County of Santa Clara Office of the Clerk of the Board of Supervisors County Government Center, East Wing*

As a result of the mail distributor not following ROV procedure, 7,668 ballots were erroneously mailed to addresses not consistent with ROV records. Grand Jury Recommendation 1A: The ROV should review its ballot-handling procedures to ensure the ballot-handling process is fully documented. Grand Jury Recommendation 1B: The ROV should ensure the written procedure is attached to or referenced in contracts, communicated with mailing vendors, and re- communicated periodically, depending on change in procedure or change in vendor personnel. Registrar of Voters Response to Finding 1: The Registrar of Voters (ROV) agrees with this finding. The mailing house vendor performed a United States Postal Service (USPS) National Change of Address (NCOA) update on the data file provided by ROV. The vendor stated that this NCOA processing has become a standard process for most clients to meet a new postal requirement enacted in November 2008 that bulk mailing address data be updated via NCOA or a similar method prior to mailing. However, ROV has always opted out of the vendor providing this service, preferring instead to handle all address changes in-house. Subsequent to the mailing, the vendor realized its error and notified ROV. Registrar of Voters Response to Recommendation 1A: ROV agrees with this

Adequate measures do not exist to ensure that the mailing vendor updates addresses solely from ROV-received data. Grand Jury Recommendation 2: The ROV should develop and include within its written procedures a process describing how address changes are to be updated. That process should include safeguards such as a written acknowledgment by the mail distributor that it has updated its mailing list only from the ROV list. The process should require the mail distributor to return a signed form attesting that it followed the written procedure. Registrar of Voters Response to Finding 2: ROV does not agree with this finding. Mailing vendors are instructed to NOT alter addresses supplied by the ROV. Given that there is a prohibition for mailing vendors to update any address supplied by the ROV there is no necessity for any measure involving when a mailing vendor is supposed to update addresses. ROV does acknowledge that additional measures could have been in place to ensure the mailing vendor did not update the addresses. Registrar of Voters Response to Recommendation 2: Based on our response to Finding 2, ROV does not agree that any written acknowledgment about how a mail distributor is to change address is appropriate as we require and prohibit a mail distributor to make modifications or updates to the address list supplied by the ROV. A written acknowledgement as to the prohibition is appropriate and has been implemented. See Attachment 2.

Instructions to voters to recast ballots are unclear. The ROV failed to communicate clearly to voters who received improper ballots that their initial ballots were voided. As a result, some voters may not have voted using the correct ballots and remained unaware that their first ballot had been voided. Thus, for some, without their knowledge their votes may not have been counted. Grand Jury Recommendation 3A: Written communication with voters whose ballots are voided should clearly state that fact. Grand Jury Recommendation 3B: For those voters whose initial ballots are voided and who are still eligible to vote, correct ballots should be sent with a letter clearly stating that if they had previously voted on the incorrect ballot that they must vote again using the new ballot enclosed for their vote to be counted. Registrar of Voters Response to Finding 3: ROV agrees with this finding. The Vote by Mail Division should have mailed a letter of explanation along with the required form. Registrar of Voters Response to Recommendations 3A&B: ROV agrees with these recommendations and has created a new form letter to send to voters in the event that their ballots need to be voided for reasons other than their own request. The letter includes a clear statement that the voided ballot will not be counted and that the voter will need to complete and return the new ballot to ensure that their votes can be counted for the contests in which they are eligible. See Attachment 3. ROV appreciates the feedback received from the Grand Jury and will continue to make improvements in all phases of Vote by Mail Operations by maintaining better documentation of procedures, tightening controls on vendors, and improving communications with voters. ROV places the highest importance on the integrity and transparency of the election process and takes seriously any opportunity to improve its processes. Attachments: Attachment 1 – Ballot Issuance Procedures Attachment 2 – Vendor Data Handling Procedures The foregoing instrument is a correct copy Attachment 3 – Voided Ballot Voter Notification Letter of the original. Maria Marinos ATTEST: Clerk of the Board ومحجو Deputy Clerk Cc: Luke Leung, Deputy County Executive AUG 0 9 2011 Date: Susan Swain, Lead Deputy County Counsel Grand Jury Report Registrar of Voters Product to Chment Ballot Issuance Procedures BALLOT ISSUANCE PROCEDURES Background Vote by Mail applications are to be processed during a prescribed window between the 29th and the 7th day prior to the election. Any applications received by the elections official prior to the 29th day shall be kept and processed during the application period. Any registered voter can apply for Permanent Vote by Mail Status. Ballots will automatically be mailed to all active voters with Permanent Vote by Mail Status starting 29 days before the election. Scope This