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1.1.      Background. The Federal Election Commission adopted the first formal set of voluntary national standards for computer-based voting systems in January 1990. At that time, no national program or organization existed to test and certify such systems to the standards. The National Association of State Election Directors (NASED) stepped up to fill this void in 1994. NASED is an independent, nongovernmental organization of State election officials. The organization formed the Nation’s first national program to test and qualify voting systems to the new Federal standards. The organization worked for more than a decade, on a strictly voluntary basis, to help ensure the reliability, consistency, and accuracy of voting systems fielded in the United States. In late 2002, Congress passed the Help America Vote Act of 2002 (HAVA). HAVA created the U.S. Election Assistance Commission (EAC) and assigned to the EAC the responsibility for both setting voting system standards and providing for the testing and certification of voting systems. This mandate represented the first time the Federal government provided for the voluntary testing and certification of voting systems nationwide. In response to this HAVA requirement, the EAC has developed the Federal Voting System Testing and Certification Program (Certification Program).

1.2.      Authority. HAVA requires that the EAC certify and decertify voting systems. Section 231(a)(1) of HAVA specifically requires the EAC to “… provide for the certification, de-certification and re-certification of voting system hardware and software by accredited laboratories.” The EAC has the sole authority to grant certification or withdraw certification at the Federal level, including the authority to grant, maintain, extend, suspend, and withdraw the right to retain or use any certificates, marks, or other indicators of certification.

1.3.      Scope. This Manual provides the procedural requirements of the EAC Voting System Testing and Certification Program. Although participation in the program is voluntary, adherence to the program’s procedural requirements is mandatory for participants. The procedural requirements of the Manual supersede any prior voting system certification requirements issued by the EAC.

1.4.      Purpose. The primary purpose of the EAC Certification Program is to provide for the testing and certification of voting systems to specified Federal standards consistent with the requirements of HAVA Section 321(a)(1). The program, however, also serves to do the following:

1.4.1.      Support State certification programs.

1.4.2.      Support local election officials in the areas of acceptance testing and pre-election system verification.

1.4.3.      Increase quality control in voting system manufacturing.

1.4.4.      Increase voter confidence in the use of voting systems.

1.5.      Manual. This Manual is a comprehensive presentation of the EAC Voting System Testing and Certification Program. It is intended to establish all of the program requirements.

1.5.1.      Contents. The contents of the Manual serve as an overview to the program itself. The Manual contains the following chapters:

1.5.1.1.      Manufacturer Registration. Under the program, a Manufacturer is required to register with the EAC prior to participation. This registration provides the EAC with needed information and requires the Manufacturer to agree to the requirements of the Certification Program. This chapter sets out the requirements and procedures for registration.

1.5.1.2.      When Voting Systems Must Be Submitted for Testing and Certification. All systems must be submitted consistent with this Manual before they may receive a certification from the EAC. This chapter discusses the various circumstances that require submission to obtain or maintain a certification.

1.5.1.3.      Certification Testing and Review. Under this program, the testing and review process requires the completion of an application, employment of an EAC-accredited laboratory for system testing, and technical analysis of the laboratory test report by the EAC. The result of this process is an Initial Decision on Certification. This chapter discusses the required steps for voting system testing and review.

1.5.1.4.      Grant of Certification. If an Initial Decision to grant certification is made, the Manufacturer must take additional steps before it may be issued a certification. These steps require the Manufacturer to document the performance of a trusted build, the deposit of software into a repository, and the creation of system identification tools. This chapter outlines the action that a Manufacturer must take to receive a certification and the Manufacturer’s post-certification responsibilities.

1.5.1.5.      Denial of Certification. If an Initial Decision to deny certification is made, the Manufacturer has certain rights and responsibilities under the program. This chapter contains procedures for requesting reconsideration, opportunity to cure defects, and appeal.

1.5.1.6.      Decertification. Decertification is the process by which the EAC revokes a certification it previously granted to a voting system. It is an important part of the Certification Program because it serves to ensure that the requirements of the program are followed and that certified voting systems fielded for use in Federal elections maintain the same level of quality as those presented for testing. This chapter sets procedures for Decertification and explains the Manufacturer’s rights and responsibilities during that process.

1.5.1.7.      Quality Monitoring Program. Under the Certification Program, EAC will implement a quality monitoring process that will help ensure that voting systems certified by the EAC are the same systems sold by Manufacturers. The quality monitoring process is a mandatory part of the program and includes elements such as fielded voting system review, anomaly reporting, and manufacturing site visits. This chapter sets forth the requirements of the Quality Monitoring Program.

1.5.1.8.      Interpretation. An Interpretation is a means by which a registered Manufacturer or Voting System Test Laboratory (VSTL) may seek clarification on a specific Voluntary Voting System Guidelines (VVSG) standard. This chapter outlines the policy, requirements, and procedures for requesting an Interpretation.

1.5.1.9.      Trade Secrets, Confidential Commercial, and Personal Information. Federal law protects certain types of information individuals provided the government from release. This chapter outlines the program’s policies, sets procedures, and discusses responsibilities associated with the public release of potential protected commercial information.

