Code of Colorado Regulations — Department of State

1505 Secretary of State

8 CCR 1505-1 Elections {#sec-8-ccr-1505-1 omnilex-key=us-co-regs-official--department-20--8 CCR 1505-1}

Department of State ELECTIONS 8 CCR 1505-1 [Editor's Notes follow the text of the rules at the end of this CCR Document.]

Rule 1. Definitions 1.1 As used in these Rules, unless stated otherwise: 1.1.1 “ Active ballot” means a ballot properly marked and counted for either a winning candidate or a continuing candidate in a ranked voting election. 1.1.2 “Audio ballot” means a voter interface containing the list of all candidates, ballot issues, and ballot questions upon which an eligible elector is entitled to vote in an election. It also provides the voter with audio stimuli and allows the voter to communicate voting intent to the voting system through vocalization or physical actions. 1.1.3 “Audit log” means a record generated by a voting system, in printed or electronic format, providing a record of activities and events relevant to initializing election management software and hardware, including the identification of files containing election parameters, initializing the tabulation process, processing voted ballots, and terminating the tabulation process. 1.1.4 “ Ballot image” means a digitally captured image of a paper ballot. 1.1.5 “ Ballot marking device” or “BMD” means a device that may integrate components such as a ballot scanner, printer, touch-screen monitor, audio output, and a navigational keypad and uses electronic technology to:

(a) Mark a paper ballot at voter direction;

(b) Interpret the ballot selections;

(c) Communicate the interpretation for voter verification; and (d) Print a voter-verifiable ballot. 1.1.6 “Ballot measure” means a ballot issue or ballot question as defined in sections 1-1-104(2.3) and (2.7), C.R.S. 1.1.7 “ Ballot scanner” means an optical or digital ballot scanner. 1.1.8 “Ballot style” means a specific ballot layout or content for an election. The ballot style is the presentation of the unique combination of contests and candidates for which the voter is eligible to vote. It includes the order of contests and candidates, the list of ballot positions for each contest, and the binding of candidate names to ballot positions within the presentation.

Multiple precincts may use a single ballot style. Multiple styles may appear in a single precinct where voters are split between two or more districts or other categories defining voter eligibility for particular contests and candidates. 1.1.9 “Ballots cast” means the total number of ballots received by the county clerk in an election. “Ballots cast” does not include mail ballot envelopes returned to the county clerk by the U.S. Postal Service as undeliverable. 1.1.10 “ Blank ballot” means a ballot on which the voter has made no marks in any voting position, has marked with an unreadable marker, or has consistently marked outside of the “read” area of the ballot scanner. 1.1.11 “Canvass workers” means workers appointed or hired by the designated election official to assist in the preparation and conduct of the canvass. 1.1.12 “Cast vote record” or “CVR” means the aggregated ballot-level data on ballots counted, consisting of a single record for each ballot tabulated, showing the manner in which the voting system interpreted and tabulated the voter’s markings on the ballot, as adjudicated and resolved by election judges, if applicable. 1.1.13 “Central count” means the county’s principal ballot counting and processing location. 1.1.14 “Chain-of-custody log” means a written record documenting security, possession, and control of a voting system component, election record, or other election material. 1.1.15 “Closed network” means a network configuration in which voting system components connect to and communicate only with each other and not with the Internet or any other computer network. 1.1.16 “ Continuing candidate” means a candidate who has not been eliminated but is not a winning candidate in a ranked voting election. 1.1.17 “ County clerk” means the elected county clerk as chief designated election official for the county. 1.1.18 “Damaged ballot” means a ballot that is torn, bent, or otherwise mutilated or rendered unreadable, so that it cannot be processed by the ballot scanner. Damaged ballots include:

(a) All ballots that contain a foreign substance that could interfere with the ballot scanner (e.g. food, drink, etc.).

(b) Ballots that are marked in a medium or manner that cannot be detected by a ballot scanner. 1.1.19 “Data entry county” means a county using an election management system that exports a file to be uploaded to the Election Night Reporting 1.1.20 “ De minimis change” means a change to voting system hardware that is so minor in nature and effect that it requires no additional testing by a VSTL. 1.1.21 “ Department”, “Colorado Department of State”, “Colorado Secretary of State’s Office,” and “Colorado Secretary of State” all mean the Colorado Secretary of State and personnel employed by the Secretary of State to efficiently carry out the powers and duties prescribed by Title 1, C.R.S., as authorized by section 1-1-107(2)(c). 1.1.22 “ Designated election official” or “DEO” includes the designated election official’s sworn, deputized designee. 1.1.23 “ Duplicate ranking” means a voter marked more than one ranking for a candidate in a ranked voting election. 1.1.24 “ Duplicated ballot” means a ballot for which a true copy must be made for the ballot to be properly processed and counted because of damage, improper marking, or any issue that would prevent a ballot tabulating machine from accurately counting the ballot. 1.1.25 “Election complaint” means a complaint filed with the Secretary of State under Articles 1 through 13 of Title 1, C.R.S. 1.1.26 “Election management software” means the software for election equipment or computers that controls election setup vote recording, vote tabulation, and reporting. 1.1.27 “Election management system” means the hardware and software applications used to configure, program, and report election results from one or more voting system components, including the ballot definition and the election reporting subsystem. The election management system may provide utilities for other election administration tasks, including maintaining equipment inventories, estimating ballot printing needs, and maintaining information on voter service and polling centers. 1.1.28 “Election media” means any device including a cartridge, card, memory device, or hard drive used in a voting system for the purposes of storing election setup records (ballot or card styles), recording voting results from electronic vote tabulating equipment, or any other data storage required by the voting system for a particular election function. The election management system typically downloads ballot style information to the election media and uploads results and ballot images from the election media. 1.1.29 “ Election project backup” means a set of files that is generated by the voting system software’s dedicated backup/export functions and vendor defined procedures after the initial project is created that can be used to restore the voting system to a previous state. This does not include a full or partial hard drive image or clone. 1.1.30 “ Election setup records” means the electronic records, often in the form of a database or a set of databases, generated by election management software to create and define ballots, tabulation instruction, and other functions related to the election. 1.1.31 “ Electronic ballot” means a non-paper ballot such as on a touch screen or through audio feedback. After a voter casts an electronic ballot, the voter’s choices must be marked and printed on a paper ballot for subsequent counting by a ballot scanner. 1.1.32 “ Electronic transmission” means:

(a) Sending an unvoted ballot by fax, email, or online delivery to:

(1) A military or overseas elector under Article 8.3 of Title 1, (2) An elector requesting a replacement for an emergency under

section 1-7.5-115, C.R.S.

(3) An elector with a disability who requests a ballot under

section 1-5-706, C.R.S.

(b) Returning a voted ballot by fax, email, or other electronic means. 1.1.33 “ Firmware” means computer programs stored on read-only memory devices or other electronic circuitry in voting devices that control the basic operation and function of those devices. 1.1.34 “ Help America Vote Act complaint” or “HAVA complaint” means a complaint filed with the Secretary of State under Title III of the Help America Vote Act (HAVA) and Article 1.5 of Title 1, C.R.S. 1.1.35 “ Immediate voting area” means the area that is within six feet of the voting equipment, voting booths, and the ballot box. 1.1.36 “ Inactive ballot” means a ballot that does not count for any candidate for any of the reasons listed in Rule 26.7. 1.1.37 “ Instant runoff voting contest” means a type of ranked voting contest as set forth in section 1-7-1003, C.R.S., where only one candidate will be elected to the office. 1.1.38 “Manual entry county” means a county that does not use an election management system to export data to the Election Night Results system. 1.1.39 “Official Observer” means either an observer appointed by the Secretary of State or an observer appointed by the federal government and approved by the Secretary of State. Official Observers may be present in all phases of the election process and perform duties as may be assigned by the Secretary of State, but are subject to Rules and regulations as prescribed by the Secretary of State. 1.1.40 “Overvote” means:

(a) An instance where the elector marked votes for more than the maximum number of candidates or responses for a ballot measure;

(b) In a ranked voting contest, a voter marked more than one candidate with the same ranking. 1.1.41 “ Personally identifiable information” means information about an individual that can be used to distinguish or trace an individual’s identity, such as an elector’s social security number, driver’s license number, email address, month and day of birth, and signature. 1.1.42 “Qualified political organization” means an organization that has placed a partisan candidate, certified to the ballot by the Secretary of State in a congressional vacancy or general election, whose officers have filed proof of organization with the Secretary of State, and continues to meet the requirements of Rules 3.3 and 3.4. 1.1.43 “ Ranking” means the voter’s assigned number or the numeric position for a candidate to express the voter’s preference for that candidate in a ranked voting election. Ranking number one is the highest rank, ranking number two is the next-highest rank, and so on. 1.1.44 “Related to the second degree” means spouse, civil union partner, parents, children, brothers and sisters, grandparents, and grandchildren. 1.1.45 “Removable card or cartridge” means a programming card or cartridge, except a voter activation card, that stores firmware, software, or data. 1.1.46 “ Resolution board” means a bipartisan team of election judges directed by the county clerk to conduct ballot resolution activities described in Rule 18. 1.1.47 “Runoff tabulation entity” means the election jurisdiction that will conduct the round-by-round count for a ranked voting contest. For a contest that is wholly within a single county, the county clerk and recorder or designated election official appointed by the municipality holding the ranked voting contest is the runoff tabulation entity. For a contest that is shared by more than a single county, the controlling county, as defined by Rule 4.2.2, is the runoff tabulation entity. 1.1.48 “ SCORE” means the centralized statewide registration system and the computerized statewide voter registration list described in Part 3 of Article 2 of Title 1. 1.1.49 “Seal” means a serial-numbered tamper-evident device. 1.1.50 “ Secure ballot area” means:

(a) All areas used for processing ballots, including but not limited to:

(1) Signature verification;

(2) Ballot opening;

(3) Tabulation; or (4) Storage of voted ballots.

(b) This does not include an area located within a voter service and 1.1.51 “Secure equipment area” means:

(a) All areas in which voting system components are used, including but not limited to:

(1) Programming;

(2) Copying election files to or from memory cards or flash media;

(3) Adjudicating ballots;

(4) Tallying results;

(5) Results reporting; or (6) The storage area for all voting system components.

(b) This does not include an area located within a voter service and 1.1.52 “Single transferable vote contest” means a type of ranked voting contest, as set forth in section 1-7-1003, C.R.S., where more than one candidate will be elected to the same office. 1.1.53 “Skipped ranking” means a voter did not rank candidates in numerical order (e.g., voter ranks top candidate with a “1” and second candidate with a “3”, or leaves a ranking blank). 1.1.54 “Split precinct” means a precinct that has a geographical divide between one or more political jurisdictions which results in each jurisdiction within the precinct to be assigned different ballot styles for a specific election. 1.1.55 “Statement of Ballots Form” means the form used at the polling location that accounts for all ballots at that location and includes all information required by Rule 10. 1.1.56 “Surplus fraction” means a fraction calculated by dividing the surplus votes by the total votes cast for the winning candidate, calculated to four decimal places, ignoring any remainder. Surplus fraction = (surplus votes of a winning candidate)/(total votes cast for winning candidate), calculated to four decimal places, ignoring any remainder. 1.1.57 “Surplus votes” means the votes cast for a winning candidate in excess of the winning threshold that may be transferred to a continuing candidate. 1.1.58 “Target area” means the square or oval corresponding to the candidate’s name or ballot response (examples: “Yes”, “No”, “For” or “Against”) on a paper ballot. 1.1.59 “Transfer” means assigning the vote of an eliminated candidate or the surplus vote of a winning candidate to the next-highest-ranked continuing candidate in the tabulation of an instant runoff voting contest and single transferable vote contest. 1.1.60 “ Transfer value” means the fraction of a vote in a single transferable vote contest that a transferred ballot will contribute to the next ranked continuing candidate on that ballot. The transfer value of a vote cast for a winning candidate is limited to four decimal places, ignoring any remainder. 1.1.61 “Trusted build” means the write-once installation disk or disks for software and firmware for which the Secretary of State has established the chainof-custody to the building of the disks, which is then used to establish or re-establish the chain-of-custody of any component of a voting system that contains firmware or software. The trusted build is the origin of the chainof-custody for any software and firmware component of the voting system. 1.1.62 “Undervote” means an instance where the voter marked votes for fewer than the maximum number of candidates or responses for a ballot measure. 1.1.63 “Video security surveillance recording” means video monitoring by a device that continuously records a designated location or a system using motion detection that records one frame, or more, per minute until detection of motion triggers continuous recording. 1.1.64 “Voting system” as defined in section 1-1-104(50.8), C.R.S., means:

(a) The total combination of mechanical, electromechanical, or electronic equipment (including the software, firmware, and documentation required to program, control, and support the equipment) that is used to:

(1) Define ballots;

(2) Cast and count votes;

(3) Report or display election results; and (4) Maintain and produce any audit trail information.

(b) The practices and associated documentation used to:

(1) Identify system components and versions of such components;

(2) Test the system during its development and maintenance;

(3) Maintain records of system errors and defects;

(4) Determine specific system changes to be made to a system after the initial qualification of the system; and (5) Make available any materials to the voter (such as notices, instructions, forms, or paper ballots).

(c) “Voting system” does not include any other component of election administration, such as voter registration applications or systems, electronic pollbooks, ballot delivery and retrieval systems, signature verification and envelope sorting devices, ballot-on-demand printers, election night reporting and other election reporting systems, and other components used throughout the election process that do not capture and tabulate votes. 1.1.65 “Voting system test laboratory” or “VSTL” means a federally accredited entity that conducts certification testing for voting systems. 1.1.66 “Winning candidate” means a candidate who is elected after receiving more than 50 percent of the votes on active ballots in an instant runoff contest, or after reaching the winning threshold required in a single transferrable vote contest, or because the number of continuing candidates and other winning candidates is less than or equal to the number of seats to be filled. 1.1.67 “Winning threshold” means the number of votes sufficient for a candidate to be elected in a single transferable vote contest. In such a contest, the winning threshold equals the total votes counted in the first round of tabulation, divided by the sum of one plus the number of offices to be filled, then adding one, disregarding any fractions. Winning threshold = ((Total votes cast)/(Seats to be elected + 1)) +1, with any fraction disregarded. 1.1.68 “Write-in vote” means a vote where the voter physically writes in the name of a qualified write-in candidate in the space reserved on the ballot for write-in votes.

Rule 2. Voter Registration 2.1 Submission of voter registration applications 2.1.1 An applicant may submit a properly executed voter registration form to the county clerk in person, by mail, by fax, by online voter registration, or as an email attachment. 2.1.2 If any portion of a voter registration form is illegible, the county clerk must notify the applicant of the additional information required in accordance with section 1-2-509, C.R.S. 2.1.3 For submitting applications by fax, email, or online voter registration, close of business is 11:59 p.m. MT. 2.1.4 Under section 1-2-508, C.R.S., the effective date of a voter registration application received by the Secretary of State is the date of the postmark, if legible. If there is no legible postmark, the effective date is the date the application is received. 2.1.5 The county clerk must implement a data entry review process to ensure that the county accurately processes voter registration applications in SCORE. 2.1.6 The effective date of a voter registration application completed through the online voter registration system is the date and time the applicant submits it. 2.2 For purposes of precinct caucus lists the elector’s duration of residency within a precinct is based on the effective date shown in SCORE. 2.3 When processing a new voter registration application, the county clerk must mark the registration record “ID required” unless the elector provides his or her verifiable driver’s license number or state identification number, or the elector is otherwise exempt under law. [Section 1-2-204(2)(f.5), C.R.S.] 2.3.1 The county must process the Help America Vote Verification file on at least a monthly basis by verifying social security numbers and removing the “ID required” flag from verified records. 2.3.2 As used in section 1-1-104(19.5), C.R.S., government document means a document issued by a city, county, state, or federal government.

(a) A government document includes:

(1) A Certificate of Degree of Indian or Alaskan Native Blood;

(2) A letter from the director or administrator of a group residential facility that indicates that the elector is a resident of the facility and that he or she resides at the street address listed in SCORE; and (3) A division of youth corrections identification card issued by Department of Human Services.

(4) Written correspondence from the county sheriff or his or her designee to the county clerk indicating that the elector is confined in a county jail or detention facility.

(b) A government document does not include any document produced by the SCORE system or using an address label produced by SCORE. [Sections 1-1-104(18.5), (19.5)(c), and (19.5)(d), C.R.S.] 2.3.3 As used in section 1-1-104(19.5)(a)(VII), C.R.S., “current” means that the date of the document is within 60 days of the date submitted for identification purposes unless the document states a longer billing cycle. 2.4 Treatment of incomplete new registration applications 2.4.1 If an applicant fails to check the box answering the question, “Are you a citizen of the United States?”, the county clerk must accept and process the application as complete so long as it is otherwise complete and the affirmation at the bottom of the form is signed. 2.4.2 If an applicant fails to complete the required identification portion of the form in accordance with sections 1-2-204(2)(f.5) and (3)(c), C.R.S., the county clerk must treat the application as incomplete. But if the applicant submits a photocopy of his or her driver’s license or identification card, the county clerk must enter the ID number from the card into the applicant’s record and process the application as complete. 2.4.3 If an applicant fails to provide a date of birth, the county clerk must treat the application as incomplete. But if the applicant submits a photocopy of his or her driver’s license or other approved form of ID that includes the date of birth, the county clerk must enter that information into the applicant’s record and process the application as complete. 2.5 Changes to an elector’s existing voter registration record 2.5.1 If an elector submits a change to his or her voter registration record and fails to include the information required by sections 1-2-216 or 1-2-219, C.R.S., the county clerk may not make the requested change unless the county clerk can establish minimum matching criteria. If the county clerk cannot establish minimum matching criteria, the county clerk may not change the elector’s status and must notify the elector of the additional information that is required to process the request. 2.5.2 If an elector submits a change to his or her voter registration record and writes or selects a name of an organization that is not a qualified political party or qualified political organization, or writes “none”, the elector’s affiliation must be recorded as “Unaffiliated”. 2.5.3 If an elector submits a change to their voter registration record and leaves the affiliation section blank, the county clerk may not change the voter’s existing affiliation in the registration record. 2.5.4 If an unaffiliated elector who has already been mailed a primary election ballot packet submits an affiliation declaration, the county clerk must defer processing the affiliation change until after the primary election; except that an unaffiliated elector who appears in person to vote may affiliate and vote a party ballot if the county clerk has not received the elector’s voted mail ballot. 2.5.5 A covered voter, as defined in section 1-8.3-102(2), C.R.S., who provides an address change to the Department of Revenue, which indicates the voter is no longer overseas or serving in the military out of state, may not have their status as a covered voter removed due to the change. The clerk must instead send a notification via mail and email, if available, to the elector notifying them that a change of address was received and asking the voter to confirm that they are no longer a covered voter. If no response is received, the clerk may not remove the elector’s covered voter status. 2.6 Changes to an elector’s voter registration status 2.6.1 An elector may update his or her inactive registration status to active status by submitting:

(a) A signed written request, by mail, fax, or an email attachment;

(b) An online voter registration application; or (c) An in-person request. [Section 1-2-605(4)(a), C.R.S.] 2.6.2 If an elector is unable to sign, another person must witness the elector’s mark. An elector may use a signature stamp because of age, disability, or other need. The stamp is treated as a signature and does not require a witness. 2.7 Minimum matching criteria 2.7.1 Except as provided in section 1-2-302.5, C.R.S., the county clerk may not transfer, consolidate, or cancel a voter registration record unless the applicable minimum matching criteria as set forth in sections 1-2-603 or 1- 2- 604, C.R.S., are met. If the minimum matching criteria are not met the county clerk must send a letter to the voter requesting confirmation of the missing or non-matching information in order to transfer, consolidate, or cancel the record. 2.7.2 A match of the name means a match of the full name, except that the following are sufficient to establish a match:

(a) Common variations and nicknames in the first or middle name, e.g., Michael and Mike;

(b) Explainable and documented change of name, including last name, e.g., maiden name and married name; and (c) Explainable and documented variations in suffix, except that the absence of a suffix in one of the records is not considered a variation. Examples of suffix variations that must be explained include junior in one record and III in another. 2.7.3 A match of the prior address means a match of the residential street address. 2.7.4 The county clerk may use the DMV Motor Voter database to verify prior name or residence address history for the purpose of meeting the minimum matching criteria. The county clerk must scan and retain the information in the elector’s record to document how the criteria were met. 2.8 Registered electors absent from the state 2.8.1 A registered elector who is absent from the state but who maintains Colorado residency is eligible to be registered and to vote without holding a property interest in a fixed habitation in the state. 2.8.2 An absent elector’s voter registration address is the elector’s last residence address or the address an elector previously resided at that the elector intends to return to in the state. A covered voter, as defined in

section 1-8.3-102(2), C.R.S., who is absent and has never resided in the United States may use the residence address of their parent, legal guardian, spouse, or civil union partner as required by section 1-8.3- 102(2)(d), C.R.S. 2.9 During the 22 days before an election, the county clerk must defer processing undeliverable new voter notifications. After the election is closed, the clerk must determine an applicant “not registered” under section 1-2-509(3), C.R.S., only if the applicant did not vote in the election. 2.10 Registration of Address Confidentiality Program (ACP) electors 2.10.1 When an ACP participant registers to vote by mail, the participant must provide a copy of his/her ACP Authorization Card. 2.10.2 The county clerk must:

(a) Use the actual residence address of the ACP elector for precinct designation.

(b) Use the substitute address, as defined in section 24-30-2103(14), C.R.S., for all correspondence and mailings placed in the United States mail.

(c) Keep the participant’s address, county, voting precinct, and split number confidential from the public. 2.10.3 A state or local government agency may request access to an ACP participant’s voter registration record using the process in section 24-30- 2110, C.R.S. 2.10.4 Except as specifically provided by Part 21 of Article 30 of Title 24, C.R.S., a program participant’s actual address and telephone number is not a public record under Part 2 of Article 72 of Title 24, C.R.S. 2.11 List maintenance under section 8 of the National Voter Registration Act of 1993 2.11.1 The Secretary of State’s Office will provide monthly National Change of Address (NCOA) data under section 1-2-302.5, C.R.S., to the county clerk by the fifth business day of each month unless the Secretary of State’s Office does not receive the list in time to transmit it by the fifth business day. If the Secretary of State’s Office does not receive the list in time to transmit it by the fifth business day, it will be transmitted as soon as practicable.

(a) The county must process the data to update registration records and send notifications in accordance with section 1-2-302.5, C.R.S., by the end of each month.

(b) The county may not change a residential address to a nonresidential address, like a post office box, based on the information in the NCOA data.

(c) When the county updates a voter registration record using NCOA data, the county must use the NCOA transaction source. 2.11.2 In accordance with section 1-2-605(7), C.R.S., no later than 90 days following a General Election, the Department of State, working in conjunction with county clerks, will cancel the registrations of electors:

(a) Whose records have been marked “Inactive – returned mail”, “Inactive – undeliverable ballot”, or “Inactive – NCOA”; and (b) Who have been mailed a confirmation card; and (c) Who have thereafter failed to vote in two consecutive general elections. 2.11.3 The Secretary of State will notify each county of the records cancelled in that county under section 1-2-605(7), C.R.S. once the cancellation is complete. 2.11.4 The county must process all records designated for cancellation by the Secretary of State:

(a) Within 21 days of receipt; and (b) Before the county mails ballots throughout the election. 2.11.5 The county must process and mail all confirmation cards using SCORE so that the elector’s voter registration record audit log shows the date on which the county printed or extracted the confirmation card. 2.12 Voter registration at a voter service and polling center. A person registering voters or updating voter registration information in a voter service and polling center must: 2.12.1 Be an election judge, a permanent or temporary county employee, state employee of the Department of State, or temporary staff hired by the county clerk; and 2.12.2 Complete a training course provided by or approved by the Secretary of 2.13 Voter registration records and data 2.13.1 The SCORE system must retain digital images of voter registration applications in perpetuity in accordance with section 1-5-301, C.R.S. 2.13.2 Under section 24-21-104(3), C.R.S., the Secretary of State must charge a fee for voter information reports and related services. A request for elections data must be submitted using the Elections Data Request Form.

The Secretary of State will provide the requested data after payment of the fee as outlined in the fee schedule on the Secretary’s website. 2.13.3 The county clerk of each county may charge fees for county voter information reports and related services. 2.13.4 Without written authorization from the Secretary of State, the county clerk may not run or schedule to run SCORE reports or exports that include voter or election detail during regular business hours beginning 22 days before election day and from 7:00 am to 7:00 pm on election day. A county that uses an automated signature verification device may run the EXP-004 report during this time. 2.13.5 Custodianship of Voter Registration Information (a) The Secretary of State is the official custodian of the centralized statewide registration system, all the information contained within, and the computerized statewide voter registration list created and maintained under section 1-2-301, C.R.S.

(b) Each county clerk is the official custodian of the voter registration information only for electors within their county. In the event that a county clerk receives an open records request for publicly available information in a registration record for an elector registered in another county, they may not provide that record as part of the request and must direct that requestor to submit their request to the Secretary of State’s office or to the elector’s county of residence.

(c) A county clerk may not provide the registration record for an elector registered in another county out of SCORE unless:

(1) It is provided for use in an election to the designated election official of a municipality or special district within Colorado; or (2) The county is otherwise required by law to provide that information. 2.13.6 If a person requests a certificate of registration or other election record that contains personally identifiable information, he or she must provide a copy of identification as defined in section 1-1-104(19.5), C.R.S. 2.13.7 If a county receives information from a jurisdiction indicating that a Colorado voter may have voted in more than one state in the same election, the county must send that information to the Secretary of State’s office for potential investigation and prosecution. 2.13.8 The effective date of a voter registration cancellation due to felony incarceration is the date the information regarding incarceration is provided to the Secretary of State from the Department of Corrections. 2.14 To assist state institutions of higher education comply with the requirements of

Section 1-2-213.5(1)(c), C.R.S., the Department of State will provide the Colorado Department of Higher Education with a template communication for enrolled students. 2.15 The county clerk must send the county’s precinct shape files or maps to the Secretary of State annually, no later than March 1. If the county clerk adjusts precinct boundaries under section 1-5-103, C.R.S., the county must send the Secretary of State updated precinct shape files or maps within 30 days.

Rule 3. Rules Concerning Qualified Political Organizations 3.1 A qualified political organization, as defined in Rule 1.1.42, must file proof of organization with the Secretary of State. The proof must include, but is not limited to: 3.1.1 The organization’s bylaws, which must include the method for selecting officers, delegates to county, state, and national conventions, and candidates planning to petition onto the state’s general election ballot; and 3.1.2 The names, addresses, and telephone numbers of the organization’s Colorado chairperson, vice chairperson, and secretary, together with the names, addresses, and telephone numbers of all other members elected or appointed to other offices or committees authorized by the bylaws. 3.2 A qualified political organization must meet at least once each calendar year. 3.2.1 During the meeting in odd-numbered years, the organization must elect a chairperson, vice-chairperson, secretary, and other officers or committees required by the organization’s bylaws. If the political organization is a new organization, the organization must hold this meeting before placing a candidate on the ballot. In this instance, the organization may hold this meeting in an even-numbered year and may select candidates as described in Rule 3.3.3. 3.2.2 The organization’s chairperson and secretary must file with the Secretary of State a full and complete list, under oath, of the persons elected or appointed under this Rule 3.2, together with any amendments to the bylaws adopted at the meeting. 3.2.3 During the meeting in even-numbered years, the organization must select candidates who will attempt to petition onto the ballot for the next general 3.3 To remain in good standing, a qualified political organization must place a candidate, certified to the ballot by the Secretary of State, on the general election ballot every two years. A write-in candidate alone is not sufficient to meet this requirement. 3.3.1 Organization candidates must be nominated in accordance with section 1- 4- 802, C.R.S. 3.3.2 Each petition must contain the name of one candidate and an affidavit signed under oath by the chairperson and secretary of the qualified political organization. The affidavit form must be approved by the 3.3.3 To qualify for the ballot, a candidate must have been affiliated with the qualified political organization by the first business day in January of the election year, or if the organization has not been qualified, the candidate must have been registered as unaffiliated by the first business day in January of the election year. 3.4 The Secretary of State will qualify a political organization if the organization: 3.4.1 Files proof of organization with the Secretary of State by March 1 in an even numbered year; 3.4.2 Meets and names a candidate to the general election ballot; and 3.4.3 Places a candidate, certified to the ballot by the Secretary of State, on the general election ballot. 3.5 Once qualified, eligible electors may affiliate with the political organization. 3.6 The Secretary of State will revoke the qualified status of a political organization if the organization does not fully comply with Rules 3.3 and 3.4. 3.7 If the Secretary of State revokes the qualified status of a political organization, the Secretary will notify county clerks by June 1 of each odd-numbered year.

Upon receipt, the county clerk must mark registration records as “unaffiliated”, where applicable.

Rule 4. Coordinated Elections 4.1 Participation in coordinated elections 4.1.1 For elections where the electors do not need to be registered electors, political subdivisions may conduct their own elections and must coordinate with the coordinated election official any ballot issue notice required by

Article X, Section 20 of the Colorado Constitution. 4.1.2 A coordinating political subdivision must enter into an intergovernmental agreement with the county clerk that delineates which tasks are the responsibility of the designated election official of the political subdivision and which are the responsibility of the county clerk.

(a) A county required to provide translations under section 1-5-905, C.R.S., must include in each intergovernmental agreement responsibility for translating coordinating district content.

(b) In the event that the coordinating district is responsible for translating content, the intergovernmental agreement must require the ballot certification from the coordinating district designated election official that the produced translations are:

(1) Linguistically accurate;

(2) Culturally appropriate; and (3) Technically consistent with the original documents.

(c) The intergovernmental agreement may also address limitations on, or requirements for, ballot contest length and formatting or any other lawful topic. 4.1.3 The county clerk must include all coordinating districts in the SCORE districts and precincts module and election setup module before conducting a coordinated election. If the county clerk is unable to include one or more districts in SCORE, the clerk must list the districts and explain the issue in the election plan required under Rule 7.1.1. 4.2 Procedures for coordinated elections involving jurisdictions shared by multiple counties. 4.2.1 For each jurisdiction that is shared by multiple counties, a controlling county must be designated for the purpose of assigning and coordinating the ballot letter/number for the shared races, issues, and questions in coordinated elections. 4.2.2 The controlling county is the county where the administrative office of the political subdivision is maintained at the time that the controlling county is designated.

(a) If the administrative office is not maintained within the boundaries of the political subdivision, the controlling county must be the county where the largest number of active registered electors within the jurisdiction reside at the time that the controlling county is designated.

(b) Once designated, the controlling county will not change unless approved by the Secretary of State upon request of any of the affected counties. 4.2.3 The controlling county must coordinate with each county that shares the jurisdiction to assign the ballot number/letter in accordance with Rule 4.5 no later than the date of ballot certification. All counties within the shared jurisdiction must ensure that the shared races, issues, and questions are printed on the ballot as certified by the Secretary of State or designated election official, and in the order assigned by the controlling county. 4.2.4 If any controlling county fails to fulfill its responsibilities in accordance with this Rule, any of the other counties in the shared jurisdiction may make a written request to the Secretary of State to temporarily assume the duties of the controlling county. The Secretary of State may act on behalf of the controlling county or to temporarily designate another county to act as the controlling county to implement this Rule. 4.3 November coordinated elections 4.3.1 The county clerk is the coordinated election official for coordinated elections held in November of each year and is responsible for coordinating the Article X, Section 20 Ballot Issue notice mailing. 4.3.2 Placing measures on the ballot for coordinated odd-year elections (a) For a statewide ballot measure, the Secretary of State must determine whether a proposed initiative is eligible to appear on an odd-year election ballot and whether it concerns state matters arising under Section 20 of Article X of the State Constitution.

(b) For all other ballot measures, the political subdivision certifying the ballot content to the coordinated election official must determine whether the proposed initiative or referred measure is a local government matter arising under Section 20 of Article X of the State Constitution. 4.3.3 In any odd-year November coordinated election in which there is a statewide issue on the ballot, the canvass board members that will canvass the statewide issue must be appointed in accordance with section 1- 10-101, C.R.S. 4.4 Form of coordinated elections held other than in November 4.4.1 For all other elections where political subdivisions hold an election on the same day, the electors or boundaries overlap and ballot issues as defined in section 1-1-104 (2.3), C.R.S., appear on the ballot of overlapping jurisdictions, the governing bodies or the designated election officials of the overlapping jurisdictions must identify the election official responsible for assuring that the Article X, Section 20 notice is given. 4.4.2 The political subdivisions may contract with the appropriate county clerk to be the coordinated election official. 4.5 Determination of ballot issues and texts. 4.5.1 Each political subdivision must prepare the list of candidates and the ballot title and text for ballot issues and ballot questions, as required by law.

(a) The coordinated election official must print the ballot title on each ballot as required by law.

(b) Political subdivisions may only require the coordinated election official to print the entire text of a ballot issue or ballot question on the ballot if the political subdivision pays for any additional cost associated with printing.

(c) For counties where ballot election material must be printed in languages other than English, the political subdivisions are responsible for assuring proper translation of all election materials related to that political subdivision and must pay their pro-rata share of increased printing costs unless otherwise provided by the intergovernmental agreement.

(d) For counties where election material is not required to be printed in languages other than English, the political subdivisions are not required to provide translation of all election materials nor pay a pro-rata share of the printing costs unless they so agree. 4.5.2 Each political subdivision must determine the order of the ballot issues for their political subdivision in accordance with the requirements of Colorado Constitution Article X, Section 20 and Title 1.

(a) Referred measures must be designated by a letter or by a number and a letter; initiatives must be designated by a number.

(b) For each grouping of ballot issues and ballot questions by a political subdivision, all referred measures must precede all initiatives.

(c) For each grouping of ballot issues and ballot questions, the order is as follows:

(1) Referred measures to increase taxes;

(2) Referred measures to retain excess revenues;

(3) Referred measures to increase debt;

(4) Other referred measures;

(5) Initiatives to increase taxes;

(6) Initiatives to retain excess revenues;

(7) Initiatives to increase debt;

(8) Other citizen petitions.

(d) In accordance with section 1-5-407(5)(b), C.R.S., whether initiated or referred, every proposed change to the Colorado Constitution must be called an “amendment” and every proposed change to the Colorado Revised Statutes must be called a “proposition”

(e) Ballot issues from the various political subdivisions must be ordered on the ballot as provided in section 1-5-407(5), C.R.S:

(1) Each category of referred and initiated state amendments and propositions must be numbered and listed on the ballot in the following series:

A-Z State Referred Constitutional Amendments 01-99 State Initiated Constitutional Amendments AA-ZZ State Referred Statutory Propositions 101- State Initiated Statutory Propositions If a referred or initiated measure contains both a proposed constitutional and statutory change, the measure must be ordered on the ballot as a constitutional amendment.

(2) Each category of initiated local ballot issues and questions must be numbered in the following series: 200- County Issues 300- Municipal Issues 400- School District Issues 500- Ballot Issues and Questions for other political subdivisions greater than a 600- Ballot Issues and Questions for other political subdivisions which are wholly within a county (3) Each category of local referred ballot issues and questions must be designated by a letter or a number and a letter in the following series: 1A-1Z County measures 2A-2Z Municipal measures wholly within a 3A-3Z Municipal measures greater than a 4A-4Z School District measures wholly within a 5A-5Z School District measures greater than a 6A-6Z Ballot measures for other political subdivisions wholly within a county 7A-7Z Ballot measures for other political subdivisions which are greater than a (4) Ballot questions and issues are numbered or lettered in the order in which the measures are certified to the ballot by the designated election official after the protest period has ended, or if a protest was filed after the protest has been completed.

(5) For other than state issues, if a county has multiple cities or multiple discrete school districts and other political subdivisions, the designated election official may either further subdivide the series and assign each political subdivision a specific series of numbers, or when the ballot is certified the designated election official may assign the final numbers or letters, making sure that all measures for each political subdivision are grouped together.

(6) For other than state issues and questions, if the same ballot issue or question will be on the ballot in more than one county, the county clerks must confer with one another and must give the same ballot number or letter to the ballot issue or questions.

(7) Each ballot question or issue must contain the name of the political subdivision at the beginning of the ballot questions or issue. If the designated election official chooses, the name of the political subdivision may appear before the grouping of questions, such as State Ballot Questions, Arapahoe County Ballot Questions, City of Aurora Ballot Questions, etc.

(f) The Secretary of State will place any measures referred by the legislature on the ballot in the order they are received. The Secretary of State will place any measures referred by the people under Article V, Section 1 of the Colorado Constitution on the ballot in the order they are certified to the ballot. 4.6 Candidate audio recordings 4.6.1 A candidate for statewide office, the general assembly, congressional office, regent, or district attorney must provide an audio recording of his or her name to the Secretary of State. The candidate must record his or her name exactly as it appears on the candidate acceptance form, statement of intent, or declaration of intent to run for retention in a judicial office, as applicable, and the candidate must provide the recording to the secretary of state no later than the deadline to file the candidate acceptance form, statement of intent, or declaration of intent to run for retention in a judicial office, as applicable. 4.6.2 A candidate for a county, municipal, school district, or special district office in an election coordinated by the county clerk must provide an audio recording of his or her name to the county clerk. The candidate must record his or her name exactly as it appears on the statement of intent, and must provide the recording to the county clerk no later than the deadline to file the statement of intent. 4.7 Congressional term limits declaration 4.7.1 The Secretary of State must make the Congressional Term Limits Declaration available to every candidate for United States House of Representatives or the United States Senate, provided in Article XVIII,

Section 12a of the Colorado Constitution. The Secretary of State will offer the Congressional Term Limits Declaration to these candidates when the candidate submits a candidate acceptance form with the Secretary of State. Any failure of the Secretary of State to offer the Congressional Term Limits Declaration to a candidate will have no effect on the candidate’s candidacy. 4.7.2 The Secretary of State must accept Part A of the Term Limits Declaration if Part B of the Term Limits Declaration was not duly executed and submitted. (Article XVIII, Section 12a(7) of the Colorado Constitution) 4.7.3 In the case of a candidate who has qualified as a candidate for a term that would exceed the number of terms set forth in Term Limits Declaration One, the Secretary of State may not place the words, “Signed declaration to limit service to [3 terms] [2 terms]” after the candidate’s name, even if the candidate has executed and submitted Parts A and B of Term Limits Declaration One. 4.8 Ballot format and printing 4.8.1 The county clerk must print the candidate names and the text of ballot issues and ballot questions in upper and lower case, except that the clerk must print the text of ballot issues subject to Article X, Section 20 of the Colorado Constitution in all uppercase text. 4.8.2 If there is no candidate for an office, the ballot must state, “There are no candidates for this office.” 4.8.3 If there is a qualified write-in candidate on the ballot, the clerk must include “Write-in” before or directly below the space for writing in a candidate. 4.8.4 Printing primary election ballots (a) If a major political party, as defined in section 1-1-104(22.5), C.R.S., nominates more than one candidate for any office, the county clerk must conduct the primary election for all major political parties unless the party chooses to nominate candidates in accordance with section 1-4-702, C.R.S.

