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Election Signature Retrieval Systems
Productivity, the word so often heard in management in the '80s continues with us into the '90s. With shrinking budgets managers are constantly asked to do more with less. Many computer systems have delivered less than promised in the areas of reducing labor costs and processing times. With Signature Retrieval Systems promises seem to be fulfilled in the experiences of the-majority of election jurisdictions nationwide that have chosen to install these systems.
The labor intensive, time consuming task of checking the validity of voter's signatures on petitions, candidate nominations, absent voters and mail ballot elections has become a very significant problem for elections administrators. As the popularity of voting by mail and the initiative process continues to grow the workload also has risen.
The increased workload has caused many jurisdictions to choose computers to aid in the verification of signatures. Leading the way were Pinellas, Orange and Bade Counties in Florida. These systems provide an image of the voter's signature on a computer monitor screen that is manually compared to a voter's signature on another document, eliminating the need to search through paper files or microfilm. Many agencies have found that without these systems they would not be able to meet the legal deadlines for verifying signatures because of the volume of work.
Some jurisdictions have reported a 300% improvement in productivity. Palm Beach County, Florida states that one person can check 1,200 signatures per day with their automated signature retrieval system (SRS). Under their manual process one person could check only 400 signatures per day. Manpower hours in this jurisdiction have been reduced overall by one third. Most agencies surveyed, like Monterey County in California, report significant savings in their absent voter and petition checking process with these systems.
Generally, the signature retrieval systems operate as follows. After a voter registration document is checked to make sure it is completed properly, the document is scanned, with a document scanner or video camera. Scanning, also called digitizing, is taking an electronic copy of a document or signature by converting it to a series of dots.
To associate the signature with the voter record, usually, it is necessary for the operator to enter data from the document before scanning. In other systems the operator enters data, on the same screen on which the image is displayed, as is true with the Los Angeles County, California system.
At time of scanning, the system allows the operator to examine and adjust the image before causing it to be stored on magnetic or optical disk. Several systems store the document on optical disk and the signature on magnetic disk. Doing this improves responses times for retrieving signatures that are required much more frequently, than is the whole image of the document. Response time is the amount of time the computer requires to retrieve the requested information and display it on the screen.
Those jurisdictions that store the image on optical disk, do so to have a duplicate of their paper document and, in some cases, to eliminate microfilm. Some jurisdictions make a backup of the optical disk platter. The backup platter is stored in an off-site location, much as they do with backups of the magnetic data files. This can provide them with a means to recover should their facility be destroyed by fire or other disaster.
Once stored, the document or image can be retrieved and displayed on a computer screen. A person can use the displayed signature image to validate a signature on another document.
While most of the systems are used for petitions and absent voter processing, Sarasota County, Florida has extended the use of their hardware and software investment. They have implemented a separate system for tracking Loyalty Oaths, Appointments of Treasurer information and Treasurers reports for Candidates and PAC's using their signature retrieval equipment.
The more sophisticated systems allow signature retrieval with the data entry functions for tasks such as checking petitions and returned absent voter ballots. In these cases, the operator can immediately update the petition or absent voter data base with the results of the signature check. With some systems, one checks the signature, makes a notation and then later enters the results of the check to the appropriate data base.
Signature retrieval system hardware can include the following: personal computer with monitor( screen), keyboard, mouse(pointer device), floppy disk and hard disk; backup tape unit; optical disk unit; document scanner or video camera; and a laser printer.
Purpose and Approach of Report
The purpose of this report is to help state and local election administrators, especially those jurisdictions without data processing staff, by providing a review and benefits assessment of the current state of signature digitization technology.
Agencies already using signature retrieval technology were surveyed and have willingly provided input to this article. We have consolidated and reported their experiences with these systems. This article shares their best ideas and cautions to those who come behind them.
It is important to clarify that this report is not evaluating or comparing systems currently offered in the marketplace. No endorsements of vendors or their systems are made or intended. Vendors providing these systems were usually a good source of information and referral.
Besides identifying agencies where the technology is currently being used, the report explains background, history, technology, benefits, costs and problems associated with signature retrieval systems in elections.
