Section 204.10  General Provisions

 

Pursuant to Sections 24A-16 and 24A-17 of the Election Code [10 ILCS 5/24A-16 and 24A-17], no voting system shall be used in this State unless approved for use by the State Board of Elections in accordance with this Part.

 

(Source:  Amended at 29 Ill. Reg. 13734, effective August 25, 2005)

 

Section 204.20  Definitions

 

"Applicant" is any individual, public official, public body, trust, partnership, committee, association, corporation, vendor, user or any other organization or group of persons seeking to use or market any voting system or voting system component.

 

"Commercial Off the Shelf" or "COTS" is any commercial, readily available hardware devices (such as printers or personal computers) or software products (such as operating systems, programming language compilers, or database management systems).

 

"Computer Code" consists of, but is not limited to, ballot counting source code, table structures, modules (compiled source code), program narratives, installation instructions, operations instructions, data flows, deployment platforms, compatibility considerations for hardware, software and firmware, and any other documentation relevant to the structure and operation of the ballot counting system.

 

"Preliminary Review" shall consist of a full technical and procedural review of the proposed voting system component and of no more than three different and separate preaudited ballot counting tests created by the Board's staff.  The purpose of the review and testing is to determine the proposed system's ability to adhere to ballot management procedures required by statute and rule and to tabulate ballots and report results as prescribed by the Election Code [10 ILCS 5].

 

"User" is any individual, public official, public body, trust, partnership, committee, association, corporation or any other organization or group of persons owning, using, or contracting for the purchase or use of any voting system or voting system component involved in the election process.

 

"Vendor" is any individual, trust, partnership, committee, association, corporation or any other organization or group of persons contracting to supply any voting system or voting system component involved in the election process.

 

"Voting System" or "Electronic Voting System" means that combination of equipment and programs used in the casting, examination and tabulation of ballots and the cumulation and reporting of results by electronic means.

 

(Source:  Amended at 33 Ill. Reg. 13937, effective September 16, 2009)

 

Section 204.30  Jurisdiction Profile

 

The Board shall develop and maintain for each election jurisdiction a jurisdiction profile that will be used to assess a voting system's capability to be utilized and maintained in the proposed election jurisdiction.  The profile shall consist of information such as:

 

a)         Demographic characteristics that shall specify at a minimum the population size, densities, and characteristics.

 

b)         Jurisdiction characteristics that shall specify at a minimum the number of registered voters; geographical size; computer facilities; availability of support functions; polling place locations and facilities; number of precincts; registered voters per precinct; average voter turnout; a record of voting system performance for each election; ratio of voters to machines/devices; type of tabulation activity; ballot size; complexity and configurations; number of qualified parties; number of primaries; number of elections per year; turnaround time between elections; and ballot rotation sequence difference.

 

(Source:  Amended at 29 Ill. Reg. 13734, effective August 25, 2005)

 

Section 204.40  Criteria for Approval of Voting Systems

 

a)         A full review of each voting system shall be conducted to ensure that no voting system shall be approved unless it fulfills the following requirements as set forth in Section 24A-16 of the Election Code:

 

1)         It enables a voter to vote in absolute secrecy;

 

2)         It enables a voter to vote a ticket selected in part from the nominees of one party, and in part from the nominees of any or all parties, and in part from independent candidates and in part of candidates whose names are written in by the voter;

 

3)         It enables a voter to vote a written or printed ticket of his own selection for any person for any office for whom he may desire to vote;

 

4)         It will reject all votes for an office or upon a proposition when the voter has cast more votes for such office or upon such proposition than he is entitled to cast;

 

5)         It will accommodate all propositions to be submitted to the voters in the form provided by law or, where no  form is provided, then in brief form, not to exceed 75 words.

 

b)         Any review of a voting system shall consist of an evaluation of the characteristics of the system in order to determine what set of characteristics are needed to enable the system to fulfill the requirements set forth in subsection (a), such as:

 

1)         Physical characteristics, including design, engineering, materials and ability to communicate;

 

2)         Software performance, including, to the maximum extent possible, a review of application programs, audit trails of overvotes and undervotes, duplicate programs, object code, source code, support software, data integrity, media security, and multi-programming;

 

3)         Ballot and voting characteristics, such as the capacity of the ballot to contain multiple configurations;

 

4)         Ballot processing characteristics, including the preparation, accurate tabulation for both primary and general election ballots and transportation of ballots;

 

5)         Function and service characteristics, including the interaction and relationship, if any, of non-election related system functions with election related functions;

 

6)         Human performance standards, such as extent of training and degree of manual dexterity needed;

 

7)         Management standards, including setup, maintenance and security procedures.