(1) The county clerk must include on the ballot all offices to which candidates may be nominated in the primary election.

(2) If there are no candidates for any particular office, the county clerk must print on the ballot “There are no candidates for this office”.

(b) If a minor political party, as defined in section 1-1-104(23), C.R.S., nominates more than one candidate for any office, the county clerk may conduct the primary election for that party only.

(1) The county clerk must include on the ballot only the offices for which there is more than one candidate designated.

(2) If there is only one minor party candidate designated for any office, the candidate will be certified to the general election ballot.

(c) This rule does not apply to presidential primary elections conducted under sections 1-4-1201, C.R.S. et seq. 4.8.5 Use of unique numbers on ballots (a) Except for ballots sent to military or overseas electors by electronic transmission under Rule 16.2, a county may not print a ballot for use in a state or federal election that has a unique number, or a barcode containing a unique number, that is specific to a single ballot.

(1) A county that uses rotating numbers must print at least ten ballots of each ballot style for each number.

(2) Nothing in this Rule prohibits a county from printing a unique number or barcode on a removable stub.

(b) After an election official dissociates a voted ballot from its envelope and removes the stub, if any, the county may write or print unique numbers on the voted ballot for auditing and accounting purposes, including duplication of damaged ballots and risk limiting audits.

(c) The county must redact unique numbers or any other information that could identify an individual voter before providing ballots in response to a request for inspection under the Colorado Open Records Act (Section 24-72-205.5(4)(b)(II), C.R.S.). 4.8.6 If the designated election official discovers a ballot layout, printing, or programming error, he or she must immediately report the issue to the Secretary of State’s office and work in conjunction to correct the error. 4.8.7 The county clerk must use the Secretary of State approved naming convention for naming ballot styles in the county’s Election Management System, SCORE, and .pdfs. The county clerk must use the approved naming convention for contest names in the election night reporting 4.8.8 Counties required to provide in-person and sample ballot translations under section 1-5-905, C.R.S., must affirm in the election plan for that election that they are using a translator or interpreter who:

(a) Is screened and tested for proficiency in both written English and the target language, with affiliation or accreditation by a nationally recognized association of translators or have other credentials or certifications that are comparable to or exceed the standards used by a nationally recognized association of translators; and (b) Produces translations that are linguistically accurate, culturally appropriate, and technically consistent with the original documents. 4.8.9 Qualified translator or interpreter (a) Counties required to provide in-person and sample ballot translations under section 1-5-905, C.R.S., must describe in their election plan the company, service, or individual who will be translating ballot content the county is responsible for.

(b) A “qualified translator or interpreter” as defined in section 1-5- 903(4), C.R.S., includes:

(1) A translation service or company that holds an International Organization for Standardization (ISO) 17100:2015 accreditation or comparable accreditation; or (2) The use of two individuals not employed by a translation service or company to translate the ballot content if those individuals:

(A) Have been screened and tested for proficiency in both written English and the target language; and (B) Are affiliated or accredited by a nationally recognized association of translators or have other credentials or certifications that are comparable to or exceed the standards used by a nationally recognized association of translators. 4.9 Colorado Constitution Article X, Section 20 notice requirements 4.9.1 The state and local governments, excluding enterprises, have sole responsibility for drafting and distributing notices required by Article X,

Section 20. These responsibilities may be delegated to the coordinated election official in the intergovernmental agreement. 4.9.2 Mailing ballot issue notices (a) Nothing precludes the coordinated or designated election official from sending notice of various elections to persons who are not eligible electors if the notice sent is part of the coordinated notice and if the sending arises from the official’s efforts to mail the notice at “least cost”.

(b) Nothing precludes the coordinated or designated election official from sending notice to each household in the county or political subdivision whether or not registered electors reside at that household as long as notice is sent which ensures that all active registered electors are included on the mailing list.

(c) Nothing precludes the coordinated or designated election official from sending notice to each registered elector in a particular political subdivision.

(d) The coordinated or designated election official may include the following statement with the ballot issue notice: “This notice is mailed to each address with one or more active, registered electors. You may not be eligible to vote on all issues presented in this notice.” 4.9.3 If state statute allows the ballot issue notice and the ballot to be mailed at the same time, the ballot for the mail ballot election may be included with the notice. 4.9.4 The political subdivisions must provide all completed Article X, Section 20 notices in camera ready format or as otherwise specified. 4.9.5 The coordinated election official is not responsible for failure to meet the

Article X, Section 20 constraints if the political subdivision fails to submit the notice and summaries within the deadline and in the form required by the coordinated election official.

(a) Comment summaries for and against ballot issues must not include language of a generally recognized profane, indecent, immoral, offensive, scandalous, or libelous character. No names of persons or private groups may be included in any summary.

(b) For counting and verification purposes of the 500-word constitutional limit for each “pro” and each “con” summary, a hyphenated word, unless it is a continuation hyphen, counts as two or more words. A number counts as one word, regardless of dollar signs, commas, or periods within the number. 4.9.6 No person may withdraw written ballot issue comments submitted to the designated election official after the last Friday immediately preceding the forty-fifth day before the election.

Rule 5. Nonpartisan Elections not Coordinated by the County Clerk 5.1 The designated election official must send notice of the election to the clerk of the county in which the election will be held. The notice must include the date by which the list of registered electors must be submitted to the political subdivision. 5.2 For multi-county political subdivisions, the notice sent to each clerk must also include the names of all other counties in which the election will be held. 5.3 Registration list for a special district election 5.3.1 If a special district requests a registration list under section 1-13.5-203(1), C.R.S., the county clerk must provide to the designated election official:

(a) A list of registered electors as of the 40 day before the election to be delivered on the 30 day before the election, followed by a list of all registered electors as of the close of business on the 22 nd day before the election to be delivered on the 20 day before the election; or (b) A complete list of registered electors as of the sixth day before the 5.3.2 Upon request, the county must provide the designated election official a list of UOCAVA electors who reside within the special district. 5.3.3 Beginning the 40 day before the date of election and through election day, the county must stay current with all voter registration data entry. 5.3.4 For every registration list sent to the special district, the county clerk must inform the designated election official of the proper procedures for handling protected or confidential elector information. [Section 24-72- 204(3.5), (8), and Part 21, Article 30, Title 24, C.R.S.] 5.4 Registration lists for municipal elections 5.4.1 If a municipality is conducting a mail ballot election, the county clerk must provide the municipality with:

(a) A preliminary list of all eligible electors no later than the 30th day before the election; and (b) A supplemental list of electors no later than the 20 day before the election. The list must contain the names of all eligible electors in the municipality who were not on the 30-day list and who registered on or before the 22 nd day before the election. 5.4.2 The county clerk must provide the municipality with a registration list no later than the fifth day before the election. If provided on the fifth day, the list must include all registered electors in the municipality as of the sixth day before the election. 5.4.3 Beginning the 40 day before the election and through election day, the county clerk must stay current with all voter registration data entry. 5.4.4 For every registration list sent to the municipality, the county clerk must inform the designated election official of the proper procedures for handling protected or confidential elector information. [Section 24-72- 204(3.5), (8), and Part 21, Article 30, Title 24, C.R.S.] 5.5 If an eligible elector attempts to register or update his or her registration at the county clerk’s office, the county must process the request and ensure that the elector appears on the next registration list provided to the municipality or issue the elector a certificate of registration.

Rule 6. Election Judges 6.1 Appointment of election judges under section 1-6-104, C.R.S. 6.1.1 Except for a state primary election, the county clerk must request an updated list of election judges from each major party before each election the clerk conducts under the Uniform Election Code. Each party must provide that list to the county clerk no later than 90 days before election day. For the state primary election, each party must provide a list of election judges no later than the first Tuesday of April preceding the election, as required by section 1-6-103, C.R.S. 6.1.2 No later than the Friday before precinct caucuses, the clerk must provide each major party with an estimate of the number of judges needed for each position and the general time commitment required for each position for the upcoming primary, general, and odd-year coordinated election. The clerk may update this estimate for each major party prior to an election. 6.1.3 Except for a state primary election, the county clerk must reasonably attempt to exhaust the precinct caucus and updated list provided by the major parties by the 90 day before an election. If, by the 90th day before an election, a major political party fails to provide a sufficient list of election judges who are available for the county to staff all of the election judge positions, dates, and times needed by the county for that election, the county clerk may appoint additional major party, minor party, or unaffiliated judges to fill any remaining positions. For a state primary election, the county clerk may appoint additional major party, minor party, or unaffiliated judges after reasonably attempting to exhaust the precinct caucus list and list of election judges provided in accordance with section 1-6-103, C.R.S. 6.1.4 When the county clerk is filling election judge vacancies under section 1-6- 113(1), C.R.S., the clerk may choose from any of the available major party, minor party, or unaffiliated judges. 6.1.5 The county clerk must provide a list of election judges, including political party affiliations and assignments, if known, to each appointing party no later than 35 days before election day. Upon request by an appointing party, the clerk must provide a supplemental list no later than seven days before the date on which the county will open its first voter service and 6.1.6 The county clerk may not ask an election judge or county staff member to change his or her party affiliation to achieve the bipartisan balance required under section 1-6-109, C.R.S. 6.1.7 The county clerk may not hire the sheriff, current sheriff staff, or other personnel currently involved in the day-to-day operations of a county jail or detention facility as an election judge for the in-person voting event required by section 1-7.5-113.5(4)(a)(I), C.R.S. 6.1.8 The county clerk may consider an unaffiliated elector’s service as an election judge in previous elections as a request under section 1-6-103.7, 6.2 Assignment of election judges 6.2.1 The county clerk may assign an election judge based upon appropriate skill level and interest. If a major party objects to the initial election judge assignments provided by the clerk under Rule 6.1.4, the political party may contact the clerk and nominate judges for replacement. The clerk must consider the new nominations. 6.2.2 Prior to assigning an election judge to perform signature verification, the county clerk must review any data available from that judge’s signature verification work in a previous election in the same county. If the judge had an unexplained, irregular acceptance or rejection rate the clerk may not assign that judge to conduct signature verification. 6.2.3 The county clerk may remove or reassign an election judge performing signature verification at any time for cause, which may include, but is not limited to:

(a) An inability to perform signature verification;

(b) An inability to serve for the requisite amount of time needed; or (c) An irregular acceptance or rejection rate, as determined by the county clerk. 6.3 The county clerk may not personally conduct signature verification. 6.4 Except for UOCAVA ballots and ballots received for counting after election day: 6.4.1 Absent written consent by each major party county chair, a county with 5,000 or more active electors on the 90 day before election day may not use regular staff as signature verification judges. 6.4.2 A county with fewer than 5,000 active electors on the 90 day before election day may use regular county staff that are sworn in as election judges to conduct signature verification. 6.5 For purposes of training election judges, an “election cycle” means all elections held during a calendar year beginning January 1 and ending December 31. 6.6 In lieu of the oath for other election judges prescribed in section 1-6-114, C.R.S., each student election judge must take a self-affirming oath or affirmation before serving, in substantially the following form:

“ I, ________________ do solemnly swear (or affirm) that I am a citizen of the United States and state of Colorado; that I am at least 16 years of age and a High School Junior or Senior; that I will perform the duties of an election judge according to law and to the best of my ability; that I will studiously strive to prevent fraud, deceit, and abuse in conducting the same; that I will not try to determine how any elector voted, nor will I disclose how any elector voted if in the discharge of my duties as a student election judge such knowledge shall come to me, unless called upon to disclose the same before some court of justice; that I have never been convicted of election fraud, any other election offense, or fraud and that, if any ballots are counted before the polls close on the date of the election, I will not disclose the result of the votes until after the polls have closed.” 6.7 Subject to the limitations provided in section 1-6-111, C.R.S., a county clerk may appoint student election judges to complete any task assigned to any other election judge. Student election judges must be considered as affiliated with a party, or unaffiliated, as reflected in that student election judge’s voter registration record. If the student election judge is not registered to vote, the student must be considered unaffiliated. 6.8 A supervisor judge in a voter service and polling center must complete a training course conducted by the county clerk. The Secretary of State must provide or approve the training content. Training content which is approved by the Secretary of State is only valid for the calendar year in which it is approved. A supervisor training approved in the calendar year before a presidential primary is valid for the presidential primary. 6.9 A signature verification judge must successfully complete a training course conducted by the county clerk prior to each election. The county clerk must use the Secretary of State’s provided training and may provide additional training. If the county clerk provides their own training, it must be approved by the Secretary of State each year before its first use. A signature verification training approved in the calendar year before a presidential primary is valid for the presidential primary. 6.10 The county clerk must inform the Secretary of State’s office within two business days, in writing, of the fact that an election judge has been removed from duty under sections 1-6-119(2)–(4) and 1-6-120, C.R.S., by the county clerk.

Rule 7. Elections Conducted by the County Clerk and Recorder 7.1 Election plans 7.1.1 The county clerk must submit an election plan to the Secretary of State no later than 110 days before every election. The county clerk must submit with the election plan all information required by section 1-7.5-105 (1.3), 7.1.2 To request a waiver from the requirements of section 1-5-102.9 (c)(III)(A), C.R.S., a county clerk must complete and submit the approved waiver form no later than the filing of their election plan. 7.1.3 Approval of election plans and submission of amendments (a) If the Secretary of State requests modifications to a plan before approval, the county clerk must submit the modified plan within ten days from the request. The Secretary of State will approve or disapprove the modified plan within 15 days from the date it is received.

(b) A county clerk may amend a timely submitted election plan by submitting a written statement outlining the amendment. The amendment must state the specific section of the plan amended and the reason for the amendment. The Secretary of State will approve or disapprove the amendment within 15 days from the date it is received. If the amendment is received within 30 days before the election, the Secretary of State will approve or disapprove the amendment within two business days. 7.2 Ballots and ballot packets 7.2.1 In accordance with section 1-7-116(1), C.R.S., for all coordinated elections, the outgoing envelope, instructions, or other notice must include a notice advising electors that they may receive a ballot from another political subdivision conducting a mail ballot election. 7.2.2 If the ballot is returned to the election official as undeliverable, the county clerk is not required to re-mail the ballot packet. 7.2.3 The county clerk must process all new registration applications and updates received by the 22-day deadline to mail applicants a ballot in accordance with section 1-7.5-107(3), C.R.S. 7.2.4 Voiding ballots due to timely changes in address or affiliation.

(a) If an elector timely changes their address or affiliation after the county mails ballots or sends the voter file to the vendor, the county must void the first ballot and generate a second ballot. If the county processes the change to the elector’s record after it sends the voter file to the vendor but before the vendor prints ballots, the county must provide the vendor a voided ballot file to prevent the vendor from printing and preparing voided ballots for mailing.

(b) If the county mails its own ballots, the county clerk must remove all voided ballots before mailing.

(c) If the county processes the change to the elector’s record after it mails ballots, the county must count the first ballot returned by the elector in accordance with section 1-7.5-107(6), C.R.S., except where an elector is affiliated with a political party, the county may only count the ballot issued for the elector’s new party affiliation.

(d) In a coordinated election that includes a general assembly vacancy race or county commissioner vacancy race, if the county clerk processes a change to the elector’s party affiliation on the 22nd day or prior, but after the vendor has printed or mailed its ballots, and the elector’s change in affiliation would allow the elector to vote in the general assembly vacancy race or county commissioner vacancy race when they could not have done so before, the county clerk must wait until all ballots are received to determine if the voter returned the ballot with the vacancy race included. If the elector returns the ballot with the vacancy race, the county may only count that ballot. If the elector only returns their original ballot without the vacancy race, the county must count that ballot. 7.2.5 Each mail ballot return envelope and mail ballot instruction must include a statement informing voters that it is a violation of law to receive more than ten ballots for mailing or delivery in any election. 7.2.6 A county that uses a vendor to mail ballots must print the elector’s full name under or near the self-affirmation signature line on each ballot return envelope. 7.2.7 The county clerk must provide a space on the ballot-return envelope for a witness to the elector’s mark to provide his or her full legal name. 7.2.8 The mail ballot packet required under sections 1-4-101(2)(b) and 1-4- 1203(4)(c), C.R.S. must contain only the ballots of each participating major political party unless a major party’s presidential primary election has been cancelled under section 1-4-1203(5), C.R.S. 7.2.9 An unaffiliated voter who wants to receive the mail ballot of a participating minor political party in the mail must request a replacement mail ballot or in-person ballot of that minor political party. 7.2.10 A voter affiliated with a qualified political organization is considered an unaffiliated voter for the purposes of Rule 7.2. 7.2.11 A voter affiliated with a political party that is not participating in the primary election will not receive a mail ballot. 7.2.12 The mail ballot return envelope for each unaffiliated voter in a primary election may provide a means for the county to determine, before opening the envelope, which party’s primary election ballot the elector returned. If the mail ballot return envelope does not provide such a means, or the county cannot determine which party’s ballot the elector returned before opening the envelope, the county must follow the process outlined in Rule 7.4.14. The county’s determination under this Rule may not rely solely on a voter’s self-reported selection (for example, a checkbox). 7.2.13 Each mail ballot return envelope and mail ballot instruction for an unaffiliated voter must include a statement instructing the voter to return only one ballot. 7.2.14 The county clerk must issue a replacement mail ballot packet that contains ballots of all participating major political parties to an unaffiliated elector who requires or is eligible for a replacement ballot. If an unaffiliated voter requests a ballot for a minor political party that is participating in the primary election and allows unaffiliated voters to vote, the unaffiliated elector must be issued a replacement ballot with only that party’s ballot included. 7.2.15 Print vendors may overlay a 2-D barcode for purposes of mailing and insertion provided that it only contains the precinct number and ballot style name and the information in the barcode is not traceable to any individual voter. 7.2.16 A county coordinating a mail ballot election with a special district in which property owners are eligible to vote under section 32-1-103(5)(a)(II), C.R.S., must automatically mail property owner ballots to active, registered voters who are certified as eligible by the district’s designated election official. 7.2.17 Hole in return envelopes (a) No county clerk may use a ballot return envelope with a hole or any other opening of any size where the target area for any contest on a ballot can be seen in any way.

(b) If a county intends to use ballot return envelopes with a hole punch or other opening, the county must provide written certification to the Secretary of State that:

(1) The diameter of any hole punch is smaller than the size of any target area bubble on the ballot that is to be enclosed within the envelope;

(2) The location of any hole punches or other openings are situated on the ballot envelope in locations to assist the visually impaired in locating where on the envelope they should sign the envelope; and (3) The envelopes have been manually inspected and tested by the county clerk to ensure that no target areas are visible through the hole punches or other openings in the envelope considering all the ways a ballot could be reasonably folded and inserted into the envelope. 7.2.18 A county clerk who uses a mail ballot printing vendor must work with their vendor to establish a quality control process for all printed materials. 7.3 Emergency ballot transmission 7.3.1 The county clerk may deliver a replacement ballot as required by section 1- 7.5-115, C.R.S., to an elector’s authorized representative or to the elector by electronic transmission in the case of an emergency replacement ballot under section 1-7.5-115, C.R.S., upon receipt of a completed application by the elector. If the county clerk delivers an emergency replacement ballot to an elector by electronic transmission, the elector may return the ballot by electronic transmission. 7.3.2 Voters who request an emergency ballot be sent to them electronically must be directed by the county clerk to the online ballot delivery system maintained by the Secretary of State to receive their ballot electronically.

The Secretary of State will maintain information regarding emergency ballots accessed using the online ballot delivery system. 7.3.3 The county clerk may send an emergency ballot and all materials provided in the online ballot delivery system by other means, including by fax or inperson through an authorized representative who presents a written statement from the voter, if the voter requests that method of delivery. 7.3.4 Upon receipt of the ballot, election judges must verify the signature on the affidavit under Rule 7.7. After the signature on the affidavit has been verified, a bipartisan team of election judges must duplicate the ballot following the procedures outlined in Rule 18. Duplicating judges must not reveal how the elector has cast his or her ballot. 7.4 Receipt and processing of ballots 7.4.1 The county clerk must adequately light all drop box locations and use a video security surveillance recording system to monitor each location.

(a) Drop box locations must be monitored when they are open to receive ballots.

(b) If the drop box location utilizes a drop-slot into a building, the ballots must be collected in a locked container, and both the dropslot and container must be monitored.

(c) Signage at each drop box location must inform voters that it is a violation of law for any person to collect more than ten ballots for mailing or delivery in any election, and that electioneering is prohibited within 100 feet of any drop box.

(d) The minimum number of drop box locations must be open 24 hours a day through 7:00 p.m. on election day.

(e) Video security surveillance must be retained by the county clerk as an election record.

(f) The county clerk must ensure that video security surveillance is ongoing at each open drop box by:

(I) Visually confirming once per business day, and the Saturday and Sunday before election day, that the surveillance is operational for those cameras the county clerk can access remotely;

(II) Confirming via an email to a third party or other government agency who maintains and operates a camera, once per business day, and the Saturday and Sunday before election day, that the surveillance is operational for that camera. The clerk shall maintain a copy of the email confirming operation of the camera throughout the conclusion of the contest period, or any open contest for that election; and (III) Otherwise confirming on each visit to pick up ballots from a drop box that the surveillance is operational for any other ballot drop box camera.

(g) Drop box key security (I) The county clerk must assign and securely affix a unique identifier to each key used to open a ballot drop box. The county clerk may use a manufacturer assigned serial number on a key for this purpose, if present.

(II) The county clerk must handle ballot drop box keys in a secure manner at all times. The county clerk must store any key, when not in use by an election judge, in a secure container with at least one seal. Upon delivery to an election judge for use, election judges or county personnel must verify, and indicate by signing and dating the chain-ofcustody log, that all seal numbers for the key storage container match those listed in the log.

(III) The county clerk must maintain a complete inventory of drop box keys, including which drop boxes those keys may be used to open during an election. At the beginning and end of each day in which the keys will be used to pick up ballots, election judges or county personnel must verify that all keys maintained by the county are present. If at any time election judges or county personnel cannot account for all drop box keys, the county clerk must submit an incident report to the Secretary of State under Rule 20.12.2. 7.4.2 Each day when ballots come in, an election official must count the ballot envelopes, batch them and record the number of ballots received. 7.4.3 A county clerk who receives an application and ballot from a voter with a disability covered under section 1-5-706, C.R.S. must maintain a log of each ballot and application received under this section. The county clerk must retain the log as part of the official election record. The log must include: the name of the voter; the date the ballot packet was received; and the initials of the election judge or employee who received the ballot. 7.4.4 An election official must date-stamp and process the returned ballot envelopes in SCORE immediately upon receipt at the ballot processing location. Except for ballots submitted by military or overseas electors, any ballot received after the close of polls must be date-stamped but not 7.4.5 The county clerk must arrange for the collection of ballots by bipartisan teams, of election judges and/or staff, from each drop box location once it is open and receive the ballots into SCORE.

(a) For counties with less than 250,000 active electors as of the previous general election, at least twice on election day, at approximately 1:00 p.m. and 7:00 p.m.

(b) The county clerk may meet the requirements of this Rule following the requirements of section 1-7.5-107(4.3)(c)(II), C.R.S. 7.4.6 Election officials must record the number of ballot packets returned as undeliverable and receive the ballot packets in SCORE upon receipt. 7.4.7 After election judges verify the elector’s eligibility and signature, the county clerk must dissociate and segregate the mail ballot return envelope from the secrecy sleeve, if applicable, and a voted ballot in a manner that ensures no person is able to determine how an individual voted. 7.4.8 If the county clerk discovers a violation of section 1-7.5-107(4)(b), C.R.S., prohibiting any person from receiving more than 10 ballots in addition to his or her own in any election, the county clerk must refer the information to the District Attorney and receive the ballots delivered by that person. 7.4.9 Before tabulating ballots, the county clerk must, to the extent practicable, dissociate counting batches from any SCORE batch number that could trace a ballot back to the specific voter who cast it. 7.4.10 Intercounty transfer of ballots (a) If an elector delivers a statewide or mail ballot to the county in which they do not reside, the county who initially received the ballot must take the following actions:

(1) If received before 7:00 p.m. on election day, date stamp the ballot envelope with a stamp that identifies that the ballot was received before 7:00 p.m. on election day, and noting the county where the ballot was received;

(2) Forward the ballot to the correct county;

(A) On and after election day, the ballot must be physically delivered, sent by next-day delivery if available, or sent by first class mail if next-day delivery is not available to the correct county.

(B) Ballots must be physically delivered or mailed no later than two days after election day.

(C) Ballots that are mailed must be sent to the mailing address provided by the receiving county clerk.

(3) If the ballot will be mailed, notify the county where the ballot will be sent via email when the ballot has been placed in the mail, the ballot tracking number, and the method of delivery for the ballot; and (4) Beginning the day before election day, send, by secure electronic transmission, a scanned image of the outside of the mail ballot envelope, including the signature, to the county where the ballot will be sent. A county that physically delivers ballots to another county no later than the next business day, or immediately transmits them by next-day delivery, is not required to scan the envelope. The county receiving the image may perform signature verification upon receipt of the image.

(b) The correct county must treat the ballot as received as of the date and time of the date stamp. 7.4.11 County clerks who deliver or receive ballots from electors who are confined in a county jail or detention facility must maintain a log of the number of ballots delivered and received from each facility and provide the log to the Secretary of State’s office following an election that is not conducted in November. The county clerk must separately maintain a log of the number of voter registration forms received from the county jail or detention facility, or submitted to county clerk personnel who are on-site at the jail or facility. 7.4.12 If an election judge is unable to determine, before opening the envelope, which party’s ballot an unaffiliated elector returned as outlined in Rule 7.2.12, the county must separate the elector’s ballot from the envelope in the following manner:

(a) An election judge must remove the ballot from the mail ballot return envelope and pass it to a bipartisan team of judges without allowing the team of judges to determine the identity of the elector.

(b) The bipartisan team of election judges must review the ballot and audibly report to the first election judge which political party’s election the elector voted in.

(c) The first election judge must record in SCORE which political party’s election the elector voted in, or document the proper party information for later recording in SCORE. 7.4.13 If an unaffiliated elector returns more than one ballot in a primary election, a bipartisan team of election judges must review the ballots to determine the elector’s intent in accordance with the Secretary of State’s Voter Intent Guide.

(a) If the bipartisan team determines the elector voted in only one party’s primary election, the election judge with access to the envelope must record the party chosen in SCORE and the ballot must be counted. The county must retain any unvoted ballot as an election record.

(b) If the bipartisan team determines the elector voted in more than one party’s primary election, or returned only blank ballots, the county must reject the ballots, not count them, and retain them in the mail ballot return envelope as an election record. 7.5 Ballot returned in unofficial envelope 7.5.1 If the county timely receives a mail ballot from an eligible elector in an envelope that is missing or lacks the correct self-affirmation, the county must contact the elector by mail and by email, if available, within three calendar days of receiving the ballot but no later than two calendar days after election day. The county must use the letter and affidavit prescribed by the Secretary of State and keep a copy as part of the official election record. 7.5.2 If the county receives the completed affidavit no later than the eighth day after election day, the county must count the ballot. 7.5.3 A county that receives a ballot from a voter with a disability covered under

section 1-5-706, C.R.S., in an unofficial envelope must accept the ballot for processing if the envelope also contains a signed application from the voter. 7.6 Mail ballot cure procedures 7.6.1 Except as provided in Rule 7.6.4, the county clerk must follow the procedures for discrepant signatures outlined in section 1-7.5-107.3(2)(a), C.R.S., if:

(a) A mail ballot return envelope lacks a signature;

(b) A provisional ballot return envelope lacks a signature;

(c) A ballot from a voter with a disability covered under section 1-5- 706, C.R.S., is returned without an application; or (d) A ballot from a voter with a disability covered under section 1-5- 706, C.R.S., is returned with an application that is not signed and does not include a copy of an acceptable form of identification as defined by section 1-1-104(19.5), C.R.S. 7.6.2 The county clerk must use the letter and form prescribed by the Secretary of State and keep a copy as part of the official election record. 7.6.3 If the county clerk uses any means in addition to mail or electronic mail to contact any elector regarding a missing or discrepant signature or missing ID, he or she must attempt to contact all similarly situated electors whose registration records have the same type of contact information. 7.6.4 If an elector fails to cure a missing signature, the county clerk need not send a copy of the mail ballot return envelope to the district attorney for investigation. 7.6.5 The county clerk must accept any completed cure form for a missing or discrepant signature, or a missing ID, that the county receives by 11:59 pm MT on the eighth day after the election. 7.7 Signature verification procedures 7.7.1 When reviewing signatures through the use of signature verification judges, the county clerk must follow the requirements of section 1-7.5- 107.3(2), C.R.S., for the initial and second level review of signatures, (a) The requirement that a single election judge conducts the initial level of signature verification; and (b) The requirement that a bipartisan team of election judges review an escalated signature. That bipartisan team may not include the election judge who made the first decision to reject a signature. 7.7.2 If the elector’s signature appears anywhere on the ballot return envelope, the election judge must verify the signature in accordance with section 1- 7.5-107.3, C.R.S. 7.7.3 An election judge conducting signature verification must compare the selfaffirmation signature on each ballot return envelope with the elector’s signature in SCORE in accordance with the Secretary of State’s Signature Verification Guide. A signature on a mail ballot envelope that is consistent with a signature for the voter in SCORE is one that is more likely than not to be the signature of the voter. A signature that is consistent must be accepted as a match. 7.7.4 If an election judge must conduct further research on an elector’s signature, he or she must check SCORE for additional documents signed by the voter, if available. 7.7.5 An election judge may compare additional information written by the voter on the return envelope, such as the voter’s address and date of signing.

Any similarities noted when comparing other information may be used as

part of the signature verification decision process. 7.7.6 If an election judge determines that a voter inadvertently returned his or her ballot in another household member’s ballot return envelope, the election judge must process and prepare the ballot of the elector who signed the self-affirmation for counting if it is otherwise valid. The election judge need not send a signature discrepancy letter to the voter. 7.7.7 If, after bipartisan review, the election judges determine that a signature is discrepant, the judges must document the discrepancy and the research steps taken in a log that:

(a) Identifies the elector only by name and voter identification number.

(b) Does not contain the elector’s signature.

(c) Notes the final resolution and ballot disposition.

(d) Identifies the election judges responsible for final resolution and ballot disposition. 7.7.8 Signature verification judge audits (a) The county clerk must audit decisions made by election judges conducting signature verification.

(b) The audit must:

(1) Review, in total over an entire election, at least two percent or 50 decisions, whichever is less, of randomly selected decisions made by each election judge or bipartisan team;

(2) Be conducted on the same day or the next business day after signatures are reviewed by human judges until the requisite amount of reviews have been met;

(3) Review the decisions of each election judge or bipartisan team of judges who conducted signature verification;

(4) Be conducted by trained election judges or county election staff who have completed the signature verification training program provided by the Secretary of State or approved by the Secretary of State. The individuals conducting the audit may work alone or as a team of two, and multiple individuals or groups may work simultaneously;

(5) Not allow an election judge or staff member to audit their own verification work; and (6) Be recorded with the detailed information provided on a form approved by the Secretary of State.

(c) After conducting the audit, if the county clerk determines that an election judge or team of election judges is incorrectly applying signature verification procedures, the clerk must retrain or remove that judge or team of judges from conducting signature verification. 7.7.9 The election official must use the letter and the signature verification form approved by the Secretary of State. 7.7.10 If the county uses a ballot sorting and signature capture device, the county clerk must test the device before using it in an election to ensure that it properly sorts envelopes, and accurately and clearly captures the signature on the envelope for comparison to the correct voter record. The device must also capture an image of the full side of the mail ballot envelope that contains the signature. 7.7.11 Use of automated Signature Verification Devices under section 1-7.5- 107.3(5)(b), C.R.S.

(a) The county clerk must test Signature Verification Devices at the beginning of an election by following the procedures in this rule.

(1) The testing must verify the accuracy of the device and ensure that the device will not accept a signature that a reasonably trained election judge would reject.

(2) The county must pull and test at least the first 150 ballot envelopes received in the election and conduct an audit of the machine-verified signatures.

(A) A team of bipartisan election officials must manually review the signatures identified on the Automated Signature Recognition report following the procedures in section 1-7.5-107.3, C.R.S., and this Rule.

(B) If both election judges agree that a signature accepted by the device would not have been accepted if reviewed by election judges, the county must immediately cease use of automated signature verification and notify the Secretary of State. The county clerk must not resume use until the Secretary of State and the county have worked in coordination to identify the issue and implement a solution.

(C) The election judges conducting the audit must sign and date the Automated Signature Recognition Report and the report must be maintained with all other election records under section 1-7-802, C.R.S.

(b) The county must conduct a regular audit of each Signature Verification Device during its use.

(1) The county must pull a random sampling of at least five in every one-hundred machine-verified signatures daily.

(2) A team of bipartisan election judges must manually review the signatures identified on the Automated Signature Recognition report following the procedures in section 1-7.5- 107.3, C.R.S., and this Rule.

(3) The election judges conducting the audit must sign and date the Automated Signature Recognition Report and the report must be maintained with all other election records under

section 1-7-802, C.R.S.

(4) If both election judges agree that a signature accepted by the device would not have been accepted if reviewed by election judges, the county must immediately cease use of automated signature verification and notify the Secretary of State. The Secretary of State and the county must work in coordination to identify the issue and implement a solution.

(5) No later than 90 days after election day, the county clerk must provide to the Secretary of State a report of the ballots audited under this rule on the form approved by the (c) The county must operate the device on a secure network.

(1) The county may connect the device to the county network only for maintenance and support.

(2) The device must be secured by the county firewall.

(3) The county must maintain a maintenance and support log that includes the name of the person providing maintenance or support, the date and time the device was accessed, and the specific reason for access. 7.7.12 If a county uses a signature capture device to compare a ballot envelope signature to a signature maintained in SCORE, the system may display only one voter’s signature at a time. 7.7.13 Following the election, the county clerk must report to the Secretary of State in writing the number of ballot return envelopes with discrepant signatures that the clerk forwarded to the district attorney for investigation. 7.7.14 On the first Wednesday of every August, the Department of State will provide to each county clerk a list of active registered and pre-registered electors aged 17 to 25, and active registered electors who have fewer than two reference signatures in SCORE. The list will not include voters who have an accepted signature from an election conducted within the prior three months. No later than September 15th, the county clerk must send correspondence on a form approved for use by the Department of State to every individual on the list provided by the Department of State to request an additional reference signature. The correspondence must be sent to the elector’s mailing address on file and must also be sent by email and text, if available. Any signature returned by an elector must be added as a reference signature to the elector’s voter file. 7.8 Voter service and polling centers 7.8.1 The county clerk must designate and open the minimum number of voter service and polling centers as required in section 1-5-102.9, C.R.S., for a general election and section 1-7.5-107(4.5), C.R.S., for all primary and coordinated elections.

(a) For a general election, the minimum number of voter service and polling centers must be open beginning 15 days before election day during the following hours:

(1) In a county described in section 1-5-102.9 (1)(a)(I) or (1)(a)(II), C.R.S., voter service and polling centers must be open from 8 A.M, to 5 P.M. Monday through Friday, and the second Saturday.

(2) In all other counties, voter service and polling centers must be open during normal business hours, which means at least eight hours per day Monday through Friday, and at least four hours continuously on the second Saturday.

(b) For any primary or November coordinated election, the minimum number of voter service and polling centers must be open beginning 8 days before election day during normal business hours, which means at least eight hours Monday through Friday, and at least four hours continuously on Saturday.

(c) All voter service and polling centers must be open from 7:00 a.m. through 7:00 p.m. on election day.

(d) Signage at each voter service and polling center must indicate that it is a violation of law for any person to collect more than ten ballots for delivery in any election. 7.8.2 When determining where in a county a voter service and polling center or drop box should be placed in a general election, a county clerk must take into consideration the recommendations given by the voter center siting tool. The tool will be provided for use by the Department of State. 7.8.3 In order to assist applicants and electors efficiently, a county clerk must configure voter service and polling centers with sufficient election judges, WebSCORE workstations, voting equipment, and sufficient numbers of mail and in-person ballots that can be tabulated by the county’s voting system without further duplication, and other supplies. A county may satisfy this Rule by providing a sufficient number of ballot marking devices or ballot-on-demand printers. 7.8.4 Except for voters with disabilities, the maximum allowable time in a voting booth is 15 minutes if there are voters waiting. The Secretary of State may order additional time based on the length of the ballot. 7.8.5 An election judge must offer all electors who appear at a voter service and polling center the option to use a ballot marking device, a hand marked paper ballot, or to receive a mail ballot. If a county fails to offer its electors the options available at a voter service and polling center, the Department may implement a remedial program similar to that described in Rule 16.1.8. 7.8.6 If a voter leaves the voting area without completing the voting process, two judges of different affiliation must, to the extent possible, cover the voter’s choices, and cast the ballot as the voter left it. 7.8.7 An unaffiliated elector voting in person at a voter service and polling center in a primary election must state which party’s election he or she chooses to vote in, and the election judge must indicate the voter’s selection in WebSCORE and provide the voter with that party’s ballot. 7.8.8 On election day, a county must measure and record the wait time at each of its voter service and polling centers in accordance with the Secretary of State’s written wait time policy document. 7.8.9 Each county must report its wait time data results to the Secretary of State no later than 30 days after the election. 7.8.10 A county clerk that receives notice of a petition for extending the hours of any voter service and polling center on election day must immediately notify the Secretary of State of the order. If an order is entered by any court that extends the hours of any voter service and polling center in the state, all counties must wait to post, publish, or disclose election night results until the time for the extension has passed; except that a county may upload its results to the secretary of state. The Secretary of State’s office will not publish results on the Election Night Reporting system until all polls have closed. 7.8.11 The county clerk of any county that has a tribal council headquarters located within the county borders must notify the tribal council by letter that the tribal nation has the right to request that a voter service and polling center be located within the boundaries of the tribal nation in the upcoming general election. The county clerk must send this notification by mail no later than 225 days before the date of any general election. 7.8.12 In any election in which the multilingual hotline created by section 1-5-904, C.R.S., is in operation, the county clerk must provide the following at each voter service and polling center:

(a) A sign approved by the Secretary of State that indicates that the multilingual hotline is available for use;

(b) A telephone that can be used by a voter to access the multilingual hotline;

(c) No later than the 2026 general election, a device that is capable of displaying and sharing video to access video relay interpretation through the multilingual hotline;

(d) A designated staff person or election judge who can assist the voter to access and use the multilingual hotline; and (e) To the extent feasible, an area where the voter may utilize the multilingual hotline while privately marking their ballot. 7.9 The county clerk must complete an accessibility survey for all drop box and voter service and polling center locations annually before designating a location for use, and no later than 120 days before an election, the county clerk must designate drop-off, drop box, and voter service and polling center locations. In a presidential election year, the county clerk’s accessibility survey for the presidential primary election serves as the annual survey for that voter service and polling center or drop box through the following general election. 7.9.1 For the first survey of a location, the county clerk must complete the full ADA Checklist for voter service and polling centers. The county clerk must complete the Annual Voter Service and Polling Center Accessibility Survey form for each location designated for use in an election year after the initial survey is completed. 7.9.2 If a location fails to meet the minimum accessibility requirements outlined in the ADA Checklist, the county clerk must develop a barrier removal plan outlining the modifications that the county clerk will implement to bring the site into compliance. The county clerk must indicate on the survey whether the modifications are temporary or permanent. 7.9.3 The Department of State will conduct site visits to assess compliance and identify accessibility barriers. The Secretary will seek injunctive action or other penalties under section 1-1-107(2)(d), C.R.S., as necessary to remedy violations of this Rule. 7.9.4 Prior to each election the county clerk must provide the Department of State with the name of the person or persons who will serve as the accessibility coordinator or accessibility coordinators for that election. 7.10 Voter service and polling center connectivity 7.10.1 The county must have real-time access to SCORE and WebSCORE at every voter service and polling center. 7.10.2 At no time may an election official open simultaneous sessions of both SCORE and WebSCORE on a single workstation. 7.10.3 Every voter service and polling center designated by the county clerk must meet the minimum security procedures for transmitting voter registration data as outlined in section 1-5-102.9, C.R.S., and Rule 20.9.1(b). 7.11 At each voter service and polling center, election judges and, if appropriate, election staff, must: 7.11.1 Provide all services outlined in 1-5-102.9, C.R.S., including providing blank cure forms and collecting completed cure forms for voters who wish to cure their ballot in accordance with sections 1-2-502.5 (4)(c), 1-7.5-107 (3.5)(d), or 1-7.5-107.3 (1.5), C.R.S.; and 7.11.2 Use WebSCORE to register voters; update existing voter registrations; issue and replace mail ballots; and issue, spoil, and replace in-person 7.12 Assisting voters with disabilities in a voter service and polling center 7.12.1 The designated election official must post a sign at the voter service and polling center that states:

NOTICE

VOTING ASSISTANCE FOR ELECTORS WITH DISABILITIES

Colorado law protects a voter’s legal right to assistance in voting if assistance is needed because of a disability.

