SECURITY OF ELECTION MATERIALS – POST ELECTION

STANDARD OPERATING PROCEDURE (SOP)

Purpose

To ensure election materialdelivered to NSWEC Warehouse followingthe declaration of candidates duly elected is:

  • Accounted for upon delivery,
  • Collated by election event /area,
  • Physically labelled,
  • Stored,
  • Secured,
  • Access thereto restricted,
  • Access registered,
  • Theremoval and/or destruction of such material appropriately authorised and documented.

Out of Scope

This SOP applies to materials packaged by a Returning Officer for return to NSWEC. It is not intended to capture the treatment of electronic election records held on centralised servers/databasesat NSWEC.

Background – Election Material to be secured post Election

The Electoral Commissioner, after declaration that candidates have been duly elected, must have the used and unused ballot papers, authorised copies of the roll and other papers and materials used in the election kept securely until the latest of the following conditions.

  • For State and Local Government electionsIf a petition has or petitions have been filed —that such Court of Disputed Returns or Tribunal has determined the matters referred to in the petition or petitions,thenthe period of 6 months after the day of polling has expired,
  • For Statutory, Industrial, Club and other Ballots the period specified in the associated Rules/Regulations, or for the period as directed by the Electoral Commissioner and advised to the client organisation,
  • The period during which the validity of the election may be disputed under an Act/ Constitution / Rule or Regulation has expired,
  • If the Electoral Commissioner has consented to the use of the papers and materials in the parcels for NSWEC internal research or analysis—the conclusion of that research or analysis.

Destruction of Election Material

Provisions provided for under s176A of the PE&E Act allow for the destruction of election material despite section 21 of the State Records Act. Similar provisions exist in Local Government legislation. The destruction of material supporting the principle of finality of elections will apply to all elections administered by the NSWEC.

On the expiry of the Electoral Commissioner’s obligation to secure election material, he or she may cause those papers and materials to be destroyed by secure and confidential means.

That action is only to be taken upon receipt of written approval of the Electoral Commissioner.

Election Material – Defined

  • State and Local Government Elections:

Materials are those identified in the Returning Officer Standard Operating Procedure (RO SOP)as “secure items / materials” and containers of such labelled accordingly:

  • USED ballot papers (formal and informal)
  • UNUSED ballot papers
  • USED declaration envelopes (incl. rejected envelopes/spoilt/discarded)
  • USED election forms (incl. nomination forms)
  • Authorised Electoral Rolls in paper and electronic form.
  • Registered HTV Material
  • Material to NSWEC Head Office (excluding Accounting Records as defined by Treasurers Directions)
  • Statutory and Industrial Ballots:
  • USED ballot papers (formal and informal)
  • UNUSED ballot papers
  • USED declaration envelopes (inc. rejected envelopes/spoilt/discarded)
  • USED election forms
  • Authorised Electoral Rolls in paper and electronic form.

Secure Storage Area

The NSWEC has identified the NSWEC Warehouse floor excluding the mezzanine level as a “Restricted Area”under the control of the Warehouse Supervisor.

The essential features of this secure storage area are:

  • Appropriately secured points of entry;
  • Designated and signed secured zones with restricted access;
  • No unauthorised traffic in secured zones;
  • Locked away storage of ballot papers;
  • A tamper-evident seal to election material;
  • An effective means of limiting entry to authorised people (white list);
  • Authorised Staff are clearly designated,
  • Personal bags or items, mobile phones, cameras etc not permitted in BP Storage areas;
  • All staff requiring frequent entry for a work related purpose must have an appropriate securityclearance;
  • All visitors and contractors are to be validated, identifiable and escorted at all times;
  • After hours breaches of the building perimeter ismonitored by a back to base response;
  • The deployment of appropriately trained and security cleared on site guards during major election counting activities; and
  • The deployment of CCTV as appropriate to the level of risk.

Election Material Management

All materials returned post election must:

oBe subject to a delivery manifest prepared by the sender and/or courier for accounting purposes;

oBe packed in sealed boxes/bags/outer containers sealed and clearly labelled as to contents;

  • Ifreturned in multiple boxes they must be shrink wrapped or placed in a ULD by election event area and stored on pallet/s within the Warehouse;
  • Signed for upon receipt or transfer of custodianship;

oNot to be accessed until such time as written authority is given to “Authorised Officers” by the Electoral Commissioner.

Authorities for Access

The access to storage is limited to authorised persons (white list) only. The list of authorised persons is maintained and access to storage is logged to keep track of all access to the storage and reason for access.

