VOTING BY MAIL. The International IDEA Technical Paper Series for Election Administrators. No. 1/99

Transcription

1 VOTING BY MAIL The International IDEA Technical Paper Series for Election Administrators No. 1/99

2 Voting by Mail The International IDEA Technical Paper Series for Election Administrators No 1/99. This is an International IDEA publication. International Idea publications are not a reflection of any specific national or political interest. Views expressed in this publication do not necessarily represent the views of International IDEA, its Board or its Council members. Copyright International Institute for Democracy and Electoral Assistance (International IDEA) All rights reserved. No part of this paper may be reprinted, translated, reproduced or used in any format without prior permission from International IDEA. Applications for permission should be made to: Information Services, International IDEA, S Stockholm, Sweden International IDEA encourages dissemination of its work and will promptly respond to requests. Prepared by the Australian Electoral Commission under the guidance of International IDEA. ISSN: The International IDEA Technical Paper Series for Election Administrators 1/99 ISBN:

3 Contents Introduction: Voting by Mail PART ONE What is voting by mail? Elements of voting by mail Pre-requisites for large voting by mail exercises Reasons for examining voting by mail Why Australia was chosen as the main case study Why Voting by Mail? Main advantages of voting by mail the cost the turnout time to consider one s vote prevention of possible electoral fraud possible political reasons Sizes of electorates appropriate for voting by mail Types of ballots appropriate for voting by mail Operational Features of Voting by Mail The Planning the timetable the public information campaign the roll of electors the nominations special voting supplies and infrastructure The voting material the ballot paper the voting envelopes returned undelivered voting material replacement voting material The mail-out and return International IDEA i

4 the flow of voting material going out the flow of voting material returning The count voting system chosen verification of voting material formal and informal voting announcement of the results 4 Advantages and Disadvantages of Voting by Mail The turnout The cost The impact on voters and voting The impact on candidates and campaigns Security and integrity concerns The impact on the list of registered voters 5 Conclusions PART TWO Case Study: The 1997 Australian Election for the Constitutional Convention Elections in Australia (in general) the Australian federal electoral administration State and Territory electoral administrations Background to the Constitutional Convention election the impetus for constitutional change the decision to hold a convention the passage of the legislation the Constitutional Convention itself The conduct of this election Review of the election the turnout the cost time to consider one s vote how-to-vote cards and party ticket lists the complexity of voting for candidates voluntary mail versus compulsory attendance ballots success overall Lessons learnt International IDEA ii

5 voting by mail need not be just a complementary voting system necessity for a comprehensive voter list number of nominations planning for production and processing of voting material time for production of voting material Further information Other examples the United States of America history of voting by mail the State of Oregon New Zealand Appendix 1 Appendix 2 Timetable Australian Constitutional Convention election The conduct of the 1997 Australian Constitutional Convention election the size of this mail ballot the planning the public information campaign the national telephone enquiry service the mailing list replacement voting papers security of the vote mail-outs returned undelivered the flow of voting papers going out the flow of ballots returned special voting the ballot paper quota preferential above-the-line voting below-the-line voting formal and informal voting the count the outcome the costs of the election the voting the timing of the result the importance of an up-to-date mailing list the nominations enquiry and replacement services International IDEA iii

6 mass production and mailing in the tight timeframe legal challenges to the election International IDEA iv

7 INTRODUCTION: VOTING BY MAIL What is Voting by Mail? PART ONE 1. Democratic electoral systems use two main methods of voting. The first, and most common in elections for parliaments, is the attendance ballot (or polling place ballot). During an attendance ballot, voters present themselves at one of their local polling places; identify themselves to be checked against the list of registered voters; complete one or more ballot papers; and place them in a secure ballot container along with other completed ballot papers. After the time for polling has finished, the completed ballot papers are examined, sorted for each candidate and counted. The result of the poll is then declared. 2. Attendance ballot systems often have special types of voting to cater for voters who cannot attend one of their local polling places and for voters experiencing other difficulties. One of these special types of voting is usually an option to vote by mail in some circumstances. Voting by mail may be offered to voters travelling away from their local area and to voters prevented by other reasons (for example sickness or disability) from attending an appropriate polling place. 3. Voting by mail is the second main method of voting and is normally used as the voting method for polls where there are few eligible voters scattered throughout the general population, such as ballots of professional associations, trade unions, shareholders in corporations, and so on. In some countries, voting by mail has also become an accepted option to replace attendance ballots for other polls. Some examples are elections for community organisations (such as education boards), elections for local government bodies and ballots on proposed laws affecting local regions. 4. Voting by mail ballots involve the posting of ballot material to all registered voters, who then complete the ballot papers and post or deliver them back again by a set date. Following the return of the ballot papers, outer envelopes (or tear-off declaration flaps) are checked to ensure that they are from appropriately registered voters. The anonymous inner envelopes, still containing the ballot papers, are placed in secure storage until it is time to extract the ballot papers, examine them, sort them for each candidate and count them. When the count is completed, the poll is declared. Elements of Voting by Mail 5. The elements required for a large voting by mail exercise are: Timetable Information campaign The timetable must be planned to cater for all the steps in the production, printing and dispatch of voting material in time for the voters to consider the ballot paper, vote and return it before the close of the poll. In particular, the timetable needs to be planned so that there is time to resolve problems which will occur during production and dispatch. With voting by mail, it is very important that the public information campaign is designed to be attractive, informative and simple so that voters understand the process. An integrated enquiry service with International IDEA 1

