Developing an Audit Trail

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Developing an Audit Trail

• Election Center Workshop
• April 20, 2006

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In the Beginning..

• Open land
• Census tracts
• Voting Precincts
• Addresses associated to Precincts
• Voting Districts assigned to Precincts
• Certain Voting Districts split Precincts
• Voters, based on address, are assigned to
  Precincts, making them eligible to cast a ballot
  containing certain district races and/or
  questions

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Audit Trail Begins With.

• Validating that all residential addresses are
  associated with precincts
• All districts are assigned to the correct
  precincts
• All voter records/addresses are assigned to a
  precinct
• Printed reports should be proofed and initialed
  by two staff members
• GIS allows visual inspection for accuracy

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Candidates File For Office

• Candidate filing forms are validated candidate
  is registered and meets state requirements
• Candidate names are entered into the election
  setup system
• Listing of all candidate names entered is proofed
  by two people to the original candidate filing
  forms
• Questions approved for the ballot are entered and
  proofed to the certified ballot question form
  submitted by the district

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Ballots are Created

• Candidate rotation, if required, is determined
  prior to creating the ballot images
• Each unique ballot style is proofed to the
  district/precinct list and the candidate list
  (which have already been proofed)
• When the ballot proofing is approved, two staff
  members should initial and the ballot proof deck
  becomes a part of the official audit trail

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Ballot File to Printer

• An approved copy of the ballot file is sent to
  the printer
• Ballot proofs are returned from the printer for
  approval
• Final proofing and approval authorizes the
  printer to print all ballots
• The computer ballot file is locked down and
  backed up to be stored securely off site

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Outgoing Ballot Audit Trail

• Ballot order form details quantity of each ballot
  style ordered
• Upon receipt, two staff members validate receipt
  of correct quantity
• Ballot envelopes printed for absentee mail
  ballots are balanced to number of requests for
  ballots on a daily basis
• If ballots are stuffed by hand, they are proofed
  by two staff members
• Ballots sealed and delivered to post office must
  equal number of envelopes printed and stuffed

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Returned Ballot Audit Trail

• Number of ballot envelopes received each day
• Number of ballots challenged
• Number of ballot envelopes authorized to be
  opened
• Number of ballots scanned Number of ballots
  authorized to be opened
• Number of provisional ballot envelopes received
  from the polls
• Number of provisional ballot envelopes authorized
  to be opened and scanned

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Audit Trail Components

• Daily Log of Ballot Envelopes
• Challenged Ballot Envelope Log
• Rejected Ballot Envelope Log
• Summary of Data Entry Log
• Batch Number Assignment Log
• Ballot Log Transfer Sheet
• Scanner Log

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Returned Ballot Audit Trail

• Number of Ballots Received MINUS
• Number of Ballots Challenged EQUALS
• Total Number of Ballots Scanned for Unofficial
  Results
• PLUS
• Number of Provisional Ballots Received MINUS
• Number of Provisional/Challenged Ballots NOT
  Authorized to be Counted
• EQUALS
• Total Number of all Ballots Scanned for Official
  Results

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Polling Place Supply Audit Trail

• Checklist for each supply bag and/or suitcase
  signed by two staff members
• Distribution/pick-up authorization sheet signed
  by Supervising Poll Worker
• Individual Election Day Polling Place Procedural
  Checklist signed by Field Technician and
  Supervising Poll Worker

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Polling Place Audit Trail

• Voting Equipment Delivery Sheets
• Opening/Closing Verification Forms/Checklists
• Voter Check-in Forms/Receipts
• Precinct Roster Books
• Provisional Voter Check-in Roster
• Voted Provisional Ballots in Sealed Envelopes
• Voted Ballots Stored in Each Voting Machine
• VVPAT canisters, etc.

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Post Election Audit Trail

• Voters checked in Votes collected
• Opening protective counter number MINUS closing
  protective counter number EQUALS total votes on
  each closing tape and memory device
• Total of all votes on memory devices per polling
  place EQUALS voters issued authorization forms
  for voting machines and voter signatures
• Total of all voted provisional ballots EQUALS
  voters signed in for provisional ballots

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Post Election Audit Trail

• Cumulative total of all voters processed in all
  polling places equals total number of votes
  reported on voting machines countywide
• Cumulative total of all absentee ballots
  authorized to be scanned equals total number of
  absentee ballots reported on final report
• Cumulative total of all provisional ballots
  approved and scanned equals provisional ballots
  reported
• FINAL election results report equals total of ALL
  OF THE ABOVE

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Closing Words of Wisdom
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Excerpts from letter written in 1954 by L. P.
Cookingham, City Manager, Kansas City, Missouri

• Never forget that you are a servant of the
  public, and instill that philosophy in each of
  your employees.
• Treat everyone, friend or foe, as if your success
  depended on the manner in which you handled
  his/her problem.
• Be as humble as the humblest with whom you deal,
  and subdue by your patience those who are
  inclined to be too arrogant.

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Excerpts from letter written in 1954 by L. P.
Cookingham, City Manager, Kansas City, Missouri

• Give as much time as is necessary to the person
  who is slow in understanding, and you must be
  patient with those who may be impatient with you.
• Be sure to develop good press relations give all
  the time necessary to help the press, radio, and
  other media keep the public informed. Remember
  that any one of these media can ruin your
  reputation with very little effort.

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Excerpts from letter written in 1954 by L. P.
Cookingham, City Manager, Kansas City, Missouri

• Never put in writing anything you cant prove.
  Someday someone might embarrass you with it.
• Dont let the cranks worry you too much, for if
  you do they will outlive you.

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Excerpts from letter written in 1954 by L. P.
Cookingham, City Manager, Kansas City, Missouri

• Always take the chip off the complainants
  shoulder before you let him/her go. This will be
  a hard task in some cases, but use every resource
  at your command to make friends out of potential
  enemies.
• Always remember that you will never get in
  trouble or be embarrassed by doing what is right.
  

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QUESTIONS??????