12.01
Control Activities
Principle 12 - Implement Control Activities
Attribute 12.01 - Management should implement control activities through policies and procedures.
Attributes
The following attributes contribute to the design, implementation, and operating effectiveness of this principle:
- Documentation of Control Activities Through Policies and Procedures
- Periodic Review of Control Activities
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Jamie's Story
No examples are available to illustrate governance gaps for this attribute.
Election Anomalies
Governance issues identified from Arizona Attorney General's Office 2020 General Election Investigation of Arizona Senate allegations of Maricopa County Election Department - Drop Box Collections issues. Section 2 of the AZ AG's inspector's report identified five procedure violations. See the heading Deviation: Allegations Confirmed from Maricopa Dropbox Collection (2020) webpage for additional details. This finding was based on the following:
- See the heading Deviation: Missing Entries on Election Forms from Maricopa Dropbox Collection (2020) webpage.
- See the heading Deviation: Missing Ballot Counts from Maricopa Dropbox Collection (2020) webpage.
- See the heading Deviation: Used Email instead of EVBTS Forms from Maricopa Dropbox Collection (2020) webpage.
- See the heading Deviation: Unfulfilled Party Representation Requirements for Couriers from Maricopa Dropbox Collection (2020) webpage.
Governance issues identified from Arizona Attorney General's Office 2020 General Election Investigation of Arizona Senate allegations of Maricopa County - Signature Verification Process issues. In Section 2 of the AZ AG's inspector's report, it is noted that 33 MC employees received signature verification training, which mirrored the Arizona Secretary of State's recommendation from the Election Procedure Manual (EPM). However, it is later noted that 40 temporary workers performed Level 1 Signature Verifications, but were hired after training was implemented. Apparently, these 40 temporary workers performed signature verifications without the training as recommended in the EPM.
