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<regulation prefix="Regulation" num=".09" citation="COMAR 33.08.05.09" title_num="33" subtitle_num="08" chapter_num="05" heading="Post-Election Audit — Ballot Tabulation Audit — Risk Limiting Audit.">
  <paragraph num="A.">
    <text>In General.</text>
    <paragraph num="(1)">
      <text>Audit Method.</text>
      <paragraph num="(a)">
        <text>Except as provided in §A(1)(b) of this regulation, a batch comparison audit shall be conducted in accordance with Election Law Article, §11-309, Annotated Code of Maryland.</text>
      </paragraph>
      <paragraph num="(b)">
        <text>Exception to Batch Comparison.  If the State Administrator determines that a batch comparison audit cannot be completed prior to the Board of State Canvassers certification, the audit may be conducted using the following methods:</text>
        <paragraph num="(i)">
          <text>Ballot comparison;</text>
        </paragraph>
        <paragraph num="(ii)">
          <text>Ballot polling; or</text>
        </paragraph>
        <paragraph num="(iii)">
          <text>A hybrid of batch comparison, ballot comparison, or ballot polling.</text>
        </paragraph>
      </paragraph>
    </paragraph>
    <paragraph num="(2)">
      <text>Risk Limit. The risk limit shall be 10 percent.</text>
    </paragraph>
    <paragraph num="(3)">
      <text>Timing of Audit.</text>
      <paragraph num="(a)">
        <text>No later than 17 days after election day, the local board shall provide to the State Board a ballot manifest, in the manner prescribed by the State Board.</text>
      </paragraph>
      <paragraph num="(b)">
        <text>The local board shall commence a risk-limiting audit no sooner than 21 days after election day.</text>
      </paragraph>
      <paragraph num="(c)">
        <text>The local board shall complete a risk-limiting audit no later than 2 days before the Board of State Canvassers convenes under Election Law Article, §11-503(a)(1), Annotated Code of Maryland.</text>
      </paragraph>
    </paragraph>
  </paragraph>
  <paragraph num="B.">
    <text>Public Notice and Observation.</text>
    <paragraph num="(1)">
      <text>A local board shall:</text>
      <paragraph num="(a)">
        <text>At least 3 days before the risk-limiting audit starts, provide notice of the risk-limiting audit by:</text>
        <paragraph num="(i)">
          <text>Sending the notice to the chairman of the county central committee, each candidate for the contest to be audited who is not a candidate of a principal political party, and the State Administrator;</text>
        </paragraph>
        <paragraph num="(ii)">
          <text>Posting the notice on its website; and</text>
        </paragraph>
        <paragraph num="(iii)">
          <text>Posting the notice in a prominent and publicly accessible location at its office; and</text>
        </paragraph>
      </paragraph>
      <paragraph num="(b)">
        <text>Allow, to the extent practicable, for public observation of each part of the manual count of ballots of the risk-limiting audit process.</text>
      </paragraph>
    </paragraph>
    <paragraph num="(2)">
      <text>The State Board shall:</text>
      <paragraph num="(a)">
        <text>Provide at least 3 days notice of the time, date, and location for conducting risk-limiting audit initiation procedures required in §E of this regulation by posting the notice on its website; and</text>
      </paragraph>
      <paragraph num="(b)">
        <text>Allow, to the extent practicable, for public observation of risk-limiting audit initiation procedures.</text>
      </paragraph>
    </paragraph>
  </paragraph>
  <paragraph num="C.">
    <text>Selection of Contests for Audit.</text>
    <paragraph num="(1)">
      <text>Determination of Number of Statewide Contests. No later than the day before the start of the risk-limiting audit, the State Board shall determine the number of contests to be audited as follows:</text>
      <paragraph num="(a)">
        <text>Consider the number of Statewide contests in the election;</text>
      </paragraph>
      <paragraph num="(b)">
        <text>Consider local boards’ resources, including provisional processing, canvass, and recounts;</text>
      </paragraph>
      <paragraph num="(c)">
        <text>For a primary election:</text>
        <paragraph num="(i)">
          <text>If one contest is selected, require auditing of at least one Statewide contest on one party’s ballot;</text>
        </paragraph>
        <paragraph num="(ii)">
          <text>If two contests are selected, require auditing of at least one Statewide contest on each party’s ballot; and</text>
        </paragraph>
      </paragraph>
      <paragraph num="(d)">
        <text>In a general election, require auditing of at least one Statewide contest.</text>
      </paragraph>
    </paragraph>
    <paragraph num="(2)">
      <text>Determination of Statewide Contest.  No later than the day before the start of the risk-limiting audit, the State Board shall randomly select from all Statewide contests at least one contest to be audited.</text>
    </paragraph>
    <paragraph num="(3)">
      <text>Requests by Local Boards to Audit Local Contests.</text>
      <paragraph num="(a)">
