Lot 2 BMD Interim Quarterly Maintenance Procedure v7 · 2009. 7. 20. · Maintenance Procedure 40 Steuben Street Albany, NY 12207 February 25, 2009 Version 7.4 . Last Modified: 2/25/2009

Lot 2 BMD Interim Quarterly Maintenance Procedure

40 Steuben Street Albany, NY 12207 February 25, 2009

Version 7.4

Last Modified: 2/25/2009 Page 2 of 28 SBOE Operations Unit

Table of Contents Revision History ......................................................................................................................................... 3 1. Lot 2 BMD Interim Quarterly Maintenance Overview ....................................................................... 4 2. Quarterly Maintenance Supplies ......................................................................................................... 4 3. Quarterly Maintenance Reporting ....................................................................................................... 4

3.1 Maintenance Tab Fields (Sequoia) ............................................................................................... 5 3.2 Maintenance Tab Fields (ES&S) .................................................................................................. 5 3.3 Pre-Election Tab Fields (Sequoia) ............................................................................................... 6 3.4 Pre-Election Tab Fields (ES&S) .................................................................................................. 6

4. Lot 2 BMD Interim Quarterly Maintenance Process Flow ................................................................. 8 5. Lot 2 BMD Interim Quarterly Maintenance Process Description ....................................................... 9 Appendix A - Process #3 Examples: Verify Security Seals ..................................................................... 19 Appendix B - Process #6 Examples: Verify BMD Functionality ............................................................. 25


REVISION HISTORY Date Version Description Author

04/01/2008 v1.0 Draft County Receipt Process NYSTEC/SBOE OPs

04/04/2008 v2.0 Update to draft of County Receipt Process NYSTEC/SBOE OPs





02/05/2009 v7.0 Draft of Lot 2 BMD Interim Quarterly Maintenance Procedure based on County Receipt Process v6.0

NYSTEC/SBOE OPs

02/06/2009 v7.1 Update Lot 2 BMD Interim Quarterly Maintenance Procedure

NYSTEC/SBOE OPs


NYSTEC/SBOE OPs


NYSTEC/SBOE OPs


NYSTEC/SBOE OPs


1. LOT 2 BMD INTERIM QUARTERLY MAINTENANCE OVERVIEW The following procedure outlines the recommended processes that a County Board of Elections (CBOE) should perform during interim quarterly maintenance. The State Board of Elections (SBOE) requires quarterly maintenance to be performed during the following timeframes:

1. January 15 – April 15 2. April 16 – July 15 3. July 16 – September 15 (Pre-Qualification) 4. September 16 – November 15 (Pre-Qualification)

Note: During a quarter when an election is held, the pre-qualification test (a.k.a. pre-election test) will meet the criteria for the quarterly maintenance.

By performing quarterly maintenance, the CBOE can verify that the system is properly functioning and that chain of custody has been maintained. Section 4 explains recommended minimal maintenance items to perform. You are free to add additional maintenance steps that you may want for your purposes. The recommended steps detailed in this document should be considered a bare minimum to make sure the machine is in working condition and secure. Maintenance logs must be made available for review by SBOE.

2. QUARTERLY MAINTENANCE SUPPLIES The following supplies are recommended for use when performing quarterly maintenance:

• Interim Asset Management Spreadsheet

• Compact Flash (CF) Cards with ballot definition loaded

• Security Seals (if applicable)

• BMD Interim Quarterly Maintenance Log (one for each BMD)

3. QUARTERLY MAINTENANCE REPORTING The SBOE requires that each CBOE maintain quarterly maintenance logs to be made available to the Election Operations Unit upon request. The CBOE will use the Interim Asset Management Spreadsheet to track and report the results of the quarterly maintenance. Depending if your county has entered data in the first instance of the Maintenance Tab, the CBOE may need to create a new Maintenance Tab by following the instructions in the Interim Asset Management Procedure located on the SBOE FTP website. For example, if the CBOE has not entered any data on the Initial Maintenance Tab provided, the Initial Maintenance Tab will be used for your first maintenance quarter (January 15 – April 15). If the CBOE has entered data on the Initial Maintenance Tab provided, then the CBOE will create a new maintenance tab with the date of the first day of quarterly maintenance. This tab will be used to capture all of the data even if the maintenance processes are spread over multiple days. The Maintenance Tab has a field that captures the actual date when the maintenance was performed that allows for this scenario. Once all quarterly maintenance has been performed the CBOE must email the Interim Asset Management Spreadsheet to SBOE Election Operations Unit for verification.

