ClearVote System Hardware Specification...Tableofcontents Chapter1.Abstract 7 1.1Aboutthisdocument 7 1.2Scopeofthisdocument 7 1.3Intendedaudience 7 Chapter2.Hardwarerequirements 8

CLEAR BALLOT GROUP

ClearVote 1.0System HardwareSpecification

Abstract: This document provides the requirements for the machines andmanufactured devices that comprise a ClearVote system, including physicaland performance requirements.

© 2012-2015 Clear Ballot Group

ClearVote System Hardware SpecificationPart Number: 100060-10001Copyright © 2012-2015, Clear Ballot GroupAll rights reserved.

This document contains proprietary and confidential information, consisting oftrade secrets of a technical and/or commercial nature. The recipient may notshare, copy, or reproduce its contents without express written permission fromClear Ballot Group.

Ballot Resolver, ClearAccess, ClearAudit, Clear Ballot, ClearCount, ClearData,Clear Design, ClearVote, Image-to-Ballot Traceability, MatchPoint, ScanServer,ScanStation, Speed Accuracy Transparency, Visual Verification, Visualization ofVoter Intent, and Vote Visualization are trademarks of Clear Ballot Group.

ScandAll PRO is a trademark of FUJITSU LIMITED. All rights reserved.

Other product and company names mentioned herein are the property of theirrespective owners.

Clear Ballot Group7 Water Street, Suite 700Boston, MA 02109(857) 250-4957http://www.clearballot.com

Document history

Date Description Version Authors

08/10/2015 Initial release. 1.0 Brian MeyersIris Friedman

http://www.clearballot.com/

Table of contents

Chapter 1. Abstract 7

1.1 About this document 7

1.2 Scope of this document 7

1.3 Intended audience 7

Chapter 2. Hardware requirements 8

Chapter 3. Performance requirements 10

Chapter 4. Hardware 11

4.1 Physical requirements for work stations 11

Chapter 5. Physical characteristics 12

5.1 Size 12

5.2 Weight 12

5.3 Physical characteristics of the ClearCount system 12

5.3.1 Physical size and weight of hardware 13

Chapter 6. Environmental requirements 14

6.1 Electrical power disturbance 14

6.2 Data network requirements 14

6.3 Election management system (EMS) requirements 14

6.4 Vote recording requirements 15

6.4.1 Common requirements 15

6.4.2 Paper-based recording requirements 15

6.4.3 DRE system recording requirements 16

6.5 Paper-based conversion requirements 16

6.5.1 Ballot handling 17

6.5.2 Ballot reading accuracy 18

Chapter 7. Tabulation processing requirements 20

7.1 Paper-based system processing requirements 20

7.2 DRE system processing requirements 21

ClearVote System Hardware Specification 3

Chapter 8. Reporting requirements 22

8.1 Removable storage media 22

8.2 Printers 22

Chapter 9. Vote data management requirements 23

9.1 Data file management 23

Chapter 10. Accuracy requirements 24

Chapter 11. Design, construction, and maintenance characteristics 25

11.1 Materials, processes, and parts 25

11.2 Durability 26

11.3 Reliability 26

11.4 Maintainability 26

11.4.1 Physical attributes 26

11.4.2 Additional attributes 27

11.5 Availability 27

11.5.1 No-access ScanServer hardware 28

11.5.2 Software whitelist on the ScanStation computer 28

11.5.3 ScanStation redundancy 29

11.5.4 Licensing 29

11.5.5 Software and procedural design concepts 29

11.5.5.1 Scanning operations 29

11.5.5.2 Continuous availability 29

11.5.6 Backup and restore procedures 29

11.5.7 Rapid response support 30

11.5.7.1 Hardware support 30

11.5.7.2 Software support 30

11.6 Product marking 30

11.7 Workmanship 30

11.8 Safety 31


Appendix A. Evaluating marks on paper ballots 32

A.1 (6209.3 (c) (1-3) ) relevance 32

A.2 Vote targets 32

A.3 Ballot layout 33

A.4 Ballot processing by the scanner vendor hardware and software 34

A.4.1 Scanner vendor hardware 34

A.4.2 Scanner vendor software 34

A.5 Ballot processing by the tabulator (Clear Ballot software) 35

A.5.1 Image grouping 35

A.5.2 Image registration 36

A.5.3 Ballot identification 36

A.5.4 Mark analysis 36

A.5.4.1 Discriminant function 37

A.5.4.2 Noise floor concept 38

A.5.5 Vote target classification 39

A.5.6 Result storage 39

A.5.6.1 Sample ballots 41

A.6 Additional information on ballot mark recognition 43

Appendix B. Registration failure messages 44


1.1 About this document

Chapter 1. Abstract

This section defines the purpose of this document. It contains the followingsections:

l About this document

l Scope of this document

l Intended audience

1.1 About this documentThis document provides information that responds to VVSG 2005, Volume 2,Section 4 (Hardware Testing).