8 telephone call centres and the Internet must be planned with sufficient capacity to service the volume of clients. Roll of electors Special category voters Infrastructure Voting material Effective voting by mail requires a comprehensive and up-to-date roll of electors. Otherwise, too many voters don t receive their material and may not obtain duplicates in time to vote. A comprehensive voting by mail system contains facilities to assist voters temporarily away from home (through the issue of duplicate voting material), overseas (through Embassies) and voters in remote localities where normal mail facilities do not exist (for example, voters on a posting in Antarctica) An extensive paper manufacturing capacity for the production of stationery and envelopes, and a technical capacity for the personalising, mail-out and return-handling of large quantities of mail, are needed. Because voters cannot obtain assistance from polling officials or party workers, the package of voting material needs to be very clearly laid out with easy-to-follow instructions Pre-requisites for Large Voting by Mail Exercises 6. In summary, voting by mail is mostly used as a complement to attendance ballots for special category voters, and for some limited-scope polls particularly suitable for voting by mail. In recent years, voting by mail has also been used to replace attendance ballots for very large statewide or even national polls. 7. There are basic criteria which must be met before an electoral administration can successfully conduct a major vote by mail. There must be clear identification of electors entitled to vote. There must also be a method of verifying that returned voting material is from one of those people entitled to vote, and who has not already voted in the election. (There are several possibilities - personal identification numbers, dates of birth and signatures, barcodes containing personal information which can be checked against the information supplied by the voter, and so on.) 8. The electoral administration must also be able to rely on an external infrastructure to provide an efficient postal service which will reach the vast majority of electors in good time. It must be able to make special arrangements for areas which the postal service cannot reach. In addition, large vote by mail exercises require an extensive capacity for paper and envelope production, and document printing, addressing and packaging. Without these capacities, many months may be taken up with ordering and obtaining these services in other countries. Even with these capacities available, several months may be required between the orders being placed and the services being finally provided, simply because of the size of the project. Reasons for Examining Voting by Mail 9. In recent years the uses of voting by mail have been expanding, with some electoral administrations using voting by mail for larger scale polls and also for elections of International IDEA 2

9 parliamentarians. This paper may help to show that voting by mail is an alternative to an attendance ballot. It may have some advantages over the attendance ballot, including cost. Why Australia was Chosen as the Main Case Study 10. In 1997, Australia held a vote by mail poll of almost 12 million voters to elect delegates to its Constitutional Convention. This is the largest known voting by mail ballot conducted so far covering all electors eligible to vote for parliament. Most of the Australian population (totalling 18 million) lives in or near cities on the East coast, with the remainder thinly distributed across a country close to the size of mainland United States of America (discounting Alaska). The countryside ranges from monsoon areas in the north, mainly through expanses of desert and semi-arid grazing land, to alpine country in the south, including small areas of rich pasture and coastal plain on the way. The population comes from an immense variety of ethnic backgrounds and many different languages are spoken in the homes of Australia. There is an indigenous population living partly in remote areas and requiring special programs to encourage its participation in the democratic process. 11. National ballots in Australia have always been held as attendance ballots and voting is compulsory in parliamentary elections. The election for the Constitutional Convention was not compulsory and was for members who would sit for only two weeks. The government adopted voting by mail for this one-off election, mainly as a cost-cutting measure. Australia has a wide range of geographical and social conditions, so that there are likely to be parallels with conditions in many other countries. Australia s experience may, therefore, provide useful information for other electoral administrations considering holding major vote by mail ballots. WHY VOTING BY MAIL? Main Advantages of Voting by Mail 12. The main advantages of voting by mail over attendance ballots can be overall cost savings, an improved turnout (with voluntary voting systems), better service for voters in remote regions, and more time for voters to consider and discuss their ballot papers before completing them. The cost 13. The major cost in attendance ballots is the recruitment, training and administration of thousands of polling officials. In addition, the hire of premises to be used as polling places may also give rise to substantial costs. Voting by mail also has significant costs, particularly in stationary, printing and postage. Voting by mail, however, seems to offer a reduction in cost over attendance ballots. If there happens to be an unexpectedly low voter turnout, the costs in voting by mail will be further reduced in proportion to the smaller return mail costs not that any electoral administration wishes a smaller turnout, of course. The costs of an attendance ballot remain much the same regardless of a smaller than expected voter turnout. The turnout 14. There are several examples of administrations that have changed from attendance ballots to voting by mail and have seen a marked increase in voter turnout (in voluntary voting systems). We assume that the convenience of having perhaps a week or two from the International IDEA 3