procedure will pertain to issuing Vote by Mail Ballots by mail to Military/Overseas Voters, Permanent VBM Voters, and one-time VBM Voters. Procedures and Processing A. BALLOT ORDER OVERVIEW To be performed by VBM Manager: 1. Send ballot order and finishing specs to ballot printing and mailing house vendors on E-60 2. Set up a meeting and/or conference call with ballot printing and mailing house vendors to review procedures and requirements (see sample, Attachment A) 3. Receive & proof ballot runsheet & specs from ballot printing vendor (see sample, Attachment B) a. Confirm ballot specs with Ballot Layout (see sample, Attachment C) b. Compare ballot types and languages to plate code list provided by allot Layout Compare serial numbers to quantities in VBM ballot order 4. Run data files for ballot printing & mail house vendors on E-45 (run Mail Ballots first, then Perm VBM) 5. Receive signed Data Processing Checklist from mailing house vendor (see sample, Attachment D) a. Confirm that only Ancillary Service Endorsement has been marked Yes (Y) in the "Completed" column; FASTforward, NCOALink, and ACS must not be completed b. Data Processing Checklist must be approved and returned to vendor before any ballot printing or mailing activities can commence 6. Upon receipt of ballots, quality control procedures must be performed both at the ROV office and at the mailing house vendor's facility, pursuant to the "Optical Scan Quality Control" procedures Registrar of Voters Procedures Procedures BALLOT ORDER GENERATION Draft voters into the election In EIMS, go to Election Workspace and select the current election, then go to Election Menu and select Election Checklist 2. In the Election Checklist, go to Draft Voters into Election, then choose the "Add (append) voters" option and click Draft Voters into Election Set ballot order parameters Return to the Election Checklist and go to Setup Ballot Order Parameters Set the parameters according to the election type, then save: a. Regular election AV: 10% (ROV Vote by Mail in-house stock) PCT: 75% (Precinct supply) Perm PSI: 101% (Vote by Mail for delivery by mailing house) b. Mail ballot election Mail Ballot: 5% (ROV in-house stock) MB PSI: 101% (For delivery by mailing house) c. General parameters Minimum order: 0 Multiples of: 50 for Spanish, 10 for other languages • All unused parameters: 0 Generate ballot order Return to Election Checklist and go to Generate Ballot Order Proof ballot order Return to the Election Checklist and go to Proof Ballot Order Click red icon next to save to update the ballot serial numbers for all ballot types and languages Extract ballot order Exit Election Checklist and go to Elections Workspace Reports Select EWMJ006 Ballot Order Data Extract 10. Set report parameters: a. Ballot Order Item Regular Elections: run separate jobs for AV, PCT, and PERM PSI • Mail Ballot Elections: run separate jobs for Mail Ballot and MB PSI b. Save Ballot Order Extract to: rov-printfile\d\AVM Envelopes\ \ Submit ballot order Retrieve ballot order files 12. Sum the total number of ballots ordered by language 13. Create summary spreadsheet (see example) Registrar of Voters Profesures transcomment Ba lot Issuance Procedures Card A Totals LANGUAGE dtElectionDate BallotOrderItemDesc Seq 139,826 SPANISH - MB - PSI 1 2 7,283 CHINESE - MB - PSI 3 TAGALOG - 462 MB - PSI 4 1,019 VIETNAMESE - MB - PSI 148,590 1 7,000 MB - ROV SPANISH - 2 CHINESE - 390 MB - ROV 3 50 MB - ROV TAGALOG - 70 4 VIETNAMESE - MB - ROV 7,510 156,100 156,100 total 14. Send ballot order files with summary spreadsheet to vendor 15. Complete Request for State Ballot Release Activity Form with total ballot order +10% contingency and submit to CA Secretary of State B. BALLOT DATA FILE CREATION INSTRUCTIONS To be performed by VBM Manager or designee in three phases: 1. Run Military-Overseas on E-60 2. Run data files for ballot printing & mail house vendors on E-45 (run mail ballots first) 3. Run updated files daily beginning E-29 through E-7 *Note: Refer to "Checklist of Items That Must Be Printed on the Return Address Envelope" prior to running data files (see sample, Attachment E) Instructions: In EIMS, go to Election Workspace and select the current election. 2. Go to Absentee Processing Menu and select Autogenerate Groups 3. Select Absentee Status as applicable (leave blank for Mail Ballot) 4. Mail Ballot Check Box: only check when running Mail Ballot Precincts (run first before regular VBM voters) 5. Select Languages (for in-house ballots, do 2 runs: 1st E/S, 2nd C/V/T) Select all Parties 7. Select Application Method 8. Set Application Status to Good 9. Select Ballot Issue Type 10. Run the job ("printer" icon) 11. Repeat steps 2-10 for each absentee status and/or language as appropriate 12. Go to AV Group Control Select the radio button for Autogenerated 14. Note the ID numbers and quantities on the VBM Envelope Job Log 15. Highlight all the groups of the same type (ex. all Mail Ballot E/S) Registrar of Voters Procedures Procedures 16. Click Issue Envelopes (bottom left corner of window) 17. Confirm the sort order (appearing in red text) Select Extract to File (for vendor files) or Crystal Reports (for in-house ballots) 19. Uncheck political parties (unless in a primary election) 20. Check issue date (should be E-29 for vendor files) 21. Set file name to election's folder 22. Click Submit 23. Repeat steps 15-22 for each absentee status and/or language as appropriate For Vendor Files: individually archive files into .zip and upload to vendor FTP server For In-House Ballots: Run EIMS job AVMR140 and proceed to Envelope Inkjet Instructions C. ENVELOPE INKJET INSTRUCTIONS Go to Desktop of PC connected to inkjet machine; do not log into