May 10, 2010 National and Local Elections

AUTOMATION SCENARIO

STATISTICS• Estimated 47,000,000 registered voters

• 44,009,069 registered voters - as of April 20, 2009 ERB Hearing• 58,327 registration records cancelled by reason of death• 1,246,272 registration records deactivated

• Last ERB Hearing on November 16, 2009• 80 Provinces • 1,631 cities and municipalities• 320,415 Established Precincts (estimate)• 80,136 Clustered Precincts (estimate)• 37,884 Polling Centers (estimate)• 82,200 PCOS Machines• 80,136 PCOS Machines for distribution to clustered precincts

STATE POLICY• ENSURE FREE, ORDERLY, HONEST, PEACEFUL, CREDIBLE AND

INFORMED ELECTIONS, PLEBISCITES, REFERENDA, RECALL AND OTHER SIMILAR ELECTORAL EXERCISES

– BY IMPROVING ON THE ELECTION PROCESS AND ADOPTING SYSTEMS, WHICH SHALL INVOLVE THE USE OF AN AUTOMATED ELECTION SYSTEM THAT WILL ENSURE THE SECRECY AND SANCTITY OF THE BALLOT AND ALL ELECTION, CONSOLIDATION AND TRANSMISSION DOCUMENTS IN ORDER THAT THE PROCESS SHALL BE TRANSPARENT AND CREDIBLE AND THAT THE RESULTS SHALL BE FAST, ACCURATE AND REFLECTIVE OF THE GENUINE WILL OF THE PEOPLE

COMELEC MANDATE

• TO PRESCRIBE THE ADOPTION AND USE OF THE MOST SUITABLE TECHNOLOGY OF DEMONSTRATED CAPABILITY TAKING INTO ACCOUNT THE SITUATION PREVAILING IN THE AREA AND THE FUNDS AVAILABLE FOR THE PURPOSE.

ASSISTING BODIES

• COMELEC ADVISORY COUNCIL (CAC)

• TECHNICAL EVALUATION COMMITTEE (TEC)

• STEERING COMMITTEE (STC)

• PROJECT MANAGEMENT OFFICE (PMO)

FUNCTIONS OF THE CAC• RECOMMEND THE MOST APPROPRIATE, SECURE

APPLICABLE AND COST EFFECTIVE TECHNOLOGY TO BE APPLIED IN THE AES, IN WHOLE OR IN PART, AT THAT SPECIFIC POINT IN TIME;

• PARTICIPATE AS NON VOTING MEMBERS OF THE BIDS AND AWARDS COMMITTEE IN THE CONDUCT OF THE BIDDING PROCESS FOR THE AES;

• PARTICIPATE AS NON VOTING MEMBERS OF THE STEERING COMMITTEE TASKED WITH THE IMPLEMENTATION OF THE AES;

FUNCTIONS OF THE CAC

• ADVISE AND ASSIST IN THE REVIEW OF THE SYSTEMS PLANNING, INCEPTION, DEVELOPMENT, TESTING, OPERATIONALIZATION AND EVALUATION STAGES;

• ADVISE AND/OR ASSIST IN THE IDENTIFICATION, ASSESSMENT AND RESOLUTIONS OF SYSTEMS PROBLEMS OR INADEQUACIES AS MAY SURFACE OR RESURFACE IN THE COURSE OF THE BIDDING, ACQUISITION, TESTING, OPERATIONALIZATION, RE-USE, STORAGE, DISPOSITION OF THE AES EQUIPMENT AND/OR RESOURCES AS THE CASE MAY BE;

• ADVISE AND/OR ASSIST IN THE RISK MANAGEMENT OF THE AES ESPECIALLY WHEN A CONTINGENY OR DISASTER SITUATION ARISES;

• PREPARE AND SUBMIT REPORT EVALUATING THE USE OF THE AES.