1. If you require assistance, please inform an election judge.

2. Any person, including an election judge, may assist you.

3. If you select a person other than an election judge, he or she must complete a Voter Assistance Form, which includes an oath that states:

I, ........., certify that I am the individual chosen by the elector to assist the elector in casting a ballot. I further certify that I will not in any way attempt to persuade or induce the elector to vote in a particular manner, nor will I cast the elector’s vote other than as directed by the elector I am assisting.

4. The person you select may provide any assistance you need, including entering the voting booth, preparing the ballot, or operating the voting machine.

5. The person assisting you may not seek to persuade you or induce you to vote in a particular manner.

6. The election judge must record the name of each voter who receives assistance and the name of the person who provides assistance on the signature card. 7.12.2 If a voter has spoiled two ballots and requests a third ballot, an election official must offer assistance in voting and casting the ballot. 7.13 Voter history 7.13.1 After the canvass, the designated election official must give vote credit to each person who voted in the election. 7.13.2 If the voter history records do not match the number of voters at that election, the designated election official must ensure the following:

(a) Each voter received credit; and (b) All signature cards are accounted for. 7.13.3 The designated election official must explain and document all research concerning discrepancies. 7.14 Reimbursement to counties for state elections. 7.14.1 No later than 90 days after election day, the county must submit a completed request for reimbursement under section 1-5-505.5, C.R.S. The county must submit the request using the form provided by the Secretary of State, along with supporting documentation concerning the specific reimbursements being requested. 7.14.2 The following direct costs are deemed necessary and reasonable for an election and thus reimbursable by the state under section 1-5-505.5, C.R.S.:

(a) The salary or hourly wages for permanent staff, temporary staff, election judges, and canvass board members that meet the following criteria:

(1) Overtime wages for county personnel for overtime spent performing election duties from the date of ballot certification through the completion of the canvass or a recount, whichever is later; and (2) Wages for temporary staff, election judges, and canvass board members for time spent performing election duties from the date of ballot certification through the completion of the canvass or a recount, whichever is later;

(b) Direct costs attributable to the hiring, training, and support of the work of election judges for that election, including:

(1) Creation, printing, and presentation of election judge training materials;

(2) Mileage paid to election judges for necessary and reasonable use of the election judge’s personal vehicle for election-related tasks;

(3) Mobile phone or other electronic device operating costs for devices issued to election judges; and (4) Food provided to election judges;

(c) The printing and mailing costs that meet the following criteria:

(1) Ballot printing and insertion costs that are billed and paid by the county to a third-party vendor in connection with the specific, covered election. This includes direct costs to print mail, in-person, provisional, state, and test ballots, as well as the cost to insert ballots into mail ballot envelopes;

(2) Ballot printing costs incurred by a county that prints some or all ballots in-house at a reimbursable rate of $0.05 per page, or a higher rate if the county can document the actual cost of in-house printing at the requested higher rate;

(3) Ballot envelope printing costs that are billed and paid by the covered election. This includes outgoing and return envelopes and any labels;

(4) Additional ballot material printing and insertion costs for inserts or other materials that are required by statute or rule and that are included in a ballot packet mailing where such costs are billed and paid by the county to a third-party vendor in connection with the specific, covered election. This includes the cost to print and insert voter instructions, or other required mail ballot inserts;

(5) Printing and mailing costs for correspondence that is required by section 1-2-508(3)(a)(I) and Articles 7.5 and 8.5 of Title 1, C.R.S., and Rules 7.5, 7.6.1, and 17.2.7;

(6) Forms printed for use at a voter service and polling center and central counting facility;

(7) Election notice printing, mailing, and publication costs. This includes the cost to publish the statutory notice of election that is billed and paid by the county to a news organization in connection with the specific, covered election;

(8) Ballot shipping and mailing costs that are billed and paid by the county to the postal service or a third-party vendor in connection with the specific, covered election. This includes costs to ship outgoing ballots for delivery and postage for outgoing ballots;

(9) Ballot-on-demand supplies that are billed and paid by the covered election. This includes the cost to purchase card stock, toner, and other necessary materials for the operation of ballot-on-demand printers in connection with the specific, (10) Postage for undeliverable returned mail ballots and other correspondence required by section 1-2-508(3)(a)(I) and Articles 7.5 and 8.5 of Title 1, C.R.S., and Rules 7.5, 7.6.1, and 17.2.7 in connection with the specific, covered election;

(11) Insufficient postage costs for ballots and other correspondence returned by the county’s voters in connection with the specific, covered election; and (12) Intercounty ballot transfer mailing or delivery costs in connection with the specific, covered election. This includes the cost to mail, ship, or physically deliver statewide ballots and other ballots returned to the county in which the elector does not reside;

(d) Ballot programming and election services, including:

(1) Third-party vendor onsite support during the specific, covered election that is deemed necessary to the execution of the election, rather than complementary from the vendor;

(2) Third-party ballot layout and programming support for the specific, covered election; and (3) Third-party ballot-on-demand ballot programming support for the specific, covered election;

(e) Voter service and polling center costs, including:

(1) Location rental expenses that are billed and paid by the county in connection with the specific, covered election;

(2) Office supplies that are purchased by the county for use at the voter service and polling center during the specific, (3) Equipment rental expenses for equipment used at voter service and polling center that are billed and paid by the (4) Ballot and equipment delivery and collection expenses that are billed and paid by the county to a third-party vendor in connection with the specific, covered election; and (5) Remote connectivity for voter check-in equipment that is billed and paid by the county to a third-party vendor in connection with the specific, covered election;

(f) Security expenses that are not separately covered by grants or other funding from either the Department’s security grant program or from other state or federal sources, including:

(1) Incremental additional video surveillance storage costs documented by the county clerk as directly attributable to the specific, covered election and that is billed and paid by the county to a third-party vendor;

(2) Seals purchased for use during the specific, covered election;

(3) Colorado Bureau of Investigation background checks requested in connection with the specific, covered election;

(4) On-site security personnel contracted to provide security for elections staff and processes that are billed and paid by the county to a third-party vendor or overtime wages for county personnel for overtime spent performing security for election staff and processes in connection with the specific, covered election;

(g) Translation costs for translating any content directly attributable to the specific, covered election and that are billed and paid by the county to a third-party vendor; and (h) Other additional incremental direct costs, which the county clerk can clearly document as directly attributable to the conduct of the specific, covered election. 7.14.3 The following costs are deemed not necessary and reasonable for an election and thus not reimbursable by the state under section 1-5-505.5, C.R.S.:

(a) Any cost that is above the fair market value of the goods or services for which reimbursement is sought, where such fair market value is established by a competitive solicitation or other generally accepted methods for establishing a competitive price;

(b) Annual voting system firmware, software, and other election management license fees;

(c) Annual preventative maintenance expenses;

(d) Non-voting system equipment annual agreements;

(e) Ballot issue notices;

(f) Overhead expenses incurred by the county. This includes:

(1) Facilities costs such as utilities, grounds maintenance, insurance, leased space, and other costs that are not a direct result of an election;

(2) Normal wages and benefits provided to county personnel;

(3) Annual permits for postage;

(g) Purchase or lease of equipment used for more than one election;

(h) Costs for observers or supervisors appointed by the Secretary of State, unless otherwise ordered by the Secretary of State. 7.14.4 When submitting a request for reimbursement of election expenses under

section 1-5-505.5, C.R.S., documentation supporting the requested reimbursement must include receipts, purchase orders, invoices, payroll records, or any other documentation that is sufficient to reflect what the purchase or expenditure obtained, the amount of the cost that was paid by the county, how that cost was calculated, when the cost was paid by the county, who was the recipient of the payment, including their name and contact information, and whether any part of the cost was paid in whole or in part by another person, organization, or government entity, including the amount that was paid by that third party. 7.14.5 Review and audit of reimbursement request (a) The Department will review and evaluate the propriety of any expense submitted for reimbursement under section 1-5-505.5, C.R.S., and will not provide payment on the requested reimbursement until the Department is satisfied that the requested reimbursement meets all requirements set forth in these rules.

(b) In the event the Department requests documentation of the fair market price of any goods or services for which the county seeks reimbursements, the county will provide any and all documentation concerning the procurement process that was used and the evaluation of prices proposed by the vendors solicited. The Department’s determination as to what constitutes a fair market price for a cost will include any regional or local variations in the costs for specific goods or services.

(c) Any payment of a reimbursement request is without prejudice to the

authority of the Department to clawback any portion of a reimbursement payment that is subsequently found to have been unauthorized or inconsistent with the requirements of these rules. 7.14.6 Reimbursement spending authority (a) The Department’s spending authority for the amount of reimbursement payments to counties is set each year by the General Assembly through the Long Bill managed by the legislature’s Joint Budget Committee. The Department will pay counties the statutory percentage established in section 1-5-505.5, C.R.S., up to the amount of spending authority approved in the Long Bill on a first-submitted/first-approved basis.

(b) Notwithstanding the foregoing first-submitted/first-approved basis, counties with more than 425,000 active registered voters as of the date of the election for which reimbursement is being sought and which submit cost reimbursement requests that are otherwise permissible under these rules but for which the General Assembly has not approved sufficient spending authority will not be paid until additional spending authority is approved by the General Assembly.

(c) The Department will notify the General Assembly within five business days of reaching the level of approved reimbursement expenses that exceeds the amount of spending authority approved for such reimbursements in the Long Bill. Unless and until the General Assembly approves additional spending authority for the amounts of approved reimbursement expenses that exceed the Long Bill’s cap, any county’s outstanding request for excess reimbursement spending will be held by the Department and submitted to the Joint Budget Committee as part of the Department’s budget request for the next budget cycle. 7.15 Within 45 days after election day, or before the first day to conduct signature verification at the next county or municipal mail ballot election, whichever is sooner, the county clerk must scan into SCORE the elector’s signature and signature date on each accepted mail ballot return envelope and on any cure letter returned by the elector. In a presidential primary year, the deadline for scanning signatures and signature dates from all prior elections that year is extended to 45 days after the state primary election. 7.16 Anonymity 7.16.1 Measures to protect anonymity include:

(a) The county may not keep any record indicating the order in which people voted on the BMD.

(b) When more than one BMD is available at a voting location, the county must, to the extent practicable, allow the voter to choose the BMD they wish to vote on. 7.16.2 The county clerk may not release a report generated from SCORE that includes a date and time stamp that could potentially identify a voter who cast a specific ballot. 7.16.3 The county clerk must arrange a voter service and polling center in a manner that prevents election officials and other voters from observing how any voter marks or casts their ballot. 7.16.4 The county clerk must arrange voter service and polling centers in a manner that prevents a video surveillance camera from recording a voter marking or casting their ballot. 7.17 Data entry standards for district, position, and ballot style names in SCORE.

Authorized SCORE users must comply with the data entry standards set forth in this Rule when naming districts, positions, and ballot styles in SCORE’s Districts & Precincts and Election Management modules. 7.17.1 District names: county clerks must name local districts in SCORE’s Districts & Precincts module exactly the same as they are named in the Department of Local Affairs’ Local Government Information System (LGIS), with two exceptions:

(a) LGIS lists municipalities by name followed by a comma and the municipality type. SCORE users must enter the names of municipalities in SCORE according to common usage, so that the municipality type precedes the municipality’s name. By way of example, if LGIS lists Avon, Town of, the county must name the municipality in SCORE as Town of Avon.

(b) LGIS lists school districts by the state board of education’s truncated organization name with the words “school district” appended at the end of the district’s name. Counties must enter the district’s name into SCORE according to common usage. By way of example, if LGIS lists a school district as Las Animas RE-1 School District, the county must name the district in SCORE as Las Animas School District RE-1. 7.17.2 Position names: counties must name positions in SCORE so that the full name of the district precedes the position or office name followed by the position district number or letter and term of years, if certified by the responsible designated election official, if any. The county clerk may delete the full district name from the position or office name on ballot art if a ballot header or contest heading sufficiently identifies the participating district, but the position must be named in accordance with this Rule to ensure it is included in the county’s election definition export, election results exports, and cast vote record files. For example:

(a) County position names: Adams County Commissioner – District 1;

Adams County Clerk and Recorder; Adams County Treasurer;

Adams County Assessor; Adams County Sheriff; Adams County Coroner; Adams County Surveyor;

(b) Municipal position names: City of Aspen city council – at large; City of Aspen city council – ward 2; Town of Mancos board of trustees – ward 1; City of Littleton mayor;

(c) School district position names: Alamosa School District RE-11J Board of Directors – District 2 (2-year Term); Kit Carson School District R-1 Board of Directors – District A; and (d) Special district position names: Allison Valley Metropolitan District No. 2 Board of Directors (2-year term); Denver Southeast Suburban Water & Sanitation District Board of Directors (4-year term). 7.17.3 Ballot style names:

(a) If a county reports results for any election by precinct, the county must rename its ballot styles in SCORE according to the convention of xxx-yy or xxx-yyy, where xxx is the final three digits of the ten-digit precinct number, and yy or yyy is the district style number. A county clerk must use a two or three-digit number for the district style component of the ballot style name even if in any election SCORE generates fewer than 10 district styles. By way of example, if SCORE generates a single district style and the county has 3 precincts, the county must name the precinct styles as 001- 01, 002-01, and 003-01 or 001-001, 002-002, and 003-003.

(b) If the county reports results of an election by ballot style, the county must name the ballot style with the district style number from SCORE. By way of example, if SCORE generates three different district styles for an election other than a general election, the county must name the ballot styles 1, 2, and 3, or 01, 02 and 03. If SCORE generates more than nine district styles for an election, the county must name them with a two-digit number, such as 01 through 09, 10, 11, etc.

(c) For primary elections, the county must append to the ballot style name SCORE’s abbreviation of the name of the political party for which the primary ballot is prepared. By way of example, in a county that reports primary election results by precinct in which there are more than 99 precincts and 9 district styles, and district style 1 is the Democratic Party and district style 2 is the Republican Party ballot for precinct 1, the county must name the Precinct 1 ballot styles as 001-01 DEM and 001-02 REP. In a county with fewer than 10 precincts and only two primary election district styles, the county must name the ballot styles 1 DEM and 2 REP, or 01 DEM and 02 REP. If the county reports primary election results by ballot style, the county must name the ballot styles 1 DEM and 2 Rep.

Rule 8. Watchers 8.1 A watcher must affirm that they are qualified to act as a watcher under Colorado law. The county clerk must accept the appointment of all eligible watchers duly certified by a political party, candidate, or issue committee under sections 1-1- 104(51), 1-7-105, 1-7-106, or 1-7-107, C.R.S. 8.1.1 The registered agent or designated filing agent for an issue committee is the authorized representative to appoint watchers for the issue committee. 8.1.2 Watchers may be appointed for a recall election by each qualified successor candidate, the proponents and opponents of the recall ballot question, and each participating political party for a partisan recall 8.1.3 For the purpose of appointing a watcher, the proponent or opponent of a ballot measure means a registered issue committee supporting or opposing the ballot measure. 8.1.4 A designated watcher need not be a resident of the county they are designated in as long as they are an eligible elector in the State of Colorado. 8.1.5 The county clerk must confirm a watcher’s eligibility before allowing the watcher to perform his or her duties. If the county clerk is unable to confirm the watcher’s eligibility, the clerk must promptly inform the appointing entity. 8.1.6 A watcher may provide a copy of his or her current registration record from the Secretary of State’s website with the Certificate of Appointment to satisfy the eligibility-confirmation requirement. 8.1.7 A watcher for an issue committee may provide a TRACER print-out of the issue committee registration with the Certificate of Appointment to show that the person appointing the watcher is permitted to appoint under Rule 8.1.1. 8.1.8 A watcher must complete a training provided by or approved by the Secretary of State before observing election activities where confidential or personally identifiable information may be within view or before observing voters dropping ballots off at a drop box. To verify completion of the training, a watcher must provide his or her training certificate of completion with the Certificate of Appointment. A training certificate of completion is valid until December 31 of that calendar year. An approved training may be used for one calendar year from the date approved. 8.1.9 Watchers who wish to observe voters dropping ballots off at a drop box must first submit their Certificate of Appointment and proof of completion of training to the county clerk’s central office. The certificate of completion must list the drop box locations the watcher intends to observe and the dates and times the watcher intends to observe them. 8.2 Interested parties may appoint and certify watchers to observe recall elections held under Article 12, Title I, C.R.S., in accordance with sections 1-7-106 and 1- 7- 107, C.R.S. 8.3 A political party attorney may not be in the polling location unless he or she is a duly appointed watcher or is casting his or her ballot. 8.4 A watcher may be certified to observe more than one location in which the county is conducting election activities. A watcher must present a Certificate of Appointment at each location where the watcher is designated to observe, unless the county clerk has established an alternate process. 8.4.1 If a watcher leaves a location but returns to the same location, another certificate of appointment is not necessary. 8.4.2 A new watcher who is replacing an original watcher must provide his or her certificate of appointment for that polling location. 8.4.3 A certificate of appointment as a watcher is not transferable to another individual. 8.4.4 In addition to the requirements of Rule 8.1.6, a watcher who has been appointed to watch a drop box must present a Certificate of Appointment:

(a) To the supervisor election judge of a voter service and polling center that is open, if the drop box is located within or outside the building where the voter service and polling center is located;

(b) To the county clerk if the drop box is located outside the clerk’s office; or (c) To the county clerk if the drop box is located in any other location not listed in subsections (b) or (c). 8.5 A watcher must take the oath described in section 1-7-108(1), C.R.S. 8.6 Removal of Watchers. 8.6.1 A county clerk or his or her designee may remove a watcher upon finding that the watcher:

(a) Committed or encouraged fraud in connection with his or her duties;

(b) Violated any of the limitations outlined in Rule 8.14;

(c) Violated his or her oath; or (d) Was abusive or threatening toward election officials or voters. 8.6.2 Upon removal of a watcher, the county clerk must inform the political party, candidate, or committee who appointed the watcher. 8.6.3 A removed watcher may be replaced by an alternate watcher duly certified in accordance with sections 1-7-105, 1-7-106, or 1-7-107, C.R.S. 8.7 The county clerk must submit a watcher accommodation plan to the Secretary of State by email using the approved form no later than 90 days before an election. 8.7.1 Watchers may be present at each stage of the conduct of the election, including when electors are voting or when election judges are present and performing election activities. 8.7.2 The county clerk must provide, and identify in some manner, at least one primary contact for watchers at each location where election activities are performed when watchers are present. 8.7.3 At voter service and polling centers, the designated election official must position the voting equipment, voting booths, and the ballot box so that they are in plain view of the election officials and watchers. 8.7.4 Watchers must remain outside the immediate voting area while an elector is voting. The six-foot limit in Rule 1.1.35 applies only to voting and dropping ballots off at a drop box. 8.8 The minimum number of watchers the county clerk must accommodate for each appointing entity in a nonpartisan, coordinated election is as follows: 8.8.1 In a central count facility, one watcher per central count process, but in any case not less than one watcher for every ten election judges. 8.8.2 During signature verification, one watcher for every four election judges. 8.8.3 At each voter service and polling center, one watcher, or one watcher per voter service and polling center process. 8.8.4 At each ballot drop box, one watcher. 8.8.5 The number of watchers permitted in any room at one time is subject to space limitations and local safety codes. 8.9 Observation of off-site activity 8.9.1 A watcher may observe election activities at a group residential facility, as defined in section 1-1-104(18.5), C.R.S., only if the watcher contacts the county clerk beforehand to arrange the time and location. While at a group residential facility, a watcher must maintain an adequate distance from the elector so the elector may mark or receive assistance marking his or her ballot in private. A watcher may not enter a voter’s private room or apartment unless the voter consents. 8.9.2 If permitted by the county clerk and county sheriff, a watcher may observe election activities inside a county jail or detention center. If permitted to attend those activities, the watcher must follow all rules and procedures prescribed by the county clerk and county sheriff. Those rules and procedures prescribed by the clerk and sheriff may be different than those rules in place for watchers watching other election activity. 8.10 Watchers are subject to the provisions of section 1-5-503, C.R.S. 8.10.1 A watcher may witness and verify activities described in Title 1, C.R.S. If election officials are conducting election activities in separate rooms or areas of a building or buildings, the county clerk must allow additional watchers to observe and verify each separate activity in each room or area in the building or buildings. 8.10.2 Watchers must be permitted access that would allow them to attest to the accuracy of election-related activities. This includes personal visual access at a reasonable proximity to read documents, writings or electronic screens and reasonable proximity to hear election-related discussions between election judges and electors.

(a) Election activities include:

(1) Setup and breakdown of voter service and polling centers.

(2) Voter check-in and registration activities.

(3) Ballot receipt and processing, including ballot drop-off at a drop box.

(4) Signature verification of mail ballot envelopes.

(5) Ballot duplication.

(6) Ballot tabulation.

(7) The post-election audit.

(8) Provisional ballot processing.

(9) UOCAVA ballot processing.

(10) Canvass.

(11) Recount.

(12) Ballot printing and mailing preparation that occur at the county clerk’s office.

(b) Witness and verify means to personally observe actions of election officials in each step of the conduct of an election.

(c) Individuals allowed to attend the logic and accuracy test under

section 1-7-509(2), C.R.S., do not need to be credentialed as watchers. The county clerk may limit attendance to the logic and accuracy test subject to space limitations and local safety codes.

(d) During a recount, the county clerk must give priority to watchers appointed by the candidates, political parties, or proponents or opponents of a ballot issue or question who are the subject of the recount to attend the recount activities. Other candidates, parties, or proponents or opponents of a ballot issue or question authorized to appoint watchers for that election may also be allowed access to recount activities if their presence watching that activity will not result in space limitations or local safety codes being exceeded, as determined by the county clerk.

(e) The county clerk must allow a watcher to possess a mobile phone to send or receive text messages while watching election activities as long as the watcher is not located where personally identifiable information is within view as required by section 1-7-108(4), C.R.S. 8.11 The county clerk must provide a list of all voters who have cast a ballot in the county. If requested, the county clerk must make the list available at least daily at the clerk’s main office or provide the list electronically. 8.12 A watcher may track the names of electors who have cast ballots, challenge electors under section 1-9-203, C.R.S., and Rule 9, and submit written complaints in accordance with section 1-1.5-105, C.R.S., and Rule 13. 8.13 In addition to the oath required by section 1-7-108(1), C.R.S., a watcher must affirm that he or she will not: 8.13.1 Attempt to determine how any elector voted; 8.13.2 Disclose or record any confidential voter information that he or she may observe; or 8.13.3 Disclose any results before the polls are closed. 8.14 A county clerk must revoke the certificate of a watcher who: 8.14.1 Personally interrupts or disrupts the processing, verification, and counting of any ballots or any other stage of the election, including lodging repeated challenges of voters or mail ballots on bases, or in locations, that are not authorized by statute or these Rules after being advised that such bases are not authorized. 8.14.2 Writes down any ballot numbers or any other personally identifying information about the electors. 8.14.3 Touches or handles the official signature cards, ballots, mail ballot envelopes, provisional ballot envelopes, voting or counting machines, or machine components. 8.14.4 Interferes with the orderly conduct of any election process, including issuance of ballots, receiving of ballots, and voting or counting of ballots, which includes voters dropping off ballots at a drop box. 8.14.5 Communicates with election judges about that judge’s duties while that election judge is currently on duty, unless the judge is the designated watcher contact. 8.14.6 Uses a mobile phone or other electronic device to make or receive an audio or video communication in any polling location or other place election activities are conducted, including while observing a ballot drop box. 8.14.7 Uses any electronic device to take or record pictures, video, or audio in any polling location or other place election activities are conducted, including while observing a ballot drop box. 8.14.8 Has in their open and visible possession any mobile phone or other electronic device while watching election activities where voters’ confidential or personally identifiable information is within view. 8.14.9 Attempts to determine how any elector voted. 8.14.10 Discloses or records any confidential voter information as defined in

section 24-72-204(8), C.R.S., that he or she may observe. 8.14.11 Discloses any results before the polls have closed. 8.14.12 Attempts to intimidate or interfere with an election judge or other election officials during the discharge of that judge or official’s duties. 8.14.13 Attempts to dissuade a voter from returning a ballot or multiple ballots to a drop box. 8.14.14 Refuses or fails to wear an approved badge identifying themselves as a watcher while observing a ballot drop box as required by Rule 8.15. 8.15 A watcher observing a drop box must at all times while observing the box display an identification badge that states “Official election watcher for (appointing candidate or entity)” in bold-faced type that is clearly legible. The badge must be provided by the appointing entity and shown to the county clerk at the time the watcher delivers the Certificate of Appointment to the county clerk. 8.16 If a watcher disputes a decision made by an election judge or alleges a discrepancy, the watcher must alert the designated watcher contact. 8.17 The Secretary of State must approve Official Observers appointed by the federal government. Official observers are subject to Colorado law and these Rules. But an Official Observer is not required to be an eligible elector in the jurisdiction.

This Rule does not apply to Official Observers appointed by the United States Department of Justice. Official Observers appointed by the Secretary of State are subject to the rules and regulations as prescribed by the Secretary of State.

Official Observers must obtain a letter of authority from the Secretary of State and surrender the letter to the county clerk. 8.18 Media Observers may witness all election activities. A county clerk may, in his or her discretion, require a media observer to appoint a pool reporter and a pool photographer to represent all media observers. All media observers are subject to the Guidelines established by the Colorado Press Association in conjunction with the Colorado County Clerks’ Association and the Secretary of State as outlined below:

Guidelines for Member of the Media Who Observe Election Counts and Recounts (to be distributed to members of the Colorado Press Association):

The Colorado State Association of County Clerks and Recorders, Colorado Broadcasters’ Association and Colorado Press Association have collaborated to develop the following guidelines and protocols for use when members of the media observe the counting or recounting of ballots. You are strongly encouraged to follow these guidelines to allow meaningful media access while not disrupting the work of county clerks to count ballots or doing anything to compromise the integrity of the election process.

1. If practical, please contact the county clerk’s office prior to coming to observe the counting of ballots. If the county clerk knows you are coming, it will be easier to accommodate your request for a place to observe the count or to interview an election official.

2. At the discretion of the county clerk, a specific viewing area for members of the media and other observers may be available. To the extent practicable, the area will have been designated with sight lines to allow you to observe and take pictures or video of the counting process. If there are insufficient sight lines for you to take the photos or video you need, the county clerk may be able to make arrangements to accommodate your needs.

3. Please observe counting procedures without disrupting the count. Please take pictures or video without the use of supplemental lighting. Do not talk to people participating in counting ballots. There may be workers who ask you not to include their images in your pictures or video. We encourage you to honor those requests if you can reasonably do so.

4. The Secretary of State’s Election Rules state that if observers leave the area during a recount, they may not reenter without the consent of the county clerk. If you have occasion to leave the area, you may be denied re-admittance.

5. Please do not use the information you see when observing vote counts to report on partial election results. Please do not report anything that could be used to identify the person who casts a particular ballot.

The Colorado State Association of County Clerks and Recorders, Colorado Broadcasters’ Association and Colorado Press Association are all committed to working together to ensure the media has access to election counts and recounts, but that access is afforded in manners that do not disrupt the counts and do nothing to compromise the integrity of the process. Your cooperation in following these standards will help us to meet all these goals.

Rule 9. Voting Challenges 9.1 Challenging an in-person voter 9.1.1 Under Section 1-9-201, C.R.S., an election official, watcher, or eligible elector of the precinct may challenge an elector’s right to vote. A person whose eligibility is challenged while voting in-person, must be offered a regular ballot by an election judge if the person answers the applicable challenge questions confirming their eligibility as specified in section 1-9- 203, C.R.S., and this Rule. If the person challenged refuses to answer the challenge questions or does not otherwise confirm their eligibility, an election judge must offer the person a provisional ballot. 9.1.2 Citizenship. The election judge must ask the elector, “Are you a citizen of the United States?” 9.1.3 Residency. The election judge must ask the elector the following questions:

(a) “Will you have resided in Colorado for the 22 days before election day?”

(b) “Do you reside at the address stated in your voter registration record?”

(c) “Have you been absent from Colorado during the past 22 days?” If the elector responds that he or she was absent during the 22-day period, the election judge must also ask the following questions:

(1) “Have you been absent for a temporary purpose with the intent of returning, or did you intend to remain outside Colorado?”

(2) “While you were absent, did you consider Colorado to be your home or did you maintain a home or domicile elsewhere?”

(3) “While you were absent, did you vote in any other state or territory of the United States?” 9.1.4 Age. The election judge must ask the elector, “Will you be 18 years of age or older on election day?” 9.2 Challenging a mail ballot voter 9.2.1 Challenges of a mail ballot must be made in writing on the form approved for use by the Secretary of State, at the county clerk’s office, and must include all information required on the form. Once filled out, the challenge must be delivered to a person designated by the county clerk who did not make the challenge. The person designated by the county clerk to receive the challenge form must attach the challenge form to the mail ballot being challenged and process the challenge in accordance with this Rule 9. 9.2.2 If an individual challenges a mail ballot for forgery of a deceased person’s signature on the mail ballot envelope or for submission of multiple ballots by the same voter for the same election, the election judge must forward the ballot to two other election judges of different political party affiliations designated by the county clerk who must jointly review the elector’s eligibility to vote. At their request, the election judges may receive assistance in making their eligibility determination from county clerk staff.

A challenge for submission of multiple ballots under this rule does not apply to an unaffiliated voter who returns more than one party’s ballot.

(a) If both election judges determine the mail ballot should not be counted because they believe it contains a forgery of a deceased person’s signature on the mail ballot envelope, or they believe it is one of multiple ballots cast by the same voter for the same election, then the following steps must be taken by the county clerk:

(1) The county clerk must send to the challenged voter:

(A) Notification that their ballot has been challenged;

(B) A copy of the challenge form;

(C) A form for the eligible elector to return confirming that the elector returned their mail ballot or did not return more than one mail ballot as applicable;

(D) Instructions to the eligible elector to return a copy of the elector’s identification as defined in section 1-1- 104 (19.5); C.R.S., and (E) Notification to the eligible elector that the challenge and elector’s response must be referred to the district attorney under section 1-9-209, C.R.S.

(2) Notification of the challenge must be sent within three days after the challenge has been made, but no later than two days after election day.

(3) The challenged ballot must be counted if the ballot is otherwise valid and the county clerk receives the form from the eligible elector within eight days after election day, (A) A statement that the elector returned a mail ballot to the county clerk and recorder or did not vote more than once in an election as applicable; and (B) A copy of the elector’s identification as defined in

section 1-1-104 (19.5), C.R.S.

(4) If the county clerk receives a form indicating that the elector did not return a ballot to the county clerk, or if the eligible elector does not return the form within eight days after election day, the self-affirmation on the return envelope must be categorized as incorrect, and the ballot may not be (b) If either election judge determines the challenge should be rejected, then the county clerk must count the elector’s ballot if it is otherwise valid. Unless the challenge is withdrawn, the county clerk must send the challenged voter:

(1) A copy of the challenge along with notification that the challenge was rejected;

(2) Notification that the ballot was counted;

(3) Instructions to the elector allowing them to otherwise respond to the challenge; and (4) Notification that the challenge and elector’s response must be referred to the district attorney under section 1-9-209, 9.2.3 If an individual challenges a mail ballot for any reason other than for forgery of a deceased person’s signature or for submission of multiple ballots cast by the same voter for the same election, the election judge must forward the challenge to the county clerk and otherwise process the mail ballot as normal. Unless the challenge is withdrawn, the county clerk must send the challenged voter:

(a) A copy of the challenge;

(b) Notification that the ballot was counted;

(c) Instructions to the elector allowing them to otherwise respond to the challenge; and (d) Notification that the challenge and elector’s response must be referred to the district attorney under section 1-9-209, C.R.S. 9.2.4 Following the election, the county clerk must send a copy of all challenges that have not been withdrawn, along with any responses received from the challenged voters, to the district attorney as required by section 1-9-209,

Rule 10. Canvassing and Recount 10.1 Precanvass accounting 10.1.1 Detailed Ballot Log. The designated election official must keep a detailed ballot log that accounts for every ballot issued and received beginning when ballots are ordered and received. The election officials must reconcile the log at the conclusion of each workday. 10.1.2 Daily voter service and polling center ballot accounting. The designated election official must supply each polling location with a Statement of Ballots Form. Election judges must record the following information on a separate statement of ballots form for each day that the polling location is open:

(a) The name or number of the polling location;

(b) The number of ballots provided to or printed on-demand at the polling location;

(c) The number of ballots cast;

(d) The number of unvoted ballots;

(e) The number of damaged or spoiled ballots;

(f) The number of voted provisional ballots; and (g) The date. 10.1.3 After a polling location closes for the day election judges must complete the following tasks:

(a) Reconcile the total number of voted ballots with the number of voters who voted.

(b) Verify that the total number of voted ballots, spoiled or damaged ballots, provisional ballots, and unvoted ballots is the same as the number of total ballots supplied to or printed at the polling location.

(c) Reconcile the number of people who signed signature cards to the total number of ballots cast.

(d) Provide a written explanation of any discrepancy in the numbers on the Statement of Ballots form, (for example, the voter signed in but left the polling location without voting, etc.). 10.1.4 After the voter service and polling center closes on election night, election judges must return the completed Statement of Ballots form for each day the location was open along with all voted ballots to one of the election offices designated in the election plan. 10.1.5 The designated election official must review the Statement of Ballots forms for completion and accuracy. 10.2 Appointment to the Canvass Board 10.2.1 In all cases, the canvass board must consist of an odd number of members, and each member has equal voting rights. 10.2.2 For an election conducted with any partisan ballot content, each major party may have no more than two representatives on the canvass board. The board must include an equal number of representatives from each major party, unless a major party fails to certify representatives for appointment. 10.2.3 Each major party representative on the canvass board must be registered to vote in the county where the representative will serve and affiliated with the party he or she represents. 10.2.4 A candidate for office and members of the candidate’s immediate family may not serve on the canvass board. 10.2.5 The designated election official may appoint canvass workers to help prepare and conduct the canvass. 10.3 Duties of the Canvass Board 10.3.1 The canvass board must make its determinations by majority vote in accordance with section 1-10-101.5(1)(c), C.R.S. 10.3.2 The canvass board’s only duties are to:

(a) Conduct the canvass and certify the official abstract of votes in accordance with section 1-10-101.5, C.R.S., by:

(1) Reconciling the number of ballots counted to the number of ballots cast; and (2) Reconciling the number of ballots cast to the number of voters who voted.

(b) Observe the post-election audit in accordance with section 1-7- 514(4), C.R.S., and Election Rule 25.2 or 25.3;

(c) Conduct any recount in accordance with section 1-10.5-107, C.R.S., and this Rule; and (d) For a canvass board of a controlling county with an instant runoff voting contest that is contained in more than one county, review the final ranking data for that contest from each county to certify a winner of the instant runoff voting contest to the local jurisdiction. 10.3.3 The canvass board may not perform duties typically reserved for election judges while canvassing the results, including:

(a) Determining voter intent;

(b) Evaluating voter eligibility, including reviewing signatures that have been accepted or rejected; and (c) Requesting new logs or reports that were not created to conduct the election. 10.3.4 Watchers appointed under section 1-10-101(1)(a), C.R.S., may observe the board while it performs its duties, subject to Rule 8. 10.4 No canvass board may certify official results until authorized to do so by the Secretary of State. The Secretary of State may extend the canvass deadline for one or more counties in order to complete the risk-limiting audit in accordance with Rule 25.2. Before certifying official results, a county that conducts a comparison audit as defined in Rule 25.1.4 must manually adjust the preliminary results to account for discrepancies identified in the risk-limiting audit if directed by the Secretary of State. 10.5 Procedures for Canvass 10.5.1 The designated election official must provide the following information to the canvass board:

(a) The name of each candidate, office, and votes received;

(b) The number or letter of each ballot issue or question and votes received;

(c) The total number of ballots cast;

(d) The number of provisional ballots cast, including totals for:

(1) Ballots accepted by each code; and (2) Ballots rejected by each code.

(e) The number of mail ballots cast, including totals for:

(1) Ballots accepted; and (2) Ballots rejected by each code.

(f) The number of in-person ballots counted;

(g) The number of damaged and spoiled ballots.