1.2 Scope of this documentThis document provides information about the following Clear Ballot requirements:

l Hardware

l Performance

l Environmental

l Tabulation Processing

l Reporting

l Vote Data Management

l Accuracy

l Design, construction, and maintenance

1.3 Intended audienceThis document is intended for state election officials and their delegated VotingSystems Test Laboratory, as part of the TDP required to certify the ClearVotevoting system for use in their state.


Chapter 2. Hardware requirements

Chapter 2. Hardware requirements

This section contains the requirements for the machines and manufactureddevices that are part of a voting system. It specifies minimum values for certainperformance characteristics; physical characteristics; and design, construction,and maintenance characteristics for the hardware and selected relatedcomponents of all voting systems, such as:

l Ballot printers

l Ballot cards and sheets

l Ballot displays

l Voting devices, including ballot marking devices and direct-recordingelectronic (DRE) recording devices

l Voting booths and enclosures

l Ballot boxes and ballot transfer boxes

l Ballot readers

l Computers used to prepare ballots, program elections, consolidate and reportvotes, and perform other elections management activities

l Electronic ballot recorders

l Electronic precinct vote control units

l Removable electronic data storage media

l Servers

l Printers

This section applies to the combination of software and hardware used toaccomplish specific performance and system control requirements. Standards thatare specific to software alone are provided in ClearVote Software Design andSpecification.

The requirements of this section apply generally to all hardware used in votingsystems, including:

l Hardware provided by the voting system vendor and its suppliers

l Hardware furnished by an external provider (for example, providers ofcommercial off-the-shelf equipment) where the hardware may be used in anyway during voting system operation

l Hardware provided by the voting jurisdiction.

The requirements presented in this section are organized as follows:


l Performance Requirements: These requirements address the combinedoperational capabilities of the voting system hardware and software across abroad range of parameters.

l Physical Requirements: These requirements address the size, weight andtransportability of the voting system.

l Design, Construction, and Maintenance Requirements: Theserequirements address the reliability and durability of materials, productmarking, quality of system workmanship, safety, and other attributes toensure smooth system operation in the voting environment.


Chapter 3. Performance requirements

Chapter 3. Performance requirements

The performance requirements address a broad range of parameters,encompassing:

l Accuracy requirements, where requirements are specified for distinctprocessing functions of paper-based and DRE systems (4.1.1)

l Environmental requirements, where no distinction is made betweenrequirements for paper-based and DRE systems, but requirements for precinctand central count are described (4.1.2)

l Vote data management requirements, where no differentiation is madebetween requirements for paper-based and DRE systems (4.1.8)

l Vote recording requirements, where separate and distinct requirements aredelineated for paper-based and DRE systems (4.1.4)

l Conversion requirements, which apply only to paper-based systems (4.1.5)

l Processing requirements, where separate and distinct requirements aredelineated for paper-based and DRE systems (4.1.6)

Reporting requirements, where no distinction is made between requirements forpaper-based and DRE systems, but where differences between precinct andcentral count systems are readily apparent based on differences of their reporting(4.1.7).

The performance requirements include such attributes as ballot reading andhandling requirements; system accuracy; memory stability; and the ability towithstand specified environmental conditions. These characteristics alsoencompass system-wide requirements for shelter, electrical supply, andcompatibility with data networks.

Performance requirements for voting systems represent the combined operationalcapability of both system hardware and software. Accuracy, as measured by dataerror rate, and operational failure are treated as distinct attributes in performancetesting. All systems shall meet the performance requirements under operatingconditions and after storage under non-operating conditions.

The ClearVote system consists of entirely COTS hardware. The only equipment forwhich specific models from a specific manufacturer is specified is the scanners. Allother equipment need only meet the minimum specifications. For details on theFujitsu scanners used, please see the Fujitsu documentation for these scannerswhich is provided with the TDP. For information on additional productrequirements, see the Approved Parts List for the appropriate Clear Ballot product.


4.1 Physical requirements for work stations

Chapter 4. Hardware

ClearVote software runs on commercial-off-the-shelf (COTS) laptop computers,scanners, and printers, which are subject to rigorous manufacturer testing. An FCCClass B mark and CE Mark is affixed to i each piece of COTS hardware used in aClearVote system.

