STATE OF CONNECTICUT
SECRETARY OF THE STATE
30 TRINITY STREET
HARTFORD/ CT 06106
ELECTRONIC VOTING MACHINES
APPLICATION PROCESS
ELECTRONIC VOTING MACHINES
APPLICATION PROCESS
1. REVIEW AND APPROVAL PROCESS
This summary describes the review and approval process and is composed of the
following:
1.1. Summary of Process
1.2. Submission of Certification by ITA That It Meets FEC standards
1.3. Submission of Request For Approval
1.4. Conduct of Initial Review
1.5. Demonstration of Proposed System
1.6. Escrow of Proposed System Software
1.7. Examination of the Proposed System
1.8. Review of Findings
1.9. Preparation of Final Determination
1.10. Notification of Final Determination
1.1. Summary of Process
Connecticut Election law provides that the Secretary of the State establish
the manner in which vendors submit voting systems for review and approval for
use in the State. This review and approval is limited, by the Secretary of
the State, to those systems and equipment that have passed the prototype
stage and are in full production and available for immediate installation and
use.
Voting systems may be approved subject to the acceptance of proposed
legislation and regulations.
To carry out this process, the Secretary of the State has established a total
of nine steps, any one of which it may take in deciding whether or not a
particular new system should be approved for use in the State. These steps
are designed so that the Secretary of the State can, at any point, make a
determination to:
o terminate the evaluation and approve the system
o terminate the evaluation and disapprove the system
o continue the evaluation and defer approval or disapproval
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These steps are as follows:
1. An Independent Test Authority (ITA) accredited by the National
Association of State Election Directors must certify to the Secretary
of the State that it meets the performance and test standards for
voting systems adopted by the Federal Election Commission (FEC) on
January 25, 1990, as amended.
2. Submission of a request for approval of use for a new system by the
vendor who is responsible for all costs incurred in the evaluation.
3. Receipt of a certified check or bank check in the amount of $________by
the Secretary of the State from the vendor, with $100 to be applied to
the application fee and the remainder to be applied against expenses
incurred by the Secretary of the State in making the evaluation of the
system. When this amount is exhausted and the evaluation is
incomplete, the vendor is required to submit additional funds.
4. Conduct of an initial review and evaluation of the application by the
Secretary of the State.
5. Demonstration of the proposed system to the Secretary of the State by
the vendor.
6. Deposit of the source code, operating software1 specialized compilers
and documentation with an escrow agent.
7. Examination of the proposed system by an Independent Test Authority
retained by the Secretary of the State to see that it meets Connecticut
law. Connecticut law includes the following, as well as other
applicable law: Article XXIV of the Amendments to the Connecticut
Constitution, Conn. Gen. Stats. Secs. 9-241, 9-242, 9-250, and Regs.
Conn. State Agencies Secs. 9-241-1 through 9-241-36 for DRE and Secs.
9-242-1 through 9-242-39 for Marksense and Punchcard.
8. Preparation of a report of findings based on the demonstration and/or
the Independent Test Authority by the Secretary of the State.
9. Written notification to the vendor of the final determination by the
Secretary of the State.
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1.2. Submission of Certification by ITA That It Meets FEC Standards
The first step in the submission of a request for approval is submission of
certification by an Independent Test Authority (ITA) accredited by the National
Association of State Election Directors that it meets the performance and test
standards for voting systems adopted by the Federal Election Commission (FEC) on
January 25, 1990, as amended.
1.3. Submission of Request for Approval
The next step in the submission of a request for approval requires that all
the basic information needed for an evaluation be submitted in complete and
orderly written form. It must include the following information organized
exactly as specified in Appendix A. These procedures are discussed according
to the following categories:
1.3.1. Corporate Information
1.3.2. Extent of Use
1.3.3. Equipment Specifications
1.3.4. System-Related Procedures
1.3.5. System-Related Costs
1.3.6. Vendor-Provided Services
1.3.7. Warranty
1.3.1. Corporate Information
1. History and description of the business, including year established,
products and services offered, areas served, branch offices and
subsidiary and/or parent companies.
2. Management and staff organization, number of full-time employees by
category, number of part-time employees by category, resumes of key
employees who will assist Connecticut localities acquiring the system
if it is authorized for use.
3. Financial history of the business, including a financial statement for
the past three fiscal years.
