Electoral rolls Code of Good Practice for the management of local authority elections and polls 2016
OBJECTIVE OF PART All electoral officers are familiar with the statutory requirements and recommended procedural practices relating to electoral rolls so as to assist the achievement of the Local Electoral Act principle of all qualified persons having a reasonable and equal opportunity to cast an informed vote. KEY MESSAGES Electoral officers: need to be familiar with requirements for residential and non-residential ratepayer elector qualification in relation to local elections and polls need to be familiar with requirements for advertising in relation to electoral rolls and should consider the need for additional advertising in collaboration with other local authorities as appropriate need to be familiar with requirements and good practice options for the compilation, display and completion of electoral rolls, and for marked rolls need to be familiar with requirements on elector privacy and safety in relation to the sale and distribution of electoral rolls and unpublished electoral rolls. 2
Contents Introduction...................................................................... 4 Legislation....................................................................... 4 Requirements and recommended practices...6 3
Introduction 7.1 Electoral officers are required to compile and certify an electoral roll for all local elections and polls. The roll will comprise both residential and non-resident ratepayer electors qualified to vote in the district or region concerned. 7.2 The electoral roll is a vital part of the democratic process. Its completeness and accuracy has a direct influence on the ability of people to have effective involvement in an election or poll in line with the principle of the Local Electoral Act 2001 (LEA) all qualified people have a reasonable and equal opportunity to cast an informed vote. 7.3 Section 20 LEA provides that a person whose name appears on the electoral roll is entitled to vote in the election or poll concerned. It also provides for a person whose name is not on the roll to vote in certain circumstances. This Part of the Code addresses provisions relating to the compilation and certification of electoral rolls. Parts 12 and 13 address provisions for voting where a person s name is not on the relevant electoral roll and the provision of further information to electors. 7.4 This Part of the Code sets out the requirements of the LEA, the Local Electoral Regulations 2001 (LER) and other relevant legislation relating to electoral rolls and addresses the following issues including recommended good practices: (a) the residential and ratepayer elector franchises (b) advertising in relation to electoral roll (c) compilation of electoral roll (d) display, completion and coming into force of electoral roll (e) sale of electoral roll (f) marked electoral roll (g) unpublished roll of electors. Legislation 7.5 The key legislative provisions relating to electoral rolls are: Electoral Act 1993 Section 113 Section 114A Section 115 Section 116 Section 117 Supply of computer-compiled lists and electronic storage media to local authorities General provision concerning supply of information by Chief Registrar in electronic form Unpublished names Offences relating to use of electoral information Offences in respect of manipulating or processing electoral information Local Electoral Act 2001 Section 4 Section 5 Section 15 Section 18 Section 19 Principles Interpretation General duties of electoral officer Conduct of election or poll in conjunction with other election or poll Conduct of separate election or poll 4
Section 20 Section 23 Section 24 Section 24A Section 24D Section 38 Section 39 Section 40 Section 41 Section 42 Section 43 Section 44 Section 45 Section 46 Section 47 Section 48 Section 49 Section 50 Section 51 Section 52 Section 53 Section 68 Section 83 Section 142 Right to vote in election or poll Residential electors Ratepayer electors Electors of Maori wards Electors of Maori constituencies Compilation of electoral roll Public notice of procedures for enrolment as ratepayer on electoral roll No person to be enrolled more than once for local authority or community board Supply of information by Chief Registrar of Electors Roll to be available for public inspection Inspection of rolls at meetings and hui Application for registration as parliamentary elector Completion of electoral roll Removal of names from electoral roll Amendments to roll Objections to roll Appeals to District Court in respect of roll Closing of electoral roll When roll in force Notice of election or poll Additional material to be included in notice in respect of election General rules affecting scrutineers Scrutiny of roll Electoral rolls Local Electoral Regulations 2001 Regulation 10 Regulation 11 Regulation 12 Regulation 13 Regulation 14 Regulation 15 Regulation 16 Regulation 17 Regulation 18 Regulation 19 Regulation 20 Regulation 21 Regulation 22 Regulation 23 Regulation 24 Relevant date for inclusion of electors on roll What electoral roll must include Roll for divided local government area Roll if local government area contains one or more communities Enrolment for residential electors Public notice of procedures for enrolment as ratepayer on electoral roll Confirmation of enrolment as ratepayer elector Ratepayer enrolment confirmation form Nominations for ratepayer electors Application for enrolment as ratepayer elector Application and nomination form for ratepayer electors Closing of roll Certification of roll When roll in force Copies of roll must be available Postal voting and FPP (STV) Regulation 69 (114) Master roll (NOTE: Similar regulations also apply for booth voting using both FPP and STV and must be followed if this voting method is adopted.) Schedule 1 Enrolment form for ratepayer electors 5
