Integrated vote by mail processing system

A modular integrated software and hardware suite can accept data exported from a voter registration database corresponding to requests for mail ballots, sort the data as necessary for ballot preparation, create a road map for ballot mailing preparation, provide for mail presorting, scan returned ballot envelopes using a ballot envelope scanner, and accept data from the scanner. The scanner uses a passive feed system, a separator brush, and a variable speed straight paper path to minimize jamming through the ballot envelope scanner. The scanner can work with a workstation application to interpret a barcode, store an image of the ballot envelope signature in association with a specific voter, print an endorsement on each verified ballot envelope, and store the endorsement with the signature image. The scanner can divert ballot envelopes with unrecognizable or unmatched barcodes to a separate tray for manual processing.

TECHNICAL FIELD

This invention relates generally to the processing of vote by mail ballots. Specifically, this invention relates to preparation and tracking of outgoing ballots and to receipt, sorting, and verification of incoming ballots.

BACKGROUND ART

Vote by mail ballots are commonly used in elections as part of the absentee voting process. Typically voters who expect to be absent from their polling on election day, or expect to be unable to reach their polling place for other reasons may request to vote by mail. In addition, some jurisdictions permit, or even encourage, voters to vote by mail by establishing a permanent vote by mail status. Individuals who have requested to vote by mail are typically mailed a ballot in advance of the election. The voter will mark the ballot, insert it in a special return envelope, sign the outside of the envelope, and mail it back to a central location to be tallied.

Management of voting by mail is a complex, costly, and labor intensive process. Each voting jurisdiction prepares numerous ballot types for each election in order to present each voter with the particular subset of issues and candidates that are associated with that voter's particular state, county, city, school district, road district, party, or other categories. For each mail ballot requested, the individual must be identified as a registered voter by consulting the voter registration database to determine if the individual is a registered voter. Once an individual is identified as a registered voter, the voter must then be associated with, and sent, the correct ballot for that particular voter based on address, party affiliation, and other characteristics.

Isolated portions of this process are currently automated, such as printing mailing labels for mail ballots. Much of it, however, remains labor intensive manual work, including identifying absentee voter status and required ballot, affixing the labels to the envelopes, selecting and inserting and sealing the correct ballot in the envelope, and organizing the outgoing envelopes in trays for delivery to the post office. Because mail ballots are not necessarily requested and printed in the optimum order for mailing, voting jurisdictions currently cannot generally take advantage of reduced rates which are available for specially sorted mail.

Once the ballots have been mailed to absentee voters, a number of things may happen to the ballots. For the most part, the proper absentee voter will receive and cast one mail-in ballot. Occasionally a voter will misplace his or her first ballot, request a second one, and inadvertently mail back both. Similarly, a voter may request and mail back an absentee ballot, forget that he or she had done so, and vote at the polling place as well. In other instances individuals interested in stuffing the ballot box may deliberately request duplicate ballots or intercept, vote, and return absentee ballots that were not intended for them. Because not every returned ballot is eligible to be cast, once the ballot is marked and returned, the ballot envelope must be verified as associated with a unique registered voter who has not yet voted.

Currently when ballots return for counting they are either associated with a particular voter by visually checking the voter number and comparing it with the data in the voter registration database, or if the envelope contains a barcode it may be identified and associated with a particular voter by scanning the barcode with a hand held barcode reader. Attempts to automate this process have generally been unsuccessful because of the difficulties associated with automated scanning and processing of the envelopes. Even in a single voting jurisdiction, ballots may vary considerably in size because of precinct issues or candidates, creating return ballot envelopes of varying thicknesses. It has generally been impossible to automate the processing without requiring the user to specially sort the envelopes by thickness, and to make adjustments to the scanning hardware between processing stacks of returned ballot envelopes of different thicknesses. Even when manual presorting and hardware adjustment is done, currently existing technology does not permit the automated sorting of ballot envelopes into separate stacks of accepted and rejected ballot envelopes based automated verification that the envelope returned corresponds to one requested by an individual voting by mail. Even though there are mail sorting devices available for massive, relatively permanent sorting facilities, such large expensive immobile technology has not been adaptable for use in small occasional sorting operations such as required for processing ballot envelopes a few times a year.

Once the registered voter associated with a particular envelope has been identified, the voter's signature on the envelope must be compared with the voter's signature on file in order to ensure that the ballot was not inadvertently or deliberately cast by an individual other than the registered voter. Currently, this is done for each voter by visually comparing the signature on the ballot envelope either with a paper exemplar or an electronic one that may be selected manually and displayed on a computer screen.

Another difficulty arises when two ballot envelopes are apparently returned by the same voter. In the processes currently available, it is very difficult to track where an individual ballot envelope is stored once it has been identified as associated with a particular voter. In the event that a second apparently legitimate ballot envelope is returned by the same voter, or the voter appears at the polls to vote, election workers need to be able to retrieve the initial ballot envelope for review and resolution of the conflict. Under the current manual system, it is difficult to locate the previously received ballot once it has passed the initial review.

In addition, the mail ballot processing system comprises a series of isolated tasks. There is currently no integrated method of following the process from start to finish to ensure continuity, thoroughness, and timely completion.

Thus, there is a need for an integrated system for the management of vote by mail voting which reduces the labor and associated costs by interfacing with the existing voter registration database; automating the preparation, mailing, and return verification process; and by creating an integrated record of the absentee ballot from voter request to verified return.

DISCLOSURE OF INVENTION

It is an object of an exemplary form of the present invention to provide an integrated system for managing voting by mail.

It is a further object of an exemplary form of the present invention to provide a system for tracking voting by mail beginning with a request to vote by mail through the return of the ballot.

It is a further object of an exemplary form of the present invention to provide an apparatus for scanning returned ballots that is capable of moving ballot envelopes of varying thickness through such apparatus without requiring manually sorting of the ballot envelopes by thickness.

