Elections: All Levels of Government Are Needed to Address Electronic Voting System Challenges
Published: 2007-03-07T00:00:00

Fast Facts:

Highlights:
section_title: Why GAO Did This Study
paragraphs: Since the 2000 national elections, concerns have been raised by various groups regarding the election process, including voting technologies. Beginning in 2001, GAO published a series of reports examining virtually every aspect of the elections process. GAO's complement of reports were used by Congress in framing the Help America Vote Act of 2002, which, among other things, provided for replacement of older voting equipment with more modern electronic voting systems and established the Election Assistance Commission (EAC) to lead the nation's election reform efforts. GAO's later reports have raised concerns about the security and reliability of these electronic voting systems, examined the EAC's efforts to address these concerns, and surveyed state and local officials about practices used during the 2004 election, as well as plans for their systems for the 2006 election. Using its published work on electronic voting systems, GAO was asked to testify on (1) the contextual role and characteristics of electronic voting systems, (2) the range of security and reliability concerns that have been reported about these systems, (3) the experiences and management practices of states and local jurisdictions regarding these systems, and (4) the longstanding and emerging challenges facing all levels of government in using these systems.
section_title: What GAO Found
paragraphs: Voting systems are one facet of a multifaceted, year-round elections process that involves the interplay of people, processes, and technology, and includes all levels of government. How well these systems play their role in an election depends in large part on how well they are managed throughout their life cycle, which begins with defining system standards; includes system design, development, and testing; and concludes with system operations. Important attributes of the systems' performance are security, reliability, ease of use, and cost effectiveness. A range of parties knowledgable about elections or voting systems have expressed concerns about the security and reliability of electronic voting systems; these concerns can be associated with stages in the system life cycle. Examples of concerns include vague or incomplete voting system standards, system design flaws, poorly developed security controls, incorrect system configurations, inadequate testing, and poor overall security management. For the 2004 national elections, states' and local governments' responses to our surveys showed that they did not always ensure that important life cycle and security management practices were employed for their respective electronic voting systems. In particular, responses indicated that the most current standards were not always adopted and applied, security management practices and controls were employed to varying degrees, and certain types of system testing were not commonly performed. Moreover, jurisdictions' responses showed that they did not consistently monitor the performance of their systems. In GAO's view, the challenges faced in acquiring and operating electronic voting systems are not unlike those faced by any technology user--adoption and application of well-defined system standards; effective integration of the technology with the people who operate it and the processes that govern this operation; rigorous and disciplined performance of system security and testing activities; reliable measurement of system performance; and the analytical basis for making informed, economically justified decisions about voting system investment options. These challenges are complicated by other conditions such as the distribution of responsibilities among various organizations and funding opportunities and constraints. Given the diffused and decentralized allocation of voting system roles and responsibilities across all levels of government, addressing these challenges will require the combined efforts of all levels of government, under the leadership of the EAC. To assist the EAC in executing its leadership role, GAO has previously made recommendations to the commission aimed at better planning its ongoing and future activities relative to, for example, system standards and information sharing. While the EAC agreed with the recommendations, it stated that its ability to effectively execute its role is resource constrained.

section_title: Letter
paragraphs: Since the 2000 national elections,  concerns have been raised by  various groups regarding the  election process, including voting  technologies. Beginning in 2001,  GAO published a series of reports  examining virtually every aspect of  the elections process. GAO’s  complement of reports were used  by Congress in framing the Help  America Vote Act of 2002, which,  among other things, provided for  replacement of older voting  equipment with more modern  electronic voting systems and  established the Election Assistance  Commission (EAC) to lead the  nation’s election reform efforts.  GAO’s later reports have raised  concerns about the security and  reliability of these electronic voting  systems, examined the EAC’s  efforts to address these concerns,  and surveyed state and local  officials about practices used  during the 2004 election, as well as  plans for their systems for the 2006  election.
Voting systems are one facet of a multifaceted, year-round elections process  that involves the interplay of people, processes, and technology, and  includes all levels of government. How well these systems play their role in  an election depends in large part on how well they are managed throughout  their life cycle, which begins with defining system standards; includes  system design, development, and testing; and concludes with system  operations. Important attributes of the systems’ performance are security,  reliability, ease of use, and cost effectiveness.
A range of parties knowledgable about elections or voting systems have  expressed concerns about the security and reliability of electronic voting  systems; these concerns can be associated with stages in the system life  cycle. Examples of concerns include vague or incomplete voting system  standards, system design flaws, poorly developed security controls,  incorrect system configurations, inadequate testing, and poor overall  security management.
For the 2004 national elections, states’ and local governments’ responses to  our surveys showed that they did not always ensure that important life cycle  and security management practices were employed for their respective  electronic voting systems. In particular, responses indicated that the most  current standards were not always adopted and applied, security  management practices and controls were employed to varying degrees, and  certain types of system testing were not commonly performed. Moreover,  jurisdictions’ responses showed that they did not consistently monitor the  performance of their systems.
Using its published work on  electronic voting systems, GAO  was asked to testify on (1) the  contextual role and characteristics  of electronic voting systems, (2)  the range of security and reliability  concerns that have been reported  about these systems, (3) the  experiences and management  practices of states and local  jurisdictions regarding these  systems, and (4) the longstanding  and emerging challenges facing all  levels of government in using these  systems. www.gao.gov/cgi-bin/getrpt?GAO-07-576T.
To view the full product, including the scope  and methodology, click on the link above.  For more information, contact Randolph C.  Hite at (202) 512-3439 or hiter@gao.gov.
In GAO’s view, the challenges faced in acquiring and operating electronic  voting systems are not unlike those faced by any technology user—adoption  and application of well-defined system standards; effective integration of the  technology with the people who operate it and the processes that govern this  operation; rigorous and disciplined performance of system security and  testing activities; reliable measurement of system performance; and the  analytical basis for making informed, economically justified decisions about  voting system investment options. These challenges are complicated by  other conditions such as the distribution of responsibilities among various  organizations and funding opportunities and constraints. Given the diffused  and decentralized allocation of voting system roles and responsibilities  across all levels of government, addressing these challenges will require the  combined efforts of all levels of government, under the leadership of the  EAC. To assist the EAC in executing its leadership role, GAO has previously  made recommendations to the commission aimed at better planning its  ongoing and future activities relative to, for example, system standards and  information sharing. While the EAC agreed with the recommendations, it  stated that its ability to effectively execute its role is resource constrained.
Mr. Chairman and Members of the Subcommittee:   I appreciate the opportunity to participate in today’s hearing on the  Election Assistance Commission (EAC) and the integrity of the  elections process. As requested, my testimony will focus on the  challenges associated with the use of electronic voting systems  during elections, including the EAC’s efforts to address these  challenges.
During the 2000 national elections, concerns were raised about  “hanging chads” and “butterfly ballots.” In the 2004 and 2006  elections, concerns shifted to “software bugs” and “voter verifiable  paper trails.” In light of these and other election concerns, we  produced a series of reports between 2001 and 2006 in which we  examined virtually every aspect of the election process, including  types of voting technology. We reported that the particular  technology used to cast and count votes is a critical part of how  elections are conducted, but it is only one facet of a multifaceted  election process that involves the interplay of people, processes,  and technology. Accordingly, we have long held the position that no  voting technology, however well designed, can be a magic bullet  that will solve all election problems.
My testimony today addresses four perspectives on the voting  system environment: (1) the contextual role and characteristics of  electronic voting systems, (2) the range of security and reliability  concerns that have been reported about these systems, (3) the  experiences and management practices of states and local  jurisdictions regarding these systems, and (4) longstanding and  emerging intergovernmental challenges in using these systems.
In preparing this testimony, we drew extensively from our published  work on the election process. In addition, we reviewed recent  studies of electronic voting systems, EAC publications, and other  relevant documents. All the work on which this testimony is based  was performed in accordance with generally accepted government  auditing standards.
In summary, the integrity of voting systems—which are but one  variable in the successful election process equation—depends on  effective system life cycle management, which includes systems  definition, development, acquisition, operations, testing, and  management. It also depends on measuring actual voting system  performance in terms of security, reliability, ease of use, and cost  effectiveness, so that any needed corrective actions can be taken.  Unless voting systems are properly managed throughout their life  cycle, this one facet of the election process can significantly  undermine the integrity of the whole.