(h) If applicable, the number of ballots cast in each party’s primary election, including totals for:

(1) Ballots accepted in each party’s primary election by affiliated and unaffiliated voters; and (2) Ballots rejected by each code;

(i) If applicable, the ranked voting results report required by section 1- 71003(7)(a)(I) and (III), C.R.S.; and (j) For a canvass board of a controlling county with an instant runoff voting contest that is contained in more than one county, the final, certified, ranking data for the instant runoff voting contest from each county with that contest to allow the canvass board of the controlling county to certify a winner to the local jurisdiction. 10.5.2 Any written documentation regarding official results must be included as

part of the canvass. 10.6 Official abstract and reporting to the Secretary of State 10.6.1 The official county abstract must include, by precinct or ballot style, where applicable:

(a) The total number of active registered electors on election day;

(b) The total number of registered electors (active and inactive) on election day;

(c) The statement of votes counted by race and ballot question or issue;

(d) The total number of ballots cast in the election;

(e) For instant runoff voting contests conducted by a county clerk that are within a single county, the round-by-round tabulation results of each race; and (f) For instant runoff voting contests conducted by a county clerk that are contained in more than one county, a report detailing the rankings each candidate received in the county. 10.6.2 A county must submit the state portion of the abstract and the ENR upload required by Rule 11.9.6 to the Secretary of State in the format approved by the Secretary of State. The state portion of the abstract must include:

(a) The summary of votes cast for each state race and each ballot question or issue;

(b) The total number of ballots counted in the election; and (c) For instant runoff voting contests conducted by a county clerk that are contained in more than one county, the final, tabulated results of that contest. 10.6.3 A county must notify the Secretary of State immediately after the meeting of the canvass board if:

(a) The canvass board votes not to certify the abstract of votes cast;

(b) The canvass board otherwise fails to take action to certify the abstract of votes cast; or (c) In an election conducted with partisan ballot content, the composition of the canvass board did not consist of:

(1) An equal number of board members appointed from each of the opposing major parties; and (2) The county clerk or deputy clerk. 10.7 The County Abstract is the Official Permanent Record 10.7.1 The designated election official must keep all official canvass reports and forms as part of the official permanent election record. 10.7.2 Once the canvass board certifies the abstract it may not withdraw the certification. In the event of a recount, the canvass board may only affirm or amend the abstract. 10.8 Role of the Secretary of State 10.8.1 As part of the Secretary’s duties under section 1-1-107, C.R.S., the Secretary may provide guidance and investigate imperfections. 10.8.2 The county clerk or any canvass board member may request that the Secretary of State provide guidance and support to the canvass board in the exercise of the board’s duties. 10.8.3 If, in the course of assisting a canvass board, the Secretary of State discovers an imperfection that the Secretary believes may affect the conduct of other canvass boards, the Secretary may provide notice to other counties regarding the nature of the imperfection. 10.9 Recount generally 10.9.1 The purpose of a recount is to re-tabulate the ballots. 10.9.2 A county that has successfully completed a comparison audit under Rule 25.2 and reported no discrepancies in the recount contest need not rescan ballots during a requested recount, except as provided in Rule 10.9.3. In all cases, the county must re-adjudicate ballot images for voter intent in accordance with Rule 10.13.3. 10.9.3 An interested party, as defined in section 1-10.5-106, C.R.S., may request that the county re-scan ballots. The request is due no later the day in which a recount is paid. 10.9.4 For statewide or federal races, ballot issues or ballot questions, the county clerk must coordinate scheduling the recount through the Secretary of State’s office so that it can ensure adequate observer coverage. 10.9.5 If there is a recount in a local jurisdiction whose borders encompass area in more than one county, the controlling county, as defined in Rule 4.2.2, must coordinate the scheduling and conduct of the recount with each county that shares the jurisdiction. 10.9.6 Recounts for instant runoff voting contests. The smallest margin in an instant runoff voting contest will be determined by calculating the minimum number of votes that would have to be different to change the round-byround count, such that the winner in the final round of tabulation would be different. If the smallest margin between two candidates in an instant runoff voting contest is less than or equal to one-half of one percent of the votes cast in the contest, then a recount must be held in accordance with

section 1-10.5-103, C.R.S.

(a) If a recount must be held, the county clerk or designated election official appointed by the municipality holding the ranked voting contest must order a recount of an instant runoff voting contest within a single county, following the canvass of results by the county canvass board or designated election official, as applicable.

(b) If a recount must be held, each county clerk must order a recount of an instant runoff voting contest contained in more than one county following the canvass of results by the controlling county of the 10.10 Recount cost estimates and reimbursements 10.10.1 A county must submit a request for reimbursement for a mandatory recount of a state or federal race or ballot measure using the Secretary of State approved form. The county may not request reimbursement for meals or normal overhead costs or regular employee compensation. The county must include itemized costs for reasonable expenditures, including:

(a) Mailings and notices;

(b) Election judges, temporary staff, canvass board pay, and overtime pay; and (c) Copies and other office expenses related to the recount. 10.10.2 Requested recounts (a) The county clerk must provide an itemized cost estimate in accordance with section 1-10.5-106, C.R.S., upon submission of a formal request for a recount.

(b) In preparing a cost estimate for a requested recount, the county must use the Secretary of State approved form. The estimate must include reasonable itemized costs for conducting the recount and must distinguish the cost for conducting the recount with and without rescanning the ballots.

(c) The county clerk must submit a cost estimate to the Secretary of State when the clerk provides it to a requesting party. 10.11 In accordance with section 1-10.5-107, C.R.S., and Rule 10.3.2(c), the canvass board’s role in a recount includes selecting ballots for the test, observing the recounting of ballots, and issuing an amended abstract of results, if necessary. 10.12 The canvass board must review the post-election audit before selecting the equipment for testing under section 1-10.5-102(3), C.R.S. 10.13 Counting ballots during a recount 10.13.1 A clear audit trail must be maintained throughout the recount including, but not limited to, a log of seal numbers on transfer cases or ballot boxes, and the corresponding numbered seal for each transfer case or ballot box. 10.13.2 Ballots must be reviewed for voter intent using the standards in

Rule 18.

(a) Every overvote, undervote, blank vote, ambiguous mark, and writein vote in the races or measures subject to the recount must be reviewed in accordance with the Voter Intent Guide.

(b) The judges conducting the voter intent review may resolve the intent differently than the judges in the election. 10.13.3 To recount ballots by hand count.

(a) If the tabulation of the original count was conducted by hand count, the recount must be conducted by hand count.

(b) Ballots must be counted in batches of 25 to ensure that the number of ballots recounted matches the number originally counted.

(c) Votes must be counted by individual hash marks in 25-count sections by two different judges. 10.13.4 Tabulation of ballots must be completed through a precise, controlled process that ensures each container of ballots is retabulated and resealed before tabulation of the next container begins. 10.13.5 The number of ballots counted according to the final results for that race or measure must be available during the recount for comparison purposes. 10.14 Canvass and reporting results for a recount 10.14.1 For a plurality race or ballot measure, the county clerk must report the results of the recount as the combined total of votes for each race or measure recounted. The total must include undervotes, blank votes, valid write-in votes, and overvotes for the race or measure recounted. 10.14.2 In accordance with section 1-10.5-107, C.R.S., and this Rule 10, the canvass board must amend, if necessary, and re-submit the abstract of votes cast.

Rule 11. Voting Systems 11.1 Voting system access 11.1.1 In accordance with section 24-72-305.6, C.R.S., all permanent and temporary county staff and all vendor staff who have access to the voting system or any voting or counting equipment must pass a criminal background check. A person convicted of an election offense or an offense containing an element of fraud may not have access to a code, combination, password, or encryption key for the voting equipment, ballot storage area, counting room, or tabulation workstation. 11.2 Voting system inventory 11.2.1 The designated election official must maintain an inventory record for each component of the voting system. The record must include the manufacturer, make, model, serial number, and date of last trusted build. 11.2.2 The inventory must be in an electronic format and exportable to a comma separated value (CSV or TXT), or Excel spreadsheet (XLS or XLSX) file. 11.2.3 The designated election official must file the voting system inventory required by Rule 11.2.1, noting which equipment will be used for the election, with the Secretary of State no later than ten days before the 11.2.4 A county clerk must notify the Secretary of State if a license agreement with a voting system vendor is terminated within one week after the agreement is terminated. A county clerk must also notify the Secretary if a voting system component is no longer going to be used as part of the voting system, but the component will be retained by the county. The county clerk must follow the requirements found in Rule 20.5.6 for all retained components. 11.3 Hardware diagnostic and logic and accuracy test 11.3.1 Hardware Diagnostic Test (a) The designated election official must perform the Hardware Diagnostic Test before the election on each device that the designated election official will use in the election, including spare or back up devices. The test must include the following devices and provide the following information:

(1) All input and output devices;

(2) Communications ports;

(3) System printers;

(4) System screen displays;

(5) Boot performance and initializations;

(6) Display of firmware or software hash value (MD5 or SHA-1) when possible;

(7) Confirmation that screen displays are functioning;

(8) Date, time, and calibration of systems, if applicable; and (9) Scanner calibration, if applicable.

(b) The designated election official must seal each device upon the successful completion of the test and retain documentation of the seal information and all records in accordance with section 1-7-802, 11.3.2 Logic and Accuracy Test (a) The county clerk must conduct the public Logic and Accuracy Test no later than the 21 st day before election day.

(b) The county must ensure that the Logic and Accuracy Test is open to the extent allowable in accordance with section 1-7-509(2)(b), C.R.S. The county clerk may limit the number of representatives from each group because of space limitations.

(c) Preparing for the Logic and Accuracy Test (1) A county that is conducting an election with at least one plurality voting contest must prepare a test deck of ballots that:

(A) Includes every ballot style and, where applicable, precinct;

(B) Includes a sufficient number of ballots so that each vote position in each contest receives a unique, known vote total for that contest, including write-in candidates, contests that permit an elector to vote for two or more positions, and overvotes and undervotes for each contest;

(C) Includes at least one write-in vote for each qualified write-in candidate so that all qualified write-in candidate names will appear in the LAT result uploaded to ENR as required by Rule 11.9.4; and (2) For a county that is conducting an instant runoff voting contest that is wholly within the county, each contest must:

(A) Include a sufficient number of ballots to mark a vote position for every candidate in the contest in the first round of tabulation, including write-in candidates;

(B) Include at least one overvote, at least one skipped ranking, and at least one duplicate ranking; and (C) Be marked in such a manner so that no candidate receives a majority of the first ranking votes in the first (3) Any county test deck must include ballots printed from a ballot-on-demand or mobile ballot production printer if either will be used in the upcoming election and must include commercially printed ballots.

(4) The county must convene a Testing Board of one registered elector from each of the major political parties. Testing Board members must be registered to vote in the county and be sworn in as election judges.

(5) The county must provide at least 25 ballots that are clearly marked as test ballots to each Testing Board member. A county conducting an instant runoff election must ensure that instant runoff voting contests are included on at least 25 test ballots per board member.

(6) Testing Board members must mark their test ballots following the instructions printed on the ballots and retain a record of the tally. In a county conducting an instant runoff election, if after a review of the machine and hand tally of the testing board member’s test ballots it is found that the ballots did not require a second round of tabulation, the testing board member must mark 25 additional test ballots which will result in no candidate receiving a majority of votes in the first round of tabulation. A county clerk may remove a member of the Testing Board from their duties if that member refuses to mark their ballot according to the instructions printed on the ballot or as required by this Rule.

(7) The Testing Board must test the ballots on each type of voting device used in the election and each type of ballot including audio ballots.

(d) Conducting the Test (1) The county and Testing Board must observe the tabulation of all test ballots, compare the tabulation with the previously retained records of the test vote count, and correct any discrepancies before the device is used in the election.

(2) The county must reset the public counter to zero on all devices and present the summary report to the Testing Board for verification.

(3) The county must make an appropriate number of voting devices available and the Testing Board may witness the programming of devices necessary for the test.

(4) The Testing Board and designated election official must count the test ballots as follows, as applicable:

(A) Ballot Scanners:

(i) The Testing Board must test at least one central count ballot scanner.

(ii) The Testing Board must randomly select the machines to test.

(iii) The Testing Board must count the board and county’s test ballot batches separately and generate reports to verify that the machine count is identical to the predetermined tally.

(B) Ballot Marking Devices (BMDs):

(i) The Testing Board must randomly select and test at least one BMD.

(ii) At least two members of the Testing Board must use the selected BMD to mark all of the ballots and print at least 25 ballots in the same manner that the testing board member manually marked their test ballots. At least two members of the Testing Board must mark at least one of their test ballots using the audio ballot playback and accessible input devices.

(iii) A Testing Board member or county election official must separately scan and tabulate the test ballots marked with and printed from the BMD on one central count or polling location scanner, and generate a results report.

(iv) Each Testing Board member must verify that the results report generated from the scanner exactly corresponds to the testing board member’s tally of the votes on the manually marked paper ballots comprising their test (e) Completing the test (1) The county must keep all test materials, when not in use, in a durable, secure box. Each member of the Testing Board must verify the seals and initial the chain-of-custody log maintained by the county clerk. If the records are opened for inspection, at least two election officials must verify the seals and initial the chain-of-custody log.

(2) The county must backup and preserve the election database or project containing test results, and export and preserve the test results and CVR files. The county must prepare and preserve a ballot manifest corresponding to the test CVR file.

(3) The county must upload the test results file during the ENR test required under Rule 11.9.4. The county must hash and upload the CVR and ballot manifest to the RLA software during the RLA practice period, as required under Rule 25.2.2(b).

(4) After testing, the Testing Board must watch the county reset and seal each voting device, if applicable.

(5) The Testing Board and the county clerk must sign a written statement attesting to the qualification of each device successfully tested, the number of the seal attached to the voting device at the end of the test, if applicable, any problems discovered, and any other documentation necessary to provide a full and accurate account of the condition of a given device.

(6) The county may not change the programming of any voting device after completing the logic and accuracy test for an election, except as required to conduct a recount or as authorized by the Secretary of State. 11.3.3 Logic and accuracy test for multi-jurisdictional ranked voting contests (a) In addition to the logic and accuracy test conducted pursuant to

Rule 11.3.2, an additional logic and accuracy test described by this

Rule must be performed if two or more county clerks are conducting an instant runoff voting contest for each local jurisdiction and for each of these local jurisdiction’s contests.

(b) In preparation for a logic and accuracy test under this Rule, the runoff tabulation entity must provide a marking pattern for an additional test deck of at least 25 ballots, per county, to each county clerk sharing the contest. The deck, as a whole, must conform to the requirements of Rule 11.3.2(c)(2).

(c) At each county clerk’s logic and accuracy test, the county clerk must scan the additional test deck and provide the cast vote record of the test deck to the runoff tabulation entity in the manner prescribed by the runoff tabulation entity. The test deck must be preserved as an election record alongside any other logic and accuracy materials that are preserved as election records for that (d) At a public meeting, which conforms as closely as practicable to the requirements of section 1-7-509(2)(b), C.R.S., the runoff tabulation entity must use the cast vote records received from each county clerk during their logic and accuracy test to tabulate the instant runoff voting contest or contests that are subject to this Rule. The contest or contests must be tabulated using the third-party software that has been certified for use under Rule 21.12. The runoff tabulation entity must confirm that the round-by-round tabulation corresponds to the known results of the test decks provided to each county clerk.

(e) Following the logic and accuracy tabulation, the runoff tabulation entity must maintain the round-by-round results report as an election record. 11.4 Election database project backups 11.4.1 The county clerk must create election project backups at the following times at a minimum:

(a) At the conclusion of the logic and accuracy test with the data from the completed logic and accuracy test according to Rule 11.3.2(e)(1);

(b) After the election project has been reset following the logic and accuracy test according to Rule 11.3.2(e)(4). The county clerk must designate this election project backup as the election setup records as defined by Rule 1.1.30 and according to section 1-7-510, C.R.S.

The county clerk must submit a copy of the election setup records to the Department of State according to Rule 11.4.3;

(c) When a county clerk concludes ballot processing activities for the day, including election night;

(d) After all ballot processing activities have concluded on the ninth day after the election; and (e) After the canvass board has certified the results of the election. 11.4.2 If the county’s voting system does not export logs from the election management system when an election project backup is created, the county clerk must also export the logs from the election management system for retention, according to Rule 20.10.2, at the time they create an election project backup according to the procedures defined by the voting system vendor. 11.4.3 A county that electronically tabulates election results must submit election setup records to the Secretary of State so that they are received no later than 5:00 p.m. on the seventh day before election day.

(a) Election setup records must be in an electronic media format that is native to the jurisdiction’s specific ballot creation and tabulation system. Acceptable media formats include CD-ROM, DVD-ROM, or flash media.

(b) The county must create a hash value using a SHA-256 algorithm of the setup records file and transmit the hash value to the Secretary of State by e-mail to voting.systems@coloradosos.gov.

(c) The designated election official must include a point of contact and method of contact (phone, email, etc.).

(d) Within one business day of receipt of the election setup records, the Secretary of State’s office will contact the jurisdiction to confirm receipt.

(e) The Secretary of State’s office will store the election setup records in a secured, limited-access location.

(f) The county clerk and Secretary of State must treat the election setup records as confidential. 11.5 The designated election official must retain all testing records and documentation for 25 months. 11.6 Accessible voting systems. A political subdivision may not purchase or lease voting systems for use by people with disabilities unless the system is certified by the Secretary of State. 11.7 Notice of voting system malfunction 11.7.1 The voting system provider must submit a software or hardware incident report to the Secretary of State no later than 72 hours after an incident has occurred. Submission of this incident report by the provider is required even if the designated election official also submits a report of the same incident. 11.7.2 A vendor or designated election official must notify the Secretary of State within 24 hours of a reported or actual malfunction of its voting system.

The notice must include a description, date, and the names of those who witnessed the malfunction, as well as the procedures followed before the malfunction, and any error messages displayed. The notice may be verbal, but a written notice must follow. 11.7.3 If the Secretary of State requires additional information the vendor or the designated election official must submit a report to the Secretary of State's office detailing the reprogramming, repair, or any other actions necessary to correct a voting system malfunction.

(a) The report must address whether permanent changes are necessary to prevent similar malfunctions in the future.

(b) If the malfunction requires a programming or election setup change to the database or other parts of the voting system, the designated election official must submit an updated election setup record to the Secretary of State’s office as set forth in Rule 11.4.3.

(c) The report must be submitted within 30 days after the date of the request by the Secretary of State. If an election is scheduled within 60 days of the date of request by the Secretary of State, the Secretary of State may set an emergency deadline for filing the report.

(d) Failure to submit a report within the required period is grounds to decertify the system.

(e) The political subdivision holding the election in which the voting system malfunction occurred may submit the report in lieu of a report from the system's vendor.

(f) A copy of this report will be on file in the Secretary of State's office.

(g) The Secretary of State's office will distribute a copy of this report to all counties using the voting system in question. 11.8 Purchases and contracts 11.8.1 In accordance with sections 1-5-617(5) and 1-5-623(3), C.R.S., a political subdivision may not purchase, lease, transfer, or use a certified electromechanical or electronic voting system, device, or related component, unless the political subdivision first applies for and obtains approval from the Secretary of State. 11.8.2 The Secretary of State will approve a political subdivision’s application to purchase, lease, or use the voting system, device, or related component, after considering all relevant factors, including without limitation:

(a) Evaluations of the voting system performed by public committees organized by the secretary of state, and any recommendations regarding the use of the voting system by any such public committee;

(b) The voting system’s ability to support the efficient and uniform conduct of elections under the uniform election code of 1992, as amended;

(c) The voting system’s utilization of commercial off-the-shelf hardware components, rather than proprietary, purpose-built hardware components;

(d) The voting system’s integration of its data management application, if any, with other components of its election management system, so that system users can operate or access all election management system components within a single interface on the same server or workstation;

(e) The voting system’s ability to support efficient risk-limiting audits as required by section 1-7-515, C.R.S.;

(f) The voting system’s compatibility with dependent systems that are not directly related to the tabulation of votes and ballots, but are nevertheless utilized by designated election officials in conducting elections in Colorado, including:

(1) Ballot-on-demand systems, (2) Election Night Reporting systems, (3) Electronic ballot delivery systems, (4) Election definition data exported from SCORE, and (5) The Secretary of State’s RLA software;

(g) The voting system’s ability to efficiently support elections principally conducted by mail ballot, in all political subdivisions, regardless of their size, number of registered electors, or fiscal resources, (1) The voting system’s inclusion of applications enabling election judges to digitally, rather than manually, adjudicate, resolve, and duplicate ballots with marginal or ambiguous voter markings, and (2) The voting system’s use of ballot scanners equipped with automatic document feeders, enabling election judges to scan multiple ballots rather than a single ballot at a time;

(h) The voting system’s ability to enable voters with disabilities to vote independently and privately, and on the same or substantially similar devices throughout Colorado, without regard to their county of residence;

(i) The voting system’s scalability and affordability, enabling all political subdivisions to utilize the same or substantially similar equipment, regardless of their size, number of registered voters, or fiscal resources;

(j) The voting system’s portability as provided in the provider’s hardware and software license agreements, enabling political subdivisions that purchase, lease, or use the system to loan or borrow voting devices and related components to or from one another without charge, as exigencies and other circumstances warrant, and as approved by the Secretary of State;

(k) The voting system’s ability to easily export images of voted ballots, in response to requests filed under section 24-72-205.5(3)-(4), C.R.S., of the Colorado Open Records Act;

(l) The voting system provider’s past performance of successfully implementing its voting system in multiple jurisdictions simultaneously;

(m) The voting system provider’s past performance of successfully training local election officials to use its voting system in multiple jurisdictions simultaneously;

(n) The voting system provider’s past performance of postimplementation customer and technical support for political subdivisions that acquire its voting system;

(o) The voting system provider’s past performance of compliance with Colorado law regarding voter anonymity, and responsiveness to other issues and concerns raised by designated election officials and Secretary of State staff members;

(p) The voting system provider’s financial stability and sustainability as an ongoing business concern; and (q) The extent to which the voting system provider’s hardware and software license agreements permit the Secretary of State, or political subdivisions that license the hardware and software applications necessary to program elections and voting devices, to perform those services without charge for other political subdivisions that are licensed to use the voting system. 11.8.3 The Secretary of State will approve a county’s application for the purchase, lease, or use of an electromechanical or electronic voting system, device, or related component, certified after January 1, 2016, only if:

(a) The voting system includes, and the county acquires, digital ballot resolution and adjudication capability;

(b) The voting system includes, and the county acquires, central count ballot scanners equipped with automatic document feeders capable of scanning multiple ballots rather than a single ballot at a time;

(c) The voting system integrates all components of the election management system, including the data management application, if any, into a single user interface that is operable or accessible from the same server or workstation;

(d) The voting system is capable of supporting efficient risk-limiting audits, in the manner required by Rule 21.4.12;

(e) The voting system is compatible with dependent systems that are not directly related to the tabulation of votes and ballots, but are nevertheless utilized by designated election officials in conducting elections in Colorado, including:

(1) Ballot-on-demand systems, (2) Election Night Reporting systems, (3) Electronic ballot delivery systems, (4) Election definition data exported from SCORE, and (5) The Secretary of State’s RLA Software;

(f) The voting system provider’s software and hardware license agreements expressly permit political subdivisions that purchase, lease, or use the system to loan or borrow voting devices and related components to or from one another, without charge, as exigencies and other circumstances warrant, and as approved by the Secretary of State; and (g) The voting system provider’s software and hardware license agreements expressly permit the Secretary of State, or political subdivisions that license the hardware and software applications necessary to program elections and voting devices, to perform those services without charge for other political subdivisions that are licensed to use the voting system. 11.8.4 Due to their unsuitability for risk-limiting audits, the Secretary of State will not approve a county’s application to purchase, lease or use a ballot scanner certified for use after January 1, 2016, that is not equipped with an automatic document feeder, whether intended for use by voters at polling locations, or by election judges at central count locations. 11.8.5 A political subdivision’s contract to purchase or lease a voting system under Rule 11.8.1 must provide for user training and preventative maintenance. 11.8.6 The Secretary of State will only approve a political subdivision’s application to purchase or lease a voting system or component if the voting system or component allows the designated election official to conduct elections in accordance with Colorado law, as amended. 11.8.7 The Secretary of State will maintain a list of all certified electromechanical or electronic voting systems, devices and related components, purchased, leased, or used by Colorado political subdivisions. The list will include, at minimum, the name of the jurisdiction, the name and version of the voting system, the date of acquisition, and the serial numbers of voting devices. 11.8.8 The Secretary of State will not approve a county’s application to purchase, lease, or use a voting system if the term of the contract expires 90 days before an election through the conclusion of any potential recounts for that (a) A county may not extend an agreement with a voting system provider for a voting system for a term that expires from 90 days before an election through the conclusion of any potential recounts for that election.

(b) If a congressional vacancy election or recall election where a county clerk is the designated election official is scheduled to occur over a time period in which that county’s contract with a voting system provider would expire, the voting system provider and county clerk must temporarily extend the existing contract to cover the election in question for a reasonable fee unless the county clerk has an agreement for purchase, lease, or use of another voting system that covers the election in question. 11.8.9 No county or voting system provider may voluntarily terminate a contract for purchase, lease, or use of a voting system without the Secretary of State’s permission beginning 90 days before an election through the conclusion of any recounts for that election. 11.8.10 If a county covered by section 1-5-612(1)(b), C.R.S., cannot procure a voting system or otherwise does not have access to a voting system as required for an election, that county must contract with a nearby county to undertake all election activities it is unable to fulfill. The Secretary of State may issue an order to compel compliance with this 11.9 Election Night Reporting. The county must use the Secretary of State’s Election Night Reporting (ENR) system to report results for all primary, general, coordinated, and recall elections in accordance with this Rule. 11.9.1 A data entry county must upload a results data file to ENR containing the election results on the dates and times specified in Rules 11.9.3 through 11.9.5. The county must program its election database so that the results file exported from the voting system is formatted in accordance with the following requirements:

(a) Contest names: Except as otherwise provided in subsections (1) – (3) of this Rule, the results file must contain the contest names as they are certified for the ballot.

(1) For primary elections, the county must append to the end of the certified contest name the SCORE abbreviation of the political party affiliation of the candidates in the contest (e.g., “United States Senator – Dem,” “ State Senator – District 21 – REP,” “ County Treasurer – Lib,”).

(2) For ballot measures other than judicial retention questions, the contest name must include the political subdivision that referred the measure to the ballot, the ballot measure type, and the number or letter as it appears on the ballot (e.g., “Adams County Ballot Issue 200,” “ City of Brighton Ballot Question 5A,”).

(3) For Judicial Retention Questions, the contest name must include the court and the title and last name of the justice or judge standing for retention (E.g., “Supreme Court – Justice Erickson,” “Court of Appeals – Judge Jones,” “1 st Judicial District– Judge Smith,” “ Adams County Court – Judge Doe,”).

(b) Contest order: Except as otherwise provided in subsections (1) – (4) of this Rule, the results file must list the contests in the same order as they are certified for the ballot.

(1) For primary elections, the results file must list the contests in the order prescribed by section 1-5-403(5), C.R.S., with results for each contest grouped in alphabetical order of the abbreviated names of the participating major political parties, followed by the abbreviated names of participating minor political parties and qualified political organizations (e.g., “United States Senator – DEM,” “ United States Senator – REP,” “ United States Senator – GRN,” “ United States Senator – LIB,” “ United States Senator – UNI,”).

(2) The results file must list ballot measures in the order certified by the Secretary of State, followed by the ballot measures certified by other participating political subdivisions in the order and using the numbering conventions specified in Rule 4.5.2(e).

(3) A county using the Dominion, or Clear Ballot voting system must include and populate the contest sequence number field in its results files to define the order of contests on the ballot as required by this Rule.

(c) Candidate names: The results file must include candidates’ names in proper case and include periods following initials (e.g., “John A.

Smith”), and may not include the name or abbreviation of the candidate’s political party.

(d) Precinct names: If a county reports results by precinct, its results file must only include the ten-digit precinct number from SCORE, followed by a dash and any split precinct indication (e.g., 1234567890-1).

(e) Provisional results: The results file must include a “provisional” precinct or counting group as a placeholder for separately reported provisional ballot results if required by section 1-8.5-110(2), C.R.S. 11.9.2 No later than 45 days before the election, a county clerk must provide their SCORE election_details_to_dominion export to the Secretary of State’s Office by sending an email to voting.systems@coloradosos.gov. 11.9.3 No later than 35 days before the election, a county must provide the following information to the Secretary of State:

(a) A data entry county must email a sample or “zero” file. Except in the case of withdrawn or deceased candidates, a data entry county may not change or alter the election database or export file after submitting its zero file.

(b) A manual entry county must send a list of all ballot content. 11.9.4 No later than 21 days before the election, a data entry county must upload the LAT results file to ENR. At a minimum, the LAT results file must contain the results of the complete county test deck required under Rule 11.3.2(c)(1). The county must check the totals and content configuration reflected on the ENR website at the time of uploading the LAT results file.

The county must send an email to voting.systems@coloradosos.gov once verification of the ENR website is complete. 11.9.5 Election night uploads. All counties other than manual entry counties must export or produce preliminary election results and upload them to the ENR system.:

(a) While tabulating, counties must upload to the ENR system at a minimum:

(1) After the close of polls but no later than 8:00 p.m.; and (2) No later than 9:00 p.m.

(b) If the county believes it will be unable to meet the schedule outlined in this rule, it must contact the voting systems team before the deadline.

(c) The Secretary of State may, at his or her discretion, waive or modify this rule. 11.9.6 A county must produce preliminary election results and upload them to the ENR system after counting is completed on election night, indicate in the ENR system that election night counting is completed, and notify the voting systems team by email that election night counting is completed. 11.9.7 Canvass upload. The county must export or produce official election results, and check the appropriate box in the ENR system to indicate that the canvass upload is complete, not later than close of business of the first business day after the statutory deadline for completing the canvass. 11.10 Reports or materials required by this Rule may be submitted to the voting systems team: 11.10.1 By delivery to:

Colorado Secretary of State Attn: Voting Systems 1700 Broadway – Suite 550 Denver, CO 80290 11.10.2 By email to: voting.systems@coloradosos.gov 11.10.3 By Fax to: 303-869-4861

Rule 12. Recall [Reserved]

Rule 13. Election and HAVA Complaints 13.1 Election complaint procedures 13.1.1 Any individual who personally witnesses a violation of the Uniform Election Code of 1992 may file an election complaint. 13.1.2 An election complaint must include the approved Secretary of State’s Election Complaint cover sheet. 13.1.3 Processing and docketing election complaints (a) Within three business days of receiving a complaint, the Secretary’s designee will review the complaint to determine if it satisfies Rule 13.1.2 and sufficiently alleges a violation of the Uniform Election Code of 1992. The Secretary’s designee may extend this deadline in the event that there are extenuating circumstances which would inhibit the designee’s ability to meet the deadline.

(1) If the complaint does not meet the requirements of Rule 13.1.3(a), the Secretary’s designee will notify the complainant of the deficiency.

(2) If a complaint meets the criteria, the Secretary’s designee will notify the complainant and send a copy of the complaint to the person or entity alleged to have committed a violation.

(b) After notification, the person or entity alleged to have committed the violation will have 15 business days to submit a written response to the Secretary of State’s office. 13.1.4 Amending an election complaint (a) A complainant may amend a complaint within seven days after filing if he or she discovers new facts relating to the existing complaint.

(b) An amendment may not contain allegations of a new violation. 13.1.5 Investigation (a) After the response period outlined in Rule 13.1.3, the Secretary’s designee will investigate the complaint.

(b) If the Secretary of State determines that the complaint requires an immediate investigation, the Secretary’s designee will begin investigating before the response period closes. In making the determination, the Secretary will consider whether the issue has the potential to affect an upcoming election.

(c) Depending on the violation alleged, the Secretary’s designee may:

(1) Review documents;

(2) Visit the county;

(3) Conduct interviews;

(4) Test equipment;

(5) Take other steps necessary; or (6) Convene a hearing and take testimony from interested parties.

(d) During an ongoing investigation, county clerks and staff must accommodate requests by the Secretary’s designee in the timeframe requested by staff. 13.1.6 Resolution of election complaints (a) After an investigation and hearing, if applicable, the Secretary’s designee will:

(1) Dismiss the complaint as not supported by credible evidence;

(2) Refer the complaint to a prosecuting authority under Article 13 of Title 1, C.R.S.; or (3) Find a violation, recommend a resolution, and forward the recommendation for resolution to the Secretary of State. 13.2 Help America Vote Act (HAVA) complaint procedures 13.2.1 Any person who believes that a violation of Title III of HAVA has occurred, is occurring, or is about to occur, may file a HAVA complaint with the 13.2.2 A HAVA complaint must include the approved Secretary of State’s HAVA Complaint cover sheet. 13.2.3 A complainant must allege a HAVA violation with particularity and refer to the section of HAVA that has been violated. 13.2.4 A complaint must be filed no later than one year from the date of either the occurrence of the alleged violation or of the election giving rise to the violation, whichever is later. 13.2.5 Each complaint must be in writing and notarized, signed, and sworn by the person filing the complaint. 13.2.6 Processing and docketing HAVA complaints (a) Within three business days of receiving a complaint, the Secretary’s designee will review the complaint to determine if it satisfies Rules 13.2.2 through 13.2.5.

(1) If the complaint does not include a cover sheet the Secretary’s designee will notify the complainant of the discrepancy.

(2) If a complaint meets the criteria, the Secretary’s designee will assign a complaint number, notify the complainant, and send a copy of the complaint to the person or entity alleged to have committed a violation.

(b) After notification, the person or entity alleged to have committed the violation will have 15 business days to submit a written response to the Secretary of State’s office.

(c) The Secretary’s designee may consolidate two or more HAVA complaints. 13.2.7 Amending a HAVA complaint (a) A complainant may amend a complaint within seven days after filing if he or she discovers new facts relating to the existing complaint.

(b) An amendment may not contain allegations of a new violation. 13.2.8 Investigation (a) After the response period outlined in Rule 13.2.6, the Secretary’s designee will investigate the complaint.

(b) If the Secretary of State determines an immediate investigation is required, the Secretary’s designee will begin investigating before the response period has closed. In making the determination, the Secretary will consider whether the issue has the potential to affect an upcoming election.

(c) Depending on the violation alleged, the Secretary’s designee may:

(1) Review documents;

(2) Visit the county;

(3) Conduct interviews;

(4) Test equipment; or (5) Take other steps necessary.

(d) While an investigation is ongoing, county clerk staff must accommodate requests by the Secretary’s designee in the timeframe requested. 13.2.9 Hearing and resolution of HAVA complaints (a) The Secretary of State or his or her designee will hold a hearing if the complainant requests one at the time of filing the complaint, unless the complainant later withdraws the request.

(b) After the investigation and hearing, if any, the Secretary’s designee will:

(1) Dismiss the complaint as not supported by credible evidence;

(2) Refer the complaint to a prosecuting authority under Article 13 of Title 1, C.R.S.; or (3) Find a violation, recommend a resolution, and forward the recommendation for resolution to the Secretary of State. 13.2.10 Alternative dispute resolution under section 1-1.5-105(2)(j), C.R.S.

(a) If the Secretary of State does not resolve the complaint within 90 days of the date that it was filed and the complainant does not consent to an extension of time, the Secretary of State will transfer the complaint to a hearing officer for a hearing as required by 8 CCR 1505-3, Rule 3.

(b) The Secretary of State will provide the record and any other materials from the proceedings to the hearing officer.

(c) The Secretary of State will consider the initial determination by the hearing officer and issue a final determination within 30 days of the date the determination is received by the Secretary. 13.2.11 The Secretary of State’s determination is a final agency action. 13.2.12 The Secretary of State may recover the costs of proceeding against any complainant that files a frivolous, groundless, or vexatious complaint.

Rule 14. Voter Registration Drives 14.1 Statement of Intent 14.1.1 In accordance with Part 7, Article 2 of Title 1, C.R.S., the organizer of a Voter Registration Drive (“VRD”) must file a Statement of Intent and Training Acknowledgment Form with the Secretary of State to conduct a voter registration drive. The Statement of Intent and Training Acknowledgment Form must include the following information:

(a) The name of the group conducting the VRD, and the name address, email address, and telephone number of the individual organizing the VRD;

(b) The name of the agent (who is required to be a Colorado resident) and the contact information for that agent, if different from the person organizing the VRD;

(c) A statement specifying that the VRD intends to operate within the State of Colorado;

(d) A notice that the VRD number expires at the end of the calendar year; and (e) A signature line requiring the organizer’s signature. 14.1.2 A VRD organizer must file amendments to the Statement of Intent and Training Acknowledgment Form with the Secretary of State no later than three business days after the change occurs. Amendments may be made by fax, email, mail or in person. 14.1.3 The Secretary of State will immediately attempt to verify the information provided in the Statement of Intent and Training Acknowledgment Form before issuing a number to the VRD organizer. The Secretary of State may deny a number to the VRD organizer if the information provided on the Statement of Intent cannot be verified. 14.2 Training 14.2.1 To receive a VRD number, the VRD organizer must successfully complete the online training and test provided by the Secretary of State and submit a Statement of Intent and Training Acknowledgment form to the Secretary 14.2.2 Before circulating, a VRD circulator must complete a training provided by the VRD organizer and submit a Training Acknowledgment form to the VRD organizer. The training must include, at a minimum, the content contained in the Secretary of State’s circulator training. 14.2.3 The VRD organizer training is provided online, but a VRD organizer may schedule a time to view the training at the Secretary of State’s office. 14.2.4 After completing the VRD organizer training, the VRD organizer must complete the training test and answer the questions 100% correctly before the Secretary of State will issue a VRD number. 14.2.5 After completing the VRD organizer training and test, the VRD organizer must sign a Statement of Intent and Training Acknowledgment Form confirming that the training and test have been completed and that he or she was informed of rules, laws and penalties relating to voter registration drives. 14.2.6 A VRD organizer must complete the training and test every calendar year in which he or she intends to conduct a VRD. 14.3 Number Assigned 14.3.1 After successful completion of the required training and test, and submission of the Statement of Intent and Training Acknowledgment Form, the Secretary of State will assign a unique number to the VRD.