        <text>A local board may conduct a risk-limiting audit of a local contest at the discretion of the local board.</text>
      </paragraph>
      <paragraph num="(b)">
        <text>If a local board conducts a risk-limiting audit of a local contest:</text>
        <paragraph num="(i)">
          <text>All Statewide contests must be completed prior to the commencement of the audit; and</text>
        </paragraph>
        <paragraph num="(ii)">
          <text>The timing of completion of the risk-limiting audit of the Statewide contest may not be affected by the local contest audit.</text>
        </paragraph>
      </paragraph>
      <paragraph num="(c)">
        <text>A local board may request the State Administrator’s approval in writing no later than 1 month prior to the election, to use the risk-limiting audit software to conduct the local contest audit.</text>
      </paragraph>
    </paragraph>
  </paragraph>
  <paragraph num="D.">
    <text>Local Board Preparations for Audit.</text>
    <paragraph num="(1)">
      <text>Ballot Control. Each local board shall store ballots as follow:</text>
      <paragraph num="(a)">
        <text>In a sealed ballot box, with only ballots from the same batch; and</text>
      </paragraph>
      <paragraph num="(b)">
        <text>With the batch label on the exterior of the ballot box, which identifies the batch as it appears on the ballot manifest.</text>
      </paragraph>
    </paragraph>
    <paragraph num="(2)">
      <text>Requirement to Provide Ballot Manifest. Each local board shall provide to the State Board no later than 17 days after election day:</text>
      <paragraph num="(a)">
        <text>A ballot manifest in the manner prescribed by the State Board;</text>
      </paragraph>
      <paragraph num="(b)">
        <text>An estimate of all provisional and mail-in ballots that have not yet been canvassed; and</text>
      </paragraph>
      <paragraph num="(c)">
        <text>Certification that all batches listed on the ballot manifest have been verified by the local board as required by the State Board.</text>
      </paragraph>
    </paragraph>
  </paragraph>
  <paragraph num="E.">
    <text>Initiation of Risk-Limiting Audit. On the day before the first day of the risk limiting audit, the State Administrator shall hold a public meeting during which the State Administrator shall:</text>
    <paragraph num="(1)">
      <text>Select random choice of a seed number to input into risk-limiting audit software; and</text>
    </paragraph>
    <paragraph num="(2)">
      <text>Using the randomly-selected seed, risk limit, and margin of victory for the contest or contests selected to be audited, determine the ballots to be audited by each local board.</text>
    </paragraph>
  </paragraph>
  <paragraph num="F.">
    <text>Manual Count Procedures.</text>
    <paragraph num="(1)">
      <text>Each election director shall:</text>
      <paragraph num="(a)">
        <text>Prepare for a risk-limiting audit by recruiting and training manual count teams;</text>
      </paragraph>
      <paragraph num="(b)">
        <text>Instruct teams to use the sort method described in §F(2) of this regulation if one Statewide contest are audited;</text>
      </paragraph>
      <paragraph num="(c)">
        <text>Instruct teams to use the tally method described in §F(3) of this regulation if more than one Statewide or local contest is audited;</text>
      </paragraph>
      <paragraph num="(d)">
        <text>Issue the teams batches or voter verifiable paper records chosen by the risk-limiting software for manual count; and</text>
      </paragraph>
      <paragraph num="(e)">
        <text>Record in the audit log:</text>
        <paragraph num="(i)">
          <text>The team identifier;</text>
        </paragraph>
        <paragraph num="(ii)">
          <text>The voter verifiable paper records issued to the team; and</text>
        </paragraph>
        <paragraph num="(iii)">
          <text>Upon completion, the voter verifiable paper records returned by the team;</text>
        </paragraph>
      </paragraph>
      <paragraph num="(f)">
        <text>Enter the vote totals reported by manual count teams on the consolidated tally sheets;</text>
      </paragraph>
      <paragraph num="(g)">
        <text>Compare the results of the manual count against the voting system results for those voter verifiable paper records;</text>
      </paragraph>
      <paragraph num="(h)">
        <text>If there are any inaccuracies, retabulate the voter verifiable paper records;</text>
      </paragraph>
      <paragraph num="(i)">
        <text>If manual and electronic counts agree, complete and sign the tally sheet; and</text>
      </paragraph>
      <paragraph num="(j)">
        <text>Within 24 hours after completion of the audit, submit the results to the State Administrator.</text>
      </paragraph>
    </paragraph>
    <paragraph num="(2)">
      <text>Sort Method. Each manual count team shall:</text>
      <paragraph num="(a)">
        <text>Designate one team member who shall sort and a second team member who shall watch to ensure accuracy;</text>
      </paragraph>
      <paragraph num="(b)">
        <text>Sort all assigned voter verifiable paper records into one of the following batches:</text>
        <paragraph num="(i)">
