VOTE FORWARD et al v. DEJOY et al

Filing 16

MOTION for Preliminary Injunction by AMY BOLAN, AARON CARREL, COLORADO ORGANIZATION FOR LATINA OPPORTUNITY AND REPRODUCTIVE RIGHTS, INDERBIR SINGH DATTA, DANTE FLORES-DEMARCHI, PAUL HUNTER, SEBASTIAN IMMONEN, KATHRYN MONTGOMERY, SEAN MORRISON, PADRES & JOVENES UNIDOS, LINDA ROBERSON, MARTHA THOMPSON, VOCES UNIDAS DE LAS MONTANAS, VOTE FORWARD, GARY YOUNG (Attachments: #1 Memorandum in Support, #2 Exhibit Index, #3 Exhibit USPS OIG Report (Aug. 2020), #4 Exhibit USPS, Postal Operations Manual (Excerpts), #5 Exhibit USPS OIG Report (May 2020), #6 Exhibit USPS, Mandatory Stand-Up Talk: All Employees, #7 Exhibit Leaked USPS Powerpoint, #8 Exhibit DeJoy Testimony - House Oversight Hearing (Aug. 24, 2020), #9 Exhibit DeJoy Testimony - Senate Hearing (Aug. 21, 2020), #10 Exhibit Statement of DeJoy - House Oversight Comm. (Aug. 24, 2020), #11 Declaration Professor Justin Grimmer, #12 Exhibit USPS, Congressional Briefing (Aug. 31, 2020), #13 Exhibit Chart of States Where Voters' Mail-In Ballots Are Impacted By Defendants' Delays, #14 Exhibit USPS Letter to Pa. (July 29, 2020), #15 Declaration Eitran D. Hersh, #16 Exhibit House Oversight Hearing on USPS Operations - Transcript (Aug. 24, 2020), #17 Exhibit Senate HSGAC Hearing on USPS Operations - Transcript (Aug. 21, 2020), #18 Declaration Aaron Carrel, #19 Declaration Martha Thompson, #20 Declaration Kathryn Montgomery, #21 Declaration Sebastian Immonen, #22 Declaration Amy Bolan, #23 Declaration Inderbir Singh Datta, #24 Declaration Scott J. Forman of Vote Forward, #25 Declaration Alex Sanchez of Voces Unidas De Las Montanas, #26 Text of Proposed Order)(Duraiswamy, Shankar)

EXHIBIT 1

Objective
Our objective was to evaluate the U.S. Postal Service’s readiness for timely
processing of Election and Political Mail for the 2020 general elections.

participating in the election process and includes ballots and voter registration
materials. Political Mail is any mailpiece created by a registered political
candidate, a campaign committee, or a committee of a political party for political
campaign purposes.
Election and Political Mail can be sent as either First-Class Mail, which takes
2 to 5 days to be delivered, or Marketing Mail, which takes 3 to 10 days
to be delivered, depending on the
preference of the customer. However,
ballots returned by voters are required
to be sent as First-Class Mail. While
Marketing Mail has longer processing and
delivery timeframes, it costs less than
First-Class Mail.
The Postal Service plays a vital role in the
American democratic process and this
role continues to grow as the volume of
Election and Political Mail increases. In
addition to the next general election, which
will be held November 3, 2020, there will
be federal elections for all 435 seats in
the U.S. House of Representatives and
35 of the 100 seats in the U.S. Senate. There will also be 13 state and territorial
elections for governor and numerous other state and local elections. Due to the
COVID-19 pandemic, there is an expected increase in the number of Americans
who will choose to vote by mail and avoid in-person voting.
Our prior audits related to the Postal Service’s processing of Election and Political
mail include: Processing Readiness for Election and Political Mail for the 2018

Midterm Elections (Report Number NO-AR-18-007, dated June 5, 2018), Service
Performance of Election and Political Mail During the 2018 Midterm and Special
Elections (Report Number 19XG010NO000-R20, dated November 4, 2019), and
Timeliness of Ballot Mail in the Milwaukee Processing and Distribution Center
Service Area (Report Number 20-235-R20, dated July 7, 2020).
In the prior audits, we found the Postal Service needed to improve communication

and Political Mail volume.
This audit was conducted during special and primary elections held in May and
June 2020 and included reviewing operations at Processing and Distribution
Centers (P&DC) that were processing mail for a special or primary election in
each of the seven Postal Service areas. The facilities reviewed were Santa
Clarita, Portland, Indianapolis, Baltimore, Charleston, Brooklyn, and Oklahoma
City P&DCs.
We did not evaluate recent operational changes made by the Postal Service
summer. In response to a congressional request received on August 7, 2020, we
have an ongoing project which will evaluate these operational changes and their
impact on mail service. On August 18, 2020, the Postmaster General announced
he was suspending initiatives regarding Postal Service operational changes until
after the general election is concluded.

