Chapter 111:3-9 Voting Machines and Equipment

111:3-9-01 Notice of meetings.

Authority: This rule is adopted in compliance with and under the authority of division (F)section 121.22 of the Revised Code.

(A) Any person may determine the time and place of all regularly scheduled meetings of the board of voting machine examiners and the time, place, and purpose of all special meetings by doing either of the following: (1) writing to the following address: "Board of Voting Machine Examiners c/o Secretary of State of Ohio 180 East Broad Street - 15th floor Columbus, Ohio 43215" or (2) calling the following telephone number during normal business hours: 614-466-2585.

(B) Any representative of the news media may obtain notice of all special meetings by requesting in writing that such notice be provided. Such notice will only be given, however, to one representative of any particular publication or radio or television station. A request for such notification shall be addressed to the "Board of Voting Machine Examiners, c/o Secretary of State of Ohio, 180 East Broad Street - 15th Floor, Columbus, Ohio 43215." The request shall provide the name of the individual media representative to be contacted, that representative's mailing address, and a maximum of two telephone numbers where that representative can be reached. The secretary of state shall maintain a list of all representatives of the news media who have requested notice of special meetings pursuant to this rule.

In the event of a special meeting not of an emergency nature, the secretary of state shall give notice of such meeting to all media representatives on the list by doing at least one of the following:

(1) Sending written notice, which shall be mailed no later than four calendar days prior to the day of the special meeting;

(2) Notifying such representatives by telephone no later than twenty-four hours prior to such meeting (such telephone notice shall be complete if a message has been left for such representative, or if after reasonable effort, the secretary of state has been unable to provide such telephone notice);

(3) Informing such representative personally no later than twenty-four hours prior to the special meeting. In the event of a special meeting of an emergency nature, the secretary of state shall give notice of such meeting to all media representatives on the list by providing either the notice described in paragraph (C)(2) of this rule or that described in paragraph (C)(3) of this rule or by notifying the clerk of the state house press room. In such event, the notice need not be given twenty-four hours prior to the meeting but shall be given as soon as possible.

In giving the notice required by this rule, the secretary of state may rely on assistance provided by any member of the secretary's staff or of the board of voting machine examiners, and any such notice is complete if given by such member in any of the manners provided in this rule.

(C) Any person may receive notice of all meetings of the board of voting machine examiners at which specific subject matters designated by such persons are scheduled to be discussed. The secretary of state shall maintain a list of all persons who have requested such notification. In order to receive notification, such persons shall provide to the secretary of state a sufficient quantity of self-addressed, stamped envelopes for the mailing of notices. Such notice shall be mailed no later than four calendar days prior to the day of the meeting.

Replaces: 111:3-1-01, 111:3-6-01

Effective: 1/25/2016
Five Year Review (FYR) Dates: 01/15/2021
Promulgated Under: 119.03
Statutory Authority: 3506.05(H)
Rule Amplifies: 3506.05
Prior Effective Dates: 12/12/75, 1/28/95, 1/1/02

111:3-9-02 Application requirements; generally.

In order to request examination, testing, and approval of equipment, the vendor shall submit the following to the board of voting machine examiners:

(A) All applicable hardware;

(B) All related procedural manuals;

(C) A current description of all related support arrangements for the equipment;

(D) An application fee;

(E) A detailed explanation of the construction and method of operation of the equipment;

(F) A full statement of the advantages of the equipment;

(G) A list of applicable patents and copyrights on the equipment.

Replaces: 111:3-2-01

Effective: 1/25/2016
Five Year Review (FYR) Dates: 01/15/2021
Promulgated Under: 119.03
Statutory Authority: 3506.05(H)
Rule Amplifies: 3506.05(C)(1)
Prior Effective Dates: 1/28/95

111:3-9-03 Application fee.

(A) The application fee to be submitted to the board is twenty-four hundred dollars. The fee shall be in the form of a certified check or money order made payable to the treasurer of state. The fee should be delivered to the office of the Ohio secretary of state in care of the individual appointed by the secretary of state to serve on the board of voting machine examiners.

(B) All fees collected shall be deposited into the state treasury to the credit of the "board of voting machine examiners fund" established in division (C)(2) of section 3506.05 of the Revised Code.

(C) All monies deposited into the fund shall be used solely for the following purposes:

(1) Payment for the services and expenses of each member of the board of voting machine examiners;

(2) Payment of expenses incurred in the course of examining, testing, reporting, or certifying of equipment;

(3) Payment for the performance of any related duties as required by the secretary of state;

(4) Reimbursement of persons submitting examination fee.

(D) An additional fee in the amount of actual costs incurred may be imposed to cover the costs of alternative testing or testing by persons other than board members, record keeping, and other extraordinary costs incurred in the examination process.

(E) In the event a fee or any part of it remains unused at the conclusion of the board's examination, it shall be refunded to the person who submitted the application fee.

