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Volume I, Section 3 …
Tags: accuracy requirements, electrical power, electrical supply, environmental requirements, hardware sources, hardware standards, performance requirements, power disturbance, scope, section 3, shelter requirements, space requirements, table of contents,Pages: 30
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Created: Tue Jun 8 11:20:29 2004
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Volume I, Section 3
Table of Contents
3 Hardware Standards............................................................................................................................... 3-1
3.1 Scope ............................................................................................................................................... 3-1
3.1.1 Hardware Sources.............................................................................................................. 3-2
3.1.2 Organization of this Section ............................................................................................... 3-2
3.2 Performance Requirements............................................................................................................. 3-2
3.2.1 Accuracy Requirements ..................................................................................................... 3-3
3.2.2 Environmental Requirements ............................................................................................. 3-4
3.2.2.1 Shelter Requirements .......................................................................................... 3-5
3.2.2.2 Space Requirements ........................................................................................... 3-5
3.2.2.3 Furnishings and Fixtures ..................................................................................... 3-5
3.2.2.4 Electrical Supply .................................................................................................. 3-5
3.2.2.5 Electrical Power Disturbance.............................................................................. 3-6
3.2.2.6 Electrical Fast Transient...................................................................................... 3-6
3.2.2.7 Lightning Surge .................................................................................................... 3-6
3.2.2.8 Electrostatic Disruption........................................................................................ 3-7
3.2.2.9 Electromagnetic Radiation................................................................................... 3-7
3.2.2.10 Electromagnetic Susceptibility............................................................................. 3-7
3.2.2.11 Conducted RF Immunity...................................................................................... 3-7
3.2.2.12 Magnetic Fields Immunity .................................................................................... 3-8
3.2.2.13 Environmental Control - Operating Environment................................................. 3-8
3.2.2.14 Environmental Control - Transit and Storage ...................................................... 3-8
3.2.2.15 Data Network Requirements ............................................................................... 3-8
3.2.3 Election Management System (EMS) Requirements ........................................................ 3-9
3.2.3.1 Recording Requirements..................................................................................... 3-9
3.2.3.2 Memory Stability................................................................................................... 3-9
3.2.4 Vote Recording Requirements ........................................................................................... 3-9
3.2.4.1 Common Standards .......................................................................................... 3-10
3.2.4.2 Paper-Based Recording Standards .................................................................. 3-10
3.2.4.2.1 Paper Ballot Standards ........................................................................ 3-10
3.2.4.2.2 Punching Devices ................................................................................ 3-11
3.2.4.2.3 Marking Devices ................................................................................... 3-11
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3.2.4.2.4 Frames or Fixtures for Punchcard Ballots ........................................... 3-11
3.2.4.2.5 Frames or Fixtures for Printed Ballots ................................................. 3-12
3.2.4.2.6 Ballot Boxes and Ballot Transfer Boxes............................................... 3-12
3.2.4.3 DRE Systems Recording Requirements .......................................................... 3-13
3.2.4.3.1 Activity Indicator.................................................................................... 3-13
3.2.4.3.2 DRE System Vote Recording .............................................................. 3-13
3.2.4.3.3 Recording Accuracy............................................................................. 3-14
3.2.4.3.4 Recording Reliability............................................................................. 3-14
3.2.5 Paper-based Conversion Requirements.......................................................................... 3-14
3.2.5.1 Ballot Handling ................................................................................................... 3-15
3.2.5.1.1 Capacity (Central Count)...................................................................... 3-15
3.2.5.1.2 Exception Handling (Central Count)..................................................... 3-15
3.2.5.1.3 Exception Handling (Precinct Count) ................................................... 3-15
3.2.5.1.4 Multiple Feed Prevention ...................................................................... 3-16
3.2.5.2 Ballot Reading Accuracy.................................................................................... 3-16
3.2.6 Processing Requirements................................................................................................ 3-17
3.2.6.1 Paper-Based System Processing Requirements ............................................. 3-17
3.2.6.1.1 Processing Accuracy........................................................................... 3-17
3.2.6.1.2 Memory Stability ................................................................................... 3-18
3.2.6.2 DRE System Processing Requirements .......................................................... 3-18
3.2.6.2.1 Processing Speed................................................................................ 3-18
3.2.6.2.2 Processing Accuracy........................................................................... 3-18
3.2.6.2.3 Memory Stability ................................................................................... 3-19
3.2.7 Reporting Requirements .................................................................................................. 3-19
3.2.7.1 Removable Storage Media................................................................................. 3-19
3.2.7.2 Printers............................................................................................................... 3-19
3.2.8 Vote Data Management Requirements ............................................................................ 3-20
3.2.8.1 Data File Management....................................................................................... 3-20
3.2.8.2 Data Report Generation..................................................................................... 3-20
3.3 Physical Characteristics ................................................................................................................ 3-21
3.3.1 Size................................................................................................................................... 3-21
3.3.2 Weight............................................................................................................................... 3-21
3.3.3 Transport and Storage of Precinct Systems.................................................................... 3-21
3.4 Design, Construction, and Maintenance Characteristics .............................................................. 3-22
3.4.1 Materials, Processes, and Parts ...................................................................................... 3-22
3.4.2 Durability ........................................................................................................................... 3-22
3.4.3 Reliability........................................................................................................................... 3-22
3.4.4 Maintainability.................................................................................................................... 3-23
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3.4.4.1 Physical Attributes ............................................................................................. 3-23
3.4.4.2 Additional Attributes............................................................................................ 3-24
3.4.5 Availability.......................................................................................................................... 3-24
3.4.6 Product Marking................................................................................................................ 3-25
3.4.7 Workmanship ................................................................................................................... 3-26
3.4.8 Safety................................................................................................................................ 3-26
3.4.9 Human Engineering--Controls and Displays................................................................... 3-27
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3 Hardware Standards
3.1 Scope
This section contains the requirements for the machines and manufactured devices
that are part of a voting system. It specifies minimum values for certain performance
characteristics; physical characteristics; and design, construction, and maintenance
characteristics for the hardware and selected related components of all voting systems,
such as:
Ballot printers;
Ballot cards and sheets;
Ballot displays;
Voting devices, including punching and marking devices and DRE recording
devices;
Voting booths and enclosures;
Ballot boxes and ballot transfer boxes;
Ballot readers;
Computers used to prepare ballots, program elections, consolidate and report
votes, and perform other elections management activities;
Electronic ballot recorders;
Electronic precinct vote control units;
Removable electronic data storage media;
Servers; and
Printers.