FUNCTIONS OF THE TEC

CERTIFY, THROUGH AN ESTABLISHED

INTERNATIONAL CERTIFICATION ENTITY, CATEGORICALLY STATING THAT THE AES,

INCLUDING ITS HARDWARE AND SOFTWARE COMPONENTS, IS OPERATING PROPERLY,

SECURELY, AND ACCURATELY

BASIS FOR CERTIFICATION BY TEC• THE SUCCESSFUL CONDUCT OF A FIELD TESTING

PROCESS FOLLOWED BY A MOCK ELECTION EVENT IN ONE OR MORE CITIES/MUNICIPALITES;

• THE SUCCESSFUL COMPLETION OF AUDIT ON ACCURACY, FUNCTIONALITY AND SECURITY CONTROLS OF THE AES SOFTWARE;

• THE SUCCESSFUL COMPLETION OF A SOURCE CODE REVIEW;

BASIS FOR CERTIFICATION BY TEC• A CERTIFICATION THAT THE SOURCE CODE REVIEW IS KEPT

IN ESCROW WITH THE BANGKO SENTRAL NG PILIPINAS;

• A CERTIFICATION THAT THE SOURCE CODE REVIEWED IS ONE AND THE SAME AS THAT USED BY THE EQUIPMENT; AND

• THE DEVELOPMENT, PROVISIONING AND OPERATIONALIZATION OF A CONTINUING PLAN TO COVER RISKS TO THE AES AT ALL POINTS IN THE PROCESS SUCH THAT A FAILURE OF ELECTIONS, WHETHER AT VOTING, COUNTING, OR CONSOLIDATION MAY BE AVOIDED.

FUNCTION OF THE STC

Responsible for the successful implementation of the AES.

Concept of Execution

Board of Election Inspectors

• One (1) BEI for every clustered precinct• Three regular members

– Chairman– Delivers ballot to voter

– Poll Clerk– Third Member

• Support Staff– Depends on number of precincts clustered– To assist Poll Clerk and Third Member in managing

– List of Voters with Voting Records – Book of Voters

Board of Election InspectorsNo. of Precincts

ClusteredNo. of Support

StaffTotal no. of personnel

(BEI + Support Staff)0 none 32 none 33 1 44 2 55 3 6

Official Ballots

• Pre-printed names of candidates

• 600 candidates can be accommodated– 300 names per

side of ballot

Official Ballots• Ovals opposite names

of candidate• Shade oval opposite

name of chosen candidate

PCOS Precinct Count Optical Scan

• One unit per clustered precinct

• Voter personally feeds ballot into machine

• Ballot can be fed in any orientation

• Both sides of ballot scanned simultaneously

TESTING & SEALING PROCEDURESAt least three days before election day

• Public shall accomplish test ballots• Ballots shall be manually counted and election returns accomplished• Same set of ballots that was manually counted shall be fed into the

counting machine• Manual count shall be compared with the print-out of the election returns• If public is satisfied that the manual count is the same as the automated

count, the print-out and manually prepared election returns shall be signed-off by the witnesses

• Machines shall be sealed without any connection to transmission links• Public shall be allowed to secure the polling places where the counting

machines are installed• The only time that the counting machines shall be opened is on election

day in the presence of watchers

Voting

• Voting period– 7:00 a.m. to 6:00 p.m.• Unless there are voters waiting for their turn to vote

– Poll Clerk lists down names voters queuing– Poll Clerk calls voter to cast ballot– Voter who fails to appear after being called twice shall not

longer be allowed to vote

– Precinct set up• At least 10 voters can cast ballot at any one time

Voting

• Before voting starts– Show that ballot box is

empty• Transparent plastic

– Turn on and initialize PCOS

– Print “Zero Report” • To show that there is no

entry/vote in machine’s memory

Counting

• At close of polls– Perform close function• To prevent additional

ballots from being inserted– After close function, PCOS

automatically• Starts counting process• Prints election returns

after completion of automated count– Eight (8) copies

Counting

• Insert transmission cable– After printing first eight (8) copies of ER• To eliminate doubts that the PCOS can be

manipulated remotely

• Perform electronic transmission function• Print additional twenty-two (22) copies of ER– Automatically performed by PCOS after

completion of transmission

Canvassing/Consolidation

• Electronically transmitted results– Used as basis for canvassing/consolidation and

proclamation of winning candidates for• City/municipal officials• Provincial officials• Members, House of Representatives• Senators and Party-list