After issuing a unique number to the VRD, the Secretary of State will:

(a) Advise the VRD organizer of their unique number;

(b) Notify the county clerks within 24 hours after each VRD number has been issued by the Secretary of State; and (c) Post the agent and the name of the group conducting the drive on the Secretary of State website. 14.3.2 All assigned VRD numbers are valid through December 31 of the year that the number is assigned. 14.3.3 The VRD must assign each circulator a unique circulator identification number and maintain a record of each number issued. The circulator identification number must begin with the VRD’s five-digit identification number (e.g., 16-999-0001). 14.3.4 The VRD must provide the Secretary of State with the name of the circulator associated with a particular identification number, upon request. 14.4 Voter Registration Drive Voter Application Forms 14.4.1 A VRD must use the Secretary of State’s approved Voter Registration Drive Application Form or the National Mail Voter Registration Form when collecting registration applications. 14.4.2 A VRD organizer can obtain Colorado Voter Registration Drive Application Forms from County Clerks and the Secretary of State. 14.4.3 The organizer is responsible for placing the VRD number on the application form. 14.4.4 The VRD organizer must receive a VRD number before he or she can receive the approved Colorado Voter Registration Drive Application Forms. 14.4.5 The circulator must include his or her unique circulator identification number on each voter registration form he or she submits. 14.4.6 Any voter registration drive that provides a voter registration application on its website or a link to such voter registration form must direct the applicant to return the completed form directly to the county clerk of the applicant’s legal residence. No VRD may provide a voter registration form on its website or a link to such voter registration form which instructs or directs, in any way, the applicant to return the completed form to anyone or any group other than directly to the county clerk of the applicant’s legal residence or, in the case of overseas electors or UOCAVA electors, the county clerk or the Secretary of State. 14.4.7 A VRD organizer or circulator must provide the applicant a blue or black ink pen to complete the application, and may not highlight or otherwise mark the approved voter registration drive application form other than to write the VRD number and circulator information. 14.5 Voter Registration Drive Complaints and fines 14.5.1 Any person, including the Secretary of State, who believes a VRD organizer or circulator has not complied with the requirements of Part 7,

Article 2 of Title 1, C.R.S., or this Rule 14 may file a written complaint with the Secretary of State. 14.5.2 A written complaint filed with the Secretary of State must contain the following information:

(a) The complainant’s name;

(b) The complainant’s full residence address and mailing address (if different from residence);

(c) A description of the alleged violation, which may include a reference to the particular statute or rule;

(d) The name and assigned number of the VRD, if known;

(e) The date and location of the alleged violation, if known; and (f) Other applicable or relevant information. 14.5.3 The Secretary of State will review all complaints submitted in writing and conduct such investigations as may be necessary and appropriate. If the Secretary of State determines that a violation has occurred, the Secretary of State will impose a fine in accordance with section 1-2-703, C.R.S., and notify the VRD organizer of:

(a) The date and factual basis of each act with which the VRD organizer is being charged;

(b) The particular provision of the statute violated; and (c) The amount of the fine imposed. 14.5.4 Notification of violation will be sent by certified or registered mail, return receipt requested, to the last known address of the VRD organizer. 14.5.5 The VRD organizer may appeal a fine by requesting a hearing within 60 days following receipt of notification of the fine. See 8 CCR 1505-3, Rule 3, for additional information regarding the administrative hearing process.

Rule 15. Preparation, Filing, and Verification of Petitions 15.1 The following requirements apply to candidate, statewide initiative, recall, minor party creation, and referendum petitions, unless otherwise specified. 15.1.1 Petition template for state petitions (a) Petition proponents or their designees must request their petition format by sending an email with the information requested by the Department to draft a petition format to ballot.access@coloradosos.gov. Once that information is provided, the Department of State will return a petition format with the information included in no smaller than ten-point font. Petition proponents must then print a physical copy of the petition provided by the Department of State and return a copy, scanned image, or picture of the printed format for final approval by the Department of (b) After approval of the petition format as to form, proponents must print all petition sections in accordance with the Secretary of State’s petition-printing guidelines. The Department of State will reject any petition sections circulated prior to receiving a formal approval letter for the petition format.

(c) Any signature affixed to a petition section that does not conform to the requirements of this Rule 15.1.1 is not valid.

(d) Petition proponents for initiative petitions must provide a Word and PDF version of the final text of the measure to the Secretary of 15.1.2 Petition submission (a) The Department of State or DEO will not accept or count additional signatures after the initial submission of the petition, even if additional signatures are offered before the deadline.

(b) The Department of State or DEO will inspect each petition section for evidence of disassembly. If it appears that the section was disassembled, the Secretary or DEO will reject all signatures in the

section.

(c) The Department of State or DEO will not consider a signer line as a reviewable line, if the line is incomplete or partially crossed out and the information missing or crossed out is the name, signature, or address of the signer. If a line contains a signature that is legible, but has no printed name, it is considered reviewable.

(d) The Department of State or DEO will not review lines that are blank or completely crossed-out.

(e) If the number of lines submitted is less than the number of signatures required to access the ballot, the Department of State or DEO will issue a statement of insufficiency and will not review signer lines or apply duplicates to future candidate petition submissions for the same office or recall petitions of the same officeholder.

(f) The Department of State or DEO will review and process candidate petitions for the same office in the order in which they are received. 15.1.3 Circulator affidavit (a) If a petition section does not have a completed circulator affidavit, the Secretary of State or DEO will reject the entire section.

(b) If a petition section does not have a completed notary clause, or if the date of the notary clause differs from the date the circulator signed the affidavit, the Secretary of State or DEO will reject the entire section.

(c) If a state candidate, recall proponent, or initiative proponent is curing a circulator affidavit under section 1-4-912(2), C.R.S., the candidate or proponent must use a form approved by the Secretary 15.1.4 Verifying individual entries (a) Staff will check each individual entry against the information contained in SCORE.

(b) Staff will create and maintain a master record of each accepted and rejected entry, along with the reason code for each rejected entry.

(c) If an entry does not match the signer’s current information in SCORE, staff must check the signer’s information in SCORE as of the date the signer signed the petition.

(d) Secretary of State or DEO staff will reject the entry if:

(1) The name on the entry is not in SCORE;

(2) The middle initial or middle name on the entry does not match the middle initial or middle name in SCORE;

(3) The address on the entry does not match the residential address in SCORE;

(4) The entry address contains information, such as a number, apartment number, or street direction that contradicts the SCORE address;

(5) The signer completed the entry before the designated election official approved the petition format;

(6) The signer was not an eligible elector at the time he or she completed the entry;

(7) The signer completed the entry after the date on the circulator affidavit;

(8) Evidence exists that some other person assisted the signer in completing the entry but no statement of assistance accompanies the entry;

(9) The name and signature on the entry is illegible and cannot be verified in SCORE;

(10) The entry is a duplicate of a previously accepted entry on the same petition;

(11) For a candidate petition where an elector may sign only one petition for the same office, the entry is a duplicate of a previously accepted entry on a petition that was declared sufficient or insufficient after lines were reviewed for the same office;

(12) The signer’s information appears outside of a numbered signature block on a petition section;

(13) For a candidate petition, the address on the entry does not match the current residential or mailing address for the elector in SCORE; or (14) For an initiative petition, a name suffix is present on the entry but not in SCORE, or present in SCORE but not on the entry, and more than one person with that name is registered to vote at the same address.

(e) The Department of State or DEO staff will not use any of the following discrepancies as the sole reason to reject an entry:

(1) The name on an entry matches or is substantially similar to the information in SCORE, or if the signature on an entry is a common variant of the name;

(2) A middle initial or middle name is present on the entry but not in SCORE, or present in SCORE but not on the entry;

(3) A name suffix is present on the entry but not in SCORE, or present in SCORE but not on the entry and only one person with that name is registered to vote at that address;

(4) For a candidate petition, a name suffix is present on the entry but not in SCORE, or present in SCORE but not on the entry, more than one person with that name is registered to vote at the same address, but the signature matches for one person registered to vote at that address;

(5) The printed name is missing or illegible but the signature can be read;

(6) The address on the entry is missing an apartment letter or number or a street direction, or the address entry contains an apartment letter or number or a street direction that is missing in the voter registration record;

(7) The city or county name is missing, abbreviated, or wrong;

(8) For candidate and recall petitions, the address provided did not match the current residence address information in SCORE, but did match the current mailing address information in SCORE;

(9) On a signer line, the date is missing but a line above and below has an acceptable date;

(10) For Secretary of State staff reviewed petitions only, the year of the date is missing or wrong; or (11) Information required for the signer is present on a petition line but is written in the wrong field. 15.2 Petition entity license, registration, filing, and circulation 15.2.1 A petition entity that intends to pay petition circulators must obtain a petition entity license, pay a fee, and register with the Secretary of State’s Office before circulating initiative, referendum, minor party, candidate, vacancy candidate, and recall petitions. The license application must include:

(a) The petition entity’s name, address, telephone number, and email address;

(b) The designated agent’s name;

(c) The name of all owners and chief officers of the entity;

(d) The following information regarding petition circulators:

(1) The name, address, copy of identification each circulator will use for the purpose of having a petition section notarized, and signature of any petition circulators the entity has hired or contracted with to circulate a petition in Colorado;

(2) The petitions each circulator will circulate in Colorado; and (3) A copy of the certificate of completion of the training offered by the Secretary of State within the last year as evidence that the circulator has read and understood laws pertaining to petition circulation; and (e) An affirmation that:

(1) The designated agent has read and understands Article 4,

Article 12, and Article 40 of Title 1, C.R.S.;

(2) The designated agent has completed the Secretary of State’s circulator training program;

(3) The petition entity has or will provide to all circulators, paid or unpaid, the circulator training offered by the Colorado Secretary of State as one way for the circulator to comply with the requirement that a circulator read and understand the laws pertaining to petition circulation;

(4) The entity, none of its owners or chief officers, and no entity or principal of a petition entity that the entity has or will contract with, has ever been found in a judicial or administrative hearing in Colorado or any other state of authorizing or knowingly permitting:

(A) Forgery of a registered elector’s signature;

(B) Circulation of a petition section, in whole or in part, by anyone other than the circulator;

(C) Use of a false circulator name or address in a circulator affidavit;

(D) Payment of money or a thing of value to any person for the purpose of inducing the person to sign or withdraw his or her name from a petition; or (E) A notary public’s notarization of a circulator affidavit outside of the physical presence of the circulator or without the production of the required identification for notarization of a petition section; and (5) Neither the entity nor its owners or officers have been found in a judicial or administrative hearing in Colorado or any other state of:

(A) Violating a petition law;

(B) Committing election fraud;

(C) Committing any other election offense; or (D) Committing an offense with an element of fraud. 15.2.2 Before compensating a circulator, the designated agent must register with the Secretary of State’s Office by submitting a signed form that includes a list of the proposed initiatives, candidate or candidate committee’s name, minor party petition, or recall petition the petition entity will circulate. For the purpose of this Rule, compensating a circulator includes providing compensation to a circulator for circulating a petition in Colorado or entering into an agreement with a circulator to provide compensation for circulating a petition in Colorado. The designated agent must complete the Secretary of State’s circulator training program prior to applying for a license and once annually thereafter. 15.2.3 A petition entity license is only valid for two years from the date the license was approved by the Secretary of State. Once a license expires, a petition entity must submit a new license application and fee. 15.2.4 In accordance with sections 1-4-905.5(4)(a) and 1-40-135(5)(a), C.R.S., a petition entity must update their entity license no later than 20 days after a change to any information provided in their initial application. Beginning December 1, 2025, this includes the information required by Rule 15.2.1(d) for circulators hired by the entity after the entity has obtained their license. 15.3 Statewide initiative petition circulation 15.3.1 Petition circulation may begin after the title board’s final decision, including disposition of any rehearing motion, after the time for filing a rehearing motion, and after the Secretary of State has approved the petition format. 15.3.2 The petition circulator must provide a permanent residence address on the circulator affidavit.

(a) For purposes of Article 40 of Title 1, C.R.S., and this Rule, a circulator’s permanent “residence” means their principal or primary home or place of abode in which a circulator’s habitation is fixed and to which the circulator, whenever absent, has the present intention of returning after a departure or absence, regardless of the duration of the absence. A permanent “residence” is a permanent building or part of a building and may include a house, condominium, apartment, room in house, or mobile home. Except as provided in paragraph (b) of this Rule, a vacant lot, business address, or post office box is not a permanent “residence”.

(b) A homeless circulator must provide the address or location where they are living the date the affidavit is signed. The circulator must provide a physical location they return to regularly which may include a park, campground, vacant lot, business address or any other physical location; a post office box may not be provided.

(c) For the purposes of sections 1-40-106(4)(b), 1-40-111(3)(a), 1-40- 121(2)(a), and 1-40-135(2)(c), C.R.S., a circulator’s permanent residence address that does not comply with this Rule 15.3.2 is a “false address”. 15.4 Statewide initiative petition receipt by Secretary of State 15.4.1 The Department of State will not accept a petition that lists designated representatives other than those listed on the affidavit of designated representatives filed with the state title board. 15.4.2 Upon receipt of a petition, Secretary of State staff will consecutively number petition sections. 15.4.3 Staff will consecutively number each line on each petition section. For purposes of this Rule, "line" means the block of information where a signer could fill in the last name, first name, middle initial, county, signing date, street address, city, and signature of a petition signer. 15.5 Statewide initiative petition verification 15.5.1 Verification by random sample.

(a) Staff will create a record for each entry on the petition and tally the total number of entries.

(b) The database will generate a series of random numbers equal to 4,000 signatures or five percent of the total number of signatures, whichever is greater. Staff will review the randomly selected signature lines in accordance with section 1-40-116, C.R.S., and this Rule. Staff will maintain a master record of each accepted and rejected entry, along with the reason code for each rejected entry. 15.6 Signature verification on state candidate and recall petitions 15.6.1 The Department of State will compare the signature on each petition entry with the elector’s signature in SCORE in accordance with the Secretary of State’s Signature Verification Guide. The Department of State may use an automated signature verification device.

(a) If the signatures match and the entry is otherwise valid, the Department of State must accept the entry.

(b) If upon initial review the signatures do not match, The Department of State must conduct further review of the entry. A team of two staff members who are not affiliated with the same political party, or who are unaffiliated, must review the signatures, conduct additional research in SCORE if necessary, and, unless both staff members agree that the signatures do not match, accept the entry if it is otherwise valid. In the event that a staff member is not registered to vote, that staff member will be considered unaffiliated for the

purpose of this Rule. 15.7 Referendum petitions 15.7.1 This Rule applies to statewide referendum petitions under Article V,

Section 1 (3) of the Colorado Constitution. 15.7.2 Except where this Rule states otherwise, any statutory or constitutional provision that applies specifically to initiative petitions also applies to referendum petitions. 15.7.3 Proponents may submit a referendum petition to the Secretary of State for approval at any time after the General Assembly has passed the bill. The Secretary of State will not issue final approval of the referendum petition form until the bill has become law under Article IV, Section 11 of the Colorado Constitution. 15.7.4 Each referendum petition section must consist of the following, in the order listed:

(a) The warning as specified in section 1-40-110, C.R.S.;

(b) The heading “Referendum Petition”, followed by the demand upon the Secretary of State in substantially the following form, in which the underlined material is only for example:

“To: The Honorable _______________, Secretary of State of the State of Colorado We, the undersigned electors of the State of Colorado, do hereby respectfully petition, order, and demand that Sections 1 to 12, inclusive (being the entire Act), of House Bill No. 02-1010, by Representatives Abel, Baker, and Cain, and Senators Smith, Thomas, and Jones, entitled “Concerning registration requirements for motor vehicles, and, in connection therewith, authorizing twoand five-year registration periods and authorizing discretionary vehicle identification number inspections, and making an appropriation”, passed by the Sixty-third General Assembly of the State of Colorado, at its regular session in the year 2002,shall be submitted to the voters for their adoption or rejection at the next biennial regular general election, to be held on Tuesday, the 5 day of November, 2002, and each of the signers of this petition says:

I sign this petition in my own proper person only, and I am a registered elector of the State of Colorado, my residence address and the date of my signing this petition are correctly written immediately after my name, and I do hereby designate the following persons to represent me in all matters affecting this petition:”;

(c) The name and mailing address of two persons who are designated to represent the signers thereof in all matters;

(d) The ballot title and submission clause;

(e) The text of the Act, or the item, section, or part of the Act, on which the referendum is demanded;

(f) Succeeding pages that each contain the warning, the ballot title, and submission clause, and ruled lines numbered consecutively for signatures; and (g) A final page that contains the circulator’s affidavit required by

section 1-40-111(2), C.R.S. 15.7.5 A referendum petition section must include only the matters required by

Article 40, Title 1, C.R.S., and this Rule, and no extraneous material. 15.7.6 The ballot title must consist of the title of the act on which the referendum is demanded, followed by the bill number, in substantially the following form, in which the underlined material is only for example:

“An Act concerning registration requirements for motor vehicles, and, in connection therewith, authorizing two- and five-year registration periods and authorizing discretionary vehicle identification number inspections, and making an appropriation, being House Bill No. 02-1010.” 15.7.7 When referendum is demanded on less than an entire Act of the General Assembly, the ballot title and submission clause must consist of the ballot title preceded by words in substantially the following form, in which the underscored material is only for example, and ending in a question mark:

“Shall Section 3 (concerning definition of terms) and Section 4 (eliminating licensing requirements for motor vehicle dealers) of the following Act of the General Assembly be approved:” The material in parentheses shall correctly and fairly summarize the subject or the effect of the portion of the Act referenced.

Rule 16. Military and Overseas Voters (UOCAVA) 16.1 Voting by military and overseas electors 16.1.1 For the purposes of this Rule 16, elector means a covered voter as defined in section 1-8.3-102(2), C.R.S. 16.1.2 In accordance with the Help America Vote Act of 2002 and this Rule 16, each county clerk’s office must have a dedicated fax machine for the

purpose of fax ballot transmission. 16.1.3 Covered voter status eligibility (a) An elector who requests covered voter status must submit an application affirming his or her eligibility to do so in accordance with

section 1-8.3-108(5), C.R.S.

(b) The county clerk must remove the covered voter status of any elector who:

(1) Votes in person in two consecutive elections; or (2) Returns their ballot in a drop box, drop-off location, or in person in two consecutive elections;

(c) Notwithstanding the provisions of this rule, the county clerk may retain the covered voter status of any elector who the clerk has a reasonable basis to believe remains a covered voter.

(d) The county clerk must send correspondence by email, if available, and by mail to an elector who has had their status as a covered voter removed, which notifies them that their status as a covered voter has been removed and informs them of their ability to submit a new application affirming their eligibility as a covered voter. 16.1.4 If an unregistered elector submits a Federal Write-in Absentee Ballot (FWAB) by the deadline set forth in sections 1-8.3-111 and 1-8.3-113, C.R.S., the FWAB is a timely application for registration and ballot request. 16.1.5 Ballots received by the Secretary of State (a) If the Secretary of State timely receives a ballot under section 1- 8.3-113, C.R.S., and Rule 16, the Secretary of State will immediately notify the appropriate county clerk and forward the ballot by the most efficient means available no later than the next business day.

(b) To ensure voter secrecy, any county notified that the Secretary of State has received a ballot must retain a minimum of ten voted ballots to be counted with the ballot received by the State. 16.1.6 The county clerk must send a minimum of one correspondence no later than 60 days before the first primary or coordinated election each year to each covered voter. The correspondence must be sent by email, if available, and mail and, at a minimum, must notify the electors of:

(a) The status of the elector’s record and ballot request;

(b) The upcoming federal and state elections;

(c) How to update the elector’s mailing information and request a ballot; and (d) Any other information the county clerk deems appropriate. 16.1.7 If a letter sent under Rule 16.1.6 is returned as undeliverable, the county clerk must mark the record inactive and send a confirmation card as defined by section 1-1-104(2.8), C.R.S. 16.1.8 No later than 45 days before an election, the county clerk must report to the Secretary of State the number of ballots transmitted to military and overseas electors by the 45-day deadline. 16.1.9 Failure to meet the 45-day ballot transmission deadline in section 1-8.3- 110, C.R.S.

(a) If a county fails to meet the 45-day ballot transmission deadline provided for any state or federal election, the county clerk must immediately report the failure and reason for the failure to the (b) The county clerk must provide a plan to the Secretary of State for complying with the deadline in the next state or federal election.

(1) The county must submit the plan to the Secretary of State no later than 60 days before the transmission deadline.

(2) The county must provide a weekly progress report on implementing the plan to the Secretary of State beginning 50 days before the transmission deadline.

(3) The county clerk must provide a daily progress report to the Secretary of State beginning five days before the transmission deadline. 16.2 Electronic transmission 16.2.1 In accordance with sections 1-8.3-110 and 1-8.3-113, C.R.S., an elector may request to receive and return his or her ballot by electronic transmission.

(a) An elector who requests fax transmission must provide a fax number, including the international country code and local area, province, or city code, if applicable, where the ballot is to be faxed.

(b) An elector who requests email transmission must provide a complete email address where the ballot is to be transmitted. In accordance with section 1-8.3-115, C.R.S., no election official may disclose the email address to the public.

(c) In accordance with section 1-8.3-113(1), C.R.S., a covered voter who chooses to receive his or her unvoted ballot by electronic transmission may return his or her ballot by fax or email only if the covered voter reasonably determines that a more secure method, such as returning the ballot by mail, is not available or feasible. “Not feasible” means circumstances where the covered voter reasonably believes that if he or she mails the ballot the county clerk will not receive it by the close of business on the eighth day after an (d) To return a voted ballot and self-affirmation by email, the elector must scan and return the documents as an email attachment.

(e) If an elector requests to receive his or her ballot by electronic transmission, the county clerk must transmit the elector’s ballot electronically for all covered elections until the elector requests otherwise or the elector’s electronic transmission method becomes undeliverable. 16.2.2 The electronic transmission must include:

(a) Directions for the voter to access their ballot and materials online at the website approved by the Secretary of State;

(b) The county clerk’s contact information including mailing address, email address, phone, and fax number;

(c) Instructions for completing and returning the ballot; and (d) Any other information deemed necessary by the Secretary of State or the county clerk. 16.2.3 The self-affirmation must include the standard oath required by the Uniformed and Overseas Citizen Voting Act, the elector’s name, date of birth, signature, and the following statement: I also understand that by returning my voted ballot by electronic transmission, I am voluntarily waiving my right to a secret ballot and that Colorado law requires that I return this ballot by a more secure method, such as mail, if available and feasible. 16.2.4 If the county clerk transmits a ballot packet to an elector by fax or email and the transmission is unsuccessful, the county clerk must attempt to fax or email the ballot at least two more times. If electronic transmission is unsuccessful, the county clerk must mail the ballot and remove the electronic transmission flag in SCORE under Rule 16.2.1(e). 16.2.5 A county clerk that has successfully transmitted a ballot packet to a covered voter by fax or email may not separately mail that elector a ballot unless later requested by that elector, or as a result of a change of that voter’s status. 16.2.6 Upon receipt of a voted ballot sent by electronic transmission, the county clerk must verify the elector’s signature in accordance with Rule 7.7. After the affidavit has been verified, a bipartisan team of judges must duplicate the ballot. Duplicating judges must not reveal how the elector voted. 16.2.7 A military or overseas elector whose registration record is inactive may download an application and ballot using the electronic ballot delivery (a) The elector must submit the ballot and application in accordance with the deadlines in section 1-8.3-111 and 1-8.3.113, C.R.S., for the ballot to be counted.

(b) Every county must use the approved electronic delivery system to implement this Rule. 16.2.8 Nothing in this Rule 16.2 permits internet voting. Internet voting means a system that includes remote access, a vote that is cast directly into a central vote server that tallies the votes, and does not require the supervision of election officials.

Rule 17. Provisional Voting 17.1 Provisional voting in the voter service and polling center 17.1.1 The county clerk must use the approved provisional ballot affidavit form. 17.1.2 Issuance of mail ballots instead of provisional ballots (a) If a voter service and polling center loses connectivity to SCORE an election judge must attempt to verify the elector’s eligibility.

(1) Eligibility may be determined by reviewing or receiving information produced from the statewide voter registration system either in real-time or within the preceding 24 hours; except if the time for voting is extended beyond 7 p.m. on election day by a court order, in which case eligibility may be determined by reviewing or receiving information produced from the statewide voter registration system either in realtime or no earlier than the day prior.

(2) If the elector’s eligibility can be determined, the judge must issue the elector a mail ballot or replacement mail ballot. If an elector’s eligibility cannot be determined, the election judge must issue the voter a provisional ballot.

(b) Beginning the Friday before election day, a county clerk must keep a paper or electronic backup of the county’s voter registration list produced from the preceding day for the purpose of determining eligibility under this rule. 17.1.3 The word “provisional” must be marked on the provisional ballot and on the signature card, if applicable, next to the elector’s name. 17.1.4 A county clerk must have the ability to issue provisional ballots and envelopes equal to at least three times the number of provisional ballots and envelopes issued in the last election of the same type. 17.2 Verification of provisional ballots 17.2.1 The county clerk must process and tabulate all mail and in-person ballots before processing provisional ballots. 17.2.2 The county must process all mail ballots and signature cards in SCORE before processing provisional ballots. 17.2.3 Verification of an elector’s eligibility to have his or her provisional ballot counted is limited to the following sources:

(a) Sources provided by the Secretary of State or law enforcement agencies regarding felons who are serving a sentence of detention or confinement;

(b) SCORE; and (c) The information provided on the provisional ballot envelope, including the affidavit. 17.2.4 When verifying provisional ballots, the designated election official must check SCORE to determine whether the elector has already voted in the 17.2.5 If during verification it appears that the elector’s record was cancelled or consolidated as a duplicate in error, the ballot must be counted so long as the elector has not cast a ballot in the election, the affidavit is complete, and the elector is otherwise eligible. The county clerk must reinstate or unconsolidate the elector’s record and update the elector’s record before marking the elector’s provisional ballot as accepted or rejected in SCORE and before linking it to the elector’s record. 17.2.6 When the county clerk receives both a mail ballot and a provisional ballot from an elector, but there is a discrepancy between the signature on the returned mail ballot envelope and the elector’s signature stored in SCORE, the discrepancy must be resolved. Before the county clerk may verify the provisional ballot affidavit, the elector must affirm that the signature on the mail ballot envelope is not his or her signature. Sections 1- 8.5-105(4) and (5), C.R.S. 17.2.7 If an elector whose voter registration record is tagged ID required casts a provisional ballot without providing valid identification, the county clerk must verify and count the provisional ballot as follows:

(a) The county clerk must send the elector a letter within three days after the ballot is cast, and no later than two days after election day, explaining that he or she must provide the required identification.

Nothing in this Rule prohibits the county clerk from calling the elector; however, a phone call does not substitute for notification to the elector in writing. If the county clerk calls any elector he or she must call all electors who failed to provide required identification.

(b) If the elector provides a copy of valid identification within eight days after election day, the county clerk must count the ballot so long as the elector has not cast another ballot in the election, the affidavit is complete, and the elector is otherwise eligible. 17.2.8 If the information contained in the provisional ballot affidavit provides adequate criteria so that the county clerk is able to confirm that the elector is eligible to cast a ballot, the provisional ballot must count. 17.2.9 Acceptance Codes (The county clerk must count all races.)

AOK Reviewed and confirmed voter’s eligibility, including voters eligible to vote only for President in a Presidential General Election, as provided by 52 U.S.C. § 10502 (c).

ADB Election official issued the elector the wrong ballot style. The voted ballot will be duplicated and only races and issues for which the elector is qualified to vote may be counted.

ALC Elector voted a provisional ballot because the voter service and polling center lost connectivity and the voter’s eligibility could not be otherwise determined. Elector’s eligibility is confirmed. 17.2.10 Rejection Codes (The county clerk must not count a ballot given a rejection code):

RNS (Rejection not signed) Provisional Ballot Affidavit not signed.

RIN (Rejection incomplete information provided) Required information is incomplete and the designated election official is unable to confirm voter’s eligibility.

REE (Rejection envelope empty) Provisional ballot envelope is empty.

RAB (Rejection voter voted mail ballot) Designated election official has confirmed that voter voted a mail ballot.

RED (Rejection based upon ballot cast in person) Voter voted in a Voter Service Center or Polling Center.

RIP (Rejection based on incorrect party) Incorrect Party in Primary Election.

RFE (Rejection not eligible to vote due to felony incarceration) Individual was convicted of a felony and is serving a sentence of confinement or detention.

RWC (Rejection elector not a resident of the district, county, or the State of Colorado) The individual does not reside within the district, county, or state, as applicable, and is not eligible to vote in the county where the provisional ballot was voted.

RID (Rejection first time voter has not supplied identification upon registration or thereafter prior to and during time voter voted) First Time Voter is tagged ID deficient, and did not provide ID at the time of voting. 17.3 The provisional ballot log required by section 1-8.5-110(4), C.R.S., may be prepared by the county clerk in handwritten or computer-generated form. 17.4 Recount procedures for provisional ballots are the same as the recount procedures for other ballots as directed by the Secretary of State. 17.5 Processing provisional ballot affidavits in SCORE. Before closing an election, the county clerk must: 17.5.1 Enter all provisional ballot affidavits into the SCORE provisional module; 17.5.2 Process all voter registration updates; and 17.5.3 Link all provisional ballot affidavits to the appropriate elector’s record. 17.6 Public access to provisional ballot information 17.6.1 The list of voters who cast a provisional ballot and the accept/reject code for the ballot is available for public inspection. 17.6.2 In accordance with section 24-72-204(8), C.R.S., the county clerk must not release an original or copy of the elector’s:

(a) Month and day of date of birth;

(b) Driver’s license or Department of Revenue identification number;

(c) Social security number;

(d) Email address; or (e) Signature. 17.6.3 If a voter has requested confidentiality under section 24-72-204(3.5), C.R.S., the county clerk must not release the elector’s address or telephone number. 17.6.4 If a voter has requested confidentiality under section 24-30-2101, C.R.S., the county clerk must not release the provisional ballot affidavit. 17.7 Voter Access to Provisional Ballot Information 17.7.1 The Secretary of State will provide a provisional ballot lookup on the Secretary’s website during the 45 days following election day. 17.7.2 The county clerk must number the provisional ballot envelope or affidavit stock using the standard numbering convention approved by the Secretary [Section 1-8.5-111, C.R.S.]

Rule 18. Uniform Counting Standards for Paper Ballots 18.1 In any election where a multiple page printed ballot is used, a voter must vote and return all pages of the ballot at the same time. Any voter who returns at least one page of a multiple page printed ballot will be considered to have voted and the county clerk or designated election official must count the votes on the submitted pages. The county clerk must not count votes on additional pages returned at a later time. The county clerk must appropriately mark, set aside, and preserve the ballots as election records in accordance with section 1-7-802, 18.2 Standards for hand counting paper ballots 18.2.1 In accordance with section 1-7-309, C.R.S., and Rule 18.5, judges counting ballots must consider the intent of the voter. 18.2.2 If a race or ballot measure is overvoted, the judges must not count any vote for that race or ballot measure. 18.2.3 If a race or ballot measure contains no markings by the voter, no tally will be made for that race or ballot measure. But all other candidate races or ballot measures properly marked by the voter on the ballot must be 18.2.4 A ballot which has no markings for any candidate races or ballot measures must be tallied as a blank ballot. 18.3 Procedures for counting paper ballots on ballot scanners at central count locations 18.3.1 Before tabulation, a resolution board must duplicate damaged ballots, and may duplicate ballots with marks that may identify the voter, in accordance with Rule 18.4. Election judges may visually inspect every ballot for the limited purpose of segregating damaged ballots and ballots with marks that may identify the voter. 18.3.2 A county must sort ballots requiring resolution according to the capabilities of its voting system. If a county’s voting system supports digital ballot resolution, the county must program the voting system to digitally queue for resolution blank ballots, ballots with write-in votes, and ballots with overvotes. Ballots with marginal or ambiguous markings must be sorted according to the system provider’s specifications, or, if different, the applicable Conditions of Use issued by the Secretary of State. The digitally queued ballots must be resolved by election judges in accordance with Rule 18.5. 18.3.3 A resolution board must resolve ballots sorted or rejected for resolution.

(a) In an election conducted with any partisan ballot content, a resolution board must consist of at least two election judges affiliated with different major political parties.

(b) In an election conducted without any partisan ballot content, a resolution board must consist of at least two election judges.

(c) A resolution board must work at each resolution workstation.

(d) The members of a resolution board for an election may change, but all members of the resolution board at any particular time must satisfy the eligibility requirements specified in Rule 18.3.3. 18.4 Ballot duplication 18.4.1 A resolution board must duplicate a voter’s choices or selections on a damaged ballot onto a blank ballot of the same ballot style in accordance with Rule 18.4. During the duplication process, and to the extent necessary, the resolution board must also resolve overvotes, write-in votes, and ambiguous markings in accordance with Rule 18.5.

(a) The county clerk must train resolution board members to resolve voter intent issues in accordance with the Secretary of State’s voter intent guide.

(b) The county clerk must periodically review duplicated ballots to ensure duplication is being conducted consistent with Colorado law and Rule 18.4. 18.4.2 A county conducting a general assembly or county commissioner vacancy election must duplicate the ballot of a voter who voted in the vacancy contest, but who, based on their affiliation as of 22 days before election day, was not eligible to vote in the contest. The ballot must be duplicated with the ineligible contest undervoted. 18.4.3 A resolution board must review the original ballot and the duplicated ballot, and consult the Voter Intent Guide if necessary, to ensure that each damaged ballot has been properly and accurately duplicated. 18.4.4 In order to match each damaged ballot to its corresponding duplicated ballot, the resolution board must identify and mark each damaged and duplicated ballot with the type of ballot and a unique number, similar to the following example: mark the damaged ballot “Orig 0001,” and the counterpart duplicated ballot “Dupe 0001.” 18.4.5 The resolution board must maintain a written log itemizing all damaged ballots that it duplicates. The duplication log must include at least each damaged and duplicated ballot’s unique number, the date on which it was duplicated, the reason for duplication, and the printed names and signatures of the members of the resolution board. 18.4.6 A county clerk must count duplicated ballots in the same manner as all other paper ballots. 18.4.7 A county clerk must batch duplicated ballots separately from all other 18.4.8 Before retention for storage, the resolution board must deposit all duplicated ballots and duplication logs in a sealable container that is clearly marked to identify its contents (e.g., “damaged ballots”). The county must maintain chain-of-custody and seal logs for the damaged ballot container at all times during the statutory election records retention period. 18.5 Ballot resolution 18.5.1 A resolution board must resolve all blank ballots and ballots with overvotes, write-in votes, and ambiguous markings in accordance with the Secretary of State’s Voter Intent Guide. 18.5.2 Resolution of blank ballots.

(a) A resolution board must examine blank ballots to determine if the ballot is a true blank ballot or one that has been marked in a manner or medium that was not detected by the voting system.

(b) If the ballot is truly blank, the resolution board must record the ballot as a blank ballot in the voting system’s resolution application.

(c) If the ballot is marked in a manner or medium that can be discerned by the resolution board but cannot be tabulated by the voting system, the resolution board must resolve the ballot in the voting system’s resolution application in accordance with Rules 18.5.2(b) and 18.5.3. 18.5.3 Resolution of write-in votes (a) A resolution board must resolve all write-in votes in accordance with the Secretary of State’s Voter Intent Guide.

(b) In counties using voting systems featuring digital resolution capable of detecting voter markings on or in a write-in line or area, and if the voter does not mark any of the target areas in a particular contest, the resolution board must resolve during initial adjudication the written name of an eligible write-in candidate as a valid vote for that candidate even if the voter fails to mark the corresponding target area.

(c) In counties using voting systems that are not capable of detecting voter markings on or in a write-in line or area if the corresponding target area is not also marked, and if the voter does not mark any other target area in a particular contest, the resolution board must count as valid votes for eligible write-in candidates those instances in which the voter both marks the applicable target area and writes in the name of a certified write-in candidate. During any recount, if the number of undervotes in a ballot contest could change the outcome if attributed to an eligible write-in candidate, votes for that candidate must be counted whether or not the target area designating the selection of a write-in candidate has been marked, provided that the number of candidates chosen does not exceed the number permitted in that office.

Rule 19. Certification and Education of Designated Election Officials 19.1 Purpose and Definitions 19.1.1 The Secretary of State recognizes that the oversight of elections is a profession that requires thorough knowledge of complex state and federal election law and election procedures. Considering the complexity of state and federal law, voting equipment, and election procedures, extensive training is necessary. The certification program standardizes election procedures and education. The program also promotes Colorado voters’ confidence in their election officials and the election process. 19.1.2 “ Local election official” means a county clerk. (Section 1-1-301(1), C.R.S.) 19.1.3 “ Persons required to complete certification” means:

(a) The county clerk;

(b) Employees in the county clerk’s office who are directly responsible for overseeing election activities, including but not limited to: voter registration, candidate qualifications and ballot certification, poll worker training, ballot design and setup, ballot counting, and canvassing;

(c) Other employees in the county clerk and recorder’s office at the discretion of the clerk;

(d) A designated election official for a county and a coordinated election official for a county; and (e) Employees in the Elections Division of the Department of State at the discretion of the Secretary of State. 19.2 Advisory Board 19.2.1 The advisory board meets either in person or through electronic means at least twice each calendar year to approve the curriculum and make necessary changes. 19.2.2 The advisory board must recommend changes to the certification program or additional classes after reviewing evaluations, attendance numbers, and online trainings. 19.2.3 The Secretary of State will appoint the following as board members:

(a) Four county clerks or designated staff members;

(b) Two Secretary of State Office representatives; and (c) Any individual whom the Secretary of State believes could make a valuable contribution to the board. 19.2.4 Board members serve at least a two-year term. 19.2.5 The Secretary of State may terminate board members without cause.

Failure to attend meetings or meaningfully contribute may result in termination. 19.3 Curriculum 19.3.1 The Secretary of State will develop the core and elective curriculum offered for certification and continuing elections education. The Secretary will post curriculum information on the Secretary of State’s website. 19.3.2 The Secretary of State will develop and administer all training outlined in this Rule 19. 19.3.3 To obtain Colorado certification, a person must complete the following minimum curriculum prescribed by the Secretary of State:

(a) Seven basic core courses;

(b) One core course relevant to primary job duty; and (c) Six electives. 19.3.4 To maintain Colorado certification, a person must complete at least four Continuing Elections Education courses by July 31 of every year and complete at least one in-person class every two years. 19.4 Training Format 19.4.1 Web-based training may be conducted live or by reviewing material previously presented by the Secretary of State. In either case, participants must achieve a satisfactory score on assessments before receiving credit for the course. 19.4.2 The Secretary of State will provide classroom training. For certification, a person must complete at least one course in-person. 19.5 Credit 19.5.1 Individuals applying for certification must successfully complete the curriculum prescribed by the Secretary of State. If an applicant submits duplicate coursework, the Secretary of State may reject the application for certification. 19.5.2 Training assessment (a) To receive certification credit for any course presented by the Secretary of State under this Rule, a participant must successfully complete a training assessment with a minimum score of 85%.

(b) A participant who fails to achieve a score of at least 85% may retake the assessment.

