Form 2022 Voting System Root Cause Analysis

Voting System Anomaly Root Cause Analysis
Template v2.0

Root Cause Analysis for:

EAC Root Cause Analysis

Contents
Introduction .................................................................................................................................. 2
Anomaly Description ..................................................................................................................... 3
Chronology of Events / Timeline ................................................................................................... 4
Investigative Team and Method ................................................................................................... 5
Findings and Root Cause ............................................................................................................... 6
Corrective Action(s) ...................................................................................................................... 7
Solution Management .................................................................................................................. 8

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EAC Root Cause Analysis

Introduction

This section highlights the purpose and importance of the root cause analysis (RCA). The RCA is
applicable when an anomaly is identified that has potential impact on fielded units regardless of
where and when the anomaly was initially identified.
The RCA provides a record of the approach taken to identify and document the root cause of a
particular problem and the follow-up actions necessary to thoroughly address the root cause.
The purpose of an RCA in the EAC testing and certification program is to find effective solutions
to voting system anomalies and to determine what factors need to be corrected to prevent such
problems from reoccurring in the future.
RCAs shall be provided to the EAC for:
• All previously EAC certified systems when an anomaly is identified whether it affects
fielded systems or not.
• Systems under test that have been shown to have a general fault that might affect
fielded systems, and
• State Certified version of systems that may have a common flaw with an EAC version but
is not specifically an EAC certified system.
RCAs shall be provided to the EAC at the earliest opportunity, but no later than five business
days after the analysis is completed and corrected actions and solutions have been
documented. While the RCA is underway, the EAC should be kept informed of progress.
To provide assurance that the goals of the RCA will be met, the voting system RCA should meet
the following criteria:
1. Clearly define the anomaly and its effect on the election jurisdiction(s) and on the voting
system manufacturer.
2. Clearly delineate the known causal relationships that combined to cause the anomaly.
3. Clearly establish causal relationships between the root cause(s) and the defined
anomaly.
4. Clearly present the evidence used to support the existence of identified causes of the
anomaly.
5. Clearly explain how the corrective actions will prevent recurrence of the defined
anomaly.
6. Clearly explain how the solution(s) will be managed in the future.
7. Clearly document the above criteria in this analysis report so election officials and the
voting public can easily follow the logic of the analysis.

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EAC Root Cause Analysis

Anomaly Description
Complete all sections. Descriptions must be as detailed as possible, while being clear and
concise since the anomaly is the source of the entire RCA. This detail should include a complete
list and/or description of the “symptoms” of the anomaly and the conditions present which the
symptoms occurred.
Date of Anomaly:

Time of Anomaly:

Place of Anomaly:

Person identifying Anomaly:

Expected Results of actions leading up to anomaly:

Detailed description of the event / anomaly:

If the anomaly is repeatable, provide step by step instructions to recreate it:

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EAC Root Cause Analysis

Chronology of Events / Timeline
Provide a detailed chronology of the events leading up to, and following, the anomaly. Add
additional events if necessary.
ID
1

Date/Time

Description

Entity
Org/person

2

3

4

5

4

Result / Notes

EAC Root Cause Analysis

Investigative Team and Method
This section shall describe how the investigative team is assembled by the voting system
manufacturer, who it consists of, and how it gathers the data to be used in the analysis. Include
the RCA method employed by the manufacturer in conducting the analysis and why this
method was used. The manufacturer shall also describe how the team investigated for
‘adjacent’ issues in their system.
Names and Positions of members of the investigation team:

Describe the data gathering process:

Describe which methodology(s) is used to conduct the root cause analysis:
These methods include but are not limited to:
• Events and Causal Factors charting
• Fault Tree Analysis
• Rapid Problem Resolution (RPR) Diagnosis
• Ishikawa Diagrams
• Pareto Analysis
• 5 Whys

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EAC Root Cause Analysis

Findings and Root Cause
Describe the findings of the investigation and explain the root cause(s) based on these findings.
If the RCA results in findings that are not directly related to the root cause of the anomaly,
these should also be captured as manufacturer product/process improvement steps in an effort
to improve the voting system.

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EAC Root Cause Analysis

Corrective Action(s)
As the purpose of the RCA is to determine the root cause of a voting system anomaly, the RCA
should result in corrective actions that are taken to ensure the same anomaly does not recur.
Corrective actions can be short-term or long-term. The most preferable corrective actions are
those that eliminate failure root causes through some hardware or software redesign.
Short-term corrective actions may include:
• Procedural mitigations.
• Additional process checkpoints.
Long-term corrective actions may include:
•
•
•
•

Design upgrades to eliminate or mitigate the problem.
Training. In many instances, anomalies can be eliminated by providing training to election
officials, assemblers, or other personnel.
Additional testing or inspection.
Special operational or process actions. The least preferable from a long-term perspective,
is to rely on special operational or process steps (work-around) as a problem solution

Once corrective actions have been identified, evaluated, and selected, the final steps of the
RCA consist of implementing the corrective action and evaluating the effectiveness of the
corrective action.

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EAC Root Cause Analysis

Solution Management
The purpose of this section is to manage the corrective action(s) moving forward. This should
detail all process changes to manage those corrective actions, and steps taken to ensure the
actions eliminate the anomaly over time.

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