10 receipt of the ballot papers until they must be returned makes it more convenient for voters than the necessity of attending their local polling place on a particular day for an attendance ballot. Many different items, of course, can influence the turnout. The intensity of the public campaign, the popularity of the candidates, the impact of the differences in policies, the skill of the campaign managers, and other matters can affect the turnout in a poll whether it is an attendance ballot or a vote by mail. With voting by mail, the return rate can be further increased with clear voter instructions, simple easily completed ballot papers, and prepaid return envelopes. While it seems that voting by mail will generally increase voter turnout, we may need more experience before we can confidently predict that. Time to consider one s vote 15. During an attendance ballot, the voters are expected to have considered the candidates and made their choice by the time they receive the ballot paper. This, in practice, may mean that some voters are trying to make their choices in the polling compartment while voting. Voting by mail can offer the advantage that voters have the ballot paper in front of them while discussing their choice with family and friends, reading articles in the newspapers or viewing publicity on television. The argument is made that voting by mail may lead to a more comfortable and more informed ballot than an attendance ballot. Prevention of possible electoral fraud 16. Some electoral administrations require proof of identity at an attendance ballot before the voting paper is issued to the voter. Other administrations accept the identity of the voter as stated and verify later that the same voter has not claimed more than one vote. There are occasional voices raised suggesting that attendance voting is too easy and that there could be campaigns of fraudulent voting (for example, cemetery voting 1 ) affecting the result of elections. Proponents of voting by mail claim that it is an effective means of getting the ballot paper into the hands of the registered voter and limiting the possibility of any other person claiming a fraudulent vote under the wrong name at an attendance ballot. There is the contrary argument that the electoral administration never knows who has actually completed a vote by mail ballot. It is claimed that material could be mistaken for junk mail and thrown out to be multiply-voted by an unscrupulous collector. It is possible, however, to bar-code the voter s personal information onto the ballot paper declaration envelope and ask for that information to also be completed by the voter. When the declaration envelope is returned, a bar-code reader can be used to bring the voter s enrolment record up on a computer screen. That information can then be compared with what the voter entered on the declaration envelope. Possible political reasons 17. Attendance ballots can be as simple as voters collecting a ballot paper, ticking a box next to the symbol or photograph of their choice, and placing the ballot paper in the secure container. At the same time, there will be polling officials present and political party workers usually available to give the voters guidance. Voting by mail is a slightly more complicated procedure, with voters completing their votes at home, perhaps with family or friends. With voting by mail, the voter will receive written instructions for the completion and return of the ballot paper. Those written instructions may be easier for the more literate voters to understand than for the less literate. In some countries, a political party could see a possible advantage in choosing either the attendance ballot or voting by mail. International IDEA 4

11 Sizes of Electorates Appropriate for Voting by Mail 18. Prior to 1995, mail ballots reported in the United States seemed to involve fewer than two hundred thousand voters. Since then, at least the State of Oregon has conducted mail ballots of its almost two million registered voters with a turnout as high as 70% in the November 1996 election. This result, combined with the New Zealand experience of a 1997 referendum of 2½ million voters (with an 80% turnout) indicates that, with appropriate planning, a much bigger successful mail vote is possible than had previously been thought. 19. The Australian experience of a 1997 election mailed out to 12 million voters in a tight timeframe indicates that quite large elections can be successfully conducted with voting by mail systems. These recent experiences suggest that the size of the election need not be a factor in determining whether an attendance ballot or voting by mail is the more appropriate system. However, certain conditions must be met to achieve success when voting by mail, for example: an accurate and up to date roll of electors; an efficient postal system; a well developed manufacturing and printing capacity for fast production of material; an effective advertising campaign; a telephone enquiry service that can handle the expected number of enquiries; and up-to-date information available on the Internet, with an enquiry service. Types of Ballots Appropriate for Voting by Mail 20. The consensus in the small amount of published material easily available seems to be that voting by mail is appropriate for a referendum, or other proposal, or for the election of local bodies with no legislative power or very limited power. There has been less confidence that it is an appropriate form of ballot for elections for national or state legislatures. The State of Oregon (USA) has moved from conducting minor ballots by mail to successfully conducting a statewide vote by mail election to replace a Senator (1995 primary and 1996 election). Oregon has studied its increased use of voting by mail and its citizen commission has recommended conducting all its elections by mail ballot. OPERATIONAL FEATURES OF VOTING BY MAIL The Planning The timetable 21. The timetable for voting by mail is equally as important as it is in an attendance ballot. With attendance ballots, the electoral administration must be confident it can have lists of registered voters, ballot papers and ballot containers at the polling places on polling day. Elections in new democracies are sometimes criticised because there are problems in getting the essential material to the polling places by the time polling is to begin. 22. With a voting by mail system as the main balloting method, there is more printed material to be produced than in an attendance ballot. In addition, it must be produced and delivered at an earlier time, to allow the voters time to vote and return the ballot papers before International IDEA 5