This section applies to the combination of software and hardware to accomplish
specific performance and system control requirements. Standards that are specific to
software alone are provided in Section 4 of the Standards.
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3.1.1 Hardware Sources
The requirements of this section apply generally to all hardware used in voting
systems, including:
a. Hardware provided by the voting system vendor and its suppliers;
b. Hardware furnished by an external provider (for example, providers of
commercial off-the-shelf (COTS) machines and devices) where the hardware
may be used in any way during voting system operation; and
c. Hardware provided by the voting jurisdiction.
3.1.2 Organization of this Section
The standards presented in this section are organized as follows:
Performance Requirements: These requirements address the combined
operational capabilities of the voting system's hardware and software across a
broad range of parameters;
Physical Requirements: These requirements address the size, weight and
transportability of the voting system; and
Design, Construction, and Maintenance Requirements: These requirements
address the reliability and durability of materials, product marking, quality of
system workmanship, safety, and other attributes to ensure smooth system
operation in the voting environment.
3.2 Performance Requirements
The performance requirements address a broad range of parameters, encompassing:
a. Accuracy requirements, where requirements are specified for distinct
processing functions of paper-based and DRE systems;
b. Environmental requirements, where no distinction is made between
requirements for paper-based and DRE systems, but requirements for precinct
and central count are described;
c. Vote data management requirements, where no differentiation is made
between requirements for paper-based and DRE systems;
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d. Vote recording requirements, where separate and distinct requirements are
delineated for paper-based and DRE systems;
e. Conversion requirements, which apply only to paper-based systems;
f. Processing requirements, where separate and distinct requirements are
delineated for paper-based and DRE systems; and
g. Reporting requirements, where no distinction is made between requirements
for paper-based and DRE systems, but where differences between precinct
and central count systems are readily apparent based on differences of their
reporting.
The performance requirements include such attributes as ballot reading and handling
requirements; system accuracy; memory stability; and the ability to withstand specified
environmental conditions. These characteristics also encompass system-wide
requirements for shelter, electrical supply, and compatibility with data networks.
Performance requirements for voting systems represent the combined operational
capability of both system hardware and software. Accuracy, as measured by data
error rate, and operational failure are treated as distinct attributes in performance
testing. All systems shall meet the performance requirements under operating
conditions and after storage under non-operating conditions.
3.2.1 Accuracy Requirements
Voting system accuracy addresses the accuracy of data for each of the individual
ballot positions that could be selected by a voter, including the positions that are not
selected. For a voting system, accuracy is defined as the ability of the system to
capture, record, store, consolidate and report the specific selections and absence of
selections, made by the voter for each ballot position without error. Required accuracy
is defined in terms of an error rate that for testing purposes represents the maximum
number of errors allowed while processing a specified volume of data. This rate is set
at a sufficiently stringent level such that the likelihood of voting system errors affecting
the outcome of an election is exceptionally remote even in the closest of elections.
The error rate is defined using a convention that recognizes differences in how vote
data is processed by different types of voting systems. Paper-based and DRE systems
have different processing steps. Some differences also exist between precinct count
and central count systems. Therefore, the acceptable error rate applies separately and
distinctly to each of the following functions:
a. For all paper-based systems:
1) Scanning ballot positions on paper ballots to detect selections for individual
candidates and contests;
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2) Conversion of selections detected on paper ballots into digital data;
b. For all DRE systems:
1) Recording the voter selections of candidates and contests into voting data
storage; and
2) Independently from voting data storage, recording voter selections of
candidates and contests into ballot image storage.
c. For precinct-count systems (paper-based and DRE):
Consolidation of vote selection data from multiple precinct-based systems to
generate jurisdiction-wide vote counts, including storage and reporting of the
consolidated vote data; and
d. For central-count systems (paper-based and DRE):
Consolidation of vote selection data from multiple counting devices to generate
jurisdiction-wide vote counts, including storage and reporting of the
consolidated vote data.
For testing purposes, the acceptable error rate is defined using two parameters: the
desired error rate to be achieved, and the maximum error rate that should be accepted
by the test process.
For each processing function indicated above, the system shall achieve a target error
rate of no more than one in 10,000,000 ballot positions, with a maximum acceptable
error rate in the test process of one in 500,000 ballot positions.
