IC 3-11-15
Chapter 15. Ballot Card and Electronic Voting Systems;
Additional Standards and Procedures for Approving System Changes
IC 3-11-15-1 Applicability of chapter
Sec. 1. Except as otherwise provided, this chapter applies to any
election in Indiana where voting is by means of a ballot card or
electronic voting system. As added by P.L.3-1997, SEC.332.
IC 3-11-15-2 Applicability of performance and test standards and fees
Sec. 2. The performance and test standards and fees under this
chapter apply to an optical scan voting system or an electronic voting
system described in IC 3-11-7 or IC 3-11-7.5. As added by P.L.3-1997, SEC.332. Amended by P.L.221-2005,
SEC.92.
IC 3-11-15-3 Vendors; application to examine voting system
Sec. 3. A vendor may apply to the election division to examine a
voting system and report on its accuracy, efficiency, and capacity. As added by P.L.3-1997, SEC.332.
IC 3-11-15-4 Application for certification; fee; disposition of fee
Sec. 4. Each application for certification of a voting system shall
be accompanied by a fee of one thousand five hundred dollars
($1,500). All fees collected under this section shall be deposited with
the treasurer of state in the voting system technical oversight
program account established by IC 3-11-17-6. As added by P.L.3-1997, SEC.332. Amended by P.L.120-2009,
SEC.9.
IC 3-11-15-5 Vendors; reimbursement to election division for cost of
examination
Sec. 5. Each vendor shall reimburse the election division an
amount equal to the total cost of examining the system. As added by P.L.3-1997, SEC.332.
IC 3-11-15-6 Approval of system dependent on payment of fees and expenses
Sec. 6. The commission shall not approve any system until the fee
and the expenses incurred by the election division (or the person
designated under IC 3-11-16) in making the examination are paid by
the person making the application. As added by P.L.3-1997, SEC.332. Amended by P.L.221-2005,
SEC.93. IC 3-11-15-7 Applications; contents
Sec. 7. (a) Each application must be in writing, sworn to or
affirmed by the applicant, under the penalties of perjury, on a form
prescribed by the commission, and must satisfy the following
requirements:
(1) Provide the name and address of the vendor submitting the
application.
(2) Provide the telephone number of the vendor.
(3) Provide the name, address, and telephone number of the
individual representing the vendor regarding the application.
(4) Provide the model name and number of the submitted voting
system, stating the hardware, firmware, and software version
numbers of the system.
(5) State whether the voting system is a direct record electronic
voting system or an optical scan ballot card voting system.
(6) Provide a description of the voting system and its
capabilities, including the following:
(A) Photographs.
(B) Engineering drawings.
(C) Technical documentation.
(D) Fail-safe and emergency backup information.
(E) Environmental requirements for storage, transportation,
and operation.
(7) Include an agreement to pay for the total costs of the
examination.
(8) Provide documentation of the escrow of the voting system's
software, firmware, source codes, and executable images with
an escrow agent approved by the election division.
(9) Provide a functional description of any software
components.
(10) Provide schematics or flowcharts identifying software and
data file relationships.
(11) Describe the type of maintenance offered by the vendor.
(12) Provide the names, addresses, and telephone numbers of
the vendor's maintenance providers.
(13) Provide a description of the training courses offered by the
vendor for the voting system.
(14) Provide user manuals, operator and system manuals, and
problem solving manuals.
(15) Provide a statement of the current and future
interchangeability of all subcomponents of the voting system.
(16) Provide documentation from all independent testing
authorities that have examined the system.
(17) Provide documentation from all election jurisdictions that
have previously approved the system.
(18) Pay the application fee required under section 4 of this
chapter.
(b) If an application does not include any of the applicable
requirements listed in subsection (a), those requirements must be
filed with the election division before the application may be
considered by the commission. As added by P.L.3-1997, SEC.332. Amended by P.L.14-2004,
SEC.133.
IC 3-11-15-8 Applications; length of validity
Sec. 8. An application under this chapter is valid for one (1) year
after the date that the application is filed with the election division
and for any additional time that the commission considers necessary
to act upon the application. As added by P.L.3-1997, SEC.332.
IC 3-11-15-9 Prompt response to inquiries by applicant required
Sec. 9. An applicant must vigorously and continuously seek
approval of an application by promptly responding to inquiries from
the commission and the election division. The commission may,
following a hearing under IC 4-21.5, dismiss an application if the
commission determines that the applicant has not complied with this
requirement. As added by P.L.3-1997, SEC.332.
IC 3-11-15-10
Repealed
(Repealed by P.L.221-2005, SEC.144.)
IC 3-11-15-11
Repealed
(Repealed by P.L.221-2005, SEC.144.)
IC 3-11-15-12 Applications; form
Sec. 12. Each application under this chapter must be in writing on
a form prescribed by the commission and must comply with the
requirements of this chapter. As added by P.L.3-1997, SEC.332.
IC 3-11-15-13
Repealed
(Repealed by P.L.164-2006, SEC.143.)
IC 3-11-15-13.1 Voting system display of candidate name and designation
Sec. 13.1. If a voting system has the capability, the voting system
must display on the medium used by the voter to cast the voter's
ballot the following information for each candidate:
(1) The name of the candidate.
(2) A ballot number or other candidate designation uniquely
associated with the candidate.
As added by P.L.66-2003, SEC.43.
IC 3-11-15-13.3 Federal voting system standards; use of voting system with expired
certification
Sec. 13.3. (a) To be approved by the commission for use in
Indiana, a voting system must meet:
(1) the Voting System Standards adopted by the Federal
Election Commission on April 30, 2002; or
(2) the Voluntary Voting System Guidelines adopted by the
United States Election Assistance Commission on December
13, 2005.
(b) A county may continue to use an optical scan ballot card
voting system or an electronic voting system whose approval or
certification expired on or before October 1, 2009, if the voting
system:
(1) was:
(A) approved by the commission for use in elections in
Indiana before October 1, 2009; and
(B) purchased by the county before October 1, 2009; and
(2) otherwise complies with the applicable provisions of HAVA
and this article.
However, a voting system vendor may not market, sell, lease, or
install a voting system described in this subsection.
(c) As provided by 42 U.S.C. 15481, to be used in an election in
Indiana, a voting system must be accessible for individuals with
disabilities, including nonvisual accessibility for the blind and
visually impaired, in a manner that provides the same opportunity for
access and participation (including privacy and independence) as for
other voters.
(d) As provided by 42 U.S.C. 15481, an election board conducting
an election satisfies the requirements of subsection (c) if the election
board provides at least one (1) electronic voting system or other
voting system equipped for individuals with disabilities at each
polling place.
(e) If a voter who is otherwise qualified to cast a ballot in a
precinct chooses to cast the voter's ballot on the voting system
provided under subsection (d), the voter must be allowed to cast the
voter's ballot on that voting system, whether or not the voter is an
individual with disabilities. As added by P.L.209-2003, SEC.164. Amended by P.L.221-2005,
SEC.94; P.L.164-2006, SEC.118; P.L.120-2009, SEC.10.
IC 3-11-15-13.4 Voting system and voters with disabilities
Sec. 13.4. (a) This section does not apply to the purchase, lease,
or lease-purchase of additional or replacement components of a
voting system in use in a county before January 1, 2005.
(b) The commission shall determine whether a voting system
provides a practical and effective means for voters with disabilities
to cast ballots in private.
(c) If the commission determines that any voting system meets the
criteria described in subsection (b), a county may not purchase, lease,
or lease-purchase any other voting system that does not meet the
criteria described in subsection (b). As added by P.L.97-2004, SEC.10.
IC 3-11-15-13.5
Repealed
(Repealed by P.L.97-2004, SEC.133.)
IC 3-11-15-13.6 Compliance with standards for disability access
Sec. 13.6. (a) This section applies only to a voting system
purchased with funds made available under Title II of HAVA (42
U.S.C. 15321 through 15472) after December 31, 2006.
(b) As required by 42 U.S.C. 15481, the voting system must
comply with the Voting System Standards for disability access
referred to in section 13.3 of this chapter and 42 U.S.C. 15481(a)(3)
to be used in an election. As added by P.L.97-2004, SEC.11.
IC 3-11-15-13.7 Requirements of voting systems to indicate overvotes
Sec. 13.7. (a) If a voting system has any of the following
functions, the functions must be operable in the voting system's
equipment actually in use in a precinct:
(1) The voting system can demonstrate to the voter that the
voter has cast votes for too many candidates for an office.
(2) The voting system can demonstrate to the voter that the
voter has cast votes both in favor of and in opposition to a
public question.
(b) Except as provided in subsection (c), a voting system
described in subsection (a) must be able to inform the voter how the
voter may correct errors on the voter's ballot.
(c) A voting system is not required to provide the information
required by subsection (b) if the information is provided in writing
conspicuously on or near the components of the voting system where
the voter casts the voter's votes. As added by P.L.126-2002, SEC.76.