Replaces: 111:3-2-02

Effective: 1/25/2016
Five Year Review (FYR) Dates: 01/15/2021
Promulgated Under: 119.03
Statutory Authority: 3506.05(H)
Rule Amplifies: 3506.05(C)
Prior Effective Dates: 1/28/95, 1/24/14

111:3-9-04 Escrow procedures.

(A) Consistent with the guidelines and standards of the U.S. election assistance commission, computer software developers must place in escrow with an independent escrow agent a copy of all source code and related documentation, together with periodic updates as they become known or available.

(B) Documentation referred to in paragraph (A) of this rule shall include a system configuration.

(C) Source code documentation referred to in paragraph (A) of this rule shall include all relevant program statements in low- or high-level languages.

(D) The independent escrow agent is subject to the approval of the secretary of state and must agree to all requirements of state law.

Replaces: 111:3-2-03

Effective: 1/25/2016
Five Year Review (FYR) Dates: 01/15/2021
Promulgated Under: 119.03
Statutory Authority: 3506.05(H)
Rule Amplifies: 3506.05(H)(2)
Prior Effective Dates: 1/28/95, 1/24/14

111:3-9-05 Operations manual; submission.

Along with the filing fee, the vendor shall submit six copies of a standard operations manual to the board for review. The manual shall contain the following information:

(A) A detailed description of the operation system;

(B) An explanation of the method of operation of the equipment;

(C) Tested standards of equipment regarding reliability, ranges, and test conditions;

(D) A sample contractual agreement to be used by the board of elections which is purchasing equipment including service terms;

(E) Specifications of safety features to ensure against fraud; and,

(F) Cost factors and compatibility with existing systems.

Replaces: 111:3-2-04

Effective: 1/25/2016
Five Year Review (FYR) Dates: 01/15/2021
Promulgated Under: 119.03
Statutory Authority: 3506.05(H)
Rule Amplifies: 3506.05(C)(1)
Prior Effective Dates: 1/28/95

111:3-9-06 Demonstration and approval of equipment; generally.

(A) All equipment and related materials must be submitted to the board of voting machine examiners for examination and testing. Upon receipt of the filing fee and copies of the standard operations manual, the board of voting machine examiners shall call a meeting to receive both an oral presentation and a physical demonstration of the output device. The device and other backup machinery shall be available for inspection.

(B) If a majority of the members vote that the equipment meets the mandatory criteria set forth in rule 111:3-3-01 of the Administrative Code, the board of voting machine examiners shall make a recommendation to the secretary of state to certify such equipment for use.

(C) The board of voting machine examiners shall prepare and file a written report with its recommendations to the secretary of state regarding whether the equipment and related materials can be used safely by voters. The statement should indicate one of the following:

(1) Approval or disapproval of the equipment and related materials;

(2) Conditions under which the equipment is approved;

(3) Temporary approval for experimental use of the equipment;

To be approved for experimental use, a voting machine need not comply with the requirements of paragraphs (C)(1) to (C)(14) of rule 111:3-3-01 of the Administrative Code.

(4) Reasons for which testing requires a longer period of time.

(D) The board of voting machine examiners shall meet to conduct such examination within sixty days after the submission of the equipment and payment of the fee, or as soon thereafter as is reasonably practicable, but in any event shall conduct such examination and file the required report with the secretary of state not more than ninety days after the submission and payment.

Replaces: 111:3-2-05

Effective: 1/25/2016
Five Year Review (FYR) Dates: 01/15/2021
Promulgated Under: 119.03
Statutory Authority: 3506.05(H)
Rule Amplifies: 3506.05(B), 3506.05(C), 3506.05(D)
Prior Effective Dates: 1/28/95

111:3-9-07 Demonstration procedure.

(A) The demonstration process shall be as follows:

(1) Display and discuss manual.

(2) Demonstrate ballot set up, including provision for:

(a) Rotation among precincts.

(b) Split precincts.

(3) Demonstrate opening of polls.

(4) Demonstrate means of locking out access to set up procedures to any but authorized personnel.

(5) Demonstrate means of locking out access to set up procedures to prevent overvote, or response to an overvote if no lockout exists.

(6) Demonstrate recovery from power failure.

(7) Discuss sensitivity to variations in operating conditions, including:

(a) Temperature.

(b) Humidity.

(c) Dust.

(8) Demonstrate accessibility to disabled voters.

(9) Demonstrate write-in capacity, and protection of voter privacy.

(10) Demonstrate means by which a voter can change vote.

(11) Demonstrate means by which a voter casts a ballot.

(12) Demonstrate how enclosure protects voter privacy.

(13) Demonstrate closing of the polls.

(14) Demonstrate taking the count, based on an actual series of votes cast during the demonstration.

(15) Discuss and demonstrate backup memory features and physical audit trail, if any.

(16) Demonstrate report of results.

(17) Discuss and demonstrate recount procedures.

(18) Demonstrate the question of operation in the following situations:

(a) Overlapping school districts in one precinct,

(b) Primary election with multiple parties and issues only ballots to be counted,

(c) Rotation of names,

(d) Ballots inserted backwards, or upside down in an optical scanner,

(e) Overvotes for an office,

(f) How an individual vote cannot be traced to the individual voter using an electronic machine with a paper audit trail.

