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Independent audit report on the performance of the duties and functions of Election Officers – By-elections February 25, 2019

Appendices

Appendix A – Audit criteria

Audit objective Audit criteria Audit subcriteria
Compliance
Assessment of whether DROs, PCs and REGOs 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 of the CEA. DROs, PCs and REGOs performed their duties as prescribed by sections 143 to 149, 161 to 162 and 169 of the CEA. Election officers establish a person’s qualification and entitlement to register and/or vote, e.g. obtain proof of identity and residence and elector’s signature on registration certificate declaring to being a Canadian citizen and at least 18 years old.
Election officers identify situations when special procedures must be administered to qualify an elector.
Election officers administer the prescribed procedures and forms in accordance with the CEA.
Election officers administer the required oaths.
Forms and related election documents are duly completed.
Administrative controls
Assessment of the degree to which the administrative controls established by EC, including manuals and training material, support election officers in the exercise of their powers and performance of their duties and functions in accordance with section 164.1 of the CEA. Adequate tools, guidance and training are provided to election officers to ensure accurate and consistent exercise of power and duties in accordance with sections 143 to 149, 161 to 162 and 169 of the CEA. Training courses have been designed to equip election officers to efficiently and effectively take on the duties and functions of their specific roles.
Training officers have appropriate qualifications and training themselves to effectively deliver training to a large number of non-specialists in a very short time period.
Training officers provide training consistently to election officers in accordance with the training expectations/program of EC.
Election officers obtain the appropriate training programs and tools given their assigned responsibilities.
Training officers conduct comprehension tests and use other tools to evaluate and assess whether election officers have the competencies and abilities to fulfill their duties.
Mechanisms are in place for election officers to highlight any need for additional training or support prior to exercising their duties.
Tools, guidance materials and functions have been established to support election officers in assuming the duties and functions of their specific roles.