4. Gross sales in voting products and services for the past three years
and the percent that is representative of the total sales of the
business and its subsidiaries.
5. The location and manufacturing capability of each manufacturing
facility that is used to fabricate and assemble all or any component
part of the voting and/or tabulating system being submitted for
approval.
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6. The location and servicing capability of each service facility that
will be used to service the voting or tabulating system being submitted
for approval and the service limitation of the facility.
1.3.2. Extent of Use
1. States in which the system being submitted is currently certified for
use, dates of certification, initial restrictions on use, current
restrictions on use, basis for change of approval, period during which
approval is valid.
2. States in which a request has been made for certification of the system
being submitted and the request has not yet been granted or has been
denied, basis for denial and steps to be taken for approval.
3. Localities in each state in which the system being submitted is
currently being considered for use or being used, first year of use,
number of general elections in which the system has been used, number
of primary elections in which the system has been used, total
registered voters in the locality.
4. States in which the system being submitted was formerly approved for
use but in which approval has now been withdrawn, dates of initial
approval, dates approval was withdrawn and reasons for withdrawal of
approval.
5. Name, title, address and telephone number of the key person responsible
for the selection of the proposed system in each state and each
locality in which the system is currently being considered for use, has
been approved for and/or selected for use, is currently being used or
was formerly approved for use but is no longer authorized for use.
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1.3.3. Equipment Specifications
1. Specific equipment to be approved for voting, voting district
tabulation, election preparation, equipment storage and equipment
maintenance and repair. Include for each:
a. Function
b. Dimensions
c. Weight
d. Construction materials
e. Storage requirements
f. Environmental restrictions
g. Warranty
h. Expected life
i. Annual maintenance requirements
j. Repair procedures
k. Manufacturer
l. Manufacturing quality control steps
2. The characteristics of the system being submitted for approval as
they relate to the basis for approval criteria to include:
a. Accommodate sufficient registered voters in a single voting
district.
b. Accommodate on a single ballot all candidates for all parties by
party rows or columns and all questions on a ballot in an
individual voting district (if still required by Conn. Gen.
Stats. Sec. 9-250). Accommodate changing candidate names seven
days before election (or day before election if late-occurring
death under Conn. Gen. Stat. §9-460).
c. Permit a voter to vote for all candidates of a single party or
split vote between parties in a general election.
d. Protect a voter from overvoting for any office or question (DRE).
(In the case of Marksense or Punchcard, the machine shall warn
the voter of overvotes and not record overvotes).
e. Prevent a voter from voting for the same candidate for the same
office more than once (DRE). (In the case of Marksense or
Punchcard, the machine shall not record more than one vote of a
voter for the same person for an office).
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f. Permit a voter to vote on only those questions the voter is
legally entitled to vote on.
g. Prevent a voter from voting on more than one party ballot in a
primary.
h. Automatically store and calculate totals of all votes cast in a
voting district for all candidates and all question alternatives.
i. Provide security devices to detect any operation of the system
before and after an election.
j. Provide a continuous count of how many voters have voted from the
time the polls open until they close on a specific election day.
(Public Counter)
k. Provide a suitable instruction model.
l. Provide ability for voter to vote for all presidential electors
of a party by one operation.
m. Accessible by all voters and provide absolute secrecy in voting,
including those in wheelchairs.
n. Provide for casting of and segregation of write-in votes.
o. Provide printed and computer-processable voting district totals
in the polling place after the polls close.