3.2.2 Environmental Requirements
The environmental requirements for voting systems include shelter, space, furnishings
and fixtures, supplied energy, environmental control , and external telecommunications
services. Environmental conditions applicable to the design and operation of voting
systems consist of the following categories:
Natural environment, including temperature, humidity, and atmospheric
pressure;
Induced environment, including proper and improper operation and handling of
the system and its components during the election processes;
Transportation and storage; and
Electromagnetic signal environment, including exposure to and generation of
radio frequency energy.
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All voting systems shall be designed to withstand the environmental conditions
contained in the appropriate test procedures of the Standards. These procedures will
be applied to all devices for casting, scanning and counting ballots, except those that
constitute COTS devices that have not been modified in any manner to support their
use as part of a voting system and that have a documented record of performance
under conditions defined in the Standards.
The TDP supplied by the vendor shall include a statement of all requirements and
restrictions regarding environmental protection, electrical service, recommended
auxiliary power, telecommunications service, and any other facility or resource
required for the proper installation and operation of the system.
3.2.2.1 Shelter Requirements
All precinct count systems shall be designed for storage and operation in any enclosed
facility ordinarily used as a warehouse or polling place, with prominent instructions as
to any special storage requirements.
3.2.2.2 Space Requirements
There is no restriction on space allowed for the installation of voting systems, except
that the arrangement of these systems shall not impede performance of their duties by
polling place officials, the orderly flow of voters through the polling place, or the ability
for the voter to vote in private.
3.2.2.3 Furnishings and Fixtures
Any furnishings or fixtures provided as a part of voting systems, and any components
provided by the vendor that are not a part of the system but that are used to support its
storage, transportation, or operation, shall comply with the design and safety
requirements of Subsection 3.4.8.
3.2.2.4 Electrical Supply
Components of voting systems that require an electrical supply shall meet the following
standards:
a. Precinct count systems shall operate with the electrical supply ordinarily found
in polling places (120vac/60hz/1);
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b. Central count systems shall operate with the electrical supply ordinarily found
in central tabulation facilities or computer room facilities (120vac/60hz/1,
208vac/60hz/3, or 240vac/60hz/2); and
c. All systems shall also be capable of operating for a period of at least 2 hours
on backup power, such that no voting data is lost or corrupted, nor normal
operations interrupted. When backup power is exhausted the system shall
retain the contents of all memories intact.
The backup power capability is not required to provide lighting of the voting area.
3.2.2.5 Electrical Power Disturbance
Vote scanning and counting equipment for paper-based systems, and all DRE
equipment, shall be able to withstand, without disruption of normal operation or loss of
data:
a. Surges of 30% dip @10 ms;
b. Surges of 60% dip @100 ms & 1 sec
c. Surges of >95% interrupt @5 sec;
d. Surges of +15% line variations of nominal line voltage; and
e. Electric power increases of 7.5% and reductions of 12.5% of nominal
specified power supply for a period of up to four hours at each power level.
3.2.2.6 Electrical Fast Transient
Vote scanning and counting equipment for paper-based systems, and all DRE
equipment, shall be able to withstand, without disruption of normal operation or loss of
data, electrical fast transients of:
a. 2 kV AC & DC external power lines;
b. +1 kV all external wires >3m no control; and
c. +2 kV all external wires control.
3.2.2.7 Lightning Surge
Vote scanning and counting equipment for paper-based systems, and all DRE
equipment, shall be able to withstand, without disruption of normal operation or loss of
data, surges of:
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a. +2 kV AC line to line;
b. +2 kV AC line to earth;
c. +.5 kV DC line to line >10m;
d. +.5 kV DC line to earth >10m; and
e. +1 kV I/O sig/control >30m.
3.2.2.8 Electrostatic Disruption
Vote scanning and counting equipment for paper-based systems, and all DRE
equipment, shall be able to withstand ±15 kV air discharge and ±8 kV contact
discharge without damage or loss of data. The equipment may reset or have
momentary interruption so long as normal operation is resumed without human
intervention or loss of data. Loss of data means votes that have been completed and
confirmed to the voter.
3.2.2.9 Electromagnetic Radiation
Vote scanning and counting equipment for paper-based systems, and all DRE
equipment, shall comply with the Rules and Regulations of the Federal
Communications Commission, Part 15, Class B requirements for both radiated and
conducted emissions.
3.2.2.10 Electromagnetic Susceptibility
Vote scanning and counting equipment for paper-based systems, and all DRE
equipment, shall be able to withstand an electromagnetic field of 10 V/m modulated by
a 1 kHz 80% AM modulation over the frequency range of 80 MHz to 1000 MHz,
without disruption of normal operation or loss of data.
3.2.2.11 Conducted RF Immunity
Vote scanning and counting equipment for paper-based systems, and all DRE
equipment, shall be able to withstand, without disruption of normal operation or loss of
data, conducted RF energy of:
a. 10V AC & DC power; and
b. 10V, 20 sig/control >3m.
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3.2.2.12 Magnetic Fields Immunity
Vote scanning and counting equipment for paper-based systems, and all DRE
equipment, shall be able to withstand, without disruption of normal operation or loss of
data, AC magnetic fields of 30 A/m at 60 Hz.