IC 3-11-15-14 Ballot counting devices and equipment; verification
Sec. 14. In ballot card voting systems, each precinct ballot
counting device, and all central counting equipment, must contain
provisions for verifying:
(1) its proper preparation for an election; and
(2) that both the hardware and the software are functioning
correctly. As added by P.L.3-1997, SEC.332. IC 3-11-15-15 Ballot counting devices and equipment; tests and diagnostic
procedures
Sec. 15. The tests and diagnostic procedures described in section
14 of this chapter:
(1) may be executed manually or automatically; and
(2) must allow for operator intervention to validate the proper
execution of individually selected equipment functions. As added by P.L.3-1997, SEC.332.
IC 3-11-15-16 Electronic voting system; verification
Sec. 16. Each electronic voting system or vote recording and data
processing device shall contain hardware and software provisions for
verifying:
(1) its proper preparation for an election; and
(2) that both the hardware and the software are functioning
correctly. As added by P.L.3-1997, SEC.332.
IC 3-11-15-17 Electronic voting system; tests and diagnostic procedures
Sec. 17. The tests and diagnostic procedures described in section
16 of this chapter:
(1) may be carried out manually or automatically; and
(2) must allow for operator intervention to validate the proper
execution of individually selected equipment functions. As added by P.L.3-1997, SEC.332.
IC 3-11-15-18
Repealed
(Repealed by P.L.26-2000, SEC.46.)
IC 3-11-15-19
Repealed
(Repealed by P.L.26-2000, SEC.46.)
IC 3-11-15-20 Voting system; accuracy
Sec. 20. (a) A voting system must be able to record accurately
each vote and be able to produce an accurate report of all votes cast.
(b) As used in this subsection, "error rate" refers to the error rate
of the voting system in counting ballots (determined by taking into
account only those errors that are attributable to the voting system
and not attributable to an act of the voter). As required by 42 U.S.C.
15481, a voting system must comply with the error rate standards
established under section 3.2.1. of the Voting System Standards
approved by the Federal Election Commission on April 30, 2002, as
those standards were in effect on October 29, 2002.
(c) The inclusion of control logic and data processing methods
incorporating parity and check-sums (or equivalent error detection
and correction methods) must demonstrate that the system has been
designed for accuracy. As added by P.L.3-1997, SEC.332. Amended by P.L.209-2003,
SEC.166.
IC 3-11-15-21 Voting system; software
Sec. 21. Software used in a voting system must monitor the
overall quality of data read-write and transfer quality status, checking
the number and types of errors that occur in any of the relevant
operations on data and how they were corrected. As added by P.L.3-1997, SEC.332.
IC 3-11-15-22 Ballot card voting system; verification and accuracy
Sec. 22. Ballot card voting systems must rely on the retention of
ballots as a redundant means of verifying or auditing election results.
As a means of assuring accuracy in electronic voting systems, the
unit must incorporate multiple memories in the machine itself and in
its programmable memory devices. As added by P.L.3-1997, SEC.332.
IC 3-11-15-23 Electronic voting system; preservation of electronic images of
ballots
Sec. 23. To attain a measure of integrity over the process, the
electronic voting systems must also maintain an image of each ballot
that is cast, such that records of individual ballots are maintained by
a subsystem independent and distinct from the main vote detection,
interpretation, processing, and reporting path. The electronic images
of each ballot must protect the integrity of the data and the
anonymity of each voter, for example, by means of storage location
scrambling. The ballot image records may be either
machine-readable or manually transcribed, or both, at the discretion
of the vendor. As added by P.L.3-1997, SEC.332.
IC 3-11-15-24 Voting system; status and degree of operability
Sec. 24. Ballot card voting and electronic voting systems must
include built-in test, measurement, and diagnostic software, and
hardware for detecting and reporting the system's status and degree
of operability. As added by P.L.3-1997, SEC.332.
IC 3-11-15-25 Voting system; recording and reporting capabilities
Sec. 25. A voting system must include capabilities of recording
and reporting the date and time of normal and abnormal events and
of maintaining a permanent record of audit information that cannot
be turned off. A voting system must include provisions to detect and
record significant events, such as casting a ballot, error conditions
that cannot be disposed of by the system itself, or time-dependent or
programmed events that occur without the intervention of the voter
or a polling place operator. As added by P.L.3-1997, SEC.332.
IC 3-11-15-26 Ballot counting software
Sec. 26. The ballot counting software must be designed in a
modular fashion and not be self-modifying. Modular programs must
consist of code written in relatively small and easily identifiable
sections, with each unit having a single entry point and a single exit
point. Each module must have a specific function that can be tested
and verified more or less independently of the remainder of the code.
Appendix E of the Performance and Test Standards for Punchcard,
Marksense, and Direct Recording contains numerical guidelines for
program modules. As added by P.L.3-1997, SEC.332.
IC 3-11-15-27
Repealed
(Repealed by P.L.26-2000, SEC.46.)
IC 3-11-15-28
Repealed
(Repealed by P.L.26-2000, SEC.46.)
IC 3-11-15-29
Repealed
(Repealed by P.L.26-2000, SEC.46.)
IC 3-11-15-30
Repealed
(Repealed by P.L.26-2000, SEC.46.)
IC 3-11-15-31
Repealed
(Repealed by P.L.26-2000, SEC.46.)
IC 3-11-15-32 Compliance with other preferred coding practices and software
characteristics
Sec. 32. In considering the compliance of a voting system with
this chapter, the commission may determine whether the system
conforms with other preferred coding practices and software
characteristics set forth in the Voting System Standards adopted by
the Federal Election Commission on April 30, 2002. As added by P.L.3-1997, SEC.332. Amended by P.L.209-2003,
SEC.167.
IC 3-11-15-33 Real-time monitoring of system status and data quality
Sec. 33. The vendor shall provide for the real-time monitoring of
system status and data quality. The election division (or the
competent person designated by the commission to act on behalf of
the election division) shall determine methods of assessment with the
advice of a test authority. Implementation options include the
following:
(1) Hardware monitoring of redundant processing functions
which are carried out in parallel or serially.
(2) Statistical assessment and measures of system operation. As added by P.L.3-1997, SEC.332.
IC 3-11-15-34 Quality assessment
Sec. 34. Measurement of the relative frequency of entry to
program units and the frequency of exception conditions must be
included as part of the quality assessment. As added by P.L.3-1997, SEC.332.
IC 3-11-15-35
Repealed
(Repealed by P.L.176-1999, SEC.134.)
IC 3-11-15-36 Errors in operations; corrections
Sec. 36. Software used in all systems must monitor the overall
quality of data read-write and transfer quality status, checking the
number and types of errors that occur in any of the relevant
operations on data and how the errors were corrected. If the total
number of corrected errors exceeds a predetermined threshold, or if
errors on any one (1) type occur repeatedly, then the operation of the
affected device must be suspended until the condition generating the
errors has been corrected. Any uncorrectable error must result in an
immediate halt and provide an appropriate message to the voter or
polling place official. As added by P.L.3-1997, SEC.332.
IC 3-11-15-37 Retention of ballots for verification of election results
Sec. 37. Ballot card voting systems must rely on the retention of
ballots as a redundant means of verifying election results. As a
means of assuring accuracy in electronic voting systems, the unit
must incorporate multiple memories in the machine itself and in the
unit's programmable memory devices. To attain a measure of
integrity over the process, an electronic voting system must also
maintain images of each ballot that is cast so that records of
individual ballots are maintained by a subsystem independent and
distinct from the main vote detection, diagnostic, processing, and
reporting path. As added by P.L.3-1997, SEC.332.
IC 3-11-15-38 Stored images of ballots
Sec. 38. The stored images of each ballot must protect the
integrity of the data and the anonymity of each voter by such means
as storage location scrambling. The ballot image records may be
either machine readable or manually transcribed, or both, at the
discretion of the vendor. As added by P.L.3-1997, SEC.332.
IC 3-11-15-39 Firmware instructions; undervoting permitted
Sec. 39. The electronic voting system firmware instructions must
contain necessary logical instructions to determine correct recording
of each and every candidate or public question selection made by the
voter to the appropriate memory registers and tables. In the case of
a partially voted ballot, deliberate undervoting by a voter must be
permitted. This undervoting must be validated by machine
determination that particular candidate or public question selections
have not been made. In cases where a selected candidate or vote on
a public question is not recording correctly upon casting of the ballot,
the electronic voting system equipment must generate an error signal
and automatically stop operation of the machine until the problem is
resolved. As added by P.L.3-1997, SEC.332.
IC 3-11-15-40 Reconciliation of sum of selections and undervotes
Sec. 40. After every ballot is cast, a reconciliation of the sum of
selections and undervotes must occur. The undervotes may not be
generated as a default but must be generated as the result of scanning
the ballot as the ballot is cast. As added by P.L.3-1997, SEC.332.
