OHIO ELECTRONIC POLLBOOK ACCEPTANCE TESTING MATRIX

Transcription

1 161 Introduction Resources Chapter Chapter 16: Resources Ohio Election Official Manual OHIO ELECTRONIC POLLBOOK ACCEPTANCE TESTING MATRIX FOR USE BY A BOARD OF ELECTIONS IN CONDUCTING ACCEPTANCE TESTING OF ELECTRONIC POLLBOOKS NAMES OF EXAMINERS: DATE: DEVICE BEING EVALUATED: SIGNATURES: CRITERIA The e-pollbook has been approved by the Ohio Board of Voting Machine Examiners and certified for use in Ohio. The examiners must verify that the firmware and software installed on the e-pollbook are the versions tested with the pollbook by the independent testing authority. Note: This information is included in the report from the testing authority. A copy of the report can be provided to the examiners from the vendor or the Secretary of State s Office, Elections Division. The vendor must review with the examiners all manuals, including programming and user instructions for the board of elections staff and precinct election officials. The manual(s) for board of elections staff explain how to prepare the e-pollbook for an election, including how to: Download the voter file from the county s voter registration database; Upload any updates to the file; Enter ballot styles available for each precinct and voter; and Upload voting history into the county s voter registration database. ACCEPTABLE OR YES UNACCEPTABLE OR NO QUESTIONS / COMMENTS Chapter 1: 16: Introduction Resources

2 CRITERIA ACCEPTABLE UNACCEPTABLE QUESTIONS / COMMENTS OR OR YES NO The manual(s) for precinct election officials provide detailed instructions on how to setup, use, and shutdown correctly the e-pollbook at the polling location. The manual(s) includes training materials in a format suitable for quick-reference in the polling location (i.e., a how to guide). The manual(s) provides instructions for failsafe data recovery procedures for information stored in the e-pollbook. The vendor has explained to the board of elections what assistance is available from the vendor in resolving questions or issues arising prior to and on Election Day. Contact information and other relevant instructions have been provided. The vendor must provide the end-user documentation, system-level documentation, and a clear model of the system s architecture. The vendor must provide detailed information on system consumables and where such consumables can be acquired. The vendor must provide the examiners all repair and maintenance policies and warranty for the e-pollbook. The vendor must explain how the e-pollbook processes all activity regarding each voter registration record, including the use, alteration, storage, and transmittal of information that is part of the record. Compliance with this must include the mapping of the data life cycle of the voter registration record as processed by the e- pollbook. 2 Chapter 1: 16: Introduction Resources

3 CRITERIA ACCEPTABLE UNACCEPTABLE QUESTIONS / COMMENTS OR OR YES NO The examiners must turn on/ power-up each pollbook and hardware/peripheral for use with the pollbook. Any issues must be resolved by the vendor before completing the acceptance testing. The examiners must verify the e-pollbook s compatibility with any hardware that may be attached to it (i.e., network cards, barcode scanners, ballot-on-demand printers, etc.). The following portions of the acceptance testing must be performed on an e-pollbook received by the county. The county must conduct this testing in a manner that does not alter permanently any voter s record. The examiners must set-up the e-pollbook in accordance with the instructions provided in the manual(s) by downloading data from the county s voter registration database onto the e- pollbook and logging into the e-pollbook. The vendor must generate and upload a file containing modifications to the voter records that have been downloaded onto the e- pollbooks (e.g., recent absentee voters). The examiners must check-in a voter by scanning the barcode on the back of a voter s Ohio driver s license or state identification card or by entering manually a voter s information. The examiners must verify the e- pollbook produces the correct voter s record. The examiners must verify that the e-pollbook notifies the precinct election officials whether the voter is in the correct precinct and polling location or the incorrect precinct and polling location. 3 Chapter 1: 16: Introduction Resources

4 CRITERIA ACCEPTABLE UNACCEPTABLE QUESTIONS / COMMENTS OR OR YES NO The examiners must verify that, if the voter is in the incorrect precinct and polling location, the e-pollbook generates a notice containing the name and location of the voter s precinct that can be given to the voter. The examiners must generate a locallyconfigured authority to vote notice or transmittal slip that displays the voter s party (if relevant), voting jurisdiction(s), and/or districts and/or ballot style. If the e-pollbook programs a smart card or other similar device with the ballot style assigned to or, in the case of a primary election, selected by the voter, the examiners must confirm that the e-pollbook assigns the correct ballot style. The examiners should test this feature with several different voters and ballot styles. The examiners must generate a locallyconfigurable report to be exported at least 3 times per Election Day (i.e., 6:30 a.m., 11:00 a.m., and 4:00 p.m.) that lists all registered voters for that precinct and/or polling location and indicates which registered voters have cast a ballot (including an absent voter s ballot prior to Election Day) as of the date and time the report is exported. The examiners must upload voter history information, including signature captures, from the e-pollbook. 4 Chapter 1: 16: Introduction Resources