During a quarter when an election is held, the pre-qualification test (a.k.a. pre-election test) will meet the criteria for the quarterly maintenance. The CBOE will use the Interim Asset Management Spreadsheet to


track and report the results of the pre-qualification test by recording the results in the pre-election tab. Depending if your county has entered data in the first instance of the Pre-Election Tab, the CBOE may need to create a new Pre-Election Tab by following the instructions in the Interim Asset Management Procedure located on the SBOE FTP website.

3.1 Maintenance Tab Fields (Sequoia) The following fields are contained within the Maintenance tab. The CBOE will enter data based on the results of their maintenance findings. If a field is not used the CBOE will enter NA.

• BMD Serial #: Field used to record the master serial number

• County Serial #: Field used to record the county specific serial number

• Maintenance Date: Field used to record the date when maintenance was performed on the BMD

• Maintenance Description: Field used to describe the maintenance performed on the BMD (if no issues are found during quarterly maintenance enter “quarterly maintenance” in the field. If issues are discovered during the quarterly maintenance then describe the issue encountered)

• Maintenance By: Field used to record the person who performed the maintenance on the BMD (this field can except multiple names i.e. Scott Jansen / Marry Smith)

• Out of Service Date: Field used to record the date when the BMD was taken out of service

• Out of Service reason: Field used to describe the reason why the BMD was taken out of service

• CF Door SSSN: Field used to record the Compact Flash (CF) Security Seal Serial Number

• Printer SSSN: Field used to record the Printer Security Seal Serial Number

• ATI SSSN: Field used to record the Audio Tactile Interface (ATI) Security Seal Serial Number

• Ballot Box SSSN: Field used to record the Ballot Box Security Seal Serial Number

• Printer CF Card SSSN: Field used to record the Printer CF Card Security Seal Serial Number

3.2 Maintenance Tab Fields (ES&S) The following fields are contained within the Maintenance tab. The CBOE will enter data based on the results of their maintenance findings. If a field is not used the CBOE will enter NA.



• Maintenance Date: Field used to record the date when maintenance was performed on the BMD

• Maintenance Description: Field used to describe the maintenance performed on the BMD (if no issues are found during quarterly maintenance enter “quarterly maintenance” in the field. If issues are discovered during the quarterly maintenance then describe the issue encountered)

• Maintenance By: Field used to record the person who performed the maintenance on the BMD (this field can except multiple names i.e. Scott Jansen / Marry Smith)

• Out of Service Date: Field used to record the date when the BMD was taken out of service

• Out of Service reason: Field used to describe the reason why the BMD was taken out of service

• Flash Door SSSN: Field used to record the Compact Flash (CF) Security Seal Serial Number


• Top Cover SSSN: Field used to record the Top Cover Security Seal Serial Number

• Ink Cartridge SSSN: Field used to record the Ink Cartridge Security Seal Serial Number

• Hash Port SSSN: Field used to record the Hash Port (USB Port) Security Seal Serial Number

3.3 Pre-Election Tab Fields (Sequoia) The following fields are contained within the Pre-Election tab. The CBOE will enter data based on the results of their Pre-Qualification (a.k.a. Pre-Election test) findings. If a field is not used the CBOE will enter ‘NA’.



• Configured Date: Field used to record the date when the BMD was setup for Pre-Qualification Testing (a.k.a. Pre-Election test)

• Configured By: Field used to record the person who setup the BMD for Pre-Qualification Testing (a.k.a. Pre-Election test)

• Pre-Election Test Date: Field used to record the date when the Pre-Qualification Test (a.k.a. Pre-Election test) was conducted

• Pre-Election Tested By: Field used to record the person who conducted the Pre-Qualification Test (a.k.a. Pre-Election test)

• Result: Field used to record the result of the Pre-Qualification Test (a.k.a. Pre-Election test) - 'PASS' or 'FAIL'

• CF Door SSSN: Field used to record the Compact Flash (CF) Security Seal Serial Number

• Printer SSSN: Field used to record the Printer Security Seal Serial Number

• ATI SSSN: Field used to record the Audio Tactile Interface (ATI) Security Seal Serial Number

• Ballot Box SSSN: Field used to record the Ballot Box Security Seal Serial Number

• Printer CF Card SSSN: Field used to record the Printer CF Card Security Seal Serial Number

3.4 Pre-Election Tab Fields (ES&S) The following fields are contained within the Pre-Election tab. The CBOE will enter data based on the results of their Pre-Qualification (a.k.a. Pre-Election test) findings. If a field is not used the CBOE will enter ‘NA’.