EIMS Go to the folder for current election and open the individual Crystal Reports files 3. Load the appropriate envelopes depending on type and language; use AVMR140 for reference a. White for Military/Overseas b. Green for Mail Ballot Precincts Blue for all other VBM d. All mail ballot special elections may be assigned a unique envelope color 4. Print the first ten envelopes and visually inspect for print quality; if needed, clean the print heads or adjust the envelope alignment 5. Print the remaining envelopes, visually inspecting for print quality throughout 6. Reprint envelopes with poor print quality based (check sequential number corresponding to page number in Crystal Reports) and destroy old envelopes Forward addressed envelopes to ballot packet assembly D. BALLOT PACKET ASSEMBLY INSTRUCTIONS Using AVMR140 as a pull list, retrieve the correct quantity of each Ballot Type and language combination for each batch of addressed envelope; log the serial numbers taken in the Ballot Usage Log. 2. Assemble ballot packets containing: a. Outer envelope with window Return envelope with inkjet-printed address; make sure the address is visible through the window of the outer envelope c. One complete set of ballot cards of the appropriate Ballot Type and language d. One VBM instruction sheet of the appropriate language (for polling place) elections) e. Sample Ballot & Voter Information Pamphlet of the appropriate Ballot Type and Language (for all mail ballot special elections) i. For English voters, 1 English SBVIP ii. For other languages, 1 English SBVIP & 1 SBVIP in preferred language Registrar of Voters Procedures Chment Ballot Issuance Procedures 3. Run envelopes through postage machine to meter and seal a. Place one piece on the scale to set the appropriate postage (if some sets have a variable number of ballot cards or SBVIPs, they must be metered separately) b. Visually inspect envelopes as they are run to check print quality and ensure back flaps are sealed 4. Record the number of pieces and price in the postage log 5. Place metered ballot packets into white USPS trays and attach "Ballots" tag 6. Deliver ballot packets to Lundy USPS office . Registrar of Voters Procedures Transcondent Ballot Issuance Procedures VBM Ballot Issuance Flowchart VBM Ballot Physical Handling Procedure Request VBM Locked Access from Storage Room Authorized Personnel Unlock VBM VBM Ballot Usage Ballot Secure Log Control Storage Room Operation Perform VBM Ballot Receipt/ Update Usage Log Issuance VBM Lock Secure Ballot Storage Control Room Operation Perform VBM Locked Secure Storage Room Transport . Registrar of Voters Procedures Ballot Issuance Procedures ATTACHMENT A Santa Clara County Registrar of Voters Optical Scan Ballot Finishing and Packaging Specifications ROV Precinct Ballot Printing and 2 stubs SCORE - Yes Finishing FOLD - (PCT) IMPRINT On voter's stub -Black ink horizontal, 6 digit consecutive numbering, ballot type, language code, and precinct number on the left On binding stub - 6 digit consecutive number on the right, with 2 staples On Masthead - "PCT" and precinct number Pack by Precinct ROV Precinct Ballot Packaging Stitch Yes in E/S in 50's, other languages in 25's (PCT) Shrink wrap - no E/S ballots: pack each precinct in a separate box. Other languages, combine precincts with cardboard between each precinct. #41 box and lid Pack each language combo separately. Use paper stuffing only. No tape on strapping on boxes. Mailing House Permanent & Mail 1 stub Ballot Finishing (PERM & MB) SCORE - Yes FOLD - Yes IMPRINTS - On Stub - - Black ink horizontal, 6 digit consecutive numbering, ballot type, language code, and precinct number on the left, 2D barcode and readable barcode On Masthead - "MB" or "PERM" and Precinct number Mailing House Permanent & Mail Paper band in 50's or factory option. Use box & lid #41 for 2 column ballot. Ballot Packaging Pack in mail file sequence number order. Mark sequence number on (PERM & MB) box. Vendor to save boxes for ROV. Ship to Vendor on postal pallets ROV Vote by Mail Ballot Printing 1 stub VBM's do NOT stitch at all. Numbered stub face up and at the top. and Finishing (VBM) SCORE - Yes FOLD - Yes IMPRINTS Black ink horizontal, 6 digit consecutive numbering, Ballot Type, Language code, on front on the upper left, "VBM" on the left In Masthead "VBM" Registrar of Voters Procedures Procedures ATTACHMENT A (continued) ROV Vote by Mail Ballot Packaging Pack by language combination Use largest print box labels as possible (VBM) Paper bands of 50 for ROV English /Spanish. Other languages band in 25. Start a new box for each language Use paper stuffing only. No tape or strapping on boxes. Use box & lid #64 if 3 column ballot or #41 if 2 column ballot Ship to ROV ROV TEST BALLOTS No stub Finishing do NOT stitch at all. SCORE - No FOLD - No OVERPRINT - Yes TEST IMPRINTS RED ink horizontal, ROV TEST Pack by Ballot Type Use largest print box labels as possible Packaging Start a new box for each language Use paper stuffing only. No tape or strapping on boxes. Ship to ROV Other Mailing House Requirements No ACS/NCOA data file modifications Delivery to San Jose Lundy (95xxx zip codes) & San Francisco (94xxx zip codes) post offices Registrar of Voters Procedures Procedures ATTACHMENT B JOB: 135801 COUNTY: SANTA CLARA ELECT DATE: 5-3-11 SIZE: 6.72 X 9.25 + 1.25 = 6.72 X 10.5 OVERALL - 1 STUB MAIL BALLOT FINISHING SCORE YES SCORES FROM BOTTOM: 5.25 FOLD YES FOLDS IN HALF WITH BALLOT FACE OUT OVERPRINT: NO TEST / DUPE FACTORY OPT / COLOR:____ IMPRINTS IN STUB: LANGUAGE CODE, 2-DIGIT BT AND 6-DIGIT CONSECUTIVE NUMBER ON THE LEFT. IN MASTHEAD: LANGUAGE CODE, 2-DIGIT BT NOTES: LANGUAGE CODES: E/S (Spanish), E/C (Chinese), E/V (Vietnamese), E/T (Tagalog). MAIL BALLOT PACKING PACKAGING: USE LABELS PROVIDED - PLEASE USE LARGEST PRINT LABELS POSSIBLE!! PACK: BY LANGUAGE PAPER BAND YES IN: UP TO 50'S DEPENDING ON ORDER QUANTITY SHRINK WRAP NO START NEW BOX FOR EACH: OK TO COMBINE E/C, E/V, AND E/T. MARK CARTONS CLEARLY. QTY PER BOX: ____700_____ WEIGHT LIMIT (IF ANY) NOTES: Must use CO64 cartons. Use paper stuffing only. No tape or strapping on boxes. SHIP TO: SHIPPING INSTRUCTIONS: SANTA CLARA COUNTY DELIVER 8 A.M. TO 4:30 P.M. UNLESS REGISTRAR OF VOTERS CLEARED IN ADVANCE. 