Election officials, computer security experts, citizen advocacy  groups, and others have raised significant concerns about the  security and reliability of electronic voting systems, citing vague or  incomplete standards, weak security controls, system design flaws,  incorrect system configuration, poor security management, and  inadequate security testing, among other issues. These security and  reliability concerns are legitimate and thus merit the combined and  focused attention of federal, state, and local authorities responsible  for election administration.
For the 2004 general election, states and local jurisdictions’  responses to our surveys showed that they did not always use the  most current voting system standards. Responses also showed that  voting system practices were implemented to varying degrees and  that certain types of system testing were not widely performed.  Moreover, responses indicated that jurisdictions did not consistently  monitor the performance of their systems. Such monitoring is  important for determining where performance needs, requirements,  and expectations are not being met so that corrective actions are  taken.
The challenges confronting all levels of government in acquiring and  operating voting systems for future elections are not unlike those  faced by any technology user: adoption and consistent application  of standards for system capabilities and performance; successful  management and integration of the people, process, and technology  components; rigorous and disciplined performance of testing and  security activities; reliable measurement to determine whether the  systems are performing as intended; and analytical and  economically justified basis for making informed decisions about  voting system investment options. These challenges are heightened  by other conditions common to both the national elections  community and other information technology environments: the  distribution of responsibilities among various organizations,  technology changes, funding opportunities and constraints,  emerging requirements and guidance, and public attention.
Given the diffused and decentralized allocation of voting system  roles and responsibilities across all levels of government, addressing  these challenges will require the combined efforts of all levels of  government, under the leadership of the EAC. To assist the EAC in  executing its leadership role, we previously made recommendations  to the commission aimed at better planning its ongoing and future  activities relative to, for example, system standards and information  sharing. While the EAC agreed with the recommendations, it told us  that its ability to effectively execute its role is resource constrained.  In our view, critical to the commission’s ability to perform its  leadership role will be the adequacy of resources at its disposal and  the degree of cooperation it receives from entities spanning all  levels of government.
subsections: section_title: Background
paragraphs: Following the 2000 national elections, we produced a  comprehensive series of reports covering our nation’s election  process that culminated with a capping report and framework for  the Congress to use to enact reforms for election administration.  Our reports were among the resources that the Congress drew on in  enacting the Help America Vote Act (HAVA) of 2002, which  provided guidance for fundamental election administration reform  and created the Election Assistance Commission (EAC) to oversee  the election administration reform process. HAVA also provided  funding to replace older voting equipment, specifically punch card  and mechanical lever voting equipment and encouraged adoption of  other technology. Subsequently, jurisdictions have increased their  use of electronic voting methods, of which there are two commonly- used types: optical scan and direct recording electronic (DRE).
subsections: section_title: HAVA Was Enacted to Strengthen the Overall Election Process
paragraphs: Enacted by Congress in October 2002, HAVA affects nearly every  aspect of the voting process, from voting technology to provisional  ballots and from voter registration to poll worker training. In  particular, the act authorized $3.86 billion in funding over several  fiscal years for programs to replace punch card and mechanical  lever voting equipment, improve election administration and  accessibility, train poll workers, and perform research and pilot  studies. HAVA also established the EAC to assist in the  administration of federal elections and provide assistance with the  administration of certain federal election laws and programs. HAVA  also established minimum election administration standards for the  states and units of local government that are responsible for the  administration of federal elections. The act specifically tasked the  EAC to serve as a national clearinghouse and resource for compiling  election information and reviewing election procedures; for  example, it is to conduct periodic studies of election administration  issues, including electronic voting system performance, to promote  methods of voting and administration that are most convenient,  accessible, and easy to use for all voters. Other examples of EAC  responsibilities include developing and adopting voluntary voting system guidelines and  maintaining information on the experiences of states in  implementing the guidelines and operating voting systems;   testing, certifying, decertifying, and recertifying voting system  hardware and software through accredited laboratories; making payments to states to help them improve elections in the  areas of voting systems standards, provisional voting and voting  information requirements, and computerized statewide voter  registration lists; and making grants for research on voting technology improvements.
The act also established the Technical Guidelines Development  Committee to support the EAC, making it responsible for  recommending voluntary voting system guidelines to the EAC. The  act assigned the National Institute of Standards and Technology  (NIST) responsibility for providing technical support to the  development committee and made the NIST Director the committee  chair.
The EAC began operations in January 2004, initially focusing on the  distribution of funds to help states meet HAVA’s Title III  requirements for uniform and nondiscriminatory election  technology and administration, including the act’s requirements  pertaining to voting system standards, provisional voting, voting  information, a computerized statewide voter registration list, and  identification for first-time voters who register to vote by mail.  Actions EAC has taken since 2004 to improve voting systems  include publishing the Best Practices Toolkit and specialized  management guides to assist states and local jurisdictions with  managing election-related activities and equipment;  issuing voting system standards in 2005, referred to as the  Voluntary Voting System Guidelines; establishing procedures for certifying voting systems; establishing a program for accreditation of independent testing  laboratories, with support from NIST’s National Voluntary  Laboratory Accreditation Program; disbursing to states approximately $2.3 billion in appropriations  for the replacement of older voting equipment and election  administration improvements under Title III of HAVA; and conducting national surveys of the 2004 general election,  uniformed and overseas voters, and other studies.
For fiscal year 2006, EAC’s appropriation totaled $14.1 million. EAC  reported that this included $3.8 million (27 percent) for activities  related to development and adoption of the voting system standards  and the voting system certification program; $3.5 million (25  percent) for research and study and to establish the EAC as a  national clearinghouse of election administration information; and  $2.8 million (20 percent) to manage HAVA funds distributed to the  states. The remaining funds went to various administrative  expenses, including funding various advisory board meetings. EAC’s  budget for fiscal year 2007 is $16.91 million, of which $4.95 million  (29 percent) is to be transferred to NIST for its work on voting  system standards and research performed under HAVA. EAC’s  requested budget for fiscal year 2008 is $15.5 million, of which $3.25  million (21 percent) is to be transferred to NIST.
section_title: Electronic Voting Systems Fall into Two Primary Categories
paragraphs: In the United States today, most votes are cast and counted by one  of two types of electronic voting systems: optical scan and direct  recording electronic. For the November 2004 general election,  optical scan was the predominant voting method for more than half  of local jurisdictions nationwide. In contrast, DREs were used as the  predominant voting method by an estimated 7 percent of  jurisdictions, although they were the predominant voting method for  large jurisdictions. Figure 1 shows the estimated use of  predominant voting methods for small, medium, and large  jurisdictions in the 2004 general election.
Optical scan voting systems use electronic technology to tabulate  paper ballots. For the 2004 general election, we estimated that about  51 percent of all local jurisdictions predominantly used optical scan  voting equipment.
An optical scan voting system is made up of computer-readable  ballots, appropriate marking devices, privacy booths, and a  computerized tabulation device. The ballot, which can be of various  sizes, lists the names of the candidates and the issues. Voters record  their choices using an appropriate writing instrument to fill in boxes  or ovals or to complete an arrow next to the candidate’s name or the  issue. The ballot includes a space for write-ins to be placed directly  on the ballot.
Optical scan ballots are tabulated by optical-mark-recognition  equipment (see figure 2), which counts the ballots by sensing or  reading the marks on the ballot. Ballots can be counted at the  polling place—this is referred to as precinct-count optical scan—or  at a central location. If ballots are counted at the polling place,  voters or election officials put the ballots into the tabulation  equipment, which tallies the votes; these tallies can be captured in  removable storage media that are transported to a central tally  location, or they can be electronically transmitted from the polling  place to the central tally location. If ballots are centrally counted,  voters drop ballots into sealed boxes and election officials transfer  the sealed boxes to the central location after the polls close, where  election officials run the ballots through the tabulation equipment.
Software instructs the tabulation equipment to assign each vote (i.e.,  to assign valid marks on the ballot to the proper candidate or issue).  In addition to identifying the particular contests and candidates, the  software can be configured to capture, for example, straight party  voting and vote-for-no-more-than-N contests. Precinct-based optical  scanners can also be programmed to detect overvotes (where the  voter votes for two candidates for one office, for example,  invalidating the vote) and undervotes (where the voter does not vote  for all contests or issues on the ballot) and to take some action in  response (rejecting the ballot, for instance), so that voters can fix  their mistakes before leaving the polling place. If ballots are  tabulated centrally, voters do not have the opportunity to detect and  correct mistakes that may have been made. In addition, optical scan  systems often use vote-tally software to tally the vote totals from  one or more vote tabulation devices.
