Chapter 12

Certification of Voting Equipment

 

Section 1.                Purpose.

 

(a)               The secretary of state, pursuant to W.S. 22-2-121, is promulgating these rules to establish procedures for certification of electronic voting equipment used in Wyoming for federal or state elections to comply with the requirements of the Help America Vote Act of 2002 (HAVA), Public Law 107-252.

 

(b)               For purposes of this chapter of rules, "voting equipment" or "equipment" means both the hardware and software, including firmware, utilized for the recording, tabulating, counting, and auditing of votes in an election.

 

Section 2.Application for Certification of Voting Equipment.

 

(a)               The Application for Certification of Voting Equipment form shall be designed and provided by the Wyoming secretary of state.

 

(b)               Before any equipment is sold or upgraded, the vendor shall submit the application for certification of voting equipment to the secretary of state for approval.

 

(c)               The vendor shall certify in writing to the secretary of state that the equipment:

 

(i)                 Meets the federal Voluntary Voting System Guidelines (VVSG), to include which version;

 

(ii)               Is in compliance with federal standards and meets federal law;

 

(iii)             Meets state law; and

 

(iv)             Has been certified and implemented in at least two (2) states for use in federal elections in those states.

 

(d)               The vendor shall provide the following supporting documentation:

 

(i)                 A report from an accredited Voting System Test Laboratory (VSTL) certifying the system is in compliance with the VVSG. This report is a third party document and shall not be released by the secretary of state but will be deemed confidential;

 

(ii)               Evidence of the Election Assistance Commission (EAC) certification;

 

(iii)             State certification letter from each state named in (c)(iv) and the contact information to include email and telephone;

 

(iv)             A Wyoming Certificate of Good Standing for the registered business entity dated not more than ninety (90) days prior;

 

(v)               All related manuals, including, but not limited to, technical manuals for repair and maintenance for the equipment, operations manuals for election officials, printer manuals for ballot production, and all other written documents prepared by the vendor that describe the operation, use, and maintenance of the equipment;

 

(vi)             A list of applicable patents and copyrights on the equipment;

 

(vii)           A history of the equipment to include a complete description of the equipment, the date the equipment went into production, and a complete list of states which have used the equipment;

 

(viii)         A list of any written complaints or concerns made to the vendor by other jurisdictions to include county or local jurisdictions, and a description of the resolution of the complaints or concerns. If there are no written complaints or concerns made to the vendor by other jurisdictions, a statement to that effect is required;

 

(ix)             A list of all denials of certification made to the vendor by other jurisdictions to include state, county, or local jurisdictions, to be accompanied by official documentation provided by the jurisdiction about the denial; how the denial was resolved, if applicable; and, if the denial was not resolved, a statement or description as to why it was not resolved; and

 

(x)               An escrow account containing the source code for the system and/or system components requested for certification to include any and all updates to the source code.

 

Section 3.Grounds for Denial or Withdrawal of Certification of Voting Equipment. The secretary of state may deny or withdraw the certification of equipment for any of the following reasons:

 

(a)               A county clerk notifies the secretary of state of a significant problem with the equipment or the secretary of state determines there is a significant problem with the equipment;

 

(b)               The secretary of state determines that the equipment fails to meet the requirements necessary for approval or continued compliance;

 

(c)               The secretary of state determines there is a need for significant enhancements or adjustments to the equipment;

 

(d)               The vendor fails to notify the secretary of state of significant enhancements or adjustments which are necessary to the equipment;

 

(e)               Upon written request by the secretary of state, the vendor fails to submit the equipment for re-examination by an EAC/NIST certified VSTL;

 

(f)                The equipment does not produce accurate results and reports as required by law;

 

(g)               Changes are made in the equipment that do not comply with the requirements for certification;

 

(h)               The equipment is no longer used by any county in Wyoming or is no longer available for purchase or repair from the company; or

 

(i)                 The equipment, vendor or its employees are found to be problematic in ensuring elections as critical infrastructure.

 

Section 4.Procedure for Notice of Possible Withdrawal of Certification and Remedy Process. At any time after the certification of equipment, the secretary of state may withdraw such certification by complying with the following procedures:

 

(a)               Written notice of the grounds for possible withdrawal is given to the vendor.  Such notice shall include the following information:

 

(i)                 The reason(s) for possible withdrawal of certification; and

 

(ii)               The date upon which certification may be withdrawn.

 

(b)               If the vendor is notified of grounds for a withdrawal of certification, the vendor is responsible for all fees associated with any remedy necessary to maintain certification.

 

(c)               The vendor shall have thirty (30) days to respond to the notice of grounds for withdrawal of certification.  The vendor's response shall contain one or more of the following:

 

(i)                 A description of the corrective measures taken;

 

(ii)               An explanation as to why the problem is not significant and the reason corrective measures do not need to be taken; or

 

(iii)             An explanation as to why there is no problem with the equipment.

 

(d)               After receiving the vendor's response, the secretary of state shall within forty-five (45) days determine whether:

 

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

 

(ii)               The explanations offered are satisfactory;

 

(iii)             Further explanation is necessary; or

 

(iv)             Withdrawal of certification is required.

 

(e)               The secretary of state shall notify the vendor and counties of the decision in writing within ten (10) business days after making the determination.

 

Section 5.Decertification of Voting Equipment. The secretary of state may issue a directive decertifying the equipment if the secretary of state determines that any of the following are applicable:

 

(a)               The equipment fails to meet the requirements necessary for continued compliance;

 

(b)               Changes are made in the equipment that do not comply with the requirements for certification;

 

(c)               The use of the equipment could jeopardize the integrity of an election;

 

(d)               The equipment, vendor or its employees are found to be problematic in ensuring elections as critical infrastructure; or

 

(e)               The secretary of state determines that a single vendor is to be used for the purposes of equipment uniformity.

 

Section 6.Maintaining Certification

 

(a)Reporting of Upgrades and Modifications in Equipment and Software: The vendor shall notify the secretary of state of all planned upgrades, patches, and modifications to the equipment to include a description of the upgrades, patches and/or modifications and the areas impacted.  The notification form shall be designed and provided by the secretary of state. No upgrades, patches, or modifications shall be applied without written approval by the secretary of state.

 

(b)Odd Year Reporting: By July 1 of each odd numbered year, the vendor shall certify to the secretary of state a list, by county, of the equipment being used and other related demographics as required within the reporting form that shall be designed and provided by the secretary of state.

 

(c)Election Year Reporting: By May 1 of each general election year, the vendor shall certify to the secretary of state a list providing information about the software and firmware versions being used by county. The reporting form shall be designed and provided by the secretary of state.

 

Section 7.Purchasing New Equipment.

 

(a)               In order to facilitate compliance with HAVA and state election laws, no county shall purchase any new equipment, trade old equipment for new equipment, or install any updates, patches or add-ons without the prior written notification to the secretary of state and subsequent approval by the secretary of state.

 

(b)               Any new equipment that is purchased by either the state or county must be certified pursuant to these rules. 

 

(c)               Counties must keep an inventory of all voting system equipment to include:

 

(i)                 The type of equipment being used to include peripherals;

 

(ii)               The quantity of each;

 

(iii)             The serial number of each;

 

(iv)             The software version, if applicable, of each; and

 

(v)               The firmware version, if applicable, of each piece of hardware.

 

(d)               Counties shall provide the above inventory to the secretary of state on a certification form prescribed by the secretary of state. Counties shall keep the original form and shall provide an electronic copy to the secretary of state.  This form shall be updated and provided to the secretary of state by June 1 of each election year or within two (2) weeks of any new equipment being purchased.