12 the close of the poll. The extra material includes: mail-out envelopes, return envelopes and inner privacy envelopes (with a tear-off declaration flap, or outer envelope for the election authorities) for the ballot papers; information booklets on the voting system; and in many administrations, information statements by the candidates. 23. The coordination of the production, addressing and dispatch of this material is a critical element in the timetable. Sufficient time must be allowed for the resolution of problems during production and dispatch. 24. Other elements of the timetable include: the announcement of the ballot; the formal authorisation of the ballot (for example, the election writ); the close of electoral rolls for the purpose of the ballot; the close of nominations if the ballot is an election; the publication of candidates details for an election; the close for lodging registered party voting tickets (if applicable); the close for lodging candidates information statements (if applicable); the mail-out of voting material; the close of the poll; the preliminary scrutiny of return envelopes to ensure voters are eligible; the count of the ballot papers; and the declaration of the result. 25. The timetable for the New Zealand 1997 vote by mail ballot of approximately 2.5 million electors is set out below as a sample. This mail ballot achieved an 80% participation rate. The Timetable for the 1997 New Zealand Postal Ballot Compulsory Retirement Savings Scheme Referendum 18 Aug 1997 Friday main roll close 04 Sept 1997 Thursday final roll close (for changed addresses) 05 Sept 1997 Friday mailout of voting packs commences 05 Sept 1997 Friday voting period commences 26 Sept 1997 Friday voting period finishes (7.00pm) 25 Sept 1997 Thursday last postmark - overseas return envelopes 26 Sept 1997 Friday last postmark - New Zealand return envelopes 26 Sept 1997 Friday preliminary results after 7.00pm International IDEA 6

13 30 Sept 1997 Tuesday last receipt of valid return envelopes noon 01 Oct 1997 Wednesday final result 26. The timetable for the 1997 Australian Constitutional Convention Election mail ballot is discussed in the main case study and set out in detail in Appendix 1. The public information campaign 27. With voting by mail, a comprehensive public information campaign is critical to the success of the ballot. In the case of attendance ballots, there are trained polling officials (usually with instruction booklets), and often party workers, available to advise voters. When voting by mail, voters must rely on printed information provided directly with voting material and on the advertising, the enquiry service and the other elements of the public information campaign. 28. The campaign should include both paid advertising and regular media releases to encourage media comment in addition to the paid advertising. In a hotly contested election, the candidates and parties will build up public awareness of the ballot through their campaigning. In lower profile ballots, the electoral administration needs to make greater efforts in its public information campaign, if the ballot is to be a success. An essential last line of defence must be a carefully planned telephone enquiry service. 29. Particular effort should be made to identify different ethnic language groups, which may benefit from material translated into appropriate languages. Similar efforts should be made to make special provision for disabled people. In mail ballots, vision impaired people might be at an increased disadvantage. 30. Other initiatives which might be taken are: media interviews by senior electoral officials; photo opportunities with prominent figures taking a step in the election process; publication of pamphlets and handbooks on particular topics, such as nominations, and for particular groups, such as political parties, candidates and scrutineers; and an up-to-date Internet site for information and results. 31. Careful planning needs to go into the telephone enquiry service. It can successfully respond to voters enquiries so long as it is a planned and integrated telephone service. A single telephone number for enquiries can be automatically directed to the electoral office closest to the caller. Overflows can go to neighbouring offices. Further overflows can go to a response centre equipped with multiple phones answered by well-supervised temporary employees. The administration needs to be able to monitor the waiting time or queuing time at the response centre and be able to swing in extra resources for short periods as needed, or increase the capacity of the response centre in a longer term manner if required. In parallel with the telephone enquiry service, a telephone translating service can be a great help to some voters. 32. In attendance ballots, voters rely extensively on being able to ask questions of the polling officials and party workers at each polling place. Where the whole ballot is conducted International IDEA 7