Optical scan systems were widely used as the predominant voting  method for jurisdictions in the 2004 general election and we  reported last year that jurisdictions planned to acquire more of  these systems for the 2006 general election. We estimated that 30  percent of jurisdictions nationwide used precinct count optical scan  voting equipment as their predominant voting method for the 2004  general election, while an estimated 21 percent used central count  optical scan predominantly. Figure 1 shows the percentages of  jurisdictions using optical scan equipment as the predominant  voting method by jurisdiction size. While all sizes of jurisdictions  had plans to acquire both precinct count and central count optical  scan systems for the 2006 general election, small jurisdictions  showed a strong preference for acquiring precinct count optical  scan systems (estimated at 28 percent of small jurisdictions)  compared with DREs (13 percent) and central count optical scan (4  percent).
DREs capture votes electronically without the use of paper ballots.  For the 2004 general election, we estimated that about 7 percent of  all local jurisdictions used DREs predominantly, although 30 percent  of all large jurisdictions used them as the predominant voting  method.
DREs come in two basic types: pushbutton or touchscreen, with  pushbutton being the older technology. The two types vary  considerably in appearance, as shown in figure 3.
Pushbutton and touchscreen units differ significantly in the way  they present ballots to the voter. With the pushbutton type, all ballot  information is presented on a single “full-face” ballot. For example,  a ballot may have 50 buttons on a 3 by 3 foot ballot, with a candidate  or issue next to each button. In contrast, touchscreen DREs display  ballot information on an electronic display screen. For both  pushbutton and touchscreen types, the ballot information is  programmed onto an electronic storage medium, which is then  uploaded to the machine. For touchscreens, ballot information can  be displayed in color and can incorporate pictures of the candidates.  Because the ballot space on a touchscreen is much smaller than on  a pushbutton machine, voters who use touchscreens must page  through the ballot information. Both touchscreen and pushbutton  DREs can accommodate multilingual ballots.
Despite differences between pushbutton and touchscreen DREs, the  two types have some similarities, such as how the voter interacts  with the voting equipment. To make a ballot selection, voters press a  button or the screen next to the candidate or issue, and the button  or screen then lights up to indicate the selection. When voters are  finished making their selections, they cast their votes by pressing a  final “vote” button or screen. Until they hit this final button or  screen, voters can change their selections. DREs are designed to not  allow overvotes. Both types allow voters to write in candidates.  While most DREs allow voters to type write-ins on a keyboard, some  pushbutton types require voters to write the name on paper tape  that is part of the device. In addition, different types of DREs offer a  variety of options that jurisdictions may choose to purchase, such as  printed receipts or audio interfaces for voters with disabilities.
Although DREs do not receive paper ballots, they can retain  permanent electronic images of all the ballots, which can be stored  on various media, including internal hard disk drives, flash cards, or  memory cartridges. According to vendors, these ballot images,  which can be printed, can be used for auditing and recounts.
Like optical scan devices, DREs require the use of software to  program the various ballot styles and tally the votes, which is  generally done through the use of memory cartridges or other  media. Some of the newer DREs use smart card technology as a  security feature. Smart cards are plastic devices—about the size of a  credit card—that use integrated circuit chips to store and process  data, much like a computer. Smart cards are generally used as a  means to open polls and to authorize voter access to ballots. For  instance, smart cards on some DREs store program data on the  election and are used to help set up the equipment; during setup,  election workers verify that the card received is for the proper  election. Other DREs are programmed to automatically activate  when the voter inserts a smart card; the card brings up the correct  ballot onto the screen.
DREs offer various configurations for tallying the votes. Some  contain removable storage media that can be taken from the voting  device and transported to a central location to be tallied. Others can  be configured to electronically transmit the vote totals from the  polling place to a central tally location. Vote tally software is often  used to tally the vote totals from one or more units.
DREs were chosen as the predominant voting method by a relatively  small overall proportion of local jurisdictions for the 2004 general  election (7 percent overall). However, as previously shown in figure  1, large and medium jurisdictions identified DREs as their  predominant voting method (estimated at 30 percent and 20 percent  of jurisdictions, respectively) more often than small jurisdictions  (estimated at 1 percent). DREs were the leading choice among  voting methods for both large and medium jurisdictions that  planned to acquire voting systems before the 2006 general election  (an estimated 34 percent of jurisdictions in both size groups).
section_title: The Contextual Role and Performance Characteristics of Electronic Voting Systems Are Important to Understanding Their Use
paragraphs: Voting systems are one facet of a multifaceted, continuous elections  process that involves the interplay of people, processes, and  technology. All levels of government—federal, state, and local— share responsibilities for aspects of elections and voting systems.  Moreover, effective performance of these systems is a product of  effective system life cycle management, which includes systems  definition, development, acquisition, operations, testing, and  management. Such performance can be viewed in terms of several  characteristics, such as security, reliability, ease of use, and cost  effectiveness.
subsections: section_title: Despite Their Vital Role, Voting Systems Are Only One Aspect of the Larger Election Process
paragraphs: Voting systems represent one of many important components in the  overall election process. This process involves all levels of  government and is made up of several stages, with each stage  consisting of the interplay of people, processes, and technology.
At the federal level, Congress has authority under the Constitution  to regulate the administration of presidential and congressional  elections and to enforce prohibitions against specific discriminatory  practices in all elections—federal, state, and local. It has passed  legislation affecting the administration of state elections that  addresses voter registration, absentee voting, accessibility  provisions for the elderly and handicapped, and prohibitions  against discriminatory practices. Congress does not have general  constitutional authority over the administration of state and local  elections.
At the state level, the states are responsible for the administration of  both their own elections and federal elections. States regulate the  election process, including, for example, adoption of voting system  standards, testing of voting systems, ballot access, registration  procedures, absentee voting requirements, establishment of voting  locations, provision of Election Day workers, and counting and  certification of the vote. As we have reported, the U.S. election  process can be seen as an assemblage of 51 somewhat distinct  election systems—those of the 50 states and of the District of  Columbia.
Further, although election policy and procedures are legislated  primarily at the state level, states typically have decentralized this  process so that the details of administering elections are carried out  at the city or county levels, and voting is done at the local level. This  is important because local election jurisdictions number more than  10,000 and their size varies enormously—from a rural county with  about 200 voters to a large urban county such as Los Angeles  County, where the total number of registered voters for the 2000  elections exceeded the registered voter totals in 41 states.
The size and demographics of a voting jurisdiction significantly  affects the complexity of planning and conducting the election, as  does the method used to cast and count votes. For example,  jurisdictions using DRE systems may need to manage the electronic  transmission of votes or vote counts, while jurisdictions using  optical scan technology need to manage the transfer of the paper  ballots this technology reads and tabulates. Jurisdictions using  optical scan technology may also need to manage electronic  transmissions if votes are counted at various locations and totals are  electronically transmitted to a central tally point. No matter what  technology is used, jurisdictions may need to provide ballot  translations; however, the logistics of printing paper materials in a  range of languages, as would be required for optical scan  technology, is different from the logistics of programming  translations into DRE units.
Some states do have statewide election systems so that every voting  jurisdiction uses similar processes and equipment, but others do  not. For instance, we reported in 2001 that in Pennsylvania, local  election officials told us that there were 67 counties and  consequently 67 different ways of handling elections. In some  states, such as Georgia, state law prescribes the use of common  voting technology throughout the state while in other states, local  election officials generally choose the voting technology to be used  in their precincts, often from a list of state-certified options.
Regardless of levels of government, however, election  administration is a year-round activity, involving varying sets of  people performing the activities of each stage of the election  process. These stages generally consist of the following:
Voter registration. Among other things, local election officials  register eligible voters and maintain voter registration lists,  including updates to registrants’ information and deletions of the  names of registrants who are no longer eligible to vote.
Absentee and early voting. This type of voting allows eligible  persons to vote in person or by mail before Election Day.  Election officials must design ballots and other systems to  permit this type of voting and educate voters on how to vote by  these methods.
Election Day vote casting. Election administration includes  preparation before Election Day, such as local election officials  arranging for polling places, recruiting and training poll workers,  designing ballots, and preparing and testing voting equipment for  use in casting and tabulating votes, as well as Election Day  activities, such as opening and closing polling places and  assisting voters in casting their votes.
Vote counting. At this stage, election officials tabulate the cast  ballots, determine whether and how to count ballots that cannot  be read by the vote counting equipment, certify the final vote  counts, and perform recounts, if required.
As shown in figure 4, each stage of an election involves people,  processes, and technology.