(g) Production of abstracts in standard secretary of state's format.

Replaces: 111:3-2-06

Effective: 1/25/2016
Five Year Review (FYR) Dates: 01/15/2021
Promulgated Under: 119.03
Statutory Authority: 3506.05(H)
Rule Amplifies: 3506.05(C)
Prior Effective Dates: 1/28/95

111:3-9-08 Certification; mandatory requirements.

(A) In examining equipment and related materials for possible approval, the board of voting machine examiners will generally consider the following:

(1) Whether the equipment can be used safely;

(2) Whether the equipment can be depended upon to record and count accurately and continuously the votes of electors;

(3) Whether the equipment has the capacity to be warranted, maintained, and serviced.

(B) No automatic tabulating equipment shall be approved by the board or certified by the secretary of state, or be purchased, rented or otherwise acquired or used unless it has been or is capable of being manufactured for use and distribution beyond a prototype and can be set by election officials to examine ballots and to count votes accurately for each candidate, question, and issue, excluding any ballots marked contrary to the instructions printed on such ballots.

(C) No voting machine shall be approved by the board of voting machine examiners or certified by the secretary of state, or be purchased, rented, or otherwise acquired, or used, except when specifically allowed for experimental use, unless it fulfills the following requirements:

(1) The equipment permits and requires voting in absolute secrecy, and shall be so constructed that no person can see or know for whom any other elector has voted or is voting, except an elector who is assisting a voter as prescribed by section 3505.24 of the Revised Code;

(2) The equipment permits each elector to vote at any election for all persons and offices for whom and for which the elector is lawfully entitled to vote, whether or not the name of any such person appears on a ballot label as a candidate to vote and for or against any question upon which the elector is entitled to vote;

(3) The equipment shall preclude each elector from voting for any candidate or upon any question for whom or upon which the elector is not entitled to vote, from voting for more persons for any office than the elector is entitled to vote for, and from voting for any candidates for the same office or upon any question more than once;

(4) The equipment shall permit each voter to deposit, write in, or affix, upon devices provided for that purpose, ballots containing the names of the persons for whom the voter desires to vote, whose names do not appear upon the voting machine and such devices shall be susceptible of identification as to party affiliations when used at a primary election;

(5) The equipment shall permit each elector to change that elector's vote for any candidate or upon any question appearing upon the ballot labels, up to the time the elector starts to register the elector's vote;

(6) The equipment shall permit each elector, at all presidential elections, by one device to vote for electors of one party for president and vice-president;

(7) The equipment shall be capable of adjustment by election officers so as to permit each elector, at a primary election, to vote only for the candidates of the party with which the elector has declared the elector's affiliation and shall preclude the elector from voting for any candidate seeking nomination by any other political party; and to vote for the candidates for nonpartisan nomination or election;

(8) The equipment shall have separate voting for candidates and questions, which shall be arranged in separate rows or column and it shall be so arranged that one or more adjacent rows or columns may be assigned to the candidates of each political party at primary election;

(9) The voting machine shall have a counter, or other device, the register of which is visible from the outside of the machine, and which will show at any time during the voting the total number of electors who have voted; and also a protective counter, or other device, the register of which cannot be reset and will record the cumulative total number of movements of the internal counters;

(10) The voting machine shall be provided with locks and seals by the use of which, immediately after the polls are closed or the operation of the machine for an election is completed, no further changes to the internal counters can be allowed;

(11) The equipment shall have the capacity to contain the names of candidates constituting the tickets of at least five political parties, and independent groups and such number of questions as the secretary of state shall specify;

(12) The equipment shall be durably constructed of material of good quality in a neat and workmanlike manner, and in a form which shall make it safely transportable;

(13) The equipment shall be so constructed that a voter may readily learn the method of operating it, may expeditiously cast the voter's vote for all candidates of the voter's choice, and when operated properly shall register and record correctly and accurately every vote cast;

(14) The equipment shall be provided with a screen, hood, or curtain which will conceal the voter while voting. During the voting, it shall preclude every person from seeing or knowing the number of votes registered for any candidate or question and from tampering with any of the internal counters;

(15) The equipment has been certified by an independent testing authority as meeting or exceeding the minimum requirements of the election assistance commission voting system standards.

(D) The examiners will use a matrix rating sheet which provides for ratings of "acceptable" or "unacceptable" on each item.

Replaces: 111:3-3-01

Effective: 1/25/2016
Five Year Review (FYR) Dates: 01/15/2021
Promulgated Under: 119.03
Statutory Authority: 3506.05(H)
Rule Amplifies: 3506.05(D), 3506.10
Prior Effective Dates: 1/28/95, 1/1/02, 1/24/14

111:3-9-09 Certification; notification to boards.