1553 BERGER DR. SAN JOSE CA 95112 ATTN: MIKE FONG OR MATT FOR WEEKEND DELIVERIES ONLY: MORELES CALL ALFRED GONZALES 408-282- 3015 OR MIKE FONG 408-282-3058. 408-282-3063 COORD: MARY CAY EXT: 320 Registrar of Voters Pro ATTACHMENT B (continued) Digital Press RunsheetSanta Clara County, CA 135801 DRAFT 1 Chinese Group: Paper Color: Lavender Background/Color: Lavender CA Bear Stripe Color. No Stripes Text Color: Black Ballot Type Card 01 Front Plate: 43-001C-1SP87 Back Plate: X ittachment alot Issuance Procedures Stitch/Bind/Wrap iD Code Other Imprint Precinct Imprint Quantity Numbering From - To MB 000001 000050 50 50 Total 01 02 Front Plate: 43-002C-1SP87 Back Plate: X Stitch/Bind/Wrap Other Imprint ID Code Quantity Numbering From - To Precinct Imprint MB 260 000001 000260 260 Total 02 03 Front Plate: 43-003C-1SP87 Back Plate: X Stitch/Bind/Wrap Other Imprint Quantity Numbering From - To Precinct imprint ID Code MB 000001 000030 30 30 03 Total 04 Front Plate: 43-004C-1SP87 Back Plate: X Stitch/Bind/Wrap ID Code Quantity Other Imprint Precinct imprint Numbering From - To MB 000001 000050 Registrar of Voters Procedures Translation Chment Ballot Issuance Procedures ATTACHMENT C MAIL Trèn Trim / OFFICIAL BALLOT/BALOTA OFICIAL SPECIAL ELECTION/ELECCIÓN ESPECIAL E/5 02 SANTA CLARA COUNTY, MAY 3, 2011 1.25 CONDADO DE SANTA CLARA, 3 DE MAYO DE 2011 654321 This numbered ballot stub shall be removed and retained by the voter. El votante deberá desprender y guardar el talón numerado de esta balota. ⊕ $ ES 02 43-8018-18P87 OFFICIAL BALLOT BALOTA OFICIAL SPECIAL ELECTION ELECCIÓN ESPECIAL SANTA CLARA COUNTY/CONDADO DE SANTA CLARA MAY 3, 2011/3 DE MAYO DE 2011 INSTRUCTIONS TO VOTERS: Complete the arrow next to your choice, using one thin line. Use only BLUE or BLACK ink to mark your ballot. If you make a mistake and need a new ballot, call the Registrar of Voters' Office for a replacement ballot. £Χ INSTRUCCIONES PARA LOS VOTANTES: Complete la flecha junto a su selección, utilizando una linea delgada. Use únicamente finta AZUL o NEGRA. Si cornete un error y necesita una balota nueva, llame a la Oficina del Registro de Votantes para una balota de repuesto. SCOLE 5.25 MEASURES SUBMITTED TO THE VOTERS -OLD MEDIDAS SOMETIDAS A LOS VOTANTES SCHOOL ESCUELA 1 1 LOS GATOS-SARATOGA JONT UMON HIGH SCHOOL DISTRICTDISTRITO CONJUNTO DE ESCUELAS SECUNDARIAS UNIÓNDE LOS GATOS-SARATOGA Santa To provide stable funding for local high achools, maintain outstanding core academic programs in math, Α A science and English resis highly qualified teachers, provide programs that propers students for college and careers, and provide classroom materials like books and career and pupilment, shall list he Calaba-Sandoga Joint 윭 citizen oversight, an exemption for seniors, no funds for administrators' salaries, and every dollar staying in local high schools? A fin de proporcioner financiamiento estable para las escuelas secundarias locales, mantener programas académicos centrales sobresaliantes en matemáticas, ciencias e inglés, retener a maestros altamente calificados, 03/02/2011 13:12:27 a 9.25 proporcionar programas que preparen a los estudiantes para la universidad y las carreras, y proporcionar materiales para las autes como libros y equipo de ciencias para los laboratorios, ¿debe autorizarse al Distrito Conjunto de Escuelas Secundarias Unión de Los Gatos-Saratoga a gravar $49 por parcela anualmente durante sels años, con supervisión ciudadans, con una exención para personas de la tercera edad, sin YES / SÍ 👍 fondos para salarios de administradores, y que cada dólar permanezca en las escuelas secundarias locales NO/NO 4 Ē Printed $ ( 13:14 43-001$-1SP87 BT1 E/S Trim 6,721. E-MAILED NER 04 AM 6,72 x 10,5. DUERALL Registrar of Voters Procedures Procedures Procedures ATTACHMENT D VOTE BY MAIL DATA PROCESSING CHECKLIST COUNTY: SANTA CLARA COUNTY JOB#: 15712 ELECTION DATE: NOV 2, 2010 GENERAL ORIGINAL FILES No. of records Date Received E83 MB PSI C V T 11 2 10.txt 09/13/10 2,331 E83 MB_PSI E - S 11 2 10.txt 40,961 09/13/10 E83 PERM PSI C V T 11 2 10.txt 39,707 09/13/10 E83 PERM PSI E S 11 2 10.txt 442,981 09/13/10 TOTAL NO. OF RECORDS RECEIVED 525,980 DATA PROCESSING COMPLETED (Y/N) DATE Address Correction and Parsing Standardize addresses with CASS-certified software Υ 09/15/10 Software identifies San Francisco SCF records Υ 09/15/10 Presort with PAVE-certified presort software Y 09/15/10 Create Excel spreadsheet of unqualified and international records ٧ 09/15/10 Move Update Method Anciliary Service Endorsement (DEFAULT for Vote By Mail Ballots) 09/15/10 ¥ FASTforword (DEFAULT IS NO unless directed otherwise in writing by county) 09/15/10 N NCOALINK (DEFAULT IS NO unless directed otherwise in writing by county) 09/15/10 N ACS (DEFAULT IS NO unless directed otherwise in writing by county) 09/15/10 Ñ Multiple (DEFAULT IS NO unless directed otherwise in writing by county) Ν 09/15/10 Append IMB information to all mailing records 10.00 Sampling Tracking (track statistical sampling of records) N 09/15/10 Unique Tracking (every individual record is being tracked) Υ 09/15/10 Append Version ID Segment/Version ID variables include: ¥ 09/15/10 Mail