5 BEGINNING TERMS FOR OFFICES Office President/Vice President U.S. Congress U.S. Senate Governor/Lt. Governor Attorney General Auditor of State Secretary of State Treasurer of State State Senator State Representative County Commissioner County Auditor Prosecuting Attorney Sheriff County Recorder County Engineer Coroner County Treasurer State Board of Education Supreme Court - Chief Justice Supreme Court Justices Courts of Appeals Judges Common Pleas Judges Clerk of Courts County Court Judges Commencing Date of Term January 20 th at 12:01 p.m. (U.S. Const. Amend. XX, Sec. 1) January 3rd at 12:01 p.m. (U.S. Const. Amend. XX, Sec. 1) January 3rd at 12:01 p.m. (U.S. Const. Amend. XX, Sec. 1) Second Monday in January (OH Const. Art. III, Sec. 2) Second Monday in January (OH Const. Art. III, Sec. 2) Second Monday in January (OH Const. Art. III, Sec. 2) Second Monday in January (OH Const. Art. III, Sec. 2) Second Monday in January (OH Const. Art. III, Sec. 2) January 1 st (OH Const. Art. II, Sec. 2) January 1 st (OH Const. Art. II, Sec. 2) January 1st, 2nd or 3 rd (R.C ) Second Monday in March (R.C ) First Monday in January (R.C ) First Monday in January (R.C ) First Monday in January (R.C ) First Monday in January (R.C ) First Monday in January (R.C ) First Monday in September (R.C ) January 1 st (R.C ) January 1 st (R.C ) January 1st or 2 nd (R.C ) Varied (R.C ,.012,.013) Varied (R.C ,.021 & ,.03) First Monday in January (R.C ) January 1st or 2 nd (R.C ,.013) Chapter 1: 16: Introduction Resources

6 Municipal Court Judges Municipal Court Clerks City Officers and Council Village Mayor Village Council Village Treasurer Village Clerk Village Clerk/Treasurer Village Bd. of Public Affairs Township Trustees Township Clerk Boards of Education Varied (R.C ,.07,.08) January 1 st (R.C ) January 1 st (R.C & ,.09,.10,.42,.49) January 1 st (733.24) No statutory beginning date - generally begins January 1 st. (R.C ) January 1 st (R.C ) April 1 st (R.C ) April 1 st (R.C ) No statutory beginning date - generally begins January 1 st. (R.C ) January 1 st. (R.C ) April 1 st. (R.C ) January 1 st (R.C ) NOTE: Beginning dates may not be as listed above for those counties, municipalities or townships which have adopted charter or home rule provisions. Chapter 1: 16: Introduction Resources

7 Retention chart updated Retention Chart SERIES NUMBER CBE-01 CBE-02 CBE-03 CBE-04 CBE-05 OHIO SECRETARY OF STATE RETENTION SCHEDULES DESCRIPTION OF RECORD RETENTION PERIOD ORIGIN DATE NOTES AUTHORIZATION # Absentee Ballot Applications: Civilian and Military Absentee Voter Register: Civilian - record of absentee voters Absentee Voter Register: Military - record of absentee voters Abstract of Votes - Abstract of votes cast in all elections Audit Report - Report of the state examiner Retain four (4) years then Retain permanently Retain permanently Retain permanently Retain one (1) copy permanently CBE-06 All Ballots: Used and Unused Retain until sixty (60) days after an election or 22 months after a federal election then provided no pending court action or court order (R.C ) 1983 Revised CBE-07 Ballots: Sample - Record of bond issues and tax levies in form of sample ballots Retain twenty (20) years in office, then transfer to Archives for permanent retention CBE-08 Bids: Unsuccessful - copies of unsuccessful bids Retain two (2) years after contract awarded, then CBE-09 Bids: Successful with Contract - This record series contains copies of successful bids, contracts and related documents from vendors for various goods and/or services. Retain for eight (8) years, then may. 1983, revised CBE-10 CBE-11 CBE-12 CBE-13 CBE-14 CBE-15 CBE-17 CBE-18 Cash Book - Record of fees collected Campaign Expense Reports - Candidates' expense reports filed Central Committee Notices - Notices of political party meetings and committee member lists. Correspondence - General Office Correspondence Certificates of Annexation - Copy of Annexation ordinance, etc. Election Charge-Back Record - Election expenses charged back Ledger of Receipts and Expenditures - CBE financial records Petitions of Candidates - Accepted and rejected petitions for elections Retain ten (10) years and until audited by Auditor of State and audit report is released, then Retain six (6) years then Notices: retain two (2) years, then may ; Member List: retain two (2) or four (4) years depending on term of committee members of the political party, then may. Retain one (1) year then Retain permanently Retain three (3) years and until audited by Auditor of State and audit report is released, then Retain six (6) years and until all items are cleared and audited by Auditor of State and audit report is released, then Retain six (6) years, then , The retention period equates revised to the term of office for committee members , Revised CBE-19 Pollbooks, Poll Lists and Related Materials - This record series includes, but is not limited to, pollbooks, poll lists or signature pollbooks, tally sheets, summary statements, and other records and returns of an election delivered to the Board of Elections from polling places. Retain two (2) years, then may. 1983, Revised Per R.C Chapter 16: Introduction : Resources