4.1 Physical requirements for work stationsThe following table provides the physical requirements for components of workstations. Also see the Approved Parts Lists for meeting ClearDesign andClearAccess physical requirements.

Table 4-1. Physical requirements for components of work stations

Component Weight Recommended surfacedimensions

ScanStation A table or other surface must becapable of supporting the weight ofthe computer, scanner, and ballots.The heaviest component is typicallythe scanner:

l Fujitsu fi-6800 – 70.5 lbs.



At least 6 linear feet long and2.5 feet deep

ScanServer Desktop: 30 lbs.Laptop: 7-8 lbs.

Sufficient for a desktop orlarge laptop computer

ElectionAdministrationStation

Desktop: 30 lbs.Laptop: 7-8 lbs.

Sufficient for a desktop orlarge laptop computer

Ballotpreparationand joggingstation

Jogger: 30 lbs. Sufficient facilities for joggingand batch handling; sufficientspace and power for theelection as determined by thejurisdiction

Ballothandlingstation

30 lbs. At least 6 linear feet long and2.5 feet deep


Chapter 5. Physical characteristics

Chapter 5. Physical characteristics

This section covers physical characteristics of all voting systems and componentsthat affect their general utility and suitability for election operations.

5.1 SizeThere is no numerical limitation on the size of any voting equipment, but the sizeof each voting machine should be compatible with its intended use and thelocation at which the equipment is to be used.

5.2 WeightThere is no numerical limitation on the weight of any voting equipment, but theweight of each voting machine should be compatible with its intended use and thelocation at which the equipment is to be used.

5.3 Physical characteristics of the ClearCount systemClearCount provides a distributed, scalable solution that can be tailored to fitjurisdictions of different sizes.

A ClearCount system consists of a server, called the ScanServer, connected viawired Ethernet to some number of scanner/computer pairs called ScanStations.Any system can have between one and 10 ScanStations for each ScanServer.

Figure 5-1. ClearCount hardware block diagram


5.3 Physical characteristics of the ClearCount system

For information on the implementation of ClearDesign and ClearAccess, see theappropriate System Overview.

5.3.1 Physical size and weight of hardware

The size of the hardware used by the ClearCount system varies, depending on themodel of scanner being used. In version 1.0, ClearCount supports the followingthree models of Fujitsu scanner:

Table 5-1. Supported scanner characteristics

Model Weight Dimensions

fi-6800 70.5 lbs. 18.1 in. x 16.9 in. x 12.2 in.

fi-6670 37.5 lbs. 11.8 in. x 25.23 in. x 17 in.

fi-7180 9.26 lb. 11.8 in. x 6.4 in. x 6.2 in.

Each scanner is connected to a laptop computer. Although ClearCount does notmandate a specific make or model of laptop, the typical model weighsapproximately eight pounds.

ClearCount Preparation and Installation Guide advises election officials to makesure the tables they select for scanning are strong enough to hold the equipment.

For physical characteristics of the ClearDesign and ClearAccess systems, see theappropriate Approved Parts List.


Chapter 6. Environmental requirements


Satisfies VVSG 2005, Volume 1, Section 4.1.2.

ClearVote is exempt from environmental testing requirements because it usesonly COTS hardware products.

For information on the Fujitsu scanners used in the ClearVote system, see themodel-specific scanner documentation provided as part of the TDP.

6.1 Electrical power disturbanceSatisfies VVSG 2005, Volume 1, Section 4.1.2.5.

Because ClearCount is a central-count system, it is not required to be able tooperate in the event of total power failure.

If the ScanServer, ScanStation™, and Election Administration Station computersare all laptops (which have an internal battery backup), the ClearCount systemcan handle electrical power disturbances gracefully. Short-term powerinterruptions do not adversely affect the memory of any of these machines. Theinternal batteries enable the system to complete the analysis of already scannedballots and shut down in the event of a longer term power failure.

It is advisable for each desktop computer to have an external powersupply in case an electrical power disturbance occurs.

Because the ClearDesign system is not time-critical during an election, it does notrequire backup power.

See ClearAccess' Approved Parts List for information on the uninterruptable powersupply used to satisfy power disturbance requirements.

6.2 Data network requirementsSatisfies VVSG 2005, Volume 1, Section 4.1.2.15.

For data network information, see the appropriate software design and securityspecifications for ClearCount, ClearDesign, and ClearAccess.

6.3 Election management system (EMS) requirementsSatisfies VVSG 2005, Volume 1, Section 4.1.3.

See ClearDesign's Approved Parts List.