1.5.2.      Maintenance and Revision. This Manual, which sets the procedural requirements for a new Federal program, is expected to be improved and expanded as experience and circumstances dictate. The Manual will be reviewed periodically and updated to meet the needs of the EAC, Manufacturers, VSTLs, election officials, and public policy. The EAC is responsible for revising this document. All revisions will be made consistent with Federal law. Substantive input from stakeholders and the public will be sought whenever possible, at the discretion of the agency. Changes in policy requiring immediate implementation will be noticed via policy memorandum and issued to each registered Manufacturer. Changes, addendums, or updated versions will also be posted to the EAC Web site at www.eac.gov.

1.6.      Program Methodology. EAC’s Voting System Testing and Certification Program is but one part of the overall conformity assessment process that includes companion efforts at the State and local levels.

1.6.1.      Federal and State Roles. The process to ensure that voting equipment meets the technical requirements is a distributed, cooperative effort of Federal, State, and local officials in the United States. Working with voting equipment manufacturers, these officials each have unique responsibility for ensuring that the equipment a voter uses on Election Day meets specific requirements.

1.6.1.1.      The EAC Testing and Certification Program plays a vital role in the process. The EAC Program has primary responsibility for ensuring that system designs meet the foundational requirements for all voting equipment in the United States.

1.6.1.2.      State officials have responsibility for testing voting systems to ensure that they will support the specific requirements of each individual State. Typically, State officials will perform mock elections to confirm that a voting system will perform as intended within the election management process of that particular State.

1.6.1.3.      State or local officials are responsible for making the final purchase choice. They are responsible for deciding which system offers the best fit and total value for their specific State or local jurisdiction.

1.6.1.4.      In addition, State or local officials are also responsible for acceptance testing to ensure that the equipment delivered is identical to the equipment certified on the Federal and State levels, is fully operational, and meets the contractual requirements of the purchase.

1.6.1.5.      State or local officials perform pre-election logic and accuracy testing to confirm that equipment is operating properly and is unmodified from its certified State.

1.6.2.      Conformity Assessment, Generally. Conformity assessment is a system established to ensure that a product or service meets the requirements that apply to it. Many conformity assessment systems exist to protect the quality and ensure compliance with requirements of products and services. All conformity assessment systems attempt to answer some simple, yet difficult, questions:

1.6.2.1.      What specifications are required of an acceptable system? For voting systems, the EAC voting system standards (VVSG and Voting System Standards [VSS]) address this issue. States and local jurisdictions also have supplementing standards.

1.6.2.2.      How are systems tested against required specifications? The EAC Voting System Testing and Certification Program is a central element of the larger conformity assessment system. The program, as set forth in this Manual, provides for the testing and certification of voting systems to identified versions of the VVSG. The Testing and Certification Program’s purpose is to ensure that State and local jurisdictions receive voting systems that meet the requirements of the VVSG.

1.6.2.3.      Are the testing authorities qualified to make an accurate evaluation? The EAC accredits VSTLs, after the National Institute of Standards and Technology (NIST) National Voluntary Lab Accreditation Program (NVLAP) has reviewed their technical competence and lab practices, to ensure these test authorities are fully qualified. Furthermore, EAC technical experts review all test reports from accredited laboratories to ensure an accurate and complete evaluation. Many States provide similar reviews of laboratory reports.

1.6.2.4.      Will Manufacturers deliver units within manufacturing tolerances to those tested? The VVSG and this Manual require that vendors have appropriate change management and quality control processes to control the quality and configuration of their products. The Certification Program provides mechanisms for the EAC to verify Manufacturer quality processes through field system testing and manufacturing site visits. States have implemented policies for acceptance of delivered units.

1.7.      Program Personnel. All EAC personnel and contractors associated with this program will be held to the highest ethical standards. All agents of the EAC involved in the Certification Program will be subject to a conflict-of-interest reporting and review, consistent with Federal law and regulation.

1.8.      Program Records. The EAC Program Director is responsible for maintaining accurate records to demonstrate that the testing and certification program procedures have been effectively fulfilled and to ensure the traceability, repeatability, and reproducibility of testing and test report review. All records will be maintained, managed, secured, stored, archived, and disposed of in accordance with Federal law, Federal regulations, and procedures of the EAC.

1.9.      Submission of Documents. Any documents submitted pursuant to the requirements of this Manual shall be submitted in the following ways:

1.9.1.      If sent electronically, shall be sent either via secure e-mail or physical delivery of a compact disk, unless otherwise specified.

1.9.2.      In an unalterable Microsoft Word or Adobe PDF format.

1.9.3.      Using an electronic signature. Documents that require an authorized signature may be signed with an electronic representation or image of the signature of an authorized management representative and must meet any and all subsequent requirements established by the Program Director regarding security.

