IEEE P-1622 Voting Systems Electronic Data Interchange

1. IEEE P-1622Voting SystemsElectronic Data Interchange February 8–9, 2011 Meeting at the US Election Assistance Commission Arthur M. Keller, Ph.D., P-1622 Chair

2. Welcome • Call the meeting to order. • Appoint a secretary. • Thanks for participating in an issue of national import. • Thanks to James Long of EAC for hosting this meeting. • Thanks for John Wack of NIST for helping to organize this meeting. IEEE P-1622 WG Meeting

3. Welcome • Belinda Collins, Director of NIST Technology Services. IEEE P-1622 WG Meeting

4. Welcome • James Long, U.S. Election Assistance Commission. Our host. IEEE P-1622 WG Meeting

5. IEEE Matters • Attendance. In person attendees, make sure you sign the attendance list each time. • Remote attendees, we will take attendance periodically. You need to attend at least half of the meeting in order to count as attending the meeting. IEEE P-1622 WG Meeting

6. IEEE Patent Policy Instructions The IEEE-SA strongly recommends that at each WG meeting the chair or a designee: • Show slides #1 through #4 of this presentation • Advise the WG attendees that: • The IEEE’s patent policy is consistent with the ANSI patent policy and is described in Clause 6 of the IEEE-SA Standards Board Bylaws; • Early identification of patent claims which may be essential for the use of standards under development is strongly encouraged; • There may be Essential Patent Claims of which the IEEE is not aware. Additionally, neither the IEEE, the WG, nor the WG chair can ensure the accuracy or completeness of any assurance or whether any such assurance is, in fact, of a Patent Claim that is essential for the use of the standard under development. • Instruct the WG Secretary to record in the minutes of the relevant WG meeting: • That the foregoing information was provided and that slides 1 through 4 (and this slide 0, if applicable) were shown; • That the chair or designee provided an opportunity for participants to identify patent claim(s)/patent application claim(s) and/or the holder of patent claim(s)/patent application claim(s) of which the participant is personally aware and that may be essential for the use of that standard • Any responses that were given, specifically the patent claim(s)/patent application claim(s) and/or the holder of the patent claim(s)/patent application claim(s) that were identified (if any) and by whom. • The WG Chair shall ensure that a request is made to any identified holders of potential essential patent claim(s) to complete and submit a Letter of Assurance. • It is recommended that the WG chair review the guidance in IEEE-SA Standards Board Operations Manual 6.3.5 and in FAQs 12 and 12a on inclusion of potential Essential Patent Claims by incorporation or by reference. IEEE P-1622 WG Meeting

7. Participants, Patents, and Duty to Inform All participants in this meeting have certain obligations under the IEEE-SA Patent Policy. Participants: • “Shall inform the IEEE (or cause the IEEE to be informed)” of the identity of each “holder of any potential Essential Patent Claims of which they are personally aware” if the claims are owned or controlled by the participant or the entity the participant is from, employed by, or otherwise represents • “Personal awareness” means that the participant “is personally aware that the holder may have a potential Essential Patent Claim,” even if the participant is not personally aware of the specific patents orpatent claims • “Should inform the IEEE (or cause the IEEE to be informed)” of the identity of “any other holders of such potential Essential Patent Claims” (that is, third parties that are not affiliated with the participant, with the participant’s employer, or with anyone else that the participant is from or otherwise represents) • The above does not apply if the patentclaim is already the subject of an Accepted Letter of Assurance that applies to the proposed standard(s) under consideration by this group Quoted text excerpted from IEEE-SA Standards Board Bylaws subclause 6.2 • Early identification of holders of potential Essential Patent Claims is strongly encouraged • No duty to perform a patent search IEEE P-1622 WG Meeting Slide #1

8. Patent Related Links All participants should be familiar with their obligations under the IEEE-SA Policies & Procedures for standards development. Patent Policy is stated in these sources: IEEE-SA Standards Boards Bylaws http://standards.ieee.org/develop/policies/bylaws/sect6-7.html#6 IEEE-SA Standards Board Operations Manual http://standards.ieee.org/develop/policies/opman/sect6.html#6.3 Material about the patent policy is available at http://standards.ieee.org/about/sasb/patcom/materials.html If you have questions, contact the IEEE-SA Standards Board Patent Committee Administrator at patcom@ieee.org or visit http://standards.ieee.org/about/sasb/patcom/index.html This slide set is available at https://development.standards.ieee.org/myproject/Public/mytools/mob/slideset.ppt IEEE P-1622 WG Meeting Slide #2