Findings
While the Postal Service has made progress in preparing for the 2020 general
election, there are concerns surrounding integrating stakeholder processes
with Postal Service processes to help ensure the timely delivery of Election and
Political Mail. These potential concerns include:

Election and Political Mail likely to be mailed too close to the election, resulting

when the ballot envelope contains more than two addresses, as well as when
addresses are located on both sides of the envelope.
Mailers, election boards, and voters are likely to mail Election and Political

Voter addresses that are out of date.
Resolving these issues will require higher level partnerships and cooperation
state and state election boards. Timely delivery of Election and Political Mail is
necessary to ensure the integrity of the U.S. election process.

Stakeholder-Related Election Mail Issues
importance of ballot mailpiece tracking and design, the required timeframes for
processing and delivering mail, and the importance of updating voter addresses.
They have designated area and district Political and Election Mail coordinators

Postal Service to process and deliver the mailpieces within prescribed delivery
standards, and still meet state deadlines for receiving ballots from voters.
Mail, and while First-Class Mail only takes 2 to 5 days to be delivered, the
15 days prior to an election. This is to ensure time for the ballot to reach the
voter and for the voter to complete and return the ballot. However, 48 states
and the District of Columbia have absentee ballot request deadlines less than
15 days in advance of an election. According to Postal Service management,
during the primary election season, election boards mailed over 1 million
ballots to voters within 7 days of an election. This put these ballots at high
delivery back to the election boards.

their normal processes to accommodate for the timely processing of Election and
Political Mail, such as requiring postmarks on all ballots, prioritizing the pickup,
processing, and delivery of Election and Political Mail, and diverting resources
as necessary. However, as mentioned in the Timeliness of Ballot Mail in the
Milwaukee P&DC Service Area audit, issues surrounding these items continue to
occur.
The Postal Service, mailers, and election boards are not able to track
ballot envelopes that do not have barcodes. According to Postal Service
management, some election boards have chosen to continue using excess
stock of ballot envelopes without barcodes and some lack the funding for
integrating the use of barcodes in their mailing process. Based on data
analyzed from the 2018 general election season, about 31.1 million ballots
were cast by mail, but only 4.1 million (13 percent) Election Mail mailpieces
used mail tracking technology.
Some election boards continue using ballot envelope designs which can
cause mail processing machines to return ballots to voters. This can occur

postmarking policies vary by state. Although 29 states do not currently
require postmarks on absentee ballots, the states that do require them have
counted. In anticipation of an increase in voting by mail during the November
2020 general election, some states have recently updated their postmark
requirements.
registries. Some states only update voter address information every two years
and run the risk of using outdated addresses for their registered residents
who have moved. This can cause absentee ballots intended for voters to be
When mailers, states, and election boards do not follow recommended best
practices to prepare, process, and track Election and Political Mail sent to voters,
there is an increased risk the mail may not be delivered timely.

Readiness for Timely Processing

date/time it was cleared from the operation. The logs help track Election and
Political Mail as it moves through the Postal Service’s network.

Since our prior audits, the Postal Service has improved internal communication
between headquarters and mail processing facilities, and developed online

These issues occurred due to a lack of management oversight and unclear

and Political Mail delivered on-time nationwide was 94.5 percent from April 2020
through June 2020, a decrease of 1.7 percentage points compared to the same
time period in 2018.

should be completed and maintained. Not completing and using these tools could
result in processing delays and lower service performance. An analysis of data

The seven P&DCs we reviewed that were processing Election and Political Mail
for special or primary elections did not always comply with Election and Political

of the facilities did not fully comply during the two weeks leading up to the

and 68,000 Political Mail mailpieces at the Baltimore P&DC that had not been
processed.
Six of the seven facilities did not always complete daily self-audits of Election
process Election and Political Mail and includes items such as verifying daily
all-clear checks, evaluating the setup of a staging area, and logging the arrival
of Election and Political Mail.
None of the seven facilities used the Postal Service’s Operational Clean

not delivered on time from April 2020 through June 2020 for the seven P&DCs
was about 1.6 million (8 percent) of 20.2 million mailpieces.
In addition, we noted that while postmarks are not required on all mailings and are
intended to be a revenue protection mechanism to prevent the reuse of postage,
the Postal Service has directed personnel to postmark all ballots to assist state
election boards. However, we found that ballots are not always being postmarked
as required and it is a challenge for the Postal Service to ensure full compliance.
Some ballots did not receive a postmark due to: (1) envelopes sticking together
unaware that all return ballots, even those in prepaid reply envelopes, need to
receive a postmark. Without a postmark on return ballots mailed by voters, a
ballot could be rejected and a vote not counted. The Postal Service reissued
guidance on July 29, 2020 and held a webinar reiterating to employees that all
ballots sent by voters must have a postmark. The Postal Service is also currently
evaluating the proper postmarking procedures for situations where a ballot is
received at a delivery unit with no postmark, but there is evidence that it was
processed by the Postal Service on or before election day. Therefore, we are not
making a recommendation regarding this issue.