It is a further object of an exemplary form of the present invention to provide an apparatus for scanning returned ballots that is capable of creating a scanned image of a portion of the outside of each ballot envelope as it passes through an apparatus for scanning returned ballots, interpreting the scanned image to isolate and identify a unique voter, endorsing the ballot envelope with a locating number, and rejecting ballot envelopes which do not meet preset verification criteria.

It is a further object of an exemplary form of the present invention to provide an apparatus for scanning returned ballots that is characterized by being modular and which is small enough to sit on a common office tabletop during operation, with each individual module of a size that is adapted to be shipped using a commercial parcel carrier such as UPS, USPS, or Fed Ex.

It is a further object of an exemplary form of the present invention to provide a system which may be selectively used for automated visual side by side comparison of a ballot envelope signature to an exemplar signature or alternately for automated electronic comparison of such signatures.

It is a further object of an exemplary form of the present invention to provide an apparatus for scanning returned ballots that is adapted to substantially decrease paper jams during scanning and to simplify the process of resolving any jams that do occur.

The foregoing objects are accomplished in an exemplary embodiment of the invention by a modular integrated software and hardware suite that accepts data exported from a voter registration database corresponding to requests for mail ballots, sorts the information as necessary for ballot preparation, creates a road map for preparing ballots for mail, provides for mail presorting, scans returned ballot envelopes using a ballot envelope scanner, accepts data from such ballot envelope scanner, matches the data from the scanned returned ballots with information in the voter registration database, sorts ballots that cannot be electronically matched to a particular voter into a separate stack for manual processing, automates the signature verification process for electronically matched ballots, and returns updated data to the voter registration database.

In one exemplary embodiment, a ballot envelope scanner uses a passive feed system, a separator brush, a straight paper path, and clusters of rollers, each cluster of which is controlled by a motor and appropriate reduction gears to minimize jamming by varying the ballot envelope speed through the ballot envelope scanner. In addition, the exemplary ballot envelope scanner includes sensors that track the ballot envelope through the ballot envelope scanner and automatically shuts the ballot envelope scanner down in the event two ballot envelopes overlap, provides an automated unjamming routine, and includes an easily accessible paper path in the event of a residual paper jam. An exemplary embodiment of the ballot envelope scanner also works in connection with a workstation application to verify the presence of a barcode that matches a valid voter, store an image of the ballot envelope signature, print an endorsement on each ballot envelope with a verified barcode identifying location of such ballot envelopes, associate and store the endorsement with the signature image, and activate a solenoid to divert ballot envelopes with unrecognizable or unmatched barcodes to a separate tray for manual processing.

Thus the integrated vote by mail management system achieves the above stated objectives, eliminates difficulties encountered in the use of prior methods, solves problems, and attains the desirable results described herein.

Further objects of an exemplary form of the present invention will be made apparent in the following Best Modes for Carrying Out Invention and the appended claims.

BEST MODES FOR CARRYING OUT INVENTION

Referring now to the drawings, and in particular toFIG. 1contained therein is a schematic illustration of the major components of an exemplary embodiment of a vote by mail management system. In the embodiment illustrated, a jurisdiction maintains a voter registration database identified by the reference numeral10. For each registered voter, a voter registration database10typically includes the voter's name, address, party affiliation, birthdate, and a signature exemplar. This database also contains sufficient information to determine which ballot each individual voter should receive in a particular election. This may be precinct and party data, or it may be rules that are applied to voter information data in order to generate a precinct or subprecinct, and party. The database may also contain information such as voting history or other information considered relevant by the voting jurisdiction, or required by law.

When an absentee or vote by mail ballot is requested, the jurisdiction electronically marks or otherwise identifies each voter who needs to be mailed a ballot. In an exemplary embodiment, this information is periodically exported from the voter registration database10to a mail preparation application, identified by reference number20inFIG. 1. An exemplary mail preparation application20performs a variety of tasks associated with preparing ballots for mail. This mail preparation application includes generating a printable file for each vote by mail voter that includes a mailing address, postnet barcode, and a voter number barcode; sorting the voter files into a logical ballot processing order for mailing; and creating a road map for ballot selection and insertion. In addition an exemplary embodiment of the mail preparation application20tracks the ballot requests processed, maintains overall project information such as crucial dates, and performs other functions related to managing, responding to, and tracking requests to vote by mail.

Once the mail preparation application20has created vote by mail voter files and road maps, the ballot envelopes are processed for mailing using the road map as a guide, as schematically illustrated by the box identified by reference numeral30. This processing generally includes printing the ballot envelopes, selecting and inserting the correct ballot into each ballot envelope, and sorting the ballots by zipcode for mailing.

The ballots are then taken to a courier for delivery to the voters, in the United States ballots are generally taken to the United States Post Office. This is illustrated schematically by reference numeral40inFIG. 1.

As election day approaches the absentee or vote by mail voters return the ballot envelopes, including the voted ballots, to a processing location. In an exemplary embodiment a ballot envelope scanner, schematically represented by reference numeral50, is used to capture and store information associated with each returning ballot envelope. This process, discussed in more detail below, includes using a ballot envelope scanner working in conjunction with a workstation application to scan each ballot envelope to capture and decode an identifier, such as a bar code, which associates the ballot envelope with a particular voter and to capture the signature image from the ballot envelope. Under the control of a workstation application, a ballot envelope scanner may also endorse each ballot envelope which is authenticated as associated with a particular absentee or vote by mail voter by printing a code including a voter number and numbers designating the location in which the authenticated ballot envelope will be stored. An exemplary embodiment of a ballot envelope scanner also sorts ballot envelopes whose images cannot be interpreted into a separate tray for manual processing.

