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How the quota system works

Voting for the Legislative Council
The use of proportional representation
How votes are counted
Classifying Primary Votes
Calculation of the Quota
Determination of Surplus

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Voting for the New South Wales Legislative Council

The New South Wales Legislative Council or, as it is sometimes referred to, the Upper House, consists of 42 Members who represent the whole state in Parliament. At each general election 21 members are elected to serve two terms of Parliament, that is, a maximum of 8 years.

The candidates for a Legislative Council election are the same for the whole state.

Method of voting

The method of voting for the Legislative Council is known as “optional preferential proportional representation” and is prescribed in the sixth schedule to the NSW Constitution Act 1902.

The names of the candidates are shown on the ballot paper. If endorsed by a registered political party their affiliation with that party is also shown.

A Group must comprise at least 15 candidates before it can have a Group Voting Square above the thick black line. Candidates not included in a group are shown in a column on the extreme right of the ballot paper. These are generally referred to as the “Ungrouped Candidates”.

The Group or Party determines the order of candidates within their group on the ballot paper, but the position of the Group or Party is determined by a draw conducted by the Electoral Commissioner who is the Returning Officer for the election.

You may vote in one of two ways:

"ABOVE THE LINE"

You may vote:

- by placing the number '1' in one of the Group Voting squares located above the thick black line on the ballot paper. This will record a vote for the first candidate in that group with the preferences going to the other candidates in that Group or

- by placing the number ‘1’ in a Group Voting Square then marking a second or subsequent preference in other Group Voting squares above the line. In this case you will have indicated preferences for candidates in the second and subsequent groups for the candidates in those groups in the order they appear on the ballot paper.

"BELOW THE LINE"

Persons voting below the line must select their own order of preferences by placing the numbers '1', '2', '3', '4', '5', '6', '7', '8', '9', '10', '11', '12', '13', '14', '15' in the squares next to the names of 15 candidates in order of their preference for them. Persons can vote for additional candidates by placing consecutive numbers beginning with the number '16' in the squares next to the names of those additional candidates in order of their preference for them.

Counting the votes

In order to be elected, candidates generally need to obtain a quota (about 4.5%) of the total formal votes cast in an election. The quota is determined by using a formula set out in the electoral legislation. Those candidates who receive a number of first preference votes that is equal to or greater than this quota are elected. The quota figure remains the same for the whole count. Any votes a candidate receives above the quota are known as surplus votes and may be transferred to the remaining candidates according to the next available preference shown on them. A transfer value (using a formula set out in legislation) is applied to the distributed votes generally with a value less than 1. The ballot papers being transferred are selected at random.

If there are no more surplus votes to transfer ( or subject to other conditions in the count), but not all 21 Members have been elected, the ballot papers of the candidate with the lowest number of votes are transferred according to the next available preference shown on them. A transfer value is not applied to votes transferred at this stage and thus the votes have full value, that is, a value of 1.

The process continues until all 21 Members of the Legislative Council have been elected.

Source: NSW State Electoral Office 1

Proportional representation
This system of voting is properly known as proportional representation by single transferable vote, though in Australia it is more commonly called the quota preferential method. It is not the common form of proportional representation in use around the world, but has been the usual form adopted in Australia. Today, with some variations, it is used for four Australian upper houses (the Legislative Councils in New South Wales, South Australia and Western Australia, as well as the Senate) and two lower Houses (the Tasmanian House of Assembly, and from 1995, ACT Legislative Assembly). It was also used for election to the NSW Legislative Assembly in the period 1920-27

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The main features of Quota Preferential as opposed to other forms of proportional representations are:

  • Voters are able to chose between candidates both within and across party groupings. This is different from List systems of proportion representation, which generally only allow voters one vote for a predetermined list of party candidates.
  • To be elected, a candidate must achieve a quota of votes.
  • Where a candidate receives more than a quota, their surplus to quota votes are distributed as preferences.
  • In the process of the count, if no candidate possesses a quota, and vacancies remain to be filled, then the candidate with the lowest vote is excluded and their preferences distributed.
  • The votes that make up a candidate's quota may consist of primary votes, the preferences of surplus to quota votes from elected candidates, and preferences from candidates excluded in the count.
  • Proportionality is achieved not in relation to the primary vote received by candidates and parties, but as an interaction between primary votes and preferences.

