RO Final Report vFinal-e - Elections in Canada · The report presents the results of an internal audit of the management of returning officers by ... Operational processes and procedures,

Internal Audit 

 Audit of the Management of the 

Returning Officers     August 2009   

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Table of Contents

Executive Summary...................................................................................................................... 3

1. Introduction........................................................................................................................... 5 1.1 Background..................................................................................................................... 5 1.2 Objectives ....................................................................................................................... 5 1.3 Scope............................................................................................................................... 5 1.4 Methodology................................................................................................................... 6

2. Statement of Assurance ........................................................................................................ 7

3. Overall Assessment ............................................................................................................... 8 3.1 Audit Conclusion ............................................................................................................ 8 3.2 Scorecard: Current Project Status ................................................................................... 9

4. Observations and Recommendations................................................................................ 11 4.1 Compliance ................................................................................................................... 11 4.2 Effective in Meeting Elections Canada Requirements ................................................. 11 4.3 Carried-out in a cost-effective manner ......................................................................... 15 4.4 Adequate Monitoring .................................................................................................... 16

5. Conclusion ........................................................................................................................... 19

Appendix A – Audit Methodology............................................................................................. 20

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Executive Summary The Chief Electoral Officer appoints, on the basis of merit, returning officers to conduct electoral events in the 308 electoral districts in Canada, for a 10 year period. Each returning officer administers the electoral process in a federal electoral district and ensures that it is handled fairly and impartially. Elections Canada assists and provides extensive support to returning officers in maintaining their readiness for an election call. Returning officers draw on a training program, a large number of operational manuals, and planning tools to ensure that they are ready for an election. This audit was identified in the risk-based audit plan as one of the earlier engagements that should be conducted and closely monitored as a result of the exposure that the returning officers have in the electoral process. With the recent back-to-back minority governments, this has become increasingly important. The audit provides assurance to senior management that the processes, practices and procedures to manage returning officers are compliant with the Canada Elections Act, effective in meeting Elections Canada requirements, carried out in a cost-effective manner, and adequately monitored. The audit assessed the overall management processes at headquarters and among the field liaison officers for the recruitment, training, administration, support and evaluation of returning officers. The scope of the audit covered the most recent period for which data is available for each activity and focused primarily on activities between electoral events, while recognizing that there is often overlap with activities conducted during a general election. The audit was conducted from November 2008 to February 2009. In general, the audit showed that Elections Canada’s processes, practices and procedures used to manage returning officers are sound. Appropriate controls are in place to identify, assess and mitigate program risks associated with the management of returning officers. Activities at headquarters to manage returning officers are compliant with the Canada Elections Act and other legislation, in particular pertaining to their recruitment and budgeting processes. In general, they effectively meet Elections Canada requirements in assisting the returning officers to conduct successful events while being carried out in a cost-effective manner. Through extensive monitoring, issues and risks are identified and communicated to the appropriate groups in a timely manner. The key findings and recommendations cover the professionalization of returning officers, the continuous learning program for returning officers, and the budget control required under the current approach in the Tariff of Fees.

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The full implementation of the professionalization of the returning officer as defined in the Elections Canada Strategic Plan 2008-2013 has yet to be implemented. It is important to continue to develop and implement practices that will ensure that the Strategic Plan initiative to professionalize the role of the returning officer is achieved. This would include defining what constitutes professionalizing the role of the returning officer, developing an action plan to implement the initiative and monitoring its progress. The recruitment process for returning officers has been successfully implemented. Although initial training is provided for them, there is a recognized need for a continuous training program for returning officers. Finally, a formal budget is in place that is used to manage and allocate resources to returning officers. The current approach provides detailed control of the budget of returning officers. This approach is required under the Tariff of Fees. Elections Canada, in consultation with its financial, legal and operation sectors, should review and assess the present Tariff of Fees to determine which areas require amending in order to fully accomplish the strategic initiative to professionalize the role of the returning officer, and carry out activities in a cost-effective manner.