In an exemplary embodiment, the work station application exports the endorsement and signature image associated with each scanned and verified ballot envelope to a signature verification application, illustrated schematically inFIG. 1by reference numeral60, for verification of the signature. Each record contains data corresponding to the endorsement and the scanned signature image. As discussed in more detail below, an exemplary signature verification application60facilitates the automated visual comparison of the signature on file with the signature on the ballot envelope. In an exemplary embodiment, the signature verification application60will locate the stored signature image which is associated with the same voter number as is a particular scanned image from the voter registration database10. Generally the necessary data voter registration database information is exported directly from the voter registration database10, but in some exemplary embodiments it may be exported from the mail preparation application20.

The file and scanned images may be automatically displayed side by side for visual verification or may be processed by an automated signature recognition subroutine. An exemplary embodiment of the signature verification application60may permit each jurisdiction to choose between these and other options. If the signatures do not match, the endorsement information may be used to locate the ballot envelope that is associated with the signature that cannot be verified so that the election officials may investigate and resolve the matter. In some embodiments, data from verified scanned signatures may be integrated with the original signature file in the voter registration database10in order to provide for more accurate signature matching over time.

Exemplary embodiments of ballot envelope scanners are illustrated inFIGS. 2 and 14, and are generally referred to by reference numeral100. A first exemplary embodiment of a ballot envelope scanner100, illustrated inFIG. 2, includes three units: a feed unit200, a processing unit300, and an output unit400. A second exemplary embodiment of a ballot scanner100, illustrated inFIG. 14, includes two units: a combined feed and processing unit2000and an output unit3000. Because the units may be separate or combined, the parts of the ballot envelope scanner100representing the feed, processing, and output units are also referred to herein the feed, processing, and output portions. The units of the exemplary embodiment of a ballot envelope scanner100illustrated inFIGS. 2 and 14may be separated for storage or transportation. The ballot envelope scanners100are characterized by a paper path210, illustrated in phantom inFIGS. 2 and 14, that is vertical and straight through the ballot envelope scanner100, so long as the ballot envelope can be authenticated as being associated with a registered voter. If the ballot envelope cannot be authenticated, the ballot envelope is diverted slightly at the end into a separate tray for manual processing.

An exemplary feed unit200of a first exemplary embodiment of a ballot envelope scanner100as illustrated inFIGS. 4 and 5comprises a driving portion240, a feed tray270, and an enclosure230(identified inFIG. 2). The driving portion240includes a vertical driving feed roller250, which is adjacent a plurality of vertical clutched feed rollers252, which are aligned with each other. Each feed roller250,252is associated with a driveshaft251. As illustrated separately inFIG. 13, the exemplary feed roller250may be driven by a feed motor254(visible inFIG. 5) through a drive belt253which is operatively connected to a reduction gear17that is affixed to the driveshaft251of the drive roller250. In an exemplary embodiment, the driving feed roller250is operatively connected by a drive belt253to the driveshaft251of an adjacent clutched feed roller252to drive the clutched feed roller252at the same rotational speed as driving feed roller250. Similarly, in an exemplary embodiment, each clutched feed roller252is connected with the driveshaft251of adjacent feed rollers252on either side so that the driving feed roller250and the clutched feed rollers252are all rotating at the same speed. The driveshaft251of each clutched feed roller252is operatively adapted with a clutch258so that it may rotate freely in its normal rotational direction. While in the exemplary embodiment illustrated inFIG. 2some of the rollers251,252are clutched, if the speed of the ballot envelope through the ballot envelope scanner100is to be uniform, clutches may be omitted, such as in the exemplary embodiment illustrated inFIGS. 14–18.

In the exemplary embodiment illustrated the driveshafts251of feed rollers250,252pass through a frame244, made from generally rectangular structural elements220, which holds the feed rollers250,252in alignment with each other along the paper path210. In the exemplary embodiment illustrated, the aligned feed rollers250,252have a front side262and a back side264. Adjacent and parallel to the feed rollers250,252on a back side264is an exhaust fan260, which is operative to pull air from the front side262of the feed rollers250,252, through the feed rollers250,252.

In the exemplary embodiment illustrated, on a front side262of the feed rollers250,252is a feed tray270. A feed tray270comprises feed bed272and a vertical stabilizer274. In an exemplary embodiment, a feed bed272comprises two horizontal plates276which are parallel and aligned with each other, but are separated by a gap278characterized by a width279. The upper and lower surface of each horizontal plate276includes a groove277which is parallel to and adjacent to a gap278and which is adapted to serve as a track for a vertical stabilizer274.

A vertical stabilizer274comprises a vertical plate280affixed to a follower element282. In the exemplary embodiment illustrated, a follower element282includes an L-shaped bracket284having a horizontal portion286and a vertical portion288. In the exemplary embodiment illustrated, the vertical portion288is a vertical plate, the bottom of which is generally aligned with a lower edge of vertical plate280. As illustrated, the horizontal portion286is generally aligned with the gap278in the feed bed272. In the exemplary embodiment illustrated, the horizontal portion286comprises two spaced apart parallel plates296,298, separated by a gap. The upper horizontal plate296has a width which is slightly larger than gap278and the lower horizontal plate298has a width that is slightly less than the width279of the gap278. A pair of axles292passes horizontally through each horizontal plate296,298, oriented in parallel to vertical plate280. A rimmed wheel290is attached to each end of each axle. The wheels290associated with the upper horizontal plate296are operatively adapted to use a groove277in the upper surface of the feed bed272tracks and the wheels290associated with the lower horizontal plate298are adapted to use the groove277in the lower surface of the feed bed272to permit the vertical stabilizer274to roll toward or away from the aligned feed rollers250,252in a controlled manner. In the exemplary embodiment illustrated a follower element282may be biased toward the feed rollers250,252by means of a biasing element294, such as a tension spring, illustrated from below inFIG. 13.