The secretary of state shall notify all boards of elections of any certification of equipment within sixty days of determination. Such equipment may then be adopted for use at any election under the following conditions:

(A) The equipment is the same model and make as the certified equipment;

(B) The equipment provides for recording of voter intent;

(C) The equipment provides for system security;

(D) The equipment provides for voter privacy;

(E) The equipment provides for retention of the vote;

(F) The equipment provides for communication of voting records in an identical manner as the certified equipment.

Replaces: 111:3-3-02

Effective: 1/25/2016
Five Year Review (FYR) Dates: 01/15/2021
Promulgated Under: 119.03
Statutory Authority: 3506.05(H)
Rule Amplifies: 3506.05(D)
Prior Effective Dates: 1/28/95

111:3-9-10 Bond.

(A) A surety bond shall be required to cover cost of any recount or new election resulting from or directly related to the use or malfunction of equipment.

(B) The amount of the bond shall be determined by the secretary of state. Such amount shall be based on the following considerations:

(1) Whether the equipment has been approved for only experimental or conditional usage;

(2) The potential for malfunction and the estimated repair time;

(3) Recommendations of the board of voting machine examiners.

(C) The bond shall be filed with the board of county commissioners.

Replaces: 111:3-3-03

Effective: 1/25/2016
Five Year Review (FYR) Dates: 01/15/2021
Promulgated Under: 119.03
Statutory Authority: 3506.05(H)
Rule Amplifies: 3506.10
Prior Effective Dates: 1/28/95, 1/24/14

111:3-9-11 Enhancements and significant adjustments; duties.

The vendor shall notify the secretary of state of enhancements and significant adjustments to equipment that could result in the following:

(A) A patent change;

(B) A copyright change;

(C) A significant alteration in the following:

(1) The method of recording voter intent;

(2) Voter privacy;

(3) Retention of the vote;

(4) Communication of voting records;

(5) Connections between the systems and other systems.

(D) Notice may be accomplished by contacting: "Board of Voting Machine Examiners c/o Office of the Secretary of State 180 East Broad Street - 15th floor Columbus, Ohio 43215 Phone: (614) 466-2585 Fax: (614) 752-4360."

Replaces: 111:3-4-01

Effective: 1/25/2016
Five Year Review (FYR) Dates: 01/15/2021
Promulgated Under: 119.03
Statutory Authority: 3506.05(H)
Rule Amplifies: 3506.05
Prior Effective Dates: 1/28/95, 1/1/02

111:3-9-12 Updated manuals; duties.

(A) The vendor shall provide the secretary of state with any updated manual for equipment certified by the secretary of state.

(B) The secretary of state will forward to the board of voting machine examiners any updated equipment manual received from the vendor.

Replaces: 111:3-4-02

Effective: 1/25/2016
Five Year Review (FYR) Dates: 01/15/2021
Promulgated Under: 119.03
Statutory Authority: 3506.05(H)
Rule Amplifies: 3506.05(E)
Prior Effective Dates: 1/28/95

111:3-9-13 Re-examination; updated manual.

(A) Upon receipt of an updated manual for equipment certified by the secretary of state and after the vote of a majority of the members, the board of voting machine examiners may require the vendor to submit the equipment to an examination and test in order for the equipment to remain certified.

(B) The board of voting machine examiners shall provide vendor with a written notice of re-examination along with a date by which the equipment must be submitted for re-examination.

(C) The board of voting machine examiners may withdraw certification if the vendor fails to submit the equipment for re-examination within the time set forth by the board.

Replaces: 111:3-4-03

Effective: 1/25/2016
Five Year Review (FYR) Dates: 01/15/2021
Promulgated Under: 119.03
Statutory Authority: 3506.05(H)
Rule Amplifies: 3506.05(E)
Prior Effective Dates: 1/28/95

111:3-9-14 Re-examination; periodic.

(A) The board of voting machine examiners or the secretary of state shall periodically examine, test, and inspect certified equipment to determine continued compliance. Such re-examination shall be conducted every five years for equipment certified after January 1, 1995.

(B) The board of voting machine examiners shall provide vendor with a written notice of re-examination along with a date by which the equipment must be submitted for re-examination.

(C) The board of voting machine examiners may withdraw certification if the vendor fails to submit the equipment for re-examination within the time set forth by the board.

(D) Any examination, test, or inspection for the purpose of continuing certification shall be performed in the same manner as the initial approval and certification.

Replaces: 111:3-4-04

Effective: 1/25/2016
Five Year Review (FYR) Dates: 01/15/2021
Promulgated Under: 119.03
Statutory Authority: 3506.05(H)
Rule Amplifies: 3506.05(E)
Prior Effective Dates: 1/28/95

111:3-9-15 Withdrwawal of certification; gounds.

The following shall serve as grounds upon which the secretary of state may withdraw the certification of equipment:

(A) A board of elections notifies the board or secretary of state of a significant problem with the equipment;

(B) The board of voting machine examiners or secretary of state determines that the equipment fails to meet the requirements necessary for approval or continued compliance;

(C) The board of voting machine examiners determines there are significant enhancements or adjustments to the hardware or software;

(D) The vendor fails to notify the secretary of state of significant enhancements or adjustments to the hardware and software;

(E) The vendor fails to submit the equipment for re-examination upon written request by the board of voting machine examiners.