Best Practices
check when searching for Election and Political Mail within the mail processing
facility.
Six of the seven facilities used their own variation of the Election and Political
Mail logs, which were missing key information such as mail class and the

readiness for processing Election and Political Mail. These practices include:
Political and Election Mail coordinators obtaining an estimate of Election and

Facilities obtaining sample ballot envelopes to test in mail processing
machines.

mailpiece tracking and proper mailpiece design. Until this new product is
developed, continue to prioritize the processing of Election Mail consistent
with past practices.

Mail information, such as upcoming election dates and deadlines.
States, such as Colorado, paying independent contractors to track ballots and
provide alerts during each step of the voting process – from ballot printing to

they are clear of Election and Political Mail using the Operational Clean
Sweep Search Checklist.

completion during election season.
and voters.

Recommendations

Ensure mail processing facilities use and maintain the standardized Election
and Political Mail log for each operation.

We recommended management:
and Political Mail readiness.
Election Mail that would support uniform mail processing, including mandatory

August 31, 2020
MEMORANDUM FOR:

DAVID E. WILLIAMS
CHIEF LOGISTICS AND PROCESSING
OPERATIONS OFFICER

FROM:

Darrell E. Benjamin, Jr.
Deputy Assistant Inspector General
for Mission Operations

SUBJECT:

Audit Report – Processing Readiness of Election and
Political Mail During the 2020 General Elections
(Report Number 20-225-R20)

This report presents the results of our audit of the Processing Readiness of Election and
Political Mail During the 2020 General Elections.

questions or need additional information, please contact Todd J. Watson, Director,
Network Processing, or me at 703-248-2100.
Attachment
cc: Postmaster General
Corporate Audit Response Management

Introduction/Objective
This report presents the results of our selfinitiated audit of the U.S. Postal Service’s
Processing Readiness of Election and
Political Mail During the 2020 General
Elections (Project Number 20-225).
Our objective was to evaluate the U.S.
Postal Service’s readiness for timely
processing of Election and Political Mail for
the 2020 general elections.

Background

participating in the election process and includes ballots and voter registration
materials. Political Mail is any mailpiece created by a registered political
candidate, a campaign committee, or a committee of a political party for political
campaign purposes.
Election and Political Mail can be sent as either First-Class Mail, which takes
2 to 5 days to be delivered, or Marketing Mail, which takes 3 to 10 days to
be delivered, depending on the preference of the customer. However, ballots
returned by voters are required to be sent as First-Class Mail. While Marketing
Mail has longer processing and delivery timeframes, it costs less than
First-Class Mail.

The 2020 U.S. general elections are
scheduled to be held on Tuesday,
November 3, 2020. In addition to the
presidential election, federal elections will also be held for all 435 seats in the
U.S. House of Representatives and 35 of the 100 seats in the U.S. Senate. There
will also be 13 state and territorial elections for governor and numerous other
state and local elections.

Our prior audits related to Postal Service’s processing of Election and Political
mail include: Processing Readiness for Election and Political Mail for the 2018
Midterm Elections (Report Number NO-AR-18-007, dated June 5, 2018), Service
Performance of Election and Political Mail During the 2018 Midterm and Special
Elections (Report Number 19XG010NO000-R20, dated November 4, 2019), and
Timeliness of Ballot Mail in the Milwaukee Processing and Distribution Center
Service Area (Report Number 20-235-R20, dated July 7, 2020).

Due to the COVID-19 pandemic, there is an expected increase in the number of
Americans who will choose to vote by mail1 and avoid in-person voting. Every
state allows some form of absentee ballot2 voting3
elections to be conducted entirely by mail.4 Currently, there are over 152 million
registered U.S. voters. If every registered voter received and returned a ballot
by mail in the November 2020 general election, it would represent less than
1.4 percent of the Postal Service’s average monthly volume.5 The Postal Service
plays a vital role in the American democratic process and this role will continue to
grow as the volume of Election and Political Mail increases.

In the prior audits, we found the Postal Service needed to improve communication

and Political Mail volume. We also noted potential concerns nationally with
deadlines set by the states to request absentee ballots, ballot postmarks, ballots
mailed without mail tracking technology, and the ratio of Political and Election
implemented corrective actions for these recommendations.

1

Vote by mail occurs when voters receive or return their ballots through the mail.

4
5

In Colorado, Hawaii, Oregon, Washington, and Utah, a ballot is automatically mailed to every eligible voter (no request or application is necessary).
Through Fiscal Year 2020, Quarter 3, on average the Postal Service processed over 22 billion mailpieces monthly.

This audit was conducted during special and primary elections held in May and
June 2020 and included reviewing operations at Processing and Distribution
Centers (P&DCs) that were processing mail for a special or primary election
in each of the seven Postal Service areas (see Table 1). During our audit, we
noted some states changed their vote by mail requirements in response to the
COVID-19 pandemic. For example, some states changed their ballot postmarking
requirements and/or absentee ballot request deadlines. Any state election
report. See Appendix A for additional details.