(c) The Secretary of State may administer either paper or electronic assessments. 19.5.3 Credit for Teaching Classes. A person who teaches or substantially assists with preparation of a class offered for certification is excused from the assessment requirement outlined in Rule 19.5.2 and will receive credit for the course. 19.5.4 No election official may receive credit toward his or her Colorado certification for training offered by other agencies or organizations. 19.6 Application Review, Certification, and Maintenance of Records 19.6.1 When a person completes the required coursework, he or she must promptly submit an application for certification to the Secretary of State’s office on the form approved by the Secretary of State. 19.6.2 The Secretary of State must review the application with reference to the Secretary of State records. If the application is complete and accurate, the Secretary of State must issue a certificate that the person is a Certified Colorado Election Official. 19.6.3 The Secretary of State must track attendance at all classes and keep records of attendance, continuing elections education, and records of those persons who are certified and persons who are in the certification process. 19.6.4 A person is recertified when they complete the classes required under

Rule 19.3.4. 19.7 Decertification 19.7.1 A person who fails to satisfy continuing education requirements, or who the Secretary of State discovers failed to satisfy the requirements for initial certification will lose certification. 19.7.2 The Secretary of State will notify a person in writing via email or mail if the Secretary believes that person should be decertified because they failed to satisfy the requirements for initial certification under this Rule. 19.7.3 A person who is notified in writing that they will be decertified because they failed to satisfy the requirements for initial certification under this Rule has 15 business days to provide a response to the Secretary describing why they should not be decertified. 19.7.4 After receiving a response, or upon a person’s failure to timely respond, the Secretary will make a final determination regarding decertification. The Secretary may request additional information as necessary to make that determination.

Rule 20. County Security Procedures 20.1 Security plan 20.1.1 The county clerk must submit their county security plan on the form prescribed by the Secretary of State in accordance with section 1-5- 616(5), C.R.S., no less than 60 days before an election. A county clerk may amend their county security plan within 60 days of an election as a result of an unforeseen circumstance. The county clerk must document the changes and file the revisions with the Secretary of State within five days of the change. 20.1.2 In the security plan, the county clerk must provide the following information:

(a) Sample copies of all security forms, schedules, logs, and checklists they will use in the upcoming election;

(b) Detailed plans regarding the transportation of equipment and ballots to remote voting sites and back to the central elections office or storage facility;

(c) The details of the security training it will provide, including the time and location, in accordance with Rule 20.3;

(d) The name, title, and date a background check was conducted for each employee for whom the county clerk is required to perform a background check under Rule 20.2.3;

(e) All voting system acceptable use policy agreements signed by county staff which had not previously been provided in a security plan that calendar year, except as provided in Rule 20.5.2(a)(1);

(f) A description of the environment in which voting system components will be kept in accordance with Rule 20.5.5;

(g) The names of employees with administrative privileges to the voting system as required by Rule 20.5.2(c)(5);

(h) The number of surveillance cameras for the upcoming election; and (i) Any other information required in the published security plan. 20.2 Background checks 20.2.1 Background checks generally (a) A person may not access the systems, information, or access controls outlined in this Rule 20.2 until a background check of that person has been performed and passed.

(b) A background check that is required by this Rule 20.2 must be run at least once per calendar year, prior to the first election of the year.

In a year in which a presidential primary will be held, the background check may be performed in December in the year prior to the presidential primary.

(c) Unless otherwise noted, a background check required by this Rule must be requested from the Colorado Bureau of Investigation.

(d) A background check may only be considered to have passed if the check finds that the person has not been convicted of:

(1) An election offense; or (2) An offense with an element of fraud. 20.2.2 The county clerk must perform a background check for all election judges.

In accordance with section 1-6-101, C.R.S., an individual convicted of election fraud, any other election offense, or fraud may not serve as an election judge. 20.2.3 The county clerk must perform a background check in accordance with this Rule for each permanent or temporary staff member with access to:

(a) The statewide voter registration database;

(b) Elector’s confidential or personally identifiable information;

(c) Voter registration applications or other list maintenance activities;

(d) A component of the county’s voting system while at a location or during transport;

(e) Removable media that contains an election project backup; or (f) A code, lock, combination, password, or encryption key for:

(1) Voting equipment;

(2) Ballot storage area;

(3) Counting room;

(4) Location of adjudication workstations; or (5) Location of tabulation workstation. 20.2.4 A voting system provider must arrange for a national background check, sufficient to determine if the individual has ever been convicted of an election offense or an offense with an element of fraud for each employee or contractor who conducts work on any component of a county’s voting system. The provider must affirm that the check was conducted in writing to the Secretary of State prior to the employee conducting any work. 20.2.5 The Department of State must perform a criminal background check for each staff member who conducts work on any component of a county’s voting system, and the staff member must pass the background check prior to conducting that work. 20.3 Security training 20.3.1 The county clerk must conduct security training for all field technicians who work on voting system components, contractors who work on voting system components or in a voter service and polling center, and election officials, if those technicians, contractors, or election officials are contracted with or otherwise work under the direction of the county clerk. 20.3.2 The security training required by this Rule must include the following components:

(a) Proper application and verification of seals and chain-of-custody logs;

(b) How to detect tampering with voting equipment, memory cards, or election data on the part of anyone coming in contact with voting equipment, including election officials, vendor personnel, or voters;

(c) Ensuring privacy in voting booths;

(d) Chain-of-custody requirements for voting equipment, activation cards, and other election materials;

(e) Ballot security;

(f) Voter anonymity; and (g) Recognition and reporting of security incidents. 20.4 Physical security 20.4.1 Requirements for codes, locks, and combinations (a) The county clerk must maintain restricted access to secure ballot areas and secure equipment areas as defined by Rules 1.1.48 and 1.1.49, by use of a code, lock, or other combination. This may include the use of a key card access system which also logs entry into the secure area.

(b) The county clerk may only give the code, lock, or combination required by this Rule to employees who have passed a background check in accordance with Rule 20.2.

(c) The county clerk must change the code, lock, or combination required by this Rule at least once per calendar year prior to the first election of the year. 20.4.2 Surveillance of secure areas (a) The county clerk must make video security surveillance recordings of secure equipment areas in accordance with the requirements of

section 1-7-513.5, C.R.S.

(b) The county clerk of a county with 50,000 or more registered voters must also make video security surveillance recordings of secure ballot areas if those areas do not contain any components of a voting system, beginning at least 35 days before election day and continuing uninterrupted through at least 30 days following election day. If a recount or contest occurs, the recording must continue through the conclusion of all related activity.

(c) The video security surveillance recording system must:

(1) Ensure that records are not written over when the system is full;

(2) Provide a method to transfer the video records to a different recording device or to replace the recording media; and (3) If replaceable media is used, provide a process that ensures that the media is replaced often enough to prevent periods when recording is not available.

(d) The county clerk must adequately light the areas subject to video surveillance in this Rule to ensure visibility for video recording.

(e) Planned maintenance of video surveillance (1) If necessity requires it, a county clerk may temporarily cease video surveillance of voting system components or other areas for planned maintenance of the video surveillance system, but only for so long as the interruption of surveillance is required.

(2) Before the planned outage, the county clerk must notify and submit detailed plans to the Secretary of State, on a form prescribed by the Department of State, which describe security measures the clerk will take to ensure the security of the voting system components or areas during the planned outage. Those plans must include, at a minimum, an agreement by the county clerk that:

(a) The county will review key card system access logs after the surveillance system maintenance is complete to verify that no unexplained or unauthorized access occurred. If the county discovers unexplained or unauthorized access occurred during the outage, the county will notify the Department of State’s Elections Security Team within two business days;

(b) If physical access to a secure equipment or secure ballot area is necessary during the outage, at least two county staff members authorized by Rule 20.4.1 will be present; and (c) The county will implement temporary surveillance systems during planned outages, including use of portable recording devices such as cameras, phones, or tablets unless an exception to this rule is requested and granted by the Secretary of State.

(3) After review of the plans, the Secretary of State may require a county clerk to take additional or different actions to ensure the security of voting system components or areas during the planned outage. 20.4.3 Access logs to secure areas (a) The county clerk must maintain a log of each person who enters a location which contains components of a voting system in accordance with the requirements of section 1-7-513.5, C.R.S.

(b) The county clerk must otherwise maintain a log of each person who enters a secure ballot area, if that area does not contain any components of a voting system. This does not include members of the public who access areas of a county clerk’s office that are regularly available to the public outside of an election.

(c) A log required under this Rule must contain the:

(1) Name of the person accessing the area; and (2) Year, month, day, hour, minute, and whether the time is a.m. or p.m. that the area was accessed.

(d) If a log is generated by use of a key card or similar door access system, that system must be capable of producing a printed paper log that meets the requirements of this Rule. 20.4.4 Restrictions on physical access (a) General restrictions (1) No person may be present in a secure ballot area or secure equipment area unless:

(A) They are employees authorized to have a code, lock, or combination to the area under Rule 20.4.1;

(B) They are supervised by employees authorized to access that area; or (C) They are emergency personnel responding to an emergency situation. In the event emergency personnel access this area without supervision, the county clerk must inform the Department of State as soon as they have knowledge of the event, and it is reasonably safe to do so.

(2) In extreme circumstances, the county clerk may request, and the Secretary of State may grant, an exemption from the requirements of this Rule.

(b) Beginning 60 days before election day and continuing until 30 days after election day, individuals performing election-related duties must wear county-issued identification. 20.4.5 Physical security assessment (a) Every county clerk must request a physical security assessment of their central count facility, and if separate, the clerk’s main office.

(b) The physical security assessment requested under this Rule must be conducted by an individual or entity provided by the Department (c) A request under this Rule must be made, at a minimum, once every three years, or within six months of the completion of a significant alteration made to a central county facility or clerk’s main office. 20.4.6 Remedies (a) In the event that a county clerk discovers that a violation of Rule 20.4 has occurred, they must file an incident report required by (b) The Department of State may take any action under Rule 20.12.2(b) to remedy a violation of Rule 20.4. 20.5 Security of voting system 20.5.1 Chain-of-custody requirements (a) County clerks must continuously comply with the seal requirements of the most recent conditions of use issued by the Secretary of State for the county’s voting system. County clerks may not allow any unattended voting system component to remain unsealed at any point after the trusted build has been installed on a component.

A county clerk may not remove a seal to allow access to the interior of the physical computer or hard drive slot without the express written permission of the Secretary of State.

(b) The county clerk must maintain and document uninterrupted chainof-custody for each voting system component from the installation of trusted build to the present, throughout the county’s ownership or leasing of the device.

(c) To maintain uninterrupted chain-of-custody for each voting system component the county clerk must:

(1) Record the serial number of every seal required by the conditions of use on the appropriate chain-of-custody log;

(2) When removing or replacing seals, use two election officials to verify, and indicate by signing and dating the log, that the seal serial numbers match the logged serial numbers. The election officials should be of different party affiliations whenever possible. 20.5.2 Accessing the voting system (a) Acceptable use policy agreement (1) All election officials, who as part of their duties may be required to access any component of the voting system, must sign the voting system acceptable use policy agreement provided by the Secretary of State every year prior to using the system. In years in which there will be a presidential primary election, an election official may sign the voting system acceptable use policy agreement the December immediately prior to the presidential primary.

(2) The county clerk must submit copies of all newly signed acceptable use policy agreements signed by election staff with the county’s security plan.

(b) Except for voters using a voting system component to vote during an election, a county clerk may not allow any person to access any component, including the hard drive(s) or copies of any part of the hard drive(s) for any component, of a county’s voting system unless:

(1) That person has passed the background check required by this or any other Rule or law; and (2) That person is performing a task permitted by the county clerk or the Secretary of State that is permitted by statute or

rule, and is:

(A) An employee of the county clerk;

(B) Appointed as an election judge by the county clerk in accordance with Article 6 of Title 1, C.R.S.;

(C) An employee of the voting system provider for the county’s voting system; or (D) An employee or designee of the Secretary of State.

(c) Accounts and passwords (1) The county clerk must change all passwords associated with a voting system according to the schedule required by the most recent conditions of use for that voting system.

(2) The county clerk may use the administrative user account for the election management system only to create individual user accounts for each election project.

(3) The county clerk must create individual user accounts that are associated and identified with each individual authorized user of the operating system of the voting system, election management system, or election project. If a particular election activity involves two election judges interacting with a voting system on the same activity, then the county may assign a single user account to both election judges for that activity. Both election judges must still comply with the log requirements of Rule 20.5.2(d).

(4) The county clerk must restrict access to each individual user account with a unique password known only to each individual user. Authorized users must access the operating system of the voting system, election management system, and election project using their individual user account and unique password.

(5) The county clerk may grant administrative privileges to no more than four individual user accounts per election unless the county clerk has requested and been authorized by the Secretary of State to grant more. The county clerk must identify the employees with administrative privileges in the security plan filed with the Secretary of State.

(6) The county clerk may only grant administrative privileges for the operating system of the voting system to the county clerk, employees of the county and the county clerk, and any person appointed by the Secretary of State to assist in the administration of an election, subject to the restrictions of

Rule 20.5.2(c)(9). The county clerk may only grant administrative privileges to the election management system or the election project to the county clerk, employees of the county clerk’s office, and any person appointed by the Secretary of State to assist in the administration of an election, subject to the restrictions of Rule 20.5.2(c)(9).

(7) Authorized users with administrative privileges of the operating system, election management system, or election project may not share their accounts or passwords with anyone.

(8) The county clerk must disable all accounts to access the operating system for individuals who are no longer employed by the county or are no longer employed in a role that requires access to the voting system.

(9) Any individual who is prohibited from having physical contact with any voting equipment under section 1-5-607(1), C.R.S., may not grant themselves or be granted with an account or password for the operating system of the voting system, the election management system, or an election project.

(10) The voting system provider may not have administrative or user access to the county’s election management system.

(11) The civil servants at the Department of State will securely and confidentially maintain all BIOS passwords for voting system components.

(d) In addition to the audit logs generated by the election management system, the county clerk must maintain contemporaneous manual access logs that accurately record the date, start and end time, user’s name, and purpose for each beginning and end of access of a component or application of the voting system. 20.5.3 Connecting to the voting system (a) System settings (1) If any component of the voting system is equipped with Wi-Fi capability or a wireless device, the county clerk must ensure that the wireless capability or device is disabled before use in an election.

(2) The county clerk may not alter, or grant permission to anyone else to alter, except during the trusted build process, the pre-boot settings for any voting system component, including altering the boot path.

(b) External network connection forbidden (1) The county clerk must use the voting system only on a closed network or in a standalone fashion.

(A) Any network switch used within the closed network for the voting system may not have previously been used for another network.

(B) Any network switch used within a closed network for the voting system may only be managed from a component of the voting system with an intact chainof-custody or using the switch’s console port.

(2) The county clerk may not connect or allow a connection of any voting system component to the internet.

(3) The county clerk may not connect any component of the voting system to another device by modem.

(c) Removable storage device (1) The county clerk must reformat all removable storage devices immediately before connecting them to any component of the voting system, except as provided in Rule 20.5.3(c)(2)-(5), or in the conditions of use.

(2) The county clerk may connect to the election management system, without first reformatting, a removable storage device containing only election definition data files downloaded from SCORE if:

(A) The county clerk reformats the removable storage device immediately before inserting it into the SCORE workstation and downloading the election definition data files; and (B) Before and while downloading the SCORE election definition data, the county clerk installs and operates the advanced network monitoring and threat detection applications provided or approved by the Secretary of (3) The county clerk may insert, without first reformatting, a removable storage device into a BMD, if:

(A) The removable storage device contains only election and ballot style data files necessary to program the BMD for testing or use in an election;

(B) The county clerk downloaded the election and ballot style data files directly from the election management system workstation;

(C) The county clerk did not expose the removable storage device to the internet or insert it into an internet-connected device after downloading the election and ballot style data files from the election management system; and (D) The county clerk reformatted the removable storage device immediately before inserting it into the election management system and downloading the election and ballot style data files.

(4) The county clerk may insert a removable storage device into the election management system without first reformatting it, if the removable storage device contains only election database or project files remotely programmed by the voting system provider, in accordance with Rule 20.8.1.

(5) The county clerk may insert a removable storage device into the election management system without first reformatting it, if the removable storage device contains only election database backup files created by the county clerk and:

(A) The county clerk submits an attachment with their security plan stating security procedures for the removable storage device that addresses storage of the device when not in use; and (B) The plan in the attachment is approved by the (6) No one may insert a removable storage device into any component of the voting system during a trusted build unless that device has a verifiable chain of custody.

(d) The county clerk may not install any software on any component of the voting system unless directed to, or approved by, the Department of State.

(e) Activation cards (1) The county clerk must assign and securely affix a permanent unique identifier to each removable card or activation card.

The county clerk may use the manufacturer assigned serial number for this purpose.

(2) The county clerk must handle activation cards in a secure manner at all times. The county clerk must transfer and store any card or activation card in a secure container with at least one seal. Upon delivery and receipt, election judges or county personnel must verify, and indicate by signing and dating the chain-of custody log, that all seal numbers match those listed in the log.

(3) The county clerk must maintain a written or electronic log to record activation card seals and track seals for each voting unit.

(4) The county clerk must maintain a complete inventory of activation cards, including which VSPC they are assigned to during an election. Before and after a VSPC opens and closes each day, the supervisor judge must verify that all cards issued to the VSPC are present. If at any time the supervisor judge cannot account for all activation cards issued to the VSPC, the county clerk must immediately submit an incident report to the Secretary of State under

Rule 11.7.

(f) No person may manually connect anything to a voting system component that enables a wireless connection. This includes, but is not limited to, external or additional network interface cards, other wireless antennas, or USB mice or keyboards that utilize wireless communication. 20.5.4 Transporting voting system (a) The county clerk must submit detailed plans to the Secretary of State before the transportation of voting system components from a county election facility to another location, including a voter service and polling center. After review of the plans, the Secretary of State may require a county clerk to take additional or different actions to ensure the security of voting system components during transit.

(b) During or after transportation, if there is any evidence of possible tampering with a seal, or if the seal numbers do not match those listed in the chain-of-custody log, the county clerk must be immediately notified and must file an incident report required by (c) Voting system components are not required to be under video security surveillance while in transit. In the plan required by Rule 20.5.4(a), the county clerk must describe how they will maintain bipartisan chain-of-custody while the components are not under video surveillance.

(d) Personnel requirements for transportation (1) Transportation by county personnel (A) County personnel must at all times display identification provided by the county.

(B) Two employee signatures and the date are required at the departure location verifying that the equipment is sealed to detect tampering. Upon delivery of equipment, at least two election officials must verify, and indicate by signing and dating the chain-ofcustody log, that all seals are intact and that the seal numbers match the logged seal numbers.

(2) Transportation by election judges. Two election judges of different party affiliations that are receiving or transporting equipment must inspect all voting devices and verify the specific seal numbers by signature and date on the chain-ofcustody log for the device.

(3) Transportation by contract (A) If a county clerk contracts for the delivery of equipment, each individual delivering equipment must successfully pass a criminal background check as required by Rule 20.2.1.

(B) Two election officials must verify the specific seal numbers by device, sign, and date the chain-ofcustody log upon release of the equipment to the individuals delivering the equipment. If the equipment is delivered by a truck capable of being locked by using a padlock or other similar device from the outside, the county clerk must provide a lock for the truck to be used during delivery. The county clerk must maintain the key or combination to the lock to be used to open the truck upon delivery. Upon delivery of equipment, at least two election officials must verify, and indicate by signing and dating the chain-ofcustody log, that all seals are intact and that the seal numbers match the logged seal numbers.

(C) A county clerk must require a contractor to deliver equipment on the day the equipment is picked up from the county clerk. 20.5.5 Storage of voting system (a) The county clerk must keep all components of a voting system in a temperature-controlled storage environment that:

(1) Maintains a minimum temperature of 50 degrees Fahrenheit and a maximum temperature of 90 degrees Fahrenheit; and (2) Is dry with storage at least four inches above the floor. 20.5.6 Retention of voting equipment (a) If a county retains voting system components after the termination of a license agreement with a vendor, the county clerk must reformat any of those voting system components as directed by the Secretary of State, and the county clerk may not:

(1) Use the equipment for any other purpose until the components have been reformatted; or (2) Transfer the components to any other department within the county or any party outside the county until the computers have been reformatted.

(b) All security standards in this Rule 20 are still applicable to voting system equipment until the components have been reformatted.

(c) Before the components are reformatted, the county clerk must preserve all election records required to be preserved by Rule 20 found on the voting system.

(d) These requirements also apply to any equipment that a county clerk no longer uses as voting system equipment but retains while a license agreement with a vendor is in force. 20.5.7 Use of voting equipment by other jurisdictions (a) A county clerk may not transfer any voting system components to any municipality, special district, or another local jurisdiction, except to another county clerk and recorder.

(b) If a county clerk transfers any voting system components to another county clerk within the state, the receiving county clerk must follow all security procedures required by statute or these rules throughout the time they have custody of the components.

(c) A county clerk who is transferring voting system components to another county clerk must notify the Secretary of State of the transfer by filling out an acquisition/disposition form and transmitting it to the Secretary of State. The form must be filled out at both the time of the transfer to and transfer from the county clerk receiving the components. 20.5.8 Remedies (a) Generally (1) In the event that a county clerk discovers that a violation of

Rule 20.5 has occurred, they must file an incident report required by Rule 20.12.2(a).

(2) The Department of State may take any action under Rule 20.12.2(b) to remedy a violation of Rule 20.5.

(b) In the event that an election official knows, or reasonably should know, that the county’s voting system was accessed by any individual not permitted access by these Rules or is made aware that the system has been tampered with, they must immediately notify the Secretary of State. 20.6 Trusted build procedures at a county 20.6.1 When trusted build required (a) In the event that the Secretary of State determines a trusted build is required in a county, including due to a new certification, modification, or other security issue, the county clerk and voting system provider must coordinate with the Secretary of State to install trusted build on a schedule determined by the Secretary of State’s office.

(b) At the time that the Secretary of State determines a trusted build is required, the Secretary of State will provide the reason to the county clerk for the required trusted build. 20.6.2 Attendance at trusted build (a) The only individuals who may be present at a trusted build in a county include:

(1) Secretary of State staff, designees of the Secretary of State, or other individuals approved by the Secretary of State;

(2) Voting system vendor staff for the voting system for which trusted build is being installed. At least one individual listed in Rule 20.6.2(a)(2) must be present during the trusted build, unless exempted by the Department of State; and (3) The county clerk, employees of the county clerk, or the designated election official of the county, as long as those individuals are authorized to access the voting system under

Rule 20.5.2(b) have signed the voting system acceptable use policy agreement, and subject to the restrictions of Rule 20.4.4(b). At least one individual listed in this Rule 20.6.2(a)(3) must be present during the trusted build.

(b) The county clerk and voting system vendor must provide the name and position of individuals who will attend the trusted build in a county at the time of scheduling the trusted build with the Secretary (c) Background check (1) Any individual present at the trusted build must have had a background check conducted in accordance with Rule 20.2.

(2) The county clerk and voting system vendor must provide proof that a background check was conducted and passed on individuals who will be present to the Secretary of State at the time of scheduling the trusted build with the Secretary of State’s office.

(d) The county clerk and voting system vendor may only allow the number of people designated by the Secretary of State for that county to attend the trusted build.

(e) If, due to an unforeseen circumstance, the county clerk or voting system vendor must send an individual not previously identified to the trusted build, the county clerk or vendor must immediately contact the Secretary of State and provide the information otherwise required by this Rule to the Secretary of State for the substitute individual. 20.6.3 Security at trusted build (a) The county clerk must ensure that the location where the trusted build will be conducted does not allow for individuals who are not permitted to attend to be present or to otherwise disrupt the trusted build process.

(b) Video surveillance recording (1) The county clerk must ensure that the trusted build is conducted under video security surveillance recording.

(2) The county clerk must identify the video surveillance equipment that will be used to comply with this Rule to those attending the trusted build.

(3) Video surveillance of the trusted build must be maintained as an election record under section 1-7-802, C.R.S.

(4) No one may surreptitiously record the trusted build by video or audio. 20.6.4 Completion of trusted build (a) The county clerk must seal all voting system components in accordance with the most recent conditions of use issued by the Secretary of State for the county’s voting system immediately upon conclusion of the trusted build unless the county clerk proceeds to and completes acceptance testing on the same day that trusted build is completed.

(b) In the event that the conditions of Rule 20.6.4(a) are met, the county clerk must seal all voting system components in accordance with the most recent conditions of use issued by the Secretary of State for the county’s voting system upon conclusion of the (c) The county clerk must submit a copy of the signed trusted build affidavit to the Secretary of State following the completion of 20.6.5 In the event that a trusted build cannot be scheduled or completed due to a county clerk’s violation of these Rules or in the event that a county clerk is found to have violated these Rules following a trusted build, the Secretary of State may take any of the actions listed in Rule 20.12.2(b). 20.7 Security of ballots 20.7.1 Unvoted ballots (a) The county clerk must secure unvoted paper ballots during preelection storage, transportation, and at polling locations.

(1) Except when election judges are actively issuing ballots the ballot containers must be sealed.

(2) The county clerk must maintain chain-of-custody logs for all ballot containers.

(b) Unvoted paper ballots must be transported to polling locations in sealed containers. The county clerk must record the seal number on a chain-of-custody log for verification by the receiving election judges. The receiving election judges must verify the ballot container seal number before issuing ballots.

(c) When election judges are actively issuing ballots, the unvoted ballots must be in clear view of a minimum of two election judges of different party affiliations and one of the election judges must actively monitor the ballots unless the ballots are stored in a locked location accessible only to election officials.

(d) A minimum of two election judges of different party affiliations must reconcile and document all unvoted, issued, and spoiled paper ballots at the end of each day the polling center is open and immediately report any inventory discrepancies to the county clerk.

(e) If unvoted paper ballots are stored overnight at the polling location, the ballots must be sealed in containers and stored in a locked location accessible only to election officials. 20.7.2 Voted ballots (a) Voted ballots may only be handled by the following individuals:

(1) County clerks;

(2) County clerk staff engaged in the performance duties for the county clerk;

(3) Election judges from the time ballots are returned until all required or requested recounts have concluded; and (4) Canvass board members sworn under oath from the time ballots are returned until all required or requested recounts have concluded.

(b) When ballot processing is not actively occurring, the designated election official must seal and store ballots and opened and unopened return envelopes in a secure ballot area.

(c) Transportation of ballot boxes with voted ballots from VSPCs and ballot drop boxes to central count facilities:

(1) A bipartisan team, of election judges and/or staff, must seal all ballot boxes that contain voted ballots so that no person can access the ballots without breaking a seal. The team must record all seals in the chain-of-custody log, verify that the required seals are intact, and sign and date the log.

(2) A bipartisan team, of election judges and/or staff, must accompany all ballot boxes that contain voted ballots at all times except when the ballot box is located in a vault or secure physical location. 20.7.3 Remedies (a) In the event that a county clerk discovers that a violation of Rule 20.7 has occurred, they must file an incident report required by (b) The Department of State may take any action under Rule 20.12.2(b) to remedy a violation of Rule 20.7. 20.8 Security for voting system providers and vendors 20.8.1 Vendor-provided election programming services (a) A county clerk may not install or import into its voting system an election database or project programmed or created by the voting system provider using voting system components other than those owned or leased by the county and situated in the county’s secure elections facility.

(b) Rule 20.8.1(a) does not apply if the voting system provider first affirms on a form provided by the Secretary of State that:

(1) At all times during the election database or project programming, the voting system provider used only hardware and software certified for use in Colorado, as configured and verified during trusted build by the Secretary of State;

(2) At all times after installation of trusted build, the voting system provider operated all hardware utilized to program the election on a closed network and did not connect the hardware to the internet or any internet-connected device;

(3) At all times during the election programming process, the voting system provider complied with the security protocols for removable storage devices in Rule 20.5.3(c); and (4) The voting system provider physically delivered to the county clerk removable storage media containing the finished election database or project and did not transmit using any method connected or exposed to the internet.

(c) The form must be specific to each county and include the name of all employees directly involved in the programming for that individual county, including their responsibilities, if applicable.

However, prior to any project programming, a vendor may propose an alternative to this requirement that allows the Secretary of State to identify all employees involved in project programming for all counties upon completion of programming. The vendor may not commence project programming for an election until the alternative method is approved by the Secretary of State. 20.8.2 Voting system component replacement or repair (a) A county clerk that sends a voting system component to a voting system provider for repair must submit an incident report to the Department as required by Rule 11.7.2 and an equipment acquisition/disposal form to the voting systems team at the Department.

(b) When the county clerk receives the repaired component, or receives a replacement component, the county clerk must verify the serial number on the component and seal numbers on the shipping container match the numbers listed on the trusted build affidavit included in the container, or if that is not possible, must arrange with the Department to have trusted build installed on the component. The county clerk must also submit a completed acquisition/disposal form to the Department at the time it receives the equipment before it can be used in any capacity during an (c) If equipment is repaired by a vendor on-site, the county clerk must keep a maintenance log for the device that must contain the following:

(1) The model number, serial number, and the type of device;

(2) The software version, as applicable;

(3) The printed name and signature of the vendor repairing the equipment; and (4) The date the vendor was on-site.

(d) A county clerk may not allow for the on-site repair or maintenance of a voting system component that has trusted build software installed except that a county may work with a voting system provider to replace a hard drive in a RAID configured voting system component on-site according to the published conditions of use for the voting system with the written approval of the Secretary of (e) The county clerk or an election employee of the county clerk who is authorized to access a secure equipment area must escort the vendor’s representative at all times while in a secure equipment area. At no time may the voting system vendor have access to any component of the voting system without supervision by the county clerk or an employee of the county clerk who is authorized to access a component of the voting system.

(f) Upon return of any voting system component sent for off-site maintenance, the county clerk must perform an acceptance test following the written procedures provided by the voting system vendor. The county clerk must maintain all documentation of the results of the acceptance testing on file with the specific device.

(1) If the maintenance was performed on a BMD, that BMD must be used to generate five ballots for use in the (2) If the maintenance was performed on a ballot scanner, then at least five ballots (a combination of BMD-generated ballots and non-BMD-generated ballots—at least one of each) must be tabulated on the scanner. 20.8.3 Remedies (a) In the event that a county clerk or voting system provider discovers that a violation of Rule 20.8 has occurred, they must file an incident report required by Rule 20.12.2(a).

(b) The Department of State may take any action under Rule 20.12.2(b) to remedy a violation of Rule 20.8. 20.9 Security of other election systems 20.9.1 Statewide voter registration database (SCORE)

(a) SCORE username and password administration (1) The SCORE customer support assigns county user administrator privileges to the individual designated in each county by the county clerk. The county clerk or election administrator must submit a request for county user administrator privilege to SCORE customer support in writing. The request must specifically state the full name of the county employee that is being assigned as a county user administrator.

(2) Each county is limited to two county user administrators, but a county clerk may apply to the Department for an additional county user administrator.

(A) The application must be submitted by the county clerk in writing to SCORE customer support and must state the full name of the county employee for which county user administrator privilege is being sought. The application must also state the specific reasons the county clerk is requesting the additional user administrator.

(B) SCORE customer support will notify the county clerk in writing whether the request is approved within five business days after receiving the application.

(3) The county user administrator is responsible for security administration and must assign all access privileges, as well as usernames and passwords for county employees and temporary election workers.

(A) For county employees, the county user administrator must assign a unique username in accordance with the naming conventions provided by the Secretary of (B) Passwords must be assigned by the county user administrator upon initial authorization and must be changed by users and maintained confidentially.

(4) If a county employee or temporary election worker is no longer employed by the county, the county user administrator must immediately inactivate the username.

(b) SCORE network security requirements (1) The county clerk must use only county-controlled access to networks with proper network security controls in place to access SCORE. The county may never use an open or shared public-use network to access SCORE.

(A) All wireless networks must meet the following minimum requirements:

(i) WPA2, or above, security must be enabled;

(ii) Shared wireless passwords or secrets must be changed every three months, at a minimum;

(iii) Wireless keys must be a minimum of 14 characters in length and must include at least one number and mixed case letters.

(B) All networks must employ proper security controls to ensure malicious users cannot connect to the network, intercept SCORE communications, or otherwise attack the SCORE system. These controls must include, at a minimum, network firewalls and securely configured network equipment to prevent common attack mechanisms.

(2) All individuals who access the SCORE system must sign a SCORE Acceptable Use Policy (AUP) before the county provides a SCORE username.

(A) The county clerk, county SCORE user-administrator, and county elections IT manager, if applicable, must submit their signed AUP to the Secretary of State.

(B) The county clerk must retain the AUP for each individual who is assigned a SCORE username.

(i) The Secretary of State will audit the county AUP records for each county selected for annual inspection of its voting system maintenance records under Rule 20.12.1(a).

(ii) The Secretary of State will suspend access to SCORE for any individual whose AUP is not on file with the county clerk.

(3) If a government agency notifies a county clerk or if the county clerk otherwise knows of an attack, potential attack, or data breach on critical infrastructure in the clerk’s office, SCORE, or any other county network or system that may impact the election or election equipment, the county clerk must notify the Secretary of State’s office immediately using the contact information provided by the Secretary of State’s office for this purpose. 20.9.2 Ballot-on-demand and mobile ballot production printers (a) Software access, security, and storage (1) The county clerk must change all Windows, and ballot-ondemand and mobile ballot production application passwords at least once per calendar year.

(2) Only election officials or authorized vendor representatives may operate the ballot-on-demand system or mobile ballot production printers.

(3) The county clerk may connect the ballot-on-demand or mobile ballot production laptop to an external network for the

purpose of connecting to SCORE only if the county clerk maintains current virus protection, current operating system security patches, and implements firewalls to prevent unauthorized access.

(4) The county clerk must store the ballot-on-demand and mobile ballot production printer, laptop, and unused paper ballot stock in a locked storage area which is accessible only to election officials when the printer is not in use.

(5) The county clerk must ensure before use during an election that any wireless connectivity associated with a mobile ballot production printer or laptop or ballot-on-demand laptop is disabled.

(b) Ballot reconciliation (1) The county clerk must reconcile ballots printed on demand in accordance with Rules 10.1.1 and 10.1.2.

(2) The county clerk must maintain damaged, misprinted, or unusable ballots as election records. 20.9.3 Remedies (a) In the event that a county clerk discovers that a violation of Rule 20.9 has occurred, they must file an incident report required by (b) The Department of State may take any action under Rule 20.12.2(b) to remedy a violation of Rule 20.9. 20.10 Retention and election project backups 20.10.1 Election project backup security (a) To ensure election project backups have not been altered, a county clerk must store any media that contains an election project backup in a sealed container in a secure equipment area. The container must be sealed by at least one tamper-evident seal and have a chain-of-custody log.

(b) When accessing the sealed container containing any media that contains election project backups two election officials must verify the seal number(s) and sign and date the chain-of-custody log.

(c) Removeable media used to store election project backups must conform to the removeable media security standards in Rule 20.5.3(c). The media may only be connected to a component of a voting system with an intact trusted build.

(d) Any media that contains election project backups may not contain any data that is not exported by the voting system.

(e) Only employees of the county clerk’s office that have passed a criminal background check according to Rule 20.2.1 may access any media that contains an election project backup, except any individual who is prohibited from having physical contact with any voting equipment under section 1-5-607(1), C.R.S., may not access any media that contains an election project backup. 20.10.2 Retention of voting system security records (a) The county clerk must maintain all documentation of seals, chainof-custody, trusted build, acceptance testing, transfer of equipment between parties, or any other documents related to the physical security of voting system components for 25 months after that component is no longer in the possession of a county.

(b) The county clerk must maintain the following as election records under section 1-7-802, C.R.S.:

(1) Access logs to secure ballot and secure equipment areas;

(2) Access logs for voting system component access;

(3) Video footage created under Rule 20.4.2;

(4) Election project backups required to be made under Rule 11.4.1(a), (b), (d), and (e);

(5) Logs generated by the election management system software of the voting system if those logs are not contained in the election project backup. This does not include logs generated outside of the election management system software; and (6) Any other documents created by the county clerk to ensure the physical security of the voting system.

(c) All written entries in logs and other documentation must be in permanent ink and legible. 20.10.3 Retention of voted ballots (a) To preserve and maintain ballots as an election record, a county clerk must follow the requirements of this Rule when removing ballots from their sealed containers. However, this Rule 20.10.3 does not apply to any activity to be conducted by Title 1, Colorado Revised statutes, or to the destruction of ballots following the twenty-five month retention period required by law.

(b) Removal of ballots from their containers under this rule must be completed through a precise, controlled process. The process must include:

(1) Confirming the seal log on or in a container of ballots before removing ballots from the container;

(2) Opening and removing ballots from the container in an orderly fashion;

(3) Maintaining the order and integrity of each ballot batch; and (4) Returning and resealing ballots inside a container before opening the next container of ballots.

(c) A county clerk may allow multiple teams of election workers to remove ballots from their containers simultaneously following the process described in this Rule.

(d) Ballots and ballot containers may only be handled by county election staff or election judges.

(e) Any room in which a county clerk conducts the activities described in this Rule is a secure ballot area.

(f) The county clerk must operate video security surveillance recordings of the activities described in this Rule. Those recordings must be maintained as an election record for 25 months following the conclusion of the ballot removal process.

(g) A county clerk may not remove ballots from their containers for any activity not required by law until the conclusion of the canvass or requested or required recount, whichever is later.

(h) A county clerk who is removing ballots from their containers must notify the Secretary of State within three business days after the removal has been scheduled, or otherwise determined by the clerk to take place. The clerk must allow observers from the Secretary of State to be present to observe all activities associated with the removal of ballots. 20.10.4 Remedies (a) In the event that a county clerk discovers that a violation of Rule 20.10 has occurred, they must file an incident report required by (b) The Department of State may take any action under Rule 20.12.2(b) to remedy a violation of Rule 20.10. 20.11 Security of operations 20.11.1 Contingency plans (a) The county clerk must develop emergency contingency plans for voting equipment and voting locations in accordance with this Rule.

(b) In the event of a serious or catastrophic equipment failure, or when equipment is removed from service, or there is not adequate backup equipment to meet the requirements of section 1-5-501, C.R.S., the county clerk must notify the Secretary of State that the county clerk is using provisional ballots as an emergency voting method.

(c) The county clerk contingency plans and evacuation procedures must address emergency situations including fire, severe weather, bomb threat, civil unrest, electrical blackout, equipment failure, and any other emergency situations the county clerk identifies.

(d) The county clerk must develop procedures to address failures of SCORE continuity, which includes:

(1) Network failure, (2) Power failure that lasts less than one hour, and (3) Power failure that lasts more than one hour.

(e) At least one BMD in each voter service and polling center must have a backup battery, or be connected to an uninterruptible power supply, sufficient to sustain continuous operation for a minimum of two hours in the event of power loss.

(f) The county clerk must develop contingency plans which address an unexpected outage of any required video surveillance. The plan must include regular intervals, including those intervals required by

Rule 7.4.1, at which the county will confirm that all required video surveillance is operational.

(g) The county clerk must include a contact information sheet that identifies the contact information for any government agency the clerk would contact in the event of an emergency or incident contemplated in the clerk’s contingency plan. 20.11.2 Closure of VSPCs due to emergency condition (a) If as a result of an extreme weather event, natural disaster, act of God, human made incident, or disruption to, or threat of disruption to critical infrastructure, a county government or other entity closes all day, closes early, or delays the opening of a building where a voter service and polling center is located, then the county clerk may close for the day, close early, or delay the opening of any voter service and polling center located in those buildings affected.