3.2.2.13 Environmental Control - Operating Environment
Equipment used for election management activities or vote counting (including both
precinct and central count systems) shall be capable of operation in temperatures
ranging from 50 to 95 degrees Fahrenheit.
3.2.2.14 Environmental Control - Transit and Storage
Equipment used for vote casting, or for counting votes in a precinct count system, shall
meet specific minimum performance standards that simulate exposure to physical
shock and vibration associated with handling and transportation by surface and air
common carriers, and to temperature conditions associated with delivery and storage in
an uncontrolled warehouse environment.
a. High and low storage temperatures ranging from -4 to +140 degrees
Fahrenheit, equivalent to MIL-STD-810D, Methods 501.2 and 502.2,
Procedure I-Storage;
b. Bench handling equivalent to the procedure of MIL-STD-810D, Method 516.3,
Procedure VI;
c. Vibration equivalent to the procedure of MIL-STD-810D, Method 514.3,
Category 1- Basic Transportation, Common Carrier; and
d. Uncontrolled humidity equivalent to the procedure of MIL-STD-810D, Method
507.2, Procedure I-Natural Hot-Humid.
3.2.2.15 Data Network Requirements
Voting systems may use a local or remote data network. If such a network is used,
then all components of the network shall comply with the telecommunic ations
requirements described in Section 5 of the Standards and the Security requirements
described in Section 6.
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3.2.3 Election Management System (EMS) Requirements
The EMS requirements address electronic hardware and software used to conduct the
pre-voting functions defined in Section 2 with regard to ballot preparation, election
programming, ballot and program installation, readiness testing, verification at the
polling place, and verification at the central location.
3.2.3.1 Recording Requirements
Voting systems shall accurately record all election management data entered by the
user, including election officials or their designees. For recording accuracy, all systems
shall:
a. Record every entry made by the user;
b. Add permissible voter selections correctly to the memory components of the
device;
c. Verify the correctness of detection of the user selections and the addition of
the selections correctly to memory;
d. Add various forms of data entered directly by the election official or designee,
such as text, line art, logos, and images;
e. Verify the correctness of detection of data entered directly by the user and the
addition of the selections correctly to memory;
f. Preserve the integrity of election management data stored in memory against
corruption by stray electromagnetic emissions, and internally generated
spurious electrical signals; and
g. Log corrected data errors by the system.
3.2.3.2 Memory Stability
Electronic system memory devices, used to retain election management data, shall
have demonstrated error-free data retention for a period of 22 months.
3.2.4 Vote Recording Requirements
The vote recording requirements address the enclosure, equipment, and supplies used
by voters to vote.
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3.2.4.1 Common Standards
All systems shall provide voting booths or enclosures for poll site use. Such booths or
enclosures may be integral to the voting system or supplied as components of the
voting system, and shall:
a. Be integral to, or makes provision for, the installation of, the voting device;
b. Ensure by its structure stability against movement or overturning during entry,
occupancy, and exit by the voter;
c. Provide privacy for the voter, and be designed in such a way as to prevent
observation of the ballot by any person other than the voter; and
d. Be capable of meeting the accessibility requirements of Section 2.2.7.1.
3.2.4.2 Paper-Based Recording Standards
The paper-based recording requirements govern:
Ballot cards or sheets, and pages or assemblies of pages containing ballot field
identification data;
Punching devices;
Marking devices;
Frames or fixtures to hold the ballot while it is being punched;
Compartments or booths where voters record selections; and
Secure containers for the collection of voted ballots.
3.2.4.2.1 Paper Ballot Standards
Paper ballots used by paper-based voting systems shall meet the following standards:
a. Punches or marks that identify the unique ballot format, in accordance with
Section 2.3.1.1.1.c., shall be outside the area in which votes are recorded, so
as to minimize the likelihood that these punches or marks will be mistaken for
vote responses and the likelihood that recorded votes will obliterate these
punches or marks;
b. If printed or punched alignment marks are used to locate the vote response
fields on the ballot, these marks shall be outside the area in which votes are
recorded, so as to minimize the likelihood that these marks will be mistaken for
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vote responses and the likelihood that recorded votes will obliterate these
marks; and
c. The TDP shall specify the required paper stock, size, shape, opacity, color,
watermarks, field layout, orientation, size and style of printing, size and location
of punch or mark fields used for vote response fields and to identify unique
ballot formats, placement of alignment marks, ink for printing, and folding and
bleed-through limitations for preparation of ballots that are compatible with the
system.
3.2.4.2.2 Punching Devices
Punching devices used by voting systems shall:
a. Be suitable for the type of ballot card specified;
b. Facilitate the clear and accurate recording of each vote intended by the voter;
c. Be designed to avoid excessive damage to vote recorder components; and
d. Incorporate features to ensure that the chad (debris) is completely removed,
without damage to other parts of the ballot card.
3.2.4.2.3 Marking Devices
The TDP shall specify marking devices (such as pens or pencils) that, if used to make
the prescribed form of mark, produce readable marked ballots such that the system
meets the performance requirements for accuracy specified previously. These
specifications shall identify:
a. Specific characteristics of marking devices that affect readability of marked
ballots;
b. Performance capabilities with regard to each characteristic; and
c. For marking devices manufactured by multiple external sources, a listing of
sources and model numbers that are compatible with the system.