Although a particular exemplary embodiment of a feed unit and components thereof are described herein, the specifics are provide for illustration and not limitation, and equivalents thereof may be substituted. For example, follower element282may have a different shape, as illustrated inFIG. 14, so long as it is biased to assist the vertical stabilizer274to remain vertical and to follow the ballot envelopes toward the feed rollers; the follower element282may not include wheels both above and below the feed bed, or may not include wheels at all; and the follower element282may be biased by some means other than a spring that is known to those skilled in the art. In a second exemplary embodiment illustrated inFIG. 14, the follower element is biased282using a constant pressure spring, similar to the springs designed to retract tape measures. Although a single driving roller250is illustrated inFIG. 4as driving five clutched feed rollers252, it may drive more or fewer than five clutched feed rollers. Similarly, although the single driving roller250is illustrated inFIG. 4as being positioned at the trailing edge of the ballot envelope in other embodiments it may be placed in a different location. In the exemplary embodiment illustrated inFIG. 15, for example, the driving roller250is at the leading edge of the ballot envelope.

The functional portions described above of the feed unit200are positioned by attachment to a plurality of joined rectangular structural elements220which are generally parallel or perpendicular to each other, additional examples of which may be seen inFIG. 6. The functional portions of the feed unit200described above are contained in an enclosure230, illustrated inFIG. 9, the main portion of which is generally L shaped, with the feed tray270forming the upper surface232of the lower leg of the L, and the aligned rollers250,252adjacent the plane of the inner surface234of the upper leg of the L. The first and second ends236,238of an exemplary enclosure230include curved extensions which connect the upper leg of the L to the lower leg of the L.

In an exemplary embodiment of an enclosure230, a portion of the inner surface234is open to permit operative contact between the rollers250,252and the ballot envelopes being processed. The second end238of the enclosure230includes an elongated output slot242through which ballot envelopes exit the feed unit200. The output slot242is vertical and the vertical center line of the output slot242is aligned with paper path210. In the exemplary embodiment illustrated an elongated brush266is affixed to the edge of the output slot242which is farthest from the rollers250,252and has a leading edge268which extends to the paper path210. Although in this embodiment an elongated brush266is used to prevent double feeds, in other embodiments equivalent mechanisms may be substituted, such as a flexible flap which extends into the output slot242to the paper path210to discourage a second ballot envelope from being pulled through the output slot242. In addition, an elongated brush266, or its equivalent, may be used alone or with the waffle technology illustrated and described inFIG. 15.

An exemplary embodiment of a ballot envelope scanner100also includes a processing unit300, and exemplary embodiments of which are illustrated inFIGS. 6 and 12. A processing unit300includes first and second drive modules310,330, a scanning module360, an endorsement module370and an error diverter390. An exemplary processing unit300includes an input end301, adjacent the feed unit200, and an output end303, adjacent the output unit400. In some exemplary embodiments, a computer2300may be affixed to the processing unit300, for running the work station application500, as described and illustrated inFIG. 14. Although described specifically in connection with the exemplary embodiment illustrated inFIG. 14, the description and illustration are intended to be exemplary, not limiting, and affixing a computer to the exemplary processing unit300illustrated inFIG. 4is specifically contemplated.

A first drive module310of an exemplary processing unit300illustrated inFIG. 6includes a plurality of pairs of rollers312and a first drive motor320(visible inFIG. 12). In this exemplary embodiment the first drive module310includes two pairs of rollers312, but in other embodiments it may contain more than two pairs. Each pair of rollers312includes a drive roller314and a follower roller316. A first drive motor320is operatively connected to the driveshaft315of one drive roller314by a drive belt318. Each additional drive roller314is operatively connected by a drive belt322to an adjacent drive roller314.

As illustrated inFIG. 7, the follower roller316in each pair is held by a carrier317which permits it to rotate freely and which is biased toward its drive roller314by a plurality of biasing elements324. An exemplary embodiment of a carrier317includes a vertical element biasing element324. An exemplary carrier317includes a vertical plate319with spaced apart horizontal extensions321through which an axle323rotatably holds roller316. Bolts325are passed through holes in the upper and lower portions of plate319and are fixed to a rectangular structural element220, through which rectangular structural element220the driveshafts315of drive rollers314pass. On the side of the vertical plates319opposite the drive roller314, each of the bolts325is surrounded by a compression spring327, which acts as biasing element324and which is compressed between the head of bolt325and plate319by the passage of a ballot envelope between the associated pair of rollers312.

In the exemplary embodiment illustrated the follower roller316is made to hold the passing ballot envelope because of a bias created by a plurality of compressed springs. In other exemplary embodiments, this function may be created by other means known to those skilled in the arts for creating a bias to urge the follower roller316toward its paired drive roller314.

The pairs of drive rollers312are spaced and are aligned along the paper path210, with each drive roller314aligned with the feed rollers250,252in the feed unit200when the feed unit200and the processing unit300are operatively connected. In an exemplary embodiment, each follower roller316is aligned adjacent its drive roller on the opposite side of the paper path210.

In an exemplary embodiment illustrated inFIG. 6, a second drive module330is similar to the first drive module310, and includes a plurality of pairs of rollers332and a second drive motor340(visible inFIG. 12). In this exemplary embodiment the second drive module330includes four pairs of vertical rollers332rollers, but in other embodiments it may contain fewer or more pairs. Each pair of rollers332includes a drive roller334and a follower roller336. A second drive motor340is operatively connected to the driveshaft335of one drive roller334by a drive belt338. Each additional drive roller334is operatively connected by a drive belt342to an adjacent drive roller334. In an exemplary embodiment, one or more drive roller334in the second drive module330may be operatively connected to a clutch358so that they can rotate freely in the direction the ballot envelopes are moving to permit varying the speed between the roller clusters.

As with the feed portion200of the exemplary embodiment discussed herein, if a uniform speed through the ballot envelope scanner100is desired, the drive rollers may not incorporate clutches.

The follower roller336in each pair is biased toward its drive roller334by a plurality of biasing elements344(not separately illustrated), in a manner similar to that described above for the first drive module310. The pairs of drive rollers332are spaced and are aligned along the paper path210, with each drive roller334aligned with the feed rollers250,252in the feed unit200when the feed unit200and the processing unit300are operatively connected. Note that in another exemplary embodiment, illustrated inFIG. 14, the feed unit200and the processing unit300are combined into a single feed and processing unit while retaining the alignment of the rollers to preserve the straight path through the ballot envelope scanner. In an exemplary embodiment, each follower roller336is aligned adjacent its drive roller334on the opposite side of the paper path210.