9. Call for Potentially Essential Patents • If anyone in this meeting is personally aware of the holder of any patent claims that are potentially essential to implementation of the proposed standard(s) under consideration by this group and that are not already the subject of an Accepted Letter of Assurance (LOA): • Either speak up now or • Provide the chair of this group with the identity of the holder(s) of any and all such claims as soon as possible or • Cause an LOA to be submitted IEEE P-1622 WG Meeting Slide #3

10. Other Guidelines for IEEE WG Meetings • All IEEE-SA standards meetings shall be conducted in compliance with all applicable laws, including antitrust and competition laws. • Don’t discuss the interpretation, validity, or essentiality of patents/patent claims. • Don’t discuss specific license rates, terms, or conditions. • Relative costs, including licensing costs of essential patent claims, of different technical approaches may be discussed in standards development meetings. • Technical considerations remain primary focus • Don’t discuss or engage in the fixing of product prices, allocation of customers, or division of sales markets. • Don’t discuss the status or substance of ongoing or threatened litigation. • Don’t be silent if inappropriate topics are discussed … do formally object. --------------------------------------------------------------- See IEEE-SA Standards Board Operations Manual, clause 5.3.10 and “Promoting Competition and Innovation: What You Need to Know about the IEEE Standards Association's Antitrust and Competition Policy” for more details. IEEE P-1622 WG Meeting Slide #4

11. Overview of the IEEE-SA Process Malia Zaman Program Manager Voting Systems Electronic Data Interchange Committee P1622 Working Group Meetings Feb 8-9, 2011

12. A New Beginning for P1622 • P1622 is important work. • We welcome the involvement of all stakeholders. • IEEE is proud to be associated with this effort. • Developing a standard to support voting systems in the U.S. is critical. • Together, IEEE, NIST, and other stakeholders must see the standard through to completion.

13. In this Presentation we will cover: • Overview of the IEEE-SA Process • Project Approval Process • Development of Draft Standard • Sponsor Balloting Process • myBallot/myProject Access/Membership Services • Standards Board Approval Process • Resources

14. IEEE—A Global Organization IEEE is a non-profit organization for scientific and educational advancement IEEE is made up of international technical professionals living around the world who are fostering technological innovation and excellence for the benefit of humanity

15. IEEE Standards Association • Oversees development of standards within IEEE • Global Membership • Over 7 000 individual members • Over 127 corporate members • Approximately 20 000 participants • Broad Standards Portfolio • Approximately 1 000 active standards • Approximately 400 standards in development • Governed by volunteers • An independent organization • Participants come together to develop standards with many constituents

16. IEEE-SA Governance Structure Board of Governors (BOG) Legal & fiduciary, strategy, policy, finance, Bus Dev, International, Appeals, Awards ISTO Standards Board (SASB) Standards Process SCC Oversight Corporate Advisory Group (CAG) Corporate Program Strategy Sponsor Sponsors Societies (Computer Society), Committee (EASC), Standards Coordinating Committees (SCC’s) ,CAG, etc. Standards Working Groups/ Projects

17. IEEE Standards Development Five principles guide standards development Ensuring integrity and wide acceptance for IEEE standards IEEE standards reflect the standardization principles as stated by the WTO

18. Societies and Technical Sponsor Committees • IEEE Aerospace and Electronic Systems • Society (AES) • IEEE-SA Board of Governors (BOG) • IEEE Broadcast Technology Society (BTS) • IEEE Computer Society (C) • C/SAB Standards Activities Board • P1622 Voting SystemsElectronic Data InterchangeWorking Group • IEEE Consumer Electronics Society (CES) • IEEE Communications Society (COM) • IEEE Electromagnetic Compatibility • Society (EMC) • IEEE Industry Applications Society (IAS) • IEEE Microwave Theory and Techniques • Society (MTT) • IEEE Nuclear and Plasma Sciences • Society • IEEE Nanotechnology Council (NTC) • IEEE Power & Energy Society (PE) • IEEE Power Electronics Society (PEL) • IEEE Robotics and Automation Society (RAS) • IEEE Reliability Society (RS) • IEEE-SASB Coordinating Committees (SASB) • IEEE Vehicular Technology • Society (VT)