Electronic voting systems are primarily involved in the last three  stages, during which votes are recorded, cast, and counted.  However, the type of system that a jurisdiction uses may affect  earlier stages. For example, in a jurisdiction that uses optical scan  systems, paper ballots like those used on Election Day may be  mailed in the absentee voting stage. On the other hand, a jurisdiction  that uses DRE technology would have to make a different provision  for absentee voting.
section_title: Management of Electronic Voting System Performance Is a Continuous Process
paragraphs: The performance of any information technology system, including  electronic voting systems, is heavily influenced by a number of  factors, including how well the system is defined, developed,  acquired, tested, and implemented.
Like any information technology product, a voting system starts  with the explicit definition of what the system is to do and how well  it is to do it. These requirements are then translated into design  specifications that are used to develop the system. Electronic voting  systems are typically developed by vendors and then purchased as  commercial off-the-shelf (COTS) products and implemented by state  and local election administrators. During the development,  acquisition, and implementation of the systems, a range of tests are  performed and the process is managed to ensure performance  expectations are met. Together, these activities form a voting  system life cycle (see figure 5).
Unless voting systems are properly managed throughout their life  cycle, this one facet of the election process can significantly  undermine the integrity of the whole.
Standards. Voting system standards define the functional and  performance requirements that must be met and thus provide the  baseline against which systems can be developed and tested. They  also specify how the systems should be implemented and operated.  Voting system standards apply to system hardware, software,  firmware, and documentation, and they span prevoting,voting, and  postvoting activities. They address, for example, requirements  relating to system security; system reliability (accuracy and  availability); system auditability; system storage and maintenance;  and data retention and transportation. In addition to national  standards, some states and local jurisdictions have specified their  own voting system requirements.
Development. Product development is performed by the voting  system vendor. Product development includes further establishing  system requirements, designing the system architecture, developing  software, integrating hardware and software components, and  testing the system.
Acquisition. Voting system acquisition activities are performed by  state and local governments and include publishing a request for  proposal, evaluating proposals, choosing a voting system method,  choosing a vendor, writing and administering contracts, and testing  the acquired system.
Operations. Operation of voting systems is typically the  responsibility of local jurisdictions. These activities include setting  up systems before voting, vote capture and counting during  elections, recounts and system audits after elections, and storage of  systems between elections. Among other things, this phase includes  activities associated with the physical environments in which the  system operates. These include ensuring the physical security of the  polling place and voting equipment and controlling the chain of  custody for voting system components and supplies. The operations  phase also includes monitoring of the election process by use of  system audit logs and backups, and the collection, analysis,  reporting, and resolution of election problems.
Testing. As noted, testing is conducted by multiple entities  throughout the life cycle of a voting system. Voting system vendors  conduct testing during system development. National testing of  systems is conducted by accredited independent testing authorities.  Some states conduct testing before acquiring a system to determine  how well it meets the specified performance parameters, or states  may conduct certification testing to ensure that a system performs  as specified by applicable laws and requirements. Once a voting  system is delivered by the vendor, states and local jurisdictions may  conduct acceptance testing to ensure that the system satisfies  requirements. Finally, local jurisdictions typically conduct logic and  accuracy tests prior to each election and sometimes subject  portions of the system to parallel testing during each election.
Management. Management processes ensure that each life cycle  phase produces desirable outcomes and are conducted by the  organizations responsible for each life cycle phase. Voting system  vendors manage the development phase, while states and/or local  jurisdictions manage the acquisition and operations phases. Typical  management activities that span the system life cycle include  planning, configuration management, system performance review  and evaluation, problem tracking and correction, human capital  management, and user training. Management responsibilities related  to security and reliability include program planning, disaster  recovery and contingency planning, definition of security roles and  responsibilities, configuration management of voting system  hardware and software, and poll worker security training.
section_title: Electronic Voting System Performance Can Be Judged on Several Attributes
paragraphs: Although the debate concerning electronic voting systems is  primarily focused on security, other performance attributes are also  relevant, such as reliability and ease of use, and cost. Each of these  attributes is described here.
Security. Election officials are responsible for establishing and  managing security and privacy controls to protect against threats to  the integrity of elections. Threats to election results and voter  confidentiality include potential modification or loss of electronic  voting data; loss, theft, or modification of physical ballots; and  unauthorized access to software and electronic equipment. Different  types of controls can be used to counter these threats. Physical  access controls are important for securing voting equipment, vote  tabulation equipment, and ballots. Software access controls (such as  passwords and firewalls) are important for limiting the number of  people who can access and operate voting devices, election  management software, and vote tabulation software. In addition,  physical screens around voting stations, and poll workers  preventing voters from being watched or coerced while voting are  important to protect the privacy and confidentiality of the vote.
Reliability. Ensuring the reliability of votes being recorded and  tallied is an essential attribute of any voting equipment and depends  to a large degree on the accuracy and availability of voting systems.  Without such assurance, both voter confidence in the election and  the integrity and legitimacy of the outcome of the election are at  risk. The importance of an accurate vote count increases with the  closeness of the election. Both optical scan and DRE systems are  claimed to be highly accurate. Although voting equipment may be  designed and developed to count votes as recorded with 100 percent  accuracy, how well the equipment counts votes as intended by  voters is a function not only of equipment design, but also of how  procedures are followed by election officials, technicians, and  voters. It is also important to limit system down time so that polling  places can handle the volume of voter traffic.
Ease of Use. Ease of use (or user friendliness) depends largely on  how voters interact with the voting system, physically and  intellectually. This interaction, commonly referred to as the  human/machine interface, is a function of the system design and  how it has been implemented. Ease of use depends on how well  jurisdictions design ballots and educate voters on the use of the  equipment. A voting system’s ease of use affects accuracy (i.e.,  whether the voter’s intent is captured), and it can also affect the  efficiency of the voting process (confused voters take longer to  vote). Accessibility by diverse types of voters, including those with  disabilities, is a further aspect of ease of use.
Cost. For a given jurisdiction, the particular cost associated with an  electronic voting system will depend on the requirements of the  jurisdiction as well as the particular equipment chosen. Voting  equipment costs vary among types of voting equipment and among  different manufacturers and models of the same type of equipment.  Some of these differences can be attributed to differences in what is  included in the unit cost. In addition to the equipment unit cost, an  additional cost for jurisdictions is the software that operates the  equipment, prepares the ballots, and tallies the votes (and in some  cases, prepares the election results reports). Other factors affecting  the acquisition cost of voting equipment are the number and types of  peripherals required. Once jurisdictions acquire the voting  equipment, they also incur the cost to operate and maintain it, which  can vary considerably.
section_title: Widespread Concerns about Electronic Voting Systems Have Been Reported
paragraphs: Election officials, computer security experts, citizen advocacy  groups, and others have raised significant security and reliability  concerns with electronic voting systems, citing, for example,  inadequacies in standards, system design and development,  operation and management activities, and testing. In 2005, we  examined the range of concerns raised by these groups and aligned  them with their relevant life cycle phases. We also examined EAC’s  efforts related to these concerns. Furthermore, we identified key  practices that each level of government should implement  throughout the voting system life cycle in order to improve security  and reliability.
The aspects of the voting system life cycle phases are  interdependent—that is, a problem experienced in one area of the  life cycle will likely affect other areas. For example, a weakness in  system standards could result in a poorly designed and developed  system, which may not perform properly in the operational phase.  State and local jurisdictions have documented instances when their  electronic voting systems exhibited operational problems during  elections. Such failures led to polling place delays, disruptions, and  incorrect vote tabulations.
In reviewing the reported concerns, we have explained that many of  the security and reliability concerns involved vulnerabilities or  problems with specific voting system makes and models or unique  circumstances in a specific jurisdiction’s election, and there is a lack  of consensus among elections officials, computer security experts,  and others on the pervasiveness of the concerns. We concluded in  2005 that these concerns have caused problems with recent  elections, resulting in the loss and miscount of votes. In light of the  demonstrated voting system problems; the differing views on how  widespread these problems are; and the complexity of assuring the  accuracy, integrity, confidentiality, and availability of voting systems  throughout their life cycles, we stated that the security and  reliability concerns merit the focused attention of federal, state, and  local authorities responsible for election administration.
subsections: section_title: Inadequate National Standards
paragraphs: Appropriately defined and implemented standards for system  functions and testing processes are essential to ensuring the  security and reliability of voting systems across all phases of the  elections process. States and local jurisdictions face the challenge of  adapting to and consistently applying appropriate standards and  guidance to address vulnerabilities and risks in their specific  election environments. The national standards are voluntary— meaning that states are free to adopt them in whole or in part or  reject them entirely.