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1. Introduction 1.1 Background The Office of the Chief Electoral Officer is an independent, non-partisan agency set up by Parliament. Its mandate includes being prepared at all times to conduct a federal general election, by-election or referendum. Under the new legislation, the responsibility for appointing and dismissing Returning Officers now rests with the Chief Electoral Officer rather than the Governor in Council. This amendment received Royal Assent on December 12, 2006 and came into force February 10, 2007. To support this mandate, the Chief Electoral Officer appoints, on the basis of merit, returning officers to conduct electoral events in the 308 electoral districts in Canada, for a 10 year period. Each returning officer administers the electoral process in a federal electoral district and ensures that it is handled fairly and impartially. Due to election readiness priorities, all 308 returning officers were trained and in place by April 2007. Elections Canada assists and provides extensive support to returning officers in maintaining their readiness for an election call. Returning officers draw on a training program, a large number of operational manuals, and planning tools to ensure that they are ready for an election. This audit was identified in the risk-based audit plan as one of the earlier engagements that should be conducted and closely monitored as a result of the exposure that the returning officers have in the electoral process. With the recent back-to-back minority governments, this has become increasingly important. 1.2 Objectives The audit will provide assurance to senior management that the processes, practices and procedures to manage the returning officer are:

• compliant with the Canada Elections Act and other legislative and policy requirements;

• effective in meeting Elections Canada requirements;

• carried out in a cost-effective manner; and

• adequately monitored. 1.3 Scope The audit assessed the overall management processes at headquarters and among the field liaison officers for the recruitment, training, administration, support and evaluation of returning officers. The scope of the audit covered the most recent period for which data is available for each activity, focusing primarily on activities between electoral events while recognizing that there is often an overlap with activities conducted during a general election.

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The audit of the returning officer was approved in the 2008-09 Risk-Based Audit Plan and took place during the period November 2008 to February 2009. 1.4 Methodology The audit was conducted in accordance with Generally Accepted Auditing Standards (GAAS) and the requirements set out in the Treasury Board’s policy on Internal Audit. The key tasks associated with the audit included reviewing Elections Canada documentation and interviewing Elections Canada staff and a representative from both the returning and field liaison officer groups. The audit team followed the approved audit criteria developed during the planning phase of the audit, which can be found in Appendix A.

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2. Statement of Assurance In my opinion as Chief Audit Executive, sufficient and appropriate audit procedures have been conducted and evidence gathered to support the accuracy of the opinion provided and contained in this report. The opinion is based on a comparison of the conditions, as they existed at the time, against pre-established audit criteria that were agreed with management. The audit opinion is only applicable to the entity examined, as described in the audit scope section of the report.

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3. Overall Assessment 3.1 Audit Conclusion The report presents the results of an internal audit of the management of returning officers by Elections Canada. The purpose of the audit is to provide assurance that the processes, practices and procedures to manage returning officers are compliant, effective, cost-effective and monitored. In general, the audit shows that Elections Canada’s processes, practices and procedures for managing returning officers are sound. The management of returning officers is compliant with the Canada Elections Act and other legislative and policy requirements. Appropriate controls are in place to identify, assess and mitigate program risks associated with the returning officer. In general, activities to manage returning officers are adequately monitored to ensure that they are effective and efficient. Moreover, processes exist to improve the management of returning officers. For example, post-mortems are held after every general election and feedback from those is addressed and incorporated in future processes. The professionalization of returning officers, as defined in the Elections Canada Strategic Plan 2008-2013, has not been fully implemented. The recommendations are based on the need to continue to develop and implement practices that will ensure that this Strategic Plan initiative is achieved. This would include defining what constitutes professionalizing the role of the returning officer, developing an action plan to implement the initiative, and monitoring its progress. The recruitment process for returning officers has been successfully implemented. Although initial training is provided, there is a recognized need for a continuous training program for returning officers. The authority to recruit returning officers is vested in the Office of the Chief Electoral Officer. However, budgeting and financial administration is vested in the Tariff of Fees, which puts constraints on how the activities and budgets of returning officers can be managed. The constraints imposed by the present Tariff of Fees may inhibit the ability of Elections Canada to implement new approaches to managing returning officers. In implementing the professionalization of returning officers, Elections Canada will have to review the present Tariff of Fees, in consultation with its financial, legal and operational sectors, and determine whether the Tariff of Fees requires amendment.