• Configured Date: Field used to record the date when the BMD was setup for Pre-Qualification Testing (a.k.a. Pre-Election test)

• Configured By: Field used to record the person who setup the BMD for Pre-Qualification Testing (a.k.a. Pre-Election test)

• Pre-Election Test Date: Field used to record the date when the Pre-Qualification Test (a.k.a. Pre-Election test) was conducted


• Pre-Election Tested By: Field used to record the person who conducted the Pre-Qualification Test (a.k.a. Pre-Election test)

• Result: Field used to record the result of the Pre-Qualification Testing (a.k.a. Pre-Election test) - 'PASS' or 'FAIL'

• Flash Door SSSN: Field used to record the Compact Flash (CF) Security Seal Serial Number

• Top Cover SSSN: Field used to record the Top Cover Security Seal Serial Number

• Ink Cartridge SSSN: Field used to record the Ink Cartridge Security Seal Serial Number

• Hash Port SSSN: Field used to record the Hash Port (USB Port) Security Seal Serial Number


4. LOT 2 BMD INTERIM QUARTERLY MAINTENANCE PROCESS FLOW


5. LOT 2 BMD INTERIM QUARTERLY MAINTENANCE PROCESS DESCRIPTION Process # Description Related Forms

1. Print the Most Recent Maintenance and Post-Election Spreadsheets CBOE shall print the most recent Maintenance and Post-Election (if applicable) Tab from their Interim Asset Management Spreadsheet. The printouts will be used by the bipartisan team(s) conducting the quarterly maintenance for verifying serial numbers and security seals of the BMDs. Note:

1.) Post-Election Tab shall be printed when quarterly maintenance follows an election.

2.) CBOE shall verify that they have sufficient quantity of Security Seals to conduct Quarterly Maintenance / Pre-Qualification test

Interim Asset Management Spreadsheet • Maintenance Tab Printout • Post-Election Tab Printout

2. Verify Master and County Serial Numbers CBOE shall verify the Master and County Serial numbers located on the Ballot Marking Devices (BMDs) by cross-referencing the Interim Asset Management Spreadsheet printout created in process step #1. If the serial numbers do not match update the current quarterly spreadsheet with the correct serial number combination. CBOE shall record the Master and County Serial numbers along with the following information when conducting a maintenance test or pre-qualification test:

Interim Asset Management Spreadsheet • Maintenance Tab Printout • Post-Election Tab Printout

Forms to be filled out by CBOE

• Sequoia BMD Interim Quarterly Maintenance Log

• ES&S BMD Interim Quarterly Maintenance Log


Process # Description Related Forms #1: County: Record County Name #2: Master Serial #: Used to record Master Serial Number Associated with BMD #3: County Serial #: Used to record County Serial Number Associated with BMD #4: Maintenance Test Date: Used only to record the date of the quarterly maintenance test. If the test performed is a pre-qualification test record NA in this field. #5: Pre-Qualification Test Date: Used only to record the date of the pre- qualification test. If the test performed is a quarterly maintenance test record NA in this field. #6: Ballot Style(s): Used to record the ballot style(s) (ED1, ED2, etc…) associated with the BMD during a pre-qualification test. If the test performed is a quarterly maintenance test record NA in this field. #7: Poll Site Location: Used to record the poll site associated with the BMD during a pre-qualification test. If the test performed is a quarterly maintenance test record NA in this field. Note: Use the printout based on the following criteria

• Maintenance Tab Printout – to be used when quarterly maintenance follows a previous maintenance quarter

• Post-Election Tab Printout – to be used when quarterly maintenance follows an election

3. Verify Security Seals Each CBOE shall verify that all security seals are intact and correspond to the correct printout (i.e. maintenance or post-election). If any security seals show evidence of tampering or serial numbers are not correct or the CBOE has lost chain of custody of the BMD, the CBOE must perform the Ballot Marking Device Hash Check Procedure. CBOE shall check “YES” if the security seal numbers match the appropriate printout and check “NO” if the security seal numbers do not match the appropriate printout in the Pre-Setup Security Seal Verification section located on the Interim Quarterly

Interim Asset Management Spreadsheet • Maintenance Tab • Post-Election Tab

Forms to be filled out by CBOE

• Sequoia BMD Interim Quarterly Maintenance Log

• ES&S BMD Interim Quarterly Maintenance Log


Process # Description Related Forms Maintenance Log. If a hash check must be performed, follow the steps located in the appropriate ballot marking device hash check procedure and record the result in the Firmware / Hash Check Verification Section located on the Interim Quarterly Maintenance Log otherwise leave blank. See examples below. ES&S:

Sequoia:

See Section 6 for security seal placement. Note: Use the printout based on the following criteria

• Maintenance Tab Printout – to be used when quarterly maintenance follows a previous maintenance quarter

