Independent audit report on the performance of the duties and functions of Election Officers – By-election December 3, 2018
The Office of the Chief Electoral Officer (CEO), commonly known as Elections Canada (EC), is an independent, non-partisan agency that reports directly to Parliament. The CEO, an agent of Parliament, is responsible for directing and supervising the conduct of elections and referendums at the national level and monitoring compliance under the CEA.
On June 19, 2014, Bill C-23 received Royal Assent. Bill C-23 amended the Act by adding section 164.1 to introduce a legislated audit. Section 164.1 of the Act states the following:
For each general election and by-election, the chief electoral officer shall engage an auditor that he or she considers to have technical or specialized knowledge — other than a member of his or her staff or an election officer — to perform an audit and report on whether deputy returning officers, poll clerks and registration officers have, on all days of advance polling and on polling day, properly exercised the powers conferred on them, and properly performed the duties and functions imposed on them, under sections 143 to 149, 161 to 162 and 169.
PricewaterhouseCoopers LLP (PwC) was engaged to perform an independent audit and report on the performance of the duties and functions of DROs, PCs and REGOs (“election officers”) in relation to sections 143 to 149, 161 to 162 and 169 of the Act (hereinafter referred to as “the relevant sections of the Act”), including our assessment on the degree to which administrative controls established by EC support election officers in this regard for each general election and by-election. The relevant sections of the Act pertain to an elector’s proof of identity and residence, attestation to an elector’s qualification or residence, registration of electors who are not on the List of Electors and record-keeping duties.
The scope of the duties of election officers as prescribed in the relevant sections of the Act require election officers to register electors, request and examine each elector’s proof of identity and address as well as administer and complete prescribed forms and certificates on all days of advance polling (held November 23 to November 26, 2018) and on election day (held on December 3, 2018) in relation to the by-election in the ED of Leeds—Grenville—Thousand Islands and Rideau Lakes (ON).
1.2 EC’s operating context
The statutory mandate of EC is highly operational. The CEO issued a Writ on October 28, 2018 for a by-election in the ED of Leeds—Grenville—Thousand Islands and Rideau Lakes (ON). Once the Writ was issued, the RO was authorized to mobilize hundreds of temporary workers to prepare for the by-election. This includes a DRO, a PC and a REGO (collectively referred to as “election officers”) to perform election-related duties at each polling site throughout the ED. One DRO and one PC are required per polling station and, typically, at least one REGO is assigned to each central polling site/place. It is the duties of these specific election officers that are included in the scope of this audit under S.164.1 of the CEA.
The delivery of this by-election was highly dependent on the RO, in collaboration with the Recruitment Officers, to hire and train a temporary workforce of 635. These individuals are the ones who, for advance polls and election day polls, confirm the appropriateness of identification provided by the elector, confirm that the individual is at the appropriate polling station and is on the List of Electors, confirm that the individual has not previously voted, strike the individual off the List of Electors, provide the elector with a ballot and confirm that they voted. In special circumstances, the election officers initiate and complete additional steps and associated paperwork to allow electors to vote. EC has implemented measures to support election officers by providing them with training, tools and guidance to perform their duties and functions. It is our understanding that following the 41st general election, EC took actions to improve processes and tools, focusing on compliance, and implemented a quality control framework to test these changes in a controlled environment. Furthermore, as a result of the audit of the 42nd general election in 2015, additional measures were taken to strengthen the design and delivery of the training program.
Election officers are required to work long days, with minimal breaks, serving electors. In addition, the requirements of the Act result in complexities relative to the procedures they are expected to undertake (i.e. number of different acceptable forms of identification, number and nature of special procedures) throughout the day. For by-elections, advance polls are open for eight hours a day for four consecutive days, and election day polls are open for 12 hours to allow the maximum number of people to have the opportunity to vote. This by-election saw a voter turnout of 36% Footnote 1.
The current administrative processes required to be completed by the election officers are very manual – with only printouts, checklists and booklets available to document the results of the interactions with electors. Human error is unavoidable due to the manual nature of the processes to serve electors and the 635 election officers required to administer the associated procedures.
Return to source of Footnote 1 As provided by Elections Canada.