 

(Source:  Amended at 29 Ill. Reg. 13734, effective August 25, 2005)

 

Section 204.50  Application for Approval of Voting Systems

 

a)         In order to obtain Board approval of a voting system, a written application must be made to the Board.  The application shall, at a minimum, contain the following:

 

1)         A general description of the proposed system.

 

2)         The description, nomenclature, specifications and intended use or uses of all voting system components comprising the proposed voting system.

 

3)         A description of all contemplated and possible uses of the voting system software components.

 

4)         A description of support services provided for the proposed voting system.

 

5)         Applicant's primary address, telephone number and e-mail address and the names, addresses, e-mail addresses and telephone numbers of individuals and/or corporations who will be responsible for marketing the proposed voting system.

 

6)         The time period in which the applicant has actively engaged in marketing the proposed voting system.

 

7)         A complete list of election jurisdictions currently using the proposed voting system, including the size of the jurisdiction and the names and addresses of the election authorities.

 

8)         A complete list of jurisdictions currently contracting with the applicant for voting system components.

 

9)         A complete list of election jurisdictions in Illinois in which the applicant is seeking to market the proposed voting system.

 

10)         If known, a complete list of election jurisdictions in Illinois in which the applicant proposes to experimentally use the proposed voting system.

 

b)         Application Fee

 

1)         The non-refundable application fee shall be allocated pursuant to the following:

 

A)	New system approval	$750
B)	Software modification of a previously approved system	$500
C)	Hardware modification of a previously approved system	$250
D)	Hardware modification limited to "Commercial Off the Shelf" hardware for a previously approved system such as printers and personal computers	$100

 

2)         Failure to submit the application fee will cause the application to be incomplete and prevent the approval of the voting system or system modification.  No State testing may begin prior to the Board's receipt of the fee and a complete application.  Staff will notify the applicant in writing of the receipt of the application and the fee.  Any incomplete application or incorrect fee will be returned to the applicant with a request for correction.

 

c)         The Computer Code as defined in Section 204.20 shall be submitted as part of the completed application for approval.

 

d)         No vendor or user shall offer to sell, lease, loan, give or otherwise supply to any user or potential user any voting system or voting system component, and no user shall place in operation any voting system or voting system component, without first submitting to the Illinois State Board of Elections the application for approval identified in subsection (a).  A completed application for approval shall be submitted not less than six months prior to any election in which a voting system or support component is proposed for use.

 

e)         Failure to provide the application in accordance with subsection (c) shall result in the denial of any application or request for emergency approval of an electronic voting system that might otherwise be appropriate under Section 204.160 of this Part.

 

f)         The reasonable expenses incurred, except those expenses related to escrow of submitted Computer Code, by the State Board of Elections in conducting the approval process of the voting system shall be borne by the applicant for approval of the voting system or system component.  Expenses for which the applicant shall be liable shall be limited to goods and materials necessary for the review process, necessary travel in accord with State travel regulations (80 Ill. Adm. Code 2800), use of contract consultants, and the actual cost of any computer support.  Expenses shall be documented and submitted to the applicant at the end of full review prior to interim approval as defined in Section 204.90, and within 10 days after the completion of any testing conducted between interim and final approval as defined in Section 204.100.  Payment of the costs shall be made by the applicant within 10 days after receipt.  The Board shall not grant interim approval or full approval of a voting system or system component until the applicant has fully satisfied the monetary obligation incurred by the Board during the review process.  Reasonable expenses are those customary and usual charges for goods and services of value and quality acceptable in the computer science industry.  Board staff shall determine in the first instance what expenses are reasonable, and an applicant who believes that the staff determination is incorrect may ask for review of the determination by the State Board of Elections.