(b) The county clerk must immediately notify the Secretary of State and the public of any closure or delayed opening of a voter service and polling center under this Rule.

(c) A county clerk must relocate VSPC operations to a backup location in the event a closure would result in the county not meeting their statutory minimum VSPCs. A county clerk must immediately notify the Secretary of State of the backup location that they will relocate to.

(d) The Secretary of State may petition a court under section 1-7-101 (1)(b), C.R.S., to extend the polling hours in a county or statewide if voter service and polling centers are closed or delayed opening under this Rule.

(e) If a county clerk closes or delays the opening of a voter service and polling center under this Rule, then the Secretary of State and county clerk must issue an emergency ballot available under

section 1-7.5-115, C.R.S., to any voter who requests it due to the delay or closure. 20.12 Secretary of State inspections and remedies 20.12.1 Inspections (a) A county clerk must make available to the Secretary of State, upon request, county documents and equipment, including, but not limited to:

(1) County maintenance records;

(2) Chain-of-custody logs;

(3) Trusted build integrity;

(4) Wireless status;

(5) Virus protection status;

(6) Password status (Bios, operating system, and applications);

(7) Access logs;

(8) Background check documents;

(9) Signed acceptable use policy agreements; and (10) Video surveillance.

(b) In addition to the documentation listed in Rule 20.12.1(a), the county clerk must make all documentation related to the voting system and for every device used in the election available for Secretary of State inspection. 20.12.2 Remedies (a) Incident report (1) If a county clerk discovers or determines that a violation of any provision of Rule 20 has occurred, they must file an incident report with the Department of State as soon as feasible, but not later than two business days, following discovery or determination of the incident. The incident report must describe in detail the incident and the rule that may have been violated and any other information the Department may require. If an issue arises that does not constitute a violation of Rule 20, but the county clerk or Department believes an incident report should be filed, the clerk must file an incident report as soon as feasible. The incident report must be filed on a form prescribed by the Department of State.

(2) After an incident report is filed under this Rule, the Department will investigate and determine what additional action or information, if any, is required.

(3) A county clerk must cooperate with the investigation of a violation of Rule 20 or separate issue that results from a filed incident report. This includes providing any documentation or answers requested by the Department during the course of the Department’s investigation.

(4) Based on the information gathered, the Department may take further action, including but not limited to, those actions described in Rule 20.12.2(b) to remedy the violation and to ensure future compliance with Rule 20.

(5) A county clerk’s intentional failure to file an incident report required by this Rule or failure to cooperate with an investigation conducted by the Department of State may also result in any of the remedies listed in Rule 20.12.2(b).

(b) Remedies (1) Upon discovering and investigating a violation of Rule 20, the Department may require a county clerk to take further action to remedy any violation and ensure future compliance with Rule 20.

(2) Any violation of Rule 20 may result in the prohibition or limitation on the use of, as well as decertification of, a county’s voting system or components in accordance with

section 1-5-621, C.R.S., and Rule 21.7.3.

(3) In the event that the Secretary of State determines that an election official has shown a serious or patterned failure to comply with any security requirements found in statute, these rules, the conditions of use of the voting system, or the acceptable use policy agreement for the voting system, the Secretary of State may take any or all of the following actions, including but not limited to:

(A) Requiring the county clerk to submit a security remediation plan no later than 90 days before the next election outlining the procedures the county clerk will follow to ensure compliance with the security requirements that were not followed;

(B) Prohibiting or limiting the use of, as well as decertification of, a county’s voting system or components in accordance with section 1-5-621, C.R.S., and Rule 21.7.3;

(C) In accordance with section 1-1.5-104(2)(a)(II), C.R.S., appointing observers at the county expense to be present with the county clerk to ensure compliance with the security requirements; or (D) Referring the matter to the Attorney General or District Attorney for potential investigation and prosecution under section 1-13-114, C.R.S., or any other applicable provision.

Rule 21. Voting System Standards for Certification 21.1 Introduction 21.1.1 The standards for certifying a voting system in this Rule apply to applications for new certifications. Voting system providers may submit an application to modify a system previously certified by the Secretary of State in accordance with section 1-5-618, C.R.S.

(a) The Secretary of State will only approve an application for modification if testing determines that the changes proposed do not adversely affect any one or more of the following:

(1) Performance of voting system functions;

(2) Voting system security and privacy;

(3) Overall flow of system control; or (4) The manner in which ballots are defined and interpreted, and voting data is processed.

(b) The Secretary of State may approve a test plan for a modified voting system limited to the correction of defects; the incorporation of improvements; the enhancement of portability and flexibility; and the integration or compatibility of data exported from the voting system with other elections systems.

(c) A voting system provider may apply for modification to a currently certified voting system to address de minimis commercial off-theshelf hardware changes using the process laid out in this Rule.

(1) The provider must submit an application package that includes an application for modification provided by the Secretary of State, internal testing documentation, VSTL determination of de minimis changes, specification documents for existing and new equipment, and any of the following supporting documentation as applicable: updated TDP documents, other engineering change order documents, an integration testing plan, hardware manufacturer specification changes, and any other documentation requested by the Secretary of State. If the submitted application package is incomplete the Secretary of State will identify the deficiencies and the voting system provider must remedy the deficiencies within ten days.

(2) If the Secretary of State reviews the application package and determines that the modification requires any additional testing from the VSTL, the provider will work with the Secretary of State to create a test plan for the modification.

The Secretary of State makes the final determination as to whether the change is de minimis or not.

(3) If the Secretary of State reviews the application package and determines that the modification does not require testing by the VSTL, the provider will coordinate with the Secretary of State to perform integration testing overseen by the Secretary of State using the plan provided in the application package, if the Secretary of State determines that an integration test is required.

(4) Upon completion of testing the Secretary of State will review the outcomes of the integration testing and determine if the modification complies with section 1-5-618(1.5), C.R.S., and approve or deny the modification request.

(5) A voting system provider must notify the Secretary of State of changes to system peripherals such as monitors, keyboards, mice, card readers, routers, switches, etc. The Secretary of State may require the provider to submit supporting documentation before allowing a county clerk to use the new peripheral. 21.1.2 Sufficient components must be assembled to create a configuration that allows the system or modification as a whole to meet the requirements as described for a voting system in this Rule. 21.1.3 The certification of a voting system is not a requirement that a county purchase or lease all of the components of the voting system. Counties may choose to configure and use a subset of the certified voting system and may use the services of a vendor or third party to provide ballot definition and election programming of memory cards. Counties are not required to use a paper ballot tabulation device if they are exempted by law and choose to manually tabulate the election results. 21.1.4 A voting system vendor applying for certification or modification must notify the Secretary of State at the time of application if any component previously certified for use in Colorado is not included in the application for certification or modification. 21.2 Certification process overview and timeline 21.2.1 The voting system will be considered as a unit, and all components tested at once, unless the circumstances necessitate otherwise. Any change made to individual components of a voting system will require the entire voting system to be recertified unless the change is a modification that can be approved under section 1-5-618(1.5), C.R.S. 21.2.2 For a voting system to be certified, the voting system provider must successfully complete all phases of the certification process. The certification process includes: submission of a complete application, a documentation review, a public demonstration of the system, functional testing, and escrow of state certified election software. 21.2.3 The flow of each phase of certification is as follows:

(a) Phase I – The voting system provider must submit an application with all documentation required in Rule 21.3 and a completed requirements matrix provided by the voting systems team. The Secretary of State will review the application and inform the voting system provider whether or not the application is complete. If the application is incomplete, the Secretary of State will identify the deficiencies and the voting system provider will have 30 days to remedy the deficiencies and make the application complete. When the application is complete, the Secretary of State will make arrangements with the voting system provider for a public demonstration.

(b) Phase II – The Secretary of State will review the submitted documentation, Colorado requirements matrix, VSTL reports from previous testing, and evaluations provided by other states. If the submitted documentation or requirements matrix is incomplete, the Secretary of State will identify the deficiencies and the voting system provider will have 30 days to remedy the deficiencies and make them complete.

(c) Phase III – The Secretary of State must approve a certification test plan. If a VSTL is contracted to test the voting system, the VSTL will work with the voting system provider to prepare a certification test plan. The certification test plan will be presented to the Secretary of State for review and approval.

(d) Phase IV– Upon receipt of the Secretary of State’s approval of the certification test plan, the VSTL will execute the test plan.

(e) Phase V – The Secretary of State will review the test results and determine whether the voting system substantially meets the requirements for certification. Before the Secretary of State will make a final determination of whether the system substantially meets the requirements, the voting system provider must escrow in compliance with section 1-7-511, C.R.S. Within 30 days of a decision, the Secretary of State will post the certification test report for the voting system on its website. 21.2.4 The Secretary of State will certify voting systems that substantially comply with the requirements in this Rule 21, and any additional testing the Secretary of State finds necessary. 21.3 Application procedure 21.3.1 Any voting system provider that wants to apply for certification or modification of a certified voting system must request a meeting with the Secretary of State’s voting system team to communicate their timing and intent to apply prior to submitting a complete application package. If the proposed timeline presented for the submission would present a hardship for the Secretary of State or counties, the Secretary may require the provider to delay submission of the application to a later date agreed upon by all parties.

(a) The Secretary of State will not consider submissions for that year that have not been communicated with a meeting mentioned in

Rule 21.3.1 before January 15th. No submission will be considered in a year that includes a Presidential Election. This does not include de minimis modifications as outlined in Rule 21.1.1(c).

(b) If during the certification process a vendor is substantially unable to meet the deadlines laid out during the meeting as required in Rule 21.3.1, the Secretary of State may halt the voting system certification or modification. The provider may restart the certification or modification process at an appropriate time according to subsection (a) of this Rule.

(c) The Secretary of State may waive the restriction provided in Rule 21.3.1(a), if a serious defect or vulnerability requires a modification of a voting system for its continued use. 21.3.2 A voting system provider that desires to submit a voting system for certification must complete the Secretary of State’s “Application for Certification of Voting System” that is available upon request from the 21.3.3 Along with the application, the voting system provider must submit all documentation required in the application for certification in a searchable electronic format. The Secretary of State may delay the certification process if the documentation is insufficient or incomplete until remedied by the voting system provider. 21.3.4 The voting system provider must submit the completed Colorado requirements matrix to the Secretary of State in a timely manner after submission of the application for certification.

(a) The voting system provider must specify where each requirement is met in the documentation, including section or page number.

(b) The voting system provider must specify which requirements will be fulfilled by testing instead of documentation.

(c) All requirements in the Colorado requirements matrix must be addressed. 21.3.5 The vendor must identify any material it asserts is exempt from public disclosure under the Colorado Open Records Act, Part 2, Article 72 of Title 24, C.R.S., together with a citation to the specific grounds for exemption before beginning Phase V of the certification process. 21.3.6 Any material that is submitted as part of the technical data package that is not exempt from public disclosure and is created by the voting system provider must be submitted to the Secretary of State in an accessible format. 21.3.7 The voting system provider must coordinate with the Secretary of State for the establishment of the trusted build. The voting system provider must submit all documentation and instructions necessary for the creation and guided installation of files contained in the trusted build which will be created at the start of functional testing and will be the model tested. At a minimum, the trusted build must include a compilation of files placed on write-once media, and an established hash file distributed from a VSTL or the National Software Reference Library to compare federally certified versions. The trusted build disks should all be labeled with identification of the voting system provider’s name and release version. Once established, the trusted build may only be installed on a voting system component by Secretary of State staff members who have passed a background check as required by Rule 20.2.5. 21.3.8 All materials submitted to the Secretary of State must remain in the custody of the Secretary of State as follows:

(a) For certified systems, until the certification is permanently revoked, or until no components of the certified system are used in the State of Colorado; and (b) For systems that are not certified, a period of 25 months. 21.4 Voting system standards 21.4.1 Materials incorporated by reference (a) The 2002 Voting Systems Standards, as adopted April 30, 2002, by the Federal Election Commission, are incorporated by reference.

Material incorporated by reference in the Election Rules does not include later amendments or editions of the incorporated material.

Copies of the2002 Voting Systems Standards may be obtained at no cost in electronic form on the United States Election Assistance Commission’s website: https://www.eac.gov/.

(b) The Voluntary Voting System Guidelines 2.0 (VVSG 2.0), as adopted on February 10, 2021, by the United States Election Assistance Commission, and updated July 10, 2023, are incorporated by reference. No future changes to the VVSG 2.0 are incorporated by reference in these Election Rules. Copies of the VVSG 2.0 may be obtained at no cost in electronic form on the United States Election Commission’s website: https://www.eac.gov/voting-equipment/voluntary-voting-systemguidelines.

(c) The Department of State also maintains a copy of the materials incorporated by reference into these Election Rules available for public inspection, and can provide copies at a reasonable cost, during regular business hours at the Department’s office at 1700 Broadway, Suite 550, Denver, CO 80290. 21.4.2 All voting systems submitted for certification must meet the requirements of the Voluntary Voting System Guidelines 2.0, as adopted on February 10, 2021 and updated on July 10, 2023, instead of the 2002 Voting Systems Standard.

(a) Any system that has been certified under a legacy standard does not lose its current certification.

(b) No modification will be considered for a system that was certified using the 2002 Voting System Standards unless it is a de minimis hardware modification or addresses a serious defect or vulnerability. 21.4.3 The voting system provider must document that all voting system software, hardware, and firmware meet all requirements of federal law that address accessibility for the voter interface of the voting system. These laws include:

(a) The Help America Vote Act, (b) The Americans with Disabilities Act, and (c) The Federal Rehabilitation Act. 21.4.4 Independent Analysis. Before completion of functional testing, all voting system providers submitting a voting system must complete an independent analysis of the system, which includes:

(a) An application penetration test conducted to analyze the system for potential vulnerabilities that may result from poor or improper system configuration, known or unknown hardware or software flaws, or operational weaknesses in process or technical countermeasures. The test must involve active exploitation of security vulnerabilities of the voting system according to a penetration test plan approved by the Secretary of State, whether or not the vulnerabilities can be mitigated through compensating controls.

(b) A source code evaluation conducted in accordance with the Voluntary Voting System Guidelines 2.0, as incorporated by reference in Rule 21.4.1(b).

(c) A complete report detailing all findings and recommended compensating controls for vulnerabilities and deficiencies identified.

(d) The voting system provider must use at least one of the following to perform the independent analysis:

(1) An EAC approved VSTL;

(2) An independent testing organization approved by the Secretary of State; or (3) Testing conducted in another state.

(e) The Secretary of State or VSTL will conduct a quality review of all work under this section. The review may include an examination of the testing records, interviews of the individuals who performed the work, or both. Review of testing records may be conducted at the VSTL, the state in which the testing was conducted, or at the site of any contractor or subcontractor utilized by another state to conduct the testing.

(f) The Secretary of State may reject any evaluation if not satisfied with the work product and to require additional analysis to meet the requirements of section 1-5-608.5, C.R.S., and this Rule. 21.4.5 Functional requirements (a) Functional requirements must address all detailed operations of the voting system related to the management and controls required to successfully conduct an election.

(b) The voting system must provide for appropriately authorized users to:

(1) Set up and prepare ballots for an election;

(2) Lock and unlock system to prevent or allow changes to ballot design;

(3) Conduct hardware diagnostic testing;

(4) Conduct logic and accuracy testing;

(5) Conduct an election and meet requirements as identified in this Rule 21 for procedures for voting, auditing information, inventory control where applicable, counting ballots, opening and closing polls, recounts, reporting and accumulating results;

(6) Conduct the post-election risk-limiting audit; and (7) Preserve the system for future election use.

(c) The election management system must provide authorized users with the capability to produce electronic files including election results in either ASCII (both comma-delimited and fixed-width) or web-based format. The software must provide authorized users with the ability to generate these files on an “on-demand” basis.

After creating such files, the authorized users must have the capability to copy the files to CD-ROM or removable media.

(1) Exports necessary for the Secretary of State must conform to a format approved by the Secretary of State. The format must be compatible with a commercially available data management program such as a spreadsheet, database, or report generator.

(d) The election management system must ensure that an election setup record may not be changed once ballots are printed and/or election media devices are downloaded without proper authorization and acknowledgement by the application administrative account. The application and database audit transaction logs must accurately reflect the name of the system operator making the changes and the date and time of the changes. The application and database audit transaction logs must support user’s ability to examine the “old” and “new” values of the changes.

(e) All BMD voting devices must use technology providing visual or auditory ballot display and selection methods used by people with disabilities.

(f) All BMD voting devices must be able to produce a ballot that is identical to a hand marked paper ballot.

(g) All electronic voting devices supplied by the voting system provider and used at voter service and polling centers must have the capability to continue all normal voting operations and provide continuous device availability during a 2-hour period of electrical outage without any loss of election data. 21.4.6 Physical and design characteristics (a) Physical and design characteristics must address any and all external or internal construction of the physical environment of the voting system.

(b) The voting system provider must submit drawings, photographs and any related brochures or documents to assist with the evaluation of the physical design of the use of the voting system. 21.4.7 Ballot Definition Subsystem (a) The ballot definition subsystem of the voting system application consists of hardware and software required to accomplish the functions outlined in this Rule.

(b) The ballot definition subsystem must be capable of handling at least 200 potentially active voting positions, arranged to identify party affiliations in a primary election, offices with their associated labels and instructions, candidate names with their associated labels and instructions and ballot issues or questions with their associated text and instructions.

(c) The voting system must accommodate single page ballots (races on one face or both faces) and two page paper ballots (races on three or four faces).

(d) The ballot definition subsystem must:

(1) Provide a facility for the definition of the ballot, including the definition of the number of allowable choices for each office and contest and for special voting options such as write-in candidates;

(2) Generate all required masters and distributed copies of the ballot definition files; and (3) Permit a user to program the election, build the election database, generate and layout ballots, and report results, by ballot style or precinct, as permitted or required by section 1- 7.5-208, C.R.S.

(e) Data management applications that collect, convert, manage or export election definition information in one or more formats suitable for import into the election management system, are an essential component of, and must be integrated with and operate in the same user interface and on the same server or workstation, as the election management system.

(f) The voting system may not add any caption or endorsement to ballot artwork generated by the voting system, including without limitation copyright notices or the name of the voting system provider. The county must have the ability to suppress any captions and endorsements generated by the voting system that are not authorized by section 1-5-407(1), C.R.S. 21.4.8 Trusted Build. The voting system must allow the operating system administrative account to verify that the software installed is the certified software by comparing it to the trusted build or other reference information. 21.4.9 Audit capacity (a) The voting system must track and maintain read-only audit information of the following election management system events:

(1) Log on and log off activity;

(2) Application start and stop;

(3) Printing activity, where applicable;

(4) Election events – set for election, unset for election, open polls, close polls, end election, upload devices, download devices, create ballots, create precincts, create districts, create voter service and polling centers, initialize devices, backup devices, and voting activity; and (5) Hardware events – add hardware, remove hardware, initialize hardware, and change hardware properties.

(b) All transaction audit records of the election databases must be maintained in a file outside of or separate from the database in a read-only format. 21.4.10 Security requirements. All voting systems must meet the following minimum system security requirements:

(a) The voting system must meet the following requirements to accommodate a general system of access by least privilege and role-based access control:

(1) Operating system administrative accounts may not have access to read or write data to the database;

(2) Operating system user/operator accounts must be able to be created that are restricted from the following aspects of the operating system:

(A) No access to system root directory;

(B) No access to operating system specific folders;

(C) No access to install or remove programs; and (D) No access to modify other user accounts on the (3) Application administrative accounts must have full access and rights to the application and database;

(4) Application user/operator accounts must have limited rights specifically designed to perform functional operation within the scope of the application. This user/operator must be restricted in the creation or modification of any user/operator accounts.

(b) The voting system must meet the following requirements for network security:

(1) All network-applicable components of the voting system must have the ability to operate on a closed network dedicated to the voting system;

(2) All network-applicable components of the voting system must include the limited use of non-routable IP address configurations for any device connected to the closed network. For the purposes of this requirement, non-routable IP addresses are those defined in the RFC 1918 Address base; and (3) The voting system must include provisions for updating security patches, software and/or service packs without access to the open network.

(c) All voting systems that use databases must: Have databases hardened to specifications developed by the voting system provider. Documentation included with the application must provide a detailed procedure for hardening according to current industry standards. Any government or industry guidelines adopted in whole, or in part, are to be identified in the documentation.

(d) The voting system must meet the following requirements for operating system security:

(1) All voting systems must have all operating systems hardened to specifications developed by the voting system provider according to current industry standards.

Documentation included with the application must provide a detailed procedure for hardening. Any government or industry guidelines adopted in whole, or in part, are to be identified in the documentation.

(2) The voting system provider must configure the voting system operating system of the workstation and server used for the election management software to the following requirements:

(A) The ability for the system to take an action upon inserting a removable media (auto run) must be disabled; and (B) The operating system must only boot from the drive or device identified as the primary drive.

(3) The voting system provider must use a virus protection/prevention application on the election management server/workstations which must be capable of manual updates without the use of direct connection to the internet.

(e) The voting system must meet the following requirements for password security:

(1) All passwords must be stored and used in a non-reversible format;

(2) Passwords to the database must not be stored in the database;

(3) Password to the database must be owned and only known by the application;

(4) The application’s database management system must require separate passwords for the administrative account and each operator account;

(5) The system must be designed in such a way to ensure that the use of the administrative account password is not required for normal operating functions;

(6) The system must allow users to change passwords;

(7) The use of blank or empty passwords must not be permitted at any time with the exception of a limited one-time use startup password which requires a new password to be assigned before the system can be used; and (8) All voting systems must have all components of the voting system capable of supporting passwords of a minimum of 15 characters, and must be capable of including numeric, alpha and special characters in upper case or lower case used in any combination.

(f) All modules of the system must meet the following requirements for installation of software, including hardware with embedded firmware:

(1) Where the system includes a feature to interpret and control execution using data from a script, code tokens, or other form of control data file separate from the source code, the human-readable source information must be made available as part of a source code review.

(2) Security features and procedures must be defined and implemented to prevent any changes of interpreted data files after the initial election testing of the final election definition Replacement of the interpreted data files with tested and approved files from the trusted build must be by authorized personnel before the election definition is finalized for an (3) The introduction of interpreted data during execution must not be permitted unless defined as a predefined set of commands or actions subject to security review and the interpretation function provides security edits on input to prevent the introduction of other commands or the modification or replacement of existing code.

(4) The application must not allow users to open database tables for direct editing.

(g) All voting systems must meet the following minimum requirements for removable storage media with data controls:

(1) All data stored that includes ballot images, tally data, and cast vote records must be authenticated, encrypted or secured against tampering, and validated.

(2) All removable media, upon insertion on server and workstations hosting the elections management software, must automatically be scanned by antivirus software or secured against execution of unauthorized software. 21.4.11 Documentation Requirements (a) The Secretary of State may rely upon the testing of a voting system performed by a VSTL or by another state upon satisfaction of the following conditions:

(1) The Secretary of State has access to any documentation, data, test case reports or similar information upon which the VSTL or another state relied in performing its tests and will make such information available to the public subject to any redaction required by law; and (2) The Secretary of State has determined that the tests were conducted in accordance with appropriate engineering standards, and the extent to which the tests satisfy the requirements of sections 1-5-615 and 1-5-616, C.R.S., and all Rules promulgated under those sections.

(b) In addition to other documentation requirements in this Rule, the voting system provider must provide the following documents:

(1) Standard issue users/operator manual;

(2) System administrator’s/application administration manual;

(3) Training manual and related materials;

(4) Election definition programming and diagnostics manuals;

(5) A list of minimum services needed for the successful, secure and hardened operation of all components of the voting (c) For the review of VSTL or other state testing copies of all VSTL or state qualification reports, test logs and technical data packages must be provided to the Secretary of State.

(1) The voting system provider must execute and submit any necessary releases for the applicable VSTL, state or EAC to discuss any and all procedures and findings relevant to the voting system with the Secretary of State and allow the review by the Secretary of State of any documentation, data, reports, or similar information upon which the VSTL or other state relied in performing its testing. The voting system provider must provide a copy of the documentation to the (2) The voting system provider, the VSTL, the state or the EAC will identify to the Secretary of State any specific sections of documents for which they assert a legal requirement for redaction.

(d) The voting system provider must provide documentation specifying the steps and times required for charging batteries, and the time of battery operation for each type of device they provide, assuming continuous use of the devices by voters during an interruption of normal electrical power.

(e) The Secretary of State will review submitted documentation to determine the extent to which the voting system has been tested to federal standards.

(f) Failure by the voting system provider to provide any documentation will delay processing the application and may be cause for denial of certification.

(g) The voting system must include detailed documentation, which includes the location and a description of the content of the of audit trail information throughout the system. The audit information applies to:

(1) Operating Systems (workstation, server, ballot scanner, and BMD);

(2) Election management system; and (3) Election Tabulation Devices – ballot scanner.

(h) The voting system provider must provide documentation detailing voting system security. The documentation must contain configurations, properties and procedures to prevent, detect, and log changes to system capabilities for:

(1) Defining ballot formats;

(2) Casting and recording votes;

(3) Calculating vote totals consistent with defined ballot formats;

(4) Reporting vote totals;

(5) Altering of voting system audit records;

(6) Changing or preventing the recording of a vote;

(7) Introducing data for a vote not cast by a registered voter;

(8) Changing calculated vote totals;

(9) Preventing access to vote data, including individual votes and vote totals, to unauthorized individuals; and (10) Preventing access to voter identification data and data for votes cast by the voter such that an individual can determine the content of specific votes cast by the voter.

(i) The voting system provider must provide documentation detailing the security measures it has in place for all systems, software, devices that act as connectors (upload, download, and other programming devices) and any additional recommended security measures.

(j) For the purpose of evaluating software, the voting system provider must provide detailed information as to the type of hardware required to execute the software.

(k) The documentation supplied by the voting system must include a statement of all requirements and restrictions regarding environmental protection, electrical service, telecommunications service and any other facility or resource required for the installation, operation and storage of the voting system.

(l) The voting system provider must submit documentation containing a list of minimum equipment, services, and executables required to run the election management system. 21.4.12 Ballot-level Cast Vote Records and Exports. All voting systems certified by the Secretary of State for use in Colorado must meet the following requirements for ballot-level cast vote records and exports:

(a) The voting system must capture a ballot-level cast vote record (CVR).

(b) The voting system must be able to aggregate in a single file and export all CVRs in comma-separated value (CSV) text format.

(c) The CVR export must be compatible with the Secretary of State’s post-election audit software.

(d) The header or field names in the CVR export must unambiguously correspond to names of the contests and choices on the paper (e) The contests and choices must be listed in the same order as they appear on the ballots.

(f) A vote for a choice must be indicated by a “1.” No vote for a choice or an overvoted condition must be indicated by a “0.” Choices that are not applicable to the CVR must be left blank. 21.4.13 Election Night Reporting data and exports. All voting systems certified by the Secretary of State for use in Colorado after January 1, 2016 must meet the following requirements for Election Night Reporting data and exports:

(a) The voting system must be able to generate and export results data suitable for use in the Secretary of State’s Election Night Reporting (ENR) system, as specified in the remaining subsections of this (b) The ENR export file must be in a tabular format that uses commaseparated value (CSV) format, or a format based on a range of character positions within a line.

(c) The ENR export file must contain a header line that defines all of the fields contained in the export file.

(1) The header names need not exactly correspond to the field names specified subsection (d) of this Rule, but must unambiguously identify the content of each field.

(2) The order of the fields within the export file may deviate from the order specified in subsection (d) of this Rule.

(3) Additional fields contained in the ENR export file but not specified or addressed in subsection (d) of this Rule must not contain only alphanumeric characters.

(d) The ENR export file must include the following items or fields:

(1) Precinct Name. If the county defines the election to report results by precinct, an alphanumeric string consisting of a 10-digit precinct code.

(2) Ballot Style Name. If the county defines the election to report results by ballot style or district, a unique, alphanumeric string for each ballot style.

(3) Precinct ID. If the county defines the election to report results by precinct, a unique integer for each precinct or precinct split.

(4) Registered Voters. The number of registered voters eligible to vote each unique ballot style, or in each precinct or precinct split, as applicable.

(5) Ballots counted. The number of ballots counted for each unique ballot style, or each precinct or precinct split, as applicable.

(6) Contest Name. The contest name as it appears on the ballots. If the contest name contains a carriage return for ballot formatting purposes, then the carriage return must not appear in the export.

(7) Contest ID. A unique integer for each contest.

(8) Contest Sequence Number. A unique integer that defines the sequence of contests as they appear on the ballots.

(9) Votes Allowed. The maximum number of choices that a voter may select in each contest (e.g., “Vote for 2”).

(10) Choice Name. The choice name as it appears on the ballots.

Party affiliation may not be included in the choice name.

(11) Choice ID. A unique integer for each choice within a contest.

(12) Party Code. An indicator of party affiliation for each choice, if applicable.

(13) Vote Count. The total number of votes for each choice.

(14) Reporting Flag. The reporting flag field must contain a value of “0”.

(15) Precinct Sequence Number. A unique integer that defines the sequence of precincts.

(16) Choice Sequence Number. A unique integer that defines the sequence of candidates as they appear on the ballot. 21.4.14 Central Ballot Counting Functionality. All voting systems certified for use in Colorado by the Secretary of State after January 1, 2016, must meet the following functional requirements for centrally counting ballots:

(a) Digital Ballot Adjudication: The voting system must include a digital ballot adjudication software application, enabling election judges to resolve, adjudicate, and duplicate ballots with marginal or ambiguous voter markings digitally rather than manually.

(b) Ballot Scanners. The voting system must include central count ballot scanners equipped with automatic document feeders, enabling election judges to scan multiple ballots rather than a single ballot at a time. 21.5 Testing preparation procedures 21.5.1 Voting system provider demonstration (a) The voting system provider must demonstrate the submitted voting system to the Secretary of State prior to certification of the voting (b) The demonstration period does not have a predetermined agenda for the voting system provider to follow; however, presentations should be prepared to address and demonstrate the following items as they pertain to each area and use within the voting system, if applicable:

(1) System overview;

(2) Verification of complete system matching the Application for Certification of a Voting System;

(3) Ballot definition creation;

(4) Hardware diagnostic testing;

(5) Programming election media devices;

(6) Sealing and securing system devices;

(7) Logic and accuracy testing;

(8) Processing ballots;

(9) Accessible use, including a full demonstration of all functionality using accessible voter interface devices and the audio ballot. This includes a video submitted with the demonstration which shows:

(A) A demonstration of the full functionality of the voter interface devices available for use with a ballot marking device; and (B) A demonstration of a voting session from beginning to end, which includes the audio which will accompany voting on a ballot marking device, and which describes the actions available to the voter to take at every step on the device. The demonstration must allow for an individual who is visually impaired to follow each step taken during a voting session.

(C) The Secretary of State may require a voting system which has been adopted for use to provide a demonstration which follows the requirements of this (10) Accumulating results;

(11) Post-election audit;

(12) Audit steps and procedures throughout all processes; and (13) Troubleshooting.

(c) At the time of application, the voting system provider must arrange a time with the Secretary of State to access the demonstration room to setup the voting system if the demonstration is to be inperson.

(d) A maximum of one business day is normally allowed for a in-person demonstration. If the voting system provider requests more time for the demonstration or, if the Secretary of State finds that the complexity of the system is such that more time is needed for a demonstration, more time may be granted.

(e) An in-person demonstration will be open to representatives of the press and the public to the extent allowable. The Secretary of State may limit the number of representatives from each group to accommodate space.

(f) The Secretary of State will post notice of the fact that the in-person demonstration will take place in the designated public place for posting such notices for at least seven days prior to the demonstration. The notice must indicate the general time frame during which the demonstration may take place and the manner in which members of the public may obtain specific information about the time and place of the test.

(g) The Secretary of State may allow a virtual demonstration in lieu of the in-person demonstration. A virtual demonstration may be livestreamed or a submitted video.

(h) If the Secretary of State allows a livestream virtual demonstration in lieu of an in-person demonstration, then the Secretary will post notice of the livestream demonstration at least seven days prior to the demonstration. The notice must indicate the time and link for the demonstration.

(i) If the Secretary of State allows a submitted video demonstration in lieu of an in-person demonstration, then the Secretary of State will post notice and provide a link to the submitted video prior to certification of the voting system. 21.5.2 Certification testing (a) The voting system provider must provide the same class of workstation and/or server for testing the voting system as the normal production environment for the State of Colorado.

(b) Based upon the review of VSTL or other state reports and test records, the Secretary of State will prepare a test plan. The test plan will be designed to test for any requirements specific to Colorado law which were not addressed in prior testing and for any federal or Colorado requirements which were not addressed to the satisfaction of the Secretary of State in the reports and records from prior testing.

(c) The test plan must include the election definitions to be used in testing and specifications for test ballots. Test ballots and election definitions must generally follow all requirements for election definitions, ballot layout and printing to verify the system’s ability to meet those requirements. Some election definitions and ballots may depart from the requirements in order to test specific functions.

(d) For each system tested, a requirements matrix must be prepared to identify those requirements satisfied by the review of VSTL or other state reports and test data and how those requirements not satisfied are to be tested or otherwise satisfied. If during test planning or testing one of the requirements in the voting systems standards or in this Rule are determined to be not applicable to the system under test, the reason for the determination will be documented.

(e) The voting system provider must submit for testing the specific system configuration that will be offered to jurisdictions including the components with which the voting system provider recommends the system be used.

(f) The voting system provider is not required to have a representative present during the functional testing, but must provide a point of contact for technical support. After the delivery, unpacking, and initial inspection of the equipment for shipping damage and missing components, a vendor representative will only be allowed to operate or touch the equipment when approved by the Secretary of (g) The proprietary software must be installed on the workstation/server and all applicable voting system components by the Secretary of State or the VSTL using the trusted build following the installation procedures provided by the voting system provider.

After installation, hash values for the software and firmware must be compared to any published hash values of the trusted build. Any mismatches in hash values will be investigated and resolved before proceeding with testing.

(h) All equipment must be hardened using the voting system provider’s procedures and specifications.

(i) Testing must be performed with test election definitions and test ballots as required in the test plan.

(j) The results of all testing must be recorded in the requirements matrix. The requirements matrix will be the primary record describing which requirements were met and specifying which were not. It must be supplemented as necessary to support the findings with test team notes and system reports. Supplemental information may include photographs and audio or video recordings.

(k) Functional testing must be completed according to the phases identified in Rule 21.2.3.

(l) The Secretary of State or the VSTL must conduct functional testing on the voting system based on this Rule.

(m) The voting system must receive a pass, fail or not applicable for each requirement with appropriate notation in the requirements matrix.

(n) The Secretary of State will maintain records of the test procedures in accordance with Rule 21.3.8. The records must identify the system and all components by voting system provider name, make, model, serial number, software version, firmware version, date tested, test number, test plan, requirements matrix, test team notes, and other supplemental information, and results of test. The test environment conditions must be described.

(o) In the event that a deviation from the test plan is required, it must be documented in a test team note. The note must provide a description of the deviation, the reason for the deviation and effect of the deviation on testing and determining compliance with requirements. 21.5.3 General testing procedures and instructions (a) Certification tests must be used to determine compliance with applicable performance standards for the system and its components. The general procedure for these tests will:

(1) Verify, by means of the voting system provider’s standard operating procedure, that the device is in a normal condition and status;

(2) Establish the standard test environment or the special environment required to perform the test;

(3) Invoke all operating modes or conditions necessary to initiate or to establish the performance characteristic to be tested;

(4) Measure and record the value or the range of values of the performance characteristic to be tested; and (5) Verify all required measurements have been obtained, and that the device is still in a normal condition and status.

(b) All tests will be generally conducted in regular election mode. Tests of test mode and diagnostic functions may be conducted in the appropriate test mode.

(c) The voting system provider must produce ballots and assemble marked test decks and spare ballots as specified in the test plan.

(d) For mark-sense or ballot scanner devices, the Secretary of State or the VSTL will prepare 100 or more test ballots with marking devices of various color, weight and consistency to determine the range of marks that can be read and the range and consistency of reading marginal marks.

(e) The requirements matrix must include the following requirements for election definitions and ballots to simulate and test “real world” situations in the State of Colorado. Election definitions and ballots must include the following minimum contest criteria:

(1) Parties for different races;

(2) Selection of a pair of candidates, such as President and Vice-President;

(3) In a primary election, allow voters to vote for the candidates of the party for which they are eligible and for any and all non-partisan candidates and measures, while preventing them from voting on candidates of another party;

(4) In a general election, allow a voter to vote for any candidate for any office, in the number of positions allowed for the office, and to vote for any measure on the ballot that the voter is allowed to vote in, regardless of party;

(5) Allow for programming to accommodate Colorado recall questions as prescribed in Article 12 of Title 1, C.R.S.;

(6) A minimum of 20 pairs of “yes” and “no” positions for voting on ballot issues; and (7) Ability to contain a ballot question or issue of at least 200 words.

(f) A county clerk or his or her designated representative must be able to observe the functional testing of a voting system. The representative may assist at the request of the Secretary of State.

(g) The public must be allowed to view all functional testing conducted by the Secretary of State. However, legal limitations may require that certain testing, including but not limited to proprietary information and system security, be done outside the view of the public. If the functional testing is outsourced to a VSTL or contractor, public viewing is subject to limitations set forth by the VSTL or contractor.

(h) If any malfunction or data error is detected, its occurrence and the duration of operating time preceding it must be recorded for inclusion in the analysis. 21.6 Temporary use 21.6.1 If a voting system provider has a system that has not yet been approved for certification through the Secretary of State, the voting system provider or the designated election official may apply to the Secretary of State for temporary approval of the system to be used for up to one year. 21.6.2 Temporary use does not supersede the certification requirements or process, and may be revoked at any time at the discretion of the Secretary 21.6.3 Upon approval of temporary use, a jurisdiction may use the voting system, or enter into a contract to rent or lease the voting system for a specific election upon receiving written notice from the Secretary of State’s office.

At no time may a jurisdiction enter into a contract to purchase a voting system that has been approved for temporary use. 21.7 Decertification 21.7.1 If, after any time the Secretary of State has certified a voting system, it is determined that the voting system fails to substantially meet the standards set forth in this Rule 21, the Secretary of State will notify any jurisdictions in the State of Colorado and the voting system provider of that particular voting system that the certification of that system for future use and sale in Colorado is to be withdrawn. 21.7.2 Certification of a voting system may be revoked or suspended at the discretion of the Secretary of State based on information that may be provided after the completion of the initial certification. This information may come from any of the following sources:

(a) The Election Assistance Commission (EAC);

(b) Voting System Test Laboratory (VSTL);

(c) The Federal Election Commission (FEC);

(d) The National Software Reference Library (NSRL);

(e) National Association of State Election Directors (NASED);

(f) The National Association of Secretaries of State (NASS);

(g) Information from any state elections department or Secretary of State;

(h) Information from Colorado county clerks or their association; or (i) Any other source the Secretary of State finds reliable. 21.7.3 The Secretary of State may investigate a complaint filed by any person, and, upon any findings as outlined in (a) through (e) below, may prohibit, limit or decertify use of a voting system, in whole or in part. An investigation by the Office of the Secretary of State may include, but is not limited to, the review or inspection of the voting system component at issue.

