Registrar of Voters Earns High Marks for 2012 Election*

The County's electronic voting system coupled with the Registrar's system of collecting, processing and counting ballots is very proficient both in terms of efficiency and cost effectiveness. Response: Agrees with the Finding. Over the last eight years the Registrar of Voters has made significant investments in technology and quality control in order to increase efficiencies and reduce costs associated with the creation, mailing, processing, and tallying of ballots. Automation and the implementation of quality control measures, which are documented in checklists and written training materials, are used to guarantee accuracy and consistency in every step of the elections process. Further, they have contributed to the fact that, as correctly reported by the Grand Jury, Orange County's overall election cost per voter is lower than in Los Angeles, San Diego, Contra Costa, and Sacramento counties. While Orange County voters are able to receive sample ballots online, in 2012 the Registrar of Voters successfully generated, printed, and mailed over one million sample ballots on the first day legally allowed by state law for each election (a goal not met in other urban counties). The Registrar of Voters has significantly reduced the time and cost needed to complete these complex tasks by investing in automation in both hardware and software applications. The electronic voting system securely tabulates votes cast at each polling place and allows the Registrar of Voters to generate, proof, print, Y 7 . COUNTY OF ORANGE Responses to Findings and Recommendations 2012-13 Grand Jury Report entitled "Registrar of Voters Earns High Marks for 2012 Election" and scan ballots in-house. By investing in equipment that includes ballot inserting machines, mail sorters, automated addressing equipment, and ballot extraction devices, the Registrar of Voters has increased its capacity to prepare, mail, and tally ballots; reduced the amount of staff time needed to distribute and process ballots; and cut costs for conducting each election by nearly $250,000. Further, the efficiencies resulting from automation are enhanced by increased quality control measures, which include using teams of staff to review and approve every ballot type in each required language, verify that the correct ballot is inserted in each envelope, and ensure that all ballots are scanned upon their return. In 2012, vote-by-mail ballots increased by more than 10% from 2008. As vote-by-mail ballots steadily increase, employing a full complement of automation has been an effective tool in efficiently and accurately processing vote-by-mail ballots. Equipment is used to track the status of vote-by-mail ballots, extract and sort returned ballots, and capture the signature on each ballot return envelope for comparison by staff against the signature from the voter registration file. Additionally, error-checking software identifies problem ballots that require immediate resolution by staff. These processes help maintain the security of each vote and provide real time data to track ballots as they are mailed, returned, and counted. It is also worth noting that the increase in vote-by-mail ballots does not decrease the need for accessible polling places across the county, as over 100,000 vote-by-mail ballots were dropped off at polling places. Thus, the Registrar of Voters will continue to provide voters with accessible polling places at strategically located sites that include city halls, schools, public facilities, and modified residences, as well as utilize its mobile voting unit that can be deployed to any satellite location.

The Grand Jury has confidence in the security of ballot processing and the accuracy of election results. Response: Agrees with the Finding. The Registrar of Voters utilizes a number of security measures to protect the integrity of votes and ensure public confidence in the electoral process. To be approved for use in any election, a voting system must receive federal certification from the United States Election Assistance Commission, as well as fulfill numerous requirements and regulations established by the Secretary of State and California Elections Code. State law requires that a voting system include a Voter Verified Paper Audit Trail (VVPAT) to verify votes cast at a polling place. In Orange County, the VVPAT is delivered through a secure, self-contained printer and recorder unit in the voting booth that captures a COUNTY OF ORANGE Responses to Findings and Recommendations 2012-13 Grand Jury Report entitled "Registrar of Voters Earns High Marks for 2012 Election" paper ballot of every ballot cast. Furthermore, through the Registrar of Voters website, voters are also able to verify and track the status of vote-by-mail ballots. State law further requires that voting systems are subjected to the "Logic and Accuracy Test" prior to every election. The test includes proofing the programming of the ballot, each ballot style, and each contest position on the ballot. All tests of Orange County's voting system have found it to be 100% accurate, with the most recent test taking place on October 30, 2012. An additional state mandated check on the accuracy of each voting system is conducted after every election when automated system vote counts are compared to a manual tally of at least one percent of randomly selected precincts. Results from the One Percent Manual Tally are reported to the Secretary of State by the Registrar of Voters and must include every discrepancy identified and its resolution. The Registrar of Voters utilizes numerous measures to protect the physical security of ballots and voting system equipment. Chain of custody procedures and documents ensure that security seals on the voting system equipment are intact for each election and establish a record of who has possession of the equipment at all times. Additionally, poll workers inspect security seals on equipment multiple times throughout Election Day and document their observations. Voting system equipment and ballots are transported by the Orange County Sheriff's Department, which also provides election-building security. Additional measures employed to ensure security include the extensive use of video surveillance to monitor activities in and around the Registrar of Voters' office, fingerprint technology, and the issuance of uniquely identified security badges.