 

(Source:  Amended at 33 Ill. Reg. 13937, effective September 16, 2009)

 

Section 204.55  Provision of the Voting System Computer Code

 

a)         All voting system vendors, whether currently providing an election authority with a voting system already approved by the State Board of Elections, submitting an application for approval of a voting system for the first time, or submitting for approval a modification, update or change in an existing voting system, shall provide to the Board the Computer Code associated with the voting system, to be placed in escrow with the Board.  Failure to submit the code by December 1, 2005 or as part of an application for approval shall be cause for withdrawal of the approval subject to Section 204.120 or for rejection of the application for failure to submit a completed application for approval.

 

b)         The Computer Code shall be placed in a safety deposit box located at a secure facility chosen by the State Board of Elections, with access limited to designated staff of the State Board of Elections and those persons specifically authorized by Section 23-15.1 of the Election Code to have access to the code in conjunction with the proceedings of an election contest.  The safety deposit box shall at all times contain a log of its current contents.  This log shall be a printed copy of an electronic document on file at the State Board of Elections.  Access to this document shall be limited to designated staff of the State Board of Elections.

 

c)         To maintain a chain of custody for the Computer Code, a log shall be maintained by the State Board of Elections tracking the whereabouts, handling and movement of any kind of the medium containing the code from the moment it comes into possession of the State Board of Elections until its return to the vendor who submitted it.

 

1)         The log for the Computer Code shall include but not be limited to the following:

 

A)        The name of the vendor submitting the code;

 

B)        the name of the voting system containing the code;

 

C)        whether the submission is for an approved or existing system, a proposed system or a modification of an existing system (if it is a modification of an existing system, the reason for the modification, along with the new version number, shall also be included);

 

D)        the date the code was received, opened and examined by the designated State Board of Elections staff member, along with that staff member's name;

 

E)        the date and initials of the designated staff person who delivered the medium to the safety deposit box; and

 

F)         the date the old version of the Computer Code (if a newer source code is provided) was returned to the vendor.

 

2)         The log shall also list any problems with the Computer Code medium, including but not limited to any non-compliant or unreadable media, along with the date that the medium was returned to the vendor. 

 

3)         A separate log shall be created in the event that a Computer Code is required to be copied and delivered to a judge or tribunal overseeing an election contest in which the Computer Code is a subject of the contest.  This separate log shall indicate:

 

A)        the date the code was requested and provided;

 

B)        to whom it was provided;

 

C)        the jurisdiction in which the voting system was used;

 

D)        the election that was contested;

 

E)        the name of the judge or tribunal presiding over the case, along with the venue and docket or case number;

 

F)         the date of the order;

 

G)        the date of the return of the Computer Code to the State Board of Elections; and

 

H)        the designated staff persons who were responsible for the copying, delivery and receipt of the affected Computer Code medium.

 

d)        Representatives of the voting system and vendors providing the Computer Code in question shall have access to the logs described in this subsection (c)(3) provided that the representatives make prior arrangements with the SBE in consideration of mutual convenience.

 

e)         In the proceedings of an election contest, access to a vendor's Computer Code is limited to the particular code being used by the voting systems actually utilized in the election being contested and will only be released pursuant to an order of a judge or tribunal hearing the contest.  In the event that an order is issued to provide the Computer Code, written notice will be given to the vendor as soon as practicable, but in no case shall it be given less than two business days from the date of receipt of the order by the State Board of Elections.  Any authorized recipients of the Computer Code must enter into a nondisclosure agreement with the Board.  The Board will provide the agreement to all authorized voting system vendors upon receipt of the code.

 

f)         All Computer Code shall be provided in a medium chosen by the State Board of Elections and shall not be password protected.  The Computer Code provided by each vendor shall be accompanied by a list describing what is being provided and, if necessary, instructions detailing the proper method for its reproduction.  The list shall include the file names, file types, and file versions, a brief file description, and a reference to the corresponding object or Computer Code files.  The vendor shall provide to the Board, at least 60 days prior to an election, a list of the names of all the Illinois election authorities who are using the approved Computer Code and, if more than one is being used in a jurisdiction, the versions being used.  The lists required by this subsection shall be updated and submitted to the Board, upon any changes in the users or changes to the Computer Code, within 10 business days after the change, but in no case less than 5 days prior to an election.  The Computer Code shall at no time be copied, reproduced, published, divulged or publicly disseminated in any way by the State Board of Elections unless a judge or tribunal overseeing an election contest orders its production.