In addition, as illustrated in this exemplary embodiment the second drive module330includes a horizontal kick roller346, shown inFIG. 12, at the output end303of the processing unit300, approximately level with the base of the rollers332. The kick roller346is driven by the second drive motor340. Using a belt348as illustrated inFIG. 12, the vertical rotation is transformed to horizontal rotation of an independent driveshaft350, and the rate of rotation increased slightly using a second belt352operably connected to a gear354on the independent driveshaft350to a slightly smaller gear356(a reduction gear) on the driveshaft357of the kick roller346. In other exemplary embodiments, kick roller346may also be driven by a separate motor.

The scanning module360of the processing unit300comprises a scanner362, shown from the rear inFIG. 6, and a platen364, shown inFIG. 3. Scanners362are well known in the art, and a variety of commercially available scanners may be used. In one exemplary embodiment, a yellow green LED scanner is used. In other exemplary embodiments scanners with a different light source, or different color light may be used. An exemplary platen364is a plate366that is bent into a rectangular “U” shape with lips on each side that are attached to the structure that holds the follower rollers. The base of the U extends inward between the follower rollers316of the first drive module310, and holds the ballot envelope510against the surface of the scanner362. The surface of the base of the U is aligned with the surface of the follower rollers316adjacent to the paper path210. The scanner362is operatively connected to an on-board processor520. The on-board processor520, schematically illustrated inFIG. 6, is adapted to receive and transmit data to a workstation application, and to carry out instructions transmitted to it from the work station application500, the functions of which are described in more detail below and are illustrated inFIG. 10. It should be noted that although the exemplary embodiment illustrated and described inFIG. 4includes a single image scanner, the exemplary embodiment illustrated and described inFIG. 14includes both an image scanner361and a bar code scanner363. Using a separate bar code scanner363eliminates the need to translate an image into the bar code equivalent before comparing to stored voter numbers. The specific configurations described in connection withFIGS. 4 and 14are exemplary and either scanner configuration is expressly contemplated for use with either embodiment, or with other equivalent exemplary embodiments of the ballot envelope scanner100described herein.

An exemplary embodiment of an endorsement module370of a processing unit300illustrated inFIG. 6comprises a print head372and in operative connection with an on-board processor520. In the exemplary embodiment shown, the print head372is of the ink jet type and produces dot matrix characters. In other embodiments, the print head372may be of a different type and may produce characters other than dot matrix. In the exemplary embodiment illustrated, the print head372is located between a pair of drive rollers352in the second drive module350, with the printing element of the print head372adjacent the paper path210. The print head372is operatively connected to an on-board processor520. The on-board processor520is adapted to receive and transmit data to and from a workstation application500, and to carry out instructions transmitted to it from the work station application500to control the timing and content of what is printed. The print head372is releasably connected to the structural framework220which supports the rollers312,332, so that the print head372may be selectively positioned vertically.

In an exemplary embodiment illustrated inFIG. 8, an error diverter390comprises a solenoid392, a biasing element394, and a diverter plate396. An exemplary diverter plate396is rectangular and slightly longer than the height of the ballot envelopes510being processed, and may be attached to a rod398which is rotatably connected to the solenoid392. As illustrated inFIG. 8, the diverter plate396may be oriented vertically and positioned adjacent the paper path210, shown in phantom, and may be biased by means of a biasing element394, such as a tension spring, to remain out of the paper path210during normal operation. In the exemplary embodiment illustrated, a solenoid392is operatively connected to an on-board processor520, shown inFIG. 6. The on-board processor520is adapted to receive and transmit data to and from a workstation application500, and to carry out instructions transmitted to it from the work station application500to selectively rotate the rod398move the diverter plate396into the paper path210, which diverts the end of paper path210from the straight line it had been following. Although the error diverter390is described as having a specific exemplary structure and elements, other exemplary embodiments will be apparent to those skilled in the art which selectively bend the end of the path of the ballot envelope in response to a command to do so from the work station application500.

The functional features of the processing unit described above are generally positioned and held in place by a plurality of rectangular structural elements220, which are arranged in parallel or perpendicular relation to one another. An enclosure305, shown inFIG. 3, loosely surrounds the portions of the processing unit300described thus far, and has input and output ends301,303containing elongated vertical openings307which are aligned with the paper path210and adapted to permit the passage of ballot envelopes. The shape of enclosure305is adapted to conform to the shape of enclosure230of the feed unit200so that when fastened together the feed unit200, processing unit300, and output unit present the appearance of a single piece of equipment. The particular profile of the enclosure305is not critical to its function. Two profiles are illustrated, one inFIG. 4and one inFIG. 14. Additional profiles which cover the working elements of the processing unit300, or equivalent thereof in a combined feed and processing unit200to prevent injury will be apparent to those skilled in the art. In addition as noted above, the profile of enclosure305may include a computer2300to consolidate the work station application500with the ballot envelope scanner100.

An exemplary embodiment of the output unit400comprises a ballot envelope tray410, partitioned into an accepted tray450and a rejected tray460, illustrated most clearly inFIG. 2. The tray410includes a vertical shared wall412in the center of the tray410, which is approximately aligned with the feed rollers250,252in the feed unit200and the drive rollers314,334in the processing unit300. In the exemplary embodiment illustrated, at each end of the shared wall412are first and second end walls420and422. These walls are vertical, are perpendicular to the shared wall412, and are positioned relative to the shared wall412so that when viewed from above the walls412,420,422form an “I” shape. A floor424connects all three walls412,420,422. The floor424declines on each side toward the shared vertical wall412.

