Supporting Statement A.VSTL Accreditation Program Manual

SUPPORTING STATEMENT A
U.S. Election Assistance Commission
Voting System Test Laboratory Program
ICR Title: EAC Voting System Test Laboratory Program Manual

A.

JUSTIFICATION

1. Explain the circumstances that make the collection of information necessary.
The Help America Vote Act (HAVA) of 2002 (42 U.S.C. §15371) requires that the U.S. Election
Assistance Commission (EAC) certify and decertify voting systems. Section 231(a)(1) of
HAVA specifically requires the EAC to “… provide for the certification, de-certification and recertification of voting system hardware and software by accredited laboratories.” Furthermore,
HAVA Section 231(b) requires the EAC to provide for the accreditation and revocation of
accreditation of independent, non-federal laboratories qualified to test voting systems to Federal
standards. Generally, the EAC considers for accreditation those laboratories evaluated and
recommend by the National Institute of Standards and Technology (NIST) pursuant to HAVA
Section 231(b)(1). However, consistent with HAVA Section 231(b)(2)(B), the Commission may
also vote to accredit laboratories outside of those recommended by NIST upon publication of an
explanation of the reason for any such accreditation.
In order to perform these mandated functions, the EAC has established 1) Voting System Testing
and Certification Program (“Certification Program”) 1 and 2) Voting System Test Laboratory
Program (“Laboratory Program”). The Laboratory Program’s information collection activities
are being presented in this ICR for approval under the requirements of the Paperwork Reduction
Act (PRA). Approval of this collection is essential in order for the EAC to comply with its
HAVA requirements. This program requires the collection and retention of information by
voting system test laboratories.

2. Explain how, by whom, how frequently, and for what purpose the information will be
used. If the information collected will be disseminated to the public or used to support
information that will be disseminated to the public, then explain how the collection
complies with all applicable Information Quality Guidelines.
The information collected under the EAC’s Laboratory Program will be used solely by EAC
personnel to determine whether a test laboratory meets the EAC requirements for accreditation
as an EAC voting system test laboratory (VSTL). Ultimately, EAC determination regarding
whether a test laboratory is accredited as a VSTL will be published. However, the information
provided to the EAC to support a grant or maintenance of accreditation will be made public
subject to the requirements of the Freedom of Information Act and the Trade Secrets Act.
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The Certification Program’s information collection activities are part of a currently approved information
collection, OMB No 3265-0004, exp. 6/30/2010.

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Chapter 7 of the EAC’s Voting System Test Laboratory Program Manual (attached) discusses
the general policy on the release of information under this program, and provides VSTL’s with
standards, procedures, and requirements for identifying documents as trade secrets or
confidential commercial information.
3. Describe whether, and to what extent, the collection of information involves the use of
automated, electronic, mechanical, or other technological techniques or other forms of
information technology.
The EAC will collect information from identified parties mainly via e-mail and Compact Discs
(CDs).

4. Describe efforts to identify duplication.
The information sought in the Laboratory Program is not collected by other Federal agencies.
Generally, the EAC considers for accreditation those laboratories evaluated and recommend by
the National Institute of Standards and Technology (NIST) pursuant to HAVA Section
231(b)(1). While NIST’s recommendation serves as a reliable indication of technical
competency, the EAC takes additional steps to ensure that laboratory policies are in place
regarding issues like conflict of interest, record maintenance, and financial stability. It also
ensures that the candidate laboratory is willing and capable to work with EAC in its Certification
Program.

5. If the collection of information involves small businesses or other small entities, describe
the methods used to minimize burden.
This information collection does not have a significant impact on small businesses or other small
entities. The reporting, recordkeeping, or disclosure activities needed to comply are, generally,
usual and customary in the laboratories’ voting system testing business. The information sought
in the Laboratory Program is limited to that which will assist the EAC in assessing whether a test
laboratory meets and complies with the requirements for accreditation as a VSTL and
participation in the Certification Program.

6. Describe the consequences to the Federal program or policy activities if the collection is
not conducted or is conducted less frequently.
This collection of information is necessary to comply with the Federal mandates under the Help
America Vote Act (HAVA) of 2002 (42 U.S.C. §15371) to accredit test laboratories for the
testing of voting system hardware and software. If the EAC does not collect this information, it
will be unable to provide for the certification and decertification of voting system hardware and
software in accordance with HAVA. Furthermore, if the collection is not conducted or is
conducted less frequently, the EAC’s role as the sole accreditation body and the robustness of its
program would be jeopardized.