The Federal Election Commission (FEC) issued a set of voluntary  voting systems standards in 1990 and revised them in 2002. These  standards identify requirements for electronic voting systems.  Computer security experts and others criticized the 2002 voting  system standards for not containing requirements sufficient to  ensure secure and reliable voting systems. Common concerns with  the standards involved their vague and incomplete security  provisions, inadequate provisions for some commercial products  and networks, and inadequate documentation requirements.
In December 2005, EAC issued the Voluntary Voting System  Guidelines, which include additions and revisions for system  functional requirements, performance characteristics,  documentation requirements, and test evaluation criteria for the  national certification of voting systems. These guidelines promote  security measures that address gaps in prior standards and are  applicable to more modern technologies, such as controls for  software distribution and wireless operations.
As we previously reported, the 2005 Voluntary Voting System  Guidelines do not take effect until December 2007. Moreover, this  version of the standards does not comprehensively address voting  technology issues. For instance, they do not address COTS devices  (such as card readers, printers, or personal computers) or software  products (such as operating systems or database management  systems) that are used in voting systems without modification. This  is significant because computer security experts have raised  concerns about a provision in the prior voting system standards that  exempted unaltered COTS software from testing and about voting  system standards that are not sufficient to address the weaknesses  inherent in telecommunications and networking services.  Specifically, vendors often use COTS software in their electronic  voting systems, including operating systems. Security experts note  that COTS software could contain defects, vulnerabilities, and other  weaknesses that could be carried over into electronic voting  systems, thereby compromising their security. Regarding  telecommunications and networking services, selected computer  security experts believe that relying on any use of  telecommunications or networking services, including wireless  communications, exposes electronic voting systems to risks that  make it difficult to adequately ensure their security and reliability— even with safeguards such as encryption and digital signatures in  place.
As states and jurisdictions move to a more integrated suite of  election systems, proactive efforts to establish standards in such  areas will be essential to addressing emerging technical, security,  and reliability interactions among systems and managing risks in  this dynamic election environment. However, the 2005 guidelines do  not address the emerging trends in election systems, such as the  integration of registration systems with voting systems.
In light of this and other weaknesses in the standards, we reported  in 2005 that EAC did not yet have detailed plans in place for  addressing these deficiencies. Accordingly, we recommended that  EAC collaborate with NIST and the Technical Guidelines  Development Committee to define specific tasks, measurable  outcomes, milestones, and resource needs required to improve the  standards. To its credit, EAC agreed with our recommendation,  recognizing that more work was needed to further develop the  technical guidelines. Accordingly, it stated that it planned to work  with NIST to plan and prioritize its standards work within its scarce  resources.
section_title: Inadequate System Design and Development
paragraphs: Multiple reports, including several state-commissioned technical  reviews and security assessments, raised concerns about the design  and development of secure and reliable electronic voting systems.  Among other things, weak embedded security controls and audit  trail design flaws were two major areas of concern.
Weak system security controls. Some electronic voting  systems reportedly have weak software and hardware security  controls. Regarding software controls, many security  examinations reported flaws in how controls were implemented  in some DRE systems to prevent unauthorized access. For  example, one model failed to password-protect the supervisor  functions controlling key system capabilities; another relied on  an easily guessed password to access these functions. If  exploited, these weaknesses could damage the integrity of  ballots, votes, and voting system software by allowing  unauthorized modifications. Regarding physical hardware  controls, several recent reports found that certain DRE models  contained weaknesses in controls designed to protect the  system. For instance, reviewers were concerned that a particular  model of DRE was set up in such a way that if one machine was  accidentally or intentionally unplugged from the others, voting  functions on the other machines in the network would be  disrupted. In addition, reviewers found that the switches used to  turn a DRE system on or off, as well as those used to close the  polls on a particular DRE terminal, were not protected.
Design flaws in developing voter-verified paper audit  trails.  Establishing a voter-verified paper audit trail involves  adding a paper printout to a DRE system so that a voter can  review and verify his or her ballot. Some citizen advocacy  groups, security experts, and elections officials advocate these  audit trails as a protection against potential DRE flaws.  However, other election officials and researchers have raised  concerns about potential reliability and security flaws in the  design of systems using voter-verified paper audit trails. If voting  system mechanisms for protecting the paper audit trail were  inadequate, an insider could associate voters with their  individual paper ballots and votes, particularly if the system  stored voter-verified ballots sequentially on a continuous roll of  paper. If not protected, such information could breach voter  privacy and confidentiality.
section_title: Inadequate System Operation and Management Activities
paragraphs: Several reports raised concerns about the operational practices of  local jurisdictions and the actual performance of their respective  electronic voting systems during elections. These include incorrect  system configurations, inadequate security management programs,  and poor implementation of security procedures.
Incorrect system configuration. Some state and local election  reviews have documented cases in which local governments did  not properly configure their voting systems. These improper  configurations resulted in voters being unable to vote in certain  races or their votes not being captured correctly by the voting  system.
Poor version control of system software. Security experts  and some election officials expressed concern that the voting  system software installed at the local level may not be the same  as what was qualified and certified at the national or state levels.  These groups raised the possibilities that either intentionally or  by accident, voting system software could be altered or  substituted, or that vendors or local officials might install  untested or uncertified versions of voting systems, knowingly or  unknowingly. As a result, potentially unreliable or malicious  software might be used in elections.
Inadequate security management programs. Several  technical reviews found that states did not have effective  information security management plans in place to oversee their  electronic voting systems. The reports noted that key managerial  functions were not in place, including (1) providing appropriate  security training, (2) ensuring that employees and contractors  had proper certifications, (3) ensuring that security roles were  well defined and staffed, and (4) ensuring that pertinent officials  correctly set up their voting system audit logs and require them  to be reviewed.
Poor implementation of security procedures. Several  reports indicated that state and local officials did not always  follow security procedures. For example, reports found that a  regional vote tabulation computer was connected to the Internet  and that local officials had not updated it with several security  patches, thus needlessly exposing the system to security threats.  In addition, several reports indicated that some state and local  jurisdictions did not always have procedures in place to detect  problems with their electronic voting systems such as ensuring  the number of votes cast matched the number of signatures on  precinct sign-in sheets.
section_title: Inadequate Testing
paragraphs: Security experts and some election officials have expressed  concerns that the tests performed by independent testing authorities  and state and local election officials do not adequately assess  electronic voting systems’ security and reliability. These concerns  are intensified by what some perceive as a lack of transparency in  the testing process.
Inadequate security testing. Many computer security experts  expressed concerns with weak or insufficient system testing,  source code reviews, and penetration testing. To illustrate their  concerns, they pointed to the fact that most of the systems that  exhibited the weak security controls previously cited had been  nationally certified after testing by an independent testing  authority. Security experts and others point to this as an  indication that both the standards and the testing program are  not rigorous enough with respect to security.
Lack of transparency in the testing process. Security  experts and some elections officials have raised concerns about  a lack of transparency in the testing process. They note that the  test plans used by the independent testing authorities, along with  the test results, are treated as protected trade secrets and thus  cannot be released to the public. Critics say that this lack of  transparency hinders oversight and auditing of the testing  process. This in turn makes it harder to determine the actual  capabilities, potential vulnerabilities, and performance problems  of a given system. Despite assertions by election officials and  vendors that disclosing too much information about an  electronic voting system could pose a security risk, one security  expert noted that a system should be secure enough to resist  even a knowledgeable attacker.
section_title: Variability and Weaknesses in State and Local Approaches to Voting System Standards, Testing, Operations, and Performance Measurement
paragraphs: In 2006, we reported on state and local government experiences in  conducting the 2004 national election. Regarding voting systems,  states and jurisdictions’ responses to our surveys showed that  differing versions of the national voting system standards were used  (not always the most current version); voting system life cycle  management practices were not consistently implemented; and  certain types of system testing were not widely performed.  Moreover, jurisdictions reported that they did not consistently  monitor the performance of their systems, which is important for  determining whether election needs, requirements, and expectations  are met and for taking corrective actions when they are not.
subsections: section_title: States’ Use of Standards Varied
paragraphs: States and jurisdictions reported that they applied a variety of voting  system standards, some of which were no longer current.  Specifically, 44 states and the District of Columbia reported that  they were requiring local jurisdictions’ voting systems to be used for  the first time in the November 2006 general election to comply with  the national voting system standards. However, these states were  not all using the same version of the standards. This is troublesome  because the later versions of the standards are more stringent than  the earlier versions in various areas, including security.