IC 3-11-15-41 Status messages
Sec. 41. Status messages must become part of the real-time audit
record. Latitude in software design is necessary so that consideration
can be given to various user processing and reporting needs. The user
shall require status and information messages to be displayed and
reported in real-time. As added by P.L.3-1997, SEC.332.
IC 3-11-15-42 Status messages; display
Sec. 42. Depending on the critical nature of the message, and the
particular jurisdiction's needs, status messages shall preferably be
displayed and reported by suitable, unambiguous indicators or
English language text. Noncritical status messages may be displayed
if the message does not require operator intervention by means of
numerical codes, for subsequent interpretation and reporting as
ambiguous text. As added by P.L.3-1997, SEC.332.
IC 3-11-15-43 Audit record; ability of voter to change vote before ballot cast
Sec. 43. (a) The audit record provisions in this chapter are
essential to the complete recording of election operations and
reporting of the vote tally. This list of audit records must reflect all
of the idiosyncrasies of a system.
(b) As required by 42 U.S.C. 15481, the voting system must:
(1) produce a permanent paper record with a manual audit
capacity for the system; and
(2) provide the voter with an opportunity to change the ballot or
correct any error before the permanent paper record is
produced.
(c) The paper record produced under subsection (b) must be made
available as an official record for a recount or contest conducted with
respect to any election in which the voting system was used. As added by P.L.3-1997, SEC.332. Amended by P.L.209-2003,
SEC.168.
IC 3-11-15-44 In-process audit records; contents
Sec. 44. In-process audit records consist of data documenting
precinct and central count system operation during diagnostic
routines and the casting and tallying of ballots. At a minimum, the
in-process audit records for all systems must contain the following
items, except as otherwise noted:
(1) Machine generated error and exception messages to ensure
that successful recovery has been accomplished. Examples
include the following:
(A) The source and disposition of system interrupts resulting
in entry into exception handling routines.
(B) All messages generated by exception handlers.
(C) The identification code and number of occurrences for
each hardware and software error or failure.
(D) Notification of system log-in or access errors, file access
errors, and physical violations of security as they occur, and
a summary record of these events after processing.
(E) For ballot card voting systems, an event log of any
ballot-related exceptions, such as the following:
(i) Quantity of ballots that are not processable.
(ii) Quantity of ballots requiring special handling.
(iii) In a central count environment, quantity identification
number of aborted precincts.
(F) Other exceptional events such as power failures, failure
of critical hardware components, data transmission errors, or
other types of operating anomalies.
(2) Critical system status messages other than informational
messages displayed by the system during the course of normal
operations. These items include the following:
(A) Diagnostic and status messages upon startup.
(B) The "zero totals" check conducted before opening the
polling place or counting a precinct centrally.
(C) For ballot card voting systems, the initiation or
termination of card reader and communications equipment
operations.
(D) For electronic voting system machines, the event (and
time, if available) of enabling/casting each ballot that is each
voter's transaction as an event. This data can be compared
with the public counter for reconciliation purposes.
(3) Status messages that are generated by the machine's data
quality monitor or by software and hardware condition
monitors. For example, a cumulative or summary record of data
read-write-verify, parity, or check-sum errors and retries is
required. The intent is to gauge the accuracy of the ballot data
and adequacy of the system in monitoring and detecting system
processing errors.
(4) System generated log of all normal process activity and
system events that require operator intervention so that each
operator access can be monitored and access sequence can be
constructed. As added by P.L.3-1997, SEC.332.
IC 3-11-15-45 General features and capabilities of access policy; disclosure
Sec. 45. The vendor shall disclose the general features and
capabilities of the access policy. The generic capabilities should
include the following:
(1) Software access controls.
(2) Hardware access controls.
(3) Effective password management.
(4) The protection abilities of a particular operating system.
(5) The general characteristics of supervisory access privileges. As added by P.L.3-1997, SEC.332.
IC 3-11-15-46 Access policies defined by using jurisdiction
Sec. 46. The using jurisdiction in charge of voting system
operations is responsible for defining the specific access policies
applying to each election and for defining any variations of these
resulting from use of the system in more than one (1) environment. As added by P.L.3-1997, SEC.332.
IC 3-11-15-47 Access control policy; limitations on access
Sec. 47. The access control policy must identify all persons to
whom access is granted and the specific functions and data to which
each holds authorized access. If an authorization is limited to a
specific time, time interval, or phase of the voting or counting
operations, this limitation must also be specified. As added by P.L.3-1997, SEC.332.
IC 3-11-15-48 Access control policy; requirements
Sec. 48. The access control policy:
(1) may not affect the ability of a voter to record votes and
submit a ballot; and
(2) must preclude voter access to all other physical facilities of
the vote-counting processes. As added by P.L.3-1997, SEC.332.
IC 3-11-15-49 Approval required before voting system is marketed, sold, leased,
installed, or implemented
Sec. 49. Before a vendor markets, sells, leases, installs, or permits
the implementation of a voting system in Indiana, the commission
must have approved the vendor's application for the approval of the
voting system. As added by P.L.3-1997, SEC.332. Amended by P.L.14-2004,
SEC.135.
IC 3-11-15-50
Repealed
(Repealed by P.L.221-2005, SEC.144.)
IC 3-11-15-51
Repealed
(Repealed by P.L.221-2005, SEC.144.)
IC 3-11-15-52
Repealed
(Repealed by P.L.221-2005, SEC.144.)
IC 3-11-15-53
Repealed
(Repealed by P.L.221-2005, SEC.144.)
IC 3-11-15-54 Software or source code changes
Sec. 54. Notwithstanding any other provision of this chapter, the
software or source code of a voting system may not be changed while
an election is being conducted or during the canvassing of the
election's results. As added by P.L.3-1997, SEC.332. IC 3-11-15-55
Repealed
(Repealed by P.L.221-2005, SEC.144.)
IC 3-11-15-56
Repealed
(Repealed by P.L.221-2005, SEC.144.)
IC 3-11-15-57
Repealed
(Repealed by P.L.221-2005, SEC.144.)
IC 3-11-15-58
Repealed
(Repealed by P.L.221-2005, SEC.144.)
IC 3-11-15
Chapter 15. Ballot Card and Electronic Voting Systems;
Additional Standards and Procedures for Approving System Changes
IC 3-11-15-1 Applicability of chapter
Sec. 1. Except as otherwise provided, this chapter applies to any
election in Indiana where voting is by means of a ballot card or
electronic voting system. As added by P.L.3-1997, SEC.332.
IC 3-11-15-2 Applicability of performance and test standards and fees
Sec. 2. The performance and test standards and fees under this
chapter apply to an optical scan voting system or an electronic voting
system described in IC 3-11-7 or IC 3-11-7.5. As added by P.L.3-1997, SEC.332. Amended by P.L.221-2005,
SEC.92.
IC 3-11-15-3 Vendors; application to examine voting system
Sec. 3. A vendor may apply to the election division to examine a
voting system and report on its accuracy, efficiency, and capacity. As added by P.L.3-1997, SEC.332.
IC 3-11-15-4 Application for certification; fee; disposition of fee
Sec. 4. Each application for certification of a voting system shall
be accompanied by a fee of one thousand five hundred dollars
($1,500). All fees collected under this section shall be deposited with
the treasurer of state in the voting system technical oversight
program account established by IC 3-11-17-6. As added by P.L.3-1997, SEC.332. Amended by P.L.120-2009,
SEC.9.
IC 3-11-15-5 Vendors; reimbursement to election division for cost of
examination
Sec. 5. Each vendor shall reimburse the election division an
amount equal to the total cost of examining the system. As added by P.L.3-1997, SEC.332.
IC 3-11-15-6 Approval of system dependent on payment of fees and expenses
Sec. 6. The commission shall not approve any system until the fee
and the expenses incurred by the election division (or the person
designated under IC 3-11-16) in making the examination are paid by
the person making the application. As added by P.L.3-1997, SEC.332. Amended by P.L.221-2005,
SEC.93. IC 3-11-15-7 Applications; contents
Sec. 7. (a) Each application must be in writing, sworn to or
affirmed by the applicant, under the penalties of perjury, on a form
prescribed by the commission, and must satisfy the following
requirements:
(1) Provide the name and address of the vendor submitting the
application.
(2) Provide the telephone number of the vendor.
(3) Provide the name, address, and telephone number of the
individual representing the vendor regarding the application.
(4) Provide the model name and number of the submitted voting
system, stating the hardware, firmware, and software version
numbers of the system.
(5) State whether the voting system is a direct record electronic
voting system or an optical scan ballot card voting system.
(6) Provide a description of the voting system and its
capabilities, including the following:
(A) Photographs.
(B) Engineering drawings.
(C) Technical documentation.
(D) Fail-safe and emergency backup information.
(E) Environmental requirements for storage, transportation,
and operation.
(7) Include an agreement to pay for the total costs of the
examination.
(8) Provide documentation of the escrow of the voting system's
software, firmware, source codes, and executable images with
an escrow agent approved by the election division.
(9) Provide a functional description of any software
components.