19. IEEE Sponsors –Role of the Sponsor • Organization within IEEE that assumes responsibility for a particular standards idea • Takes responsibility for the technical content of the document and provides oversight • Responsible for determining the scope and nature of the technical content • Not a financial sponsorship • IEEE already has a large number of Sponsors • There are the various societies within the IEEE • Within those societies, there are often many committees that are active in standards development

20. IEEE Standards Development: Process Flow Idea! Maximum of 4 years Project Approval Process Develop Draft Standard IEEE-SA Standards Board Approval Process Sponsor Ballot Publish Standard

21. IEEE Standards Development: Project Authorization Idea! Maximum of 4 years Project Approval Process IEEE-SA Standards Board Approval Process Develop Draft Standard Sponsor Ballot Publish Standard • A potential working group or study group gathers to work on the Project Authorization Request (PAR), up to six months before a PAR needs to be submitted. • With the support of the sponsor, submit a PAR to IEEE-SA Standards Board (SASB) for an approval to start the project. • PAR is reviewed by New Standards Committee (NesCom) and based on its recommendation, IEEE-SA Standards Board (SASB) approves/disapproves the project

22. IEEE Standards Development: Draft Development Idea! Maximum of 4 years Develop Draft Standard Project Approval Process IEEE-SA Standards Board Approval Process Sponsor Ballot Publish Standard • Working group (WG) is created/maintained under policies and procedures (P&P) of the sponsoring committee • WG officers are designated to start the development of the standard • Write the draft of the standard • Submit finalized draft for Mandatory Editorial Coordination (MEC) to ensure conformance with IEEE requirements.

23. IEEE Standards Development: Sponsor Balloting Idea! Maximum of 4 years Sponsor Ballot Project Approval Process IEEE-SA Standards Board Approval Process Develop Draft Standard Publish Standard • A ballot group is formed using an electronic balloting system called myProject/myBallot™ . • Composition of that balloting group cannot change when the ballot is initiated. • A sponsor ballot is initiated with the draft, to be reviewed, commented, and voted by the ballot group. • Needs 75% return response rate from the ballot group, and needs 75% affirmative(approved) votes • WG reviews all the approved and disapproved votes with comments submitted by the ballot group. • Make a reasonable attempt to resolve all negative votes • Add or revise materials as suggested • Submit responses to the comments • Recirculate the revised draft standard and comments out to the ballot group .

24. Creating a Web Account and MyBallot/myProject Access/Membership Services • Accessing the myProject system requires an IEEE Web Account: https://webapps1.ieee.org/WebAccount/Registration • MyBallot /MyProject Link: https://development.standards.ieee.org/my-site/home Membership Services: http://standards.ieee.org/membership/index.html

25. IEEE Standards Development: Approval Process to Publication Idea! Maximum of 4 years IEEE-SA Standards Board Approval Process Project Approval Process Develop Draft Standard Sponsor Ballot Publish Standard • Submit the final draft standard to Standard Review Committee (RevCom). • RevCom reviews the submitted documents and materials, and makes a recommendation to IEEE-SA Standards Board for an approval of the draft standard. • IEEE-SA Standards Board reviews the recommendation and approve the draft standard. • Publish Standard • Complimentary copies sent to the WG.

26. Resource Links Additional Information: http://standards.ieee.org/develop/index.html

27. Comments/Questions:

28. For more information… Contact: Malia Zaman Program ManagerTechnical Program DevelopmentPhone: +1 732 562 3838 Email: m.zaman@ieee.org

29. IEEE • Sue Vogel, Director of Technical Committee Programs, IEEE Standards Association. IEEE P-1622 WG Meeting

30. Review Agenda Today • Ratify goals for the meeting. • Common data format (CDF) and discussion of requirements. • Discussion of use case strategy. • CDF requirements from an election analysis perspective. • Presentation on OASIS EML. Wednesday • Election system manufacturer presentations. • Agreement on issues. • Schedule next meeting. • Adjourn. IEEE P-1622 WG Meeting