Table 1. Mail Processing Facilities Reviewed and Corresponding
Election

we have an ongoing project7 which will evaluate these operational changes and
their impact on mail service. On August 18,2020, the Postmaster General (PMG)
announced he was suspending initiatives regarding Postal Service operational
changes8 until after the general election is concluded. The PMG also announced
an expansion of the election mail task force to include leaders from postal unions
and management associations to enhance partnerships with state and local

Finding #1: Stakeholder-Related Election Mail Issues
While the Postal Service has made progress in preparing for the 2020 general
election, there are concerns surrounding integrating stakeholder processes with
the Postal Service’s processes to help ensure the timely delivery of Election and
Political Mail.
These potential concerns include:
Ballots mailed without barcode9

Election and Political Mail likely to be mailed too close to the election, resulting

Voter addresses that are out of date.
Resolving these issues will require higher level partnerships and cooperation

We did not evaluate recent operational changes made by the Postal Service

state and state election boards. Timely delivery of Election and Political Mail is
necessary to ensure the integrity of the U.S. election process.

summer. In response to a congressional request received on August 7, 2020,
6
7
8

Due to the COVID-19 pandemic, the team conducted virtual site visits for all facilities except Oklahoma City P&DC.
Evaluation of Operational Changes on Mail Delivery Service, Project Number 20-292.
Mail processing equipment and blue collection boxes will remain where they are, no mail processing facilities will close, and overtime will continue to be approved, as needed.
visibility into the mailstream.

Use of Barcodes
The Postal Service, mailers, and election boards are not able to track ballot
envelopes that do not have barcodes. While there is no requirement for ballots to

Figure 1. Example of Ballot Return Envelope with Barcode, Voter and
Witness Signature, and Voter Address on the Back

Barcodes can be used by both the Postal Service and the mailer, or election
it is extremely challenging and, in many cases not possible, to determine whether
or not a ballot was sent through the Postal Service, returned by a voter, and/or
if there was a delay in the Postal Service’s processes. Based on data analyzed
from the 2018 general election season, less than 4.1 million 10 (13 percent) of the
31.1 million11 vote by mail ballots used barcodes.
According to Postal Service management, some election boards have chosen
to continue using excess stock of ballot envelopes that do not have barcodes
and some lack the funding for integrating the use of barcodes in their mailing
challenges incorporating barcodes into their system and that it could not be
completed before the 2020 general election.

Ballot Envelope Design
voting by mail and validate voter identity. These features can include barcodes
to identify the voter, voter and witness signatures, voter address, notary seal,
and driver’s license or social security number. However, if these features are
not properly located on the envelope, mail processing machines may missort
the mailpiece and return the ballot to the voter. This can occur when the ballot
envelope contains more than two addresses or when addresses are located on
both sides of the envelope (see Figure 1). The Postal Service also received return
envelope. This also caused the ballot to be returned to the voter (see Figure 2).

Source: OIG, August 2020.

10 This data was pulled from Informed Visibility (IV) during October and November 2018, and includes all Election Mail mailpieces, not just ballots.
11 This data was obtained from the U.S. Election Assistance Commission report, Election Administration and Voting Survey, 2018 Comprehensive Report, A Report to the 116th Congress, dated June 2019, and includes
only ballots.

Figure 2. Example of Ballot Return Envelope with No Address
ballots to voters before the election (see Table 2). Additionally, 14 other states
have deadlines (8 to 14 days before election) that put ballots at high risk of not
being delivered to voters before an election.14

Table 2. States with Ballot Request Deadlines Seven Days or Less
Before Election Day

Source: USPS, August 2020.

Mailing Too Close to Election Date
Mailers, election boards, and voters are likely to mail Election and Political Mail
to process and deliver the mailpieces within prescribed delivery standards 12 and
still meet state deadlines for receiving ballots from voters. Any time Election and
Political Mail mailpieces are mailed before an election with less time than the
corresponding service standard, they are at risk of not being delivered before
an election.

While First-Class Mail only takes 2 to 5 days to be delivered13, the Postal Service
an election to ensure time for the ballot to reach the voter and for the voter to
complete and return the ballot. However, 34 states and the District of Columbia
have absentee ballot request deadlines (those with no deadline or a deadline

Source: OIG analysis of USPS legal policy and legislative advice on U.S. Elections Voting Requirements,
dated August 3, 2020.

12 Election and Political Mail can be sent as First-Class Mail, which takes 2 to 5 days to be delivered, or as Marketing Mail, which takes 3 to 10 days to be delivered.
13 First-Class Mail sent within the continental U.S. takes 2 to 3 days.
14
advance of election day.

day and voters were not able to successfully participate in the election. We
also observed similar issues involving Political Mail17 during our site visit to the
on the state’s primary election date.

