Cal. Code Regs. Tit. 2, § 20122 - Audit Procedures for Two-Phase Audit

(a) An elections official conducting a two phase audit under subdivision (d) of section 20117 shall do so in accordance with this section.

(b) In the first phase of the audit, the elections official shall enter the following information into the RLA software tool:

(1) The initial ballot manifest for all ballot card(s) tabulated as described in subdivision (d) of section 20117;

(2) The results for all ballot card(s) tabulated that are included in the initial ballot manifest;

(3) For ballot-level comparison audits, the cast vote records for all ballot card(s) tabulated that are included in the initial ballot manifest;

(4) For batch comparison audits, vote totals from each contest being audited for each batch;

(5) For hybrid audits, all vote subtotals or cast vote records that were exported pursuant to paragraph (2) of subdivision (j) of Section 20111; and

(6) The maximum number of ballot cards that remain to be tabulated.

(c) If the RLA software tool identifies any inconsistencies in the information entered under subdivision (b), the elections official shall, if possible, resolve the inconsistencies before the audit proceeds and report the inconsistencies and their cause(s) in the final audit report in section 20125.

(d) After the data have been submitted under subdivisions (b) and (c), the elections official shall generate the first random seed pursuant to section 20120.

(e) The elections official shall enter the first random seed into the RLA software tool. The RLA software tool will randomly generate a list of particular ballot card(s) or batches of ballot card(s) from the ballot manifest to examine manually.

(f) In the second phase of the audit, the elections official shall enter the following information into the RLA software tool:

(1) The final ballot manifest for all ballot card(s) tabulated as described in subdivision (d) of section 20117;

(2) The results for all ballot card(s) tabulated that are included in the final ballot manifest;

(3) For ballot level comparison audits, the cast vote records for all ballot card(s) tabulated;

(4) For batch comparison audits, vote totals from each contest being audited for each batch; and

(5) For hybrid audits, all vote subtotals or cast vote records that were exported pursuant to paragraph (2) of subdivision (j) of Section 20111.

(g) If the RLA software tool identifies any inconsistencies in the information entered under subdivision (f), the elections official shall, if possible, resolve the inconsistencies before the audit proceeds and report the inconsistencies and their cause(s) in the final audit report in section 20125.

(h) After the data have been submitted under subdivisions (f) and (g), the elections official shall generate the second random seed pursuant to section 20120.

(i) The elections official shall enter the second random seed into the RLA software tool. The RLA software tool will identify whether further auditing is required to meet the risk limit. If further auditing is required, the RLA software tool will randomly select additional particular ballot card(s) from the final ballot manifest to be examined manually.

(j) The elections official may at any point decide to conduct a full manual tally of any contest(s) whose outcomes have not yet been confirmed by the RLA. In the event that the elections official conducts a full manual tally, the RLA of that contest shall be suspended. Such a manual tally shall follow the procedure specified in Elections Code section 15290.

Notes

Cal. Code Regs. Tit. 2, § 20122

1. New section filed 3-5-2020; operative 3-5-2020 pursuant to Government Code section 11343.4(b)(3) (Register 2020, No. 10).
2. Governor Newsom issued Executive Order N-34-20 (2019 CA EO 34-20), dated March 20, 2020, which extended certain deadlines relating to the presidential primary and special general elections, due to the COVID-19 pandemic.
3. Amendment of subsections (d)-(e), repealer of subsection (h) and subsection relettering filed 9-10-2020 as an emergency; operative 9-10-2020. Emergency expiration extended 60 days (Executive Order N-40-20) plus an additional 60 days (Executive Order N-66-20) (Register 2020, No. 37). A Certificate of Compliance must be transmitted to OAL by 7-9-2021 or emergency language will be repealed by operation of law on the following day.
4. Amendment of subsections (d)-(e), repealer of subsection (h) and subsection relettering refiled 7-26-2021 as an emergency; operative 7-26-2021 (Register 2021, No. 31). A Certificate of Compliance must be transmitted to OAL by 10-25-2021 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 7-26-2021 order, including amendment of section and NOTE, transmitted to OAL 10-25-2021 and filed 12-9-2021; amendments effective 12-9-2021 pursuant to Government Code section 11343.4(b)(3) (Register 2021, No. 50).

Note: Authority cited: Section 12172.5, Government Code; and Section 15367, Elections Code. Reference: Sections 15290 and 15367, Elections Code.

1. New section filed 3-5-2020; operative 3/5/2020 pursuant to Government Code section 11343.4(b)(3) (Register 2020, No. 10).
2. Governor Newsom issued Executive Order N-34-20 (2019 CA EO 34-20), dated March 20, 2020, which extended certain deadlines relating to the presidential primary and special general elections, due to the COVID-19 pandemic.
3. Amendment of subsections (d)-(e), repealer of subsection (h) and subsection relettering filed 9-10-2020 as an emergency; operative 9/10/2020. Emergency expiration extended 60 days (Executive Order N-40-20) plus an additional 60 days (Executive Order N-66-20) (Register 2020, No. 37). A Certificate of Compliance must be transmitted to OAL by 7-9-2021 or emergency language will be repealed by operation of law on the following day.
4. Amendment of subsections (d)-(e), repealer of subsection (h) and subsection relettering refiled 7-26-2021 as an emergency; operative 7/26/2021 (Register 2021, No. 31). A Certificate of Compliance must be transmitted to OAL by 10-25-2021 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 7-26-2021 order, including amendment of section and Note, transmitted to OAL 10-25-2021 and filed 12-9-2021; amendments effective 12/9/2021 pursuant to Government Code section 11343.4(b)(3) (Register 2021, No. 50).