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Appendix A – Audit criteria – Independent audit report on the performance of the duties and functions of election officers – 43rd General Election

Compliance
Audit objective Audit criteria Audit sub-criteria
Assessment of whether election officers have properly exercised any of the powers conferred on them under the Act, or properly performed any of the duties and functions imposed on them under this Act, that are specified by the Chief Electoral Officer. Election officers performed their duties under the Act, as prescribed by the Chief Electoral Officer Election officers determine a person's eligibility to register and vote, e.g. obtain proof of identity and address 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 before allowing an elector to vote.
Election officers administer the prescribed procedures and certificates and forms in accordance with the Act.
Election officers ask electors to make the required declaration.
Certificates, forms and related election documents are duly completed.
Administrative controls
Audit objective Audit criteria Audit sub-criteria
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 the CEA. Adequate tools, guidance and training are provided to election officers to ensure accurate and consistent exercise of powers and duties imposed on them under the Act. Forms/records to be completed by election officers during the voting process have been streamlined and optimized to allow for clear understanding of the purpose of each form and to enable efficient, complete and accurate completion of these documents.
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.