Authorities for access must be approved in writing by the Electoral Commissioner.

“Authorised Officers” are those officers approved by the Electoral Commissioner to have access to election material.

A copy of an authority for access to election material must be provided to the Warehouse Supervisor.

The list of authorised persons is maintained and access to storage is logged to keep track of all access to the storage and reason for access.

Ongoing Authorities for Access

The Electoral Commissioner has approved of an ongoing authority and / or delegations tonominated officers to access specific election material (refer Schedule “A”).

Responsibilities

The Warehouse Supervisor controls access to containers of election materials. Any requests for assistance to identify and sort the contents of such will be considered in the context of available staff resources.

Warehouse Supervisor

  • Ensures follow-up with courier service providers of election material not accounted for upon delivery, under the following conditions:
  • During major elections, logistics does not have the capability to immediately account for material by box. For major elections the material will be initially accounted for by pallet/ULD.
  • Discrepancies will be advised to Director Elections Branch, or nominated delegate.
  • All deliveries marked “IT hardware equipment” will be handed over to the IT branch for accounting/reconciliation purposes.
  • The Warehouse Supervisor provides authorised access to containers of materials (but is not responsible for dealing with the contents therein).
  • Ensures the collation of material by electoral event and area, labelling (as appropriate), movement and secure storage of such material in the NSWEC warehouse.
  • Controls access to “restricted areas”.
  • Maintains a “Register of Access” to election material containing:
  • Authorities for Access, and
  • Details of Materials Accessed, the Person, Date Accessed and the Date Materials Returned.
  • Identifies when the Secured Period has expired.
  • After receipt of a written authorisation from the Electoral Commissioner arranges for:
  • the access of an “Authorised Officer” to election material
  • disposal of material in a secure fashion
  • documents / records the disposal of material / receives a certificate of destruction related thereto and files such on the Disposal / Destruction of Election Material File.

Director Elections

  • Accountable forcontrols in place at the Returning Officer (RO) Office to ensure all materials have been appropriately labelledand securely parcelled and despatched to the Warehouse.
  • Ensures the followup with Returning Officers of election material not accounted for upon delivery to the NSWEC Warehouse.
  • Confirms the expiry period for the retention of election material, and seeks written approval from the Electoral Commissioner for the subsequent destruction of such material.
  • Uses the “Election Materials – Destruction Authorisation Form” for seeking authority to destroy materials.

Commercial Services Manager

  • Specific to Statutory / Industrial / Ballots andelections, is accountable for controls in place at the Venue and / or Returning Officer (RO) Office level to ensure all materials have been appropriately labelled and securely parcelled and despatched to the Warehouse.
  • Ensures the follow up with Returning Officers of election material not accounted for upon delivery to the NSWEC Warehouse.
  • Confirms the expiry period for the retention of election material, and seeks written approval from the Electoral Commissioner for the subsequent destruction of such material.
  • Uses the “Election Materials – Destruction Authorisation Form” for seeking authority to destroy materials

Commercial Services Officer

  • Upon receipt of Statutory / Ballots election materials at NSWEC Office ensures the immediate collation, parcelling, labellingand return of all to the NSWEC Warehouse.
  • Confirms when the Secured Period of such material will expire.

Authorised Officers

oAuthorised officers are to extract the material approved for access, then label, seal and return such boxes and their associated contents to the Warehouse Supervisor.

oUpon completion of work upon the material extracted,ensure it is returned in sealed labelled containers to the Warehouse Supervisor.

oComplete the “Register of Access”.

SOP Monitoring and Review

This SOP will be reviewed on a periodic basis, atleast every 2 years, to ensure that the procedure remains current and appropriate. The next review date will be January 2017.

Supporting References

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  • F2010/208
  • Parliamentary Electorates and Elections Act 1912
  • Local Government Act 1993
  • The City of Sydney Act 1988
  • Registered Clubs Act 1976
  • Industrial Relations Act 1996
  • Aboriginal Land Rights Act 1983
  • Privacy and Personal Information Protection Act 1998
  • Government Information (Public Access) Act 2009

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  • Public Finance and Audit Act 1983
  • Treasurers Directions
  • State Records Act 1998

Version Control

Date / Version / Approved by / Amendment
10/04/2012 / 1.0 / Electoral Commissioner
27/01/2015 / 2.0 / Electoral Commissioner / Review of SOP –feedback from Directors
  • SCHEDULE A