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3.2 Scorecard: Current Project Status The following scorecard presents the overall result of the audit for each criterion. The rating presents the current level of improvement based on the status at the time of the audit, with a high-level comment on what was observed during the audit.

Scorecard Criteria

Refer to Appendix A Rating Explanation

Compliance Requirements of the Canada Elections Act, other legislation and policies are met.

Operational processes and procedures, such as the RO recruitment and budgeting processes, incorporate the new legislative changes to the Canada Elections Act.

Effective in meeting Elections Canada requirements

Governance structure is established. The internal governance structure is comprised of four committees, each having a clear mandate. Organization charts and statements of work are clear and communicated.

Strategic directions are clearly defined, communicated and aligned with EC's strategic plan.

Senior management’s mandates are aligned and clearly articulated in the current five-year strategic plan.

The business operating plan and human resources plan are appropriate and linked.

Professionalization of the returning officers is addressed in the Strategic Plan; however, no operational plans are in place to professionalize the role of the returning officer.

Risk management processes are established and documented.

An Operations management program identifies, addresses and mitigates risks.

Program organization, policies and procedures are appropriate.

Organizational roles and responsibilities with respect to the administration and support of the RO are established and clearly articulated in the RO Manual.

Appropriate activities for the recruitment of returning officers are established.

Recruitments, incorporating the abilities and experience requirements of the RO position as part of the selection criteria, are timely and supported by sound analysis, including reference and background checks.

Training and development activities for returning officers are established.

The initial training is well established; however, there is no continuous learning program in place to support ROs between events.

Carried out in a cost-effective manner

A formal budget process is in place. The RO Manual and preliminary notification of budget amounts provides a formal process to manage and allocate resources; however, the Tariff of Fees demands a detailed level of budget control that is not conducive to enhancing the autonomy of the returning officer.

A process exists to analyze, review and improve the cost-effectiveness of the program.

The budget process is regularly reviewed and evaluated by its users after each event to identify improvements. New IM/IT strategies also assist in the cost-effectiveness of gathering and updating voter information.

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Criteria Refer to Appendix A Rating Explanation

Adequate monitoring Program activities are adequately monitored by management.

Management continuously monitors the activities of ROs and associated potential risks and identified issues. Processes are in place for reporting completed tasks.

Performance evaluation of returning officers has been established.

The task-driven performance evaluation process utilizes a yes/no format. It does not provide a more substantive analysis that evaluates the required competencies of the RO.

Issues and risks identified are communicated to the appropriate groups in a timely manner.

Suggestions and complaints are reviewed, discussed and acted upon.

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4. Observations and Recommendations The details of each observation, conclusion and recommendation resulting from our audit procedures for each objective are outlined below. 4.1 Compliance The recent recruitment of returning officers by Elections Canada was authorized under the enactment of the Canada Elections Act as amended by the Federal Accountability Act and has resulted in the improvement of services provided to the electoral districts. Changing the appointment of the returning officer from a political appointment to a competitive selection process based on predetermined selection criteria and competencies has resulted in a service with fewer problems than experienced in the past. 4.2 Effective in Meeting Elections Canada Requirements Professionalize the role of the returning officer While the initiative to professionalize the role of the returning officer is articulated in Elections Canada’s Strategic Plan, it has not yet been carried forward into operational plans. Operational plans do not identify and define the various components of the initiative (i.e. recruitment, autonomy, performance evaluation and continuous training) and describe the tasks, roles and responsibilities of the operational groups that must work together to make the concept an operational reality. The initiative has been embraced and supported throughout the electoral process; however, what professionalizing actually entails is neither clear nor understood. The audit team concludes this is the result of the following:

• There is not yet a definition of what the professionalization of returning officers means.