(10) Provide schematics or flowcharts identifying software and
data file relationships.
(11) Describe the type of maintenance offered by the vendor.
(12) Provide the names, addresses, and telephone numbers of
the vendor's maintenance providers.
(13) Provide a description of the training courses offered by the
vendor for the voting system.
(14) Provide user manuals, operator and system manuals, and
problem solving manuals.
(15) Provide a statement of the current and future
interchangeability of all subcomponents of the voting system.
(16) Provide documentation from all independent testing
authorities that have examined the system.
(17) Provide documentation from all election jurisdictions that
have previously approved the system.
(18) Pay the application fee required under section 4 of this
chapter.
(b) If an application does not include any of the applicable
requirements listed in subsection (a), those requirements must be
filed with the election division before the application may be
considered by the commission. As added by P.L.3-1997, SEC.332. Amended by P.L.14-2004,
SEC.133.
IC 3-11-15-8 Applications; length of validity
Sec. 8. An application under this chapter is valid for one (1) year
after the date that the application is filed with the election division
and for any additional time that the commission considers necessary
to act upon the application. As added by P.L.3-1997, SEC.332.
IC 3-11-15-9 Prompt response to inquiries by applicant required
Sec. 9. An applicant must vigorously and continuously seek
approval of an application by promptly responding to inquiries from
the commission and the election division. The commission may,
following a hearing under IC 4-21.5, dismiss an application if the
commission determines that the applicant has not complied with this
requirement. As added by P.L.3-1997, SEC.332.
IC 3-11-15-10
Repealed
(Repealed by P.L.221-2005, SEC.144.)
IC 3-11-15-11
Repealed
(Repealed by P.L.221-2005, SEC.144.)
IC 3-11-15-12 Applications; form
Sec. 12. Each application under this chapter must be in writing on
a form prescribed by the commission and must comply with the
requirements of this chapter. As added by P.L.3-1997, SEC.332.
IC 3-11-15-13
Repealed
(Repealed by P.L.164-2006, SEC.143.)
IC 3-11-15-13.1 Voting system display of candidate name and designation
Sec. 13.1. If a voting system has the capability, the voting system
must display on the medium used by the voter to cast the voter's
ballot the following information for each candidate:
(1) The name of the candidate.
(2) A ballot number or other candidate designation uniquely
associated with the candidate.
As added by P.L.66-2003, SEC.43.
IC 3-11-15-13.3 Federal voting system standards; use of voting system with expired
certification
Sec. 13.3. (a) To be approved by the commission for use in
Indiana, a voting system must meet:
(1) the Voting System Standards adopted by the Federal
Election Commission on April 30, 2002; or
(2) the Voluntary Voting System Guidelines adopted by the
United States Election Assistance Commission on December
13, 2005.
(b) A county may continue to use an optical scan ballot card
voting system or an electronic voting system whose approval or
certification expired on or before October 1, 2009, if the voting
system:
(1) was:
(A) approved by the commission for use in elections in
Indiana before October 1, 2009; and
(B) purchased by the county before October 1, 2009; and
(2) otherwise complies with the applicable provisions of HAVA
and this article.
However, a voting system vendor may not market, sell, lease, or
install a voting system described in this subsection.
(c) As provided by 42 U.S.C. 15481, to be used in an election in
Indiana, a voting system must be accessible for individuals with
disabilities, including nonvisual accessibility for the blind and
visually impaired, in a manner that provides the same opportunity for
access and participation (including privacy and independence) as for
other voters.
(d) As provided by 42 U.S.C. 15481, an election board conducting
an election satisfies the requirements of subsection (c) if the election
board provides at least one (1) electronic voting system or other
voting system equipped for individuals with disabilities at each
polling place.
(e) If a voter who is otherwise qualified to cast a ballot in a
precinct chooses to cast the voter's ballot on the voting system
provided under subsection (d), the voter must be allowed to cast the
voter's ballot on that voting system, whether or not the voter is an
individual with disabilities. As added by P.L.209-2003, SEC.164. Amended by P.L.221-2005,
SEC.94; P.L.164-2006, SEC.118; P.L.120-2009, SEC.10.
IC 3-11-15-13.4 Voting system and voters with disabilities
Sec. 13.4. (a) This section does not apply to the purchase, lease,
or lease-purchase of additional or replacement components of a
voting system in use in a county before January 1, 2005.
(b) The commission shall determine whether a voting system
provides a practical and effective means for voters with disabilities
to cast ballots in private.
(c) If the commission determines that any voting system meets the
criteria described in subsection (b), a county may not purchase, lease,
or lease-purchase any other voting system that does not meet the
criteria described in subsection (b). As added by P.L.97-2004, SEC.10.
IC 3-11-15-13.5
Repealed
(Repealed by P.L.97-2004, SEC.133.)
IC 3-11-15-13.6 Compliance with standards for disability access
Sec. 13.6. (a) This section applies only to a voting system
purchased with funds made available under Title II of HAVA (42
U.S.C. 15321 through 15472) after December 31, 2006.
(b) As required by 42 U.S.C. 15481, the voting system must
comply with the Voting System Standards for disability access
referred to in section 13.3 of this chapter and 42 U.S.C. 15481(a)(3)
to be used in an election. As added by P.L.97-2004, SEC.11.
IC 3-11-15-13.7 Requirements of voting systems to indicate overvotes
Sec. 13.7. (a) If a voting system has any of the following
functions, the functions must be operable in the voting system's
equipment actually in use in a precinct:
(1) The voting system can demonstrate to the voter that the
voter has cast votes for too many candidates for an office.
(2) The voting system can demonstrate to the voter that the
voter has cast votes both in favor of and in opposition to a
public question.
(b) Except as provided in subsection (c), a voting system
described in subsection (a) must be able to inform the voter how the
voter may correct errors on the voter's ballot.
(c) A voting system is not required to provide the information
required by subsection (b) if the information is provided in writing
conspicuously on or near the components of the voting system where
the voter casts the voter's votes. As added by P.L.126-2002, SEC.76.
IC 3-11-15-14 Ballot counting devices and equipment; verification
Sec. 14. In ballot card voting systems, each precinct ballot
counting device, and all central counting equipment, must contain
provisions for verifying:
(1) its proper preparation for an election; and
(2) that both the hardware and the software are functioning
correctly. As added by P.L.3-1997, SEC.332. IC 3-11-15-15 Ballot counting devices and equipment; tests and diagnostic
procedures
Sec. 15. The tests and diagnostic procedures described in section
14 of this chapter:
(1) may be executed manually or automatically; and
(2) must allow for operator intervention to validate the proper
execution of individually selected equipment functions. As added by P.L.3-1997, SEC.332.
IC 3-11-15-16 Electronic voting system; verification
Sec. 16. Each electronic voting system or vote recording and data
processing device shall contain hardware and software provisions for
verifying:
(1) its proper preparation for an election; and
(2) that both the hardware and the software are functioning
correctly. As added by P.L.3-1997, SEC.332.
IC 3-11-15-17 Electronic voting system; tests and diagnostic procedures
Sec. 17. The tests and diagnostic procedures described in section
16 of this chapter:
(1) may be carried out manually or automatically; and
(2) must allow for operator intervention to validate the proper
execution of individually selected equipment functions. As added by P.L.3-1997, SEC.332.
IC 3-11-15-18
Repealed
(Repealed by P.L.26-2000, SEC.46.)
IC 3-11-15-19
Repealed
(Repealed by P.L.26-2000, SEC.46.)
IC 3-11-15-20 Voting system; accuracy
Sec. 20. (a) A voting system must be able to record accurately
each vote and be able to produce an accurate report of all votes cast.
(b) As used in this subsection, "error rate" refers to the error rate
of the voting system in counting ballots (determined by taking into
account only those errors that are attributable to the voting system
and not attributable to an act of the voter). As required by 42 U.S.C.
15481, a voting system must comply with the error rate standards
established under section 3.2.1. of the Voting System Standards
approved by the Federal Election Commission on April 30, 2002, as
those standards were in effect on October 29, 2002.
(c) The inclusion of control logic and data processing methods
incorporating parity and check-sums (or equivalent error detection
and correction methods) must demonstrate that the system has been
designed for accuracy. As added by P.L.3-1997, SEC.332. Amended by P.L.209-2003,
SEC.166.
IC 3-11-15-21 Voting system; software
Sec. 21. Software used in a voting system must monitor the
overall quality of data read-write and transfer quality status, checking
the number and types of errors that occur in any of the relevant
operations on data and how they were corrected. As added by P.L.3-1997, SEC.332.
IC 3-11-15-22 Ballot card voting system; verification and accuracy
Sec. 22. Ballot card voting systems must rely on the retention of
ballots as a redundant means of verifying or auditing election results.
As a means of assuring accuracy in electronic voting systems, the
unit must incorporate multiple memories in the machine itself and in
its programmable memory devices. As added by P.L.3-1997, SEC.332.