8 SERIES NUMBER OHIO SECRETARY OF STATE RETENTION SCHEDULES ORIGIN DESCRIPTION OF RECORD RETENTION PERIOD DATE NOTES AUTHORIZATION # CBE-21 Poll Officials Record / Precinct Record - List maintained by county boards of elections that contains contact information of qualified individuals available to serve as judges or precinct election officials. Retain two (2) years then may 1983, revised CBE-22 Receipts and Expenditures: Candidates - Campaign financial history for candidates Retain six (6) years then CBE-23 Receipts and Expenditures: Questions and Issues - Campaign financial history: for/against questions and issues Retain two (2) years then CBE-24 Receipt Books: Election Papers - Office receipt book for ethics material & campaign financing statements issues Retain one (1) year then CBE-25 Receipt Books: Monies - Office copy of financial receipts issued Retain until audited by Auditor of State and audit report is released, then CBE-26A Resolutions on Bond Issues that Pass - Copies of resolutions by governmental bodies authorizing placement of issues on the ballot Retain for life of bonds then CBE-26B Resolutions Except for Bond Issues that Pass - Copies of resolutions by governmental bodies authorizing placement of issues on the ballot Retain five (5) years after election, then CBE-27 CBE-28 CBE-29 CBE-30 CBE-31 CBE-32 CBE-33 CBE-34 CBE-35 Vouchers - Office Copy of Voucher sent to County Auditor Ward & Precinct Maps - Political sub-division precinct boundaries Withdrawal of Candidacy Notices - Notices of withdrawal received Minutes of the Board of Elections - Record of proceedings Change of Name, Deaths, and Disenfranchised Voters Reports - Original reports issued by the Probate Court, Clerk of Courts, and Health Department Registration Cards: Active - Master and precinct cards files for currently registered voters Registration Cards: Inactive - Cancelled voter registration cards Transfer of Registrations - Record of voters' transfer of registration from one area to another Campaign Expense Reports - Original PAC campaign finance reports Retain until audited by Auditor of State and audit report is released, then Retain permanently Retain one (1) year after election then Retain permanently Retain two (2) years after filing then Retain permanently Retain permanently Retain four (4) years, then Retain in office, six (6) years then transfer to Records Center for six (6) years, then , revised CBE-36 Change of Address/Name Notifications - Written notices from registered voters of a change of address or name, including R.C (B)(1) notice of change of name (SOS prescribed form 10-L). Retain four (4) years, then may. 1994, revised CBE-37 Elector Application for Correction or Challenge Form - Forms to be completed pursuant to R.C , R.C and R.C Retain two (2) years then may 1994, revised Chapter 16: Introduction : Resources

9 SERIES NUMBER OHIO SECRETARY OF STATE RETENTION SCHEDULES ORIGIN DESCRIPTION OF RECORD RETENTION PERIOD DATE NOTES AUTHORIZATION # CBE-38 Absentee Identification Envelopes - Statement of absentee voter and absent voter's ballot identification envelope supplement. Retain ninety (90) days after an election, or twenty-two (22) months after a federal election, then may, provided no pending court action or order 1994, revised CBE-40 CBE-42 CBE-44 CBE-45 CBE-46 CBE-47 CBE- 48 CBE-49 Provisonal ballot affirmations - Affirmations filled out by an elector voted a ballot provisionally Payroll Records for County Boards - Payroll Retain four (4) years, then may records of pollworkers, election extras, parttime workers and workers no longer employed provided audited and audit report has been released. at the boards. Registration Confirmation Notices - Confirmation notices sent by the county boards to voters in order to verify registration records; and returned confirmation notices with updated or confirmed information. Boards maintin a list of these responses. Directives/Advisories - Letters of instruction, information and guidance sent to all county board of elections concerning the election process and new election laws. Confirmation or Acknowledgement Notice Lists - Lists of names and addresses of persons who were sent confirmation or acknowledgement notices Acknowledgement or confirmation cards - Acknowledgement or confirmation cards returned undeliverable Voter Verified Paper Audit Trail - Voter Verified Audit Trail (VVPAT) official ballot to be used for recount purposes Retain four (4) years, then unless used as a voter reigstration form, then retain permanently County Board will retain for five (5) years, then may. Retain in office for one (1) year, then transfer to storage for an additional five (5) years. Six (6) year retention needed to provide information for a complete election cycle for U.S. Senate and Supreme Court Justices County Board will retain for five (5) years, then Retain four (4) years, then Retain for 60 days or 22 months for federal elections, then provided no pending court action or court order (R.C ) Voting Machine Reports - This record series includes, but is not limited to, logic & accuracy Retain sixty (60) days after an testing, test decks, tapes, testing result election or twenty-two (22) records, zero tapes, close of polls tapes, cards months after a federal election, downloaded, used seal/lock records, then may provided no independent verification and validation testing pending court action or order. (IV & V) of new voting equipment. 1994, revised , revised , revised 2011, revised , revised , revised , revised CBE-50 Chain of custody form and voting unit event log - This record series includes chain of custody forms and voting unit event log. Retain two (2) years, then may. 2010, revised CBE-51 CBE-52 CBE-53 CBE-54 Proclamations of elections or legal advertisment of questions and issues Challenge forms - Challenge forms pursuant to R.C Observer forms - Observer forms pursuant to R.C Census block reprecincting waiver form and accompanying maps Retain one (1) year, then Retain for two (2) years, then Retain one (1) year, then Retain four years (4), then Chapter 16: Introduction : Resources