• No action plan has been developed to professionalize the role of the returning officer as directed in the Strategic Plan;

• The initiative has not yet been articulated in the performance management agreements of those responsible to implement it;

• There is no evidence indicating that there are comprehensive discussions of the initiative at management and senior management meetings; and

• Minority governments have unavoidably affected Elections Canada’s ability to focus on its longer-term direction.

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The fact that a returning officer is an office-holder rather than an employee, combined with the residency requirement for remaining in the position, and the difficulty in determining an annual workload all contribute to make the position unique. This has resulted in different perceptions on what the levels of autonomy, authority and responsibility should be, and how the position can be managed. Without a clear definition of what it means to professionalize the role of the returning officer and without an implementation action plan, Elections Canada’s ability to focus on its longer-term initiative is at risk of not being fully realized. There is also a potential that can be explored, to establish the returning officer as the Elections Canada representative in the electoral district, responsible for both the promotion of the electoral process and the ongoing update of the electoral role. Recommendation

1. The definition of what constitutes “Professionalizing the role of the returning officer” should be clearly articulated and disseminated.

Management Response Responsible position: Director, Field Personnel Readiness; We agree with the recommendation. A consultant has been hired to prepare a “Management Framework” document on “Professionalizing the role of the Returning Officer”. One of the deliverables included in the document is a clear definition of what constitutes “Professionalizing the role of the Returning Officer”. That information will be used as a base for the preparation of a “Project Initiation Document (PID)” and will be disseminated throughout the organisation and to field personnel. September 2009.

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Recommendation 2. It is recommended that management develop a comprehensive action plan to further

professionalize returning officers that identifies tasks, responsibilities, accountabilities and realistic timelines for implementation.

Management Response Responsible position: Director, Field Personnel Readiness; We agree with the recommendation. A comprehensive action plan will be developed as part of the “Management Framework” and will include tasks, responsibilities, accountabilities and a more refined timeline for implementation. March 2010. Recommendation

3. It is recommended that management monitor the progress of the initiative, along with its associated risks.

Management Response Responsible position: Director, Field Personnel Readiness; We agree with the recommendation. This will be stated in great detail in the “Business Requirements Definition” phase. The business requirements definition will include project control mechanisms that will be regularly monitored by management. March 2010. Training The initial training for newly appointed returning officers is well established, commencing with a face-to-face introduction session with the field liaison officer and a six-day course held in Ottawa, where the requirements of the position are reviewed. The training has been well received by the incumbents appointed since the new selection process has been in place.

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The retention of knowledge presents a challenge during the four-year period that occurs during the normal general election cycle. An actual general election may be held soon before or long after the initial training. Knowledge is currently maintained by yearly meetings with the field liaison officer, other returning officers in the region and a representative from Elections Canada headquarters. Material is circulated from headquarters to provide updates and the returning officers receive compensation for the time required for its review. Plans are underway for the establishment of a newsletter; however, it is unlikely that this alone will meet the challenges of knowledge retention and contribute to the development of a sense of community that is an essential element to professionalize the role of the returning officer. The training program for new appointees is well established; however, it does not support a continuous learning and development curriculum after the initial training. The development of a learning curriculum that goes beyond initial training needs is dependent upon the returning officer achieving a higher degree of autonomy and the implementation of a more comprehensive performance evaluation process that includes the assessment of the returning officer’s competencies. While the returning officer training and development program is being reviewed, a review of alternative training models should be undertaken. On-line training is becoming more prevalent in the both the public and private sectors. It has cost advantages over the traditional classroom approach with respect to travel and accommodation costs, especially for operations that cover large geographical areas. A trainee can complete the on-line courses whenever convenient. Recommendation

4. Elections Canada should develop a returning officer training program that addresses a learning curriculum that goes beyond initial training needs.