Class Υ 09/15/10 Post Office of Mailing 09/15/10 Y MB/VBM Y 09/15/10 Language Y 09/15/10 No. of cards 09/15/10 Y Ballot Type 09/15/10 Party N 09/15/10 Match Codes Populate inkjet code (ij_code) field with 6 digit serial number 09/15/10 Y Populate ballot card field(s) with match codes 09/15/10 ٧ No, of ballot card fields 09/15/10 Y NOTE: The scrial no. in the IJ Code must match the serial no. in the Match Code Send to ProVote and to County Master database with Version ID, IJ Code, and Ballot Card fields 09/15/10 Υ Version Matrix to include Version ID, match code range, and counts for each version 09/15/10 Υ Excel spreadsheet of unqualified and international records 09/15/10 Y This checklist of steps taken, to be reviewed and approved by the County 09/15/10 Y ACCOUNTING OF TOTAL RECORDS NO. OF RECORDS DATE Total records to be mailed by Postal Systems 525,942 09/15/11 International records returned to the County 17 09/15/11 Undeliverable records returned to the County 09/15/11 21 TOTAL NO. OF RECORDS (must match total no. of records in original files) 5 25,980 ACCOUNTING OF MAIL RECORDS FC STAMPS FC INDICIA NP INDICA TOTAL DATE SAN JOSE POST OFFICE 197 253 419,068 419,518 09/15/10 SAN FRANCISCO POST OFFICE 138 269 106,017 106,424 09/16/10 TOTAL NO. OF RECORDS MAILED BY POSTAL SYSTEMS 335 522 525,085 525,942 PREPARED BY PPROVED BY All throwns 1992 NAME: NAME: 333 --- __ TITLE? ATITLES DATE: DATE The Contract of 计程等。1000 COMPANY COUNTY: Registrar of Voters Procedures Procedures ATTACHMENT E Check List of items that must be printed On the Return Absentee Envelope Vendor _____ Sample supplied date Data File items that must be printed on V the AV Return Envelope . . Name Mailing Address City, State, Zip Post office barcode Absentee ID number (printed) Absentee ID number (3 of 9 barcode) Affidavit number Voting Precinct Number Language Political party (Primary only) Ballot Type . . . . . . . . . . . . . . . . . . . . Election Date Run date Perm AV code, or Mail Ballot Code (type) Check sample to see if 3 of 9 barcode works Check to see if name and address shows through the opening in the window envelope Sample attached Checked by _____ Date _____ st 1/30/2006 5:14 PM PSI Checkoff list for vbm envelope 1/13/06 9/29/2006C:\Users\matt.moreles.SCCGOV.000\Desktop\PSI Checkoff list for vbm envelope.doc Registrar of Voters Procedures Tanua Chamber Chamber Can Quality Control Procedures OPTICAL SCAN QUALITY CONTROL Background Elections Code §13000 states, "The person in charge of elections for any county...shall provide ballots for any elections within his or her jurisdiction, and shall cause to be printed on them the name of every candidate...entitled to a place on the...ballot." In Elections Code §13002 it states, "Ballot paper and ballot cards used by a jurisdiction...shall be tinted and watermarked or overprinted with a design, to be furnished by the Secretary of State, ...that...is plainly discernible." In Elections Code §13004 (a) it states, "The Secretary of State shall adopt regulations governing the manufacture, finishing, quality standards, distribution, and inventory control of ballot cards and requiring the biennial inspection of the manufacturing, finishing, and storage facilities involving ballot cards. The Secretary of State shall also approve each ballot card manufacturer or finisher prior to...providing ballot cards for use in California elections." Also, Elections Code §13005 (a) states, "Before a user may purchase ballot cards, the user shall request a release for a specific quantity of these ballot cards from the Secretary of State." These laws, guidelines, and standards serve to inform us as to the proper procedures and best practices to apply in procuring Ballots from manufacturers for use in elections. O. S. BALLOT QUALITY CONTROL PROCESSING Overview County elections officials must provide ballots for any elections within their jurisdiction and ensure that proper procedures are in place to comply with law in their design, manufacture, quality, distribution, and inventory. Optical Scan Ballots received from a printer or finisher for use in any election must comply with elections code law and the regulations set forth by the Secretary of State. While overall compliance with this mandate encompasses many separate division responsibilities covered by other ROV procedures, it is Optical Scan Quality Control processing which is one of the tangible procedural activities that ensures ballot conformity. This activity is undertaken to confirm that which has been attested to in the Manufacturer's Quality Control Assurance Letter sent to VBM management prior to shipment. Tests are conducted by VBM personnel following established guidelines on a sample of the Ballots when they arrive in-house; and after the Quality Control processing & procedures have been completed with good results. The Printing vendor will do an extensive quality control process prior to the ballots leaving the plant. A letter of Assurance will be provided as well as a completed "Ballot Inspection Checklist" with each ballot shipment. (See attached flowchart). Registrar of Voters Procedures Charles Charles Charles Charles Charles Charles Charles Charles Charles Charles Charles Charles Charles Charles Charles Charles Charles Charles Charles Charles Charles Charles Charles Charles Scope This procedure will pertain to Optical Scan Ballots that are procured from approved outside vendors such as Provote Solutions, Inc. for use in lawfully called county, special, and statewide elections where 400C Tabulating Machine will be utilized for automated vote counting. This procedure will not pertain to Quality Control inspection or testing for any other election materials or voting systems used in conjunction with this or other elections. Requirements and Preparation Inspection Team(s) of 3 people (1 recorder, 1 person operating the "Go/No-Go" Gauge, and 1 person opening the boxes). 