6.4 Vote recording requirements

6.4 Vote recording requirementsSatisfies VVSG 2005, Volume 1, Section 4.1.4.

6.4.1 Common requirements

Satisfies VVSG 2005, Volume 1, Section 4.1.4.1.

See the ClearAccess user documentation for the integration of ClearAccess atpolling sites.

6.4.2 Paper-based recording requirements


The vote recording requirements for an optical scan ClearCount voting systeminvolve scanner settings; the ability to read unique ballot formats; ballot stockand marking devices used by voters to record intent; and scanner hardware andsoftware.

For information on ClearAccess, see ClearAccess System FunctionalityDescription.

Scanner settings—Ensure high-quality digital scans, the following settings areautomatically established when the operator initiates the commandUpdateScannerModel prior to invoking Tabulator as described in ClearCount ElectionPreparation and Installation Guide.

l Resolution: 200 DPI, 8-bit grayscale

l File format: JPG

Paper stock (Volume 1, Section 4.1.4.2.a.iii)—Ensures the accurateinterpretation of voter intent and to ensure the stock conforms to the physicalcharacteristics of the scanners being certified, the following specifications arerequired:

l Weight—57 lb. Vellum to 110 lb. Index stock (this requirement also coversthe requirement for 100% opaque. Paper stock that is too lightweight and notopaque allows light from the opposite side’s scanning camera to bleedthrough, resulting in a darker image.)

l Color—White (guarantees high contrast enabling voter intent to beaccurately assessed).

l Dimensions—4 in. x 12 in. x 0.375 in. (Extenders are Plexiglas strips thatextend the input and output trays.)



Hardware must meet requirements laid out in the Approved Parts List for eachClear Ballot product.

Fujitsu scanners (as defined in the Fujitsu product documentation for each specificscanner, attached with this TDP) are capable of:

l Handling ballots up to 12 in. and as long as 18 in. (22 in. with extenders); and

l Running Fujitsu ScandAll Pro scanning software as defined.

Table 6-1. Supported ballot dimensions

Maximum width of ballotMaximum length of ballot

Without extenders With extenders

12 in. 18 in. 22 in.

8.5 in. 14 in. 22 in.

Marking Devices—In general, marking instruments that produce a high degreeof contrast on a white ballot are preferred. All marks should fully cover the insideof the vote target and be as dark as possible. Marks that are not of sufficientlyhigh contrast or do not completely fill the oval may be classified as an under vote.These marks are sorted near the top of the under vote section of the ovalvisualization report. The following are marking devices that, if properly used tocompletely fill a vote target, correctly classify the voter’s intent as either a vote oran overvote:

l Felt-tip pen

l Ink pen

l No. 2 pencil

6.4.3 DRE system recording requirements


See ClearAccess System Functionality Description.

6.5 Paper-based conversion requirementsSatisfies VVSG 2005, Volume 1, Section 4.1.5.


6.5 Paper-based conversion requirements

6.5.1 Ballot handling


Ballot handling consists of a ballot card’s acceptance, movement through the readstation, and transfer into a collection station or receptacle.

The capacity of modern image scanners to convert the marks on individual ballotsinto signals is critical to voting systems. The method used to classify markscontained in vote targets (such as ovals) into a vote, overvote, under vote or non-vote is defined in Appendkx A, Evaluating marks on paper ballots and ClearCountSoftware Specification, Recording Votes and Counting Ballots.

Error Handling—When ballots are unreadable or when a condition is deleted thatrequires the cards be segregated from normally processed ballots for humanreview, ClearVote performs the following digital operations:

Notification—The ClearCount Dashboard Report provides a real-time link to allunreadable ballots that cannot be fully adjudicated by software. The link isupdated by refreshing the browser window by entering CTRL-R on the keyboard ofthe Administrative Workstation while the Dashboard Report is loaded.

Adjudication—The result of following the link to unreadable ballots depends uponthe role of the user:

A user with modify access can, for each unreadable ballot, digitally vote the ballotso that its results are recorded in the election database. The credentials of theuser are recorded as part of the ballot provenance and stored in the electiondatabase. The Election Log also records the unique ballot ID for all ballots thathave been adjudicated by humans.

All other users can see the ballot image and a report detailing the reason the ballotcould not be automatically adjudicated.

Ballot Examination—The ClearCount election database can be queried accordingto defined criteria; the results are ballot images that satisfy the query.Specifically, the following queries return ballot images for:

l Overvoted contest—Shows the ballot images where the contest wasovervoted.

l Overvotes by choice/candidate—Shows the ballot images for overvotedcontest where a particular choice/candidate participated in the overvote.

l Under voted contest by choice/candidate—Shows the ballot imageswhere the particular choice/candidate was not marked and the number ofmarks for other choices was less than the vote rule.

l Blank voted ballots—Ballots having no votes recorded for any contest.