The Registrar fosters a climate of technological innovation, teamwork, efficiency, purpose and introspection that results in employees that appear to be highly competent, cheerful and driven to providing outstanding customer service. Response: Agrees with the Finding. Since 2005, creativity, originality, initiative, and a strong dedication to customer service are the four guiding principles of the Registrar of Voters. Employees continually strive to improve performance and enhance services to better meet the needs of the public while producing high quality and transparent elections. The Registrar of Voters cultivates high levels of customer service and quality control through the implementation of innovative practices, as well as providing continual staff development and training opportunities. Staff is required to attend a minimum of four trainings per year; however, the actual amount of training received by staff is much greater as COUNTY OF ORANGE Responses to Findings and Recommendations 2012-13 Grand Jury Report entitled "Registrar of Voters Earns High Marks for 2012 Election" the Registrar of Voters provides approximately 24 seminars onsite each year. Topics covered include, but are not limited to, election operations, computer and software programs, public speaking and effective communication, time and stress management, health and safety, and working effectively with both the public and volunteers. Further, the Registrar of Voters utilizes Crew Resource Management (CRM) training that originated from NASA in 1979. Since its development as a means of reducing aviation accidents caused by human error, CRM has been enhanced and adapted by a variety of agencies and companies worldwide. At the Registrar of Voters, CRM is used to improve communication, situational awareness, problem solving, decision-making, and teamwork; all of which are crucial components of effective public service and efficient management of election operations. The NTSB has noted that the Registrar of Voters is the only non-aviation based government agency to utilize CRM.

The Registrar of Voters Office is a model for other County Departments and Agencies to emulate. Response: Agrees with the Finding. The County is proud to recognize the achievements of the Registrar of Voters. The Department has received numerous awards for best practices including multiple awards in 2011 and 2012 from the National Association of Counties (NACo) for its MyBallot student election program, new poll worker training video, Election Academy program, military and overseas voting online portal, approach to saving tax payer dollars in difficult times, and its Poll Worker PASS program. The Department's innovations and efforts haves been recognized by other organizations as well including the Orange County Business Council, the International Academy of Visual Arts, the California State Association of Counties, the City-County Communications and Marketing Association, the Digital Government Associations, and the California State Auditor. County Departments and agencies have routinely been selected for best practice awards. NACo, through their Achievement Awards, annually select county programs which represent innovative and creative solutions to problems local governments face. Five Orange County Departments, including Child Support Services, OC Community Resources (OCCR)/OC Parks, OCCR/OC Animal Care, OCCR/OC Public Libraries and OC Public Works, received a total of six 2013 NACo Achievement Awards. Other County recipients of NACo Achievement Awards during the last five years include the Board of Supervisors, the Clerk-Recorder, Dana Point Harbor, the Health Care Agency, and the Office of the Performance Audit Director, the Probation Department, the Sheriff-Coroner Department, and the Social Services Agency COUNTY OF ORANGE Responses to Findings and Recommendations 2012-13 Grand Jury Report entitled "Registrar of Voters Earns High Marks for 2012 Election"