According to Postal Service management, during the primary election season
from June 2, 2020, through August 13, 2020, election boards mailed over
1 million ballots out to voters late (within seven days of an election).15 This put

Kentucky and New York election boards accounted for 60 percent (over
628,000 ballots) of the ballots sent out late to voters.
In 11 states, over 44,000 ballots were sent from the election boards to voters
the day of or day before the state’s primary election.
In Pennsylvania, 500 ballots were sent from the election board to voters the
day after the election.
In 17 states, over 589,000 ballots were sent from the election boards to voters
after the state’s ballot mailing deadline.
In a recent prior audit16, we also noted ballots going out to voters being mailed the
day of an election. As a result, the ballots were not delivered until after election

15
16
17
18
19
20
21

The Postal Service took corrective action to partially address this ongoing
issue and created a standardized cautionary notice form 18 for both Election and
Political Mail. Now the Postal Service requires19 mailers to sign these forms
acknowledging the Election or Political Mail may not be delivered before the
election when it is mailed too close to election day.

Postmarks
Postmarks20
policies vary widely by state (see Figure 3). In anticipation of an increase in voting
by mail during the November 2020 general election, some states have also
recently updated their postmark requirements.
Twenty-nine states do not require postmarks on absentee ballots. In these
and ballots received after election day are not counted, regardless of the
postmark date.
The remaining 21 states and the District of Columbia require postmarks but
to count.21
For more details on postmark requirements, see Appendix B.

For purposes of this review, the Postal Service considered a ballot to be late if it was sent by the election board to the voter within seven days of election day.
Timeliness of Ballot Mail in the Milwaukee P&DC Service Area (Report Number 20-235-R20, dated July 7, 2020).
This was campaign mail from a political candidate, not ballots.

Two states (Alabama and Utah) require postmarks on all mailed ballots, even if the mailed ballots are received prior to election day.

Figure 3. State Postmark Requirements

Source: OIG analysis of USPS legal policy and legislative advice on U.S. Elections Voting Requirements, dated August 3, 2020.

Addresses
Incorrect voter addresses can cause absentee ballots intended for voters to be
and timeframes for updating their voter registries. People move frequently in
address.

voter address information every two years, and run the risk of using outdated
addresses for their registered residents who have moved within that time period.
When mailers, states, and election boards do not follow recommended best
practices to prepare, process, and track Election and Political Mail sent to voters,
there is an increased risk the mail may not be delivered timely.

Postal Service Actions to Improve Timely Delivery of Election and
Political Mail
Vehicle’s database, or running checks against the Postal Service’s National
While the Postal Service makes the NCOA database available to all states,
only 36 states have chosen to use it. In addition, some states only update

importance of ballot mailpiece tracking and design, the required timeframes for
processing and delivering mail, and the importance of updating voter addresses.

The Postal Service has designated area and district Political and Election
Some of their responsibilities include educating Election Mail stakeholders on
Postal Service best practices and having direct, two-way interaction with state
22
for election
ballots through the mailstream, information on how to contact a mailpiece
design analyst, and ensuring voter addresses are up-to-date, accurate, and
complete. The Postal Service also issued letters on May 29, 2020 and July
According to Postal Service management, they have had over 39,000 meetings
or correspondences with the 50 states, and the District of Columbia, on matters
surrounding Election and Political Mail.
Additionally, the Postal Service has altered its normal processes to accommodate
for the timely processing of Election and Political Mail and help meet the needs of

The Postal Service is requiring all ballots mailed back from voters to have a
postmark including prepaid envelopes that are not normally postmarked.
The Postal Service often prioritizes Election and Political Mail mailed as
Marketing Mail and treats it as First-Class Mail. In addition, the Postal Service
has expedited ballots that are mailed too close to election day via Priority Mail
Express.23
one day before the primary election. Since New York requires all return ballots
to be postmarked by election day, the Postal Service sent all ballots out by
express mail to give voters the opportunity to vote.
The Postal Service does not delay delivery of ballots addressed to an election

timely. For example, for the District of Columbia’s June 2, 2020 primary
election, the Postal Service agreed to make three pickups (1:30 p.m.,
5:00 p.m., and 10:00 p.m.) on May 28 and May 29, 2020 to clear all
outgoing ballots.
On election day, the
Postal Service often diverts
separate absentee ballots
to speed up their delivery
ensure votes are counted.
During our review of the
Oklahoma City P&DC, we
observed management and
employees manually sorting
through trays of mail to identify
ballots to ensure they were
delivered on time. Further,
they tasked some employees with driving to county election boards across the
state to ensure ballots were delivered on time.
Integrating stakeholder processes with the Postal Service’s processes is
critical to the upcoming election to ensure the timely processing and delivery of
ballots. The integration of these processes is dependent on strong relationships
between the Postal Service and the approximately 8,880 election boards, as
well as the secretaries of state and state election directors. As we have made
recommendations in a prior audit24 to address the process integration concerns,
and corrective actions are ongoing, we are not making further recommendations
regarding these issues. However, there is a need to develop a mail product that
more comprehensively addresses the requirements associated with voting by

Prior to election day, the Postal Service adds direct transportation trips to

22
23
24 Timeliness of Ballot Mail in the Milwaukee P&DC Service Area (Report Number 20-235-R20, dated July 7, 2020).

