Chapter 03. State Board Certification — Preliminary Submissions
Regulation .01 Prerequisites to Application.LinkCopy Citation
The State Board's evaluation and certification procedures are limited to voting systems:
A.
That are beyond the prototype stage and available for installation and use within the time frame specified by the State Board; and
B.
For which the qualification testing, as required by Election Law Article, §9-102(d)(2), Annotated Code of Maryland:
(1)
Has been successfully completed; or
(2)
Has not been completed, but the voting system vendor has provided:
(a)
Documentation from the U.S. Election Assistance Commission that the voting system has been submitted for qualification testing; and
(b)
A schedule that indicates completion within the time frame specified by the State Board.
Regulation .02 Applications.LinkCopy Citation
A.
In General. The vendor of a voting system may apply to the State Board for evaluation and certification of the system for use in the State.
B.
Identification of System, etc.
(1)
The application shall specify clearly the specific equipment, hardware, firmware, and software for which certification is sought.
(2)
Each model or version of a voting system requires a separate application.
C.
Overview of System. The application shall provide a brief overview description of the voting system. Marketing brochures may be used for this purpose.
D.
Use in Other Jurisdictions. The application shall include a list of all jurisdictions where:
(1)
The exact system for which certification is being sought or a model or version of the system is in use, together with:
(a)
The price that was charged to the jurisdiction for the system, and
(b)
A breakdown of the per unit price and the price of any components;
(2)
The exact system for which certification is being sought or a model or version of the system has been but is no longer in use; and
(3)
A request has been made for approval of the exact system for which certification is being sought or a model or version of the system, together with a statement of whether the request was granted, was denied, was withdrawn, or is pending.
E.
Qualification Certificate. If an independent testing laboratory has completed qualification testing on the voting system, the application shall be accompanied by a:
(1)
Copy of the qualification certificate issued for the voting system; and
(2)
Signed authorization directing the independent testing laboratory that performed the qualification testing to:
(a)
Submit the results of its testing directly to the evaluation agent; and
(b)
Allow the evaluation agent or his or her designee full access to all test records and data.
F.
Certification Testing Transfer. If the voting system has successfully completed certification testing by or for another state, the application shall be accompanied by a:
(1)
Copy of the certification issued for the voting system; and
(2)
Signed authorization directing the agency that performed the certification testing to:
(a)
Submit the results of its testing directly to the evaluation agent, and
(b)
Allow the evaluation agent or his or her designee full access to all test records and data.
G.
Application Fee. The application shall be accompanied by a nonrefundable application fee of $5,000.
Regulation .03 Acknowledgment; Scheduling Start.LinkCopy Citation
On receipt of an application for certification, the State Administrator shall promptly:
A.
Acknowledge the application; and
B.
Notify the applicant and local boards of when the evaluation will begin.
Regulation .04 Notice and Package Submissions.LinkCopy Citation
A.
Notice of Evaluation Agent. When the evaluation is ready to begin, the State Administrator shall notify the applicant of the name, address, and telephone number of the evaluation agent assigned to the application.
B.
Submissions to Agent. The applicant shall submit to the evaluation agent the:
(1)
Technical data package required by Regulation .05 of this chapter;
(2)
Business information package required by Regulation .06 of this chapter; and
(3)
Voting system equipment required by Regulation .08 of this chapter.
C.
Notice of Deficiency.
(1)
The evaluation agent shall review the submissions and notify the applicant of any deficiency.
(2)
The applicant shall correct all deficiencies before the certification process may proceed.
D.
Disposition of Submissions.
(1)
If the application is denied or withdrawn or the system is not selected for use as the Statewide voting system, the technical data, business information packages, and voting system equipment submitted under this chapter shall be returned to the applicant.
(2)
If the application is approved and the voting system certified and selected for use as the Statewide voting system, the technical data, business information packages, and voting system equipment shall be retained by the State Board for as long as the voting system is used in this State.
Regulation .05 Technical Data Package.LinkCopy Citation
A.
Required Information — In General. The technical data package shall contain all documentation previously submitted for the qualification testing of the system, including each of the following:
(1)
Hardware schematic diagrams;
(2)
Hardware theory of operation;
(3)
Customer maintenance documentation;
(4)
Operations manual;
(5)
Software source code (both in the form of a listing and in a machine-readable form on media acceptable to the evaluation agent);
(6)
Software system design;
(7)
Customer documentation;
(8)
Any known and unresolved system problems;
(9)
When available, the report and test results of the independent testing laboratory; and
(10)
Any capability for the system to conduct a risk limiting audit of its tabulated results.
B.
Required Information — License and Warranty. The package also shall include:
(1)
A list of all third-party software required to install or operate the system; and
(2)
The terms of the license agreements for all software identified under §B(1) of this regulation.
C.
Identification of Submissions. Each item in the package shall be clearly identified.
Regulation .06 Business Information Package.LinkCopy Citation
A.
Scope. The information required by this regulation shall be provided separately for:
(1)
The applicant's business; and
(2)
If the applicant is not the manufacturer of the voting system, the manufacturer's business.
B.