The Registrar of Voters is supported by a large number of volunteer poll workers and election-day help that contribute greatly to the efficiency of Election Day operations. Response: Agrees with the Finding. Poll workers play a critical role in the successful operation and management of elections in Orange County. The Registrar of Voters recruited over 12,000 volunteer poll workers for elections in 2010 and 2012 respectively. To successfully recruit volunteers, the Registrar of Voters maintains a strong presence throughout Orange County. Community engagement is achieved by attendance at a variety of events that provide an opportunity to communicate with prospective volunteers. Prior to the 2012 general election, the Registrar of Voters was present at approximately 70 events that included, but were not limited to, concerts, resource fairs, community festivals, and a wide array of presentations to community groups. This strong community presence and successful recruitment of volunteers undoubtedly contributed in part to the efficient processing of voters at the polls. It is worth noting that more than 3,000 of the poll workers volunteering in 2012 were high school students who experienced the electoral process first-hand by participating in the June and November elections. The Registrar of Voters values student involvement as students bring enthusiasm and technical knowledge to the process, as well as help fill the gap left by older volunteers retiring out of the system. Student poll worker recruitment is the result of successful partnerships between high schools and the Registrar of Voters, in addition to the development of the unique three-part "MyBallot" student election program in 2008 that educates students about the history of voting and the process of conducting elections. The Registrar of Voters strives to ensure that volunteer poll workers are well-informed and equipped to make the Election Day a positive experience for voters. Consequently, poll workers participate in a comprehensive training program that was overhauled in 2008 and includes a Polling Place Operations Manual, an award winning training video, an online component, and hands-on practice sessions that have been recognized by the California Bureau of State Audits as a best practice for poll worker training. The Registrar of Voters has earned very high customer satisfaction among poll workers as a result of these efforts, as well as the provision of numerous resources to streamline communication that include the implementation of a poll worker customer service phone bank, Twitter, Facebook, emailed newsletters, and the nationally recognized Poll Worker PASS online portal that provides volunteers with COUNTY OF ORANGE Responses to Findings and Recommendations 2012-13 Grand Jury Report entitled "Registrar of Voters Earns High Marks for 2012 Election" personalized information. Satisfaction surveys completed by poll workers after elections in 2010 and 2012 reveal that 98% of respondents rated the quality of service received by the Registrar of Voters as excellent, very good, or good. A high rate of customer satisfaction among poll workers is additionally evidenced through high retention rates, as over 50% of poll workers in the 2012 elections had previously volunteered with the Registrar of Voters and 96% expressed an interest in serving in future elections.

There was no evidence of widespread or organized voter fraud. Response: Agrees with the Finding. The Registrar of Voters has instituted a number of policies and procedures that effectively guard against voter fraud and irregularity as described by the Grand Jury. Maintaining accurate voter registration records in a county with over 1.5 million registered voters is an ongoing process that is critical to identifying and correcting commonly made errors. A number of quality control measures are in place to ensure that voter registration information is accurate and continually updated. Voter records are proofed to ensure the data is entered accurately, and this information is continually updated by cross-checking data with the Department of Motor Vehicles, the Post Office, and the Secretary of State in order to identify voters who have moved. Data from additional sources, such as the Orange County Health Care Agency and the Social Security Death Index, is continually monitored to ensure that deceased voters are removed from the registration list. In addition to improving inter- agency information sharing to maintain accurate records, the Registrar of Voters has made strides at improving communication with voters directly by increasing proactive follow-up contact with voters who have moved and developing a user-friendly website that provides voters with a one-stop-shop where they can update their records. In order to increase the accuracy of voter records and identify areas for improvement, the Registrar of Voters also tracks the number of corrections made to voter records due to issues such as data entry errors and illegible writing of the voter. The Registrar of Voters will continue to use this information, as well as data from additional sources, to identify effective and innovative ways of maintaining accurate voter registration data. Effectively tracking voter registration data, including the number of new registrations and re- registrations, is just part of the process of ensuring that ballots counted are only those cast by eligible voters. As the Grand Jury correctly noted, more vote-by-mail ballots were received by the Registrar of Voters in the 2012 general election than the number cast at polling places in Orange County. Consequently, the Registrar of Voters meticulously tracks vote-by-mail ballots by employing a number of quality control measures, which include scanning every ballot (and storing a digital imprint) when it is COUNTY OF ORANGE Responses to Findings and Recommendations 2012-13 Grand Jury Report entitled "Registrar of Voters Earns High Marks for 2012 Election" sent out and returned for purposes of comparison, scanning all rosters on Election Night, and thoroughly checking signatures on vote-by-mail ballot return envelopes. Additionally, after the polls close on election night, the Register of Voters completes an audit and accounting of all ballots that were issued, voted, and not used. To prevent double voting, provisional ballots are not examined or verified until all vote-by-mail ballots are verified and recorded. The accuracy of the automated system vote count is also verified after each election by conducting an audit of one percent of precincts in Orange County, selected at random, whereby the automated system's vote count is compared to a manual vote count and any discrepancies are identified and resolved. Through the diligent collection and analysis of data, both prior and immediately subsequent to an election, the Registrar of Voters is able to identify voting trends and anomalies, as well as confidently report accurate results.