          <text>A batch for each candidate or ballot question response for a contest being audited;</text>
        </paragraph>
        <paragraph num="(ii)">
          <text>A batch for voter verifiable paper records without a vote for a contest being audited;</text>
        </paragraph>
        <paragraph num="(iii)">
          <text>A batch for each officially filed write-in candidate for a contest being audited; and</text>
        </paragraph>
        <paragraph num="(iv)">
          <text>A batch for all other write-in votes;</text>
        </paragraph>
      </paragraph>
      <paragraph num="(c)">
        <text>If team members do not agree on how a vote should be counted:</text>
        <paragraph num="(i)">
          <text>Refer the voter verifiable paper record to the election director; and</text>
        </paragraph>
        <paragraph num="(ii)">
          <text>For auditing purposes only, accept the election director’s determination of how the vote shall be counted;</text>
        </paragraph>
      </paragraph>
      <paragraph num="(d)">
        <text>Once all of the voter verifiable paper records have been sorted, ensure that each team member independently counts the voter verifiable paper records in each batch;</text>
      </paragraph>
      <paragraph num="(e)">
        <text>If the team members’ results are not identical, retabulate the voter verifiable paper records until obtaining identical results; and</text>
      </paragraph>
      <paragraph num="(f)">
        <text>When the team members’ results are identical:</text>
        <paragraph num="(i)">
          <text>Record the vote totals on the batch tally sheet;</text>
        </paragraph>
        <paragraph num="(ii)">
          <text>Sign the batch tally sheet; and</text>
        </paragraph>
        <paragraph num="(iii)">
          <text>Give the batch tally sheet and the voter verifiable paper records to the election director.</text>
        </paragraph>
      </paragraph>
    </paragraph>
    <paragraph num="(3)">
      <text>Tally Method. Each manual count team shall:</text>
      <paragraph num="(a)">
        <text>Include one caller, one watcher, and two tally clerks;</text>
      </paragraph>
      <paragraph num="(b)">
        <text>For each voter verifiable paper record assigned to it:</text>
        <paragraph num="(i)">
          <text>Have its caller call the votes cast in the contests being audited;</text>
        </paragraph>
        <paragraph num="(ii)">
          <text>Have its watcher ensure the accuracy of the calling; and</text>
        </paragraph>
        <paragraph num="(iii)">
          <text>Have its two tally clerks independently record the votes as they are called;</text>
        </paragraph>
      </paragraph>
      <paragraph num="(c)">
        <text>Ensure that its tally clerks periodically compare their results;</text>
      </paragraph>
      <paragraph num="(d)">
        <text>If the tally clerks’ results are not identical, retabulate voter verifiable paper records beginning with the point of the last successful comparison check, and repeat until the two tally clerks obtain identical results; and</text>
      </paragraph>
      <paragraph num="(e)">
        <text>When all votes assigned to the team have been tallied, ensure that its tally clerks:</text>
        <paragraph num="(i)">
          <text>Record the vote totals on the batch tally sheet;</text>
        </paragraph>
        <paragraph num="(ii)">
          <text>Sign the batch tally sheet; and</text>
        </paragraph>
        <paragraph num="(iii)">
          <text>Give the batch tally sheet and the voter verifiable paper records to the election director.</text>
        </paragraph>
      </paragraph>
    </paragraph>
    <paragraph num="(4)">
      <text>Resolving Electronic Count.</text>
      <paragraph num="(a)">
        <text>If the manual count of results in an audited contest does not confirm the electronic count of results for that contest, the local board of canvassers shall investigate the matter to determine an accurate result, including:</text>
        <paragraph num="(i)">
          <text>A review of all tally sheets and other documentary materials from the risk-limiting audit;</text>
        </paragraph>
        <paragraph num="(ii)">
          <text>A review of all canvass minutes;</text>
        </paragraph>
        <paragraph num="(iii)">
          <text>Interviews with the election director; and</text>
        </paragraph>
        <paragraph num="(iv)">
          <text>Any other information that would explain the difference between the audit and the electronic count of results.</text>
        </paragraph>
      </paragraph>
      <paragraph num="(b)">
        <text>No later than 3 days after beginning the investigation, the local board of canvassers shall:</text>
        <paragraph num="(i)">
          <text>Provide to the State Administrator written findings explaining the difference; and</text>
        </paragraph>
        <paragraph num="(ii)">
          <text>If it concludes that the electronic count is inaccurate, adopt corrections to certified results in accordance with Election Law, §§11-308 and 11-401, Annotated Code Maryland.</text>
        </paragraph>
      </paragraph>
    </paragraph>
  </paragraph>
</regulation>