IC 3-11-15-23 Electronic voting system; preservation of electronic images of
ballots
Sec. 23. To attain a measure of integrity over the process, the
electronic voting systems must also maintain an image of each ballot
that is cast, such that records of individual ballots are maintained by
a subsystem independent and distinct from the main vote detection,
interpretation, processing, and reporting path. The electronic images
of each ballot must protect the integrity of the data and the
anonymity of each voter, for example, by means of storage location
scrambling. The ballot image records may be either
machine-readable or manually transcribed, or both, at the discretion
of the vendor. As added by P.L.3-1997, SEC.332.
IC 3-11-15-24 Voting system; status and degree of operability
Sec. 24. Ballot card voting and electronic voting systems must
include built-in test, measurement, and diagnostic software, and
hardware for detecting and reporting the system's status and degree
of operability. As added by P.L.3-1997, SEC.332.
IC 3-11-15-25 Voting system; recording and reporting capabilities
Sec. 25. A voting system must include capabilities of recording
and reporting the date and time of normal and abnormal events and
of maintaining a permanent record of audit information that cannot
be turned off. A voting system must include provisions to detect and
record significant events, such as casting a ballot, error conditions
that cannot be disposed of by the system itself, or time-dependent or
programmed events that occur without the intervention of the voter
or a polling place operator. As added by P.L.3-1997, SEC.332.
IC 3-11-15-26 Ballot counting software
Sec. 26. The ballot counting software must be designed in a
modular fashion and not be self-modifying. Modular programs must
consist of code written in relatively small and easily identifiable
sections, with each unit having a single entry point and a single exit
point. Each module must have a specific function that can be tested
and verified more or less independently of the remainder of the code.
Appendix E of the Performance and Test Standards for Punchcard,
Marksense, and Direct Recording contains numerical guidelines for
program modules. As added by P.L.3-1997, SEC.332.
IC 3-11-15-27
Repealed
(Repealed by P.L.26-2000, SEC.46.)
IC 3-11-15-28
Repealed
(Repealed by P.L.26-2000, SEC.46.)
IC 3-11-15-29
Repealed
(Repealed by P.L.26-2000, SEC.46.)
IC 3-11-15-30
Repealed
(Repealed by P.L.26-2000, SEC.46.)
IC 3-11-15-31
Repealed
(Repealed by P.L.26-2000, SEC.46.)
IC 3-11-15-32 Compliance with other preferred coding practices and software
characteristics
Sec. 32. In considering the compliance of a voting system with
this chapter, the commission may determine whether the system
conforms with other preferred coding practices and software
characteristics set forth in the Voting System Standards adopted by
the Federal Election Commission on April 30, 2002. As added by P.L.3-1997, SEC.332. Amended by P.L.209-2003,
SEC.167.
IC 3-11-15-33 Real-time monitoring of system status and data quality
Sec. 33. The vendor shall provide for the real-time monitoring of
system status and data quality. The election division (or the
competent person designated by the commission to act on behalf of
the election division) shall determine methods of assessment with the
advice of a test authority. Implementation options include the
following:
(1) Hardware monitoring of redundant processing functions
which are carried out in parallel or serially.
(2) Statistical assessment and measures of system operation. As added by P.L.3-1997, SEC.332.
IC 3-11-15-34 Quality assessment
Sec. 34. Measurement of the relative frequency of entry to
program units and the frequency of exception conditions must be
included as part of the quality assessment. As added by P.L.3-1997, SEC.332.
IC 3-11-15-35
Repealed
(Repealed by P.L.176-1999, SEC.134.)
IC 3-11-15-36 Errors in operations; corrections
Sec. 36. Software used in all systems must monitor the overall
quality of data read-write and transfer quality status, checking the
number and types of errors that occur in any of the relevant
operations on data and how the errors were corrected. If the total
number of corrected errors exceeds a predetermined threshold, or if
errors on any one (1) type occur repeatedly, then the operation of the
affected device must be suspended until the condition generating the
errors has been corrected. Any uncorrectable error must result in an
immediate halt and provide an appropriate message to the voter or
polling place official. As added by P.L.3-1997, SEC.332.
IC 3-11-15-37 Retention of ballots for verification of election results
Sec. 37. Ballot card voting systems must rely on the retention of
ballots as a redundant means of verifying election results. As a
means of assuring accuracy in electronic voting systems, the unit
must incorporate multiple memories in the machine itself and in the
unit's programmable memory devices. To attain a measure of
integrity over the process, an electronic voting system must also
maintain images of each ballot that is cast so that records of
individual ballots are maintained by a subsystem independent and
distinct from the main vote detection, diagnostic, processing, and
reporting path. As added by P.L.3-1997, SEC.332.
IC 3-11-15-38 Stored images of ballots
Sec. 38. The stored images of each ballot must protect the
integrity of the data and the anonymity of each voter by such means
as storage location scrambling. The ballot image records may be
either machine readable or manually transcribed, or both, at the
discretion of the vendor. As added by P.L.3-1997, SEC.332.
IC 3-11-15-39 Firmware instructions; undervoting permitted
Sec. 39. The electronic voting system firmware instructions must
contain necessary logical instructions to determine correct recording
of each and every candidate or public question selection made by the
voter to the appropriate memory registers and tables. In the case of
a partially voted ballot, deliberate undervoting by a voter must be
permitted. This undervoting must be validated by machine
determination that particular candidate or public question selections
have not been made. In cases where a selected candidate or vote on
a public question is not recording correctly upon casting of the ballot,
the electronic voting system equipment must generate an error signal
and automatically stop operation of the machine until the problem is
resolved. As added by P.L.3-1997, SEC.332.
IC 3-11-15-40 Reconciliation of sum of selections and undervotes
Sec. 40. After every ballot is cast, a reconciliation of the sum of
selections and undervotes must occur. The undervotes may not be
generated as a default but must be generated as the result of scanning
the ballot as the ballot is cast. As added by P.L.3-1997, SEC.332.
IC 3-11-15-41 Status messages
Sec. 41. Status messages must become part of the real-time audit
record. Latitude in software design is necessary so that consideration
can be given to various user processing and reporting needs. The user
shall require status and information messages to be displayed and
reported in real-time. As added by P.L.3-1997, SEC.332.
IC 3-11-15-42 Status messages; display
Sec. 42. Depending on the critical nature of the message, and the
particular jurisdiction's needs, status messages shall preferably be
displayed and reported by suitable, unambiguous indicators or
English language text. Noncritical status messages may be displayed
if the message does not require operator intervention by means of
numerical codes, for subsequent interpretation and reporting as
ambiguous text. As added by P.L.3-1997, SEC.332.
IC 3-11-15-43 Audit record; ability of voter to change vote before ballot cast
Sec. 43. (a) The audit record provisions in this chapter are
essential to the complete recording of election operations and
reporting of the vote tally. This list of audit records must reflect all
of the idiosyncrasies of a system.
(b) As required by 42 U.S.C. 15481, the voting system must:
(1) produce a permanent paper record with a manual audit
capacity for the system; and
(2) provide the voter with an opportunity to change the ballot or
correct any error before the permanent paper record is
produced.
(c) The paper record produced under subsection (b) must be made
available as an official record for a recount or contest conducted with
respect to any election in which the voting system was used. As added by P.L.3-1997, SEC.332. Amended by P.L.209-2003,
SEC.168.
IC 3-11-15-44 In-process audit records; contents
Sec. 44. In-process audit records consist of data documenting
precinct and central count system operation during diagnostic
routines and the casting and tallying of ballots. At a minimum, the
in-process audit records for all systems must contain the following
items, except as otherwise noted:
(1) Machine generated error and exception messages to ensure
that successful recovery has been accomplished. Examples
include the following:
(A) The source and disposition of system interrupts resulting
in entry into exception handling routines.
(B) All messages generated by exception handlers.
(C) The identification code and number of occurrences for
each hardware and software error or failure.
(D) Notification of system log-in or access errors, file access
errors, and physical violations of security as they occur, and
a summary record of these events after processing.
(E) For ballot card voting systems, an event log of any
ballot-related exceptions, such as the following:
(i) Quantity of ballots that are not processable.
(ii) Quantity of ballots requiring special handling.
(iii) In a central count environment, quantity identification
number of aborted precincts.
(F) Other exceptional events such as power failures, failure
of critical hardware components, data transmission errors, or
other types of operating anomalies.
(2) Critical system status messages other than informational
messages displayed by the system during the course of normal
operations. These items include the following:
(A) Diagnostic and status messages upon startup.
(B) The "zero totals" check conducted before opening the
polling place or counting a precinct centrally.
(C) For ballot card voting systems, the initiation or
termination of card reader and communications equipment
operations.
(D) For electronic voting system machines, the event (and
time, if available) of enabling/casting each ballot that is each
voter's transaction as an event. This data can be compared
with the public counter for reconciliation purposes.
(3) Status messages that are generated by the machine's data
quality monitor or by software and hardware condition
monitors. For example, a cumulative or summary record of data
read-write-verify, parity, or check-sum errors and retries is
required. The intent is to gauge the accuracy of the ballot data
and adequacy of the system in monitoring and detecting system
processing errors.