Replaces: 111:3-5-01

Effective: 1/25/2016
Five Year Review (FYR) Dates: 01/15/2021
Promulgated Under: 119.03
Statutory Authority: 3506.05(H)
Rule Amplifies: 3506.05(F)
Prior Effective Dates: 1/28/95

111:3-9-16 Withdrawal of certification; procedure.

At any time after the certification of equipment, the secretary of state may withdraw such certification if grounds are established under the following procedures:

(A) Written notice is given to the users and vendor of the grounds for possible withdrawal. Such notice shall include the following;

(1) The reason(s) for possible withdrawal of certification;

(2) The date upon which the certification may be withdrawn.

(B) The vendor has thirty days to respond to the notice of grounds for withdrawing certification. The vendor's response shall contain one or more of the following:

(1) A description of corrective measures taken;

(2) An explanation as to why enhancements of adjustments are not significant;

(3) An explanation as to why there are no problems with the equipment.

(C) No later than fifteen days after receiving the vendor's response, the board of voting machine examiners may determine by a majority vote whether:

(1) The vendor's corrective measures are satisfactory;

(2) The explanations offered are satisfactory;

(3) Withdrawal of the certification is required.

(D) The board of voting machine examiners shall notify the vendor of it's determination, in the case of withdrawal of certification, the effective date as determined by the board. Such notice shall include the basis for the board's determination.

Replaces: 111:3-5-02

Effective: 1/25/2016
Five Year Review (FYR) Dates: 01/15/2021
Promulgated Under: 119.03
Statutory Authority: 3506.05(H)
Rule Amplifies: 3506.05(F-G)
Prior Effective Dates: 1/28/95

111:3-9-17 Reconsideration hearing; procedure.

(A) No later than thirty days after receiving the secretary of state's determination regarding the withdrawal of certification, the vendor may request a reconsideration hearing. A vendor who has failed to respond to the secretary of state's notice of possible withdrawal of certification will be deemed to have waived the right to have the board of voting machine examiners' determination reconsidered.

(B) Upon a timely request for a reconsideration hearing, the board shall schedule a hearing to consider testimony and/or documentation in support of or in opposition to the board of voting machine examiner's recommendation to withdraw certification.

(C) Notice of the reconsideration hearing will be given to the vendor ten days prior to the reconsideration hearing.

(D) Any interested party as determined by the board of voting machine examiners may present testimony or documentation at the reconsideration hearing.

Replaces: 111:3-5-03

Effective: 1/25/2016
Five Year Review (FYR) Dates: 01/15/2021
Promulgated Under: 119.03
Statutory Authority: 3506.05(H)
Rule Amplifies: 3506.05(G)
Prior Effective Dates: 1/28/95

111:3-9-18 Standards for voter verified paper audit trail.

(A) These standards have been developed by the secretary of state pursuant to Substitute House Bill 262, and shall regulate and govern the use of the voter verified paper audit trail system in direct recording electronic (DRE) voting machines in all elections governed by the Ohio Revised Code. These standards shall only apply to DRE systems for which an electronic record of the vote is created by the DRE. The standards in this document constitute a minimum standard of performance.

(B) Direct recording electronic voting machine means a voting machine that records votes by means of a ballot display provided with mechanical or electro-optical components that can be actuated by the voter, that processes the data by means of a computer program, and that records voting data and ballot images in internal or external memory components. Only for the purpose of complying with the accessibility requirements of section 3506.19 of the Revised Code, optical scan marking devices determined by the secretary of state to provide the same or substantially similar levels of accessibility, including non-visual accessibility, shall be considered direct recording electronic voting devices. A direct recording electronic voting machine produces a tabulation of the voting data stored in a removable memory component and a printed copy.

(C) "Voter verified paper audit trail" means a physical paper printout on which the voter's ballot choices, as registered by a direct recording electronic voting machine, are recorded. The voter shall be permitted to visually or audibly inspect the contents of the physical paper printout. The physical paper printout shall be securely retained at the polling place until the close of the polls on the day of the election. After the physical paper printout is produced, but before the voter's ballot is recorded, the voter shall have an opportunity to accept or reject the contents of the printout as matching the voter's ballot choices. If a voter rejects the contents of the physical paper printout, the system that produces the voter verified paper audit trail shall invalidate the printout and permit the voter to recast the voter's ballot. On and after the first federal election that occurs after January 1, 2006, unless required sooner by the Help America Vote Act of 2002, any system that produces a voter verified paper audit trail shall be accessible to disabled voters, including visually impaired voters, in the same manner as the direct recording electronic voting machine that produces it.