Recommendation #1
We recommend the
for Election Mail that would support uniform mail processing, including
mandatory mailpiece tracking and proper mailpiece design. Until this new
product is developed, continue to prioritize the processing of Election Mail
consistent with past practices.

Finding #2: Readiness for Timely Processing
Since our prior audits, the Postal Service has improved internal communication
between headquarters and mail processing facilities, and developed online
Election and Political Mail training.
Election and Political Mail delivered on
time nationwide was about 94.5 percent26 from April 2020 through June 2020, a
decrease of 1.7 percentage points when compared to the same period in 2018.
See Table 3 for a breakdown of Election and Political Mail scores by mail class.

Table 3. Election and Political Mail Counts and Amount Delivered On Time

Source: IV and OIG analysis.

25
26 This is a composite score calculated from the cumulative total of both Election and Political Mail, as well as First-Class and Marketing Mail.

25

We found that the seven P&DCs we reviewed that were processing Election
and Political Mail for special or primary elections did not always comply with

Reviewed

Election Mail coordinator’s responsibility to certify that processing facilities and
customer service units under their jurisdiction are clear of all committed Election
two weeks after the election).27 The Postal Service has controls and tools in
place, such as daily self-audits, clearance checklists, and Election and Political
Mail logs, to ensure compliance to their Election and Political Mail readiness

logs, were not always completed
as required.

While all seven facilities
performed some level of
Election and Political Mail in their
of the facilities did not fully comply
during the two weeks leading
facilities either did not complete,
properly complete, or timely
(see Table 4).

Source: OIG interviews and analysis of documentation received from the facility.

Further, even though the facilities validated that they were clear of all committed
Election and Political Mail, we found instances where both types of mail had not
been processed. During our site visit at the Oklahoma City P&DC, management
indicated they were clear of Election and Political Mail during the morning of the
Oklahoma Primary election on June 30, 2020. However, we found two trays of
Election Mail ballots (or approximately 200 mailpieces), postmarked on June 29,
Figure 4). As soon as Oklahoma City P&DC
management was made aware of the ballots, they immediately had them sent out
to the election boards, ensuring they were received on-time.

27 Training, 2020 Election Cycle, provided by Election and Political Mail Program Manager, dated January 15, 2020.
28 Non-compliant means Election and Political Mail scheduled to be delivered the next day remained at the facility.

Figure 4: Ballots Found on Election Day After All-Clear
Election and Political Mail daily, our audit determined that Political Mail 29 received
Mail mailpieces not delivered on-time. As soon as Baltimore P&DC management
discovered the Political Mail, they immediately processed it for delivery.
As previously mentioned, ensuring a facility is clear of Election and Political Mail
can be supported by the timely and accurate completion of the Election and
Political Mail Audit Checklist, the Operational Clean Sweep Search Checklist,
and Election and Political Mail Logs. However, the facilities we reviewed did not
always complete, or complete accurately, these checklists and logs. Please see
Table 5 for a summary of compliance with these readiness procedures.

Source: OIG photographs taken at Oklahoma P&DC on June 30, 2020 at 6:20 a.m.

Source: OIG interviews and analysis of documentation received from the facility.

29 This was First-Class campaign mail from a political candidate, not ballots.
30 For purposes of this review, we looked at Election and Political Mail Checklists for the two weeks prior to election day, and election day.

Election and Political Mail Audit Checklist

Operational Clean Sweep Search Checklist

Six of the seven facilities reviewed
did not always complete a daily selfaudit checklist of Election and Political
Mail readiness for all operations in the
mailstream. According to Postal Service
guidance31, the self-audit must be
completed daily and several times during
the processing window by the BMEU and
Mail Processing. The self-audit checklist

None of the seven facilities reviewed used the Operational Clean Sweep
Search Checklist.32 This checklist is to be used in performing a daily Election
and Political Mail search and provides a list of minimal areas to check within
the mail processing facility such as BMEU, Inbound dock, Opening Units, and
Outbound dock.

