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# **Voting System Anomaly Root Cause Analysis Template v2.0**

# **Root Cause Analysis for:**

**<ANOMALY ANALYZED>**

**<VOTING SYSTEM NAME, VERSION AND EAC CERTIFICATION #>**

**<MANUFACTURER NAME>**

**<STREET ADDRESS>**

**<CITY, STATE, ZIP CODE>**

******

**<DATE>**

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ContentsIntroduction	2Anomaly Description	3Chronology of Events / Timeline	4Investigative Team and Method	5Findings and Root Cause	6Corrective Action(s)	7Solution Management	8

# Introduction

***<Note: All text in italics is instructional and may be deleted from the final RCA document>***

*This section highlights the purpose and importance of the root cause analysis (RCA). The RCA is applicable when an anomaly is identified that has potential impact on fielded units regardless of where and when the anomaly was initially identified.*

*The RCA provides a record of the approach taken to identify and document the root cause of a particular problem and the follow-up actions necessary to thoroughly address the root cause.*

**

*The purpose of an RCA in the EAC testing and certification program is to find effective solutions to voting system anomalies and to determine what factors need to be corrected to prevent such problems from reoccurring in the future.*

*RCAs shall be provided to the EAC for:*

· *All previously EAC certified systems when an anomaly is identified whether it affects fielded systems or not.*

· *Systems under test that have been shown to have a general fault that might affect fielded systems, and*

· *State Certified version of systems that may have a common flaw with an EAC version but is not specifically an EAC certified system.*

*RCAs shall be provided to the EAC at the earliest opportunity, but no later than five business days after the analysis is completed and corrected actions and solutions have been documented. While the RCA is underway, the EAC should be kept informed of progress.*

*To provide assurance that the goals of the RCA will be met, the voting system RCA should meet the following criteria:*

1. *Clearly define the anomaly and its effect on the election jurisdiction(s) and on the voting system manufacturer.*

2. *Clearly delineate the known causal relationships that combined to cause the anomaly.*

3. *Clearly establish causal relationships between the root cause(s) and the defined anomaly.*

4. *Clearly present the evidence used to support the existence of identified causes of the anomaly.*

5. *Clearly explain how the corrective actions will prevent recurrence of the defined anomaly.*

6. *Clearly explain how the solution(s) will be managed in the future.*

7. *Clearly document the above criteria in this analysis report so election officials and the voting public can easily follow the logic of the analysis.*

# Anomaly Description

Complete all sections. Descriptions must be as detailed as possible, while being clear and concise since the anomaly is the source of the entire RCA. This detail should include a complete list and/or description of the “symptoms” of the anomaly and the conditions present which the symptoms occurred.

# Chronology of Events / Timeline

Provide a detailed chronology of the events leading up to, and following, the anomaly. Add additional events if necessary. 

# Investigative Team and Method

This section shall describe how the investigative team is assembled by the voting system manufacturer, who it consists of, and how it gathers the data to be used in the analysis. Include the RCA method employed by the manufacturer in conducting the analysis and why this method was used.

# Findings and Root Cause

Describe the findings of the investigation and explain the root cause(s) based on these findings. If the RCA results in findings that are not directly related to the root cause of the anomaly, these should also be captured as manufacturer product/process improvement steps in an effort to improve the voting system. 

# Corrective Action(s)

# Solution Management 

The purpose of this section is to manage the corrective action(s) moving forward. This should detail all process changes to manage those corrective actions, and steps taken to ensure the actions eliminate the anomaly over time. 

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