31. Goals for the Meeting • Endorse and build upon the use case strategy for developing a CDF. • Decide which existing data format to utilize as the basis for CDF development. • Determine scope of a CDF for standardization. • Agree on timeline, next steps, and schedule next meeting. IEEE P-1622 WG Meeting

32. P-1622 WG Status and Overview • WG created a draft in 2007 that never proceeded to ballot. • SCC 38 voted to reconstitute P-1622 for review of draft and revision or redraft as necessary. • P-1622 has a new PAR (Project Activity Request). • P-1622 also wrote a new P&P document. • At this meeting tomorrow, we will decide how to proceed with standard drafting process. IEEE P-1622 WG Meeting

33. 15 minute break • Resume at 10:30am. IEEE P-1622 WG Meeting

34. CDF Overview and Requirements • Introduction to a CDF – John Wack, NIST. • EAC CDF requirements – James Long, EAC. • TGDC perspective on CDF standard timeline – Patrick McDaniel, IEEE Rep to the TGDC (Technical Guidelines Development Committee). IEEE P-1622 WG Meeting

35. Use Case Strategy • Use cases drive requirements. • Requirements drive data formats. IEEE P-1622 WG Meeting

36. UOCAVA Use Case • Joel Rothschild, FVAP. • John Wack, NIST. IEEE P-1622 WG Meeting

37. Post-election Tabulation AuditingUse Case • Neal McBurnett. IEEE P-1622 WG Meeting

38. Other Use Cases • Blank ballot export. • Remote ballot printing. (new) • Import of remotely printed ballots for canvass. • Automated testing of voting systems. • Interoperability of voting systems components and devices. • Other suggestions? IEEE P-1622 WG Meeting

39. Blank Ballot Export • Important for UOCAVA. • Data mapping address and jurisdiction to ballot style. • Descriptions of ballot measures, contests and candidates. • Information on presentation and layout. IEEE P-1622 WG Meeting

40. Remote Ballot Printing • Print ballot with voter’s selections or print blank ballot where voter hand-marks selections. • Ballot in local jurisdiction format or in FWAB format. • Issue: Local or statewide contests. • Also print Voter’s Declaration/Affirmation. • Follow FWAB instructions (even if not using FWAB). IEEE P-1622 WG Meeting

41. Import Remotely Printed Ballotsfor Canvass • Also an interoperability issue. • Useful for UOCAVA. • Relates to above use case. IEEE P-1622 WG Meeting

42. Automated Testing of Voting Systems • Black-box testing vs. code review. • Standard test cases and files vs. randomly generated test cases and files. • Test cases and files that “cover” the space of alternatives. • Interaction of test cases and code path analysis. • Generating test decks for Logic and Accuracy Testing. • Beyond “black box testing.” Why not have testing using constraints and specifications and based on knowledge of source code paths and boundary conditions? IEEE P-1622 WG Meeting

43. Interoperability of Voting Systems Components and Devices • Equivalence of the output of a re-export with the previously imported file. • Retention of data provenance information, important for auditing. • Supporting ancillary systems and services (e.g., third-party blank ballot printing, auditing) • Consider an “Interop” for Voting Systems. IEEE P-1622 WG Meeting

44. Use Case Discussion • Other proposed use cases? • Priority for use case development. • Volunteers? IEEE P-1622 WG Meeting

45. Lunch (on your own) • Return at 1:15pm. IEEE P-1622 WG Meeting

46. Use Case Discussion (cont’d) • Other proposed use cases? • Priority for use case development. • Volunteers? IEEE P-1622 WG Meeting

47. CDF Requirements:an Election Analysis Perspective • Kim Brace, President, Election Data Services. IEEE P-1622 WG Meeting

48. Presentations on OASIS EML • Technical overview – David Webber, OASIS EML. IEEE P-1622 WG Meeting

49. 15 minute break • Resume at 3:30pm. IEEE P-1622 WG Meeting

50. Presentations on OASIS EML (cont’d) • Initial technical analysisof EML suitability for UOCAVA use case – Carmelo Montanez-Rivera, NIST. IEEE P-1622 WG Meeting