1.3.4. System-Related Procedures
1. The pre-election preparation procedures associated with the system
submitted for approval to include:
a. Ballot preparation
b. Programming and testing
c. Polling place set-up
d. Pollworker training
e. Voter education
f. Delivery of equipment and supplies
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2. The election operations procedures associated with the system submitted
for approval to include:
a. Activating the electronic voting system
b. Accuracy verification
c. Voting procedure
d. Error detection
e. System malfunction
f. Instructions for correction of malfunction
3. The poll closing procedures associated with the system submitted for
approval to include:
a. Locking the system from further voting
b. Tabulating and reporting the results for each device
c. Tabulating and reporting the voting district results
d. Verifying the number of voters
4. The election results tallying procedures associated with the system
submitted for approval to include:
a.Combining of voting district counts for sub-total and total count
b.Security of results processed
c. Verification of accuracy of results processed
d. Certification of locality election results
5. The recount procedures associated with the system submitted for
approval to include:
a.System error detection
b.Count verification
c.Recount steps
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1.3.5. System-Related Costs
1. The capital equipment costs associated with the system submitted for
approval to include:
a. Voting devices/booths
b. Demonstration units
c. Voting district ballot counters
d. Ballot/count memory cartridges
e. Ballot preparation equipment
f. Test equipment
g. Maintenance/repair equipment
2. Election specific costs associated with the system submitted for
approval to include:
a. Printed ballots
b. Demonstration ballots
c. Memory cartridges
d. Voting district count programs
3. Life cycle costs associated with the system submitted for approval to
include:
a. System implementation costs
b. Annual maintenance costs
c. Component replacement costs
d.Staff training
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1.3.6. Vendor-Provided Services
1. System implementation documentation and services to include:
a. Electronic voting system set-up
b. Election ballot preparation
c. Ballot set-up
d. Polling place staff training
e. Voter education
f. Voting district tally programming
g. Election night processing
h. Technician training
2. Regular system support services to include:
a. Tally program coding and implementation
b. Ballot preparation and printing
c. System maintenance and repair
e.System set-up
1.3.7. Warranty
1. The period and extent of the warranty and the method of
repair/replacement for all hardware items to include:
a. Voting devices/booths
b. Demonstration units
c. Voting district ballot counters
d. Ballot/count memory cartridges
e. Ballot preparation equipment (optional)
f. Test equipment
g. Maintenance/repair equipment
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2. The circumstances under which equipment is replaced rather than
repaired and the method by which a user requests such replacement.
3. The period and extent of standard warranty and the method of
correction or replacement for all software provided as a part 0£ the
voting and/or tallying system.
4. Additional warranties that are available over and above the standard
warranty, what these additional warranties cover and their cost.
5. The technical documentation provided with all hardware and software
that is used to certify that the individual component will perform in
the manner and for the period specified.
1.4. Conduct of Initial Review
When a request for approval is received by the Secretary of the State, it
is subject to the initial preliminary review which consists of two steps.
The steps are:
1.4.1. Review of Submitted Materials
1.4.2. Determination of Findings
1.4.1. Review of Submitted Materials
In this first step, all materials are reviewed to see that they follow the
format shown in Appendix A and that all materials are provided and complete.
If information is missing or not in proper form, the request is returned to
the vendor with an explanation of the reason it has been returned.
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1.4.2. Determination of Initial Findings
Once a request for approval has been found to be complete and in proper form,
the initial review is undertaken. This review includes, but is not limited
to, the following:
1. Evaluation of corporate capability to manufacture, deliver and
implement the system submitted for approval in a Connecticut locality.
2. Determination of the extent to which the system submitted for approval
meets the requirements as specifically set forth in state law.
3. Determination of the extent to which the system submitted for approval
fulfills the objectives as set forth by the Secretary of the State.
4. Determination of the extent to which the system submitted for approval
meets the approval criteria as set forth by the Secretary of the State.
5. Analysis of the life cycle costs of the system to using localities in
terms of capital equipment costs, annual election costs, and continuing
support costs.
6. Determination of success of use in localities of other states and
limitations on use in those states.
At the conclusion of this determination of initial findings, the Secretary of
the State may elect not to consider further the system submitted for
approval, to require a demonstration of the system or to submit it for
evaluation by an Independent Test Authority. The vendor is notified of the
decision of the Secretary of the State.
1.5. Demonstration of Proposed System
If the Secretary of the State determines that the proposed system appears to
fulfill the basic requirements as outlined in Section 1.3.3 (paragraph 2)
"Basis for Approval", then the Secretary of the State may request that the
vendor demonstrate the proposed system. If such a demonstration is
conducted, it will be conducted in Connecticut at a time and place selected
by the Secretary of the State using equipment that is now in production. The
demonstration requirements are discussed according to the following
categories:
1.5.1. Items To Be Demonstrated
1.5.2. Demonstration Ballot
1.5.3. Presentation Format
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1.5.1. Items To Be Demonstrated
In carrying out the demonstration, the vendor is required to demonstrate the
following:
1.Equipment to be used to layout, produce and assemble the ballot for
each election.
2.Voting equipment to be used by the voter to cast a ballot in two
separate voting districts, each using a different ballot.
