U.S. Election 

Assistance 

Commission

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6TIPS 

For Conducting Election Audits 

The U.S. Election Assistance Commission has collaborated with local election offcials 

to develop a series of helpful tips for election management. This series provides tips 

and suggests best practices that help you to run effcient and effective elections. 

There is no single national auditing standard and methods can vary from risk limiting, 

fxed percentage, tiered audits, or a combination of one or more types. The best 

audits use statistical techniques to determine the amount of auditing required to limit 

the possibility that an election is incorrectly decided. 

1 Start 

Strong – 

End Strong 

The election administration 

system is based on a set of 

interconnected parts; each 

part can infuence what comes 

after. To ensure that you 

complete your election with 

integrity, transparency and 

the confdence of your voters, 

consider the following steps: 

At the beginning: 

■ Work with your state 

election offce and vendors 

to develop a test deck that 

will reveal programming 

errors in your equipment. 

■ Label each voting system 

with the precinct number or 

location where it will be used 

and create a delivery checklist. 

■ Test e-poll books according 

to state statute or local 

jurisdiction regulations. 

■ Create a contingency plan for 

failure of e-poll books, poll 

workers who fail to appear, 

voting sites failing to open or 

weather related issues. 

■ Review and update disaster 

contingency plans frequently, 

with an emphasis on voting 

machine repair or replacement. 

■ Plan for technology failure 

emergencies and ballot or 

supply shortages. 

■ Establish rigorous chain of 

custody procedures and 

instruct staff, warehouse 

personnel, moving companies, 

polling places and poll workers. 

■ Insert mismarked and blank 

ballots during pre-election logic 

and accuracy testing to ensure 

scanners correctly process 

those ballots. 

REMEMBER

Develop chain of custody 

procedures and checklists to 

require the two-person review 

and signature rule for all 

proofng and ballot verifcations. 

■
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Tip 1 continued 

REMEMBER

Create a fle of documents 

relating to each specifc voting 

machine or central count 

scanner, including logic and 

accuracy testing and delivery, 

for each election. 

Leading up to the election: 

■ Develop a master checklist to

verify and store, in chronological

order, all your documentation

for every election.

■ Use your operations calendar

to update critical reports.

■ Collect and use statistical data

as part of auditing activities,

including data from your voter

registration system.

■ Keep copies of all public notices

and reports distributed to the

public, candidates or media.

■

Retain and organize all

documents required by

statute, including candidate

documentation.

Organize ballot proofs and

fnal approved copies sent to

the printer.

■ Create validation reports of

all precincts assigned to

correct districts.

■ Document the assignment

of privacy booths at each 

polling site. 

REMEMBER

Retain all documents relating 

to polling place inspections and 

compliance with accessibility 

requirements, including parking 

and supply distribution that are 

signed and verifed by two of 

your staff. 

After the Election: 

■ Keep a complete audit trail of

mailed, returned and rejected

absentee ballots.

■ Keep a detailed accounting log

for all returned and rejected

absentee ballots, and use to

balance when absentee ballots

are tabulated.

■ File reports on early voting,

including spoiled or provisional

ballots, for each election.

REMEMBER

Create precinct data reports and 

examine them to gain insight into: 

■ A high rate of under votes

or spoiled ballots may

indicate poor ballot design

or the need for additional

voter education.

■ Excessive provisional

ballots in a precinct may

indicate a need for stepped

up voter education and poll

offcial training.

■ Shortages of adequate

ballots and supplies at

voting sites.

Quick Clicks 

http://cuyahogaelectionaudits.com 

http://www.in.gov/sos/ 

elections/4059.htm 

http://www.michigan.gov/ 

sos/0,4670,7-127-1633_ 

11976_60889---,00.html 

2

Polling Place 

Actions 

Affect PostElection 

Audits

During the training of your 

poll offcials stress the 

importance of how their work 

contributes to successful 

elections. Inattention or 

failure to follow established 

procedures and statutes 

can affect all your postelection activities, from ballot 

reconciliation to audits. 

Prepare Poll Workers: 

■

Train poll offcials to carefully 

confrm correct ballot styles 

and the number of paper, 

provisional or emergency 

ballots delivered to the polling 

location and other supplies. 

Institute special training using 

exact copies for end of day 

ballot reconciliation procedures. 

■

Instruct your poll offcials in the 

two-person rule for checking 

all auditing documents. 

Train your troubleshooters 

to assist at end of day 

ballot reconciliation. 

Double Check: 

■ Use checklists at the polls for

each procedure in creating an

audit trail.