We contacted all the states and the territories to ask for referrals to jurisdictions where these systems were currently in use. Two questionnaires were prepared. One was sent to the fifty Secretaries of State to ask them to identify jurisdictions where the systems are in use in their state. We received replies from thirty five states.
When specific referrals were received from the state office, we sent a detailed thirteen page questionnaire to the local agency asking about their system and experiences associated with installation. Fifty agencies in ten states were sent the longer questionnaire. Twenty-two were returned by local jurisdictions from the states of Arizona, California, Florida, Georgia, New York, Oregon and Washington. Several sites, in Florida and California, were visited where these systems are working in production.
The information received was summarized to provide the information needed for this article. It makes recommendations about what to look for should you be considering installation of a signature retrieval system, in your jurisdiction.
Definitions
The following definitions intend to clarify usage of terms used in this report.
Signature Digitization - is the function of scanning a signature or document to encode the image of a signature in a computer. The captured image is much like the image on a television screen. The image is stored on magnetic media, such as disks or tape, or on an optical storage device.
Signature Retrieval - this term, as used, includes digitizing, retrieving and displaying a document or signature on a screen or report.
Signature Verification - the process where a person compares a signature on a screen to a signature on another document.
Automated Signature Verification - the process where a computer compares a signature on one document to another signature on a data base. Currently installed signature retrieval systems cited in this article do not have this capability. In the opinion of the authors, we believe that it will be at least a decade before these systems are economically feasible.
The reason for the delay is two-fold: one, we don't write our signature the same way each time we sign our name. This requires the computer to match things that are not the same. Second, making the comparison at speeds comparable to those being achieved with existing systems. This type of matching will require much faster computers with artificial intelligence.
Image Compression and Expansion - Images are a form of computer graphics representing the data in dots or pixels (picture elements). With the data scanned and displayed, measured in dots-per-inch, much of the image consists of «white space.» Most image scanning and retrieving systems use image compression to reduce the amount of magnetic or optical disk space required to store the image. Image compression also reduces the amount of data that must be transmitted from storage to be displayed thus improving response time for displaying an image.
A simple explanation of compression and expansion is as follows. With compression, a blank line on a screen requiring eighty characters can be reduced to a few characters of a formula. Compression of an image occurs before storing it on a storage device.
Expansion happens after an image is read from storage and before the image is displayed on a screen or printed. It uses the mathematical formula to put the «white space» back in the blank line.
In most systems, compression is done with software, although some use special computer hardware boards that are usually faster and can provide greater compression of the image.
Background and Beginnings
The Technology
Signature retrieval systems go back to the earliest days of microfilm, which is an application of Document Image Management (DIM). Microfilm, beginning in the early 1970s', as a computer driven technology, was first used to address the needs of paper look-up tasks.
Signature retrieval systems use what is known in the computer industry as Document Image Processing (DIP). The DIP technology became possible in the 1920s' with the transmission of pictures over trans-atlantic cable. Practical applications came during the 1960s' space program.
Phillips, a Dutch company, invented the optical disk in 1969. The optical disk is used for storing the image of a document. The first Signature Retrieval System in a business application occurred in the early 1970s', in Sweden. When IBM's World Trade Corporation installed a system used to verify checking account signatures for a banking system.
Signature retrieval technology became economically feasible with the arrival of personal computers, in the early 1980s'. These systems combined personal computers with optical disks, document scanners and laser printers. This is the base technology for signature retrieval systems.
Online access was allowed to documents stored on an optical or magnetic disk to be retrieved via a computer terminal through its data base index. The laser printers provided excellent hard copy reproduction of the digitized data.
Automated signature verification will use Document Image Analysis (DIA). DIA includes extraction of lines and curves in images, classification of objects using boundary information, texture analysis and analysis of images for estimating the motion of objects. These are the processes a computer will need to use to compare one signature to another. For more information on these technologies, periodicals such as «OPTICAL INFORMATION SYSTEMS,» can be very informative.
Development begins in Florida
Development and implementation of Signature Retrieval Systems for use in elections began, in Pinellas County, Florida, in 1986. Our survey shows that many counties in Florida have since installed these systems. Pinellas, Dade and Orange Counties have been the innovators and trailblazers in using these systems.
