5.01

Control Environment

Principle 5 - Enforce Accountability

Attribute 5.01 - Management should evaluate performance and hold individuals accountable for their internal control responsibilities.

Green Book Attribute Categories:

The following attributes contribute to the design, implementation, and operating effectiveness of this principle:

• Enforcement of Accountability
• Consideration of Excessive Pressures

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Jamie's Story

No Examples.

Election Anomalies

Arizona Attorney General's Office 2020 Election Investigation

Potential governance gaps were identified by the Assessment Team from the Arizona Attorney General's Office 2020 General Election Investigation of Arizona Senate allegations. This Green Book attribute is relevant to all of the allegations submitted by the Arizona Senate since MC Elected Officials and MC leadership failed to recognize the importance of the Arizona Senate's oversight role. Investigative information was withheld by MC Elected Officials and MC Leadership, which ultimately lead to the Arizona Senate formally filing their allegations with the Arizona Attorney General. The public perceives MC leadership as lacking integrity and being unethical when they withhold information from the public and oversight entities, such as the Arizona Senate. This potential deviation from the Green Book standard applies to the following Arizona Senate Allegations:

• Maricopa Signature Verification (2020)
  • Signature Verification training was provided to 33 Maricopa County employees. In contrast, Signature Verification training was not provided to 40 temporary workers performing the same duties.
• Maricopa Dropbox Collection (2020)
  • 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.
  • See the heading Deviation: Fictious Addresses in MC Voter Registration Database from Maricopa Dropbox Collection (2020) webpage.
  • See the heading Deviation: Allegations Confirmed from Maricopa Dropbox Collection (2020) webpage.

• Maricopa Election Management Server (2020)
  • MC EMS 2020 - Failure to Follow Basic Cyber Security Practices
    • The security measures for drop box collection have procedural controls and are more stringent than the two-person rule (with unknown documentation and enforcement practices) needer for access to the EMS server, which hold over 1.9 million early ballot records.
  • MC EMS 2020 - Subpoenaed Equipment Not Yet Provided
  • MC EMS 2020 - Anonymous Logins
  • MC EMS 2020 - Dual Boot System Discovered
  • MC EMS 2020 - Operating System Logs Not Preserved
  • MC EMS 2020 - Internet Connections to the EMS
• Maricopa County Withholding Audit Data (2020)
• Maricopa County Signature Verification (2020)
• Pima County Embedded 35,000 Votes (2020)
• Unknown Published Election Fraud Flyer (2020)

Maricopa County Directs the Use of Sharpie Pens

Maricopa Leadership appeared to tolerate a senior management peer verbally directing voting center staff to violate ballot instructions by instructing them to distribute Sharpie Markers to Voters on Election Day instead of ball point pens, knowing there are issues with the Sharpie Markers. The Elections Department, Assistant Director of Recruitment and Training, wanted her message distributed to everyone on the board. It's hard to believe the Assistant Director's peers were unaware of the unethical instructions given the desire to make the instructions known to everyone. Consider the following unethical practices that were revealed by the Maricopa County email:

• Maricopa County Leadership directed the use of Sharpie Markers on Election Day contrary to their acknowledgement of issues arising from the use of Sharpie Markers, which had occurred prior to October 22, 2020.
• Maricopa County Leadership asked personnel to stop using Sharpie Markers and use Ballpoint Pens until the Election Day in an apparent attempt to prevent premature escalation of the issue until after the election.
• Inspectors were the target audience of this email message. The email asked inspectors to intentionally distribute Sharpie Pens on Election Day in the same email that had also acknowledgeed there are issues with the use of Sharpie Pens on ballots prior to October 22, 2020. The very people (i.e., inspectors) that should have been directing compliance with the ballot instructions the use of ball point pens were being told to violate ballot instructions by ensuring poll workers distributed Sharpie Marker to voters on Election Day, even though there were know issues with Sharpie Markers.