 

g)         Any staff member of the State Board of Elections who intends to handle or otherwise have access to a vendor's Computer Code required to be provided by Section 23-15.1 of the Election Code must be so designated by the Executive Director of the State Board of Elections.

 

h)         Return of Escrowed Computer Code to Vendor

 

1)         The State Board of Elections shall return all escrowed Computer Code to the vendor when:

 

A)        the Board refuses to grant approval subject to Section 204.110 of this Part; or

 

B)        the Board withdraws approval subject to Section 204.120 of this Part and at least 23 months have elapsed since the last election in which the Computer Code was used to tabulate ballots in the State, if no election contest is pending involving the code.

 

2)         To insure the receipt of the returned escrowed Computer Code by the vendor, the State Board of Elections shall place the code in a suitable envelope or other appropriate container and send it to the vendor by registered mail, return receipt requested.  If the code is returned to the State Board of Elections as non-deliverable, or the return of the code to the vendor is otherwise unable to be accomplished, it shall be destroyed by the State Board of Elections in a suitable manner.

 

(Source:  Added at 29 Ill. Reg. 13734, effective August 25, 2005)

 

Section 204.60  Preliminary Determination and Review of the Proposed Voting Systems

 

a)         Upon the Board's receipt of a completed application requesting approval of a voting system and the appropriate application fee, a preliminary determination shall be made as to whether the proposed voting system has the capability of fulfilling the criteria prescribed in Section 204.40.

 

b)         If the preliminary determination indicates that the proposed voting system appears to fulfill the criteria prescribed in Section 204.40, then the staff of the Board will conduct a preliminary review of the proposed voting system.

 

c)         Insofar as practical, the preliminary review of the proposed voting system will consist of the creation of a pre-audited ballot counting test by the Board's staff that will be delivered to the applicant.  The applicant shall tabulate the ballots contained within the pre-audited ballot counting test and generate, at a minimum, individual precinct result total reports and cumulative result total reports that, along with the pre-audited ballot counting test, will be delivered to the Board.  The Board's staff shall review the reports submitted by the applicant and submit a preliminary review findings and conclusions report to the Board and the applicant.

 

d)         If the preliminary review report indicates that the proposed voting system appears to demonstrate the capability to fulfill the criteria prescribed in Section 204.40, the staff of the Board shall continue with the full review process to demonstrate satisfactory performance of the proposed voting system as prescribed in Section 204.70.  A system fails preliminary review when it fails to fulfill the criteria of Section 204.40 by the conclusion of the third ballot counting test.

 

e)         If the preliminary review report indicates that the proposed system fails to demonstrate the capability to fulfill the criteria prescribed in Section 204.40, the staff of the Board shall cease any further review of the system.  Any application for system approval offered by an applicant who has previously failed during the preliminary review or full review process shall not be considered by staff for a period of one year from the date of determination by the Board.

 

(Source:  Amended at 33 Ill. Reg. 13937, effective September 16, 2009)

 

Section 204.70  Full Review Procedures

 

a)         Board staff shall, after giving written notice, make an on-site inspection to review production and testing of equipment and to interview personnel involved in the development of the proposed voting system.

 

b)         Board staff shall prepare and perform a test of the proposed voting system to determine whether the system fulfills the criteria and requirements of Section 204.40.  The test shall be conducted under conditions that, to the maximum extent possible, simulate election-day conditions.

 

c)         Board staff shall prepare a profile showing:

 

1)         The past performance experience and reliability of the proposed voting system as demonstrated in other election jurisdictions;

 

2)         The reputation of the vendor's reliability in performing service and maintenance agreements.

 

d)         Board staff shall prepare and submit a report to the Board stating the findings and conclusions of their review of the proposed voting system.  A copy of the report shall be transmitted to the applicant.

 

(Source:  Amended at 29 Ill. Reg. 13734, effective August 25, 2005)

 

Section 204.75  Review and Verification of Computer Code

 

The State Board of Elections shall conduct a review in each jurisdiction in which it conducts a test of the vote counting equipment pursuant to Section 207.40 to verify that the Computer Code being utilized by the voting system in that jurisdiction is consistent with the most recent Computer Code submitted by the vendor for use in that jurisdiction.  A written record of the review shall be produced and maintained by the State Board of Elections for a period of 2 years following the review. 