More specifically, 28 of the 44 states and the District of Columbia  reported that voting systems to be used for the first time in the 2006 election comply with the 2002 voting system standards. Nine of  these 28 states would also require their jurisdictions to apply the  1990 federal standards to new voting systems and 4 of the 28 would  also require jurisdictions to use the 2005 voting system standards,  which were in draft version at the time of our survey. (One other  state also expected to apply the 2005 voting system standards.) Ten  other of the 44 states reporting said that they expected to use hybrid  standards that were based on one or more versions of the national  standards, without specifying the composition of their hybrid, and 4  states planned to use the national standards in 2006, but did not  specify a version. (Five states responded that they did not require  their voting systems to comply with any version of the national  standards or had not yet made a decision on compliance with the  standards for 2006. One state did not respond.)
section_title: Jurisdictions Varied Widely in Applying Security Practices
paragraphs: Local jurisdictions varied widely in the nature and extent of their  voting system security efforts and activities during the 2004 election.  Our research on recommended security practices shows that  effective system security management involves having, among other  things, (1) defined policies governing such system controls as  authorized functions and access and documented procedures for  secure normal operations and incident management; (2)  documented plans for implementing policies and procedures; (3)  clearly assigned roles and responsibilities for system security; and  (4) verified use of technical and procedural controls designed to  reduce the risk of disruption, destruction, or unauthorized  modification of systems and their information. Jurisdictions’ efforts  in each of these areas for the November 2004 general election are  discussed here.
Policies and procedures. Many jurisdictions reported having  written policies and procedures for certain aspects of security  related to their voting systems, but others did not. Written security  policies were more prevalent among large jurisdictions (an  estimated 65 percent) than small jurisdictions (an estimated 41  percent). An estimated one-fifth of jurisdictions reported that they  did not have written policies and procedures in place for  transporting ballots or electronic memory, storing ballots, or  electronic transmission of voted ballots to ensure ballot security. In  addition, some jurisdictions that we visited had published detailed  voting system security policies and procedures that included such  topics as network security policies for election tabulation,  procedures for securing and protecting election equipment and  software, testing voting equipment to ensure accurate recording of  votes, and disaster recovery plans, while others omitted these  topics. Some jurisdictions also took additional steps to ensure that  election workers had access to, and were trained in, the contents of  the policies and procedures for securing ballots and voting  equipment.
Implementation plans. Election officials in only 8 of the 28  jurisdictions that we visited told us that they had written plans for  implementing security aspects of their voting systems and  processes. Moreover, the contents of plans we obtained from local  jurisdictions varied widely. One of the jurisdiction’s security plans  covered most aspects of the voting process, from ballot preparation  through recount, while another plan was limited to the security of  its vote-tallying system in a stand-alone environment. Of the 5 plans  we reviewed, 2 covered almost all of the 8 security topics in our  review that included risk assessment, physical controls, awareness  training, and incident response, while the others covered just one or  two topics.
Roles and responsibilities. In addition, security management  roles and responsibilities for the 2004 general election were not  consistently assigned. According to survey responses, security  responsibilities primarily fell to local election officials (estimated at  67 percent) for the 2004 general election, although state officials  (estimated at 14 percent) and other entities (e.g., independent  consultants and vendors, estimated at 24 percent) were also assigned these responsibilities. Local officials were typically  responsible for implementing security controls, while state officials  were usually involved with developing security policy and guidance  and monitoring local jurisdictions’ implementation of security. Some  jurisdictions reported that other entities performed such tasks as  securing voting equipment during transport or storage and training  election personnel for security awareness. Similarly, 26 states  reported that security monitoring and evaluation was performed by  two or more entities. In 22 states and the District of Columbia,  responsibility for security monitoring and evaluation was shared  between the state and local election officials. States also reported  cases where other entities (e.g., independent consultants or  vendors) were involved in monitoring and evaluating controls. The  entities that were assigned tasks and responsibilities at the local  jurisdictions we visited are described in table 1.
Use of security controls. For the November 2004 general election,  jurisdictions’ operation of voting systems employed varying uses of  certain security controls. Based on survey responses, we estimated  that 59 percent of jurisdictions used power or battery backup, 67  percent used system access controls, 91 percent used hardware  locks and seals, and 52 percent used backup electronic storage for  votes. We further estimated that 95 percent of jurisdictions used at  least one of these controls, and we estimated hardware locks and  seals were the controls most consistently used for electronic voting  systems. Furthermore, we estimated that a lower percentage of  small jurisdictions used power or battery backup and electronic  backup storage of votes for their voting systems than large or  medium jurisdictions, and these differences are statistically  significant in most cases. Figure 7 presents the use of various  security controls by jurisdiction size.
Among the jurisdictions that we visited, election officials reported  that various security measures were in use during the 2004 general  election to safeguard voting equipment, ballots, and votes before,  during, and after the election. However, the measures were not  uniformly reported by officials in these jurisdictions, and officials in  most jurisdictions reported that they did not have a security plan to  govern the scope, nature, and implementation of these measures or  other aspects of their security program. The security controls most  frequently cited by officials for the jurisdictions that we visited were  locked storage of voting equipment and ballots and monitoring of  voting equipment. Other security measures mentioned during our  visits included testing voting equipment before, during, or after the  election to ensure that the equipment was accurately tallying votes;  planning and conducting training on security issues and procedures  for elections personnel; and video surveillance of stored ballots and  voting equipment. Table 2 summarizes the types and frequency of  security measures reported by election officials in the jurisdictions  we visited.
Voting systems that can be remotely accessed introduce additional  security challenges. Based on survey responses, we estimated that a  small percentage of local jurisdictions (10 percent) provided remote  access to their voting systems for one or more categories of  personnel—local election officials, state election officials, vendors,  or other parties. Some of the jurisdictions that provided this access  described a variety of protections to mitigate the risk of  unauthorized remote access, including locally controlled passwords,  passwords that change for each access, and local control of  communications connections. However, the percentage of  jurisdictions with remote access may actually be higher because 7 to  8 percent of jurisdictions did not know if remote access was  available for their systems.
section_title: Some Types of Testing Were Not Commonly Performed
paragraphs: To ensure that voting systems perform as intended, the systems  must be effectively tested. Voting system test and evaluation can be  grouped into various types, or stages: certification testing (national  level), certification testing (state level), acceptance testing,  readiness testing, parallel testing, and postelection voting system  audits. Each of these tests has a specific purpose and is conducted  at the national, state, or local level at a particular time in the  election cycle. Table 3 summarizes these types of tests.
For the November 2004 general election, voting system testing was  conducted for almost all voting systems, but the types and content  of the testing performed varied considerably. According to survey  responses, most states and local jurisdictions employed national and  state certification testing and readiness testing to some extent, but  the criteria used in this testing were highly dependent on the state  or jurisdiction. Also, many, but not all, states and jurisdictions  conducted acceptance testing of both newly acquired systems and  those undergoing changes or upgrades. In contrast, relatively few  states and jurisdictions conducted parallel testing during elections  or audits of voting systems following elections. State and local  responses to our surveys are summarized here relative to each type  of testing.
National certification.  Most states continued to require that  voting systems be nationally tested and certified. For voting systems  being used for the first time in the 2004 general election, national  certification testing was almost always uniformly required. In  particular, 26 of 27 states using DRE for the first time in this  election, as well as the District of Columbia, required their systems  to be nationally certified, while 9 of the 10 states using punch card  equipment for the first time, and 30 of 35 states and the District of  Columbia using optical scan equipment for the first time, reported  such requirements. However, for the 2004 general election, we  estimated that 68 percent of jurisdictions did not know whether  their respective systems were nationally certified. This uncertainty  surrounding the certification status of a specific version of voting  system at the local level underscores our concern that even though  voting system software may have been qualified and certified at the  national or state levels, software changes and upgrades performed  at the local level may not be.
State certification. For the November 2004 general election, 42  states and the District of Columbia reported that they required state  certification of voting systems. Seven of these states purchased  voting systems at the state level for local jurisdictions. Officials for  the remaining states and the District of Columbia reported that  responsibility for purchasing a state-certified voting system rested  with the local jurisdiction. While state certification requirements  often included national testing as well as confirmation of  functionality for particular ballot conditions, some states also  required additional features such as construction quality,  transportation safety, and documentation. Among the remaining 8  states that did not require state certification, officials described  other mechanisms to address the compliance of voting equipment  with state-specific requirements, such as a state approval process or  acceptance of voting equipment based on federal certification.