■ Encourage poll offcials to use

balancing checks during slow

periods during the day.

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Tip 2 continued ■ Make sure poll offcials check

machine serial numbers,

zero tapes, ballot box seals

and protective counter

numbers and sign appropriate

documentation.

■ Develop a checklist for your

staff to document receipt of all

election returns.

Keep Track: 

■

Record all spoiled ballots when 

using on-demand ballot printers 

and pre-printed ballots. 

■

Make sure the correct pens 

are provided for optical 

scan systems. 

Use a two-person return

system from the polling place

to your offce at the end of

Election Day.

■ Use stringent and documented

chain of custody procedures

for returns leaving the polls, at

your offce on election night

and until returns are placed in

a secured storage facility.

REMEMBER

Always ensure that your ballot 

and machine storage facility is 

equipped with: 

■ A functioning alarm system.

■ Video recording devices.

■ Sign in/out sheets.

■ A two-person rule at all times

for anyone on the premises,

including your staff.

Quick Clicks 

http://www.ocvote.com/volunteer/ 

poll-worker-resource-center/onlinepoll-worker-training/explore-more/ 

3

Reconciling 

and 

Accounting 

for Ballots 

are 

Fundamental

Always count and document 

the total numbers and types of 

blank ballots received from your 

printer and are then sent to 

the polling location. If you use 

multiple styles in one location, 

document each style separately. 

Educate Poll Offcials: 

■ Train poll offcials to ensure

that ballot boxes and machine

bins are empty at the

beginning of the day.

■ Teach poll offcials to balance the

number of signatures in the roster

to the total number of votes cast

and explain any differences.

■ Instruct poll offcials to

document voters who, after

signing the roster, may have

left the polling location

without voting.

■ Stress to your poll offcials the

importance of posting returns

in a prominent location prior to

leaving, if required by state law.

REMEMBER

Train poll offcials to document 

all unused ballots at the polling 

place, whether destroyed or 

returned to the election offcial. 

Counting Matters: 

■ Document the number of

ballots distributed to each site.

■ Compare total votes cast on

machine tapes to total signatures

and explain any difference.

■ Balance totals on each machine

with aggregated totals, if there

are multiple voting systems

and totals are aggregated at the

polling location.

■ Count and record each type of

ballot cast, spoiled, provisional,

emergency, absentee or

replacement ballots at the end

of the day.

■ Count and record total

number of unused ballots.

■ Count and record any

absentee ballots delivered to

the polling place, if applicable

in your jurisdiction.

REMEMBER

Balance the total number of 

ballots assigned to the polling 

place with voted, spoiled, 

emergency, provisional and 

replacement ballots and explain 

any differences. 

Don’t Forget to Document: 

■ The zero tapes printed and

signed by poll offcials.

■ Keep unused ballots well

separated from used ballots

until all voted ballots are

safely secured.

■ Record all emergency paper

ballots issued when using

touch screen or directrecording electronic voting

systems and record the serial

number of the machine.

■ Document the total number

of voters signing the roster,

with a separate count for

provisional voters.
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4

Vote 

Aggregation 

and 

Reconciliation 

at Your 

Offce 

Laws and regulations for vote 

aggregation, reconciliation or 

canvass of an election will vary 

from state to state. Universally, 

however, every absentee, 

early voting, provisional 

ballot, military or overseas 

ballot, qualifed write-in ballot, 

challenged and spoiled ballot 

must be accounted for. 

Begin planning your 

post-election tasks well 

before election returns are 

delivered to your offce. 

■ Set assigned duties for your staff.

■ Carefully ensure that all

memory cards are correctly

read when aggregating

election night totals.

■ Compare precinct totals to

machine tapes.

■ Account for ballots not

included in total tapes,

such as provisional or

challenged ballots or absentee

replacement ballots.

■ Examine the calculations

performed at polling locations

if discrepancies arise.

■ Validate the total votes cast in

each precinct to ensure that

they are equal or less than the

registered voters in each precinct.

■ Establish procedures for

ballot duplication if used in

your jurisdiction.

REMEMBER

Issue a press release and prominently post on your webpage 

information explaining the 

difference between unoffcial and 

offcial results. Always double check. 

5 Conducting 

Your 

Canvass 

The canvass serves as a 

validation of the election 

results and may be conducted 

by precinct boards, county 

election offcials or the 

offcial canvassing board. 

When conducting a canvass: 

Take Time to Prepare 

■ Review your state laws and

regulations in advance of the

canvass and remember to

make copies of your state’s

voter intent statutes or

regulations available.

