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Merge pull request #48 from pbstark/pre-submission
minor change to abstract; move Ron from authorship to acknowledgement
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CO18.pdf

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CO18.tex

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Mark Lindeman\\
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Neal McBurnett\\
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Kellie Ottoboni\\
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Ronald L.~Rivest\\
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Philip B.~Stark
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}
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\date{Draft \today}
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\date{Version: \today}
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\begin{document}
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\maketitle
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\begin{abstract}
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Colorado conducted risk-limiting tabulation audits (RLAs) across the state in 2017,
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including both ballot-level comparison audits and ballot polling audits.
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To date, methods to efficiently audit contests that cross county boundaries
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and combine ballot polling and ballot-level comparisons have not been available,
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and the audits only covered contests restricted to a single county.
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including both ballot-level comparison audits and ballot-polling audits.
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Those audits only covered contests restricted to a single county;
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methods to efficiently audit contests that cross county boundaries
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and combine ballot polling and ballot-level comparisons have not been available.
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Colorado's current audit software (RLATool) needs to be improved to audit
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these contests that cross county lines and to audit small contests efficiently.
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This paper addresses these needs. It presents stratified hybrid methods
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which handle combining ballot polling and ballot-level comparisons,
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as well as combinations of ballot-level comparison and
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variable-size batch comparison audits.
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The methods employ Fisher’s combining function and the conditional hypergeometric test.
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We also describe some simpler but less efficient approaches.
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This paper addresses these needs.
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It presents extremely simple but inefficient methods, more efficient methods
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that combine ballot polling and ballot-level comparisons using stratified samples,
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and methods that combine ballot-level comparison and
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variable-size batch comparison audits in a way that does not require stratified
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sampling.
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We conclude with some recommendations, then illustrate these methods
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with some examples that compare them to existing approaches.
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We conclude with some recommendations, and illustrate our recommended method
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using examples that compare them to existing approaches.
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Exemplar open-source code and interactive Jupyter notebooks are provided
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that implement the methods and allow further exploration.
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\end{abstract}
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\noindent
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\textbf{Acknowledgements.}
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We are grateful to Ronald L.~Rivest for helpful conversations and suggestions.
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\section{Introduction}
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A risk-limiting audit (RLA) of an election is a procedure that
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has a known, pre-specified minimum chance of correcting the electoral outcome if the outcome

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