3.Counting system to be used to tally the votes in each of two voting
districts.
4.Equipment/method used to transfer totals from each voting district to
locality election office.
1.5.2. Demonstration Ballot
The ballot to be used in the demonstration is found in Appendix B. In
setting up and demonstrating the system using this ballot, the following
must be adhered to:
1. The format is for a general election.
2. The parties must be presented in the order described in Connecticut
Election Law Title 9-249a.
3. When there is more than one candidate representing a party, group
names must be presented in alphabetical order within party group with
sufficient space between party groups to indicate them as such.
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1.5.3. Presentation Format
To ensure that the demonstration is carried out in an effective and
productive manner and to facilitate the evaluation of the proposed
system, the vendor is required to conduct the demonstration following a
set format. This format is as follows:
1. Introduce the participants in the demonstration and give information
concerning their:
a. position in your organization
b. Experience in the election field
c. Role they will play in the demonstration
2. Identify the hardware and software that will be used in the
demonstration and describe the function, purpose and operation of
each.
3. Review the written materials provided to be followed in preparing a
ballot and installing it on the voting and tallying system and
describe and demonstrate how the ballot is prepared for the election
and how it is installed for use at the voting district.
4. Review the written materials provided to be followed in opening the
polls on election day and describe and walk through the procedure
for opening the polls.
5. Review the written materials provided to be used in educating the
voter in how to vote using the system, and explain to the observers
of the demonstration how to vote using the demonstration model
provided with the system.
6. Have each observer of the demonstration vote in one of the two
voting districts established for the demonstration, without
assistance, until a minimum of 50 votes have been cast. During this
voting process, create a power failure and demonstrate the impact of
the power failure and the recovery procedures.
7. Review the written materials provided to be followed in closing the
polls on election day and describe and walk through the procedure
for closing the polls.
8. Review the written materials provided to be followed in producing
the voting district tally of votes cast, and describe and walk
through the procedure producing the tally of the votes cast by the
observers of the demonstration.
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9. Review the written materials provided to be followed to transfer the
totals for each of the two voting districts to the locality offices,
and carry out this process for the results in the two voting
districts.
10. Review the written materials provided to produce the locality-wide
results and produce these results using the totals from the two
demonstration voting districts.
11. Review the written materials provided to conduct a recount and
conduct a recount using the results from the two demonstration
voting districts.
12. Review the written materials provided to prepare all of the voting
district equipment for removal and return to the storage site and
demonstrate how these steps are accomplished.
13. After the demonstration, the Secretary of the State may ask for the
demonstration of ballots other than the ballot in "Appendix B".
1.6. Escrow of Proposed System Software
After completion of the demonstration and prior to further examination of the
proposed system, the vendor will deposit the source code, operating systems,
specialized compilers and documentation materials with the escrow agent
identified by the Secretary of the State. Escrow storage of proprietary
software eliminates redundant deposit of source code and documentation at
numerous local jurisdiction levels. Centralized deposits enable effective
control and verification of versions of a vendor's system software. The
escrow process is conducted as follows:
1. The vendor places proprietary software and documentation in escrow
prior to the examination of the proposed system by an Independent
Test Authority.
2. Under secured conditions, the source code and documentation is
forwarded to the Independent Test Authority's examination facility.
3. After the completion of the examination of the proposed system by
the Independent Test Authority, the source code and documentation
are placed back in escrow.
4. In the event of litigation or the vendor's failure to support the
system, the Secretary of the State or the local jurisdiction would
request the correct version of the source code and other relevant
documentation from the escrow agent. After resolution of the
problem, the source code and documentation would be returned to the
escrow agent.
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The objective of the escrow process is to ensure access to the correct and
updated versions of the system source code for the life of the system. In
order to meet this objective, the use of a company which provides specialized
escrow services is preferable rather than a financial institution or fault
company.
A software escrow company is able to meet the individual needs of the
Secretary of the State and the vendor in terms of technical verification and
protection of the deposited materials against environmental conditions such
as extreme temperature changes. These companies also have the experience in
developing contracts suited to the particular needs of the parties and
accessing the necessary provisions for warranting release of the source code.
The escrow contract must be enforceable in court, technically up-to-date and
easy to set up and use. Additionally, the agreement must have the capability
of registering multiple local jurisdictions to the master vendor escrow'
deposit.