(4) System generated log of all normal process activity and
system events that require operator intervention so that each
operator access can be monitored and access sequence can be
constructed. As added by P.L.3-1997, SEC.332.
IC 3-11-15-45 General features and capabilities of access policy; disclosure
Sec. 45. The vendor shall disclose the general features and
capabilities of the access policy. The generic capabilities should
include the following:
(1) Software access controls.
(2) Hardware access controls.
(3) Effective password management.
(4) The protection abilities of a particular operating system.
(5) The general characteristics of supervisory access privileges. As added by P.L.3-1997, SEC.332.
IC 3-11-15-46 Access policies defined by using jurisdiction
Sec. 46. The using jurisdiction in charge of voting system
operations is responsible for defining the specific access policies
applying to each election and for defining any variations of these
resulting from use of the system in more than one (1) environment. As added by P.L.3-1997, SEC.332.
IC 3-11-15-47 Access control policy; limitations on access
Sec. 47. The access control policy must identify all persons to
whom access is granted and the specific functions and data to which
each holds authorized access. If an authorization is limited to a
specific time, time interval, or phase of the voting or counting
operations, this limitation must also be specified. As added by P.L.3-1997, SEC.332.
IC 3-11-15-48 Access control policy; requirements
Sec. 48. The access control policy:
(1) may not affect the ability of a voter to record votes and
submit a ballot; and
(2) must preclude voter access to all other physical facilities of
the vote-counting processes. As added by P.L.3-1997, SEC.332.
IC 3-11-15-49 Approval required before voting system is marketed, sold, leased,
installed, or implemented
Sec. 49. Before a vendor markets, sells, leases, installs, or permits
the implementation of a voting system in Indiana, the commission
must have approved the vendor's application for the approval of the
voting system. As added by P.L.3-1997, SEC.332. Amended by P.L.14-2004,
SEC.135.
IC 3-11-15-50
Repealed
(Repealed by P.L.221-2005, SEC.144.)
IC 3-11-15-51
Repealed
(Repealed by P.L.221-2005, SEC.144.)
IC 3-11-15-52
Repealed
(Repealed by P.L.221-2005, SEC.144.)
IC 3-11-15-53
Repealed
(Repealed by P.L.221-2005, SEC.144.)
IC 3-11-15-54 Software or source code changes
Sec. 54. Notwithstanding any other provision of this chapter, the
software or source code of a voting system may not be changed while
an election is being conducted or during the canvassing of the
election's results. As added by P.L.3-1997, SEC.332. IC 3-11-15-55
Repealed
(Repealed by P.L.221-2005, SEC.144.)
IC 3-11-15-56
Repealed
(Repealed by P.L.221-2005, SEC.144.)
IC 3-11-15-57
Repealed
(Repealed by P.L.221-2005, SEC.144.)
IC 3-11-15-58
Repealed
(Repealed by P.L.221-2005, SEC.144.)
IC 3-11-15
Chapter 15. Ballot Card and Electronic Voting Systems;
Additional Standards and Procedures for Approving System Changes
IC 3-11-15-1 Applicability of chapter
Sec. 1. Except as otherwise provided, this chapter applies to any
election in Indiana where voting is by means of a ballot card or
electronic voting system. As added by P.L.3-1997, SEC.332.
IC 3-11-15-2 Applicability of performance and test standards and fees
Sec. 2. The performance and test standards and fees under this
chapter apply to an optical scan voting system or an electronic voting
system described in IC 3-11-7 or IC 3-11-7.5. As added by P.L.3-1997, SEC.332. Amended by P.L.221-2005,
SEC.92.
IC 3-11-15-3 Vendors; application to examine voting system
Sec. 3. A vendor may apply to the election division to examine a
voting system and report on its accuracy, efficiency, and capacity. As added by P.L.3-1997, SEC.332.
IC 3-11-15-4 Application for certification; fee; disposition of fee
Sec. 4. Each application for certification of a voting system shall
be accompanied by a fee of one thousand five hundred dollars
($1,500). All fees collected under this section shall be deposited with
the treasurer of state in the voting system technical oversight
program account established by IC 3-11-17-6. As added by P.L.3-1997, SEC.332. Amended by P.L.120-2009,
SEC.9.
IC 3-11-15-5 Vendors; reimbursement to election division for cost of
examination
Sec. 5. Each vendor shall reimburse the election division an
amount equal to the total cost of examining the system. As added by P.L.3-1997, SEC.332.
IC 3-11-15-6 Approval of system dependent on payment of fees and expenses
Sec. 6. The commission shall not approve any system until the fee
and the expenses incurred by the election division (or the person
designated under IC 3-11-16) in making the examination are paid by
the person making the application. As added by P.L.3-1997, SEC.332. Amended by P.L.221-2005,
SEC.93. IC 3-11-15-7 Applications; contents
Sec. 7. (a) Each application must be in writing, sworn to or
affirmed by the applicant, under the penalties of perjury, on a form
prescribed by the commission, and must satisfy the following
requirements:
(1) Provide the name and address of the vendor submitting the
application.
(2) Provide the telephone number of the vendor.
(3) Provide the name, address, and telephone number of the
individual representing the vendor regarding the application.
(4) Provide the model name and number of the submitted voting
system, stating the hardware, firmware, and software version
numbers of the system.
(5) State whether the voting system is a direct record electronic
voting system or an optical scan ballot card voting system.
(6) Provide a description of the voting system and its
capabilities, including the following:
(A) Photographs.
(B) Engineering drawings.
(C) Technical documentation.
(D) Fail-safe and emergency backup information.
(E) Environmental requirements for storage, transportation,
and operation.
(7) Include an agreement to pay for the total costs of the
examination.
(8) Provide documentation of the escrow of the voting system's
software, firmware, source codes, and executable images with
an escrow agent approved by the election division.
(9) Provide a functional description of any software
components.
(10) Provide schematics or flowcharts identifying software and
data file relationships.
(11) Describe the type of maintenance offered by the vendor.
(12) Provide the names, addresses, and telephone numbers of
the vendor's maintenance providers.
(13) Provide a description of the training courses offered by the
vendor for the voting system.
(14) Provide user manuals, operator and system manuals, and
problem solving manuals.
(15) Provide a statement of the current and future
interchangeability of all subcomponents of the voting system.
(16) Provide documentation from all independent testing
authorities that have examined the system.
(17) Provide documentation from all election jurisdictions that
have previously approved the system.
(18) Pay the application fee required under section 4 of this
chapter.
(b) If an application does not include any of the applicable
requirements listed in subsection (a), those requirements must be
filed with the election division before the application may be
considered by the commission. As added by P.L.3-1997, SEC.332. Amended by P.L.14-2004,
SEC.133.
IC 3-11-15-8 Applications; length of validity
Sec. 8. An application under this chapter is valid for one (1) year
after the date that the application is filed with the election division
and for any additional time that the commission considers necessary
to act upon the application. As added by P.L.3-1997, SEC.332.
IC 3-11-15-9 Prompt response to inquiries by applicant required
Sec. 9. An applicant must vigorously and continuously seek
approval of an application by promptly responding to inquiries from
the commission and the election division. The commission may,
following a hearing under IC 4-21.5, dismiss an application if the
commission determines that the applicant has not complied with this
requirement. As added by P.L.3-1997, SEC.332.
IC 3-11-15-10
Repealed
(Repealed by P.L.221-2005, SEC.144.)
IC 3-11-15-11
Repealed
(Repealed by P.L.221-2005, SEC.144.)
IC 3-11-15-12 Applications; form
Sec. 12. Each application under this chapter must be in writing on
a form prescribed by the commission and must comply with the
requirements of this chapter. As added by P.L.3-1997, SEC.332.
IC 3-11-15-13
Repealed
(Repealed by P.L.164-2006, SEC.143.)
IC 3-11-15-13.1 Voting system display of candidate name and designation
Sec. 13.1. If a voting system has the capability, the voting system
must display on the medium used by the voter to cast the voter's
ballot the following information for each candidate:
(1) The name of the candidate.
(2) A ballot number or other candidate designation uniquely
associated with the candidate.
As added by P.L.66-2003, SEC.43.
IC 3-11-15-13.3 Federal voting system standards; use of voting system with expired
certification
Sec. 13.3. (a) To be approved by the commission for use in
Indiana, a voting system must meet:
(1) the Voting System Standards adopted by the Federal
Election Commission on April 30, 2002; or
(2) the Voluntary Voting System Guidelines adopted by the
United States Election Assistance Commission on December
13, 2005.
(b) A county may continue to use an optical scan ballot card
voting system or an electronic voting system whose approval or
certification expired on or before October 1, 2009, if the voting
system:
(1) was:
(A) approved by the commission for use in elections in
Indiana before October 1, 2009; and
(B) purchased by the county before October 1, 2009; and
(2) otherwise complies with the applicable provisions of HAVA
and this article.