3.2.4.2.4 Frames or Fixtures for Punchcard Ballots
The frame or fixture for punchcards shall:
a. Hold the ballot card securely in its proper location and orientation for voting;
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b. When contests are not printed directly on the ballot card or sheet, incorporate
an assembly of ballot label pages that identify the offices and issues
corresponding to the proper ballot format for the polling place where it is used
and that are aligned with the voting fields assigned to them; and
c. Incorporate a template to preclude perforation of the card except in the
specified voting fields; a mask to allow punches only in fields designated by the
format of the ballot; and a backing plate for the capture and removal of chad.
This requirement may be satisfied by equipment of a different design as long it
achieves the same result as the Standards with regard to:
1) Positioning the card;
2) Association of ballot label information with corresponding punch fields;
3) Enabling of only those voting fields that correspond to the format of the
ballot; and
4) Punching the fields and the positive removal of chad.
3.2.4.2.5 Frames or Fixtures for Printed Ballots
A frame or fixture for printed ballot cards is optional. However, if such a device is
provided, it shall:
a. Be of any size and shape consistent with its intended use;
b. Position the card properly;
c. Hold the ballot card securely in its proper location and orientation for voting;
and
d. Comply with the requirements for design and construction contained in Section
3.4.
3.2.4.2.6 Ballot Boxes and Ballot Transfer Boxes
Ballot boxes and ballot transfer boxes, which serve as secure containers for the
storage and transportation of voted ballots, shall:
a. Be of any size, shape, and weight commensurate with their intended use;
b. Incorporate locks or seals, the specifications of which are described in the
system documentation;
c. Provide specific points where ballots are inserted, with all other points on the
box constructed in a manner that prevents ballot insertion; and
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d. For precinct count systems, contain separate compartments for the
segregation of unread ballots, ballots containing write-in votes, or any
irregularities that may require special handling or processing. In lieu of
compartments, the conversion processing may mark such ballots with an
identifying spot or stripe to facilitate manual segregation.
3.2.4.3 DRE Systems Recording Requirements
The DRE systems recording requirements address the detection and recording of
votes, including the logic and data processing functions required to determine the
validity of voter selections, to accept and record valid selections, and to reject invalid
selections. The requirements also address the physical environment in which ballots
are cast.
3.2.4.3.1 Activity Indicator
DRE systems shall include an audible or visible activity indicator providing the status of
each voting device. This indicator shall:
a. Indicate whether the device has been activated for voting; and
b. Indicate whether the device is in use.
3.2.4.3.2 DRE System Vote Recording
To ensure vote recording accuracy and integrity while protecting the anonymity of the
voter, all DRE systems shall:
a. Contain all mechanical, electromechanical, and electronic components;
software; and controls required to detect and record the activation of
selections made by the voter in the process of voting and casting a ballot;
b. Incorporate redundant memories to detect and allow correction of errors
caused by the failure of any of the individual memories;
c. Provide at least two processes that record the voter's selections that:
1) To the extent possible, are isolated from each other;
2) Designate one process and associated storage location as the main vote
detection, interpretation, processing and reporting path; and
Use a different process to store ballot images, for which the method of recording may
include any appropriate encoding or data compression procedure consistent with the
regeneration of an unequivocal record of the ballot as cast by the voter.
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d. Provide a capability to retrieve ballot images in a form readable by humans;
and
e. Ensure that all processing and storage protects the anonymity of the voter.
3.2.4.3.3 Recording Accuracy
DRE systems shall meet the following requirements for recording accurately each vote
and ballot cast:
a. Detect every selection made by the voter;
b. Correctly add permissible selections to the memory components of the device;
c. Verify the correctness of the detection of the voter selections and the addition
of the selections to memory;
d. Achieve an error rate not to exceed the requirement indicated in Section 3.2.1;
e. Preserve the integrity of voting data and ballot images (for DRE machines)
stored in memory for the offic ial vote count and audit trail purposes against
corruption by stray electromagnetic emissions, and internally generated
spurious electrical signals; and
f. Maintain a log of corrected data.
3.2.4.3.4 Recording Reliability
Recording reliability refers to the ability of the DRE system to record votes accurately
at its maximum rated processing volume for a specified period of time. The DRE
system shall record votes reliably in accordance with the requirements of Section
3.4.3.
3.2.5 Paper-based Conversion Requirements
The paper-based conversion requirements address the ability of the system to read the
ballot card and to translate its pattern of punches or marks into electronic signals for
later processing. These capabilities may be built into the voting system in an integrated
fashion, or may be provided by one or more components that are not unique to the
system, such as a general-purpose data processing card reader or read head suitably
interfaced to the system. These requirements address two major functions: ballot
handling and ballot reading.
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3.2.5.1 Ballot Handling
Ballot handling consists of a ballot card's acceptance, movement through the read
station, and transfer into a collection station or receptacle.
3.2.5.1.1 Capacity (Central Count)
The capacity to convert the punches or marks on individual ballots into signals is
uniquely important to central count systems. The capacity for a central count system
shall be documented by the vendor. This documentation shall include the capacity for
individual components that impact the overall capacity.
3.2.5.1.2 Exception Handling (Central Count)
This requirement refers to the handling of ballots for a central count system when they
are unreadable or when some condition is detected requiring that the cards be
segregated from normally processed ballots for human review. In response to an
unreadable ballot or a write-in vote all central count paper-based systems shall:
a. Outstack the ballot, or
b. Stop the ballot reader and display a message prompting the election official or
designee to remove the ballot, or
c. Mark the ballot with an identifying mark to facilitate its later identification.