In each case, users authorized to perform human adjudication can correct theinterpretation of voter intent. The credentials of the user are recorded as part ofthe ballot provenance and stored in the election database. The Election ActivityLog also records the unique ballot ID for all ballots that have been adjudicated byhumans.

Multifeed detection (TDP Volume 1, Section 4.1.5.1.e)—Ultrasonic sensors in theFujitsu scanners supported for ClearVote detect the presence of more than twoballots being pulled through the scanner. When a multifeed is detected, thescanner automatically stops to allow the operator to clear the multifeed and re-insert the unread ballot in the input tray. Very rarely does a multifeed pair ofballots go undetected. When the ultrasonic detectors fail to detected multifeed,the paper feeding mechanism design of the supported scanners has a "brakeroller" whose purpose is to separate the sheets. This results in an image that islonger than expected. ClearVote reports ballots that are more than 0.25 in. longerthan expected as possiblemulti-grabs.

6.5.2 Ballot reading accuracy

Satisfies VVSG 2005, Volume 1, Section 4.1.5.2 a - c.

The paper-based system requirement governs the conversion of the physicalballot into electronic data. Reading accuracy for ballot conversion refers to theability to locate a vote target, discriminate stray marks from voter intent andcorrectly classify voter intent and non-intent, as follows.

Vote target locationRefers to the ability of the system to locate correctly the sensitive areas of theballot image (that is, the vote targets) that are further analyzed. The informationto locate vote targets for all possible selections across all ballot styles is derivedfrom an analysis of the PDF files that are used to print the ballots; the informationis stored in the ballotmap.csv file within the zip file of the Ballot Definition Files(BDFs). Mark recognition begins with ballot registration the details of which aredescribed in ClearCount Software Design and Specification, Programming Design.

Mark discriminationRefers to the system’s ability to classify marks inside of vote targets that do notrepresent the voter’s intent. Examples of such marks include extraneousperforations, smudges, fold marks or hesitation marks where the voter, forexample, drops his or her marking device and makes a mark that is notrepresentative of other marks present on the ballot. ClearCount employs adiscriminate function to separate vote targets into two categories: those wherevoter intent is expressed and those where it is not.


6.5 Paper-based conversion requirements

Mark classificationRefers to the classification of voter intent or non-intent into four categories: votes,overvotes, undervotes and non-votes.

See Appendix A, Evaluating marks on paper ballots for the detailed discussion ofaccuracy considerations.


Chapter 7. Tabulation processing requirements

Chapter 7. Tabulation processing requirements


7.1 Paper-based system processing requirementsSatisfies VVSG 2005, Volume 1, Section 4.1.6.1.

The specification for processing accuracy is given in the Volume 1, Section4.1.6.1.a.i as follows:

Processing accuracy shall be measured by vote selection error rate, the ratio ofuncorrected vote selection errors to the total number of ballot positions that couldbe recorded across all ballots when the system is operated at its nominal or designrate of processing.

Quality of scanned images is provided by ensuring jurisdictions use appropriatemaintenance procedures for scanners, use appropriate settings provided by ClearBallot, and contract with Fujitsu’s network of technical support personnel forpreventative maintenance and support.

To compute the vote selection error rate in ClearCount, the following markingspecifications must be met:

l The PDFs that are used to print the test ballots must be supplied to ClearBallot prior to the test. Clear Ballot supplies the Ballot Definition Files (BDFs)that are provided to the testers for import into ClearCount.

l Test ballots must be printed on white 90 – 110 lb. index stock.

l Ballots must be scanned in accordance with Clear Ballot’s required scannersettings using the profiles provided through the use of the Update processdescribed in ClearCount Election Preparation and Installation Guide.

l For the purpose of this test there must be no marginal marks. Acceptablemarks must be fully filled in with a black marking device.

l The testers must know in advance the maximum number of ballot markingpositions (the denominator) and the expected number of marks classified asvotes, double votes, over votes, under votes and non-votes.

l For ClearCount, the nominal or design rate of processing excludes the speed ofthe transport mechanism and variations due to operator experience.Accordingly, the ballots should be scanned to image files without Tabulatorrunning; once all ballot have been scanned, Tabulator should be invoked andrun to conclusion.