10 OHIO SECRETARY OF STATE RETENTION SCHEDULES SERIES NUMBER DESCRIPTION OF RECORD RETENTION PERIOD ORIGIN DATE NOTES AUTHORIZATION # CBE-55 For any Form 10-T completed prior to the May 6, 2014 Affirmation of voter who does not possess primary election, retain two (2) any appropriate identification for voting years, then may. For purposes - Affirmation of voter who does not any Form 10-T completed possess any appropriate identification for during the May 6, 2014 primary voting purposes - (SOS prescribed form #10-T). election, retain until May 6, 2016, then may. 2010, revised 2015 S.B. 16, which took effect on June 2, 2014, eliminated all references to Form 10-T and the declaration in the Ohio Revised Code. The May 6, 2014 primary election would have been the last election where Form 10-T was used CBE-56 Verification of handicapped accessible parking spaces and polling locations Retain one (1) year, then CBE-57 CBE-58 CBE-59 CBE-60 CBE-61 Certification of training hours completed Election calendars Mailing Envelope Containing Voted Absent Voter Ballot - Mailing envelope containing a voted absent voter ballot. Proofs of ballots Report Forms for local questions & issues including approved ballot language Retain two (2) years, then Retain until no longer of administrative value, then Retain ninety (90) days after election, then may provided no pending court action or court order. Retain 60 days after election, then provided no pending court action or court order Retain 60 days after election, then provided no pending court action or court order , revised CBE-62 Certifications by most populous county of overlapping local questions and issues - Certifications by most populous county of overlapping local questions and issues. Retain 60 days after election, then may provided no pending court action or court order. 2010, revised CBE-63 Certificates of results - certificates of results pursuant to R.C and Retain six (6) years, then CBE-64 CBE-65 CBE-66 CBE-67 Copies of state issues petitions or statewide candidate petitions Unofficial election results Evidence used in protest hearing - Evidence or materials provided or used in conjunction with a protest hearing SOS expenses of conducting elections - Yearly report to Secretary of State of the expenses of conducting elections Retain 60 days after election, then provided no pending court action or court order Retain 60 days after election, then provided no pending court action or court order Retain one (1) year, then provided no pending court action or court order Retain four (4) years, then CBE-68 Organization or Reorganization of Boards of Elections - Report forms on organization or reorganization of board of elections Retain six (6) years,then CBE-69 Reimbursement of poll worker training - Reimbursment records of costs of training poll workers Retain two (2) years or until audited, then CBE-70 Statewide Voter Registration Database Reports - This record series includes, but is not limited to, data quality reports and duplicate reports generated by the statewide voter registration database and sent to boards of elections to correct or add to a voter's record. Retain for 60 days or until no longer of administrative value, then may. 2010, revised Chapter 1: 16: Introduction Resources

11 SERIES NUMBER CBE-71 CBE-72 DESCRIPTION OF RECORD Duplicate or incomplete voter registration forms Returned undeliverable 60 day notices OHIO SECRETARY OF STATE RETENTION SCHEDULES RETENTION PERIOD Retain for 4 (four) years, then Retain until the elector appears to vote or until the elector named is removed from the voter registration list, then ORIGIN DATE NOTES AUTHORIZATION # CBE-73 Transmittal forms that accompany voter registration forms from agencies Retain 2 (two) years, then CBE-74 CBE-75 CBE-76 CBE-77 CBE-78 Copies of identification provided by electors - copies of identification provided by electors with a voter registration form or absentee ballot application Copies of identification provided by electors with an absentee ballot and identification envelope Copies of identification provided by a UOCAVA voter with a Federal Postcard application Federal Postcard Voting Application (FVAP) - Application for registration as a voter on a form adopted in accordance with federal regulations relating to the Uniformed and Overseas Citizens Absentee Voting Act per R.C Election Administration and Voting Survey Biennial Reports - Election administration and voting survey biennial reports that include information on voter registrations, changes of name/address, absentee ballots, ballots cast provisionally and other election related information. Retain for the longer of these periods; 6 months from the date of receipt or 45 days from the date of the election for which the absentee ballot was issued, then Retain for 90 (ninety) days from the date received, then Retain 4 (four) years from the date received, then Retain permanently Retain two (2) years, three (3) months, then may CBE-79 Election Administration Plans - Administrative plans created by county boards of elections indicating preparations for conducting elections and handling of possible emergency situations on election day. Retain for four (4) years, then may. 2012, revised CBE-80 Precinct Election Officials Performance Assessment -A review to be conducted after each presidential primary and even-numbered general election to determine whether precinct election officials are satisfactorily performing their duties. Retain fifteen (15) months, then may CBE-81 Local Option Petitions - Local option petitions filed with county boards of elections Retain four (4) years, then may CBE-82 CBE-83 Notice of County Board of Elections Public Meeting - Notice of public meeting of a county board of elections - including regular, special or emergency meetings. Required by R.C (F). Certificates of Appointment - Copies of certificates of appointment to elected office. The certificate contains the name of the appointed official, the office held, and beginning and ending terms of the appointment. Retain two (2) years, six (6) months, then may. Retain four (4) years, then may Chapter 16: Introduction : Resources