 

(Source:  Added at 29 Ill. Reg. 13734, effective August 25, 2005)

 

Section 204.80  Hearing to Consider Staff Review Report

 

a)         The Board shall conduct a hearing to consider the staff's review report.

 

b)         The applicant shall be given 21 days written notice of the date, time and location of the hearing.

 

c)         The Board shall provide the applicant the opportunity to attend the hearing and present any additional evidence or material relevant to the staff review report that would assist the Board in making a preliminary determination, on the basis of the staff review report, as to whether to approve the proposed voting system.

 

(Source:  Amended at 29 Ill. Reg. 13734, effective August 25, 2005)

 

Section 204.90  Interim Approval of Voting Systems

 

a)         If the Board, based upon the staff review report or any additional data submitted to it by the applicant pursuant to Section 204.80(c), preliminarily determines that the proposed voting system demonstrates the capability to fulfill all of the requirements set forth in Sections 24A-16 of the Election Code and Section 204.40(a) of this Part, the Board shall approve the use of the system on an interim basis.  Approval shall limit the use of the system to specific election jurisdictions or precincts, to specific elections, and to specific procedural functions if the Board determines the limitation to be necessary due to inability of the applicant to furnish system components and/or the ability of the system to address characteristics of the particular elections.

 

b)         Any interim approval granted by the Board shall be for a period not to exceed 2 years.

 

c)         During the interim approval period, the Board staff shall monitor the performance of the proposed voting system and shall, at the expiration of the interim approval period, submit a written report to the Board indicating staff's findings, conclusions, and final recommendations.

 

d)         Within 30 days following the expiration of the interim approval period, the applicant shall submit to the Board a written request for final approval of the proposed voting system.  The applicant shall also submit at the same time its own report identifying what problems, if any, were encountered by the proposed voting system during the interim approval period.

 

(Source:  Amended at 29 Ill. Reg. 13734, effective August 25, 2005)

 

Section 204.100  Final Approval of Voting Systems

 

a)         The Board, on the basis of the application on file before it, the findings, conclusions and recommendations of the staff, any reports or additional documentation submitted by the applicant, and the demonstrated performance of the proposed voting system during the interim approval period, shall make its determination whether to grant final approval of the proposed voting system for use in one or more election jurisdictions in Illinois.

 

b)         The Board's final approval shall specify, at a minimum, the following:

 

1)         The description, nomenclature, specifications and intended use or uses of all voting system components used in the proposed voting system.

 

2)         Identification, size, and nature of the type of election jurisdiction where the proposed voting system may be employed.

 

(Source:  Amended at 29 Ill. Reg. 13734, effective August 25, 2005)

 

Section 204.110  Refusal to Grant Approval of Voting Systems

 

Whenever the applicant fails to demonstrate, after the preliminary determination, the preliminary review or the full review, that the proposed voting system has the capability to fulfill the criteria prescribed in Section 204.40, the Board shall notify the applicant in writing that the Board will not grant approval of the proposed voting system and that the application is denied.  Denial of the application shall prevent the applicant from submitting a new application for approval of the same voting system or system component to the Board within one year from the date of the Board's decision.

 

(Source:  Amended at 29 Ill. Reg. 13734, effective August 25, 2005)

 

Section 204.120  Withdrawal of Approval of Voting Systems

 

a)         If, at any time subsequent to the Board's approval or interim approval of a voting system, the Board determines that the approved voting system fails to fulfill the criteria prescribed in Section 204.40, or the vendor failed to submit or use the proper Computer Code or the Computer Code has not been used for at least 23 months to tabulate ballots in an election, the Board shall notify any users or vendors of that particular voting system that the Board's approval of that system is to be withdrawn.  The notice shall be in writing, shall specify the reasons why approval of the system is being withdrawn, and shall specify the date on which the withdrawal is to become effective.

 

b)         Any vendor or user of a voting system may request, in writing, that the Board reconsider its decision to withdraw approval of the voting system.  Upon receipt of a request, the Board shall hold a public hearing for the purpose of reconsidering the decision to withdraw approval and any interested person shall be given an opportunity to make a presentation either in support of or in opposition to the Board's decision.

 

c)         The Board shall, on the basis of the record before it, either affirm or reverse its decision to withdraw approval.  In the alternative, the Board may also order that the voting system be given further review by the Board's staff in accordance with this Part and also, if appropriate, order that the voting system be subject to interim approval as determined by the Board.