Except in Tasmania, few voters exercise their right to choose between candidates, most being content to follow party how-to-vote cards. The introduction of above the line ticket voting from 1988 has also seen political parties gain greater control over the distribution of preferences.


How votes are counted 2
The process of the count proceeds as follows.

  1. Counting the Primary or First Preference Votes.
    By counting all formal votes, the total primary vote for all candidates is determined.
  2. Determination of the quota.
    The quota of votes for election is determined by dividing the total formal vote by one more than the number of vacancies to be filled, and after ignoring fractions, adding 1.
  3. Elect any candidates with a quota of votes.
    Candidates with votes equal to or in excess of a quota are elected in descending order of votes. If candidates have more than a quota, proceed to (4).
  4. Distribute surplus of elected candidates.
    The surplus of all candidates elected at step (3) are distributed. This takes place in the order that candidates were elected. When all surplus votes have been distributed, if any candidate has achieved a quota, go to (3). If no candidate possesses a quota, proceed to (5).
  5. Distribute preferences of candidate with lowest vote.
    Exclude the candidate with the lowest current vote, and distribute their ballot papers according to the next available preference for a candidate remaining in the count. Any votes that have no further valid preferences are set aside as exhausted. If after the distribution, no candidate has achieved a quota, repeat (5). If a candidate has achieved a quota, go to (3).


Classifying Primary votes
To simplify counting procedures, primary votes for candidate are classified into three categories.
These are:

  • Ticket Votes:
    All votes where the 'ticket' or 'above the line' option has been used. As this makes up more than 85% of votes, the count is simplified by keeping a separate total.
  • Block Votes:
    Many 'below the line' votes are numbered sequentially down a single ticket. For the Labor and Liberal/National Party tickets, a separate total of ballot papers of this type is kept, and these are called block votes. Again, this total is kept to ease the count, particularly in the initial stages when repeated distributions of surplus votes take place.
    1st Preference: All 'below the line' votes for candidates other than those classified Block Votes.


Calculation of the quota
This is best illustrated by example. In 1991, there were 3,205,832 formal votes for 15 vacancies. The quota was calculated as follows.

Quota = [Formal votes . (vacancies + 1)] + 1
= [3205832 . (15 + 1)] + 1
= 200364 + 1 (ignoring fractions)
= 200365 votes

In NSW, because only 10 preferences have been required for a formal vote, many votes "exhaust" at the point where no further valid preferences are indicated on the ballot paper. As a result, it is possible for a candidate to be elected with less than a quota. For instance, in both 1981 and 1984, with one vacancy to be filled and only two candidates remaining in the count, the high number of exhausted preferences resulted in the final vacancy being filled by the candidate with the highest remaining vote.

In 1995, 21 members were elected for the first time. If 21 members had been elected in 1991, the quota would have been:
(3205832 . 22) + 1 = 145720

  

Determination of surplus
Under Quota Preferential voting, if at any point in the count a candidate has in excess of a quota of votes, there needs to be a mechanism to determine which of a candidates' votes make up the quota by which they are elected, and which are surplus to quota votes to be distributed as preferences.

In NSW, the method by which votes are transferred is a random sampling of ballot papers, followed by their physical transfer to the 'pile' of another candidate. This sampling is greatly simplified by the earlier classification of primary votes into ticket and block votes.

Parts of this section are based on notes provided on pp 33-135 of the Statistical Returns for the 1991 Legislative Council election.
GREEN, Antony: Electing the New South Wales Legislative Council 1978 to 1995: Past Results and Future Prospects Background Paper No 1995/2

Legislative Council 2000

The Legislative Council, 2000
[Courtesy of NSW Parliament]

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NSW State Electoral Office
http://www.seo.nsw.gov.au/framesets/mf_electoralinfo.htm

Dated viewed 27 November 2002
Author: New South Wales State Electoral Office

How votes are counted
http://www.seo.nsw.gov.au/school/info/guide/proc_op.htm

Dated viewed 27 November 2002
Author: New South Wales State Electoral Office
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