12 SERIES NUMBER DESCRIPTION OF RECORD OHIO SECRETARY OF STATE RETENTION SCHEDULES RETENTION PERIOD ORIGIN DATE NOTES AUTHORIZATION # CBE-84 County Job & Family Services Voter Registrations Report - Quarterly report of number of voter registration forms received from county job and family services offices. Retain one (1) year, then may CBE-85 Returned Undeliverable Notices - Notices sent to electors that are returned as undeliverable (i.e. change of precinct, polling location or voting district, notice of cancellation of voter registration following receipt of notification of the death of a registered elector). Retain four (4) years, then may. 2012, revised CBE-86 Authority to Vote Slips - Form given to elector at polling place indicating permission to cast a ballot. Retain sixty (60) days after election, then may provided no court action or court order CBE-87 Post-Election Audit Reports - The original audit workbook verifying that the county board of elections has conducted an audit of the election process. To be completed after each even-numbered year general election and after presidential primary elections verifying the accuracy of the election process. Retain for four (4) years, then may. 2013, revised CBE-88 Ethics Forms - Forms required to be completed by board of elections staff verifying that they have been trained on and will comply with the Secretary of State's ethics policy and Ohio ethics law. Original signed forms will be provided to the 's Office for board of elections permanent employees. Original signed forms will be retained for board of elections precinct election workers, rovers and/or any temporary persons employed to assist with the election. Retain one (1) year, then may CBE-90 Attorney-in-Fact Forms - An elector may designate another individual as an Attorney-in- Fact to complete election related documents. (R.C ; R.C ) Retain until revoked or elector no longer registered in county. 2013, revised CBE-91 Elected Official and Appointment Certification Forms - Forms to report certifications of persons elected to office; report appointments to fill vacancies in nomination on the ballot; and/or report political affiliation of previous office holder certified by the board of elections director. Retain six (6) years, then may CBE-92 Division of Liquor Control Rquests - Copies of responses to the Division of Liquor Control regarding precinct boundaries or other local liquor option inquiries received from the Division of Liquor Control. Retain six (6) months, then may CBE-93 Precinct Election Officials Notices - Notices of acceptance, rejection, replacement or removal of precinct election officials. (R.C ) Retain one (1) year, then may CBE-94 Former Resident Presidential Ballot - Form required to be completed under chapter 3504 of the Ohio Revised Code, submitted to county board of elections requesting a presidential ballot. Copy sent to the Secretary of State. Retain for twenty-two (22) months after the federal election, then may provided no pending court action or order Chapter 1: 16: Introduction Resources

13 OHIO SECRETARY OF STATE RETENTION SCHEDULES SERIES NUMBER CBE-95 CBE-96 DESCRIPTION OF RECORD Authorization for Elector to Update Signature - Allows an elector to update his or her voter signature with the county board of elections per R.C (AA). Certifications of District Candidates - Certification by the board of the most populous county in a district to overlap counties in that district, of the names of the candidates to appear on the primary or general election ballot for district offices. (R.C ; R.C ) RETENTION PERIOD Retain until signature updated or person no longer registered in county, then may. Retain six (6) months, then may. ORIGIN DATE NOTES AUTHORIZATION # CBE-97 Election Hardware Inventory - Listing of election hardware (servers) providing make, model type, quantity, date of installation and software/firmware version. Retain until no longer of administrative value, then may CBE-98 Election Day Precinct Incident Log - Log submitted by precinct election officials to county board of elections regarding incidents occurring at a precinct on Election Day. Retain sixty (60) days after an election or twenty-two (22) months after a federal election, then may provided no pending court action or order CBE-99 Declaration of Intent to Change Political Party - Declaration of intent to change political party filed by an elected official prior to their submission of declaration of candidacy and petition for partisan office. R.C (C). Retain for ten (10) years, then may CBE-100 Absentee Voter Challenge - Statement of person challenged as to party affiliation when requesting an absentee voter's ballot. Retain sixty (60) days after an election or twenty-two (22) months after a federal election, then may provided no pending court action or order CBE-101 Provisional Voter Precinct Verification - Form completed by a precinct election official when a voter's name does not appear in the poll book/list and the voter insists on voting in the wrong precinct of a multiple-precinct polling location. Retain for four (4) years, then may CBE-102 Correspondence for DOB - Letters sent by Board of Elections requesting a registered voter to provide their date of birth. Retain until no longer of administrative value, then may Upon the voter providing the date of birth and the board updating the voter's information in SWVRD there is no administrative, legal or fiscal value CBE-103 State and Territorial Exchange of Vital Events (STEVE) files - File containing county statewide voter registration database (SWVRD) records that have been matched with records of decedents for the purpose of cancelling the registrations of deceased voters. Retain two (2) years, then may The file consists of decedent identifying information obtained from STEVE that are potential matches to electors in the SWVRD. This information assists in maintaining accurate voter rolls by eliminating the names of voters who are deceased. The county boards of elections dowload the file from the Secretary of State's website and save it in their electronic files Chapter 16: Introduction : Resources