Additionally, the system shall provide a capability that can be activated by an
authorized election official to identify ballots containing overvotes, blank ballots, and
ballots containing undervotes in a designated race. If enabled, these capabilities shall
perform one of the above actions in response to the indicated condition.
3.2.5.1.3 Exception Handling (Precinct Count)
This requirement refers to the handling of ballots for a precinct count system when
they are unreadable or when some condition is detected requiring that the cards be
segregated from normally processed ballots for human review. All paper based
precinct count systems shall:
a. In response to an unreadable or blank ballot, return the ballot and provide a
message prompting the voter to examine the ballot;
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b. In response to a ballot with a write-in vote, segregate the ballot or mark the
ballot with an identifying mark to facilitate its later identification;
c. In response to a ballot with an overvote the system shall:
1) Provide a capability to identify an overvoted ballot;
2) Return the ballot;
3) Provide an indication prompting the voter to examine the ballot;
4) Allow the voter to submit the ballot with the overvote; and
5) Provide a means for an authorized election official to deactivate this
capability entirely and by contest; and
d. In response to a ballot with an undervote the system shall:
1) Provide a capability to identify an undervoted ballot;
2) Return the ballot;
3) Provide an indication prompting the voter to examine the ballot;
4) Allow the voter to submit the ballot with the undervote; and
5) Provide a means for an authorized election official to deactivate this
capability.
3.2.5.1.4 Multiple Feed Prevention
Multiple feed refers to the situation arising when a ballot reader attempts to read more
than one ballot at a time. The requirements govern the ability of a ballot reader to
prevent multiple feed or to detect and provide an alarm indicating multiple feed.
a. If multiple feed is detected, the card reader shall halt in a manner that permits
the operator to remove the unread cards causing the error, and reinsert them
in the card input hopper.
b. The frequency of multiple feeds with ballots intended for use with the system
shall not exceed l in 10,000.
3.2.5.2 Ballot Reading Accuracy
This paper-based system requirement governs the conversion of the physical ballot into
electronic data. Reading accuracy for ballot conversion refers to the ability to:
Recognize vote punches or marks, or the absence thereof, for each possible
selection on the ballot;
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Discriminate between valid punches or marks and extraneous perforations,
smudges, and folds; and
Convert the vote punches or marks, or the absence thereof, for each possible
selection on the ballot into digital signals.
To ensure accuracy, paper-based systems shall:
a. Detect punches or marks that conform to vendor specifications with an error
rate not exceeding the requirement indicated in Section 3.2.1;
b. Ignore, and not record, extraneous perforations, smudges, and folds; and
c. Reject ballots that meet all vendor specifications at a rate not to exceed 2
percent.
3.2.6 Processing Requirements
Processing requirements apply to the hardware and software required to accumulate
voting data for all candidates and measures within voting machines and polling places,
and to consolidate the voting data at a central level or multiple levels. These
requirements also address the generation and maintenance of audit records, the
detection and disabling of improper use or operation of the system, and the monitoring
of overall system status. Separate and distinct requirements for paper-based and DRE
voting systems are presented below.
3.2.6.1 Paper-Based System Processing Requirements
The paper-based processing requirements address all mechanical devices,
electromechanical devices, electronic devices, and software required to perform the
logical and numerical functions of interpreting the electronic image of the voted ballot,
and assigning votes to the proper memory registers.
3.2.6.1.1 Processing Accuracy
Processing accuracy refers to the ability of the system to receive electronic signals
produced by punches for punchcard systems and vote marks and timing information
for marksense systems; perform logical and numerical operations upon these data; and
reproduce the contents of memory when required, without error. Specific requirements
are detailed below:
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a. Processing accuracy shall be measured by vote selection error rate, the ratio
of uncorrected vote selection errors to the total number of ballot positions that
could be recorded across all ballots when the system is operated at its nominal
or design rate of processing;
b. The vote selection error rate shall include data that denotes ballot style or
precinct as well as data denoting a vote in a specific contest or ballot
proposition;
c. The vote selection error rate shall include all errors from any source; and
d. The vote selection error rate shall not exceed the requirement indicated in
Section 3.2.1.
3.2.6.1.2 Memory Stability
Paper-based system memory devices, used to retain control programs and data, shall
have demonstrated error-free data retention for a period of 22 months, under the
environmental conditions for operation and non-operation (i.e. storage).
3.2.6.2 DRE System Processing Requirements
The DRE system processing requirements address all mechanical devices,
electromechanical devices, electronic devices, and software required to process voting
data after the polling places are closed.
3.2.6.2.1 Processing Speed
DRE voting systems shall meet the following requirements for processing speed:
a. Operate at a speed suffic ient to respond to any operator and voter input
without perceptible delay (no more than three seconds); and
b. If the consolidation of polling place data is done locally, perform this
consolidation in a time not to exceed five minutes for each device in the polling
place.
3.2.6.2.2 Processing Accuracy
Processing accuracy is defined as the ability of the system to process voting data
stored in DRE voting devices, or in removable memory modules installed in such
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devices. Processing includes all operations to consolidate voting data after the polling
places have been closed. DRE voting systems shall:
a. Produce reports that are completely consistent, with no discrepancy among
reports of voting device data produced at any level; and
b. Produce consolidated reports containing absentee, provisional, or other voting
data that are similarly error-free. Any discrepancy, regardless of source, is
resolvable to a procedural error, to the failure of a non-memory device, or to
an external cause.