Election and Political Mail and includes
items such as verifying daily all-clear
checks, evaluating the setup of a staging
area, and logging the arrival of Election
and Political Mail.
During interviews with Postal Service management, the requirements of who is
responsible for completing the audit checklist, and the timeframe of completion
was unclear. Some facilities completed the audit checklist daily (including two
weeks prior to election day), while others completed it the day before, day
of, and day after the election, or completed it at various times throughout the
election season.
In addition, the Santa Clarita, Indianapolis, Baltimore, Charleston, and Brooklyn
P&DCs self-audit checklists were not completed in their entirety for various

Election and Political Mail Log
Six of the seven facilities reviewed used their own variation of the Election
in information required by the standard Election and Political Mail logs. As a
result, key information such as mail class, dispatch location from/to, and the
date/time it was cleared from the operation, was not documented. According
to Postal Service guidance33, the logs are used to record and track all Election
and Political Mail as it moves through the Postal Service’s network and requires
thorough and precise documentation. The logs are compared between each
operation to ensure all entered mail is processed and delivered timely.
All of these issues occurred due to a lack of management oversight and unclear
checklists, and logs, and ensuring issues are resolved, and how often these items
should be completed and maintained.
Not completing and using these tools could result in processing delays and
lower service performance for Election and Political Mail. The total number of
April 2020 through June 2020 for the seven P&DCs was about 1.6 million of
20.2 million mailpieces, or about 8 percent.

31 Processing Operations Management Order (POMO) POMO 007-19, Political and Election Mail Policies and Procedures, dated August 15, 2019.
32
33 POMO 007-19, Political and Election Mail Policies and Procedures, dated August 15, 2019.

Postal Postmarking Process
Postmarks are not required on all mailings34
and are intended to be a revenue protection
however, the Postal Service has directed35
personnel to postmark all ballots to assist
state election boards. While we understand
that no postmarking process is infallible,
we did identify issues that occurred in the
Northeast Area during the time of our audit

estimate of Election and Political Mail volume and mailing dates in advance

of the mailpiece/pallet count of a planned Election Mail drop. This helped
to ensure the facility was prepared for increased mail volume, including
of the voter registration deadline and 545,000 ballots delivered to the
Postal Service facility that were ready for processing (see Figure 5).

county in New York — a state that requires
a postmark — about 4,200 ballots did not
receive a postmark. In this case, as well as others, ballots may not receive a

even those in prepaid reply envelopes, need to receive a postmark. Further, in
the Albany District, a delivery unit was unsure of what to do when they received
ballots from a mail processing facility without a proper postmark date. Without a
postmark on return ballots mailed by voters, a ballot could be rejected and a vote
not counted.
The Postal Service reissued guidance on July 29, 2020 and held a webinar
reiterating to employees that all ballots sent by voters must have a postmark. The
Postal Service is also currently evaluating the proper postmarking procedures for
situations where a ballot is received at a delivery unit with no postmark, but there
is evidence that it was processed by the Postal Service on or before election day.
Therefore, we are not making a recommendation regarding this issue.

Best Business Practices

Source: Portland P&DC management photograph taken May 2020.

Mail processing facilities in the Capital Metro, Eastern, Great Lakes, and
Mail. These practices include:
34 Postmarks are not required on mailings bearing a permit, meter, or precanceled stamp for postage, nor to pieces with an indicia (i.e. marking on a mailpiece showing that postage has been prepaid by the sender).
35 David E. Williams (April 23, 2018), Postmarks on Ballots [Memorandum], United States Postal Service.

allowed plant management to test them in mail processing machines. This
enabled mailpiece design analysts to identify potential issues and inform
printers of concerns prior to Election and Political mailings being printed.

Recommendation #4
We recommend the
ensure mail processing facilities use and maintain the standardized Election
and Political Mail log for each operation.

important Election and Political Mail information, such as upcoming election
dates and deadlines.

We recommend the

The state of Colorado using an independent contractor to track ballots and
alert voters during each step of the voting process – from ballot printing to

and Political Mail readiness.

Management’s Comments
However, once this integration occurs, it can
provide real-time, comprehensive data for
better forecasting and planning.
absentee ballot return envelopes they
plan to use in the November 2020 general
elections. This will make identifying return
ballots easier for the Postal Service, election

4. Management partially agreed with recommendations 1 and 5. See Appendix C
for management’s comments in their entirety.

of postmarking, are outside the authority and control of the Postal Service.
to put tracking barcodes on ballot envelopes, proper mailpiece design, mailing
dates, and maintaining updated voter addresses. Management added the
Postal Service will do everything it can to deliver ballots on time and will commit
additional resources in the weeks before the election.

Recommendation #2
We recommend the
they are clear of Election and Political Mail using the Operational Clean
Sweep Search Checklist.