Voting by Mail increased in popularity among the Orange County electorate, but due to voter error, casting a ballot in this manner is more likely to be disqualified than any other method of voting; however, such possibility of rejection is still only .54%. Response: Agrees with the Finding. In 2012, just over half of ballots cast in Orange County were vote- by-mail ballots, and the Grand Jury correctly reports that 0.54% of vote-by-mail ballots cast in Orange County were rejected in the November 2012 election in contrast to the state average rejection rate of 1.02%. State laws and regulations put in place by the Secretary of State determine when a vote will or will not be rejected. In 2011, the California State Legislature took a step to reduce the rejection rate through the passage of SB 183, which repealed the requirement that ballots marked in a manner to identify the voter be rendered invalid. As a result of the bill, ballots containing personal information can be counted once they are segregated and duplicated without the identifying information. Prior to the passage of SB 183, the Registrar of Voters implemented a number of procedures to reduce the rate of rejected ballots. One important step taken by the Registrar of Voters was to provide voters with clear, concise instructions regarding how to vote a paper ballot, use the identification envelope, and return or surrender a ballot. In 2008, the Registrar of Voters created an easy-to-read voting instruction sheet that included detailed instructions, as well as information explaining the top five reasons a vote-by-mail ballot may be rejected. By redesigning complicated and confusing instructions and providing an example of a ballot showing marks to avoid and the reasons why, voter errors resulting in the rejection of vote-by-mail ballots were reduced by half. Additionally, problem ballots returned to COUNTY OF ORANGE Responses to Findings and Recommendations 2012-13 Grand Jury Report entitled "Registrar of Voters Earns High Marks for 2012 Election" the Registrar of Voters are quickly identified by the use of error-checking software. Once a problem ballot is identified, staff will diligently attempt to resolve the issue through various methods that include conducting multi-level reviews for signature verification, researching voter registration files for accurate information, and proactively contacting voters. The Registrar of Voters will continue to take time and care in resolving problem ballots in order to ensure that all eligible ballots are counted in every election.

The Registrar's Office has a plan to maintain operations in the event of natural or man-made disaster. Response: Agrees with the Finding. The Registrar of Voters maintains a business continuity plan for business processes, which is designed to be a resource guide to provide direction as to how to maintain stability in the event of disaster or other unusual circumstance. The Orange County Sheriff-Coroner Department's Emergency Management Division provides emergency management and preparedness services to the unincorporated areas of Orange County and supports emergency management efforts within the Orange County Operational Area (OA). The OA includes 115 jurisdictions including all County departments and agencies, public and private organizations and the general population within the boundaries of Orange County. The OA ensures that the Orange County Emergency Plan described in the Emergency Organization Ordinance is developed and maintained. The OA also ensures that personnel who are part of the emergency organization are trained, and arranges for all necessary exercises to prepare for potential disaster conditions.