 

            (Source:  Amended at 29 Ill. Reg. 13734, effective August 25, 2005)

 

Section 204.130  Subsequent Modification of Voting Systems

 

Any modification or change in the description, nomenclature, specifications, characteristics or use of any voting system components that relates to the election process shall constitute a change in the approved voting system and shall require submission and approval of an application and the appropriate application fee, as prescribed in Section 204.50, and submission of the Computer Code for the modification or change.  However, modifications or changes that normally occur as a result of the election process, which shall include but not be limited to object code programming, instruction manual revisions, and ballot printing, shall not constitute a modification or change in the approved system.

 

(Source:  Amended at 33 Ill. Reg. 13937, effective September 16, 2009)

 

Section 204.140  Monitoring of Voting Systems

 

a)         The staff of the Board shall have the authority and responsibility to test and monitor the use of approved voting systems to ensure that the system is operating according to specifications.  Monitoring shall be conducted at times when the voting system is normally engaged by the election authority.

 

b)         The State Board of Elections may select, on a rotation basis, election jurisdictions in which to order a special test of the automatic tabulating equipment and program prior to any regular election.  In addition, the Board may order a special test in any election jurisdiction where, during the preceding 12 months, computer programming errors or other errors in the use of electronic voting systems resulted in vote tabulation errors.  Not more than 35 days nor less than 30 days prior to any election, the State Board of Elections shall provide written notice of intent to conduct a test.  The selected jurisdictions shall forward to the principal office of the State Board of Elections a copy of all specimen ballots.  The Board's  tests shall be conducted and completed not less than 2 days prior to the public test.  The Board will provide testing materials, will supervise the test, and will cover reasonable costs of computer time required to conduct the special test.

 

c)         Testing may be conducted at other times upon the request of the Board and with the agreement of the election authority.

 

d)         Each election authority shall send to the State Board of Elections written notice of the type of voting system it will use for any regular or special election.  The notice shall be on a form prescribed and supplied by the Board and shall include, but not be limited to, the hardware components and respective serial numbers, software vendors, hardware vendors, ballot card/sheet vendor, ballot card type, staff personnel authorized to operate the system, location where system shall operate, and backup support procedures if the system fails.  The notice must arrive at the Board at least 45 days prior to any regular or special election.  The Board shall supply the election authorities with sufficient copies of the notice form.

 

(Source:  Amended at 29 Ill. Reg. 13734, effective August 25, 2005)

 

Section 204.150  Voting Systems in Use on the Effective Date of this Part (Repealed)

 

(Source:  Repealed at 29 Ill. Reg. 13734, effective August 25, 2005)

 

Section 204.160  Emergency Approval of a Voting System

 

a)         The Board shall have the authority, upon written request, to grant emergency approval of a voting system limited to one election.  The emergency approval shall specify, at a minimum, the following:

 

1)         The reason for the emergency approval;

 

2)         The description of the voting system prepared for use in the emergency; and

 

3)         The specific election jurisdiction and specific election in that the voting system will be employed.

 

b)         The Board shall approve the application for emergency approval if the following conditions are met:

 

1)         Error-free completion of a staff-prepared ballot tabulation test that demonstrates the system fulfills the provisions of Section 204.40(a);

 

2)         Demonstration that an approved system is not available for use in the election in question; and

 

3)         Demonstration that the requirements specified in Section 204.100(c)(1), (2), and (3) have, to the maximum extent possible, been complied with in connection with this emergency approval.

 

(Source:  Amended at 29 Ill. Reg. 13734, effective August 25, 2005)

 

Section 204.170  Jurisdiction of Election Authority over Voting System's Personnel

 

All persons, including programmers, systems analysts and machine operators, engaged in the counting of the ballots or in the planning for usage of tabulating or electronic equipment shall be deputized by, and under the jurisdiction of, the county clerk or board of election commissioners, as the case may be.

 

(Source:  Amended at 29 Ill. Reg. 13734, effective August 25, 2005)

 

Section 204.180  Number of Voting Booths

 

The number of voting booths shall remain under the jurisdiction of the local election authority.

 

(Source:  Section 204.180 renumbered from Section 204.40 at 9 Ill. Reg. 10733, effective July 1, 1985)