Required Information. The business information package shall include:
(1)
History and description of the business, including:
(a)
Year established;
(b)
Products and services offered;
(c)
Areas served;
(d)
Branch offices;
(e)
Subsidiaries;
(f)
Parent companies; and
(g)
Subsidiaries of parent companies;
(2)
Management and staff organization, including:
(a)
Number of full-time employees by category; and
(b)
Number of part-time employees by category;
(3)
The name and address of each:
(a)
Officer of the business;
(b)
Person who is known to have a beneficial interest (as defined in State Finance and Procurement Article, §13-221, Annotated Code of Maryland) in the business or any parent company;
(4)
Financial history of business, including:
(a)
A financial statement for each of the past 3 fiscal years;
(b)
Gross sales in voting products and voting services for the past 3 fiscal years; and
(c)
The percentage those sales represent of all sales of the business and its subsidiaries;
(5)
Location and manufacturing capability of each facility that is or will be used to fabricate and assemble all or any part of the voting system for which certification is being sought;
(6)
Location and servicing capability, including any service limitations, of each facility that is or will be used to serve the voting system for which certification is being sought; and
(7)
The legal and financial relationship among all vendors and manufacturers of the voting system and its various components.
C.
Required Affidavit. The package also shall include the affidavits required by Regulation .07 of this chapter.
D.
Identification of Submissions. Each item in the package shall be clearly identified.
Regulation .07 Anti-Bribery and Anti-Debarment Affidavits.LinkCopy Citation
A.
Definitions.
(1)
In this regulation, the following terms have the meanings indicated.
(2)
Terms Defined.
(a)
“Controlling stockholder” means a stockholder who:
(i)
Owns more than 25 percent of the voting stock of a corporation; or
(ii)
Notwithstanding the number of shares that the stockholder owns, has the power to direct or control the direction of the management or policies of a corporation.
(b)
“Convicted” includes an accepted plea of nolo contendere.
(c)
“Principal” means:
(i)
A sole proprietor;
(ii)
A partner, officer, director, or controlling stockholder; or
(iii)
An employee directly involved in the process of obtaining contracts with public bodies.
(d)
“Public body” means:
(i)
The United States;
(ii)
Any state, territory, or possession of the United States; or
(iii)
Any political subdivision of a state, territory, or possession of the United States.
B.
Scope. An affidavit shall be submitted under this regulation separately for:
(1)
The applicant; and
(2)
If the applicant is not the manufacturer of the voting system, the manufacturer.
C.
Contents. The affidavit shall state whether, to the best of the vendor's/manufacturer's knowledge, the vendor/manufacturer or any principal in the vendor's/manufacturer's business:
(1)
Has been convicted under the laws of any public body of bribery, attempted bribery, or conspiracy to bribe;
(2)
Has been convicted under the laws of any public body of:
(a)
A criminal offense incident to obtaining, attempting to obtain, or performing a public or private contract, or
(b)
Fraud, embezzlement, theft, forgery, falsification or destruction of records, or receiving stolen property;
(3)
Has been convicted under the laws of any public body of a criminal violation of an antitrust statute;
(4)
Has been convicted of a violation of the Racketeer Influenced and Corrupt Organization Act or of the Mail Fraud Act for acts in connection with the submission of bids or proposals for a public or private contract;
(5)
Has been convicted of conspiracy to commit any act or omission that would constitute grounds for conviction under any of the laws or statutes described in §C(1)—(4) of this regulation;
(6)
During the course of an official investigation or other proceeding, has admitted, in writing or under oath, an act or omission that would constitute bribery, attempted bribery, or conspiracy to bribe under the laws of any public body;
(7)
Has been found civilly liable under an antitrust statute of any public body for acts or omissions in connection with the submission of bids or proposals for a public or private contract;
(8)
Has ever been debarred or suspended from doing business with any public body or any agency, instrumentality, or unit of a public body; or
(9)
Is a principal, successor, assignee, subsidiary, or affiliate of any other person who has:
(a)
Been convicted under any of the laws or statutes described in §C(1)—(5) of this regulation,
(b)
Made an admission described in §C(6) of this regulation,
(c)
Been found civilly liable for an act or omission described in §C(7) of this regulation, or
(d)
Been debarred or suspended as described in §C(8) of this regulation.
Regulation .08 Voting System Equipment.LinkCopy Citation
The voting system vendor shall provide all equipment that was submitted for qualification testing and is necessary for the evaluation agent to fully test all system functions. Equipment shall include:
A.
Optical scanners for precinct voting and central count optical scanners for absentee and provisional voting;
B.
Any voting equipment and assistive devices for use by voters with disabilities;
C.
Optical scan ballots for testing under COMAR 33.09.04.01C;
D.
Election management server software;
E.
All third-party software required to operate the system; and
F.
All necessary ancillary equipment.
Chapter annotations
Authority: Election Law Article, §§2-102(b)(4), 2-202(b), 9-102(b), and 11-309, Annotated Code of Maryland
History: Effective date:
History: Regulations .01—.07 adopted as an emergency provision effective February 1, 2000 (27:6 Md. R. 636); adopted permanently effective April 17, 2000 (27:7 Md. R. 708)
History: Regulation .01 amended effective August 19, 2013 (40:16 Md. R. 1346)
History: Regulation .02E amended effective August 19, 2013 (40:16 Md. R. 1346)
History: Regulation .04B, D amended effective August 19, 2013 (40:16 Md. R. 1346)
History: Regulation .05 amended effective August 19, 2013 (40:16 Md. R. 1346)
History: Regulation .05A amended effective December 23, 2013 (40:25 Md. R. 2073); April 27, 2026 (53:8 Md. R. 356)
History: Regulation .06B amended effective August 19, 2013 (40:16 Md. R. 1346)
History: Regulation .08 adopted effective August 19, 2013 (40:16 Md. R. 1346)