Management Response Responsible position: Director, Field Personnel Readiness; We agree with the recommendation. The Directorate will develop a new training curriculum that will cover the overall RO training. It is expected that the business requirements phase of the professionalisation of the role of the returning officer will include requirements specific to training such as: pre-training assignments, classroom training, and post-training assignments, along with an on-going Web based tutorial pilot project. September 2010

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Recommendation 5. Elections Canada should consider alternative training delivery models, such as on-line

training. Management Response Responsible position: Director, Field Personnel Readiness; We agree with the recommendation. The Directorate will consider alternative training delivery models in the form of an on-going Web based tutorial project as part of the new training curriculum.. September 2010 4.3 Carried-out in a cost-effective manner Budgeting The budget for an electoral district is prepared prior to an electoral event. The returning officer is not required to prepare submissions for the budget, as the fees and allowances are provided in the Tariff of Fees and the budget is set by headquarters based on the projected workload for the electoral district. Returning officers may request, with justification, additional funds from the Elections Canada Support Network, with each requirement to be submitted separately. The field liaison officer will advise headquarters on the validity of the requirement, to assist in the approval decision by headquarters. E-mail authorization for the additional funding will be received by the returning officer within a few hours of the request if headquarters approval is granted. The Tariff of Fees directs returning officers to submit a claim with supporting documentation for all approved expenditures during and between events. The present budgetary control procedures mandated by the Tariff of Fees are anchored within the former Elections Canada regime, when the returning officer was a political appointee. Under the new regime, established by the Canada Elections Act as amended by the Federal Accountability Act, the political appointment process was discontinued and Elections Canada was delegated the authority to recruit returning officers through a competitive selection process based on predetermined selection criteria and competencies. Elections Canada’s new recruitment responsibility was the initial step towards professionalizing the role of the returning officer.

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The next step, to provide greater autonomy, is limited under the current Tariff of Fees. The Tariff of Fees is very restrictive in nature and does not provide Elections Canada the latitude and flexibility in its budget and expenditure procedures to provide greater autonomy to the returning officer. The approach that was established when returning officers were political appointees, if carried forward and maintained in its present state, will not facilitate professionalization of the role of the returning officer. Effectiveness and efficiency gains anticipated by Elections Canada through the increased autonomy of returning officers may not be fully realized. If the role of the returning officer is to be Elections Canada’ representative for both the ongoing promotional activities of the electoral process and the updating of the electoral role, then an annual budget would facilitate institutionalizing these activities. The assignment of budgetary submission and reporting responsibilities would be a positive step forward in achieving the strategic initiative to professionalize the role of the returning officer. Recommendation

6. Elections Canada, in consultation with its financial, legal and operation sections, should review and assess the present Tariff of Fees to determine what areas require amending in order to fully accomplish the strategic initiative to professionalize the role of the returning officer.

Management Response Responsible position: Director, Field Personnel Readiness; We agree with the recommendation. A working group responsible for the review of the Tariff of Fees already exists and is looking at areas that would have a significant impact in accomplishing the strategic initiative to professionalize the role of the returning officer. One of the areas that is being looked into is a monthly retainer. Further discussions are necessary – the Expenditure Restraint Act must be considered in any amendment to the Tariff of Fees related to election officer fees. A presentation highlighting proposals for amending the tariff will be made to EXCOM. March 2011. 4.4 Adequate Monitoring Performance evaluation The returning officer’s performance evaluation process is based on the satisfactory or not satisfactory achievement of performance indicators. At the conclusion of an election, the field liaison officer completes the evaluation by assessing each performance indicator and forwards it to headquarters. The headquarters functional authorities that have assigned tasks to the returning officer during the period since the previous election include their input into the performance