Petition signature checking requirements have been the impetus in many election agencies to install signature verification systems. Recent experiences with right-to-die petitions in the State of Washington suggest that legal deadlines could not have been met without such a system in place.
Majority of Systems are PC Based
Most of the systems seen by the authors have been Personal Computer (PC) based, although main frame and mini-computers may be used.
The scanning or digitizing of documents and/or the signatures, is done on a PC. Most systems display signatures or documents on a PC. Although, some systems use main frame and minicomputer terminals for displaying the information. Main frames and mini's are used primarily for storing the data, while compression and expansion of data usually occur on the PC.
Acceptance of Electronically Reproduced Images by the Courts
Generally, information from agencies returning the questionnaire has shown acceptability of electronically reproduced images have, yet, to be tested in the courts, in some states.
The State of Florida has passed enabling legislation that generally reads, «an electronically generated reproduction of an original voter registration . . . which reduction is certified by the supervisor of elections who is custodian of the record, is admissible as evidence in any judicial or administrative proceeding . . . with the same effect as the original voter registration record» (Witnesses, Records and Documents section 92.295).
Florida also allows destruction of the original master record cards, after microfilming, if they have been maintained digitally on electronic, magnetic or optic media. (Registration Office, Officers and Procedures section 98.412)
Other agencies, like San Diego County, California, Registrar of Voters have found that the California Government Code allows destruction of the uncancelled affidavits, after microfilming, while the Elections Code does not permit this. Their solution is that they have proposed legislation that will eliminate the difference between the two governing codes.
In informal discussions with Federal Election Commission National Clearinghouse and United States Department of Justice staff it was stated by the Justice Department staff that the original voter documents should be kept for at least twenty-two months after a person last voted, as required with ballots and other election materials.
Some jurisdictions, with whom we have communicated, have a problem with the retention of canceled affidavits. They have indicated they do not plan to remove them from their paper files because it is too costly. If the documents are not removed, they will eventually become a problem to someone.
Many jurisdictions have shown they have savings, in filing of the original documents, by filing them in the order received. This eliminates the need for sorting and filing of documents. Agencies place them at the end of the file.
Description of Signature Retrieval Systems
The systems that are available range from signature retrieval system software only, for scanning and retrieving a document (you buy your own hardware), to complete election systems with hardware. Costs vary from a few thousand to a few million dollars. Specific costs reported by the agencies in the survey can be found in the appendix. The following is a brief description of some variations that are available.
Signature retrieval systems, that use optical disk and digitize the whole document, can be used to replace microfilm. Some advantages of optical disk are that it does not require developing and the images are available immediately. Optical disk also may be more environmentally friendly because of the elimination of the developing chemicals and process.
Turn Key System
Turn key systems are those that can provide both voter registration and signature retrieval module, in one package. Frequently, these systems also provide modules for absent voters, petitions, polling places, polling place workers, precincts or election districts, and candidate filing. These modules may all be included in one package or each can be purchased as a separate option to «customize» the system as needed by the jurisdiction.
Interfacing System
These systems usually provide signature retrieval only and are intended to interface with an existing voter registration system. These may require separate screens for displaying the voter data and signature. Again, depending on how the interface is accomplished it may appear to be a «seamless» system.
Software only
Some vendors are supplying software only, which has to be installed on the acquiring jurisdiction's computer hardware. This can be an option if the jurisdiction has computer hardware or if the jurisdiction can buy the hardware at a lower price by receiving government discounts. If you decide to have new software written to fit your specific needs or if you are the first customer for new vendor software be aware as Collier County, Florida experienced that «little» things will come up and must be corrected by the vendor or programmer before the system is considered fully operational.
Equipment Required
The equipment or hardware varies widely from one signature retrieval system to another. Numerous computer and computer peripheral manufacturers are represented by the systems.
Computers - There are many different manufacturer's computers used. It is important that you buy a computer with enough memory to service the needs of your agency. Not enough memory or fast enough processing capabilities will result in slow retrieval times for signatures to be displayed on the computer screen. This results in staff waiting for the computer to provide the requested signature. Time is wasted resulting in lowered productivity and poor focus on the task. Ask the vendor to recommend hardware if you are buying software only. Consider requesting that equipment compatible to other office computers you already have installed be provided. Be sure that your workload is clearly stated so the vendor can recommend the right equipment for your site.