New Zealand Public Health and Disability Act 2000 Schedule 2: Clause 3 Clause 11 Residential qualification for electors Rolls for election Sale and Supply of Alcohol Act 2012 Section 313 Conduct of elections Privacy Act 1993 Section 58 Section 59 Section 60 Section 61 Section 62 Section 63 Section 64 Interpretation Public register privacy principles Application of information privacy principles and public register privacy principles to public registers Complaints relating to compliance with principles Enforceability of principles Codes of practice in relation to public registers Effect of code Requirements and recommended practices (a) Residential and ratepayer elector franchises 7.6 The LEA provides for two categories of elector: residential electors and non-resident ratepayer electors and establishes the enrolment processes for each. 7.7 The enrolment requirements and processes for residential and ratepayer electors are different. Enrolment as a parliamentary elector is also enrolment as a residential elector for local elections and polls. Under section 23 LEA, parliamentary electors are qualified as residential electors of a district or region if the address for which they are qualified as a parliamentary elector is within the district or region. The Electoral Act 1993 sets out the eligibility requirements for parliamentary electors. The Chief Registrar of Electors and Enrolment Services at the Electoral Commission (formerly the Electoral Enrolment Centre or EEC) are responsible for parliamentary elector enrolment processes. 7.8 Under regulation 10 LER, any person who enrols as a parliamentary elector up until 7 July in the year of local elections is included on the roll used for public notification of those elections (commonly referred to as the preliminary roll). While the preliminary roll is open for public inspection, any person who enrols as a parliamentary elector up to the 50th day before polling day will be included on the final roll used for the election. 7.9 A ratepayer elector is defined in section 24 LEA as a parliamentary elector whose residential qualification is outside the region, district or community and who is either: (a) identified on the appropriate valuation roll as the sole ratepayer of a qualifying property or (b) nominated by one or more ratepayers also resident outside the region, district or community concerned in respect of a qualifying property. 6
7.10 The Local Government (Rating) Act 2002 defines a ratepayer as the person so named in the rating information database or the district valuation roll. In most cases, a ratepayer is the owner of a rating unit, but in certain limited cases, the ratepayer may be the lessee of a rating unit. 7.11 It is important to note that the ratepayer franchise does not allow a person to be enrolled to vote more than once in any one election issue or poll. Section 40 LEA makes this clear. For further clarification, it should be noted that a property held in joint family ownership still entitles only one vote in any one election in respect of that property, and there is an entitlement to only one vote regardless of the number of properties owned in the area of the election. 7.12 Any person who qualifies as a ratepayer elector may enrol at any time. Similarly a person may be nominated as a ratepayer elector at any time. The form for the enrolment of ratepayer electors is prescribed in schedule 1 LER and this must be used. It is important to note that the process for enrolment of ratepayer electors is undertaken entirely at the local level, with no involvement from Enrolment Services at the Electoral Commission. 7.13 The roll used for public notification and inspection will include details of ratepayer electors enrolled up to 6 July in election year (regulation 10 LER) and details of ratepayer electors enrolled up to the 50th day before polling day will be included on the final roll. 7.14 Residential electors of territorial authorities also qualify as electors of district health boards (DHBs). Electoral officers are required to indicate on the roll, by appropriate words, abbreviations or marks, an elector s particular DHB qualification. This information is supplied to territorial authorities by Enrolment Services at the Electoral Commission. Ratepayer electors are not entitled to vote in DHB elections. 7.15 Residential electors who reside within a licensing trust district also qualify as electors of that licensing/community trust. If a trust district is divided into wards then the electoral qualification applies to a particular ward. The allocation of electors to licensing trusts is the responsibility of electoral officers as this information may not be provided by the Electoral Commission. Ratepayer electors are not entitled to vote in licensing trust elections. 7.16 Any person who qualifies as either a residential or ratepayer elector may still enrol after the final roll has closed and up to the day before the close of voting. Section 44 LEA provides that a person who claims to be qualified but is not on the electoral roll or whose details are incorrect may apply for registration or correction of registration as a parliamentary elector in the form prescribed by the Electoral Act 1993. A similar process applies in respect of ratepayer electors. In such cases the persons concerned will vote as a special voter. Special voting is addressed in Part 13. 7