However, a voting system vendor may not market, sell, lease, or
install a voting system described in this subsection.
(c) As provided by 42 U.S.C. 15481, to be used in an election in
Indiana, a voting system must be accessible for individuals with
disabilities, including nonvisual accessibility for the blind and
visually impaired, in a manner that provides the same opportunity for
access and participation (including privacy and independence) as for
other voters.
(d) As provided by 42 U.S.C. 15481, an election board conducting
an election satisfies the requirements of subsection (c) if the election
board provides at least one (1) electronic voting system or other
voting system equipped for individuals with disabilities at each
polling place.
(e) If a voter who is otherwise qualified to cast a ballot in a
precinct chooses to cast the voter's ballot on the voting system
provided under subsection (d), the voter must be allowed to cast the
voter's ballot on that voting system, whether or not the voter is an
individual with disabilities. As added by P.L.209-2003, SEC.164. Amended by P.L.221-2005,
SEC.94; P.L.164-2006, SEC.118; P.L.120-2009, SEC.10.
IC 3-11-15-13.4 Voting system and voters with disabilities
Sec. 13.4. (a) This section does not apply to the purchase, lease,
or lease-purchase of additional or replacement components of a
voting system in use in a county before January 1, 2005.
(b) The commission shall determine whether a voting system
provides a practical and effective means for voters with disabilities
to cast ballots in private.
(c) If the commission determines that any voting system meets the
criteria described in subsection (b), a county may not purchase, lease,
or lease-purchase any other voting system that does not meet the
criteria described in subsection (b). As added by P.L.97-2004, SEC.10.
IC 3-11-15-13.5
Repealed
(Repealed by P.L.97-2004, SEC.133.)
IC 3-11-15-13.6 Compliance with standards for disability access
Sec. 13.6. (a) This section applies only to a voting system
purchased with funds made available under Title II of HAVA (42
U.S.C. 15321 through 15472) after December 31, 2006.
(b) As required by 42 U.S.C. 15481, the voting system must
comply with the Voting System Standards for disability access
referred to in section 13.3 of this chapter and 42 U.S.C. 15481(a)(3)
to be used in an election. As added by P.L.97-2004, SEC.11.
IC 3-11-15-13.7 Requirements of voting systems to indicate overvotes
Sec. 13.7. (a) If a voting system has any of the following
functions, the functions must be operable in the voting system's
equipment actually in use in a precinct:
(1) The voting system can demonstrate to the voter that the
voter has cast votes for too many candidates for an office.
(2) The voting system can demonstrate to the voter that the
voter has cast votes both in favor of and in opposition to a
public question.
(b) Except as provided in subsection (c), a voting system
described in subsection (a) must be able to inform the voter how the
voter may correct errors on the voter's ballot.
(c) A voting system is not required to provide the information
required by subsection (b) if the information is provided in writing
conspicuously on or near the components of the voting system where
the voter casts the voter's votes. As added by P.L.126-2002, SEC.76.
IC 3-11-15-14 Ballot counting devices and equipment; verification
Sec. 14. In ballot card voting systems, each precinct ballot
counting device, and all central counting equipment, must contain
provisions for verifying:
(1) its proper preparation for an election; and
(2) that both the hardware and the software are functioning
correctly. As added by P.L.3-1997, SEC.332. IC 3-11-15-15 Ballot counting devices and equipment; tests and diagnostic
procedures
Sec. 15. The tests and diagnostic procedures described in section
14 of this chapter:
(1) may be executed manually or automatically; and
(2) must allow for operator intervention to validate the proper
execution of individually selected equipment functions. As added by P.L.3-1997, SEC.332.
IC 3-11-15-16 Electronic voting system; verification
Sec. 16. Each electronic voting system or vote recording and data
processing device shall contain hardware and software provisions for
verifying:
(1) its proper preparation for an election; and
(2) that both the hardware and the software are functioning
correctly. As added by P.L.3-1997, SEC.332.
IC 3-11-15-17 Electronic voting system; tests and diagnostic procedures
Sec. 17. The tests and diagnostic procedures described in section
16 of this chapter:
(1) may be carried out manually or automatically; and
(2) must allow for operator intervention to validate the proper
execution of individually selected equipment functions. As added by P.L.3-1997, SEC.332.
IC 3-11-15-18
Repealed
(Repealed by P.L.26-2000, SEC.46.)
IC 3-11-15-19
Repealed
(Repealed by P.L.26-2000, SEC.46.)
IC 3-11-15-20 Voting system; accuracy
Sec. 20. (a) A voting system must be able to record accurately
each vote and be able to produce an accurate report of all votes cast.
(b) As used in this subsection, "error rate" refers to the error rate
of the voting system in counting ballots (determined by taking into
account only those errors that are attributable to the voting system
and not attributable to an act of the voter). As required by 42 U.S.C.
15481, a voting system must comply with the error rate standards
established under section 3.2.1. of the Voting System Standards
approved by the Federal Election Commission on April 30, 2002, as
those standards were in effect on October 29, 2002.
(c) The inclusion of control logic and data processing methods
incorporating parity and check-sums (or equivalent error detection
and correction methods) must demonstrate that the system has been
designed for accuracy. As added by P.L.3-1997, SEC.332. Amended by P.L.209-2003,
SEC.166.
IC 3-11-15-21 Voting system; software
Sec. 21. Software used in a voting system must monitor the
overall quality of data read-write and transfer quality status, checking
the number and types of errors that occur in any of the relevant
operations on data and how they were corrected. As added by P.L.3-1997, SEC.332.
IC 3-11-15-22 Ballot card voting system; verification and accuracy
Sec. 22. Ballot card voting systems must rely on the retention of
ballots as a redundant means of verifying or auditing election results.
As a means of assuring accuracy in electronic voting systems, the
unit must incorporate multiple memories in the machine itself and in
its programmable memory devices. As added by P.L.3-1997, SEC.332.
IC 3-11-15-23 Electronic voting system; preservation of electronic images of
ballots
Sec. 23. To attain a measure of integrity over the process, the
electronic voting systems must also maintain an image of each ballot
that is cast, such that records of individual ballots are maintained by
a subsystem independent and distinct from the main vote detection,
interpretation, processing, and reporting path. The electronic images
of each ballot must protect the integrity of the data and the
anonymity of each voter, for example, by means of storage location
scrambling. The ballot image records may be either
machine-readable or manually transcribed, or both, at the discretion
of the vendor. As added by P.L.3-1997, SEC.332.
IC 3-11-15-24 Voting system; status and degree of operability
Sec. 24. Ballot card voting and electronic voting systems must
include built-in test, measurement, and diagnostic software, and
hardware for detecting and reporting the system's status and degree
of operability. As added by P.L.3-1997, SEC.332.
IC 3-11-15-25 Voting system; recording and reporting capabilities
Sec. 25. A voting system must include capabilities of recording
and reporting the date and time of normal and abnormal events and
of maintaining a permanent record of audit information that cannot
be turned off. A voting system must include provisions to detect and
record significant events, such as casting a ballot, error conditions
that cannot be disposed of by the system itself, or time-dependent or
programmed events that occur without the intervention of the voter
or a polling place operator. As added by P.L.3-1997, SEC.332.
IC 3-11-15-26 Ballot counting software
Sec. 26. The ballot counting software must be designed in a
modular fashion and not be self-modifying. Modular programs must
consist of code written in relatively small and easily identifiable
sections, with each unit having a single entry point and a single exit
point. Each module must have a specific function that can be tested
and verified more or less independently of the remainder of the code.
Appendix E of the Performance and Test Standards for Punchcard,
Marksense, and Direct Recording contains numerical guidelines for
program modules. As added by P.L.3-1997, SEC.332.
IC 3-11-15-27
Repealed
(Repealed by P.L.26-2000, SEC.46.)
IC 3-11-15-28
Repealed
(Repealed by P.L.26-2000, SEC.46.)
IC 3-11-15-29
Repealed
(Repealed by P.L.26-2000, SEC.46.)
IC 3-11-15-30
Repealed
(Repealed by P.L.26-2000, SEC.46.)
IC 3-11-15-31
Repealed
(Repealed by P.L.26-2000, SEC.46.)
IC 3-11-15-32 Compliance with other preferred coding practices and software
characteristics
Sec. 32. In considering the compliance of a voting system with
this chapter, the commission may determine whether the system
conforms with other preferred coding practices and software
characteristics set forth in the Voting System Standards adopted by
the Federal Election Commission on April 30, 2002. As added by P.L.3-1997, SEC.332. Amended by P.L.209-2003,
SEC.167.
IC 3-11-15-33 Real-time monitoring of system status and data quality
Sec. 33. The vendor shall provide for the real-time monitoring of
system status and data quality. The election division (or the
competent person designated by the commission to act on behalf of
the election division) shall determine methods of assessment with the
advice of a test authority. Implementation options include the
following:
(1) Hardware monitoring of redundant processing functions
which are carried out in parallel or serially.