In the exemplary embodiment illustrated, a horizontal guide rail414is affixed at approximately the level upper surface of the kick roller346along each side of the shared wall412. Also affixed to each side of the shared wall412, near the second end wall422of the output unit400is a flipping element416. The flipping element416comprises a triangular wedge, with the narrow end of the wedge closest to the processing unit300. Although the flipping element416is described in exemplary fashion as comprising a triangular wedge, the flipping element may comprise other exemplary embodiments such as a curved, downwardly sloping rail molded into the shared wall412to urge the envelope to turn downward into the tray450,460. Other equivalent exemplary embodiments will be apparent to those skilled in the art.

The top of the first end wall420is approximately aligned with the top of kick roller346. The shared wall412and the second end wall422are somewhat taller. In the exemplary embodiment illustrated, the floor424in each side of the partitioned tray410includes a cutout portion411to make it easier to grip the piles of ballot envelopes which accumulate thereon. In other exemplary embodiments, additional equivalent variations maybe present, such as tray walls453for trays450and460as illustrated in exemplary fashion inFIG. 14.

As may be seen inFIG. 2, in an exemplary embodiment, the three units that comprise ballot envelope scanner100are each adapted with releasable attachment parts110to permit the feed unit200, the processing unit300, and the output unit400to be attached together to form a single functional device. InFIG. 14, the combined feed and processing units2000and the output unit3000form a single functional unit. As illustrated in exemplary fashion inFIG. 2, the attachment parts110are latches. Another exemplary embodiment is keyhole slots in one unit paired with shoulder screws in adjacent units. Other means for attaching units together will be apparent to those skilled in the art.

In the exemplary embodiment illustrated inFIG. 2, the processing unit300enclosure305includes an access door307which may be removed to permit access to the processing unit300. As illustrated inFIG. 16, the combined feed and processing unit2000includes an access door2010in the rear of the unit2000to permit access to the combined feed and processing unit2000. In addition the enclosures230and305for each of the feed and processing units200,300are releasably affixed to internal structural elements in order to permit easy access to the functional elements of the ballot envelope scanner100for maintenance, to release paper jams, or for other reasons. The enclosure2005is similarly releasably affixed to the feed and processing unit2000.

Each of the feed, processing, and ballot units200,300, and400is equipped with sensors120, one of which may be seen inFIG. 12, which are adapted to detect when the feed processing and ballot units200,300, and400are disconnected from each other, when any of the access ports have been opened, or when the enclosure walls have been removed. In addition, the processing unit300includes sensor pairs122spaced along the paper path210, one of which is schematically represented inFIG. 6. The spacing of the sensors122such at all times at least one of these should not be blocked by a ballot envelope510. If all sensor pairs122are blocked, the paper movement is not functioning properly. If any of these conditions are detected, power to the drive motors254,320,340is automatically shut off. In addition, in the exemplary embodiment illustrated inFIG. 2the ballot envelope scanner100is equipped with a stop button311which may be pressed to shut off the drive motors254,320,340.

A second exemplary embodiment of an ballot envelope scanner100, discussed in part above, is illustrated inFIGS. 14–18. In the exemplary embodiment illustrated inFIG. 14, the feed and processing units are combined into a single, more compact, combined feed and processing unit2000. In the exemplary embodiment illustrated, the combined feed and processing unit2000uses one motor2055to drive the rollers in the feed portion2050from below, and a single motor2060, stacked on top of motor2055, to drive the rollers in the processing portion2080.

In the exemplary embodiment illustrated inFIG. 15a waffle roller2085and waffle bracket2090are used instead of a brush266to minimize double feeds of ballot envelopes. The waffle roller2085, most clearly illustrated inFIG. 18, is a roller comprised of two or more distinct roller portions2086,2087, creating at least one portion of the waffle roller2088having a smaller diameter than the roller portions2086,2087. The waffle roller2085is paired with a waffle bracket2090which comprises a plate2095extending tangentially to the waffle roller having a ridge or bulge2096which aligns with the portion of the waffle roller2088having a smaller diameter. As a ballot envelope passes between the waffle roller2085and the waffle bracket2090, a crease is formed which discourages the passage of multiple ballot envelopes simultaneously between the waffle roller2085and waffle bracket2090. Although in the exemplary embodiment illustrated herein there is a single gap2088and ridge2096pair, more pairs may also be used to increase the effectiveness. In addition, as illustrated, paired guide plates2100,2105may be used to urge the ballot envelope to straighten after passing between the waffle roller2085and waffle bracket2090.

In the exemplary embodiment of a ballot envelope scanner100illustrated inFIG. 16, two separate scanners are used, a bar code scanner363and an image scanner361. In some exemplary embodiments, using the bar code scanner363permits faster recognition of the voter identifier512than interpreting an imaged bar code and eliminates the need the ballot envelope to travel at different speeds through portions of the ballot envelope scanner100. Combined with sufficient processing power, this may eliminate the need for clutched rollers described in the first exemplary embodiment.

The ballot envelope scanner100is operatively connected to a workstation application500on a computer2300which directs the operation of the motors, scanner, solenoid, and printer, either directly or through on board processors520. The computer2300may be a separate physical unit, as discussed in connection with the exemplary embodiment illustrated inFIG. 4, or to ensure that the workstation application is not impeded by unrelated application software, in some exemplary embodiments the workstation application may be embedded in an on-board computer2300, as illustrated inFIG. 14. In other exemplary embodiments such an on-board computer2300may also include the server applications for signature comparison.

In each case, the ballot envelope scanner100is operatively connected to a workstation application500on a computer2300which directs the operation of the motors, scanner, solenoid, and printer, either directly or through on-board processors520. The computer2300may be a separate physical unit, as discussed in connection with the exemplary embodiment illustrated inFIG. 4, or may be embedded in the ballot envelope scanner100as illustrated in exemplary fashion inFIG. 14. In each case software comprising a workstation application500is operative in connection with the computer400to control the ballot envelope scanner100. The scanning module360, motors254,320,340, endorsement module370, and other elements of the ballot envelope scanner100are described as being controlled in part by on-board processors520. It is contemplated in some exemplary embodiments that part or all of the function of the on-board processors520may be performed by the computer2300in conjunction with the workstation application500.