2. Space to store the ballots on pallets. 3. A place to store the ballots after the quality control process is completed. 4. Tables to do the actual quality control testing. 5. Packing List from the Manufacturer. 6. Optical Scan Ballots. Rubber Bands. Go/No-Go Gauges. 9. Box cutters to open up the packing cartons containing the ballots. 10. Red & Black ink pens. 11. A list of plate codes, provided by Ballot Layout Division. The plate code list is an election specific BPS generated list which is a cross reference to each page front and back by ballot type, language, and page. 12. A Quality Control Sheet that lists all of the languages, parties, ballot types, sequence numbers of ballots ordered with spaces to log and make comments. Employee Guidelines for Quality Control Process Employees must have clean hands. 2. Ensure a clean working area to perform the work. 3. No food or drinks are allowed in the "quality control" work area. 4. Only one packaging carton containing Optical Scan ballots is to be opened at a time per Inspection Team. 5. Employees are encouraged to ask questions, collaborate with other team members, and make notes about observations as they proceed. 6. If you think you have found a problem or an inconsistency with the ballot(s), at any point in the inspection process notify your supervisor immediately. Procedures and Processing I. Verification of Box Label to Content (This applies to every box): 1. Verify that the number sequence on the box label matches or falls within the ballot number sequence. 2. Open the box and verify that the ballots in the box match the party, ballot type, and language indicated on the box label. Registrar of Voters Procedures Chmeral translation Control Procedures 3. Verify that the serial numbers of the first and last number in the ballot box match the label. 4. Verify that the quantity of ballots in the box matches the number listed on the label. 5. Verify that you see black trim marks along the sides of all the bundles in the box (Do not remove the bundles to do this check). II. Ballot Inspection. Inspect a minimum of 3 ballot cards per ballot type and 3 ballot cards in each box of multi- boxed ballot types. A. Small Ballot Types in One Box or Less: 1. Check 3 ballots (beginning, middle, and end) in the last bundle (Note: this is where production begins). The number of ballot to inspect depends on the quantity ordered for each ballot type. 2. If the ballot type is larger than one bundle, check at least 2 more ballots for that ballot type, from different bundles. Check a minimum of 3 ballots per ballot type. 3. Break the paper band around the ballot bundle where you are going to take inspection samples from and replace it with a rubber band. 4. Place the ballot in front of you to check the front & back plate codes (on the bottom of the ballot) against the Run Sheet. 5. If all the numbers are correct on the ballot inspected, initial and date that line of the Run Sheet (see example below). 6. If the numbers are not correct, alert your supervisor immediately of the discrepancy. Follow items C. through E. below to complete inspection of ballot. Example of Quality Control Sheet: Serial Ballot I Number Numbers Party Type Sequence Checked Comments DEM 1-50 1 Good 1 Torn or soiled Registrar of Voters Procedures Table Chmerical Can Quality Control Procedures B. Large Ballot Type in More than One Box: Start with the last box, the one containing the highest number sequence ballots. 2. Check 3 ballots (beginning, middle, and end) in the last bundle (Note: this is where production begins). 3. Check 1 ballot from the beginning of that box. 4. Check 1 ballot form the middle of that box. 5. Work successively through each lower numbered box, checking one ballot from each box. a. Break the paper band around the bundle you are inspecting and replace it with a rubber band. b. Check the front & back plate codes (on the bottom of the ballot) against the Run Sheet. c. If all the numbers are correct on the ballot inspected, initial and date that line of the Run Sheet. (Place a tick mark on each data element to stay on track). d. If the numbers are not correct, alert your supervisor immediately. 6. Follow items C. through E. below to complete inspection of ballot. C. Go/No-Go Gauging (Checking for Ballot Size): Insert the foot (the bottom) of the ballot through the green side of the Go/No-Go Gauge to check for proper ballot size (width). If it slides through, the ballot width is Good. 3. Try to insert the foot (the bottom) of the ballot into the red side of the Gauge. The ballot should not go through. 5. If the ballot goes through the green and will not go through the red side of the Go/No-Go Gauge it is a good ballot (neither too wide nor too narrow). 6. If the ballot will not go through the green side or it will go through the red side of the Go/No-Go Gauge-you must reject the ballot (a rejected ballot) for being out of size tolerances (too wide, too narrow). D. Printing Quality and Format: Check the scoring; folding on the front and back, verifying that no smudge, fold, or score path is within any voting target arrows. 2. Check the print quality on the front and back of the ballot -- making sure there are no hickeys or stray ink spots in the header codes, or ink spots in voting target areas. 