(D) General description

(1) Components: the voter verified paper audit trail (VVPAT) system shall minimally consist of:

(a) A voter verified paper audit trail writer (VVPAT-W): a device attached, built into, or used in conjunction with a direct recording electronic (DRE) unit. Such a device must minimally consists of:

(i) Printer: a device that will duplicate a voter's selections on the DRE onto a paper record copy.

The system shall include one VVPAT printing device attached to or built into each DRE.

(ii) A paper record display unit: a unit that will allow a voter to view his or her paper record copy while preventing the voter from directly handling the paper record copy.

(iii) Paper: the paper used to produce the voter verified paper audit trail shall be sturdy, clean, and resistant to degradation.

(b) A voter verified paper audit trail record storage unit (VVPAT-S): a device that stores cast and spoiled paper record copies.

(c) These devices may be integrated as appropriate to their operation.

(d) A VVPAT may not be used with any voting equipment that contains any radio frequency (RF) transmit or receive capability or any other wireless communication device that transmits information point to point at a distance greater than one inch.

(e) A VVPAT may not be used with any voting equipment beyond the physical confines of the polling place, except when used outside a polling place in a self-contained manner to allow for curbside or functioning similar voting.

(2) Operation:

(a) VVPAT systems may be designed in various configurations. In all such devices, prior to casting the ballot, the voter shall have the ability to verify his or her selections on a paper record copy. Before final verification, the voter shall either accept or reject the choices represented on the paper record copy. Upon the completion of verification and casting the ballot, both the electronic record and the paper record copy shall be stored and retained.

(b) Any system that produces a voter verified paper audit trail shall be accessible to disabled voters, including visually impaired voters, in the same manner as the direct recording electronic voting machine that produces it.

(3) Maintenance: VVPAT system design shall permit routine maintenance in a manner that prevents the risk of undetected tampering or unauthorized altering of certified system components during routine system maintenance.

(E) Design requirements

(1) General

(a) Use of electronic and paper ballot records

(i) Every electronic record must have a corresponding paper ballot record copy.

(A) The paper ballot record copy must be printed and the voter must have the opportunity to verify that record prior to the final electronic record being recorded.

(B) A unique DRE identifier must appear on each individual paper ballot record produced, without revealing the identity of the voter who cast the ballot.

(ii) For any recount of an election in which ballots are cast using a direct recording electronic voting machine with a voter verified paper audit trail, the voter verified paper audit trail shall serve as the official ballot to be recounted.

(iii) In the case of a difference between the electronic record and the paper record copy, the paper record copy shall govern, unless there is clear evidence that the paper record copy is inaccurate, incomplete or unreadable as defined in the system procedures.

(iv) The voter verified paper audit trail shall be preserved in the same manner and for the same time period as paper ballots are preserved under section 3505.31 of the Revised Code.

(b) Privacy: The VVPAT system shall be designed to allow every voter to review, accept or reject his/her paper record copy privately and independently and shall comply with federal and state privacy requirements.

(c) Secrecy: The VVPAT system shall be designed to ensure secrecy of votes so that it is not possible to determine which voter cast which paper record copy and shall comply with federal and state secrecy requirements.

(d) Readability:

(i) The VVPAT system shall be designed to maximize the ease in which the voter may review, accept or reject his/her paper record copy and shall comply with federal and state readability requirements.

(A) The headline should be printed in no smaller than twenty-five point font, however, if the vendor cannot print the headline in at least twenty-five point font then they have the option of using a typeface of not less than nine point font and the VVPAT machine must include magnification capability to read the font as if it were thirty point font.

(B) The ballot language, explanation and arguments must be printed in no smaller than nine point font and no larger than eighteen point font and the machine must include a magnification capability read the font as if it were thirty point font.

(C) The ballot typeface must be times new roman, arial, myriad, or its equivalent.

(ii) On and after the first federal election that occurs after January 1, 2006, unless required sooner by the Help America Vote Act of 2002, the voter verified paper audit trail shall be capable of being optically scanned for the purpose of conducting a recount or other audit of the voting machine and shall be readable in a manner that makes the voter's ballot choices obvious to the voter without the use of computer or electronic codes.

(e) Accessibility: The VVPAT system shall be designed to allow access for disabled and limited literacy voters to privately and independently use the VVPAT and shall comply with federal and state accessibility requirements.

(f) Language accessibility: The VVPAT system shall be designed to allow each voter to verify their vote on a paper record copy in the same language they voted in on the DRE and shall comply with federal and state requirements.

(g) Security: The VVPAT system shall be designed to prevent tampering with either the VVPAT system or the paper record copy, and shall comply with federal and state security requirements.

(h) Capacity: The VVPAT system shall be designed with a combined capacity to ensure that an adequate amount of all the paper record, ink, toner, ribbon or other like supply units in a precinct will accommodate all voters using the DRE's with VVPAT-W within the precinct.

The VVPAT system shall be designed to ensure that poll workers will not be required to add paper record, ink, toner, ribbon or other like supply units to the VVPAT-W, more than once, during the polling hours.