14 by mail, no such opportunity exists for the voter to seek face to face advice. In voting by mail ballots, the electoral administration must accept the responsibility for providing a carefully planned enquiry service that has sufficient capacity to respond to the voters needs. The roll of electors 33. An effective mail ballot requires a comprehensive list of registered voters, with upto-date addresses at which mail can reach them. At an attendance ballot, voters who have moved address can often still attend a polling place, identify themselves and enjoy their right to vote. In a mail vote, many of those voters will not receive their voting material and may not know enough detail about the ballot to inquire in time to obtain replacement voting papers. 34. In a voluntary attendance ballot, voters who do not want to vote simply do not attend. In a mail ballot, voters may complain if they are not offered the chance to vote because of out-of-date addresses on rolls of electors, whether the voters would actually have voted or not. The development and maintenance of comprehensive electoral rolls is an important condition for a successful mail ballot. 35. The roll of electors for an attendance ballot need only identify electors by name and address. The roll of electors for voting by mail must be in a format that can produce names and addresses of sufficient accuracy to ensure that the mail reaches the voter. It must also be able to be produced in labels for letters and envelopes, or directly printed onto letters and envelopes. The nominations 36. The nomination process in a vote by mail election is the same as in an attendance ballot. When a voter receives vote by mail material, advice and assistance from political parties is not so easily to hand as it is at a polling place. In some situations, mail ballots may be more effective if the rules make provision for candidates to provide information statements at the time of their nomination. Those information statements can then be mailed to voters along with other voting material. 37. The rules could also provide for how-to-vote cards to be registered and included with official voting material posted out. Use of both information statements and registered howto-vote cards could provide mail voters with reasonable access to the type of assistance provided by party workers outside polling places. Special voting Overseas voting 38. To cater for eligible voters who are working or holidaying overseas, voting facilities can be established in the country s embassies and consulates around the world. Each overseas mission can be sent ballot papers, each type of envelope and information booklets. The preparation and dispatch of the voting materials to each overseas post can be a huge logistical task, depending on the numbers of voters estimated to be in various parts of the world. This major effort may not be possible or appropriate for mail ballots covering a smaller number of electors in a regional ballot. Some arrangements should, nevertheless, be possible to assist voters away from home to notify a temporary address when an election is called, and to find International IDEA 8

15 appropriate offices other than the regional electoral administration where they could receive advice and assistance. 39. Electors voting overseas could have the choice of either voting at the embassy or consulate, or alternatively, requesting the embassy or consulate to send their voting materials to their overseas address exactly as would happen at home. Electoral administrations need to consider an appropriate close of polling for overseas voters returning their ballot papers through embassies and consulates. This close of polling may need to be earlier than for voters posting their ballot papers directly back to the electoral administration at home, to allow overseas missions to send material back by the close of polling at home. Remote locality voting 40. There may be voters at such remote localities that normal postal services are not available. In these cases, substitute voting procedures can be set up using facsimile machines. (See the paragraph on Antarctic voting in the case study on Australia.) Supplies and infrastructure 41. It seems that there is an essential technical capacity without which it would be difficult to conduct a satisfactory mail ballot on a large scale. The main essentials seem to be: a postal service which delivers to each household frequently so that voting material will reach the voters in good time; access to an envelope manufacturing industry and paper supplies which can cope with large volume and special requirements in a short time-frame; a printing and direct mail industry which can print the information material, security print and pack the voting material into individually addressed envelopes, sorted for postage; a high quality list of voters which can be produced in address label format on electronic medium useable by the direct mail industry; and a dispersed electoral administration which can manage the workload of the return of the ballot papers. 42. For example, all the planning in the world (for an election by a particular time) is of no avail if the electoral administration simply cannot buy the several million of each type of envelope needed, in time for the collation and posting out of the voting material. The Voting Material The ballot paper 43. The design of the ballot paper is dependent on the electoral system operating in each administration. Single member constituencies usually result in smaller, easily manageable numbers of nominations. Multi-member constituencies and proportional representation systems can result in quite large numbers of nominations and mean problems in designing a ballot paper which is easy to manage for the voter for the return mail and easy to handle during the count. International IDEA 9