3. Inspect ballots for visible toner rub-off, smudges, stain, wrinkles, stray ink spots, etc. Rub two ballots together with some pressure to check for toner quality. If the ink smudges or smears, notify the supervisor. Check the ballots for format: a. Check the trim marks on the right and left edges of the ballots. Make sure there are some black non-continuous lines along the sides of the ballot. b. Check the Write-In spaces (for contests with candidates) and make sure there are arrows for voting. c. Check the front to back registration of the ballot using the square boxes at the top right and lower left corners of the ballot. Registrar of Voters Procedures Tana Chamber Chamber Chamber Chamber Chamber Chamber Chamber Chamber Chamber Chamber Chamber Chamber Chamber Chamber Chamber Chamber Chamber Chamber Chamber Chamber Chamber Chamber Chamber Ch 5. Place a rubber band around the ballots and replace the bundle in the same place it came in the box. Once the ballots are checked, complete the "Ballot Quality Control Sheet" and write any comments if an issue is identified. 7. If a ballot is rejected, write the serial number of the rejected ballot on the outside of the box. Place the rejected ballot into the "Problem Tray" and notify the Supervisor. E. When you have Completed Checking the Ballots in the Box: 1. Place a big Red check mark and your initials on the lower right-hand corner of the box. Place the box back on the pallet or on a shelf as directed by the supervisor. F. Transporting & Storing the Ballots: 1. The supervisor will determine the quantity of ballots to be sent to the secure Vote by Mail Ballot Room. The overflow will be placed on shelves in the warehouse behind the security fence. 2. Ballots must be transported from the warehouse to the office with at least 2 people. All ballot storage area must either be locked or there must be at least 2 Registrar of Voters VBM staff present at all times. G. Additional In-house Testing Performed: In addition to the above procedures, Vote by Mail staff performs additional in-house testing of ballots. IS performs Logic & Accuracy testing with premarked test ballots printed by Printing Services and will integrated pre-mark ProVote ballots to ensure counting accuracy. 2. Prior to the election, test ballots samples are sent to ourselves through the mail, and using the return envelopes mailed back to the ROV; then, VBM personnel run the ballots through the 400C Tabulating machine to see if any votes are counted and report the result to the supervisor. Also, Vote by Mail staff conduct inspections of returned ballots when we start to open them beginning on the seventh business day prior to the election. Registrar of Voters Procedures Transconnection Charles Control Procedures Optical Scan QC Flowchart Ballots Received from ProVote Solutions Resources Assurance Letter Optical & Staff from Scan QC Needed to ProVote Solutions Procedure Perform Steps QC Obtain Box Label & Step 1 Guidlines Vendor Supplied 3-Person Verify Box Label Packing List to Contents QC Team & Space List of Approved Collect Plate Codes from Step 2 Necessary Verify Plate codes Ballot Layout Div. Items Step 3 Select Go/No-Go Insert Ballot through Go/No- Gauge Size Go Gauge Means of Step 4 Check Print Transport & Storage Quality & Format Yes Nο Quality Control Pass QC Sheet Inspection Report Inspection? . Supervisor/ Final Step 5 Vendor Documentation Prepare for Storage Notification Package Process (TBD) Document No. Effective Date 7/5/11 PSI DATA FILE HANDLING PROCEDURE Revision Date Revision No. 1 of 1 Page No. Author Mary Cay Albert Brian Lierman Approved By Reviewed By Brian Lierman 1.0 Purpose To make sure all Election mailing files are processed according to Customer requirements and Election Code. Revision History 2.0 Rev. Reference Change Date Section(s) No. 7/5/11 1 New Procedure Drafted N/A 3.0 Scope 5 ProVoteSolutions – Customer Service, Mailing, Quality Control 4.0 Definitions Gather requirements from Customer, record what processes were done to mailing file, and proof those processes back to customer to verify the requirements requested were performed. 5.0 References Election Code book List of customer requirements Description of Election Checklist from PSI 6.0 Procedures 6.1 Election Coordinator to receive list of processes to be performed to mailing files by customer. 6.2 Election Coordinator to pass this information on to PSI along with mailing files received from Customer. 6.3 PSI to record on the "VOTE BY MAIL DATA PROCESSING CHECKLIST" quantities or yes/no (whichever is required), sign and date at the bottom, and send as a PDF file to the Election Coordinator with the POD File Matrix and processed mailing files. Election Coordinator to make sure any and all processes required were performed and forward the "VOTE 6.4 BY MAIL DATA PROCESSING CHECKLIST" to the Customer for their approval, along with the POD File Matrix. Customer to verify that all processes were performed that were requested, and none that weren't, sign 6.5 their approval and return to Election Coordinator. No production, ballot printing, or addressing will begin until signed off checklist is received back from 6.6 Customer. 