7.2 DRE system processing requirements

l The computation of the vote selection error rate is made by dividing thenumber of correctly classified marks by the total number of marking positionsand subtracting that quotient from 1. Every marking position may be classifiedas filled or not filled:

If the marking position is filled, it can be one of the following:o A vote—Marking position is filled and the number of filled markingpositions in the contest for different candidates is less than or equal to thevote rule.

o An over vote—Marking position is filled and the number of filled markingpositions in the contest for different candidates is greater than the voterule.

o A double vote—Marking position is filled and the contest is not over voted(voter gives two or more votes to the same candidate who has beenendorsed by more than one political party).

If the marking position is not filled, it can be one of the following:o An undervote—Marking position is not filled and the number of marksrecorded for the contest is less than the vote rule.

o A non-vote—Marking position is not filled and the number of marksrecorded for the contest is equal to the vote rule.

To assist in the calculation of the vote selection error rate, ClearCount has a built-in ability to visualize vote targets and their adjudication, which speeds thecalculation of the vote selection error.

7.2 DRE system processing requirementsSatisfies VVSG 2005, Volume 1, Section 4.1.6.2.

The ClearAccess system produces a full-face ballot which is then read by theClearCount system.


Chapter 8. Reporting requirements

Chapter 8. Reporting requirements


8.1 Removable storage mediaSatisfies VVSG 2005, Volume 1, Section 4.1.7.1.

ClearVote uses COTS removable storage media. Laptop and desktop computersare allowed; laptops are easily moved from place to place and support error-freeretention for 22 months, minimum.

8.2 PrintersSatisfies VVSG 2005, Volume 1, Section 4.1.7.2.

The ClearCount system does not require any specific printers. All reports in theClearCount system are available for export to writable media, which can then betransferred to a printer available to the jurisdiction.


9.1 Data file management

Chapter 9. Vote data management requirements


ClearVote provides the capability for reporting by precinct and counter (voter)group. Information on the reports available in the ClearCount system is listed inClearCount Election Administrator’s Guide.

9.1 Data file managementSatisfies VVSG 2005, Volume 1, Section 4.1.8.1.

For a detailed description of the BDF, see ClearCount Software Design andSpecification and ClearCount Election Definition Specification. For procedures tovalidate the BDF, see ClearCount Election Preparation and Installation Guide,About Ballot Definition Files.


Chapter 10. Accuracy requirements

Chapter 10. Accuracy requirements


The ClearCount system successfully meets the requirements for accuracy laid outin the VVSG. The accuracy of the system has been tested in post-election auditsituations in Florida, Colorado, and California. The accuracy of this system wasalso examined by SLI Global Solutions. A copy of the SLI report on the accuracyand sensitivity of the system is available in ClearCount Quality AssuranceProgram. For a description of the algorithm used to ensure accuracy in evaluatingvoting positions, see Appendix A, Evaluating marks on paper ballots.


11.1 Materials, processes, and parts

Chapter 11. Design, construction, and maintenancecharacteristics

Satisfies VVSG 2005, Volume 1, Section 4.3.

Characteristics of concern include:

l Materials, processes, and parts

l Durability

l Reliability

l Maintainability

l No-access ScanServer hardware

l Software whitelist of the ScanStation computer

l ScanStation redundancy

l Licensing

l Software and procedural design concepts

l Backup and restore procedures

l Rapid response support

l Software support

l Product marking

l Safety

11.1 Materials, processes, and partsSatisfies VVSG 2005, Volume 1, Section 4.3.1.

As described below in the Availability section and in the Physical Attributessection, the ClearVote system consists entirely of unmodified COTS hardware. Thesystem was designed to enable jurisdiction to select preferred COTS vendors thatmeet the minimum standards specified in the Approved Parts Lists for theappropriate Clear Ballot product.

Scanners are required to be specific, tested models from the Fujitsu corporation,which provides stability and uniformity to the quality of the ballot imagesproduced.


Chapter 11. Design, construction, and maintenance characteristics

11.2 DurabilitySatisfies VVSG 2005, Volume 1, Section 4.3.2.

For information on the durability of the Fujitsu scanners, see the accompanyingFujitsu documentation for each scanner. Clear Ballot tested the components of thesystem in multi-day scanning operations in multiple states and found that thesystem does not suffer degradation across the evaluation of up to one millionballots, as long as the appropriate maintenance steps, described in ClearVoteSystem Maintenance Manual, are followed. Clear Ballot verifies that, if properlymaintained, the ClearVote system can remain in operation for ten years.

11.3 ReliabilitySatisfies VVSG 2005, Volume 1, Section 4.3.3.

Fujitsu scanners are selected because Fujitsu is the largest supplier of scanners tothe commercial market, providing over 60% of scanners in the U.S.