– Congress will also receive electronically transmitted results• Constitution authorized the Congress to promulgate rules for

canvassing of results for President and Vice-President

Municipal/City Board of Canvassers

Provincial Board of

Canvassers

National Board of

Canvassers

Congress COMELEC

PrecinctElection Returns

Mun./City COCSOVP

Prov. COCSOVM/C

Physical transport

Physical transport

Physical transport

Manual System of Canvassing

Municipal/City Board of Canvassers

Provincial Board of

Canvassers

National Board of

Canvassers

Congress COMELEC

Precinct

Physical transport

Physical transport

Physical transport

Electronic Transmission

Comelec Central Back-

up ServerAdvance Results/

Monitoring

Server for Dominant Majority/

Minority Parties, Citizens Arm,

KBPAdvance Results

Secured Public

Website

Election Returns

Mun./City COCSOVP

Prov. COCSOVM/C

SECURITY

• Security measures under a manual election system still applicable

• Strengthen security through automation– Password– PIN– Digital signatures– Encryption

SECURITY

• Time needed to decrypt one precinct result will be same amount of time needed to decrypt next precinct result

• Transmission takes at most 2 minutes• Copies for distribution– 30 copies of election returns at the precinct level– 30 copies of certificate of canvass at municipal level– 14 copies of certificate of canvass at provincial level

SECURITY

• Audit Log– Activities– Time– Date

SECURITY

• Paper Ballot• Ballot digital image• Data storage device• Transmitted results• Hard copies of election results

FIELD TEST/S

• 8 areas– 2 for NCR – 2 each (1 urban/1 rural)• Luzon• Visayas• Mindanao

• To test system and transmission in the same environment/conditions as on election day

CONTINUITY PLAN

• Types of Systems Breakdown– Fails to scan– Able to scan but fails to print ER– Able to print ER but fails to transmit– Able to transmit but fails to consolidate

CONTINUITY PLAN

• Fails to scan– Use spare PCOS– Use PCOS of another precinct• Wait for other PCOS to complete process in its precinct• Get PCOS and reconfigure for next precinct• Scan ballots

– If all PCOS fails• Manual counting

CONTINUITY PLAN

• Able to scan but fails to print ER– Use spare PCOS– Use PCOS of another precinct• Wait for other PCOS to complete process in its precinct• Get PCOS and reconfigure for next precinct• Use removable storage device of defective PCOS and let

replacement PCOS print ER– If all PCOS fails• Manual counting

CONTINUITY PLAN

• Able to print ER but fails to transmit– Go to nearest precinct or polling center which has

a functioning transmission facility– Use removable storage device of defective PCOS

and let the functioning facility transmit precinct results

– If all transmission facilities bog down• Physically transport removable storage device to

canvassing site – In the presence of watchers and security escorts

CONTINUITY PLAN

• Able to transmit but fails to consolidate• Use consolidation/canvassing system (CCS) of another

municipality/province• Use the removable storage device and let functioning CCS

consolidate the results• Provide back-up canvassing through the Central Server

– Print results and send the same to affected board of canvassers– Print results and constitute special board of canvassers to take the

place of the affected board

Basic Elements of Elections

• People– Vote-buying– Coercion– Intimidation– Terrorism

• Systems & Procedures– Misreading of ballots– Unreadable handwriting– Error

• Honest• Deliberate

– Fraud– Manufactured election

returns– Tampering of election

results

Basic Elements of Elections• People– Vote-buying– Coercion– Intimidation– Terrorism

• Systems & Procedures– Misreading of ballots– Unreadable handwriting– Error

• Honest• Deliberate

– Fraud– Manufactured election

returns– Tampering of election

results

XOnly THESE can be addressed by automation

Successful Implementation

• Vigilance of citizenry• Cooperation• Coordination• Support

THANK YOU!