3.2.6.2.3 Memory Stability
DRE system memory devices used to retain control programs and data shall have
demonstrated error-free data retention for a period of 22 months. Error-free retention
may be achieved by the use of redundant memory elements, provided that the
capability for conflict resolution or correction among elements is included.
3.2.7 Reporting Requirements
The reporting requirements govern all mechanical, electromechanical, and electronic
devices required for voting systems to print audit record entries and results of the
tabulation. These requirements also address data storage media for transportation of
data to other sites.
3.2.7.1 Removable Storage Media
In voting systems that use storage media that can be removed from the system and
transported to another location for readout and report generation, these media shall use
devices with demonstrated error-free retention for a period of 22 months under the
environmental conditions for operation and non-operation contained in Section 3.2.2.
Examples of removable storage media include: programmable read-only memory
(PROM), random access memory (RAM) with battery backup, magnetic media, or
optical media.
3.2.7.2 Printers
All printers used to produce reports of the vote count shall be capable of producing:
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a. Alphanumeric headers;
b. Election, office and issue labels; and
c. Alphanumeric entries generated as part of the audit record.
3.2.8 Vote Data Management Requirements
The vote data management requirements for all systems address capabilities that
manage, process, and report voting data after the data has been consolidated at the
polling place or other intermediate levels. These capabilities allow the system to:
a. Consolidate voting data from polling place data memory or transfer devices;
b. Report polling place summaries; and
c. Process absentee ballots, data entered manually, and administrative ballot
definition data.
The requirements address all hardware and software required to generate output
reports in the various formats required by the using jurisdiction.
3.2.8.1 Data File Management
All voting systems shall provide the capability to:
a. Integrate voting data files with ballot definition files;
b. Verify file compatibility; and
c. Edit and update files as required.
3.2.8.2 Data Report Generation
All voting systems shall include report generators for producing output reports at the
device, polling place, and summary level, with provisions for administrative and judicial
subdivisions as required by the using jurisdiction.
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3.3 Physical Characteristics
This section covers physical characteristics of all voting systems and components that
affect their general utility and suitability for election operations.
3.3.1 Size
There is no numerical limitation on the size of any voting system equipment, but the
size of each device should be compatible with its intended use and the location at
which the equipment is to be used.
3.3.2 Weight
There is no numerical limitation on the weight of any voting system equipment, but the
weight of each device should be compatible with its intended use and the location at
which the equipment is to be used.
3.3.3 Transport and Storage of Precinct Systems
All precinct systems shall:
a. Provide a means to safely and easily handle, transport, and install polling place
equipment, such as wheels or a handle or handles; and
b. Be capable of using, or be provided with, a protective enclosure rendering the
equipment capable of withstanding:
1) Impact, shock and vibration loads accompanying surface and air
transportation; and
2) Stacking loads accompanying storage.
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3.4 Design, Construction, and Maintenance
Characteristics
This section covers voting system materials, construction workmanship, and specific
design characteristics important to the successful operation and efficient maintenance
of the system.
3.4.1 Materials, Processes, and Parts
The approach to system design is unrestricted, and may incorporate any form or
variant of technology capable of meeting the voting systems requirements and
standards.
Precinct count systems shall be designed in accordance with best commercial practice
for microcomputers, process controllers, and their peripheral components. Central
count voting systems and equipment used in a central tabulating environment shall be
designed in accordance with best commercial and industrial practice.
All voting systems shall:
a. Be designed and constructed so that the frequency of equipment malfunctions
and maintenance requirements are reduced to the lowest level consistent with
cost constraints;
b. Include, as part of the accompanying TDP, an approved parts list; and
c. Exclude parts or components not included in the approved parts list.
3.4.2 Durability
All voting systems shall be designed to withstand normal use without deterioration and
without excessive maintenance cost for a period of ten years.
3.4.3 Reliability
The reliability of voting system devices shall be measured as mean time between
Failure (MTBF) for the system submitted for testing. MBTF is defined as the value of
the ratio of operating time to the number of failures which have occurred in the
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specified time interval. A typical system operations scenario consist of approximately
45 hours of equipment operation, consisting of 30 hours of equipment set-up and
readiness testing and 15 hours of elections operations. For the purpose of
demonstrating compliance with this requirement, a failure is defined as any event
which results in either the:
a. Loss of one or more functions; or
b. Degradation of performance such that the device is unable to perform its
intended function for longer than 10 seconds.
The MTBF demonstrated during qualification testing shall be at least 163 hours.
3.4.4 Maintainability
Maintainability represents the ease with which maintenance actions can be performed
based on the design characteristics of equipment and software and the processes the
vendor and election officials have in place for preventing failures and for reacting to
failures. Maintainability includes the ability of equipment and software to self-diagnose
problems and make non-technical election workers aware of a problem. Maintainability
addresses all scheduled and unscheduled events, which are performed to:
· Determine the operational status of the system or a component;
· Adjust, align, tune, or service components;
· Repair or replace a component having a specified operating life or
replacement interval;
· Repair or replace a component that exhibits an undesirable predetermined
physical condition or performance degradation;
· Repair or replace a component that has failed; and
· Verify the restoration of a component, or the system, to operational status.