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evaluation and then forward it to the returning officer for comment and signature. Performance information used to evaluate the returning officer’s performance is at the task level; it does not go beyond this level to evaluate the achievement of the position’s competencies initially used to recruit the returning officer. All performance evaluations are reviewed by the Evaluation and Recruitment Section in headquarters and if an unsatisfactory performance has the potential to be corrected, training will be provided. If the collective conclusion at headquarters is that intervention will not resolve the performance issue, the process to remove that individual from office will commence. The current performance evaluation process needs improvement in the following areas:

• The current performance indicators focus only on tasks and do not include competencies;

• No performance agreements are prepared and signed by returning officers prior to the commencement of the performance period that articulate both the operational and competencies performance indicators that the returning officer will be assessed against; and

• No process is in place to integrate performance assessment information acquired during and between events.

The returning officer’s training needs and subsequent training plans are based only on the achievement of performance indicators that are task-driven. A more robust and comprehensive evaluation process would include both operational and competency performance indicators. At the time of the audit, the performance appraisal process had not been completed for the 40th general election. This was the first time the current process was used and it was not possible to assess whether or not it constructively identified weaknesses and subsequent learning and developmental opportunities. However, the audit team did conclude that the process did not assess returning officers based on competency performance indicators. Recommendation

7. The performance evaluation process should include an evaluation of the required returning officer competencies, providing a more comprehensive process to identify learning and developmental opportunities.

Management Response Responsible position: Director, Field Personnel Readiness; We agree with the recommendation. Key returning officer (RO) competencies are identified and listed in the Returning Officers Selection Criteria. This document constitutes the cornerstone of the RO recruitment and selection process and is available on Elections Canada’s website when an external appointment process is launched (i.e.: a public competition).

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We are presently reviewing and updating the performance indicators and measurement criteria at the core of the performance evaluation program. During this review, we are considering and are integrating these competencies in the scope of the new performance measurement tools. Regarding the identification of learning and development opportunities, it should be noted that all returning officers were given the opportunity to identify learning and development opportunities at the moment of reviewing and signing their performance evaluation report card. In this regard, the Field Readiness Directorate, Training Division will consider the feedback received from the community of ROs and tailor the RO training program to improve their overall competencies. March 2010 Recommendation

8. Returning officers’ performance agreements should be prepared and signed prior to the commencement of the performance period that articulates both the operational and competencies performance indicators that the returning officer will be assessed against.

Management Response Responsible position: Director, Field Personnel Readiness; We agree with the recommendation. Even though there are no formal RO Performance agreements at this time, it should be noted that returning officers do sign a declaration, at the time of appointment, confirming that they will abide by the Code of Professional Conduct for Election Administration. The Code constitutes a CEO instruction as per paragraph 16c) of the Canada Elections Act. A more comprehensive evaluation process will be developed that will be made available to returning officers upon nomination to provide them with the criteria against which they will be evaluated between and during electoral events. The returning officer will be asked to review the criteria and understand that they will be evaluated against them. December 2009

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5. Conclusion The returning officers are an essential and integral part of a fair and transparent electoral process. Elections Canada management of returning officers has been modified in general to correctly reflect the new approach under the federal Accountability Act. Management continues to invest in the management of returning officers to ensure that proper training and development activities support their needs, not only during electoral events but between events as well. To further improve the management of returning officers, Elections Canada should:

• Define the professionalization of returning officers and develop an action plan to implement the initiative;`

• Create a continuous learning program for returning officers;

• Review the Tariff of Fees and identify whether amendments are required. With the new mandate to professionalize them, there is an opportunity to view returning officers more as managers for their electoral districts.