16 44. With large numbers of candidates, initiatives such as party list voting or write-in ballots might have to be considered to keep the ballot paper to a size which will be easy for the voter to fold up and place in the envelope. Ballot papers should be pre-folded for the ballot paper envelope that the voter will have to use in return, not for the outer envelope in which they will be mailed out. This can avoid considerable trouble with torn envelopes and frustrated voters. 45. Other matters, such as security printing of ballot papers so that photocopies show an identifying mark, are the same as for attendance ballots. The voting envelopes 46. Voter confidence in the secrecy of the vote requires a three-envelope package of voting material. The smallest envelope is an anonymous envelope, perhaps printed BALLOT PAPER ENVELOPE, in which the voter seals the completed ballot paper. A tear-off flap can be imprinted with sufficient information to identify the voter, such as name, bar-code linked to list of voters, and space for signature and date of birth. This permits the electoral administration to conduct a satisfactory preliminary scrutiny (see verification of voting material later under the count ) while preserving the anonymity of the voter. While the same information can be printed directly on to the back of the return envelope, to do so would decrease the voter s privacy during handling of the mail. 47. The middle-sized envelope is the return envelope that will contain the ballot paper envelope. This envelope should be pre-printed with the return address of the electoral administration and should be post-paid. The largest envelope is the outer envelope used to mail all material to the voter. The size of this envelope is governed by the amount of material to be folded and sent to each voter. Returned undelivered voting material 48. Packages of voting material are sent to each voter s postal address. Where a package of voting material is returned to the electoral administration because it was not deliverable, or the postal address of the voter has changed, the package can be r ed to the voter s residential address if that is different from the postal address. When packages are returned as undeliverable from residential addresses, the name and address should be checked back to the latest enrolment advice from the voter (in case of data entry errors). If no resolution is possible, the packages can be put aside for later follow-up by the officers who maintain the electoral roll. Replacement voting material 49. Eligible voters who do not receive their voting packages, or lose or spoil their ballot papers, should be able to request that a replacement voting package be sent to the address of their choice. Voters who have not updated their enrolment address before the close of rolls will make the majority of requests for replacement packages, probably through the national telephone enquiry service. With suitable information such as a personal bar code included in the return material, perhaps on a tear-off flap attached to the ballot paper envelope, there need be no danger of voters having more than one ballot paper admitted to the count. The Mail-out and Return International IDEA 10

17 The flow of voting material going out 50. A large contract mailing house (or a few of them) may be needed to handle the folding and insertion of all the material going out. This may also include the individualised printing on return and outer envelopes in the same process as the folding and inserting, as the coordination required with pre-printing could be very difficult. Errors such as the voter details on the outer envelope being different from the voter details on the tear-off flap on the ballot paper envelope must be avoided. Computer equipment in large mailing houses should also be set up to take maximum advantage of postal discounts for pre-sorted mail. 51. The timing of the production of the voting packages is critical, with envelope manufacturers and mailing houses needing to be synchronised with the postal authority. Any small delays at the beginning of the process (for example, in production) could result in delays in mailing that would make the election timetable impossible to maintain. 52. The delivery of voting packages to voters living in isolated communities with poor mail services should be scheduled earlier than the normal mail-out, as a longer time will be required in these areas for delivery and return. The flow of voting material returning 53. The electoral administration needs to plan how to handle the flow of voter material coming in, so that the scrutinies can proceed without undue delay. Delays in the finalisation of the count of ballot papers and the declaration of the result of the ballot can lead immediately to suspicions being voiced about the conduct of the ballot. Sufficient workers need to be employed, probably in a dispersed network, to ensure that preliminary scrutinies (verification of voter identification) are carried out as soon as possible. The pre-printed addresses on the return envelopes need to be planned so that the workload is shared around the dispersed network of electoral officials. 54. The postal authority may be able to speed up return mail by allocating special temporary sorting centre codes to major electoral administration offices. The electoral administration office then receives its own mail from major mail sorting centres at the same time that mail is received for local sorting in local post offices. 55. Experience indicates that the return of material builds up to a peak about the second week after the voting materials are posted out. After that there tends to be a steady decline in the return rate until the close of the poll, when there might again be a smaller peak. The return rate of voting material will, of course, vary with the intensity of the campaign and media interest, the amount of advertising by parties and also by the electoral administration in the campaign, and the history of voter participation in the electorate. The Count Voting system chosen 56. The issue of the choice of a suitable voting system, while critical, is beyond the scope of this paper. Interested readers should refer to International IDEA s Handbook of Electoral System Design. International IDEA 11