Initially in an exemplary embodiment a user loads a stack of ballot envelopes510into the feed unit200by pulling the vertical stabilizer274away from the feed rollers250,252and inserting the ballot envelopes510vertically between the vertical plate280and the feed rollers250,252. In an exemplary embodiment, a workstation application500directs the on-board processors520to turn on the feed and drive motors254,320,340and the exhaust fan260to begin the scanning process. The vertical stabilizer274holds the ballot envelope stack vertical, while the exhaust fan260pulls the first ballot envelope510against the feed rollers250,252.

Driven by the feed motor254, the ballot envelope510is moved toward the output slot242in the feed unit200. If friction causes a second ballot envelope510to move along with a first ballot envelope510, the leading edge of the second ballot envelope510will be held back by the leading edge268of the brush266.

As it enters the processing unit300, the leading edge of the ballot envelope510is pinched between the first roller pair312of the first drive unit310. The biasing elements324of the follower rollers316, which bias the follower rollers316toward the drive rollers314, ensure that there is sufficient friction for the roller pairs312to move the ballot envelope510, regardless of ballot envelope510thickness. The drive motor320of the first drive unit310drives the roller pairs312at a slightly higher rate of rotation than the feed rollers250,252. Because all of the feed rollers252in the feed unit200except the first are clutched to freely rotate in the direction of movement along the paper path210, this permits the ballot envelope510to be pulled by roller pair312after the ballot envelope's trailing edge leaves the driving feed roller250. Because the following ballot envelope510is immediately in contact with the slower rotating driving feed roller250, and is initially being held back by the brush266, this rotational speed differential between the feed rollers and the first drive rollers212of the first drive module creates a gap between one ballot envelope510and the next, minimizing the risk of paper jams.

When the ballot envelope moves past the scanner362, an on-board processor520directs the scanner362to captures an image369of a portion of the ballot envelope510as the ballot envelope passes. An exemplary embodiment of a ballot envelope510is illustrated inFIG. 11, illustrating the image369, captured shown in phantom. The image369contains the bottom portion530of the envelope510. The image369is then exported to the workstation application500for analysis while the ballot envelope510continues to move through the processing unit300.

Based on user defined coordinates, the workstation application500crops the image369to contain the voter identifier512, such as a bar code image, and signature block514, identified inFIG. 11. The workstation application500searches the cropped image540using a pattern recognition routine to identify the portion of the cropped image540, shown in phantom, containing the voter identifier512. In the alternative, if the ballot station scanner includes a bar code reader363and the voter identifier512is a bar code the bar code may be read directly. If the workstation application500cannot identify the voter identifier512, a message is transmitted to the on-board processor520controlling the solenoid392to rotate the diverter plate396so that the ballot envelope510is diverted into the rejected tray460. If the workstation application500can identify the voter identifier512, the workstation application500translates the voter identifier512into the voter number516it represents. The workstation application500then verifies that the voter number516is a valid number. If the voter number516is invalid, a message is transmitted to the on-board processor520controlling the solenoid392to rotate the diverter plate396so that the ballot envelope510is diverted into the portion of the rejected tray460. A bin number and sequence number are associated with the voter number516. The first bin number is specified by the user as part of setting the initial parameters. The sequence number begins at one for each bin, and is incremented by one for each new ballot envelope with valid voter number516. The cropped image540is stored in a file associated with the voter number516, bin, and sequence number. The workstation application500directs the on-board processor520which controls the print head372to print an endorsement518(not specifically illustrated) on the ballot envelope510that corresponds to the voter number516, bin, and sequence number assigned to that ballot envelope510.

As schematically shown inFIG. 10, while the workstation application500is processing the image369, the ballot envelope510continues to move along the paper path210through the processing unit300. The second drive module rollers332are driven at a slightly slower rotational rate than the first drive module rollers312to permit the workstation application500sufficient processing time to determine whether it is necessary to divert the ballot envelope510into the rejected tray460. The leading edge of the ballot envelope510passes through the first pair of second drive module rollers332. The drive roller314for the first pair of rollers312is clutched so that it rotates freely in the direction of the ballot envelope510motion. Because of this, the ballot envelope510continues to move at the same rate of speed until the leading edge is pinched between the second pair of drive rollers332associated with the second drive module330, which are not clutched. The ballot envelope510then slows its movement along the paper path210slightly to correspond to the linear speed generated by the slower rotation of the second pair of drive rollers332associated with the second drive module330.

If the cropped image540contained readable voter identifier512corresponding to a valid voter number516, the print head372will print an endorsement518on the ballot envelope510as it passes. The ballot envelope510will continue along the straight paper path210into the output unit400. In an exemplary embodiment, ballot envelope510slides along the guide414, and is toppled into the accepted tray450as it is gradually pushed out from the shared wall412by the flipping element416. If the cropped image540did not contain a bar code image512corresponding to a valid voter number516, or if the voter identifier512was not readable, the print head will not print an endorsement518on the ballot envelope510. In addition, if the cropped image540did not contain a bar code image512corresponding to a valid voter number516, or if the voter identifier512was not readable the processor520controlling the solenoid392will have received instructions to rotate the diverter plate396to force the ballot envelope510into the rejected tray460.

This process is repeated, incrementing the sequence number by one for each voter identifier512that is readable and corresponds to a valid voter number516, until the sequence number has reached the quantity of ballot envelopes510for each bin specified during setup as the bin count. In the exemplary embodiment illustrated, the workstation application500then pauses the scanning process to permit the user to move any remaining ballot envelopes510from the accepted tray450to the storage bin.

