Risk-limiting audits need to use stratified samples to accommodate heterogeneous voting equipment or laws that mandate jurisdictions draw their audit samples independently, among other constraints. Building on the idea of union-intersection tests proposed in SUITE and SHANGRLA, we present a number of techniques to improve the efficiency and flexibility of stratified audits. We begin by outlining two general methods to pool $P$-values from stratified samples. The first method uses Fisher's combining function to pool any valid within-stratum $P$-values, and decreases the measured risk for the 2018 pilot hybrid audit in Kalamazoo, Michigan, USA by about 40% compared to SUITE -- from 0.037 to 0.022. The second method multiplies within-stratum martingales to compute a pooled $P$-value, and decreases the measured risk by more than an order of magnitude -- from 0.037 to 0.003. Further efficiency comes from optimizing how samples are allocated across strata: audits can stop earlier by preferentially using samples from strata that provide evidence against the intersection null. In a simulation study, we demonstrate that a well-chosen allocation rule can dramatically reduce the workload of an audit. Finally, we present the first sharp method that is tractable to compute when there are many strata, allowing audits of statewide contests stratified by jurisdiction. We illustrate by simulating an audit spread across California's 58 counties.
翻译:风险限制审计需要使用分层抽样,以适应不同的投票设备或法律,授权管辖机构独立地提取审计样本。根据SUITE和SHANGRALA提出的工会间测试构想,我们提出了一些提高分层审计效率和灵活性的技术。我们首先概述了从分层抽样中汇集美元价值的两种通用方法。第一种方法是利用Fisher的合并功能,将任何有效的区块内价值合在一起,并将2018年美国密歇根州卡拉马佐市的试点混合审计的衡量风险降低40%左右,而SUITE则从0.037到0.022。第二种方法是在层内进行多层间测试,以计算集合的美元价值,并将衡量的风险减少幅度大于数量顺序 -- -- 从0.037到0.003。 进一步的效率来自优化各层间分配的样本:通过优先使用提供交叉断层证据的样本,审计可以更早地停止。在模拟研究中,我们证明,在58个区块内进行多层内分配规则,最终通过州级审计时,我们可以大幅度地进行分级审计。