18 57. When considering whether the voting system used in polling place elections would easily transfer to voting by mail, the expected size of the ballot papers is one criterion to consider. There may be a practical limit to the size of ballot paper that can be conveniently handled in the mail and that voters can be expected to re-fold and post back again. Verification of voting material 58. Because voters do not need to attend and prove their identities in a mail ballot, additional measures to ensure the security of each elector s vote may be advisable. These measures are also needed to detect any attempted multiple voting. Identity check measures 59. To enable verification of the identity of a voter, ballot paper envelopes can have a tear-off flap pre-printed with the voter s name and address (and perhaps a unique numeric or bar-code to bring up the voter s enrolment details). Voters can be required to sign and write their date of birth on the tear-off declaration flap. At the preliminary scrutiny (to determine whether the vote is from a registered voter) a check can be made of the voter s details, for example that the date of birth is correct. If the bar-code is scanned, the computer system can immediately bring up the voter s full enrolment details. If the voter s date of birth was not correct, the returning officer could call for a copy of the voter s signature on the most recent claim for electoral enrolment and check the identity through the signature. Multiple voting check measures 60. Voters can be asked to declare on the ballot paper envelope that they have voted only once in the election. In addition, the process of scanning the voter s unique bar-code as the envelopes are received can detect any duplicate votes before they are admitted for further scrutiny. Appropriate instructions are needed so that returning officers can resolve the situation where both a voter s original vote and a duplicate vote are returned. Formal and informal voting 61. Voting by mail raises no particular problems with regard to formal and informal voting. The same criteria applying to attendance voting are applied to voting by mail. The instructions for completing a formal ballot paper need to be clearly written on the ballot paper, as they should be for attendance voting. Announcement of the results 62. The result of the ballot should be declared publicly in a ceremony, and through a media release. The Internet can be used to make the detailed count of the ballot papers, as well as the declaration of the result, available internationally and to the media. Usually, a formal declaration of the result of the ballot is made to the official who issued the instruction for the ballot to commence (the return of the writ). ADVANTAGES AND DISADVANTAGES OF VOTING BY MAIL The Turnout International IDEA 12

19 63. Many different matters affect the turnout for a ballot, such as public interest in the contest, the nature of the campaign waged by the protagonists, the profile given to the ballot on television and in the other media, and the recent history in the electorate leading up to the ballot. It is hard, therefore, to be sure of the exact extent of the effect of a change from an attendance ballot to a mail ballot. 64. Even so, indications in various ballots in the State of Oregon (USA) and local government ballots in the State of Tasmania (Australia) are that recent moves to voting by mail have resulted in an increased voter turnout for these voluntary ballots. The Cost 65. The major costs in an attendance ballot seem to be the recruitment, training and salaries of the polling officials. A vote by mail ballot saves most of these costs, but has a greatly increased postage and stationery cost. Nevertheless, it seems that mail ballots can be conducted at a significant reduction on the cost of an attendance ballot. In addition, where there is a lower than expected turnout at a mail ballot, the total cost of the return mail is reduced. At an attendance ballot, the polling places must be staffed for the expected turnout and there is little saving if there is an unexpectedly low turnout. The Impact on Voters and Voting 66. In voting by mail, voters are saved the problem of making the time to attend a polling place on polling day. With ballot papers posted to them, the voters can take their time in voting, reading media comment and discussing the ballot with family and friends while they have the ballot paper in front of them. This is claimed to be a significant advantage over receiving a ballot paper at a polling place and retiring immediately to a voting compartment to mark the ballot paper alone. 67. Other people have suggested that the assistance provided by polling officials at a polling place is valuable and is not available in mail ballots. One could also argue that the supervised and enforced secrecy of the vote in a polling place is not reflected in voting by mail. Away from the polling place, some people might not feel confident in asserting their wish to have a secret vote when their family or friends are completing ballot papers around the table together. 68. The Vote-by-Mail Citizen Commission in the State of Oregon (USA) in 1996 reported some claims that the public occasion of voting by the community, at a polling place, was a benefit for the community. The same sense of civic participation was missing in a mail ballot. The Commission, however, voted convincingly to recommend that major elections in Oregon should be held by mail ballot. The Impact on Candidates and Campaigns 69. Campaigning in either attendance ballots or mail ballots is much the same. Candidates and parties try to reach possible voters through television, radio and the print media. They use both paid advertisements, and news and commentary items as much as possible. In addition they doorknock, visit shopping centres and attend community occasions. 70. One difference is that with voting by mail, candidates and parties don t have the last minute opportunity to influence voters as they enter the polling place. As a corollary, they International IDEA 13