The ClearVote system can run uninterrupted over several days of operation. (SeeDurability.) Clear Ballot's testing in production environments confirms that MeanTime Between Failures (MTBF) is greater than 163 hours. Should any individualcomponents fail, these devices are easily replaced with backup devices.

11.4 MaintainabilitySatisfies VVSG 2005, Volume 1, Section 4.3.4.

The ClearVote system was designed to provide ease of maintainability for non-technical staff members. The ClearVote System Maintenance Manual providesinstructions for how to maintain the system so that uninterrupted operations canoccur during an election.

11.4.1 Physical attributes


All equipment used in ClearVote – scanners, printers, laptop computers, and arouter – are standard, unmodified commercial off-the-shelf (COTS) components.As such, they adhere to their respective manufacturers' requirements forreliability and maintainability. In addition, each component can be purchased witha service contract directly from a manufacturer or through a variety of resellers.

Each of the components bears labels that allow a service technician to know theserial number and model number.


11.5 Availability

The database used is a COTS software database from Oracle and is not a serviceitem. As new capabilities are introduced and are certified for use in elections, thedatabase is replaced with a new installation disk in accordance with appropriateprocedures.

11.4.2 Additional attributes


Clear Ballot’s specification of the attributes of the equipment takes into accountthe requirements for serviceability and built-in diagnostic capabilities. Forexample, upon boot, laptops routinely perform a series of internal self-tests on theintegrity of RAM and fails to boot if the memory is corrupted. Similarly, the Fujitsuscanners perform a self-test upon power-up to determine the readiness of thescanner to accept documents.

Additionally, the selected scanners all have easy-to-access and serviceconsumables; rollers can be replaced by non-technical staff and lenses can becleaned by an individual who has been trained in the process.

11.5 AvailabilitySatisfies VVSG 2005, Volume 1, Section 4.3.5.

A typical system configuration is provided above in ClearCount hardware blockdiagram in Physical characteristics of the ClearCount system.

Following ClearVote staffing rules and appropriately calculating the requirednumber of ScanStations, helps you achieve the desired level of availability. Thefollowing tables outline the equipment and staffing requirements for ClearCount:



Table 11-1. Equipment (stored at scanning site)

Spare items Number

ScanServer computer 1

4 TB external hard drive 1

ScanStations:

Scanner 1

Laptop (or desktop) computer 1

Locking case 1

Router 1

CAT5 Ethernet cables (one each of20, 6, 3 foot)

3

Table 11-2. Central site support personnel staffing recommendations

Function Staffing

Hardware support andtroubleshooting(assist Fujitsu support)

1

Software support andtroubleshooting(assist Clear Ballot customersupport)

1

11.5.1 No-access ScanServer hardware

ClearCount and ClearDesign follow industry practices for high-availability serverarchitectures. This means that, once installed, election department staff shouldnever log into the ScanServer and therefore configuration settings cannot beaccidentally modified which could introduce instability to the system. Alltransactions are performed between the ScanStation (client) and the ScanServer(server) via HTTP messages over a closed (that is, no Internet access) wired (thatis, no WiFi) local area network.

11.5.2 Software whitelist on the ScanStation computer

The ScanStation achieves high availability by enabling election department staffto restrict the software that can be installed to a small number of pre-specifiedprograms thereby eliminating the possibility of non-certified software to introduceinstability.


11.5 Availability

11.5.3 ScanStation redundancy

ScanStations (scanner, Windows laptop and the scanner manufacturer’s imagecapture software) can be added by connecting ScanStations to the router-closedwired local area network. Instead of having a strictly redundant ScanStation (thatis, one that is not used until a failure occurs) election departments typically treatredundancy as extra capacity. In this way, if a ScanStation failure does occur it issimply removed from the standard configuration; if there is no failure, scanningcompletes sooner.

11.5.4 Licensing

Clear Ballot, to encourage election departments to add extracapacity/redundancy, does not charge license fees for additional capacity.

11.5.5 Software and procedural design concepts

Considerations include:

l Scanning operations

l Continuous availability

11.5.5.1 Scanning operations

Scanning operations are simple enough so they can be performed with temporarystaff. Training time is typically less than 30 minutes, which includes how to handlea misfeed. Exception handling procedures such as Delete Box can only be doneby an administrator having the proper credentials. The operational simplicity ofClearVote ensures high availability by reducing or eliminating downtime due tooperator confusion.

11.5.5.2 Continuous availability

ClearVote is designed for continuous availability. This means that as each ballot isprocessed and the ScanServer is updated, reports showing, for example,unreadable ballots or ballot accounting are available in real time. In addition,personnel can be deployed to digitally duplicate unreadable ballots while thescanning operation is underway. In this way, it is possible to significantly reduce oreven eliminate the unavailability of the results during, say, a post-scanning set ofprocedures as is common with other voting systems.