14 SERIES NUMBER DESCRIPTION OF RECORD OHIO SECRETARY OF STATE RETENTION SCHEDULES RETENTION PERIOD ORIGIN DATE NOTES AUTHORIZATION # CBE-104 Cancellation of Registration of Deceased Elector - Includes Notice of Death of Registered Voter (R.C (A)(3)) and Notice of Cancellation of Voter Registration (R.C (F)) following receipt of notification of death of a registered elector. (SOS prescribed forms 255-C and 255-D) Retain two (2) years, then may Ohio law allows a board of elections to cancel the registration of a registered elector upon appropriate notification of the elector's death. Prior to cancelling the elector's voter registration, a board of elections is required to send writted notification of cancellation to the elector's registration address CBE-105 Documentation of Campaign Finance Filings Examinations - Includes letters and audit Retain in office for six (6) years, checklists concerning examinations of then may. campaign finance filings filed with the board of elections Filings kept for six (6) years as required by statute CBE-106 CBE-107 Precinct Official Registration List - The complete and official registration list for each precinct of all qualified registered voters in the precinct that must be prepared fourteen (14) days before an election. Per R.C , this list (in paper or electronic form) is to be made available at the board of elections for viewing by the public during normal business hours. Backup Signature Pollbook - Printed, blank signature pollbooks that have been prepared as backup in case of problems with the electronic pollbook, but then not used during the election. Retain two (2) years, then may. Retain for 60 days or until no longer of administrative value, then may Per R.C CBE-108 Verification of UOCAVA Compliance - Copy of form to be completed by county board of elections verifying compliance with the Uniformed and Overseas Civilian Absentee Voting Act (UOCAVA) and submitted to the Ohio Secretary of State's office. Retain for two (2) years, then may Chapter 1: 16: Introduction Resources

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32 Ethics Policy Compliance with Ohio Ethics Laws Ohio ethics laws are enumerated in Ohio Revised Code Chapters 102 and 2921 as well as in the Ohio Ethics Commission s advisory opinions and in case law. All members and employees of the Ohio boards of elections shall familiarize themselves with Ohio ethics laws and comply with Ohio ethics laws at all times. A. Overview of the Ohio ethics laws: Public officials in Ohio are subject to the Ohio ethics law. The intent of the ethics law is to prevent public officials from using their public positions to make or influence decisions that directly affect their personal interests. The Ohio Ethics Commission is tasked with investigating alleged violations of the Ohio ethics law. For additional information concerning the Ohio ethics law, visit the Ohio Ethics Commission s website: B. Ohio ethics law provisions applicable to members and employees of the board of elections. 1. Under Ohio ethics laws, a member or employee of the board of elections may not take any part in the decision to hire his or her family member 1 as a board employee. Board of elections members may hire/appoint precinct election officials who are family members of an individual board member, the director, or the deputy director, as long as the individual board member, director, deputy director, or board employee does not participate in the decision to hire his/her own family member or in any decision specifically concerning the terms and conditions of his/her own family member s employment/appointment. 2. All members and employees of the boards of elections shall comply with the provisions of Ohio law that limit their political activity: a. Under R.C , no member, director, deputy director, or employee of a board of elections shall be a candidate for elective office while employed the board of elections, except for candidates for election as delegate or alternate to a political party convention, presidential elector, member of a political party committee, or board of directors of a county agricultural society. 1 For the purpose of this ethics policy, family member includes spouse, domestic partner, mother, father, stepmother, step-father, mother-in-law, father-in-law, brother, sister, step-brother, step-sister, half brother, half sister, brother-in-law, sister-in-law, grandmother, grandfather, aunt, uncle, child, step-child, son-in-law, daughter-in-law, or other family member living in the same household. Chapter 1: 16: Introduction Resources