For the 2006 general election, 44 states reported that they would  have requirements for certification of voting systems, 2 more states  than for the 2004 general election. Of the 44, all but 1 expected to  conduct the certification themselves; the remaining state reported  that it would rely on results from a national independent testing  authority to make its certification decision. In addition, 18 of the 43  states planned to involve a national testing laboratory in their  certification process.
Acceptance testing. With regard to acceptance testing of new  voting systems, 26 states and the District of Columbia reported that  responsibility for such testing was assigned to either the state or  local level for the 2004 general election. Specifically, 8 states and the  District of Columbia reported that they had responsibility for  performing acceptance testing, 15 states required local jurisdictions  to perform such testing, and 3 states reported that requirements for  acceptance testing existed at both the state and local levels. Twenty- two states either did not require such testing or did not believe that  such testing was applicable to them. (Two states did not know their  acceptance testing requirements for the 2004 election.)
In addition, more states required that acceptance testing be  performed for changes and upgrades to existing systems than they  did for new systems—30 states in all and the District of Columbia.  Similarly, election officials at a majority of the local jurisdictions  that we visited told us that they conducted some type of acceptance  testing for newly acquired voting equipment, although they  described a variety of approaches to performing acceptance testing.  For example, the data used for testing could be vendor-supplied,  developed by election officials, or both, and could include system  initialization, logic and accuracy, and tamper resistance. Other  steps, such as diagnostic tests, physical inspection of hardware, and  software configuration checks, were also mentioned as testing  activities by local election officials. Further, election officials from 3  jurisdictions that we visited said that vendors were heavily involved  in designing and executing the acceptance tests, while officials from  another jurisdiction that we visited said that vendors contributed to  a portion of their testing. In 2 jurisdictions, officials said that  acceptance tests were conducted at a university center for elections  systems.
Readiness testing. Almost all states (49) and the District of  Columbia reported that they performed readiness testing of voting  systems at the state level, the local level, or both (one state did not  require readiness testing). Most states (37) required local  jurisdictions to perform readiness testing. However, 7 states  reported that they performed their own readiness testing for the  2004 general election in addition to local testing. Five states and the  District of Columbia reported that they had no requirements for  local jurisdictions to perform readiness testing but conducted this  testing themselves.
State laws or regulations in effect for the 2004 election typically had  specific requirements for when readiness testing should be  conducted and who was responsible for testing, sometimes  including public demonstrations of voting system operations. We  found that most jurisdictions conducted readiness testing, also  known as logic and accuracy testing, for both the 2000 and 2004  general elections. Election officials in all of the local jurisdictions  we visited following the 2004 election reported that they conducted  readiness testing on their voting equipment using one or more  approaches, such as diagnostic tests, integration tests, mock  elections, and sets of test votes, or a combination of approaches.
Security testing. Security testing was reportedly performed by 17  states and the District of Columbia for the voting systems used in  the 2004 general election, and 7 other states reported that they  required local jurisdictions to conduct such testing. The remaining  22 states said that they did not conduct or require system security  testing. (Three states reported that security testing was not  applicable for their voting systems.) Moreover, we estimated that at  least 19 percent of local jurisdictions nationwide (excluding  jurisdictions that reported that they used paper ballots) did not  conduct security testing for the systems they used in the November  2004 election. Although jurisdiction size was not a factor in whether  security testing was performed, the percentage of jurisdictions  performing security testing was notably higher when the  predominant voting method was DRE (63 percent) and lower for  jurisdictions where the predominant method was precinct count  optical scan (45 percent).
Parallel testing. Parallel testing was not widely performed by local  jurisdictions in the 2004 general election, although 7 states reported  that they performed parallel testing of voting systems on Election  Day, and another 6 states reported that this testing was required by  local jurisdictions. We estimated that 2 percent of jurisdictions  using electronic systems for at least some of their voting conducted  parallel testing for the 2004 general election. Large and medium  jurisdictions primarily performed this type of testing (7 percent and  4 percent of jurisdictions, respectively). The percentage of small  jurisdictions performing this type of testing was negligible (0  percent). Election officials in 2 of the 28 jurisdictions that we visited  told us that they performed parallel testing, either at the state level  or at the local jurisdiction. In both cases, the tests were conducted  on voting equipment for which security concerns had been raised in  another state’s voting equipment test report. Local officials who told  us that parallel testing was not performed on their voting systems  attributed this to the absence of parallel testing requirements, a lack  of sufficient voting equipment to perform these tests, or the  unnecessary nature of parallel testing because of the stand-alone  operation of their systems.
Post-election audits. Less than one-half of the states (22) and the  District of Columbia reported that they performed postelection  voting system audits for the 2004 general election. Specifically, 4  states and the District of Columbia reported that they conducted  postelection audits of voting systems, 16 states required that audits  of voting systems be conducted by local jurisdictions, and 2 states  reported that audits of voting systems were performed at both the  state and local levels. Moreover, state laws or regulations in effect  for the 2004 general election varied in when and how these audits  were to be conducted.
We estimated that 43 percent of jurisdictions that used voting  systems for at least some of their voting conducted postelection  voting system audits. This practice was much more prevalent at  large and medium jurisdictions (62 percent and 55 percent,  respectively) than small jurisdictions (34 percent). We further  estimated that these voting system audits were conducted more  frequently in jurisdictions with central count optical scan voting  methods (54 percent) than they were in jurisdictions with precinct  count optical scan voting methods (35 percent).
section_title: Jurisdictions Did Not Consistently Monitor Voting System Performance
paragraphs: It is important that performance be measured during system  operation. As we reported in 2001 and 2006, measuring how well  voting systems perform during a given election allows local officials  to better position themselves for ensuring that elections are  conducted properly. Such measurement also provides the basis for  knowing where performance needs, requirements, and expectations  are not being met so that timely corrective action can be taken to  ensure the security and reliability of the voting system. Jurisdictions  without supporting measures for security and reliability may lack  sufficient insight into their system operations.
Overall, responses to our local jurisdiction survey show that large  jurisdictions were most likely to record voting system performance  and small jurisdictions were least likely. We estimated that 42  percent of jurisdictions overall monitored the accuracy of voting  equipment in the 2004 general election. Other measures recorded  were spoiled ballots (estimated at 50 percent of jurisdictions),  undervotes (50 percent of jurisdictions), and overvotes (49 percent  of jurisdictions). During our visits to local jurisdictions, election  officials in several jurisdictions told us that measuring overvotes  was not a relevant performance indicator for jurisdictions using  DREs because they do not permit overvoting, and that undervotes were not a meaningful metric because most voters focused on a  limited range of issues or candidates and thus frequently chose not  to vote on all contests. Figure 8 shows the percentages of small,  medium and large jurisdictions that collected information on  various measures of accuracy.
We estimated that 15 percent of jurisdictions measured voting  system failure rates and 11 percent measured system downtime. A  higher percentage of large and medium jurisdictions collected these  performance data than small jurisdictions. Collection of these data  was also related to the predominant voting method used by a  jurisdiction, with jurisdictions that predominantly used DREs more  likely to collect system data than those that used precinct count or  central count optical scan voting methods (an estimated 45 percent  of jurisdictions versus 23 percent or 10 percent, respectively).  Figure 9 shows the percentages of small, medium, and large  jurisdictions that collected information on voting equipment failures  and downtime. Figure 10 shows the percentages by predominant  voting method of all jurisdictions that collected data on equipment  failures.
Further, an estimated 55 percent of all jurisdictions kept a written  record of issues and problems that occurred on Election Day, which  could be a potential source of performance data. Large jurisdictions  were more likely to keep a written record of issues or problems that  occurred on Election Day. Specifically, we estimated that 79 percent  of large jurisdictions kept such records, compared with 59 percent  of medium jurisdictions and 52 percent of small jurisdictions. The  responsibilities for monitoring or reporting voting system  performance most often rested with local jurisdictions. We  estimated that 83 percent of local jurisdictions had local officials  responsible for performance monitoring or reporting, while states or  other organizations (such as independent consultants or vendors)  held such responsibilities in 11 percent and 13 percent of  jurisdictions, respectively.
section_title: Addressing Voting System Challenges Requires the Combined Efforts of All Levels of Government
paragraphs: The challenges in ensuring that voting systems perform securely and  reliably are not unlike those faced by any technology user— application of well-defined standards for system capabilities and  performance; effective integration of the people, processes, and  technology throughout the voting system life cycle; rigorous and  disciplined performance of security and testing activities; objective  measurement to determine whether the systems are performing as  intended; and analytical and economically justified basis for making  informed decisions about voting system investment options. These  challenges are complicated by other conditions common to both the  national elections community and other information technology  environments: the distribution of responsibilities among various  organizations, technology changes, funding opportunities and  constraints, changing requirements and standards, and public  attention. Although responsibility for voting system performance  falls largely on local governmental units, state and federal  governments have important roles to play as well. Therefore, all  levels of government need to work together to address these  challenges, under the leadership of the EAC.
