3 Hardware Standards..................................................................................

3.1 Scope.........................................................................................................

3.1.1 Hardware Sources..................................................................................

3.1.2 Organization of this Section...................................................................

3.2 Performance Requirements......................................................................

3.2.1 Accuracy Requirements.........................................................................

3.2.2 Environmental Requirements.................................................................

3.2.2.1 Shelter Requirements..........................................................................

3.2.2.2 Space Requirements...........................................................................

3.2.2.3 Furnishings and Fixtures.....................................................................

3.2.2.4 Electrical Supply..................................................................................

3.2.2.5 Environmental Control - Operating Environment................................

3.2.2.6 Environmental Control - Transit and Storage......................................

3.2.2.7 Data Network Requirements...............................................................

3.2.3 Election Management System (EMS) Requirements............................

3.2.3.1 Recording Requirements....................................................................

3.2.3.2 Memory Stability...................................................................................

3.2.4 Vote Recording Requirements...............................................................

3.2.4.1 Common Standards............................................................................

3.2.4.2 Paper-Based Recording Standards....................................................

3.2.4.2.1 Paper Ballot Standards.....................................................................

3.2.4.2.2 Punching Devices.............................................................................

3.2.4.2.3 Marking Devices...............................................................................

3.2.4.2.4 Frames or Fixtures for Punchcard Ballots.......................................

3.2.4.2.5 Frames or Fixtures for Printed Ballots...........................................

3.2.4.2.6 Ballot Boxes and Ballot Transfer Boxes.........................................

3.2.4.3 DRE Systems Recording Requirements..........................................

3.2.4.3.1 Activity Indicator..............................................................................

3.2.4.3.2 DRE System Vote Recording.........................................................

3.2.4.3.3 Recording Accuracy.......................................................................

3.2.4.3.4 Recording Reliability.......................................................................

3.2.5 Paper-based Conversion Requirements..............................................

3.2.5.1 Ballot Handling...................................................................................

3.2.5.1.1 Capacity (Central Count)................................................................

3.2.5.1.2 Exception Handling (Central Count)...............................................

3.2.5.1.3 Exception Handling (Precinct Count).............................................

3.2.5.1.4 Multiple Feed Prevention.................................................................

3.2.5.2 Ballot Reading Accuracy...................................................................

3.2.6 Processing Requirements....................................................................

3.2.6.1 Paper-Based System Processing Requirements.............................

3.2.6.1.1 Processing Accuracy.....................................................................

3.2.6.1.2 Memory Stability..............................................................................

3.2.6.2 DRE System Processing Requirements..........................................

3.2.6.2.1 Processing Speed..........................................................................

3.2.6.2.2 Processing Accuracy.....................................................................

3.2.6.2.3 Memory Stability..............................................................................

3.2.7 Reporting Requirements......................................................................

3.2.7.1 Removable Storage Media................................................................

3.2.7.2 Printers..............................................................................................

3.2.8 Vote Data Management Requirements................................................

3.2.8.1 Data File Management.......................................................................

3.2.8.2 Data Report Generation.....................................................................

3.3 Physical Characteristics..........................................................................

3.3.1 Size.......................................................................................................

3.3.2 Weight...................................................................................................

3.3.3 Transport and Storage of Precinct Systems........................................

3.4 Design, Construction, and Maintenance Characteristics........................

3.4.1 Materials, Processes, and Parts..........................................................

3.4.1.1 Ballots................................................................................................

3.4.1.2 Punching Stylus.................................................................................

3.4.1.3 Vote Recorder....................................................................................

3.4.2 Durability...............................................................................................

3.4.3 Reliability...............................................................................................

3.4.4 Maintainability........................................................................................

3.4.4.1 Physical Attributes.............................................................................

3.4.4.2 Additional Attributes...........................................................................

3.4.5 Availability..............................................................................................

3.4.6 Environmental Conditions.....................................................................

3.4.7 Electrical Power Disturbance...............................................................

3.4.8 Electromagnetic Radiation...................................................................

3.4.9 Electrostatic Disruption........................................................................

3.4.10 Electromagnetic Susceptibility...........................................................

3.4.11 Electrical Fast Transient.....................................................................

3.4.12 Lightening Surge.................................................................................

3.4.13 Conducted RF Immunity.....................................................................

3.4.14 Magnetic Fields Immunity...................................................................

3.4.15 Product Marking..................................................................................

3.4.16 Workmanship.....................................................................................

3.4.17 Safety..................................................................................................

3.4.18 Human Engineering—Controls and Displays.....................................

3                                                                                       Hardware Standards

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.

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.

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.

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;

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.

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;

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):

1)      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):

1)      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.

The environmental requirements for voting systems include shelter, space, furnishings and fixtures, supplied energy, environmental control equipment, and external telecommunications services. The TDP supplied by the vendor shall include a statement of all requirements and restrictions regarding environmental protection, electrical service, telecommunications service, and any other facility or resource required for the installation and operation of the system.

All precinct count systems shall be designed for storage and operation in any enclosed and habitable facility ordinarily used as a warehouse or polling place, with prominent instructions as to any special storage 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, or the orderly flow of voters through the polling place.

Any furnishings or fixtures provided as a part of voting systems, and any components 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.

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

c.       All systems shall also be capable of operating for a period of at least 16 hours on backup power. This capability shall include the provision of all power required to:

1)      Activate voting, record votes, and count ballots (in DRE systems);

2)      Count ballots (in paper-based systems);

3)      Display all system status and error messages; and

4)      Maintain the contents of program and data memory.

The backup power capability is not required to provide lighting of the voting area.

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.

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.

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 telecommunications requirements described in Section 5 of the Standards and the Security requirements described in Section 6.

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.

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;

g.       Corrected data errors shall in these instances be logged by the system.

Electronic system memory devices, used to retain election management data, shall have demonstrated error-free data retention for a period of 22 months.

The vote recording requirements address the enclosure, equipment, and supplies used by voters to vote.

All systems shall provide voting booths for poll site use. Such booths 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; and

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.

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.

Paper ballots used by voting systems shall meet the following standards:

a.       Ballot cards or sheets shall meet the specifications stated by the vendor with respect to formulation, size, thickness, color, watermarks, layout, size and style of printing, arrangement of offices, and size and location of punch or mark fields.

b.       Punchcard ballots and some marksense ballots may be counted or recounted on various card readers; therefore, card stock, size, opacity, color, field layout, orientation, folding, and bleed-through shall be specified by the vendor, and ballots shall conform to the specifications.

c.       Printed or punched timing marks may be used for synchronizing the detection of voting punches or marks, provided that they do not appear in any of the data fields.

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; and

c.       Incorporate features to ensure that the chad (debris) is completely removed, without damage to other parts of the ballot card.

Marking devices (such as pens or pencils) used by voting systems shall:

a.       Produce readable marked ballots such that the system meets the performance requirements for accuracy specified previously; and

b.       Be specified in system documentation that identifies:

1)      Specific characteristics of marking devices that affect readability of marked ballots;

2)      Performance capabilities with regard to each characteristic; and

3)      For marking devices manufactured by multiple external sources, a listing of sources and model numbers that are compatible with the system.

The frame or fixture for punchcards shall:

a.       Hold the ballot card securely in its proper location and orientation for voting;

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.

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.

Ballot boxes and ballot transfer boxes, which serve as secure containers for the storage and transportation of voted ballots, shall:

a.