• Post-Election Tab Printout – to be used when quarterly maintenance follows an

Documentation • Sequoia Ballot Marking Device

Hash Check Procedure • ES&S Ballot Marking Device Hash

Check Procedure


Process # Description Related Forms election

4. Verify Inventory CBOE shall verify the inventory for each BMD against the BMD Interim Quarterly Maintenance Log. CBOE will confirm that all components and accessories are accounted for by checking “YES” if each item is present and by checking “NO” if the item is not present. If an item is not present the CBOE must take the appropriate actions to make the BMD a complete system. ES&S:

Sequoia:

Note: If security seals must be removed during this step, the bipartisan team must reseal the BMD and record the security seal information on the Interim Quarterly Maintenance Log once all maintenance is completed.

Forms to be filled out by CBOE • Sequoia BMD Interim Quarterly

Maintenance Log • ES&S BMD Interim Quarterly

Maintenance Log


Process # Description Related Forms 5. Inspect BMD for Damage

CBOE will inspect each BMD for any signs of physical damage. CBOE will record the appropriate response for each step in the BMD Interim Quarterly Maintenance Log. If damaged item is covered under warranty contact vendor for repair. ES&S:



Maintenance Log


Process # Description Related Forms Sequoia:

Note: If security seals must be removed during this step, the bipartisan team must reseal the BMD and record the security seal information on the Interim Quarterly Maintenance Log once all maintenance is completed.

6. Verify BMD Functionality Important Note: CF Cards or USB sticks with a ballot definition must be inserted into the BMD before this step can be performed. CBOE will confirm that the BMD executes basic functions during quarterly maintenance and pre-qualification. These basic functions include:

• Powering on unit • Confirming that the ballot definition loads (to extent BMD allows) • Verifying all displays • Verify trickle charge

See Section 7 for examples.



Maintenance Log


Process # Description Related Forms CBOE will confirm the BMD executes the following additional functions when conducting a Pre-Qualification Test.

• Touch Screen Calibration • Date and Time Setting • Ballot Marking (Test Deck)

See the BMD Interim Quarterly Maintenance Log for required steps. CBOE will record the appropriate response for each step. If a step is not required record ‘NA’ in the appropriate field. ES&S:


Process # Description Related Forms Sequoia:

Note: If security seals must be removed during this step, the bipartisan team must reseal the BMD and record the security seal information on the Interim Quarterly Maintenance Log once all maintenance is completed. ES&S


Process # Description Related Forms 7. Ready BMD For Storage / Shipment

CBOE ready the BMD for storage / shipment ensuring that all components have been accounted for. ES&S:

Sequoia:



Maintenance Log

8. Record Security Seal Serial Numbers CBOE shall record the security seal numbers in the Record Security Seal section located on the Interim Quarterly Maintenance Log.



Maintenance Log


Process # Description Related Forms ES&S:

Sequoia:

9. Update Interim Asset Management Spreadsheet CBOE will update the Interim Asset Management Spreadsheet by filling in the appropriate fields on the corresponding Maintenance Tab. ES&S:

Sequoia:

Interim Asset Management Spreadsheet • Maintenance Tab • Pre-Election Tab

Documentation

• Interim Asset Management Procedure v1.2 Sequoia

• Interim asset Management Procedure v1.1 ES&S

10. Notify SBOE of Maintenance Test Results CBOE will notify SBOE when the Quarterly Maintenance Test is complete by emailing the Interim Asset Management Spreadsheet with the results of the test. Email Address: [email protected]

Interim Asset Management Spreadsheet


APPENDIX A - PROCESS #3 EXAMPLES: VERIFY SECURITY SEALS The following screenshots illustrate the placement of security seals that will be used in Process #3. AutoMARK – ES&S

3 External Security Seals


Flash Door Top Cover

Ink Cartridge


Sequoia

Ballot Box


CF Card Door

ATI Port


Printer Printer CF Card


Ballot Box Shield Gap A & B


APPENDIX B - PROCESS #6 EXAMPLES: VERIFY BMD FUNCTIONALITY The following screenshots illustrate the proper display(s) that will be used for Process #6. AutoMARK – ES&S

Touch Screen Monitor


Sequoia

19” LCD Display Screen Operator Screen on ImageCast


The following screenshots illustrate the proper display(s) that will be used for Process #6. AutoMARK – ES&S (Trickle Charge – Battery)


Sequoia (Trickle Charge – Battery)

Documents

Lot 2 BMD Interim Quarterly Maintenance Procedure v7 · 2009. 7. 20. · Maintenance Procedure 40 Steuben Street Albany, NY 12207 February 25, 2009 Version 7.4 . Last Modified: 2/25/2009