33 b. R.C (D)(1) prohibits all public employees from soliciting contributions from anyone while the public employee is performing his or her duties or is in the areas of a public building where official business is transacted or conducted. c. R.C (D)(2) prohibits anyone from soliciting contributions from any public employee while the public employee is performing his or her duties or is in the areas of a public building where official business is transacted or conducted. 3. Members and employees 2 of the boards of elections shall not engage in the following political activities: a. Serving as caucus coordinator for any presidential candidate at a congressional district caucus to select delegates and alternates to a political party convention. b. Circulating a petition for any candidate (other than their own petition for an elected or political party office), issue, initiative, referendum, or constitutional amendment, when that employee s regular or intermittent duties involve the processing of the petitions in question, including but not limited to the determination of the sufficiency and validity of the petition in question. c. Wearing or distributing shirts, buttons, stickers, or other campaign paraphernalia for or against any candidate or issue at the office of the Secretary of State, at the office of the board of elections, or at any polling place. d. Engaging in any political activity while on state time or board of elections time. e. Any board of elections member or employee seeking elected office, other than the offices listed in R.C , shall resign his or her position with the board of elections upon the certification of his or her candidacy by a board of elections or the Secretary of State. f. Board of elections members and employees shall not serve as campaign treasurer, paid campaign staff, paid consultant, or any other paid campaign capacity for any candidate, issue, initiative, or referendum in the county or within the jurisdiction of the board of elections while serving as a board member or employee of the board of elections. g. Members and employees of the boards of elections, may be members of political parties, hold political party offices, serve as a member of political party committees and caucuses, serve as delegate or alternate to a political 2 For the purposes of section B(3) of this policy, employees of the boards of elections do not include precinct election officials, rovers, scouts, or other similar, temporary election workers. For specific restrictions on precinct election officials and other similar, temporary board of election employees, see section C below. 2 Chapter 1: 16: Introduction Resources

34 party convention, serve as a presidential elector, contribute to candidate and issue campaign committees, sign candidate and issue petitions (as an elector), and engage in other political activities when not performing their official duties, not in public buildings or polling places, and not on state or board of elections time, as long as the political activities do not violate this ethics policy, Ohio law, or federal law. h. No service or benefit may be provided by a member or employee of a board of elections while performing his or her official duties to any political party, candidate, or issue group unless the same service or benefit is available on the same terms to all political parties, candidates, and issue groups. i. Employees of the board of elections (other than the director and deputy director) may circulate petitions for candidates, issues, initiatives, and referenda only if they do not participate in any way in reviewing or determining the sufficiency or validity of those petitions filed with or reviewed by the board of elections. 4. Members and employees of the boards of elections should avoid actions and associations that create an appearance of impropriety, that undermine public confidence in Ohio elections officials, or that interfere with the performance of duties by Ohio elections officials. a. Members and employees of the boards of elections shall not participate in the consideration of any matter involving family members, 3 business associates, 4 or other individuals or entities with whom they have a close association. For example, a member of a board of elections shall not participate in the consideration of any matter related to the certification of the candidacy of his or her family member or business associate. b. Members or employees of the board of elections shall not participate in the consideration of any matter in which they have a personal or economic interest. For example, no employee of a board of elections may review the petition of a committee seeking a referendum repealing a zoning ordinance affecting his or her real property or that of a family member or business associate. c. Members and employees of the boards of elections are hereby advised not to write letters to the editor of a newspaper or post comments on an internet blog in favor of or against any candidate or issue, identifying his or her position as an Ohio elections official. 3 See footnote 1, above for the definition of family member. 4 For the purpose of this ethics policy, business associate means any person with whom the election official is pursuing an ongoing business enterprise. See Ohio Ethics Commission Advisory Opinion No Examples include, but are not limited to, the election official s employer, employee, and business partner. 3 Chapter 1: 16: Introduction Resources

35 d. Members of the board of elections who sign candidate and issue petitions as an elector should not participate in any way in reviewing or determining the sufficiency or validity of those petitions filed with or reviewed by the board of elections. 5. Training, Reporting, and Enforcement a. All current and future members and current and future employees of the boards of elections (including precinct election officials, rovers, scouts, and other similar, temporary election employees appointed by the boards of elections) shall sign a statement indicating their knowledge of and familiarity with Ohio ethics laws and the Secretary of State s ethics policy. For board of elections members and employees, a copy of the completed form shall be forwarded to the Secretary of State s Elections Division. For precinct election officials (including rovers, scouts, and other similar, temporary election employees) the completed form shall be kept at the board of elections. b. All members and employees of the boards of elections shall participate in any training offered by the Secretary of State regarding ethics that is developed by the legal services, elections, and human resources divisions of the Secretary of State s office in coordination with other state ethics agencies. c. Questions about this ethics policy may be addressed to the board s legal counsel, the county prosecuting attorney, the elections attorney assigned to your county, or the Ohio Ethics Commission: or d. Violations of this policy may be reported to the director of elections in the Secretary of State s office, your regional liaison, or the elections attorney assigned to your county. Reports also may be made anonymously by mailing a written statement in a sealed envelope to the Secretary of State s office to the attention of the director of elections. e. Violations of this ethics policy may result in disciplinary action in accordance with the Secretary of State s statutory authority under Title 35 of the Ohio Revised Code, including removal of a board member or board employee. C. Ohio ethics law provisions applicable to precinct election officials (including rovers, scouts, or other similar, temporary election workers). 1. R.C prohibits precinct election officials from serving in any precinct where the precinct election official is a candidate on the ballot, except for unopposed candidates for a political party county central committee. 2. Precinct election officials may not serve in any precinct in which a family member or business associate is a candidate for elected office, unless the candidate is unopposed, including no declared write-in candidates for the office. 4 Chapter 1: 16: Introduction Resources