7.0 Attachments VOTE BY MAIL DATA PROCESSING CHECKLIST POD File Matrix - Sample COUNTY: _____ JOB#__ ELECTION DATE: _ VOTE BY MAIL DATA PROCESSING CHECKLIST No. of records Date Received ORIGINAL FILES TOTAL NO. OF RECORDS RECEIVED COMPLETED (Y/N) DATE DATA PROCESSING Address Correction and Parsing Standardize addresses with CASS-certified software Software identifies San Francisco SCF records Presort with PAVE-certified presort software Create Excel spreadsheet of unqualified and international records Move Update Method Ancillary Service Endorsement (DEFAULT for Vote By Mail Ballots) FASTforward (DEFAULT IS NO unless directed otherwise in writing by county) NCOALink (DEFAULT IS NO unless directed otherwise in writing by county) ACS (DEFAULT IS NO unless directed otherwise in writing by county) Multiple (DEFAULT IS NO unless directed otherwise in writing by county) Append IMB information to all mailing records Sampling Tracking (track statistical sampling of records) Unique Tracking (every individual record is being tracked) Append Version ID Segment/Version ID variables include: Mail Class Post Office of Mailing MB/VBM Language No. of cards Ballot Type Party Match Codes Populate inkjet code (ij_code) field with 6 digit serial number Populate ballot card field(s) with match codes No. of ballot card fields NOTE: The serial no. in the IJ Code must match the serial no. in the Match Code Send to ProVote and to County Master database with Version ID, IJ Code, and Ballot Card fields Version Matrix to include Version ID, match code range, and counts for each version Excel spreadsheet of unqualified and international records This checklist of steps taken, to be reviewed and approved by the County NO. OF RECORDS DATE ACCOUNTING OF TOTAL RECORDS Total records to be mailed by Postal Systems International records returned to the County Undeliverable records returned to the County TOTAL NO. OF RECORDS (must match total no. of records in original files) TOTAL DATE ACCOUNTING OF MAIL RECORDS FC INDICIA NP INDICA FC STAMPS SAN JOSE POST OFFICE SAN FRANCISCO POST OFFICE TOTAL NO. OF RECORDS MAILED BY POSTAL SYSTEMS APPROVED BY PREPARED BY NAME: ______ NAME: _____ SIGNATURE: SIGNATURE: TITLE: TITLE: _____ DATE: ______ DATE: COMPANY: _____ COUNTY: COUNTY: SANTA CLARA COUNTY JOB#: 15712 ELECTION DATE: NOV 2, 2010 GENERAL VOTE BY MAIL DATA PROCESSING CHECKLIST ORIGINAL FILES No. of records Date Received E83 MB PSI C V T 11 2 10.txt 09/13/10 2,331 09/13/10 E83 MB_PSI E - S 11 2 10.txt 40,961 09/13/10 E83 PERM PSI C V T 11 2 10.txt 39,707 E83 PERM PSI E S 11 2 10.txt 09/13/10 442,981 TOTAL NO. OF RECORDS RECEIVED 525,980 DATA PROCESSING COMPLETED (Y/N) DATE Address Correction and Parsing Standardize addresses with CASS-certified software Υ 09/15/10 Software identifies San Francisco SCF records Υ 09/15/10 Presort with PAVE-certified presort software 09/15/10 Υ Create Excel spreadsheet of unqualified and international records 09/15/10 Υ Move Update Method Ancillary Service Endorsement (DEFAULT for Vote By Mail Ballots) 09/15/10 Υ FASTfarward (DEFAULT IS NO unless directed otherwise in writing by county) 09/15/10 N NCOALink (DEFAULT IS NO unless directed otherwise in writing by county) Ν 09/15/10 ACS (DEFAULT IS NO unless directed otherwise in writing by county) 09/15/10 Ν Multiple (DEFAULT IS NO unless directed otherwise in writing by county) Ν 09/15/10 Append IMB information to all mailing records Sampling Tracking (track statistical sampling of records) Ν 09/15/10 Unique Tracking (every individual record is being tracked) Υ 09/15/10 Append Version ID Segment/Version ID variables include: 09/15/10 Υ Mail Class 09/15/10 Υ Post Office of Mailing 09/15/10 Υ MB/VBM Υ 09/15/10 Language Υ 09/15/10 No. of cards Υ 09/15/10 Ballot Type Ÿ 09/15/10 09/15/10 Party N Match Codes Populate inkjet code (ij code) field with 6 digit serial number Υ 09/15/10 Populate ballot card field(s) with match codes Υ 09/15/10 No. of ballot card fields 09/15/10 Υ NOTE: The serial no. in the IJ Code must match the serial no. in the Match Code Send to ProVote and to County Master database with Version ID, IJ Code, and Ballot Card fields 09/15/10 Υ Version Matrix to include Version ID, match code range, and counts for each version Υ 09/15/10 Excel spreadsheet of unqualified and international records Υ 09/15/10 This checklist of steps taken, to be reviewed and approved by the County 09/15/10 Υ ACCOUNTING OF TOTAL RECORDS NO. OF RECORDS DATE Total records to be mailed by Postal Systems 525,942 09/15/11 International records returned to the County 17 09/15/11 Undeliverable records returned to the County 21 09/15/11 TOTAL NO. OF RECORDS (must match total no. of records in original files) 525,980 ACCOUNTING OF MAIL RECORDS FC STAMPS FC INDICIA NP INDICA TOTAL DATE SAN JOSE POST OFFICE 197 253 419,068 419,518 09/15/10 SAN FRANCISCO POST OFFICE. 138 106,424 09/16/10 269 106,017 TOTAL NO. OF RECORDS MAILED BY POSTAL SYSTEMS 335 522 525,085 525.942 PREPARED BY APPROVED BY NAME: NAME: ______ SIGNATURE: _____ SIGNATURE: _____ TITLE: _____ TITLE: DATE: DATE: COUNTY: ______ COMPANY: County of Santa Attachment 3 Registrar of Voters 1555 Berger Drive, Building 2 San Jose, California 95112 Mailing Address: P.O. Box 611360 San Jose, CA 95161-1360 (408) 299-VOTE (8683) (866) 430-VOTE (8683) FAX (408) 998-7314 www.sccvote.org Dear Vote by Mail Voter: Earlier this month, the Registrar of Voters' Office mailed you a ballot for the Selection Date> Election. However, it has now come to our attention that you received the incorrect ballot type. To ensure that you have an opportunity to vote on all the candidates and measures for which you are eligible, please find enclosed a new ballot. Please complete and return this new ballot as soon as possible. Ballots must be received by the Registrar of Voters' Office no later than 8:00 pm on . Please disregard any previous ballot you may have received. Any previous ballot that you received is now void. Please destroy it and vote the new ballot instead. If you have already returned your old ballot, it will be voided and cannot be counted. You must complete the new ballot that is enclosed with this letter. I apologize for any inconvenience this may cause. If you have questions, please contact the Registrar of Voters' Office at (408) 299-VOTE [8683] or toll-free at (866) 430-VOTE [8683]. Sincerely, Elaine Larson Assistant Registrar of Voters Board of Supervisors: Mike Wasserman, George Shirakawa, Dave Cortese, Ken Yeager, Liz Kniss