1 Recommended good practice on elector franchises is that electoral officers: (i) be familiar with the statutory requirements for qualification as either residential or non-residential ratepayer electors for local elections and polls (ii) be aware that residential electors (but not ratepayer electors) also qualify as electors of district health boards (iii) be aware of whether a licensing trust exists in their district and, if so, familiarise themselves with Part 3 Sub Part 1 clauses 308-316 of the Sale and Supply of Alcohol Act 2012 and be aware that residential electors (but not ratepayer electors) qualify as electors of licensing / community trusts.. (b) Advertising in relation to electoral roll 7.17 It is expected that Enrolment Services at the Electoral Commission will continue the practice of undertaking a national advertising campaign (print and television) in July of the year of local triennial elections to encourage people to enrol as residential electors for the upcoming elections. 7.18 Section 39 LEA requires electoral officers to give public notification of qualifications and procedures relating to the ratepayer roll in May of election year. Requirements for the public notice are set out in regulation 15 LER. Section 39 also requires the electoral officer to ensure that notice of qualifications and procedures for enrolment or nomination as a ratepayer elector is delivered with the local authority s rates assessment or a rates invoice before September in the year of the election. Electoral officers should ensure this notice is given as early as possible. 7.19 To assist electoral officers to deliver cost-effective notification, SOLGM coordinates a national advertising campaign for the ratepayer franchise. Individual or regional groupings of electoral officers may undertake additional advertising of the qualifications and procedures relating to the ratepayer roll if they so wish. It is recommended that electoral officers coordinate any local and/or regional publicity campaigns with the national campaign. 2 Recommended good practice on advertising relating to electoral rolls is that electoral officers: (i) note that Enrolment Services at the Electoral Commission is expected to continue undertaking national advertising in the year of local elections to encourage enrolment as residential electors (ii) ensure that the required notice with the local authority s rates assessment or rates invoice on non-resident ratepayer elector qualifications and procedures is given as early as possible in election year (iii) note that SOLGM undertakes a national advertising campaign on qualifications and procedures for the non-resident ratepayer franchise (iv) consider additional local and/or regional advertising relating to the non-resident ratepayer franchise and establish local or regional groups of electoral officers to work together, to ensure the cost effectiveness of such local or regional advertising (v) take advantage of any further opportunities to collaborate regionally and nationally to disseminate information to the public on elector qualifications and enrolment procedures. 8
(c) Compilation of electoral roll 7.20 Under section 18 LEA, territorial authority electoral officers are responsible for the compilation and certification of electoral rolls for all local authority triennial elections and polls held in their area. For elections or polls for local authorities that are not territorial authorities and conducted separately from triennial elections, the electoral officer may, under section 19, either carry out roll compilation and certification or require the relevant territorial authority electoral officer(s) to do so. 7.21 Every electoral roll must include the name, in alphabetical order, of every residential and ratepayer elector entitled to vote at the election or poll. Unlike residential electors, persons wishing to vote as non-resident ratepayer electors are not automatically enrolled, and must apply to be enrolled using the enrolment form set out in schedule 1 LER. 7.22 Some electoral officers produce a composite roll containing the names of both residential and ratepayer electors, showing each individual elector s voting entitlements. Other electoral officers produce separate residential elector and ratepayer elector rolls, partly for the reason that ratepayer electors generally have fewer voting entitlements than residential electors, i.e. ratepayer electors cannot vote for the district health board issue or in any licensing trust issue, and can also have more limited entitlements in respect of other issues. For example if a ratepayer elector lives in one part of a city/ district and owns another property or properties in other parts of the same city/district, then they can only claim an additional vote or votes for the community/local board issue, if any, and cannot claim additional votes for the elections for mayor and council. Separating the roll in this way also removes the need to merge the ratepayer elector data with the residential elector data obtained from the Chief Registrar of Electors. 7.23 If a territorial authority or regional council has Maori wards or constituencies, sections 24A and 24D LEA provide that electors for those wards or constituencies must be parliamentary electors registered at an address within the Maori ward or constituency, and be registered as an elector of a Maori electoral district (for parliamentary elections). In such cases the electoral officer will need to either compile a separate electoral roll for the Maori wards/constituencies or denote this entitlement on a combined roll. 7.24 Section 38 LEA and Part 1 LER set out the detailed requirements, including deadlines, for compilation and certification of the electoral roll. The LER also set out requirements relating to the nomination of ratepayer electors and confirmation of existing or new ratepayer electors including in respect of the enrolment confirmation form. 7.25 Section 38(4) requires electoral officers to obtain the necessary information for determining the names and other details of residential electors to be included on the electoral roll from the Chief Registrar of Electors. Section 113 Electoral Act 1993 provides for this information to be supplied as a computer-compiled list. 7.26 It is important for electoral officers to establish a working relationship primarily with their local Registrar of Electors and with Enrolment Services at the Electoral Commission. Such a relationship needs to ensure the smooth transfer of data and provision of assistance required by electoral officers. 