36 3. Precinct election officials shall not wear or distribute shirts, buttons, stickers, or other campaign paraphernalia for or against any candidate or issue at the office of the Secretary of State, at the office of the board of elections, or at any polling place. 4. Precinct election officials shall not engage in any political activity while on board of elections time. 5. Precinct election officials should avoid actions and associations that create an appearance of impropriety, that undermine public confidence in Ohio elections officials, or that interfere with the performance of duties by Ohio elections officials. 6. Violations of this policy may be reported to the director or deputy director of the board of elections. Reports also may be made anonymously by mailing a written statement in a sealed envelope to the board of elections to the attention of the director or deputy director. 7. Violations of this ethics policy may result in dismissal from service and no opportunities for further service as a precinct election official. Violations of Ohio ethics laws may be reported to the Ohio Ethics Commission: or Violations of Ohio ethics laws may be a criminal offense and may result in criminal sanctions. 5 Chapter 1: 16: Introduction Resources

37 FILLING VACANCIES IN ELECTIVE OFFICES Updated June 2017 STATE OFFICIALS Governor In case of a vacancy in the office of governor, the Lieutenant Governor succeeds to the office of Governor. The line of succession to the office of governor proceeds from the Lieutenant Governor to the President of the Senate and then to the Speaker of the House of Representatives. Ohio Constitution, Art. III, 15(A); Art. XVII, 2 Lieutenant Governor Whenever there is a vacancy in the office of the lieutenant governor, the governor shall nominate a lieutenant governor, who shall take office upon confirmation by vote of a majority of the members elected to each house of the General Assembly. Offices of both the governor and lieutenant governor vacant election for remainder of unexpired term(even-numbered years): If the offices of both the governor and lieutenant governor become vacant during the first 20 months of a term, an election for the remainder of the unexpired term will be held at the next general election in an evennumbered year to elect a new governor-lieutenant governor team. Attorney General Auditor of State Secretary of State Treasurer of State A vacancy that occurs in any of these state executive offices shall be filled by appointment by the governor. Election for remainder of unexpired term (even-numbered years): If a vacancy occurs more than 40 days before the next general election in an even-numbered year, a successor shall be chosen at that election to fill the unexpired term, provided the term does not expire within one year from the day of the election. OHIO GENERAL ASSEMBLY Member, Ohio Senator Member, Ohio House of Representatives A vacancy in the Senate or in the House of Representatives for any cause shall be filled by election by the members of the Senate or the members of the House, as the case may be, who are affiliated with the same political party as the person last elected by the electors to the seat which has become vacant. The appointee serves until a successor is elected and qualified or, if no election for the unexpired term is held, through the end of the term. Ohio Constitution, Art. III, 17a; Art. XVII, 2 Ohio Constitution Art. III, 17 Ohio Constitution, Art. III, 18 Art. XVII, 2 Ohio Constitution, Art. II, 11 Chapter 1: 16: Introduction Resources

38 Election for remainder of unexpired State Senate term (even-numbered years): A vacancy occurring before or during the 20 months of a Senatorial term shall be filled temporarily by election by the eligible members of the Senate. An election for the remainder of the unexpired term shall be held at the next general election in an even-numbered year and the member-elect shall take office on January 1 following such election. Election for remainder of unexpired State Representative term: None. UNITED STATES CONGRESS U. S. Senate A vacancy in the office of U.S Senator shall be filled by appointment by the governor. At the next regular state election held more than 180 days after the vacancy occurs, a special election to fill the vacancy shall be held, provided, that when the unexpired term ends within one year immediately following the date of such regular state election, an election to fill the unexpired term shall not be held, and the appointment shall be for the unexpired term. The newly elected U.S. Senator term begins on December 15. U.S. Constitution, Art. I, 2 and 3, Am. XVII; R.C U.S. House of Representative When a vacancy in the office of representative to congress occurs, the governor shall issue a writ of election directing that a special election be held to fill such vacancy in the territory entitled to fill it on a day specified in the writ. Such writ shall be directed to the board of elections within such territory. The board shall give notice of the time and places of holding such election as provided in R.C The election shall be conducted as in case of a regular state election. U.S. Constitution, Art. I, 2 and 3, Am. XVII; R.C JUDICIAL OFFICIALS Ohio Supreme Court (Statewide) Court of Appeals (District) Court of Common Pleas (County) The governor fills the vacancy by appointment and gives notice of such appointment to the Secretary of State. Election for remainder of unexpired term (even-numbered years): If a vacancy occurs more than 40 days before the next general election in an even-numbered year, a successor shall be chosen at that election to fill the unexpired term, provided the term does not expire within one year from the day of the election. Ohio Constitution, Art. IV, 13 R.C County Court Judge (NOT the same as a Judge of County Court of Common Pleas) The governor fills the vacancy by appointment and gives notice of such appointment to the Secretary of State. Election for remainder of unexpired term (even-numbered years): Ohio Constitution, Article IV, 13 R.C R.C Chapter 1: 16: Introduction Resources