1.7. Examination of the Proposed System
The Office of the Secretary of the State may require that the equipment
demonstrated be left for a period of ninety days for additional review. The
Secretary of the State will have the proposed system examined by an
Independent Test Authority (ITA) which will provide the Secretary of the
State with a written evaluation report and certify whether the proposed
system meets the standards specified in Regs. Conn. State Agencies Secs. 9-
241-1 through 9-241-36 for DRE and Secs. 9-242-1 through 9-242-39 for
Marksense and Punchcard. The ITA remains available to provide whatever
additional technical assistance is required in the evaluation of the request
for approval. Conduct of this examination requires that the Secretary of the
State be provided, at no cost to the Secretary of the State, all components
of equipment, all software necessary to operate this equipment and all
associated manuals. Such materials are to be shipped to a site designated by
the Secretary of the State. The system will have already been certified by
an Independent Test Authority accredited by the National Association of State
Election Directors that it meets FEC standards; this will facilitate the
certification that the proposed system also meets the standards specified in
Connecticut regulations. The examination is further discussed according to
the following categories:
1.7.1. Examination Objectives
1.7.2. Examination Areas
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1.7.1. Examination Objectives
1. Determine whether the system accurately counts, registers and
reports votes.
2. Determine the capabilities of the system to permanently store and
retain existing votes.
3. Determine the mechanical and electronic strengths and weaknesses of
the system.
4. Determine the extent to which there is a verifiable audit trail for
all functions performed by the system.
5. Determine the extent of potential malfunction of the system and how
it can be anticipated.
6. Determine the anticipated frequency of repair requirements and the
ease of repair.
7. Determine the potential of the system for fraudulent use.
8. Determine the accessibility of the system for handicapped voters.
9. Determine the anticipated life of the equipment.
10. Make such other determinations as may be requested by the Secretary
of the State.
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1.7.2. Examination Areas
The examination by the Independent Test Authority may include but not be
limited to the following areas:
1. Electronic voting system specifications
a. Performance level
b. Structural characteristics
c. Standards criteria
2. Technical and operational specifications
a. Technical performance
b. Operational performance
3. Software testing
a. Source code
b. Documentation
c. Functional tests
d. Performance
e. Ballot interpretation logic
4. System testing
a. Test specifications
b. Test procedures
c. Test results
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5. Production capabilities
a. Manufacturing and production set-up
b. Supply sources
c. Quality control
d. Safety and security
e. Capabilities testing
f. Handling, shipping and delivery
g. Warranties and guarantees
h. Replacements
In conducting the examination of the system submitted for approval, the
Independent Test Authority will also refer to and include any appropriate
standards that have been developed and recommended by the Federal Election
Commission, testing authorities and other states.
1.8. Review of Findings
When the Secretary of the State has received the "findings of the Independent
Test Authority, the Secretary of the State reviews all information and
materials available to date. This review is conducted to determine the
following:
1. The capability of the system to be successfully installed, if
approved.
2. The conformity of the system to the requirements imposed by state
law.
3. The ability of the system to fulfill Secretary of the State
objectives.
4. Compliance of the vendor with Secretary of the State approval
criteria.
5. Overall cost to the localities.
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1.9. Preparation of Final Determination
The Secretary of the State will prepare a final report of findings with
respect to the proposed electronic voting system. This report will include
the decision of the Secretary of the State with respect to approval of the
system and the basis for that decision. If the system is approved with
limitations in use, the report will specify those limitations as well as the
steps that must be taken for those limitations to be removed.
1.10. Notification of Final Determination
When a final determination has been made, the vendor submitting the request
for approval will be notified in writing of the decision and provided a copy
of the final determination report. In addition, the notice of approval or
disapproval is sent to each Connecticut locality and all other appropriate
parties.
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2. PROCEDURE FOR APPEAL OF FINDINGS
This subsection of the specifications document describes the procedures to be
followed by the vendor for appealing the decision reached of the voting
system. The procedures are discussed according to the following categories:
2.1. Submission of Appeal Request
2.2. Appeal Hearing
2.3. Notification of Findings
2.1. Submission of Appeal Request
A vendor who has submitted a voting system for approval for use in the State
of Connecticut may appeal a decision of the Secretary of the State if the
approval is denied under the following conditions:
1. The decision to deny approval is based on information the vendor
believes to be inaccurate or incorrect.