11.5.6 Backup and restore procedures

Backups of the database and the image files may be taken at the end of each day.



11.5.7 Rapid response support

11.5.7.1 Hardware support

Clear Ballot partners with Fujitsu Corporation of America due to the quality of theirscanners and their nationwide support organization that provides:

l Scheduled on-site maintenance that includes routine cleaning andreplacement of consumables.

l 24 hour phone support.

l Next day hardware swap.

l On-site support within four hours.

Clear Ballot requires that election departments obtain maintenance agreementswith the Fujitsu Corporation’s nationwide network of hardware support personnelfor each of its scanners. For non-scanner COTS hardware, jurisdictional rulesgovern the appropriate number of back-ups to be provided during an election.

11.5.7.2 Software support

Software support, including first level support for Fujitsu’s scanning software, isprovided by Clear Ballot. During an election, Clear Ballot’s team is available 24/7.On-site support is available under separate contract.

11.6 Product markingSatisfies VVSG 2005, Volume 1, Section 4.3.6.

The original manufacturers of the COTS hardware used in the ClearVote systemlabel their equipment in keeping with these requirements.

11.7 WorkmanshipSatisfies VVSG 2005, Volume 1, Section 4.3.7.

The ClearVote system runs on 100% COTS hardware, each component of whichcontains CE, UL, and/or FCC labeling.


11.8 Safety

11.8 SafetySatisfies VVSG 2005, Volume 1, Section 4.3.8.

The ClearVote system runs solely on COTS hardware. Therefore, CE, UL, and/orFCC labeling is affixed to each component. All relevant safety information isprovided with the system and included in this TDP.


Chapter 1. Abstract1.1 About this document1.2 Scope of this document1.3 Intended audience

Chapter 2. Hardware requirementsChapter 3. Performance requirementsChapter 4. Hardware4.1 Physical requirements for work stations

Chapter 5. Physical characteristics5.1 Size5.2 Weight5.3 Physical characteristics of the ClearCount system5.3.1 Physical size and weight of hardware

Chapter 6. Environmental requirements6.1 Electrical power disturbance6.2 Data network requirements6.3 Election management system (EMS) requirements6.4 Vote recording requirements6.4.1 Common requirements6.4.2 Paper-based recording requirements6.4.3 DRE system recording requirements

6.5 Paper-based conversion requirements6.5.1 Ballot handling6.5.2 Ballot reading accuracy

Chapter 7. Tabulation processing requirements7.1 Paper-based system processing requirements7.2 DRE system processing requirements

Chapter 8. Reporting requirements8.1 Removable storage media8.2 Printers

Chapter 9. Vote data management requirements9.1 Data file management

Chapter 10. Accuracy requirementsChapter 11. Design, construction, and maintenance characteristics11.1 Materials, processes, and parts11.2 Durability11.3 Reliability11.4 Maintainability11.4.1 Physical attributes11.4.2 Additional attributes

11.5 Availability11.5.1 No-access ScanServer hardware11.5.2 Software whitelist on the ScanStation computer11.5.3 ScanStation redundancy11.5.4 Licensing11.5.5 Software and procedural design concepts11.5.5.1 Scanning operations11.5.5.2 Continuous availability

11.5.6 Backup and restore procedures11.5.7 Rapid response support11.5.7.1 Hardware support11.5.7.2 Software support

11.6 Product marking11.7 Workmanship11.8 Safety

Appendix A. Evaluating marks on paper ballotsA.1 (6209.3 (c) (1-3) ) relevanceA.2 Vote targetsA.3 Ballot layoutA.4 Ballot processing by the scanner vendor hardware and softwareA.4.1 Scanner vendor hardwareA.4.2 Scanner vendor software

A.5 Ballot processing by the tabulator (Clear Ballot software)A.5.1 Image groupingA.5.2 Image registrationA.5.3 Ballot identificationA.5.4 Mark analysisA.5.4.1 Discriminant functionA.5.4.2 Noise floor concept

A.5.5 Vote target classificationA.5.6 Result storageA.5.6.1 Sample ballots

A.6 Additional information on ballot mark recognition

Appendix B. Registration failure messages

Documents

ClearVote System Hardware Specification...Tableofcontents Chapter1.Abstract 7 1.1Aboutthisdocument 7 1.2Scopeofthisdocument 7 1.3Intendedaudience 7 Chapter2.Hardwarerequirements 8