To assist the EAC in executing its leadership role, we previously  made recommendations to the commission aimed at better planning  its ongoing and future activities relative to, for example, system  standards and information sharing. While the EAC agreed with the  recommendations, it told us that its ability to effectively execute its  role is resource constrained.
subsections: section_title: Establishing and Applying Current and Comprehensive Standards
paragraphs: The extent to which states and local jurisdictions adopt and  consistently apply up-to-date voting systems standards directly  affects the security and reliability of voting systems during  elections. For the 2006 general election, a substantial proportion of  states and jurisdictions had yet to adopt the most current federal  voting system standards or related performance measures, meaning  that the systems they employ may not perform as securely and  reliably as desired. Beyond this, decisions by states and local  jurisdictions to apply these latest standards for the 2008 election  present additional challenges such as (1) whether the systems can  be tested and certified in time for the election and (2) adopting  standards that are now undergoing revision rather than continued  use of earlier standards or later adoption of even newer standards.
EAC plays an important role in ensuring the timely testing and  certification of voting systems against the latest standards and in  informing state and local decisions on whether to adopt these  standards for the 2008 election. Accordingly, we have recommended  that EAC define tasks and time frames for achieving the full  operational capability of the national voting system certification  program. These management elements would need to take into  account estimating testing capacity and expected volume for the  testing laboratory accreditation program, establishing protocols and  time frames for reviewing certification packages, and setting norms  for timely consideration and decision making regarding system  certifications. Sharing this information with state and local election  officials would help them to plan for system upgrades, testing, and  state certification to meet their upcoming election cycles.
States and local jurisdictions must also consider the timely adoption  of standards in light of the additional work that is currently under  way and planned to address known weaknesses in the national  standards. For example, in addition to establishing minimum  functional and performance requirements for voting systems,  standards can also be used to govern integration of election  systems, such as the accuracy, reliability, privacy, and security of  components and interfaces. Accordingly, we have recommended  that the EAC collaborate with NIST and the Technical Guidelines  Development Committee to define the specific tasks, measurable  outcomes, milestones, and resource needs required to improve the  voting system standards. Identifying the incremental improvements  to standards for several future election cycles and coordinating  these with states and local jurisdictions would help those officials  plan for these cycles and prepare the public for expected changes in  voting technologies, security and reliability features, and  compensating controls.
section_title: Ensuring that Necessary Security, Testing, and Operational Activities Are Effectively Performed
paragraphs: Maximizing the performance of the voting systems that jurisdictions  currently have and those they plan to use in the next general  election means taking proactive steps between now and November  2008 to ensure that these systems perform as intended. These steps  include activities aimed at securing, testing, and preparing these  systems for operation. Although the vast majority of jurisdictions  performed security, testing, and operational activities in one form or  another for the 2004 general election, the extent and nature of these  activities varied among jurisdictions and depended on the  availability of resources (financial and human capital) committed to  them. The challenge facing all voting jurisdictions will be to ensure  that these activities are fully and properly performed, particularly in  light of the security and reliability concerns that have been reported  with electronic voting systems.
Security, testing, and operational activities are to a large degree  responsive to—and limited by—formal state and local directives.  For 2004, election officials for some states identified various state  and local directives for managing the security and reliability of their  voting systems, including security plans, security testing, system  acceptance testing, and voting equipment auditing. When  appropriately defined and implemented, such directives can  promote the effective execution of security and testing practices  across all phases of the election process. As voting technologies and  requirements evolve, states and local jurisdictions face the challenge  of adapting and implementing the directives to meet the needs of  their specific election environments.
section_title: Managing the People, Processes, and Technology as Components of the Overall Process
paragraphs: As previously stated, jurisdictions need to manage the triad of  people, processes, and technology as interrelated and  interdependent parts of the total voting process. Given the amount  of time that remains between now and the November 2008 elections,  jurisdictions’ voting system performance is more likely to be  influenced by improvements in poll worker system operation  training, voter education about system use, and vote casting and  counting procedures than by changes to the physical systems. The  challenge for voting jurisdictions is thus to ensure that these people  and process issues are dealt with effectively.
In this regard, the election management decisions and practices of  states and local jurisdictions can benefit from the experiences and  results of those with comparable election environments. In 2004 and  again in 2006, EAC compiled such information into guidance  documents for widespread use by election officials. However, as the  election environment and voting systems continue to evolve,  additional lessons and topics will undoubtedly surface. Accordingly,  we have recommended that the EAC establish a process and  schedule for periodically compiling and disseminating  recommended practices for security and reliability across the  system life cycle and that the practices be informed by information  it collects on the problems and vulnerabilities of these systems.  Incorporating the feedback obtained through actual voting system  development, acquisition, preparation, and operations into practical  guidance will allow the election community to be more robust and  efficient.
section_title: Gathering and Using Reliable System Performance Measures and Data and Making Informed Investment Decisions
paragraphs: Reliable measures and objective data are needed for jurisdictions to  know whether the technology they use is meeting the needs of the  user communities (both the voters and the officials who administer  the elections). While the vast majority of jurisdictions reported that  they were satisfied with the performance of their respective  technologies in the November 2004 elections, this satisfaction was  based mostly on the subjective impressions of election officials  rather than on objective data that measured voting system  performance. Although these impressions should not be discounted,  informed decision making on voting system operations and  technology investment requires more objective data. The immediate  challenge for jurisdictions is to define measures and begin collecting  data so that they can definitely know how their systems are  performing.
States and local jurisdictions can benefit from sharing performance  data on voting systems, including information on problems and  vulnerabilities. However, the diffused and decentralized nature of  our election system impedes timely and accurate collection and  dissemination of this type of information for particular voting  system models. Accordingly, we have recommended that the EAC  develop a process and associated time frames for sharing  information on voting system problems and vulnerabilities across  the election community. The national voting system certification  process established in January 2007 provides a mechanism for  election officials to report problems and vulnerabilities with their  systems to the EAC. Not yet defined are the mechanisms to collect  and disseminate information on problems and vulnerabilities that  are identified by voting system vendors and independent groups  outside of the national certification process.
In addition, foreseeable changes in technology require jurisdictions  to determine whether a particular technology will provide benefits  over its useful life that are commensurate with life-cycle costs  (acquisition as well as operation and maintenance) and to assess  whether these collective costs are affordable and sustainable. Thus,  the long-term challenge for jurisdictions is to view and treat voting  systems as capital investments and to manage them as such,  including basing decisions on technology investments on clearly  defined requirements and reliable analyses of quantitative and  qualitative return on investment.
In closing, I would like to say again that electronic voting systems  are an undeniably critical link in the overall election chain. While  this link alone cannot make an election, it can break one. The  problems that some jurisdictions have experienced and the serious  concerns that have surfaced highlight the potential for continuing  difficulties in upcoming national elections if these challenges are not  effectively addressed. The EAC plays a vital role related to ensuring  that election officials and voters are educated and well informed  about the proper implementation and use of electronic voting  systems and ensuring that jurisdictions take the appropriate steps— related to people, process, and technology—that are needed  regarding security, testing, and operations. More strategically, the  EAC needs to move swiftly to strengthen the voting system  standards and the testing associated with enforcing them. However,  the EAC alone cannot ensure that electronic voting system  challenges are effectively addressed. State and local governments  must also do their parts. Moreover, critical to the commission’s  ability to do its part will be the adequacy of resources at its disposal  and the degree of cooperation it receives from entities at all levels of  government.
Mr. Chairman, this concludes my statement. I would be pleased to  answer any questions that you or other Members of the  Subcommittee may have at this time.
section_title: Contact and Acknowledgements
paragraphs: For further information, please contact Randolph C. Hite at (202)  512-3439 or by e-mail at hiter@gao.gov. Other key contributors to  this testimony were Neil Doherty, Nancy Glover, Paula Moore, and  Kim Zelonis.
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