(2) Statistical assessment and measures of system operation. As added by P.L.3-1997, SEC.332.
IC 3-11-15-34 Quality assessment
Sec. 34. Measurement of the relative frequency of entry to
program units and the frequency of exception conditions must be
included as part of the quality assessment. As added by P.L.3-1997, SEC.332.
IC 3-11-15-35
Repealed
(Repealed by P.L.176-1999, SEC.134.)
IC 3-11-15-36 Errors in operations; corrections
Sec. 36. Software used in all systems must monitor the overall
quality of data read-write and transfer quality status, checking the
number and types of errors that occur in any of the relevant
operations on data and how the errors were corrected. If the total
number of corrected errors exceeds a predetermined threshold, or if
errors on any one (1) type occur repeatedly, then the operation of the
affected device must be suspended until the condition generating the
errors has been corrected. Any uncorrectable error must result in an
immediate halt and provide an appropriate message to the voter or
polling place official. As added by P.L.3-1997, SEC.332.
IC 3-11-15-37 Retention of ballots for verification of election results
Sec. 37. Ballot card voting systems must rely on the retention of
ballots as a redundant means of verifying election results. As a
means of assuring accuracy in electronic voting systems, the unit
must incorporate multiple memories in the machine itself and in the
unit's programmable memory devices. To attain a measure of
integrity over the process, an electronic voting system must also
maintain images of each ballot that is cast so that records of
individual ballots are maintained by a subsystem independent and
distinct from the main vote detection, diagnostic, processing, and
reporting path. As added by P.L.3-1997, SEC.332.
IC 3-11-15-38 Stored images of ballots
Sec. 38. The stored images of each ballot must protect the
integrity of the data and the anonymity of each voter by such means
as storage location scrambling. The ballot image records may be
either machine readable or manually transcribed, or both, at the
discretion of the vendor. As added by P.L.3-1997, SEC.332.
IC 3-11-15-39 Firmware instructions; undervoting permitted
Sec. 39. The electronic voting system firmware instructions must
contain necessary logical instructions to determine correct recording
of each and every candidate or public question selection made by the
voter to the appropriate memory registers and tables. In the case of
a partially voted ballot, deliberate undervoting by a voter must be
permitted. This undervoting must be validated by machine
determination that particular candidate or public question selections
have not been made. In cases where a selected candidate or vote on
a public question is not recording correctly upon casting of the ballot,
the electronic voting system equipment must generate an error signal
and automatically stop operation of the machine until the problem is
resolved. As added by P.L.3-1997, SEC.332.
IC 3-11-15-40 Reconciliation of sum of selections and undervotes
Sec. 40. After every ballot is cast, a reconciliation of the sum of
selections and undervotes must occur. The undervotes may not be
generated as a default but must be generated as the result of scanning
the ballot as the ballot is cast. As added by P.L.3-1997, SEC.332.
IC 3-11-15-41 Status messages
Sec. 41. Status messages must become part of the real-time audit
record. Latitude in software design is necessary so that consideration
can be given to various user processing and reporting needs. The user
shall require status and information messages to be displayed and
reported in real-time. As added by P.L.3-1997, SEC.332.
IC 3-11-15-42 Status messages; display
Sec. 42. Depending on the critical nature of the message, and the
particular jurisdiction's needs, status messages shall preferably be
displayed and reported by suitable, unambiguous indicators or
English language text. Noncritical status messages may be displayed
if the message does not require operator intervention by means of
numerical codes, for subsequent interpretation and reporting as
ambiguous text. As added by P.L.3-1997, SEC.332.
IC 3-11-15-43 Audit record; ability of voter to change vote before ballot cast
Sec. 43. (a) The audit record provisions in this chapter are
essential to the complete recording of election operations and
reporting of the vote tally. This list of audit records must reflect all
of the idiosyncrasies of a system.
(b) As required by 42 U.S.C. 15481, the voting system must:
(1) produce a permanent paper record with a manual audit
capacity for the system; and
(2) provide the voter with an opportunity to change the ballot or
correct any error before the permanent paper record is
produced.
(c) The paper record produced under subsection (b) must be made
available as an official record for a recount or contest conducted with
respect to any election in which the voting system was used. As added by P.L.3-1997, SEC.332. Amended by P.L.209-2003,
SEC.168.
IC 3-11-15-44 In-process audit records; contents
Sec. 44. In-process audit records consist of data documenting
precinct and central count system operation during diagnostic
routines and the casting and tallying of ballots. At a minimum, the
in-process audit records for all systems must contain the following
items, except as otherwise noted:
(1) Machine generated error and exception messages to ensure
that successful recovery has been accomplished. Examples
include the following:
(A) The source and disposition of system interrupts resulting
in entry into exception handling routines.
(B) All messages generated by exception handlers.
(C) The identification code and number of occurrences for
each hardware and software error or failure.
(D) Notification of system log-in or access errors, file access
errors, and physical violations of security as they occur, and
a summary record of these events after processing.
(E) For ballot card voting systems, an event log of any
ballot-related exceptions, such as the following:
(i) Quantity of ballots that are not processable.
(ii) Quantity of ballots requiring special handling.
(iii) In a central count environment, quantity identification
number of aborted precincts.
(F) Other exceptional events such as power failures, failure
of critical hardware components, data transmission errors, or
other types of operating anomalies.
(2) Critical system status messages other than informational
messages displayed by the system during the course of normal
operations. These items include the following:
(A) Diagnostic and status messages upon startup.
(B) The "zero totals" check conducted before opening the
polling place or counting a precinct centrally.
(C) For ballot card voting systems, the initiation or
termination of card reader and communications equipment
operations.
(D) For electronic voting system machines, the event (and
time, if available) of enabling/casting each ballot that is each
voter's transaction as an event. This data can be compared
with the public counter for reconciliation purposes.
(3) Status messages that are generated by the machine's data
quality monitor or by software and hardware condition
monitors. For example, a cumulative or summary record of data
read-write-verify, parity, or check-sum errors and retries is
required. The intent is to gauge the accuracy of the ballot data
and adequacy of the system in monitoring and detecting system
processing errors.
(4) System generated log of all normal process activity and
system events that require operator intervention so that each
operator access can be monitored and access sequence can be
constructed. As added by P.L.3-1997, SEC.332.
IC 3-11-15-45 General features and capabilities of access policy; disclosure
Sec. 45. The vendor shall disclose the general features and
capabilities of the access policy. The generic capabilities should
include the following:
(1) Software access controls.
(2) Hardware access controls.
(3) Effective password management.
(4) The protection abilities of a particular operating system.
(5) The general characteristics of supervisory access privileges. As added by P.L.3-1997, SEC.332.
IC 3-11-15-46 Access policies defined by using jurisdiction
Sec. 46. The using jurisdiction in charge of voting system
operations is responsible for defining the specific access policies
applying to each election and for defining any variations of these
resulting from use of the system in more than one (1) environment. As added by P.L.3-1997, SEC.332.
IC 3-11-15-47 Access control policy; limitations on access
Sec. 47. The access control policy must identify all persons to
whom access is granted and the specific functions and data to which
each holds authorized access. If an authorization is limited to a
specific time, time interval, or phase of the voting or counting
operations, this limitation must also be specified. As added by P.L.3-1997, SEC.332.
IC 3-11-15-48 Access control policy; requirements
Sec. 48. The access control policy:
(1) may not affect the ability of a voter to record votes and
submit a ballot; and
(2) must preclude voter access to all other physical facilities of
the vote-counting processes. As added by P.L.3-1997, SEC.332.
IC 3-11-15-49 Approval required before voting system is marketed, sold, leased,
installed, or implemented
Sec. 49. Before a vendor markets, sells, leases, installs, or permits
the implementation of a voting system in Indiana, the commission
must have approved the vendor's application for the approval of the
voting system. As added by P.L.3-1997, SEC.332. Amended by P.L.14-2004,
SEC.135.
IC 3-11-15-50
Repealed
(Repealed by P.L.221-2005, SEC.144.)
IC 3-11-15-51
Repealed
(Repealed by P.L.221-2005, SEC.144.)
IC 3-11-15-52
Repealed
(Repealed by P.L.221-2005, SEC.144.)
IC 3-11-15-53
Repealed
(Repealed by P.L.221-2005, SEC.144.)
IC 3-11-15-54 Software or source code changes
Sec. 54. Notwithstanding any other provision of this chapter, the
software or source code of a voting system may not be changed while
an election is being conducted or during the canvassing of the
election's results. As added by P.L.3-1997, SEC.332. IC 3-11-15-55
Repealed
(Repealed by P.L.221-2005, SEC.144.)
IC 3-11-15-56
Repealed
(Repealed by P.L.221-2005, SEC.144.)
IC 3-11-15-57
Repealed
(Repealed by P.L.221-2005, SEC.144.)
IC 3-11-15-58
Repealed
(Repealed by P.L.221-2005, SEC.144.)