1.9.4.      If sent via physical delivery, shall be sent by certified mail (or similar means that allow tracking) to the following address:

Testing and Certification Program Director

U.S. Election Assistance Commission

1225 New York Avenue, Suite 1100

Washington, DC 20005

1.10.  Receipt of Documents. For purposes of this Manual, a document, notice, or other communication is considered received by a Manufacturer upon the earlier of one of the following:

1.10.1.  The actual, documented date the correspondence was received (either electronically or physically) at the Manufacturer’s place of business; or

1.10.2.  The date of constructive receipt for the communication. For electronic correspondence, documents will be constructively received the day after the date sent. For mail correspondence, the document will be constructively received 3 days after the date sent.

1.10.3.  The term receipt shall mean the date a document or correspondence arrives (either electronically or physically) at the Manufacturer’s place of business. Arrival does not require that an agent of the Manufacturer open, read, or review the correspondence.

1.11.  Records Retention. The Manufacturer is responsible for ensuring that all documents submitted to the EAC or that otherwise serve as the basis for the certification of a voting system are retained. A copy of all such records shall be retained as long as the voting system is in use or for sale in the United States and for 3 years thereafter.

1.12.  Publication and Release of Documents. The EAC will release documents consistent with the requirements of Federal law. It is EAC policy to make the certification process as open and public as possible. To this end, any documents submitted under this program and not protected from release by law will be made available to the public. The primary means for making this information available is through the EAC Web site.

1.13.  Definitions. For purposes of this Manual, the terms listed below have the following definitions.

Appeal, A formal process by which the EAC is petitioned to reconsider an Agency Decision.

Appeal Authority. The individual or individuals appointed to serve as the determination authority on appeal.

Build Environment. The disk or other media that holds the source code, compiler, and other necessary files for the compilation and on which the compiler will store the resulting executable code. (A compiler is a computer program that translates programs expressed in a high-level language into machine language equivalents.)

Certificate of Conformance. The certificate issued by the EAC when a system has been found to meet the requirements of the VVSG. The document conveys certification of a system.

Commission. The U.S. Election Assistance Commission, as an agency.

Commissioners. The serving commissioners of the U.S. Election Assistance Commission.

Days. The term days shall refer to calendar days, unless otherwise noted. When counting days, for the purpose of submitting or receiving a document, the count shall begin on the first full calendar day after the day the document was received.

Disk Image. An exact copy of the entire contents of a computer disk.

Election Official. A State or local government employee who has as one of his or her primary duties the management or administration of a Federal election.

Federal Election. Any primary, general, runoff, or special Election in which a candidate for Federal office (President, Senator, or Representative) appears on the ballot.

Fielded Voting System. A voting system purchased or leased by a State or local government that is being use in a Federal election.

Installation Disk. A computer disk containing program files and software to install them onto a computer or other device.

Manufacturer. The entity with ownership and control over a voting system submitted for certification.

Mark of Conformance. A uniform notice permanently posted on a voting system that signifies that it has been certified by the EAC.

Memorandum for the Record. A written statement drafted to document an event or finding, without a specific addressee other than the pertinent file.

Proprietary Information. Commercial information or trade secrets protected from release under the Freedom of Information Act and the Trade Secrets Act.

Technical Reviewers. Technical experts in the areas of voting system technology and conformity assessment used by the EAC to provide expert guidance.

Testing and Certification Decision Authority. The EAC Executive Director or individual appointed by the Executive Director authorized to make final agency determinations on certification.

Testing and Certification Program Director. The individual appointed by the EAC Executive Director to administer and manage the Testing and Certification Program.

Voting System. The total combination of mechanical, electromechanical, and electronic equipment that is used to define ballots, cast and count votes, report or display election results, connect the voting system to the voter registration system, and maintain and produce any audit trail information.

Voting System Standards. Voluntary voting system standards developed by the Federal Election Commission. Voting System Standards have been published twice, once in 1990 and again in 2002. The Help America Vote Act made the 2002 Voting System Standards EAC guidance. All new voting system standards are issued by the EAC as Voluntary Voting System Guidelines.

Voting System Test Laboratories. Laboratories accredited by the EAC to test voting systems to EAC approved voting system standards.  Each Voting System Test Laboratory (VSTL) must be accredited by the National Voluntary Laboratory Accreditation Program (NVLAP) and recommend by the National Institute of Standards Technology before it may receive an EAC accreditation.  NVLAP provides third party accreditation to testing and calibration laboratories.  NVLAP is in full conformance with the standards of the International Organization for Standardization (ISO) and the International Electrotechnical Commission (IEC), including ISO/IEC Guide 17025 and 17011. 

Voluntary Voting System Guidelines. Voluntary voting system standards developed, adopted, and published by the EAC. The guidelines are identified by version number and date.

1.14.  Acronyms and Abbreviations. For purposes of this Manual, the acronyms and abbreviations listed below represent the following terms.

Certification Program. The EAC Voting System Testing and Certification Program

Decision Authority. Testing and Certification Decision Authority

EAC. United States Election Assistance Commission

HAVA. Help America Vote Act of 2002

Labs or Laboratories. Voting System Test Laboratories

NIST. National Institute of Standards and Technology

NVLAP. National Voluntary Laboratory Accreditation Program

Program Director. Director of the EAC’s Testing and Certification Program

VSS. Voting System Standards

VSTL. Voting System Test Laboratory

VVSG. Voluntary Voting System Guidelines