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Appendix A – Audit Methodology The audit was carried out through interviews with management, staff and other stakeholders, such as returning officers and field liaison officers, together with a review of pertinent documentation and appropriate testing. The audit methodology addressed roles and responsibilities for the management of returning officers, including processes, practices and procedures followed to assess the audit objectives, namely, compliance with the Canada Elections Act and other legislative and policy requirements; effectiveness of the RO management program in meeting Elections Canada requirements; whether it is carried out in a cost-effective manner; and whether it is adequately monitored. Documentation review included relevant legislation, manuals, procedures, directives, financial and non-financial reports, periodic reports to operational sector management and senior management for decision-making, as well as all relevant documentation pertaining to the management of returning officers. The following criteria and sub-criteria have been developed to address each audit objective, and were reviewed by management before the conduct of the fieldwork phase of the audit.

Criteria Sub-Criteria Compliance

Requirements of the Canada Elections Act, other legislation and policies are adhered.

Activities at headquarters to manage the returning officers are planned in compliance with legislative and policy requirements.

Effective in meeting Elections Canada requirements A governance structure is established. A clear and effective organization structure is

established and documented. Authority, responsibility and accountability are

clear and communicated. An effective program management governance

structure is established with a clear mandate that includes roles with respect to governance, risk management and controls.

Strategic directions are clearly defined, communicated and aligned with Elections Canada's strategic plan.

The program has a clearly defined and communicated strategic direction and objectives aligned with Elections Canada’s overall strategic outcomes.

The business operating plan and human resources plan are appropriate and linked.

The program has in place operational plans and objectives aimed at achieving its strategic direction.

Strategic human resources and business planning are clearly aligned and consider current and future needs of Elections Canada.

Risk management processes are established and documented.

The program has a documented approach to risk management.

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Criteria Sub-Criteria The program identifies and assess risks that may

preclude the achievement of its objectives.

The program identifies and assesses the existing controls that are in place to manage its risks and formally respond to its risks.

Program management planning and resource allocation discussions consider risk information.

Program organization, policies and procedures are appropriate.

Processes established at headquarters to administer and support the returning officers are appropriate.

The program has resources to support research and analysis.

The program has a formal and rigorous approach to policy and program design.

External and internal environments are monitored to obtain information that may signal a need to re-evaluate the program's objectives, policies and/or control environment.

Appropriate activities to recruit returning officers are established.

The program has a recruitment process that is appropriate and timely to deliver the mandate of Elections Canada.

Elections Canada identifies its current and future requirements for returning officers and analyzes them against existing competencies and capacities.

Training and development activities for returning officers are established.

The program has processes and practices to ensure the Strategic Plan initiative to professionalize the returning officer is properly implemented.

The program provides returning officers with the necessary training, tools, resources and information to support the discharge of their responsibilities.

Carried out in a cost-effective manner A formal budget process is in place. A formal process is in place to manage the budget

of the activities at headquarters relating to returning officers.

A formal process is in place to allocate resources to returning officers’ budgets.

A process exists to analyze, review and improve the management of the program.

Cost-effectiveness is integrated in the business analysis and planning process.

A process exists to solicit comments relating to improvements from management, returning officers and field liaison officers.

The program leverages information technology as a cost-effective tool to enhance services and access for returning officers.

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Criteria Sub-Criteria Adequate monitoring

Program activities are adequately monitored by management.

Management monitors actual performance against planned results and adjusts course as needed.

Deviations from policies, procedures and codes of conduct are documented and promptly investigated and remedial action is taken.

Performance evaluation of returning officers has been established.

Performance measurement strategies are in place and are applied for all returning officer and field liaison officer policies, programs and initiatives.

The program has in place a system for the performance evaluation of returning officers.

Performance measures are reviewed on a periodic basis and updated as required.

Responsibility for monitoring and updating performance measures is clear and communicated.

Suggestions and complaints are captured and communicated to relevant internal parties.

Issues and risks identified are communicated to the appropriate groups in a timely manner.

Formal communication processes exist and support sharing of timely, relevant and reliable information with returning officers, field liaison officers and Elections Canada

Issues identified are communicated to the appropriate groups in a timely manner.