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Independent audit report on the performance of the duties and functions of election officers – October 26, 2020 By-elections

Appendix A – Audit Criteria

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 have, for the October 26, 2020 by-elections in the ridings of Toronto Centre (Ontario) and York Centre (Ontario), on all days of advance polling (October 16 to 19, 2020) and on ordinary polling day (October 26, 2020), properly exercised the powers conferred on them, and properly performed the duties and functions imposed on them under sections 143 to 149, 161, 162 and 169 of the CEA (including the relevant updates to the Act as a result of Bill C-76 which received Royal Assent on December 13, 2018).

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

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.

The administrative controls established by EC, including manuals, training material and optimized certificates and forms were effective in supporting election officers in the performance of their duties and functions.

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.