Scanners or Video Cameras - This equipment is used to «scan» or digitize the document orsignature. The scanner or camera converts the document to an electronic image that can be stored on magnetic or optical media. More scanners may be required, on a rent or lease basis, for conversion as was the case in Fulton County, Georgia and Amador County, California.
Again, there are a large variety of manufacturer's and equipment. The scanners can vary from automatically fed flat-bed scanners, that can scan large documents at rates of one a second, to a hand held scanner that is used to scan a signature only. Its speed is dependent upon the manual dexterity of the operator.
Video camera scanning, while used, is the exception rather than the rule. The quality of the video image is comparable to that of scanners, but none have been seen that provide for automatic feeding of documents.
Mouse - Most of the systems have a mouse device that is used to identify the area to be scanned, if not an automated function. The mouse is also used to crop the signature image. The mouse can be used like an eraser to eliminate extraneous printing, near the signature, that may have been digitized into the image.
Monitors - High resolution graphics monitors give the best image display; providing the digitizing was done at a good resolution. Three hundred dots per inch is considered very adequate. Higher resolutions require more space and time to transmit. Color display terminals also can be easier for the operator to use by being able to highlight several conditions using different colors.
Optical Disks - The optical disks used are WORM (Write Once Read Many) type platters. The archival quality of the platters has not yet been proven, because of the time they have been available on the market, but it is expected to be comparable to microfilm. The optical disk, like the magnetic disk is easily duplicated for backup and retention purposes. Consider offsite, storage of a duplicate backup optical disk.
There are two primary sizes of optical disk platters, 12 inch and 5.25 diameters. The hardware for optical disks ranges from a small desk top unit holding one 5.25 platter; to a very large floor unit holding over fifty twelve-inch platters. The large units automatically retrieve platters, much like the old jukeboxes selected records.
While optical disks need to be handled with care, they are less vulnerable to handling than magnetic disks. The laser light used to write and read the data has a focal point just below the surface of the platter. Maricopa County, Arizona utilizes a large «Jukebox» like optical disk system that is also used for other departmental functions.
Magnetic Disks - Here we are addressing magnetic disks, usually, used with personal computers. All of the signature retrieval systems we encountered use non-removable hard disks to store voter data and signature images, storing the image on magnetic disk. The amount of data that can be stored on a hard disk is dependent on the size of the hard disk. At this time, the sizes range from a small, obsolete, 10 megabyte (MB or million bytes) drive to drives that will hold a gigabyte (1 billion bytes) of data. The flexible or «floppy,» removable, diskette is frequently used as backup or for temporary storage of images until they are edited and written to the hard disk.
Printers - Laser printers will provide the best reproduction of images. This type of printer is highly recommended for this application.
Backup Tape Units - These units are good for backing up large data files. A word of caution regarding these backup tape units. There is no standard for writing the data to the tape, so a tape created on one manufacturer's machine is unlikely of being read on a different manufacturer's machine. If your agency already has backup tape hardware for other systems, you may need to require the same type of unit, for compatibility.
Election's staff in Pima County, Arizona caution that you ensure adequate vendor software, and in some cases hardware support is available in your area from your selected supplier.
Materials required
The materials required for a signature retrieval system are the same as those for any computer system. Depending on the hardware, you will need paper, magnetic diskettes, magnetic tape cartridges, optical disk platters, printer ribbons and toner cartridges.
Furniture
Often overlooked in the acquisition of new equipment, is the need for furniture such as desks, work stations and tables on which to mount the equipment. Desks or work stations for data entry should have a height of approximately twenty-seven inches. There are devices that will allow you to adjust the height of the keyboard that can be placed on or mounted below a regular desk or table. You may have to experiment with locating the equipment, but a L-shaped pattern often works well. Chairs should be comfortable and easily adjusted as are the pneumatically controlled chairs.
Be aware of lighting, a window behind an operator can cause uncomfortable glare on a monitor screen, as can overhead lights. There are hoods and anti-glare screens that can be useful in reducing these problems.
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