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     Voluntary Voting System Guidelines Version 1 Volume I

    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 ............................................................................................................ 3-20 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 ............................................................ 3-21 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

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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.

    All voting systems shall be designed to withstand the environmental conditions contained in the appropriate test procedures of the Standards. These procedures will

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    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);

    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

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    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:

    a. +2 kV AC line to line;

    b. +2 kV AC line to earth;

    c. +.5 kV DC line to line >10m;

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    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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