In the exemplary embodiment illustrated, either based on a predetermined time interval or in response to user selection, the workstation application500increments the bin number by one, resets the sequence number to one, and restarts the feed and drive motors254,320,340. In some embodiments, a single server will be used to control multiple ballot envelope scanners100. In this instance, the workstation application500associated with a particular ballot envelope scanner100will query the server for the next available bin number rather than automatically incrementing the bin number by one. Although in the exemplary embodiment just discussed, the workstation application500caused the scanning process to stop periodically to permit bin clearing, in other exemplary embodiments the workstation application may not cause the scanning process to stop until all of the envelopes in the infeed tray have been scanned.

Ballot envelopes510that are diverted to the rejected tray460will need to be processed by hand. Some may have been diverted because they were loaded backwards or upside down. Others may have had the barcode damaged during the mail process. In still other cases, a voter may have deliberately obscured the barcode and/or voter number516. Those ballot envelopes510that have potentially readable barcodes may be rerun through the ballot envelope scanner100.

Occasionally, the ballot envelope scanner100may stop during the processing of ballot envelopes510because of a paper jam, because the individual units were inadvertently separated, because one of the access doors was opened, or because someone turned the ballot envelope scanner100off. Once reason for the processing halt has been resolved, some ballot envelopes510that have been endorsed may need to be rerun. An endorsement518may have only partially printed. If the ballot envelope510stopped in front of the print head372all of the characters of the endorsement518may have printed in one print position. In one exemplary embodiment, the user will be requested to identify the last valid and readable sequence number, and to provide that endorsement number518to the workstation application500. In other exemplary embodiments alternate methods of identifying a valid endorsement may be used, such for example using a default setback from the current sequence number and requesting the user to physically locate the ballot with the corresponding endorsement number518. The ballot envelope510bearing that endorsement518and all ballot envelopes510that followed it should be reprocessed. In one exemplary embodiment, before reprocessing the ballot envelopes510, the user should move the print head372up or down relative to its previous print position so that the new endorsement518does not print on top of the previous endorsement518. In another exemplary embodiment, the workstation application500may permit the endorsement to be printed in a different horizontal location by modifying the print timing.

If the reason for the pause in scanning was a paper jam, the workstation application500may be used to direct the ballot envelope scanner100to run a jam clearing operation. Before running a jam clearing operation, any ballot envelope510that is protruding from the last pair of rollers232in the second drive module230should be pulled through the rollers232and placed aside for rescanning. The jam clearing operation directs the solenoid392to rotate the diverter plate396to divert all ballot envelopes510into the rejected tray460and to operate all rollers250,252,212,232,346at a rate of low speed with high torque in order to force any jammed ballot envelopes510through the paper path210into the rejected tray460. These ballot envelopes510should also be set aside to be rerun.

Periodically, the workstation application500will upload the cropped image540files, and associated identifying numbers, to a server application600. These files will be merged with other similar files. In addition, at regular intervals during the processing of ballot envelopes510, a server application600may be used to generate reports that will assist election officials in their efforts to ensure that every registered voter that attempts to vote once has his or her ballot counted, and that no voter has more than one ballot counted.

Reports may be generated that identify multiple ballot envelopes510associated with a single voter number516. Election officials may then use the information associated with that voter number516to determine the exact location of the questionable ballots by bin and sequence number. Similarly, if the ballot envelopes510are processed before election day, data may be exported to the voter registration database100to update that data to reflect the ballots already received. This minimizes the need for individuals who may have requested and returned a mail in ballot to cast a provisional vote at the polling place, since it can be definitively stated that the mail in ballot has already been returned.

Reports may also be generated that include voter numbers516that are associated with blank files, and any cropped images540that could not be matched with voter numbers516because the voter identifier512could not be interpreted. If the voter number can be visually read or the voter identified by the signature or other identifying information, these reports may be used to manually associate cropped images540with voter numbers516.

Once cropped images540have been associated with stored signature images based on the voter numbers516, the signatures must be verified. A signature verification component620of server application600provides two improvements over previously available technology. Using the voter number516, the signature verification component620can automatically display the cropped image540and the stored image associated with that voter number516side by side for visual comparison, without the need to search manually for the specific image. This is generally done sequentially for all of the cropped images associated with a particular tray of ballot envelopes510, making it easy to locate ballot envelopes510which contain cropped images which do not match the associated stored signature images.

In another exemplary embodiment, the signature verification component620can employ algorithms or subroutines to electronically compare signatures based on user defined parameters in order to electronically match as many of the stored images with the cropped images as possible. The algorithm or subroutine may compare elements such as letter formation, ligatures, loop and stroke shapes, complete or incomplete connecting strokes, slant, size, letter and word proportions, and other relevant characteristics known to those skilled in the art to create a confidence factor or other indicator of reliability of comparison. In an exemplary embodiment, the server application may permit the user to set a particular confidence or reliability level before an automated signature verification is acceptable. In other exemplary embodiments, it may permit the user to weight one factor more heavily than others in creating the confidence or reliability level. In an exemplary embodiment, the server application600can then generate a report of all cropped images540that were not matched electronically for an automated visual side by side comparison.

Once the cropped images are matched, these new images may be exported to the voter registration database100to supplement the existing signature images in the database. In some instances, the supplementary images may be merged with the existing signature images to create a more accurate signature recognition over time than is possible when a single exemplar is used. For purposes of example only, and not limitation, this merger may be literal to create a single new signature for comparison, it may be a figurative merger based on weighting certain features based on the consistency with which the voter repeats particular elements, or it may include other means now known or which become known and which could be incorporated into a signature recognition algorithm or subroutine to increase the accuracy thereof.

In the following claims any feature described as a means for performing a function shall be construed as encompassing any means known to those skilled in the art to be capable of performing the recited function and shall not be limited to the structures shown herein or mere equivalents thereof.

Having described the features, discoveries and the principles of the invention, the manner in which it is constructed and operated and the advantages and useful results attained; the new and useful structures, devices elements, arrangements, parts, combinations, systems, equipment, operations, methods and relationships are set forth in the appended claims.