Orange County residents serving in the U.S. Military abroad cannot return their ballots to the Registrar of Voters via e-mail per state law. Response: Agrees with the Finding. As correctly stated by the Grand Jury, Elections Code §§ 3101-3123 govern military and overseas voter registration and voting procedures. Military voters serving overseas can apply for a vote-by-mail ballot online or by completing the Federal Post Card Application, and they can choose between mail, email, and fax as their preferred method of ballot delivery. For the 2012 General Election, the Registrar of Voters issued just under 8,000 ballots to civilians and members of the military living overseas, in addition to military members serving domestically. The Registrar of Voters received a return rate of approximately 60%, as voters returned over 4,800 ballots from this group of ballots issued. COUNTY OF ORANGE Responses to Findings and Recommendations 2012-13 Grand Jury Report entitled "Registrar of Voters Earns High Marks for 2012 Election" Pursuant to Election Code § 3117, a valid ballot must be received by the elections official by the time the polls close on Election Day in order to be counted. Currently, there are bills pending in the state legislature that would, under certain circumstances, extend the deadline for counting a vote-by-mail ballot cast by military or overseas voters. The Registrar of Voters will continue to provide input to state officials and legislators, as well as state and national professional associations such as the California Association of Clerks and Elections Officials, to facilitate voting for overseas service men and women. Already mindful of the distinct challenges faced by Orange County service members, the Registrar of Voters has developed a unique military portal on its website that allows members of the military to verify their status as military voters, thereby making their ballots available to them 30 days prior to regular ballots; access their ballots electronically; secure their email addresses from third party individuals; and track the status of vote-by-mail ballots.

The existing voting system meets the current requirements of the Registrar of Voters; however, new voting systems should be explored to determine if it is time to upgrade. Response: Agrees with the Finding. In 2003 the Registrar of Voters purchased the Hart InterCivic electronic voting system, which accurately recorded and tabulated over one million votes cast in the November 2012 election. In order to receive approval from the Secretary of State for use in any election, the voting system successfully met federal certification requirements and fulfilled state regulations and requirements. Since it was first used in 2004, Orange County's voting system has produced accurate and certified election results in approximately 30 primary, general, special, and municipal elections. As the Registrar of Voters is acutely cognizant of federal guidelines requiring the lifespan of electronic voting systems to meet a ten year threshold, investments have been made in the technology and parts required to maintain the system and extend its lifespan. Orange County's voting system is regularly tested to ensure that it produces accurate results and performs its functions as specified by state laws and regulations. Damaged or compromised parts are immediately replaced, and oftentimes this can be accomplished in-house as the Registrar of Voters maintains an inventory of replacement parts on-site. Further, the Registrar of Voters proactively services and performs preventive maintenance on the voting system in order to maintain its integrity, ensure that it functions properly and without incident, and prolong its lifespan. The Registrar of Voters has confidence that the existing voting system will be operable through the 2016 elections. Prior to that time, the Registrar of Voters will continue to maintain Orange County's voting system with the utmost care, evaluate the depreciation of the system over time, and monitor advances in voting system technology. 4 4 COUNTY OF ORANGE Responses to Findings and Recommendations 2012-13 Grand Jury Report entitled "Registrar of Voters Earns High Marks for 2012 Election"

The existing office and warehouse space is overcrowded. Response: Agrees with the Finding. The Registrar of Voters operates out of one primary location in Santa Ana at 1300 South Grand Avenue; however, during county-wide election years it is necessary to temporarily lease a second warehouse for several months in order to meet the increased need for space. The Registrar of Voters' primary warehouse houses supplies, ADA compliant voting equipment, and more than 9,000 voting booths. The secondary warehouse site, located at 1100 South Linwood Avenue in Santa Ana, is needed during election years to prepare and store supplies for over 1,000 polling places, in addition to prepare sample ballots for mailing to 1.5 million+ registered voters. The Registrar of Voters' need for additional warehouse space increased in 2007 subsequent to the promulgation of a new regulation by the Secretary of State requiring the Registrar of Voters to deliver all voting equipment and supplies to polling places within a ten day window prior to Election Day. This new time constraint significantly impacted election operations through the resulting convergence of numerous complex tasks within a brief period of time. Prior to 2007, a larger time frame to distribute voting equipment and supplies allowed the Registrar of Voters to accomplish critical tasks, such as preparing voting equipment and polling place supplies for delivery to polling places, processing incoming and outgoing vote-by-mail ballots, and processing and mailing sample ballots, in less space than currently required. Presently, the Registrar of Voters' space requirements are met by leasing temporary warehouse space. Though not intended to be a permanent solution, leasing additional space is an expedient method of meeting the needs of the office while the Registrar of Voters continues to assess its true space requirements, which may change in the future due to advances in technology.