(i) Integrity:

(i) The VVPAT system must be designed to prohibit the production by any direct recording electronic voting machine of anything that legally could be removed by the voter from the polling place, such as a receipt or voter confirmation.

(ii) The VVPAT system must provide a low supply warning to provide a poll worker the opportunity to add paper, ink, toner, ribbon or other like supply before the supply item runs out.

(A) In the event a supply warning occurs as a voter is casting a ballot, the VVPAT must safeguard the secrecy of the ballot by preventing the poll worker from reading the VVPAT ballot.

(B) After the poll worker has filled the supply, the system shall allow the voter to review their VVPAT ballot without having to recast their ballot.

(j) Capability: The VVPAT device should draw its power from the DRE or the same electrical circuit the DRE draws its power from.

(i) When not plugged into an AC power source, the battery used to power the DRE must also power the VVPAT. However, a separate battery can be used to power the VVPAT as long as the voting process cannot continue if the VVPAT is not operational.

(ii) The battery must provide sufficient power to supply both the DRE and VVPAT device for at least two hours, or federal and state standards, which ever is more stringent.

(2) Paper record copy

(a) Security: Security protections shall be built into the paper record copy and/or VVPAT-S to prevent tampering. This provision shall apply to paper record copies before, during and after printing.

(b) Readability: The paper shall be designed so as to make the paper record copy readable by voters and election officials and shall comply with state readability requirements.

(c) Retention: The voter verified paper record copy shall be retained by the elections official for the same period of time as mandated by state law for the retention of paper ballots for that election.

(3) Printer

(a) Security: The printer shall be physically secure from tampering. The paper record copy and the image created by the VVPAT-W on the paper record copy shall be designed to withstand storage requirements as outlined in these standards and state requirements.

(b) Readability: The image created by the printer shall be designed to allow a voter to review his or her paper record copy privately and independently.

(i) The headline should be printed in no smaller than twenty-five point font, however, if the vendor cannot print the headline in at least twenty-five point font then they have the option of using a typeface of not less then nine point font and the VVPAT machine must include magnification capability to read the font as if it were thirty point font.

(ii) The ballot language, explanation and arguments must be printed in no smaller than nine point type and the machine must include a magnification capability read the font as if it were thirty point.

(iii) The VVPAT must be printed using black ink, toner, or chemical agent on white paper.

(iv) The VVPAT must be printed using typeface/font of times new roman, arial, myriad, or its equivalent.

(v) The VVPAT must be printed using a paper weight of no less than fifteen pounds.

(c) Printed information

(i) Offices/issues: The image created by the VVPAT-W shall include every contest that is displayed to the voter on the DRE review screen including write-ins and undervotes.

(ii) Provisional ballot: The image created by the VVPAT-W shall be clearly identifiable in the case of a provisional ballot.

(iii) Spoiled ballot

(A) The image created by the VVPAT-W shall be clearly identifiable in the case of a spoiled paper record copy. The clearly identifiable spoiled paper record copy shall be shown in the paper record display unit to allow the voter to acknowledge the paper record copy has been spoiled. The VVPAT system shall be designed to prevent a paper record copy from being spoiled after the voter has verified that paper record copy and has cast his/her ballot.

(B) The voter shall have the opportunity to affirmatively spoil their paper record copy no more than two times. An error in recording or printing a paper record copy not caused by the voter shall not be counted as a spoiled paper record copy.

(C) Upon spoiling their paper record copy the voter shall be able to modify and verify selections on the DRE without having to reselect all of their choices.

(D) Before the voter causes a third and final paper record copy to be printed, the voter shall be presented with a warning notice that the selections made on screen will be final and the voter will see and verify a printout of their vote, but will not be given additional opportunities to change their vote.

(d) Language accessibility

(i) The VVPAT-W shall be capable of producing an image in all alternative languages for which the DRE is certified.

(ii) The paper record copy shall be printed in English and in the alternative language when used by a voter to cast their vote on the DRE.

(4) Paper record display unit

(a) Security: The paper record display unit shall allow the voter to inspect the paper record copy without physically handling the paper record copy and shall be physically secure from tampering.

(b) Readability: The paper record display unit shall provide adequate visual space to allow the voter to privately and independently inspect the paper record copy. A paper record copy shall be readable from the same position and posture used for voting on the DRE. The voter shall have the ability to view both the review screen on the DRE and the paper record copy in the display unit simultaneously. If the paper record copy cannot be viewed in its entirety in the paper record display unit at one time, then the voter shall have the opportunity to verify the entire paper record copy prior to either the electronic record or the paper record copy being stored and recorded.

Covering: Any protective covering intended to be transparent shall be in such condition that it can be made transparent by ordinary cleaning of its exposed surface.

(c) Accessibility: The VVPAT components must conform to federal and state accessibility requirements.

This shall include, but is not limited to, an audio component.

The audio component must accurately relay the information printed on the paper record copy to the voter.

(5) Paper record storage unit

(a) Security: The paper record storage unit shall be designed to prevent tampering.