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7. Explain any special circumstances that require the collection to be conducted in a
manner inconsistent with OMB guidelines.
(a) Requiring respondents to report information to the agency more often than quarterly.
Not applicable in this collection.
(b) Requiring respondents to prepare a written response to a collection of information in
fewer than 30 days after receipt of it.
Not applicable in this collection
(c) Requiring respondents to submit more than an original and two copies of any
document.
Not applicable in this collection.
(d) Requiring respondents to retain records, other than health, medical, government
contract, grant-in-aid, or tax records, for more than 3 years.
Not applicable in this collection.
(e) In connection with a statistical survey, that is not designed to produce valid and
reliable results that can be generalized to the universe of study.
Not applicable in this collection.
(f) Requiring the use of statistical data classification that has been reviewed and approved
by OMB.
Not applicable in this collection.
(g) That includes a pledge of confidentiality that is not supported by authority established
in statute or regulation, that is not supported by disclosure and data security policies
that are consistent with the pledge, or which unnecessarily impedes sharing of data
with other agencies for compatible confidential use.
This collection does not include a pledge of confidentiality not supported by statute or
regulation.
(h) requiring respondents to submit proprietary trade secrets or other confidential
information unless the agency can demonstrate that it has instituted procedures to
protect the information’s confidentiality to the extent permitted by law.
This collection does require the collection of proprietary or trade secret information
protected by agency procedures. Proprietary trade secrets or other confidential
information may be necessary to make a determination on accreditation. The EAC has
set procedures and policy for the identification and protection of this information
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consistent with the requirements of the Freedom of Information Act and the Trade
Secrets Act. These policies are laid out in Chapter 7 of the EAC Voting System Test
Laboratory Program Manual. A copy of this manual has been provided.

8. Describe the efforts to consult with persons outside the agency to obtain their views on
the availability of data, frequency of collection, the clarity of instructions and
recordkeeping, disclosure, or reporting format (if any), and on the data elements to be
recorded, disclosed, or reported.
The EAC met several times with representatives from the testing laboratories impacted by this
information collection to discuss the burdens imposed by this collection and methods for
improving it. In addition, the EAC made revisions to the collection based on comments received
during a public comment period. A copy of the Federal Register notices, a summary of the
comments received, and an explanation of the revisions made have been submitted with this ICR.

9. Explain any decisions to provide payments or gifts to respondents, other than
remuneration of contractors or grantees.
N/A

10. Describe any assurance of confidentiality provided to respondents and the basis for
assurance in statute, regulation, or agency policy.
No assurance of confidentiality has been provided to respondents. Information provided will be
made public consistent with the requirements of the Freedom of Information Act and the Trade
Secrets Act.

11. Provide additional justification for any questions of a sensitive nature, such as sexual
behavior and attitudes, religious beliefs, and other matters that are commonly considered
private.
N/A

12. Provide an estimate in hours of the burden of the collection of information.
The estimated hours of burden for the collection of information:
a. Number of respondents = 8
b. Number of responses per each respondent = 1
c. Total annual responses = 8
d. Hours per response = 322 hours

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i. Reviewing instructions: 60 hours
ii. Developing, acquiring, installing, and utilizing technology & systems for
information collection: 36 hours
iii. Developing, acquiring, installing, and utilizing technology & systems for
processing and maintaining information: 28 hours
iv. Developing, acquiring, installing, and utilizing technology & systems for
disclosing and providing information: 9 hours
v. Adjusting to comply with any previously applicable requirements: 64
hours
vi. Training personnel to respond to a collection of information: 41 hours
vii. Searching data sources: 40 hours
viii. Completing and reviewing the collection of information: 32 hours
ix. Transmitting or otherwise disclosing the information: 12 hours
e. Total annual reporting burden = 2,576 hours (# of respondents x frequency of
response x hours of response)
i. Estimated annual cost burden (per respondent) = $62,090
ii. Estimated total annual cost burden (# of respondents x annual cost burden
per respondent) = $496,720

13. Provide an estimate of the total annual cost burden to the respondents or recordkeepers resulting from the collection (excluding the value of the burden hours in #12
above).
The EAC has identified no “non-hour” cost burdens for this collection of information that are not
part of the effected industry’s customary and usual business practices.

14. Provide estimates of annualized cost to the Federal government.
The estimated annual cost to the Federal Government is $125,000.

15. Explain the reasons for any program changes or adjustments reported in Items 13 or
14 of the OMB 83-I.
N/A. This is a new information collection program.

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16. For collections whose results will be published, outline the plans for tabulation and
publication.
Information collected will be made public consistent with the requirements of the Freedom of
Information Act and the Trade Secrets Act. Beyond the requirements of FOIA, the EAC intends
to affirmatively publish program documents (or portions of documents) it believes will be of
interest to the public. The policies and procedures for publishing this information are laid out in
Chapter 7 of the EAC Voting System Test Laboratory Program Manual (attached).

17. If seeking approval to not display the expiration date for OMB approval of the
information collection, explain the reasons why display would be inappropriate.
N/A

18. Explain each exception to the certification statement identified in Item 19 of the
OMB 83-I.
To the extent that the topics apply to this collection of information, we are not making any
exceptions to the “Certification for Paperwork Reduction Act Submissions.”

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