7.27 Enrolment Services at the Electoral Commission has introduced a system for resolving gone no addresses (GNAs), which allows local authority electoral officers to forward an electronic file of GNAs to Enrolment Services which will initiate action to remove these 9
electors from the roll, and modify each affected elector s record by adding a unique reference number. It is recommended that electoral officers adopt this practice. 7.28 Additional information on residential enrolment, along with related local authority news and resources, can be found on the election website at www.elections.org.nz. 3 Recommended good practice on the compilation of electoral rolls is that electoral officers: (i) be familiar with the procedure for preparing electoral rolls for elections and polls including the differences in relation to residential and non-residential ratepayer entitlements and the option of separate or combined rolls (ii) be familiar with the options for electoral officer responsibility for roll preparation for separate elections and polls i.e. not in conjunction with triennial general elections (iii) establish a good working relationship with their local Registrar of Electors and with Enrolment Services at the Electoral Commission (iv) forward electronic files of gone no address information to Enrolment Services at the Electoral Commission (v) understand how electoral rolls integrate into the overall election/poll process. (d) Display, completion and coming into force of electoral roll 7.29 Section 42 LEA requires the electoral roll to be available for public inspection for a period of not less than 28 days before the closing of the roll (57 days before polling day). The electoral roll must be open for public inspection, in the case of triennial elections, at the principal office of the territorial authority and at every other place that the electoral officer and the occupier of that place agree on. Such other places may include libraries, service centres, post shops or key community facilities. The electoral roll must also be made available, upon request, for any meeting or hui (section 43). 7.30 When the roll is compiled by an electoral officer of a local authority that is not a territorial authority (e.g. a regional council) for an election that is not a triennial general election or a poll, it must be open for inspection at the principal office of that local authority and at every other place that the electoral officer and the occupier of that place agree on. Again, the electoral roll must also be made available, upon request, for any meeting or hui (section 43). 7.31 Section 42 also requires the electoral officer to give public notice of the availability of the roll for inspection. This notification may be included with the notice of election required under sections 52 and 53 LEA. 7.32 Section 45 requires the electoral officer to complete the electoral roll by obtaining a further computer-compiled list of electors from the Chief Registrar of Electors and from the applications received from ratepayer electors. Sections 46 to 48 set out requirements for the removal of names, amendments and objections in respect of an electoral roll. Section 49 provides a right of appeal to a District Court Judge for a person aggrieved with a decision of an electoral officer relating to objections to the ratepayer roll. 10
7.33 Section 50 and regulation 21 prescribe the closing of the electoral roll as the close of business on the 57th day before polling day. Section 50 also prescribes the only grounds for alterations or additions to the roll after this date. 7.34 Section 51 and regulations 22 and 23 require the electoral officer to complete and certify the electoral roll before the 25th day before polling day and that the roll comes into force on the 25th day before polling day. A roll can be certified by the electoral officer noting on the roll it has been duly compiled and by signing it. 7.35 The key steps in the process of preparing, displaying and completing an electoral roll for an election or poll are summarised in the following table in relation to the 2016 triennial local elections. Key steps in preparing and completing an electoral roll for 2016 triennial elections Step Action Due date Example (polling day 8/10/2016) 1 Confirmation to ratepayer electors enrolled by 2 March 2 Public notice of the qualifications and procedures for enrolment or nomination as a ratepayer elector 3 Notice of ratepayer elector qualifications and procedures with rates assessment or rates invoice 4 Last date for ratepayer electors to be included on preliminary roll 5 Last date for residential electors to be included on preliminary roll 6 Roll open for inspection publicly notified 7 Objections to roll relating to ratepayer qualifications close 8 Appeals to District Court in respect of roll relating to ratepayer qualifications Between 1 March and 30 April Between 1 May and 31 May Before September By 30 April 2016 During May 2016 Subject to timing of local authority s rates notices Ref r16 s39 s39 6 July 6 July 2016 r10 6 July 6 July 2016 r10 Not less than 28 days before closing No later than day roll closes Seven days after appellant receives notice of decision 9 Roll closes 57th day before polling day 10 Certification of roll Before 25th day before polling day 11 Roll comes into force 25th day before polling day By 15 July 2016 s42 12 August 2016 s48 s49 12 August 2016 s50 r21 By 12 September 2016 s50 r22 13 September 2016 s51 r23 11