2. The vendor has corrected the deficiencies that have been cited as
the basis for denial of approval.
3. The vendor believes the denial of approval is not in accordance
with Connecticut law.
An appeal request must be submitted within 60 days from the date when the vendor
is notified in writing that the request for approval has been denied. The
request must be in writing and signed by an officer of the vendor organization.
The request must contain the following information:
1. A clear and complete statement of the reason the request is being
made.
2. Complete information substantiating the basis for the validity of
the request.
3. Additional information that the vendor believes is relevant to the
request.
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2.2. Appeal Hearing
A request for reconsideration of an application for approval will be reviewed
by the Secretary of the State. If the Secretary of the State determines that
the basis for reconsideration has merit, the Secretary of the State, within
90 days of receiving the request, schedules a hearing. At this hearing, the
vendor is given an opportunity to present whatever information it believes
relevant to the issue, to ask questions and to present expert testimony. The
vendor is also permitted to demonstrate any changes to the proposed system
that might make it acceptable for use.
2.3. Notification of Findings
Following the hearing, the Secretary of the State reviews all information
presented and conducts such other research and analysis as it determines
required or appropriate. When this has been completed, the Secretary of the
State will notify the vendor in writing of its decision.
3 FEE REQUIREMENTS
The vendor shall be assessed the expenses incurred by the Office of the
Secretary of the State for the evaluation of the voting system. These
expenses will be based on the cost to the State for an Independent Test
Authority or other authorized examiner or laboratory to evaluate the system
according to the specifications described in this document, but shall not
exceed the amount permitted by state statute. The first payment required of
the vendor is the initial payment of $ ______which must accompany the
application as described in Section 3.3.1 of this document.
4 DECERTIFICATION
Vendors of certified voting systems which have been approved for use in the
State of Connecticut must provide the Office of the Secretary of the State
with updates to the Extent of Use information, Section 1.3.2, on an annual
basis on the anniversary date of the systems certification.
Failure to do so could result in decertification of the system for use in the
state. The Extent of Use information will be evaluated by the Office of the
Secretary of the State to determine if the vendor can adequately meet the
voting system needs of the State of Connecticut.
The Secretary of the State may revoke the certification of an approved voting
system at any time. The Secretary of the State also has the authority to
reinstate the certification of a previously certified voting system vendor.
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APPENDIX A
APPROVAL SUBMISSION FORMAT
I. INTRODUCTION
A. Name of organization submitting request
B. Address of requesting organization
C. Telephone number of requesting organization
D. Name of individual submitting request
E. Title of individual submitting request
F. Address of individual submitting request
G. Telephone number of individual submitting request
H. Date request is being submitted.
II. SUMMARY OF REQUEST
A. System or modification to be approved
B. Extent of utilization requested
C. Current status of system in Connecticut
D. Reasons system should be approved
E. Localities interested in acquiring system
III. CORPORATE INFORMATION
A. General information
1. Year business established
2. Products and services offered
3. Per cent of business each product/service provides
4. Geographic areas served
5. Branch office locations
6. Subsidiary companies
7. Parent company
B. Management and staff
1. Names and titles of management personnel
2. Number of full-time employees by category
3. Number of part-time employees by category
4. Resumes of employees who would serve Connecticut
C. Financial information
1. Financial statements for three years
2. Financial references
D. Manufacturing capability
1. Location of manufacturing facilities
2. Functions of each facility
3. Capacity of each facility
E. Service capability
1. Location of service facilities
2. Functions of each facility
3. Staffing of each facility
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APPLICATION PROCESS
APPENDIX A
APPROVAL SUBMISSION FORMAT
IV. EXTENT OF USE
A. States in which certified
1. Dates of certification
2. Initial restrictions on use
3. Current restrictions on use
4. Basis for approval
5. Basis for changes in approval
6. Period during which approval is valid
7. Name of person responsible for certification
8. Title of person responsible for certification
9. Address of person responsible for certification
10. Phone number of person responsible for certification
B. States in which certification requested
