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Effective Use of Computing Technology in Vote-Tallying

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Effective Use of Computing Technology in Vote-Tallying I NATL INST OF STANDARDS & TECH R.I.C. IMCE & TECHNOLOGY: A1 11 03089697 G/Effectlve use of computin «alfman Rov NBS-PUB QC100 U57 NO.500-, 30, 1978 C.2 National Bureau of Standards library, E-Ol Admin. BIdg. OCT 1 1981 1S105G EFFECTIVE USE OF COMPUTING TECHNOLOGY IN VOTE-TALLYING NBS Special Publication 500-30 U.S. DEPARTMENT OF COMMERCE National Bureau of Standards 00-30 ii^ eurjea:ii Hit mtntm "computer science & TECHNOLOGY: . Effective Use of Computing Technology in Vote-Tallying % Roy G. Saltman Information Technology Division Institute for Computer Sciences and Technology National Bureau of Standards Washington, D.C. 20234 Prepared for Clearinghouse on Election Administration i] Office of Federal Elections General Accounting Office I I Washington, D.C. 20548 U.S. DEPARTMENT OF COMMERCE, Juanita M. Kreps, Secretary Dr. Sidney Harman, Under Secretary Jordan J. Baruch, Assistant Secretary for Science and Technology |_,NATIONAL BUREAU OF STANDARDS, Ernest Ambler, Director Issued April 1978 Reports on Computer Science and Technology The National Bureau of Standards has a special responsibility within the Federal Government for computer science and technology activities. The programs of the NBS Institute for Computer Sciences and Technology are designed to provide ADP standards, guidelines, and technical advisory services to improve the effectiveness of computer utilization in the Federal sector, and to perform appropriate research and development efforts as foundation for such activities and programs. This publication series will report these NBS efforts to the Federal computer community as well as to interested specialists in the academic and private sectors. Those wishing to receive notices of publications in this series should complete and return the form at the end of this publication. National Bureau of Standards Special Publication 500-30 Nat. Bur. Stand. (U.S.) Spec. Publ. 500-30 142 pages (Apr. 1978) CODEN: XNBSAV Also issued as NBSIR 75-687, March 1975 Library of Congress Cataloging in Publication Data Saltman, Roy G. Effective use of computing technology in vote-tallying. (Computer science & technology) (NBS special publication 500-30) ; Bibliography: p. 1. Ballot-Data processing. 2. Voting—Data processing. I. United States. Clearinghouse on Election Administration. II. Title. III. Series. IV. Series: United States. National Bureau of Standards. Special publication ; 500-30. QC10O.U57 no. 500-30 [JFH61] 602M5 [324'.2423'02854] 78-5524 U.S. GOVERNMENT PRINTING OFFICE WASHINGTON: 1978 For sale by the Superintendent of Documents, U.S. Government Printing Office, Washington, B.C. 20434 Stock No. 003-003-01915-1 Price $3 (Add 25 percent additional for other than U.S. mailing). , ABSTRACT The results of a systems analysis and evaluation conducted on the role of automatic digital processing in vote-tallying are presented. Included in the report are descriptions of hardware, software, and administrative problems encountered in fourteen elections in which electronic computing technology was utilized. Methods of assuring more confidence in the accuracy and security of the vote-tallying process are presented and described. These methods include aids to audits of calculations, physical controls over ballots and computer records, and guidelines for the use of computer programs, computer facilities, and teleprocessing. Methods of improving the election preparation process also are presented and described. These involve the development and implementation of design specifications and acceptance tests for computer programs, election equipment and supplies, and guidelines for pre-election checkout of vote-tallying systems and for assurance of management control Institutional factors are discussed which should be considered if improved accuracy and security controls and more effective election preparations are to be implemented. Recommendations for additional research and other activities including a possible Federal role are provided. Key words: Computer security; computing technology; election administration; public administration; state and local government; systems analysis; technology utilization; vote-tallying. iii ACKNOWLEDGEMENTS The author acknowledges the contributions to this report by members of the professional staff of the Institute for Computer Sciences and Technology (ICST) of the National Bureau of Standards (NBS). These include Dr. Dennis Branstad, Mrs. Frances Holberton, Mr. John Little, Dr. Brian Lucas, Mr. William O'Toole, Dr. Selden Stewart, Dr. Rona Stillman, and Mr. William Truitt. In addition, helpful suggestions and reviews were provided by Mr. Edwin J. Istvan, Associate Director, and Michael Keplinger, Esq. of