(e) 4 Recommended good practice on the display, completion and coming into force of electoral rolls is that electoral officers: (i) be familiar with the statutory requirements relating to these processes (ii) deposit copies of the compiled roll at all service centres, libraries and other offices and that they be available for public inspection whenever these places are open to the public. Sale of electoral roll 7.36 After an electoral roll comes into force (25th day before polling day) regulation 24 LER provides that the electoral officer must prepare printed copies which are to be made available to the public for a fee not exceeding the reasonable cost of preparing the roll. Electoral rolls are public registers covered by the provisions of the Privacy Act 1993. Electoral officers should consider the public register principles in Part 7 of that Act and not undertake any action contrary to these principles, in particular the sale or other distribution of an electoral roll in a form beyond that required by regulation 24. 7.37 Examples of fees charged for printed copies of electoral rolls are: Number of electors Fee (excludes GST) 6500 $20 25,000 $40 28,000 $50 275,000 $100 7.38 In addition to the requirements of regulation 24 covering the sale or other distribution of electoral rolls, section 68(6) LEA authorises the electoral officer to supply, either at no cost or for a reasonable cost, to any scrutineer or candidate who requests, before the close of voting, the names of persons from whom voting documents have been received. Typically, this could be in the form of a list or partly marked roll and may be used by candidates to encourage voting. The format of the information supplied is to be determined by the electoral officer. An example of a reasonable cost for a CD file of electors who have voted, is $30 plus GST. 7.39 Electoral officers need to be familiar with sections 113, 114A, 116 and 117 Electoral Act 1993 and the constraints that these sections impose on the sale of electoral rolls. Section 113 is the authority for Enrolment Services, at the Electoral Commission to supply computer-compiled lists and electronic storage media to local authorities. It defines the purposes for which the information may be used and this is generally confined to elections and polls. Section 116 makes it an offence to knowingly or wilfully supply, receive or use this information for any purpose other than that authorised by section 113. Information supplied, received or used for commercial purposes in breach of this section carries a fine of up to $50,000. In all other cases the fine may be up to $10,000. Similarly, section 117 relates to the manipulation or processing of electoral information other than in accordance with section 113. Similar penalties to those in section 116 are created for offences against section 117. 12
5 Recommended good practice on the sale of electoral rolls is that electoral officers: (i) understand the interrelationship between the Electoral Act, Local Electoral Act and Local Electoral Regulations, and the Privacy Act in relation to the sale or distribution of electoral rolls to the public to ensure statutory compliance (ii) attach a notice to each copy of the electoral roll drawing attention to restrictions on its use and the penalties for offences. (f) Marked electoral roll 7.40 Marked electoral rolls are those used for the scrutiny of the roll to establish the electors who have voted in an election or poll. These rolls become the master rolls which under regulations 69 and 114 LER must be retained until the next triennial election. Master rolls must be available for public inspection during ordinary office hours on demand free of charge. 6 Recommended good practice on marked rolls is that, for security purposes, electoral officers retain this roll (also known as the master roll) in a secure place but readily available for public inspection purposes only (i.e. not for copying). (g) Unpublished roll of electors 7.41 Section 115 Electoral Act 1993 permits the Chief Registrar of Electors to decide not to publish an elector s details where publication on an electoral roll would be prejudicial to the personal safety of that person or his or her family. Where an elector is enrolled under section 115 this information will not be included in the list of electors provided by Enrolment Services at the Electoral Commission to electoral officers. These electors will be written to by the Chief Registrar of Electors prior to the triennial election informing them that they will need to contact their local electoral officer to apply for a special vote. 7 Recommended good practice on unpublished rolls of electors is that electoral officers: (i) be aware of section 115 Electoral Act 1993 (ii) have procedures in place that ensure that the personal safety of the electors concerned or their families is not prejudiced by any act or omission during the local election process. 13
Professional excellence in local government New Zealand Society of Local Government Managers (SOLGM) 8th Floor, Civic Assurance House 114 Lambton Quay, Wellington PO Box 5538 Wellington 6145 Phone 04 978 1280 Fax 04 978 1285 info@solgm.org.nz www.solgm.org.nz