■ Develop an operations

calendar that will keep a record

of all tasks and timelines.

■ Provide an orientation for

observers and candidates.

■ Remember to include all

legal notices and notices to

candidates or other observers.

■ Prepare rules of conduct for all

observers and issue necessary

identifcation badges.

■ Review the physical space

where the canvass is to be

conducted and delineate

observer areas that will protect

voter privacy.

■ Request the presence of your

legal counsel.

Collect and Keep 

■ Electronic printouts from all

precincts, early voting sites,

vote centers and absentee

ballot tabulations.

■ All qualifed write-in ballots.

■ Tallies of, or ballots from,

military and overseas voters.

■ All rosters or signature cards

from precincts, early voting

sites or vote centers.

■ Spoiled ballots and challenged

ballots.

■ Provisional ballot information

as required by state statute.

■ Duplicated ballots, if used.

■ Documentation for any

replacement ballots issued.

Don’t Forget to Document 

■ Provide documentation on

ballot duplication procedures,

if used.

■ Document precinct exceptions

such as over votes or voter

errors for each voting site.

■ Document and separate the

provisional ballots eligible

to be counted from those

ineligible to be counted.

■ Verify military and overseas

ballots.

■ Document all exceptions noted.

■ Present all documentation to

the canvassing board, prepare

detailed minutes of the

meeting and forward results

to your state election offce,

if required.

■ Post the completed canvass

on your webpage.
5

October 2014

6 Tips For Conducting Election Audits

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Tip 5 continued Quick Clicks 

https://www.sos.ca.gov/

elections/offcial-canvass.htm 

http://recorder.countyofventura.org/ 

elections/election-resultscanvassof-the-vote/vote-canvass/ 

http://www.elmorecountyelections. 

org/results.html 

6

Conducting 

Your PostElection 

Audit

Carefully conducted 

post-election audits can 

mitigate error and check 

the accuracy of election 

results. Comprehensive and 

transparent post-election 

audits raise the level of 

public confdence in the 

electoral process. 

For transparency, meaningful 

observation and public notice: 

Create 

■ A workfow diagram for

offcials conducting the audit.

■ A checklist of tasks to be

accomplished during the audit.

■ A rigorous security and

chain of custody procedure,

including sign in/out logs and a

security video.

■ Identifcation badges for

everyone present at the audit.

■ Procedures for sorting early,

absentee or vote center ballots 

by precinct, if required by state 

statute or regulation. 

■ Tally sheets used in the audit,

if required.

■ Procedures to address and

explain discrepancies, if found.

Double Check 

■ That those counting ballots are

not aware of an expected result.

■ The secrecy of the ballot by

never comparing the order

of votes to the order of

signatures in the roster.

■ The transport of ballots and

other materials to the audit

location by using stringent

chain of custody procedures

and permitting witnesses.

■

That all memory cards, rosters

and permits are secured.

■ That the number of ballots

removed and replaced in

each ballot box are counted

and documented.

■ That, if necessary, court orders

are obtained to access ballots.

Inform 

■ Distribute information on your 

state’s voter intent laws to 

those conducting the audit and 

to observers. 

Provide copies of any rules 

and regulations for the 

conduct of observers. 

■

Explain any rules on the 

use of cellphones, audio 

or video recording. 

■

Explain the procedures for 

addressing discrepancies and 

if additional targeted samples 

must be counted. 

Communicate 

■ Designate a key staff member

to interact with observers and

media, to answer questions or

take comments.

■ Post the fnal results promptly

on your website and transmit

the results to your state

election offce, if required.

■ Communicate the results

of the post-election audit

to the media and your

canvassing board.

■ Issue a report including an

analysis of any discrepancies

and recommendations

for improvement.

REMEMBER

To achieve additional 

transparency create a public 

archive of audit documents 

and reports. 

Quick Clicks 

http://citrus.electionsf.org/ 

Election-information/PostElection-audits.aspx 

https://www.ocvote.com/ 

election-library/?topic=3 

U.S. Election 

Assistance 

Commission

The U.S. Election Assistance Commission (EAC) is an independent bipartisan commission created by the Help America Vote Act of 2002 (HAVA). 

EAC is charged with administering payments to states, adopting voluntary voting system guidelines, accrediting voting system test laboratories 

and certifying voting equipment, maintaining the National Voter Registration form, conducting election data research, and administering a 

national clearinghouse for information on election practices.

http://vote.caltech.edu/content/ 

new-mexico-2006-post-electionaudit-report