footnote 31 59,604 49.6% 6 18.2% 296 43.8% 126 43.5% 55 39.5% (31)/(5)


Notes
(a) Audit results for the 2011 General Election and By-Elections are expressed as population estimates—that is, rates of error are given for these events as a whole, using the sample as the basis for estimates.
(b) Audit results for Etobicoke Centre relate only to the ten polls that were the subject of the legal contestation—this sample is not representative of any wider population group.

Footnote 1 Estimated number of registered voters who cast ballots on election day. *This differs from the value in the Official Voting Results because it is based on a sample of polling divisions. The estimated value is used in the denominator of the estimated rates below, rather than the true known value, because the resulting rates have less sampling variability.

Footnote 2 Total number of polling stations that were audited in each sample.

Footnote 3 Estimated number of voters on the Official List of Electors that were able to meet ID requirements without needing to be vouched for.

Footnote 4 Estimated number of voters who registered on polling day, using evidence collected from Registration Certificates, Poll Books and Final List of Electors (FLE).

Footnote 5 Estimated number of voters, using evidence from Poll Books and Registration Certificates which indicated vouching was required. Includes both voters who were on the list of electors and who registered on polling day.

Footnote 6 Estimated number of all registrations that were required on polling day where both a Registration Certificate was not found and a record was not found on the Final List of Electors, but record in Poll Book indicated registration required.

Footnote 7 Estimated number of Registration Certificates where voter's name is not captured. Note: including a Registration Certificate in the study requires that the voter's name is captured and therefore this value must = zero.

Footnote 8 Estimated number of Registration Certificates where voter's address is not captured.

Footnote 9 Estimated number of Registration Certificates where voter has not signed the form.

Footnote 10 Estimated number of Registration Certificates where poll official has not signed the form.

Footnote 11 Estimated number of individual cases where at least one irregularity was found, i.e. a Registration Certificate was not completed at the poll site, and/or name or address or signature of voter or signature of poll official not captured. Percentage expressed as proportion of voters who needed to register on polling day.

Footnote 12 Estimated percentage of individual cases where at least one irregularity was found (as above) expressed as proportion of all voters.

Footnote 13 Estimated number of all registrations that were required on polling day where a record was not found on the Final List of Electors.

Footnote 14 Estimated number of all registrations that were required on polling day where a record indicating that the voter was registered was not captured in the Poll Book.

Footnote 15 Estimated number of all registrations that were required on polling day where a Registration Certificate was not found at Elections Canada's central storage facility.

Footnote 16 Estimated number of all registrations that were required on polling day where a Registration Certificate was found at Elections Canada's central storage facility.

Footnote 17 Estimated number of Registration Certificates where electoral district or polling division number was not recorded.

Footnote 18 Estimated number of Registration Certificates where the date was not recorded by the voter.

Footnote 19 Estimated number of Registration Certificates where the date was not recorded by the poll official.

Footnote 20 Estimated number of Registration Certificates where the tick box indicating that ID and address were verified was not checked.

Footnote 21 Estimated number of all registrations that were required on the day where the voter also needed to have their ID and/or address vouched for.

Footnote 22 Estimated number of Registration Certificates where the voter also needed to have their ID and/or address vouched for where the tick box confirming that vouching was required was not checked.

Footnote 23 Estimated number of Registration Certificates where the voter also needed to have their ID and/or address vouched for where voucher information was not recorded on the reverse side of the certificate.

Footnote 24 Estimated number of Registration Certificates where the voter also needed to have their ID and/or address vouched for where the voucher's name on the certificate does not match the name in the Poll Book. Note: count includes cases where the name is not recorded on either the certificate or in the Poll Book.

Footnote 25 Estimated number of all cases where vouching was required and there is no record in the Poll Book clearly indicating both who the voter and who the voucher are.

Footnote 26 Estimated number of all vouchers who vouched for more than one voter.

Footnote 27 Estimated number of all cases where the voucher was registered to vote in a different polling division to the voter.

Footnote 28 Estimated number of individual cases where at least one irregularity was found, i.e. there was no record in the Poll Book clearly indicating who the voter and who the voucher are, and/or the voucher vouched more than once or was registered to vote in a different polling division to the voter. Percentage expressed as proportion of voters who needed to be vouched for.

Footnote 29 Estimated percentage of individual cases where at least one irregularity was found (as above) expressed as proportion of all voters.

Footnote 30 Estimated number of all cases where vouching was required and the record of the voter in the Poll Book does not capture all the information required or does not capture it accurately, e.g. name or address of voter not provided.

Footnote 31 Estimated number of all cases where vouching was required and the record of the voucher in the Poll Book does not capture all the information required or does not capture it accurately, e.g. name or address of voucher not provided.