ICST, Dr. Patrick Eagan, Public Administration Fellow at ICST, and by Dr. Joan Rosenblatt and Dr. James Lechner of the Applied Mathematics Division of NBS. The author expresses his appreciation to Dr. Ruth Davis, Director of ICST, whose support enabled this project to be given the fullest possible attention. Several State and local government elections and data processing officials gave of their time to personally meet with NBS representatives in connection with this project. These include Mr. Bernard Apol , Director of Elections and Mr. George Herstek, Jr. of the State of Michigan; Mr. Richard Banton, Assistant Secretary of State and Mr. Larry Bevens, Elections Coordinator of the State of Oregon; Mr. Norval Perkins, Executive Secretary to the Board of Elections and Ethics of the District of Columbia, and members of his staff; Mrs. Marie Garber, Elections Administrator, and Mr. Al Gruber of Montgomery County, Maryland; Mr. Leonard Panish, Registrar- Recorder, Mr. W. T. Kidwell, Chief, Data Processing, and members of their staffs of Los Angeles County, California; Mr. Robert Hamm, County Clerk, Mr. Kenneth Webb, Supervisor of Elections, Mr. Bob Nichols, Director of Data Processing, and members of their staffs of Ventura County, California; Mr. Jim Mayer, Acting Registrar of Voters, and members of his staff of Orange County, California; Mr. Herb Sammis, Registrar of Voters, Mr. Eldon Jones, Elections Supervisor, and members of the staff of Riverside County, California; Col. David Nicol , Director of Elections of Maricopa County, Arizona; Mr. John Weldon, Director of Elections of Multnomah County, Oregon; Mr. J. W. Stephens, Director of Data Processing of Fulton County, Georgia; and Mr. George Edwards of the City of Detroit, Michigan. Additional information was supplied by the Office of the Secretary of State, State of Washington; the California Commission on Voting Machines and Vote-Tallying Devices; the Offices of the County Clerks of Harris and Travis Counties, Texas, and Genesee County, Michigan; and the Office of the Elections Administrator, Fulton County, Georgia. Useful discussions were held with several computer professionals who had been concerned with election problems while serving with chapters of the Association for Computing Machinery. These included Ms. Mary Ann Chapman of Austin, Texas, Mr, Dahl A. Gerberick of Long Beach, California, and Dr. George Dodd of Detroit, Michigan. Representatives of suppliers of election hardware, software, and services also gave of their time to meet with NBS personnel in connection V with this project. These include Mr. Herbert H. Isaacs of Arthur Young and Co., Los Angeles, California; Mr. David Dunbar, President, and members of his staff of Computer Election Systems, Berkeley, California; Mr. Don McClure, Manager of Administrative and Property Systems of Computer Sciences Corporation Orange County Center, Santa Ana, California; Mr. Henry Forrest, Senior Vice-President, and members of his staff of Control Data Corporation, Rockville, Md.; Mr. Harry Wilcock, Marketing Representative for Cubic Corporation Votronics Vote Counter, San Diego, California; Mr. David Fry, General Manager, and members of his staff of Diamond International Corporation Election Services Department, Los Angeles, California, Mr. Richard McKay, President, and Dr. A. E. Smedley, Vice-President of Frank Thornbur Co., Chicago; Mr. William Underwood, Jr., President, Mr. James Theodore, Sales Manager, Election Systems, and members of the staff of Gyrex Corporation, Santa Barbara, California; Mr. Saul Schach, President, Mr. N. P. Abramowitz, Vice-President, and members of the staff of InfoComp Corp., Moorestown, New Jersey; Mr. William Hunter, Manager of Local Government Market Development for Sperry Univac, Washington, D.C.; and Dr. James Farmer of Systems Research, Inc., Los Angeles, California. Acknowledgement of the assistance which representatives of State and local government, the Association for Computing Machinery, and private industry provided should not be construed as necessarily implying their concurrence in the findings, conclusions or recommendations of this report. vi 05 TABLE OF COMTEfjTS Page Abstract iii Acknowledgements v List of Figures and Tables x I . Background 1 1 1 . Su mmary Findings and Conclusions 3 A. Analysis of Difficulties Experienced in Vote-Tallying 3 B. Improving the Accuracy and Security of the Vote-Tallying Process 3 C. Improving the Management of the Election Preparation Process 5 D. Institutional Factors Affecting Accuracy and Security 7 E. Additional Activities to Assure the Effective Use of Computing Technology 8 III . Current Use of Electronic, Programmable Vote-Tallying Devices 1 A. Computer-Tallying of Punch-Card Ballots 10 B. Mark-Sense Ballot Systems 12 C. Electronic Vote Summarizers 13 IV. Examples of Reported Difficulties Experienced in Vote-Tallying
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