(b) Secrecy: The VVPAT system shall be designed and proper procedures put in place to ensure the printed ballot audit trail is stored in a manner to ensure secrecy of votes so that it is not possible to determine which voter cast which paper record copy.

(c) Capacity: The combined capacity of all the paper record storage units in a precinct must be enough to accommodate all voters using the DREs within the precinct.

(F) Procedure requirements

(1) Update: Testing and certification, pre-election, election and post-election procedures for each DRE voting system shall be updated to reflect the use of the VVPAT. These updates include, but are not limited to:

(a) Testing and certification

(i) Testing: The VVPAT system shall conform to federal and state testing requirements. Required testing shall include, but not be limited to, functionality, security, durability, longevity and accessibility testing.

(ii) Certification: The VVPAT system must be certified for use by the state of Ohio in conjunction with the rest of the voting system with which it is intended to be used.

(iii) Configuration: The VVPAT system shall not, at any time, contain or use undisclosed hardware or software. The only components that may be used in the system are components that have been tested and certified for use in the state of Ohio.

(b) Pre-election procedures: The VVPAT system components must be integrated into existing local logic and accuracy testing requirements.

(c) Election procedures

(i) Malfunctions

(A) The vendor shall provide written recommendations for how to investigate and resolve malfunctions including, but not limited to, misreporting votes, unreadable paper records, paper or ribbon jams, low-ink, low paper, misfeeds and power failures.

(B) The vendor shall include written recommendations for how to recover votes in the case of malfunction to assure a ballot is properly recorded and stored.

(ii) The vendor shall include written recommendations for if the voter does not complete the verification process for their paper record copy.

(iii) The system shall prevent any further attempt to cast a ballot until an election judge has reset the VVPAT/DRE after correcting a malfunction.

(d) Post election procedures

(i) Written procedures shall reflect the use of the paper record copies in the required full manual recount as defined under state requirements.

(ii) The vendor shall include written recommendations for how the secrecy of votes will be ensured.

(iii) The vendor shall include written recommendations for how a discrepancy between an electronic record and its corresponding paper record copy shall be identified, investigated and resolved.

The vendor shall include written recommendations for determining what constitutes clear evidence that a paper record copy is inaccurate, incomplete or unreadable.

(G) In order to provide the secretary information pertinent to the implementation of the voting machines and the security of the voting machines, the individual voting machine vendors must meet the following requirements:

(1) Vendors shall produce all documentation describing materials, equipment, programs, and procedures, including source codes, scripts, and data files, required to develop, install or operate any software, firmware or hardware used in the voting system.

(2) Vendor shall produce the following documents submitted to or resulting from the federal testing and qualification or re-qualification process regarding voting systems:

(a) The technical data package as defined in voting systems standards 2002 (VSS-2002), Volume II, Section 2, or the current voting systems standards.

(b) Within thirty days of testing, Vendor shall furnish secretary with all test reports in the vendor's possession, both published final and intermediate statue reports showing discovered deficiencies and resolution steps.

(3) Vendor shall produce the following documents relating to each hardware, software and firmware version for any component of the voting system: detailed change logs, hardware change records or logs, test records relating to the changed components, and documents describing the effects of the changes.

(4) Vendor shall execute and deliver to the secretary of state an authorization in a format reasonably acceptable to vendor and independent testing authorities, to enable the secretary of state to obtain information about the status of federal testing and qualifications of vendors voting systems proposed to be used in Ohio.

(5) Vendor shall notify, within two business days, the secretary of state of problems encountered in Ohio and other jurisdictions, whether upon completion of testing or in an actual election, which vendor concludes would reasonably create an impediment to obtaining certification.

(6) Vendor shall maintain in good working order, provided the following are subjected only to normal wear and tear and proper usage, one working version of vendor's voting system, a server containing election management system and peripherals proposed to be used in any Ohio election.

(7) Vendor shall provide the secretary a statement identifying the voting system supplied and affirming that each voting system is state certified at the time of vendor's statement.

(8) Vendors shall implement the following security measures:

(a) Replace hard-coded supervisor passwords with dynamic passwords, and provide directions and training to enable election officials to change these passwords if election officials choose to do so.

(b) Use secure data transmissions between touchscreen terminals and the server.

(c) There shall not be vendor controlled security keys and the encryption code shall be programmable by county.

(9) Vendor shall notify secretary of state and the counties, where the vendors system is in use, of any security patches or other software upgrades that vendor recommends to be installed on the server. Vendor shall notify the secretary of any security patches which vendor recommends not be used.

Replaces: 111:5-1-01

Effective: 1/25/2016
Five Year Review (FYR) Dates: 01/15/2021
Promulgated Under: 119.03
Statutory Authority: 3506.01
Rule Amplifies: 3501.05, 3501.10, 3501.28, 3506.01 , 3506.05, 3506.06, 3506.10, 3509.07, 3513.052, 3517.109, 3517.1010, 3519.16, 3506.17, 3506.18, 3506.19
Prior Effective Dates: 4/28/05