1. Dates of request
2. Current status
3. Date denied, if applicable
4. Reason for denial
5. Remaining steps for approval
6. Name of person responsible for approval
7. Title of person responsible for approval
8. Address of person responsible for approval
9. Telephone number of person responsible for approval
C. Localities in which system under consideration
1. Date consideration initiated
2. Current status of consideration
3. Remaining steps for acceptance
4. Name of person responsible for selection
5. Title of person responsible for selection
6. Address of person responsible for selection
7. Telephone number of person responsible for selection
D. Localities in which system is used
1. Date system acquired
2. Number of units acquired
3. Number of registered voters in locality
4. Number of voting districts in locality
5. Number of general elections in which system used
6. Number of primary elections in which system used
7. Name of person responsible for use
8. Title of person responsible for use
9. Address of person responsible for use
10. Telephone number of person responsible for use
E. States in which system no longer authorized for use
1. Date initially approved for use
2. Localities in which system was used
3. Date approval for use was withdrawn
4. Reasons approval for use was withdrawn
5. Name of person responsible for removal
6. Title of person responsible for removal
7. Address of person responsible for removal
8. Telephone number of person responsible for removal
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ELECTRONIC VOTING MACHINES
APPLICATION PROCESS
APPENDIX A
APPROVAL SUBMISSION FORMAT
V. EQUIPMENT SPECIFICATIONS
A. Equipment component descriptions
1. Function
2. Dimensions
3. Weight
4. Construction materials
5. Storage requirements
6. Environmental restrictions
7. Warranty
8. Expected life
9. Annual maintenance requirements
10. Repair procedures
11. Manufacturer
12. Manufacturing quality control steps
B. Equipment characteristics
1. Number voters accommodates
2. Number parties accommodates
3. Number candidates accommodates
4. Single-party voting capability
5. Split-party voting capability
6. Overvote protection
7. Unauthorized vote protection
8. Vote storage capability
9. Vote storage capacity
10. Vote calculation capability
11. Security capabilities
12. Instructional model
13. Voter secrecy protection
14. Handicapped voter accessibility
15. Write-in vote capability
16. Printed returns capability
17. Computer-processable totals capability
VI. SYSTEM-RELATED PROCEDURES
A. Pre-election preparation procedures
1. Ballot preparation
2. Programming and testing
3. Polling place set-up
4. Pollworker training
5. Voter education
6. Delivery of equipment and supplies
B. Election operations procedures
1. Activating the voting system
2. Accuracy verification
3. Voting procedure
4. Error detection
5. System malfunction
C. Poll-closing procedures
1. Locking system from further voting
2. Tabulating voting district results
3. Verifying number of voters
4. Accounting for unused ballots
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ELECTRONIC VOTING MACHINES
APPLICATION PROCESS
APPENDIX A
APPROVAL SUBMISSION FORMAT
D. Election results tallying
1. Results delivery from voting district
2. Results security procedures
3. Verification of accuracy
4. Certification of results
E. Recount procedures
1. System error detection
2. Count verification
3. Recount steps
VII. SYSTEM-RELATED COSTS
A. Capital equipment costs
1. Voting booths/devices
2. Demonstration units
3. Voting district ballot counters
4. Ballot/count memory cartridges
5. Ballot preparation equipment
6. Test equipment
7. Maintenance/repair equipment
B. Election specific costs
1. Printed ballots
2. Demonstration ballots
3. Memory cartridges
4. Voting district count programs
C. Life cycle costs
1. System implementation costs
2. Annual maintenance costs
3. Component replacement costs
4. Staff training
VIII. VENDOR-PROVIDED SERVICES
A. System implementation services
1. Voting system set-up
2. Election ballot preparation
3. Ballot set-up
4. Polling place staff training
5. Voter education
6. Voting district tally programming
7. Election night processing
8. Technician training
B. Regular system support
1. Tally program design
2. Tally program implementation
3. Ballot preparation
4. Ballot printing
5. System maintenance
6. System repair
7. System set-up
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ELECTRONIC VOTING MACHINES
APPLICATION PROCESS
APPENDIX A
APPROVAL SUBMISSION FORMAT
IX. WARRANTY
A. Period and extent of hardware warranty
1. Voting booths/devices
2. Demonstration units
3. Voting district ballot counters
4. Ballot/count memory cartridges
5. Ballot preparation equipment
6. Test equipment
7. Maintenance/repair equipment
B. Period and extent of software warranty
1. Ballot programs
2. Voting district tally programs
3. Locality results programs
C. Extended warranty provisions
1. Hardware
2. Software
D. Technical documentation provided
1. Hardware schematics
2. Firmware schematics
3. Program listings
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