Recommendation #3
We recommend the Chief Logistics and Processing Operations
timeframes for completion during election season.

did not fully comply with instructions for completing required checklists, logs,
and audits.
Regarding recommendation 1, management stated they agree to continue
ensuring that Election Mail, regardless of mail class, moves through the network
expeditiously. Management added they will advance the processing of Election
Mail Marketing Mail by utilizing available visibility tools. However, management
disagreed with the recommendation to create a separate Election Mail product
for the 2020 general election. Management stated the Postal Service does not
reviews prior to the 2020 general election. Management added that undertaking

unnecessary confusion. In subsequent correspondence with management,
they agreed to evaluate adding a dedicated mail product for Election Mail after
the 2020 general election. Management stated this action would involve the
regulatory environment, so the actual adoption and implementation of the product
is unknown at this time. Management stated that they would provide an update on
the adoption and implementation status by September 30, 2021.
Regarding recommendation 2, management stated they will update the
Sweep Search Checklist is used to validate the all clear check. The target
implementation date is September 4, 2020.

responsibilities, and oversight for the Political and Election Mail Audit Checklist
during election season. The target implementation date is September 4, 2020.
Regarding recommendation 4, management stated they will redistribute the
Election and Political Mail log and require all mail processing facility employees to
use it. The target implementation date is September 4, 2020.
Regarding recommendation 5, management stated they partially agree with
the recommendation. They agree that Political and Election Mail coordinators
an election. Management added they will also ask coordinators to obtain sample
not be able to correct issues found in a test if it’s too close to the general election.
Management also agreed they should use facility monitors to display Election and

independent contractors track ballots or colored ballot return envelopes for easy

tracking and increasing the visibility of ballots in the network. In subsequent
correspondence with management, they stated they would implement these best
practices and provided a target implementation date of September 4, 2020.

Evaluation of Management’s Comments
The OIG considers management’s comments responsive to the
the report.

time before the next general election on November 3, 2020, for the Postal Service
to create a separate Election Mail product. In subsequent correspondence
with management, they agreed to evaluate adding a dedicated mail product
for Election Mail after the 2020 general election. Therefore, we consider the
Postal Service’s planned actions to be responsive to the recommendation and will
monitor the progress of implementing this separate Election Mail product.
Regarding recommendation 5, the OIG acknowledges that the Postal Service
does not have the ability to implement best practices outside of its control.
However, the Postal Service does have the ability to educate state and
Management did agree that Political and Election Mail coordinators should
work to obtain estimated volumes and mailing dates in advance of an election
and obtain sample ballots to test ahead of the general election, and that facility
monitors should be used to display Election and Political Mail information.
Therefore, we consider the Postal Service’s planned actions to be responsive to
the recommendation.
All recommendations require OIG concurrence before closure. Consequently,
recommendations should not be closed in the Postal Service’s follow-up tracking
be closed.

Scope and Methodology
The scope of our audit was Election and Political Mail processing for the 2020
primary, special, and general elections. To accomplish our objective, we:
Analyzed Postal Service data on Election and Political Mail service
performance from April to June 2020, comparing to the same period in 2018.
Reviewed the Postal Service’s Election and Political Mail processing strategy,
policies, procedures, and related documents and tools, including guidance
provided on the Postal Service’s Election and Political Mail website.
Judgmentally selected and reviewed seven
P&DCs, one from each Postal Service
area, to assess actions taken in preparation

and opportunities for improvement. We
selected the facilities based on their service
performance scores from October 2018 to
March 2020 and if elections were occurring
within their service areas.
Interviewed Postal Service Headquarters

Political Mail Strike/Strategy Team36 and Political Mail Steering Committee37,
regarding actions taken in response to prior audits, challenges, lessons
learned, and best practices in the processing of Election and Political Mail.
regarding results, challenges, and lessons learned from vote by mail during
the primary election.
We conducted this performance audit from April through August 2020 in
accordance with generally accepted government auditing standards and
included such tests of internal controls as we considered necessary under the
circumstances. Those standards require that we plan and perform the audit

based on our audit objective. We discussed our observations and conclusions
with management on August 18, 2020, and included their comments where
appropriate.
We assessed the reliability of computer-processed data from IV by interviewing

purposes of this report.

36 The Political Mail Strike/Strategy Team works closely with Postal Service operations and major mailers, and communicates and shares information with customers at the federal, state, and local levels.
37
perceived impact on Election and Political Mail.

Prior Audit Coverage

but does require mailed ballots to be received the day before the election. Another 28 states require mailed ballots to be received by close of election day with no
postmark requirement. Finally, 21 states and the District of Columbia have various postmark deadlines that allow mailed ballots to be received on election day or 1 to
21 days after the election and still be counted (see Figure 6 and corresponding Table 6). Of these, Alabama, Iowa, North Dakota, Ohio, and Utah require ballots to be
postmarked the day before the election, while the others require the ballots to be postmarked by election day.

Figure 6. State Postmark and Deadline Requirements for Returning Ballots

Source: OIG analysis of USPS legal policy and legislative advice on U.S. Elections Voting Requirements, dated August 3, 2020.

Table 6. States with Postmark Requirement and When Ballot Must be Received

Source: OIG analysis of USPS legal policy and legislative advice on U.S. Elections Voting Requirements, dated August 3, 2020.

38 Ballots mailed in Alabama must be postmarked prior to Election Day, and received by mail no later than noon on election day.

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