Maintainability shall be determined based on the presence of specific physical
attributes that aid system maintenance activities, and the ease with which system
maintenance tasks can be performed by the ITA. Although a more quantitative basis
for assessing maintainability, such as the mean to repair the system is desirable, the
qualification of a system is conducted before it is approved for sale and thus before a
broader base of maintenance experience can be obtained.
3.4.4.1 Physical Attributes
The following physical attributes will be examined to assess reliability:
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a. Presence of labels and the identification of test points;
b. Provision of built-in test and diagnostic circuitry or physical indicators of
condition;
c. Presence of labels and alarms related to failures; and
d. Presence of features that allow non-technicians to perform routine
maintenance tasks (such as update of the system database).
3.4.4.2 Additional Attributes
The following additional attributes will be considered to assess system maintainability.
a. Ease of detecting that equipment has failed by a non-technician;
b. Ease of diagnosing problems by a trained technician;
c. Low false alarm rates (i.e., indications of problems that do not exist);
d. Ease of access to components for replacement;
e. Ease with which adjustment and alignment can be performed;
f. Ease with which database updates can be performed by a non-technician; and
g. Adjust, align, tune, or service components.
3.4.5 Availability
The availability of a voting system is defined as the probability that the equipment (and
supporting software) needed to perform designated voting functions will respond to
operational commands and accomplish the function. The voting system shall meet the
availability standard for each of the following voting functions:
a. For all paper-based systems:
1) Recording voter selections (such as by ballot marking or punch); and
2) Scanning the punches or marks on paper ballots and converting them into
digital data;
b. For all DRE systems, recording and storing the voter's ballot selections.
c. For precinct-count systems (paper-based and DRE), consolidation of vote
selection data from multiple precinct-based systems to generate jurisdiction-
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wide vote counts, including storage and reporting of the consolidated vote data;
and
d. For central-count systems (paper-based and DRE), consolidation of vote
selection data from multiple counting devices to generate jurisdiction-wide vote
counts, including storage and reporting of the consolidated vote data.
System availability is measured as the ratio of the time during which the system is
operational a (up time) to the total time period of operation (up time plus down time).
Inherent availability (Ai) is a the fraction of time a system is functional, based upon
Mean Time Between Failure (MTBF) and Mean Time to Repair (MTTR), that is:
Ai = (MTBF)/(MTBF + MTTR)
Mean Time to Repair (MTTR) is the average time required to perform a corrective
maintenance task during periods of system operation. Corrective maintenance task
time is active repair time, plus the time attributable to other factors that could lead to
logistic or administrative delays, such as travel notification of qualified maintenance
personnel and travel time for such personnel to arrive at the appropriate site.
Corrective maintenance may consist of substitution of the complete device or one of its
components, as in the case of precinct count and some central count systems, or it
may consist of on-site repair.
The voting system shall achieve at least ninety nine percent availability during normal
operation for the functions indicated above. This standard encompasses for each
function the combination of all devices and components that support the function,
including their MTTR and MTBF attribute.
Vendors shall specify the typical system configuration that is to be used to assess
availability, and any assumptions made with regard to any parameters that impact the
MTTR. These factors shall include at a minimum:
a. Recommended number and locations of spare devices or components to be
kept on hand for repair purposes during periods of system operation;
b. Recommended number and locations of qualified maintenance personnel who
need to be available to support repair calls during system operation; and
c. Organizational affiliation (i.e., jurisdiction, vendor) of qualified maintenance
personnel.
3.4.6 Product Marking
All voting systems shall:
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a. Identify all devices by means of a permanently affixed nameplate or label
containing the name of the manufacturer or vendor, the name of the device, its
part or model number, its revision letter, its serial number, and if applicable, its
power requirements;
b. Display on each device a separate data plate containing a schedule for and list
of operations required to service or to perform preventive maintenance; and
c. Display advisory caution and warning instructions to ensure safe operation of
the equipment and to avoid exposure to hazardous electrical voltages and
moving parts at all locations where operation or exposure may occur.
3.4.7 Workmanship
To help ensure proper workmanship, all manufacturers of voting systems shall:
a. Adopt and adhere to practices and procedures to ensure that their products
are free from damage or defect that could make them unsatisfactory for their
intended purpose; and
b. Ensure that components provided by external suppliers are free from damage
or defect that could make them unsatisfactory for their intended purpose.
3.4.8 Safety
All voting systems shall meet the following requirements for safety:
a. All voting systems and their components shall be designed so as to eliminate
hazards to personnel, or to the equipment itself;
b. Defects in design and construction that can result in personal injury or
equipment damage must be detected and corrected before voting systems and
components are placed into service; and
c. Equipment design for personnel safety shall be equal to or better than the
appropriate requirements of the Occupational Safety and Health Act (OSHA),
as identified in Title 29, part 1910, of the Code of Federal Regulations.
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3.4.9 Human Engineering--Controls and Displays
All voting systems and components shall be designed and constructed so as to simplify
and facilitate the functions required, and to eliminate the likelihood of erroneous stimuli
and responses on the part of the voter or operator. Other specific requirements for
controls and displays are described below. In addition, specific functional requirements
for system use by voters with disabilities are described in Section 2.2.7 of the
Standards. Appendix C provides additional advisory guidance on the application of
human engineering principles to the interface be