20 don t have the difficult job of finding enough committed volunteers to cover all polling places. The other main difference is in the timing of the campaigns. Oregon s Vote-by-Mail Citizen Commission reported that campaigns in mail ballots peaked around the time voting packages were posted out to voters and the high point of the campaign was maintained as much as possible during the voting period. Candidates reported increased advertising costs to maintain the peak of their campaigning over a longer period than just the last few days leading up to polling day for an attendance ballot. Security and Integrity Concerns 71. Two particular problems can be raised when voters experience voting by mail for the first time. The first is voter concern that votes will not be secret when they are returned through the post with material that identifies the voter. To allay this concern, it is important that the envelope that contains the ballot paper is completely anonymous, and that declarations identifying the voter are printed on either an outer envelope, or on a tear off slip. The method of admitting votes to the count needs to be publicised to reassure voters that the anonymous ballot paper envelopes are stored in bulk, without their tear-off slips, after the identity of the voter has been checked. When the ballot papers are finally extracted from the anonymous envelopes, there should be no way of connecting particular ballot papers with particular voters. 72. A further concern raised about the secrecy of voting by mail is that some voters, particularly elderly residents of retirement villages and nursing homes, may suffer undue influence from proprietors and/or staff who help the residents with daily life, including voting when that is required. Groups in the United States agitating against voting by mail, suggest the possibility of clergy holding voting nights. They suggest that the congregation might be encouraged to bring votes in to be marked all together, in a public witness of the high duty of voting, as part of the congregation s worship or prior to other group activities. The groups allege undue influence affecting members of the congregation not willing to insist on the secrecy of their vote. 73. Similar fears of influence are stated regarding the likelihood of one politically active family member dominating others into a group voting exercise which effectively destroys the secrecy of the vote in that household and may alter the way particular family members would vote if doing so in secret. Legislation can make such influence illegal and a public information program can publicise the importance of the secret ballot (electoral visitors to hospitals, nursing homes and retirement villages can operate beside a mail vote of the general population). 74. The second concern sometimes raised with voting by mail is whether the electoral administration can be sure that the voter to whom the ballot paper was sent has completed it. Could it be stolen by another person who does not have an entitlement to vote, or to gain a second vote. Some electoral administrations do not examine proof of identity at an attendance ballot either, and similar criticisms are occasionally made. A lot can be done to protect the voter s ballot paper so that no one else can successfully use it. Voters can be required to write their dates of birth on the tear-off declaration flaps and to sign them, to provide a high level of proof of identity. Replacement voting packages can be issued on request to replace missing material, so long as an effective system is put in place to ensure that the returning officer can find both lots of voting material if a second lot of voting papers appears to be returned from the same voter. International IDEA 14

21 75. Bar-codes and bar-code readers can both assist the checking of voter details and construct a computer record of batches of returned voting material (as well as the position of each individual s material in the batch). When the deadline for receipt of material has passed, any last minute second votes received can be resolved before all declaration flaps are removed and anonymous ballot paper envelopes are put together for bulk opening and extraction. 76. A mail vote automatically brings the postal workers in as an adjunct to the electoral administration. There are occasional accusations of postal worker interference with voting material going out to electors or being returned to the electoral administration. Appropriate security procedures need to be in place to ensure public confidence in the security of this part of the mail ballot process. The Impact on the List of Registered Voters 77. A mail ballot provides, in a brief time span, the opportunity to write to every person on the list of registered voters. The publicity generated by the political campaigns ensures the vast majority are aware of the event. In those electoral administrations that have compulsory voting, non-voters are followed up afterwards. In any case, the exercise generates corrections and updates from voters and returned undelivered mail to prompt roll-cleansing action. A secondary consequence of the mail vote is, therefore, a cleansing and updating of the electoral roll. International IDEA 15

22 CONCLUSIONS 78. Voting by mail is an option for the conduct of an entire national election, as was the case in the 1997 Constitutional Convention election in Australia. The attendance ballot, on the other hand, is the normal voting procedure used for most elections throughout the world. Many countries combine the use of both voting by mail and attendance ballots in the same election. In these cases, most voters use the attendance ballot to cast their vote, but those voters who are unable to attend a polling place (through sickness, travel or disability) are offered the option of voting by mail. Some countries (for example Sweden) offer voters a free choice between voting by mail or attending a polling place, whichever the voter chooses. In Sweden, the proportion of voters choosing to vote by mail has been steadily increasing each election. 79. The main pre-requisites for voting by mail are: a literate electorate (which can understand the mailed voting instructions); an infrastructure (postal service, stationery production facilities and mailhouse facilities) which can deliver the required service in good time; and an electoral roll which lists all voters at their current postal address. 80. The main advantages of voting by mail are a likely lower cost and convenience for the voters who can vote in their own homes. There is also some evidence of an increased turnout with voting by mail. Issues of concern are that: the voting material can be considered as junk mail and thrown away; the traditional community occasion of voting is abandoned; and election observers cannot observe the complete process from the issue of the ballot papers until the completion of the count (making the process more open to accusation of interference). 81. There is a higher likelihood of family voting or similar group voting, which can promote understanding through discussion, but which can also compromise the secrecy of each person s vote. 82. In order to implement a voting by mail ballot effectively, the election administration must plan carefully. The main elements are: planning the production of material and the timetable; informing the voters; registering the voters accurately; mailing out the voting material; and counting the ballot and declaring the result. 83. Each element differs slightly in time, materials and scope from attendance voting. In introducing voting by mail, it is essential that an electoral administration first implement pilot projects in order to test its planning. In addition, the electoral administration should make use of the experiences of other countries which have already gone through this process. International IDEA 16