Ongoing Authority/ Delegations for Access to Specific Election Material

ACCESS TO CONTAINERS AND EXTRACTION OF FORMS / MATERIAL THEREIN / CONDITIONS
And DATE Of ACCESS / AUTHORISED
PERSONS
State and Local Government material for NSWEC Head Office administration purposes (Generally referred to as Box A material).
Includes Nomination “Deposit” Forms / Containers are to be provided by Logistics Officers to nominated authorised officers. / All Directors.
How to Vote Material - Registered / Containers are to be provided by Logistics Officers to nominated authorised officers.
Those authorised officers are to extract the material approved for access, seal and return such Containers to Logistics.
Upon actioning the material extracted it will be returned in sealed labelled Containers to Logistics. / Director Funding Disclosure and Compliance ,
Team Leader Registration and Disclosure ,
Compliance Manager,
and nominated personnel by the above officers.
Nomination Forms / Containers are to be provided by Logistics Officers to nominated authorised officers.
Those authorised officers are to extract the material approved for access, seal and return such Containers to Logistics.
Upon actioning the material extracted it will be returned in sealed labelled Containers to Logistics. / Director Funding Disclosureand Compliance, and nominated personnel by the Director.
Postal Vote Records / As Above / Director Elections
Forms
  • Polling Place Register
  • Result Sheets
/ Containers are to be provided by Logistics Officers to nominated authorised officers.
Those authorised officers are to extract the material approved for access, seal and return such Containers to Logistics.
Upon actioning the material extracted it will be returned in sealed labelled Containers to Logistics. / Director Elections and and nominated personnel by the Director.
Declaration Envelopes - Used / As Above / Director Enrolment
Forms
  • Notification of Death
  • Failure to Vote
  • Excuse
/ Containers are to be provided by Logistics Officers to nominated authorised officers.
Those authorised officers are to extract the material approved for access, seal and return such Containers to Logistics.
Upon actioning the material extracted it will be returned in sealed labelled Containers to Logistics. / Director Enrolment and NonVoters Admin Officer.
Enrolment Forms / Containers are to be provided by Logistics Officers to nominated authorised officers.
Those authorised officers are to extract the material approved for access, seal and return such Containers to Logistics.
Upon actioning the material extracted it will be returned in sealed labelled Containers to Logistics. / Director Enrolment and NonVoters Admin Officer.
Authorised Rolls – Paper and Electronic / Containers are to be provided by Logistics Officers to nominated authorised officers. / Director Enrolment and NonVoters Admin Officer
IT / Office Equipment / Containers are to be provided by Logistics Officers to nominated authorised officers. / Director IT and nominated personnel by the Director.

ELECTION MATERIALS

DESTRUCTION AUTHORISATION FORM

Person Making Request:
Branch/ unit:
Position: Director
Telephone:
Signature:Date:
The person making the request should fill in the record destruction details on the second page of this form.
AUTHORISATION
Director Elections Authorisation
This section to be signed by the head of the unit that controls the records
Are any of the records still required for any of the following functions?
If YES has been selected for any of the above, then these records must be identified in a schedule for the approval of the Electoral Commissioner to be retained indicating the period of retention.
Legal reasonsyesno
Administrative needyesno
Audit / financial requirementyesno
Name: Position:
Signature:Date:
Records Manager Approval
This section is to be signed off by the head of the records management unit
Have the records satisfied minimum retention requirementsyesno
If NO records must be retained.
Name:Position:
Signature:Date:

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ELECTION MATERIALS

DESTRUCTION AUTHORISATION FORM (CONT’D)

Record Destruction Details

Name of Record Series (name of disposal authority)

Class / No. / Description / Disposal Action
Election Materials / …………... Election Materials returned post Election by Returning Officer/s – except for records to be retained listed at Appendix A / Secure Destruction

OR -Specific Record details (If necessary attach another sheet)

File No / Title / DateRange

Destruction Authorised

I hereby authorised the destruction and / or retention of election materials as identified in this form for the periods stated.

Colin Barry

Electoral commissioner

Date:

TO BE FILLED IN BY WAREHOUSE STAFF ONLY
Disposal Authorised:
Records checked by: on:
Method of destruction:
Destroyed by: on:
Copy of Destruction Authority and Certificate on file 2010/208: on:

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APPENDIX A

REQUESTS FOR RETENTION OF ELECTION MATERIAL

ELECTION:……………………………………….. DATE:…………………………………….

BRANCH / MATERIAL / REASON / RETENTION
TIMEFRAME

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