(a) Any person installed any uncertified or decertified voting system component;

(b) A county breaks the chain-of-custody for any component of a voting system by allowing any individual not authorized by Rule 20.5.2(b) access to that component;

(c) A county submits an incident report regarding a component of a voting system and the Secretary of State finds that the chain-ofcustody cannot be reestablished securely;

(d) A component of a voting system experiences repeated hardware failures or malfunctions of a similar nature; or (e) The Secretary determines that the integrity or security of a voting system component cannot be verified and that chain-of-custody cannot be reestablished securely. 21.7.4 The Secretary of State will notify a county of the prohibition or limitation on use or decertification of a component of a voting system under Rule 21.7.3 and the county must immediately cease using that component. 21.7.5 In accordance with section 1-5-621, C.R.S., the Secretary of State will hold a public hearing to consider the decision to decertify a voting system if a political subdivision or provider of a voting system that is decertified has requested in writing that the Secretary of State reconsider. 21.7.6 If any voting system currently certified in Colorado is not used by any political subdivision for two consecutive general elections, the system may be decertified for use. 21.8 Modifications and reexamination. Any modification, change or other alteration to a certified voting system requires certification or review of the modification under

section 1-5-618, C.R.S., unless the voting system provider decides to present the modified system for certification under this Rule. 21.9 Acceptance Testing by Jurisdictions 21.9.1 Whenever a jurisdiction acquires voting equipment, the jurisdiction must perform acceptance tests of the system before it may be used to cast or count votes at any election. The voting system must be operating correctly, pass all tests as directed by the acquiring jurisdiction’s project manager or contract negotiator and must be identical to the voting system certified by the Secretary of State. 21.9.2 The voting system provider must provide all manuals and training necessary for the proper operation of the system to the jurisdiction. 21.9.3 The election jurisdiction must perform functional and programming tests for all functions of the voting system at their discretion. 21.10 Escrow of voting system software and firmware by voting system provider. The voting system provider must meet the requirement for election management software escrow per the following: 21.10.1 The voting system provider must place in escrow a copy of the election management software, firmware, and supporting documentation being certified with an independent agent approved by the Secretary of 21.10.2 The voting system provider must sign a sworn affidavit that the election management software in escrow is the same as the election management software used in its voting systems in this state. 21.10.3 A complete copy of the certified election management software including any and all subsystems of the certified software will be maintained in escrow. 21.10.4 Any changes to current configurations or new installations must be approved through the certification program of the Secretary of State. 21.10.5 In addition to the requirements listed below, the voting system provider must include a cover/instructions sheet for any escrow material to include the voting system provider, address and pertinent contact information, software version, hardware version, firmware revision number, and other uniquely identifying numbers of the software submitted for certification. 21.10.6 Election management software source code, maintained in escrow, must contain internal documentation such that a person reasonably proficient in the use of the programming language can efficiently use the documentation to understand the program structure, control techniques, and error processing logic in order to maintain the source code should it be removed from escrow for any reason. 21.10.7 System documentation will include instructions for converting the escrowed source code into object code, organized and configured to produce an executable system, if warranted. 21.10.8 All parties must treat as confidential the terms of this Rule including all escrow materials and any other related information that comes into their possession, control or custody in accordance with this section. 21.10.9 The provider must notify that Secretary of State via email that the election management software being certified has been placed in escrow. 21.10.10 Any cost of using an alternative third party escrow agent must be borne by the voting system provider. 21.11 Standards for certifying instant runoff voting functionality 21.11.1 Results reporting requirements (a) The voting system must be capable of generating a summary report that lists the total number of votes for each candidate in each round. The report must include:

(1) The number of overvotes;

(2) Duplicate rankings;

(3) Skipped rankings; and (4) Ballots with fewer rankings than the maximum permitted in the race.

(b) The voting system must generate a ballot image report, which can be fulfilled by exporting a cast vote record, that lists the order in which the elector ranked the candidates for each ballot.

(c) The voting system must generate a comprehensive report listing the results in the summary report by precinct or ballot style as required or permitted by section 1-7.5-208(3)(a), C.R.S. 21.11.2 Data export formats (a) The voting system must accurately export complete round by round results data for use with an election night reporting system in .csv, .json, and .xml formats.

(b) The voting system must accurately export a cast vote record in .csv, .json, and .xml formats. 21.11.3 Ballot layout requirements (a) The voting system must permit the user to lay out ballot cards containing both plurality and instant runoff voting contests on the same ballot card or separate ballot cards.

(b) The voting system must permit a user to input ranked voting specific voter instructions immediately preceding instant runoff voting contests.

(c) The voting system must be able to support ranking at least ten named candidates including up to two write-in candidates per instant runoff contest.

(d) The voting system must allow the ranked voting contests to be formatted on paper ballots with rankings listed in columns and candidates listed in rows. 21.11.4 Tabulation requirements (a) The voting system must record all voter rankings.

(b) During the first round of tabulation, the voting system must tabulate the first-choice ranks on each ballot.

(1) A candidate who receives over 50 percent of the first-choice ranks for a contest across all ballots tabulated is the winning candidate, and the voting system must stop tabulating any further rounds.

(2) If no candidate receives over 50 percent of the first-choice ranks for a contest across all ballots tabulated, the voting system must continue to the next round of tabulation (c) During the next round of tabulation, the voting system must ensure that the candidate with the fewest first-choice ranks in the first round is eliminated, and the eliminated candidate’s votes are transferred to each ballot’s next-ranked continuing candidate.

(1) If, after receiving the transferred votes, a continuing candidate receives over 50 percent of the votes cast on active ballots, that candidate is the winning candidate, and the voting system must stop tabulating any further rounds.

(2) If no candidate has over 50 percent of the votes cast on active ballots after the second round, the voting system must repeat additional rounds of tabulation as described in this

Rule, until there is a winning candidate.

(d) If the combined votes of two or more candidates with the lowest vote totals in the current round are less than the number of votes for the continuing candidate with the next-highest number of votes, then the voting system must be capable of eliminating the group of lowest-vote candidates simultaneously, if the user chooses.

(e) In any round, if two or more candidates tie for the lowest number of votes, and the voting system cannot eliminate the candidates according to the criterion in subsection (d), then the voting system must allow the user to determine by lot which candidates are eliminated in accordance with Rule 26.5.5.

(f) The voting system must allow the user to decide whether to allow skipped rankings or to exhaust the ballot when a ranking is skipped.

(g) The voting system must allow the user to decide if a vote for a noncertified write-in will exhaust the ballot or be resolved as a skipped ranking.

(h) The voting system must allow the user to decide whether to pause the tabulation session after each round or to continue until a winner is determined or a manual tie break for elimination is required.

(i) The voting system must allow the user to decide whether or not to include as an overvote ranks for candidates for whom votes may not be counted, in accordance with section 1-4-1001, C.R.S.

(j) The voting system must allow the user to decide whether to count a ranking for a candidate for whom votes may not be counted, in accordance with section 1-4-1001, C.R.S., as a skipped ranking or to elevate lower rankings. 21.11.5 Ballot marking device requirements (a) Ballot marking devices must prohibit voters from overvoting any ranking.

(b) Ballot marking devices must prohibit voters from skipping rankings.

(c) The voting system must present clear audio and visual notifications if the voter has ranked fewer candidates than the contest’s maximum permitted number of rankings but will allow the voter to proceed with their voting session if the voter chooses to do so. 21.11.6 Ballot adjudication requirements (a) The voting system must allow the user to queue ballots with the following conditions for adjudication by election judges:

(1) Any ambiguous mark in any ranking;

(2) Any ranking that results in an overvote;

(3) Any skipped ranking;

(4) Any duplicate ranking; and (5) Any contest in which a voter has ranked fewer candidates than the contest’s maximum permitted number of rankings. 21.12 Amendments to certifications for instant runoff voting functionality for instant runoff voting contests contained in more than one county 21.12.1 The Department of State may submit a third-party software component to a federally certified voting system test laboratory for certification for use with another previously certified voting system or as

part of a system that is under consideration for certification.

(a) Only software components whose purpose is to aggregate and resolve instant runoff voting contests that take place across more than a single jurisdiction may be submitted according to this Rule.

(b) A voting system vendor may not prohibit an amendment to the certification in accordance with this Rule.

(c) A voting system vendor is not responsible for integrating software that is submitted as an amendment into their voting system.

(d) A voting system vendor is not responsible for the costs associated with amending a certification.

(e) At the request of the Department of State, a voting system vendor that has a system that has instant runoff voting functionality, or is undergoing certification for instant runoff voting functionality, must provide files required by the Department for an amendment to their system in accordance with this Rule. 21.12.2 Functional requirements of third-party amendment certifications (a) The software must be able to import data ranking files from all voting systems that are certified for use for instant runoff voting capability under Rule 21.11.

(b) The software must allow a user to standardize the names of contests and choices across jurisdictions.

(c) The software must meet the requirements of Rule 21.11.4, with the exception of Rules 21.11.1(a) and 21.11.4(a) and (g).

(d) The software must export data in the formats specified in Rule 21.11.2(a). 21.12.3 Upon submission of an amendment under this Rule, the Department of State will consult with the voting system test laboratory to determine which security requirements are applicable to the third-party software. 21.12.4 Testing (a) For software amendments that are submitted with a voting system currently under consideration, the test plan must include an

appendix addressing the third-party software amendment. Upon completion of testing, the test report must include an appendix addressing the third-party software amendment.

(b) For amendments that are submitted for a voting system that has been previously certified, the Department of State will work with the voting system test laboratory to develop a separate test plan for the amendment. Upon conclusion of testing, the laboratory must produce a test report.

(c) If the third-party software meets the requirements in Rule 21.12, the Department of State will certify the third-party software as part of an amendment to a voting system. If the requirements are not met sufficiently for certification of the third-party software with the amendment, it does not preclude the voting system from being certified without the amendment.

(d) The Department of State will publish its determination of certification for the amendment on its public website along with the test report and any other appropriate certification artifacts. 21.12.5 Once software has been certified as a third-party amendment, the Department of State must hold a copy of that software in escrow until such time that the software has been decertified. 21.12.6 Third-party software components that are certified as amendments must only be installed on a computer workstation that has no wireless connectivity enabled. 21.12.7 The Department of State may decertify software that has been certified as an amendment to a certified voting system at any time.

(a) When software that is certified using this Rule is decertified, the Department of State must publish the decertification on its public website along with any reasons for decertification.

(b) In the event the Department of State decertifies software that has been certified as an amendment to a fully certified voting system, that decertification shall only apply to the amendment and shall not apply to the otherwise fully certified voting system.

Rule 22. Use of approved and recommended election forms 22.1 Where the Secretary of State issues an approved election form, notice, application, or correspondence, all designated election officials and registration offices must use the approved form. 22.1.1 A designated election official or registration office that wishes to substantively modify the content of any form approved by the Secretary of State must submit a written request via email to the Secretary of State’s office stating the requested modification and the reasons it is needed.

(a) The Secretary of State will approve or deny a request to modify an approved form within five business days. Failure of the Secretary of State to issue a decision within five business days does not constitute an approval of the request. If the modification request is denied, the Secretary of State will explain the reason for denying the request.

(b) A non-substantive customization of an approved form, such as placing the form on county letterhead or language translation, does not require the Secretary of State’s approval. 22.2 The Secretary of State will approve standard voter registration and ballot application forms for use by political parties and organizations that provide such forms to the public. The Secretary of State will publish on the department’s website the current approved registration forms. 22.2.1 Political parties and organizations may also use the National Mail Voter Registration form. Because the forms approved by the Secretary of State contain all information specifically required by Colorado law, the applicants and the organization are afforded greater protection by distributing or using the state forms approved by the Secretary of State. 22.2.2 All political parties and organizations that conduct a mass mailing of either registration or ballot request forms to the public must identify themselves by printing the organization name and contact information on the form. 22.2.3 Any political party or organization may contact the Secretary of State before sending a mailing to request a review of the form and information to be mailed. 22.3 Under section 1-1-107(2)(d), C.R.S., the Secretary of State will seek injunctive action or other remedies for violations of this Rule. 22.4 If an elector’s eligibility to vote at a precinct caucus cannot be verified upon examination of the list of registered electors, the elector must complete the Secretary of State’s approved form attesting to the elector’s eligibility.

Rule 23. Commissions 23.1 Bipartisan Election Advisory Commission 23.1.1 The Secretary of State finds and declares that open discussion about the administration and conduct of elections in Colorado is necessary to ensure that every eligible citizen has the opportunity to participate in fair, accessible, and impartial elections, and has the assurance that elections are conducted with integrity and his or her vote will count. Because the Colorado General Assembly discontinued the Colorado Voter Access and Modernized Election Commission, the Secretary of State will establish a Bipartisan Election Advisory Commission (the Commission) to identify processes for improvement and work to obtain bipartisan support in the administration of elections. The Commission will make recommendations to the Secretary of State regarding the development and implementation of best practices, administrative rules and suggestions for legislation. 23.1.2 Membership of the Commission (a) The Secretary of State will appoint at least 13 members to the Commission. The Commission may include:

(1) A Representative of an organization that advocates on behalf of people with disabilities;

(2) A member of the executive branch and at least one legislator from each party;

(3) Two County clerk and recorders representing the Colorado County Clerks Association presidential line of leadership;

(4) If both clerks in (3) are from the same party or if not all counties are members of the CCCA, additional clerks may be appointed;

(5) Two representatives of organizations that advocate on behalf of local governments, including counties, municipalities, and special districts;

(6) Chair, party officer, or legal counsel for each major political party; and (7) Two members with expertise on voting rights and/or election integrity.

(b) The Secretary of State or his or her designee, will be a member and serve as chair of the Commission.

(c) The Secretary of State’s office will provide staff support to the Commission as may be directed by the Secretary of State. 23.1.3 Meetings (a) The Commission must meet no fewer than three times annually.

(b) The meetings will be held at the office of the Secretary of State, regional locations throughout the state, or virtually as the Commission determines appropriate.

(c) Meetings must comply with Colorado Open Meetings Law and will permit an opportunity for public comment.

(d) Notices, records of meetings, written comments, and documents submitted to the commission will be published on the official website of the Secretary of State. Documents that are otherwise publicly available need not be posted. Any submission containing inflammatory or otherwise inappropriate content will not be posted, including any material that is defamatory, irrelevant, duplicative, or obscene.

Rule 24. Presidential Electors 24.1 Oath 24.1.1 As used in section 1-4-304 (1), C.R.S., “the oath required by law for presidential electors” must be in substantially the following form:

“I, .............., do solemnly swear or affirm that I will support the constitution of the United States and of the state of Colorado, that I will faithfully perform the duties of the office of presidential elector that I am about to enter, and that I will vote for the presidential candidate and vice-presidential candidate who received the highest number of votes at the preceding general election in this state.” 24.1.2 If a presidential elector-elect refuses or otherwise fails to take and subscribe the oath in Rule 24.1.1, the refusal or failure creates a vacancy in the office of presidential elector. A vacancy created in accordance with this rule must be filled by the remaining presidential electors present as specified in section 1-4-304 (1), C.R.S. 24.2 Voting 24.2.1 As specified in section 1-4-304 (5), C.R.S., each presidential elector must vote for the presidential candidate and vice-presidential candidate who received the highest number of votes at the preceding general election in this state. 24.2.2 If a presidential elector-elect refuses or otherwise fails to vote for the presidential candidate and vice-presidential candidate who received the highest number of votes at the preceding general election in this state, the refusal or failure constitutes a “refusal to act” as that term is used in

section 1-4-304 (1), C.R.S., and creates a vacancy in the office of presidential elector. A vacancy created in accordance with this rule must be filled by the remaining presidential electors present as specified in

section 1-4-304 (1), C.R.S. 24.3 Filling Vacancies 24.3.1 As specified in section 1-4-304 (1), C.R.S., the presidential electors present must immediately proceed to fill any vacancy in the electoral college. A quorum is not required to fill a vacancy. In the event of a tie vote, the vacancy will be filled by lot. 24.3.2 If a remaining presidential elector refuses to fill a vacancy in the electoral college, the refusal constitutes a “refusal to act” as that term is used in

section 1-4-304 (1), C.R.S., and creates a vacancy in the office of presidential elector. A vacancy created in accordance with this rule must be filled by the remaining presidential electors present as specified in

section 1-4-304 (1), C.R.S. 24.3.3 Nominees to fill vacancies must be selected in accordance with section 1- 4- 302 (2), C.R.S.

Rule 25. Post-election audit 25.1 Definitions. As used in this rule, unless stated otherwise: 25.1.1 “ Audit Center” means the page or pages of the Secretary of State’s website devoted to risk-limiting audits. 25.1.2 “ Ballot cards” means the individual pieces of paper that together constitute a single ballot containing all of the contests an elector is eligible to vote.

For example, a ballot consisting of a single piece of paper with content printed on the front or the front and back contains one ballot card, and a ballot consisting of two pieces of paper with content printed on the front and back of the first page and the front or front and back of the second page contains two ballot cards. 25.1.3 “ Ballot polling audit” means a type of risk-limiting audit in which the audit board examines and reports to the Secretary of State voter markings on randomly selected ballot cards seeking strong evidence that the reported tabulation outcome is correct. 25.1.4 “ Comparison audit” means a type of risk-limiting audit in which the audit board examines and reports to the Secretary of State voter markings on randomly selected ballot cards, then compares them to the voting system’s tabulation as reflected in the corresponding cast vote records. 25.1.5 “ Reported tabulation outcome” means the presumed winning and losing candidates or voting choices of a ballot contest as reflected in preliminary results. 25.1.6 “ Risk limit” means the largest statistical probability that an incorrect reported tabulation outcome is not detected and corrected in a risk-limiting audit. 25.1.7 “ Risk-limiting audit” or “RLA” means a post-election audit of votes on paper ballot cards conducted in accordance with section 1-7-515, C.R.S., and Rule 25.2, which has a pre-specified minimum chance of requiring a full hand count if the outcome of a full hand count would differ from the reported tabulation outcome. 25.1.8 “ RLA tabulation” means the tabulation of all in-person and accepted mail ballots cast by electors registered in the county, and any accepted provisional and property owner ballots that the county opts to include on the ninth day after election day. 25.1.9 “ RLA Tool” means the software and user interfaces provided by the Secretary of State in order to conduct RLAs. 25.1.10 “Target contest” means a contest selected by the Secretary of State for a risk-limiting audit. The target contest with the closest diluted margin determines the number of ballot cards that must be examined during the RLA. 25.2 Risk limiting audit. The designated election official must conduct a risk-limiting audit in accordance with section 1-7-515, C.R.S., and this Rule. 25.2.1 RLA methods (a) Counties that use a voting system capable of exporting CVRs must conduct a comparison audit.

(b) Counties that use a voting system incapable of exporting CVRs must conduct a ballot polling audit. 25.2.2 Preparing for the audit (a) Risk limit. No later than 32 days before election day, the Secretary of State will establish and publish on the Audit Center the risk limits that will apply in RLAs for that election. The Secretary of State may establish different risk limits for comparison audits and ballot polling audits, and for audits of statewide and countywide contests. In comparison audits the risk limit will not exceed five percent for statewide contests, and ten percent for countywide contests.

(b) Practice period. Upon completion of the logic and accuracy test, counties may practice conducting the audit. The county must, at a minimum, hash and upload the ballot manifest and CVR file from the logic and accuracy test to the RLA software.

(c) Audit board. No later than 15 days before election day, the designated election official must appoint audit board members to conduct the risk-limiting audit. The audit board must consist of electors nominated by the major political party county chairpersons.

The designated election official must give written notice to the county chairpersons of their obligation to nominate audit board members and may designate appropriately affiliated electors as audit board members if one or both county chairpersons fail to do so in a timely manner.

(1) At least two canvass board members must observe at least the first round of the RLA, and members of the canvass board may serve as members of the audit board. The designated election official, members of his or her staff, and other duly appointed election judges may assist the audit board in conducting the audit. Unless given permission by the Department of State, the audit board must not consist of county clerk staff or individuals who participated in ballot resolution or adjudication during the election being audited.

Each member of the audit board must take the election judge oath.

(2) If the Secretary of State randomly selects five or fewer ballots for any audit round after the first, the designated election official may appoint as the audit board members of staff of different party affiliations to conduct and sign off on the audit round in question. The designated election official must get approval from the Secretary of State before appointing staff as the audit board. The designated election official may not appoint themselves to conduct any audit (d) Sample size estimates. Upon completion of tabulation on election night, counties are required to export an initial CVR export from their voting system and hash and upload the export and hash value to the RLA tool. Counties are not required to upload a ballot manifest to the RLA tool for the purposes of creating sample size estimates.

(1) The Department of State will use the election night CVRs to create sample size estimates to facilitate the selection of target contests.

(2) Counties are not required to upload a CVR export multiple times during the same election to the RLA tool unless requested to do so by the Department to facilitate an updated sample size estimate.

(e) Ballot manifest. The county must maintain an accurate ballot manifest in a form approved by the Secretary of State and independent of the voting system.

The ballot manifest must uniquely identify for each tabulated ballot the scanner on which the ballot is scanned, the ballot batch of which the ballot is a part, the number of ballot cards in the batch, and the storage container in which the ballot batch is stored after tabulation. The county must secure and maintain in sealed ballot containers all tabulated ballots in the batches and order they are scanned. The county must maintain and document uninterrupted chain-of-custody for each ballot storage container.

(f) RLA tabulation. On the tenth day after election day, the county must finish tabulating all in-person and accepted mail ballots cast by voters registered in the county. The county may but is not required to include in the RLA tabulation any provisional ballots and property owner ballots that have been verified and accepted on or before the ninth day after election day. Immediately after completing the RLA tabulation, and to the extent permitted by its voting system, the county must also generate and preserve:

(1) A summary results report, showing overvotes, undervotes, blank-voted contests, and valid write-in votes;

(2) A results file export suitable for uploading to the Secretary of State’s election night reporting system; and (3) A CVR export.

(g) CVR export verification. Counties conducting a comparison audit must verify that:

(1) The number of individual CVRs in its CVR export equals the aggregate number of ballot cards reflected in the county’s ballot manifest as of the tenth day after election day; and (2) The vote totals for all choices in all ballot contests in the CVR export equals the vote totals in the summary results report for the RLA tabulation.

(3) After verifying the accuracy of the CVR export, the county must apply a hash value to the CVR export file using the hash value utility provided by the Secretary of State.

(h) Comparison audit uploads. No later than 2:00 p.m. MT on the tenth day after election day, each county conducting a comparison audit must upload:

(1) Its verified and hashed ballot manifest, and the ballot manifest’s hash value, to the Secretary of State’s office;

(2) Its verified and hashed CVR export, and the CVR export’s hash value, to the Secretary of State’s office; and (3) Its RLA tabulation results export to the Secretary of State’s election night reporting system.

(i) Ballot polling audit uploads. No later than 2:00 p.m. MT on the tenth day after election day, each county conducting a ballot polling audit must submit or upload:

(1) Its verified and hashed ballot manifest, and the ballot manifest’s hash value, by email to the Secretary of State’s office;

(2) Its cumulative tabulation report, by email to the Secretary of State’s office; and (3) Its RLA tabulation results export to the Secretary of State’s election night reporting system.

(j) Random seed. The Secretary of State will convene a public meeting on the thirteenth day after election day to establish a random seed for use with the Secretary of State’s RLA tool’s pseudo-random number generator based on Philip Stark’s online tool, Pseudo-Random Number Generator using SHA-256. This material is incorporated by reference in the Election Rules and does not include later amendments or editions. The following material incorporated by reference is posted on the Secretary of State website and available for review by the public during regular business hours at the Colorado Secretary of State’s office: Pseudo- Random Number Generator using SHA-256 available at https://www.sos.state.co.us/pubs/elections/VotingSystems/riskAudit Resources.html. The Secretary of State will give public notice of the meeting at least seven calendar days in advance. The seed is a number consisting of at least 20 digits, and each digit will be selected in order by sequential rolls of a 10-sided die. The Secretary of State will randomly select members of the public who attend the meeting to take turns rolling the die, and designate one or more staff members to take turns rolling the die in the event that no members of the public attend the meeting. The Secretary of State will publish the seed on the Audit Center immediately after it is established.

(k) Selection of target contests. No later than 5:00 p.m. MT on the Friday after election day, the Secretary of State will select the target contests. In a general or coordinated election, the Secretary of State will select at least one statewide contest, and for each county at least one other contest. The Secretary of State will select other ballot contests for audit if in any particular election there is no statewide contest. In a primary election, the Secretary of State will select at least one contest of each major political party in each county. The Secretary of State will publish a complete list of all target contests on the Audit Center. The Secretary of State will consider at least the following factors in selecting the target contests:

(1) The closeness of the reported tabulation outcome of the contests;

(2) The geographical scope of the contests;

(3) The number of ballots counted in the contests;

(4) Any cause for concern regarding the accuracy of the reported tabulation outcome of the contests;

(5) Any benefits that may result from auditing certain contests;

(6) The ability of the county clerks to complete the audit before the canvass deadline; and (7) Any recommendations provided by county clerks or the public regarding which contest should be targeted.

(l) Number of ballot cards to audit. The Secretary of State will determine the number of ballot cards to audit to satisfy the risk limit for the target contests based on the ballot manifests submitted by the counties. The number of ballot cards to audit will be determined according to the formulas and protocols published by Mark Lindeman and Philip B. Stark in A Gentle Introduction to Risklimiting Audits, as applied in Philip Stark’s Tools for Comparison Risk-Limiting Election Audits, and Tools for Ballot-Polling Risk- Limiting Election Audits. The publications cited in this Rule are incorporated by reference in the election rules and do not include later amendments or editions of the incorporated material. The following materials incorporated by reference are posted on the Secretary of State website and available for review by the public during regular business hours at the Colorado Secretary of State’s office:

(1) Mark Lindeman and Philip B. Stark, A Gentle Introduction to Risk-limiting Audits, IEEE Security and Privacy, Special Issue on Electronic Voting, (Mar. 16, 2012), at (2) Philip B. Stark, Tools for Comparison Risk-Limiting Election Audits, (Feb. 26, 2017), at (3) Philip B. Stark, Tools for Ballot-Polling Risk-Limiting Election Audits, (Feb. 16, 2017), at (m) Random selection of ballot cards for audit. The Secretary of State will randomly select the individual ballot cards to audit. The Secretary of State will use a pseudo-random number generator with the seed established under subsection (h) of this Rule to identify individual ballot cards as reflected in the county ballot manifests.

The Secretary of State will notify each county of, and publish on the Audit Center, the randomly selected ballot cards that each county must audit no later than 11:59 p.m. MT on the thirteenth day after election day. 25.2.3 Conducting the audit (a) At least two members of different parties of the audit board must locate and retrieve, or observe the location and retrieval by county election staff, of the randomly selected ballot card from the appropriate storage container. The audit board must verify that the seals on the appropriate storage containers are those recorded on the applicable chain-of-custody logs.

(1) In counties conducting comparison audits, the audit board must examine each randomly selected ballot card and report the voter markings or choices in all contests using the RLA Tool or other means specified by the Secretary of State. The audit board may refer to the digital image of the audited ballot card captured by the voting system in order to confirm it retrieved the correct ballot card randomly selected for audit. If the scanned ballot card was duplicated prior to tabulation, the audit board must retrieve, compare, and report the markings on the original ballot card rather than on the duplicated ballot card. The audit board must complete its reports of all ballot cards randomly selected for audit no later than 5:00 p.m. MT one business day before the canvass deadline.

(2) In counties conducting ballot polling audits, the audit board must examine and report the voter markings or choices in only the target contest on each randomly selected ballot card in a form approved by the Secretary of State. The audit board may refer to the digital image of the audited ballot card captured by the voting system in order to confirm it retrieved the correct ballot card. If a randomly selected ballot card was duplicated prior to tabulation, the audit board must retrieve, compare, and report the voter markings in the target contest from the original ballot card rather than the duplicated ballot card. The audit board must complete its reports of all ballot cards randomly selected for audit no later than 5:00 p.m. MT one business day before the canvass deadline.

(b) The audit board must interpret voter markings on ballot cards selected for audit in accordance with the Secretary of State’s Voter Intent Guide. If the audit board members cannot unanimously agree on the voter’s intent, they must indicate that in the appropriate contest in the RLA tool’s audit board user interface, or the ballot polling audit form approved by the Secretary of State.

(c) To the extent applicable, the Secretary of State will compare the audit board’s reports of the audited ballot cards to the corresponding CVRs and post the results of the comparison on the Audit Center. The RLA will continue until the risk limit for the target contests is met or until a full hand count results. If the county audit reports reflect that the risk limit has not been satisfied in a target contest, the Secretary of State will randomly select additional ballots for audit.

(d) The audit board must sign, date, and submit to the Secretary of State a report of the results of the risk-limiting audit on the approved form no later than 5:00 p.m. MT on the business day before the canvass deadline. The report must include any discrepancies found and the corresponding ballot images.

(e) The Secretary of State will review the audit board’s report and may direct the county clerk to conduct additional audit rounds, a random audit, a full hand count, or other action. The Secretary of State may instruct the county to delay canvass until it completes any additional audit or other action. 25.2.4 No later than the third business day following the expiration of the deadline to request a recount under section 1-10.5-106(2), C.R.S. or the completion of any recount, whichever is later, a county that conducted a comparison audit must review its CVR file and redact voter choices corresponding to any ballot card susceptible to being personally identified with an individual voter, as required by section 24-72-205.5(4)(b)(iii), 25.2.5 If a county clerk fails to follow the procedures for a risk limiting audit as outlined in this Rule, the Secretary of State will direct the county clerk on the steps to take to complete a post-election audit. In addition, no later than 90 days before the next election, the county clerk must submit a written RLA remediation plan outlining the procedures the county will follow to ensure compliance with this Rule. 25.2.6 The Secretary of State may, by order, alter any of the requirements outlined in Rule 25.2. 25.3 Removal and replacement of audit board members. The county clerk may remove for cause any member who fails or refuses to perform any of the functions he or she is charged with under these Rules. If the county clerk removes an audit board member for cause, he or she must notify the Secretary of State and consult with the county chairperson of the removed member’s political party to appoint a replacement.

Rule 26. Ranked Voting Method 26.1 A local government may only conduct a ranked voting election if there are three or more candidates who have qualified for the ballot for that contest, or when there is a combination of at least two candidates who have qualified for the ballot for that contest plus at least one qualified write-in candidate. 26.2 A local government conducting a ranked voting contest in an election that is coordinated with the county clerk must give notice to the county clerk no later than 100 days before that election. If any county’s voting system in which the local government is located is not capable of conducting a ranked voting election, then none of the counties in which that local government is located are required to coordinate. 26.3 The designated election official of a jurisdiction that will conduct an election using a ranked voting method must provide voter instructions. 26.3.1 The voter instructions must include, at a minimum:

(a) A brief explanation of ranked voting;

(b) Instructions on how to properly mark a ballot;

(c) A description of how ballots will be counted;

(d) An example of a properly marked paper ballot;

(e) For instructions that will be posted at a polling location, an example of how to properly vote an in-person ballot; and (f) Contact information for the designated election official of the 26.3.2 In a coordinated election, the county clerk must include the instructions in the county’s election plan. 26.4 The designated election official of a jurisdiction conducting a ranked voting election must include instructions on the ballot showing how to properly mark the ballot. For elections in which ranked voting is not the only voting method used, the designated election official must format the ballot in a way that will allow the county to conduct all audits and reporting required by law and rule, including reporting results of ranked voting races by precinct, and may place the ranked voting races on a separate ballot card. 26.5 Tabulation of instant runoff contests 26.5.1 In any ranked voting contest in which only one candidate will be elected to office, the runoff tabulation entity must follow the tabulation procedures described in this Rule. 26.5.2 During the first round of tabulation, the runoff tabulation entity must tabulate the first-choice ranks on each ballot.

(a) A candidate who receives over 50 percent of the first-choice ranks for a contest across all ballots tabulated is the winning candidate and no further rounds of tabulation will take place.

(b) If no candidate receives over 50 percent of the first-choice ranks for a contest across all ballots tabulated, the runoff tabulation entity must continue to the next round of tabulation. 26.5.3 At the beginning of the next round of tabulation, the candidate with the fewest first-choice ranks in the prior round is eliminated. The eliminated candidate’s votes are transferred to each ballot’s next-ranked continuing candidate and tabulated.

(a) If, after receiving the transferred votes, a continuing candidate receives over 50 percent of the votes cast on active ballots, that candidate is the winning candidate and no further rounds will take place.

(b) If no candidate has over 50 percent of the votes cast on active ballots after the second round, then the runoff tabulation entity must repeat additional rounds of tabulation, as described in this Rule, until there is a winning candidate. 26.5.4 At the end of Round one and in any subsequent rounds, if the combined votes of two or more candidates with the lowest vote totals in the current round are less than the number of votes for the continuing candidate with the next-highest number of votes, then the candidates in the lowest-vote group may all be eliminated. 26.5.5 For any instant runoff voting contest, the designated election official certifying content to the county clerk conducting the election with that contest, or their designee, must randomly determine the tie-breaker elimination order for all candidates and include that tie-breaker elimination order as a part of the certification.

(a) The tie-breaker elimination order must consist of a list of all candidates with each candidate assigned a unique ranking.

(b) In any round of tabulation, if there is a tie that needs to be resolved to determine which candidate or candidates will be eliminated, including the round that determines the winner, the runoff tabulation entity must eliminate the candidate or candidates according to the tie -breaker elimination order. 26.6 Tabulation of ranked voting contests using the single transferable vote method 26.6.1 In any ranked voting election where more than one candidate will be elected to an office, the designated election official must follow the tabulation procedures described in this rule. 26.6.2 During the first round of tabulation, the runoff tabulation entity must tabulate the first-choice ranks on each ballot.

(a) If the number of winning candidates is equal to the number of seats to be filled, then no further rounds will take place.

(b) If the number of winning candidates is less than the number of seats to be filled, the designated election official continues to the next round. 26.6.3 During the second round of tabulation, the runoff tabulation entity must calculate each winning candidate’s surplus votes, as described in Rule 26.6.4, and transfer those votes proportionately to any continuing candidate.

(a) After the votes are transferred, if the number of winning candidates is equal to the number of seats to be filled, no further rounds will take place.

(b) After the votes are transferred, if the number of winning candidates is less than the number of seats to be filled, the runoff tabulation entity must eliminate the continuing candidate with the fewest firstchoice votes, surplus votes from winning candidates, and, when applicable, votes transferred from eliminated candidates. The eliminated candidate’s votes must then be transferred to each active ballot’s next-highest-ranked continuing candidate.

(c) After each eliminated candidate’s votes are transferred, if the number of winning candidates is equal to the number of seats to be filled, no further rounds will take place.

(d) After each eliminated candidate’s votes are transferred, if the number of winning candidates is less than the number of seats to be filled, the designated election official must conduct additional rounds of tabulation as described in this rule until all seats are filled. 26.6.4 To calculate a winning candidate’s surplus votes in any round, the runoff tabulation entity must:

(a) Determine which winning candidate received the most votes in any (1) In the first round, this will only include first-choice votes cast for the winning candidate.

(2) In subsequent rounds, this will include first-choice votes cast for the winning candidate, votes transferred from eliminated candidates, and surplus votes from other winning candidates.

(3) If two or more winning candidates tie for the most votes in any round, the designated election official must first count the surplus votes of the candidate chosen by lot.

(b) After determining which winning candidate received the most votes in any round, calculate that candidate’s surplus fraction.

(c) After calculating a winning candidate’s surplus fraction, tabulate the number of votes cast for the next-highest-ranked continuing candidate on every ballot cast for the winning candidate. Then multiply each of those votes cast by the winning candidate’s surplus fraction and add the resulting transfer value to any continuing candidate’s total as described in Rule 26.6.3(b).

(d) In any round with more than one winning candidate, repeat this process for each winning candidate in the order of highest votes received. 26.6.5 In any round, if two or more candidates tie for the lowest number of votes, the runoff tabulation entity must determine the eliminated candidate by lot. 26.6.6 The designated election official need not report election night results under Rule 11.9.4, unless directed by the Secretary of State. 26.7 After determining voter intent in accordance with the Secretary of State’s Voter Intent Guide, the runoff tabulation entity must count improperly marked ballots as follows: 26.7.1 An overvote invalidates the overvoted rankings and all lower rankings marked for that contest on the ballot. 26.7.2 A skipped ranking and any lower ranking must be ignored. 26.7.3 A candidate who receives a duplicate ranking on a single ballot is credited with the highest ranking marked by the voter. All other rankings for that candidate must be ignored. 26.7.4 If a voter marked their ballot in a way that creates more than one type of improper mark as listed in Rules 26.7.1 to 26.7.3, the designated election official must first resolve skipped rankings, followed by duplicate rankings, and lastly resolve any remaining overvotes. 26.8 Consolidating data in multi-jurisdictional ranked voting contests 26.8.1 For ranked voting contests contained in more than one county, at least once on election night and once each day where ballots are being tabulated thereafter, each county clerk must transmit ranking data in an approved format to the runoff tabulation entity using a secure data transfer method provided by the Department of State. 26.8.2 As part of the ranking data transfer process, the county clerk must hash the results file using a SHA-256 algorithm. The generated hash value must be emailed to the runoff tabulation entity. The county clerk must not send the hash value to the runoff tabulation entity using the same data transfer method used to send the ranking data file. 26.8.3 Upon receipt of the ranking data file and associated hash value, the runoff tabulation entity must transfer the ranking data file to a workstation that contains software for conducting the round-by-round stages of tabulation.

(a) The media that the runoff tabulation entity uses to transfer the ranking data file must conform with Rule 20.5.3(c).

(b) The runoff tabulation entity must verify that the hash value of the received ranking data file matches the hash value transmitted by the county clerk on the workstation that contains software for conducting the round-by-round stages of tabulation.

(c) The runoff tabulation entity must only use ranking data files that have been verified by the method in Rule 26.8.3(b) to conduct round-by-round stages of tabulation. 26.9 Reporting results of a ranked voting contest 26.9.1 For a ranked voting contest contained in more than one county, the clerk and recorder of each participating county that is not the runoff tabulation entity may choose to only publicly report first-choice ranks, rather than all ranks. 26.9.2 The runoff tabulation entity must ensure anonymity of a voter’s rankings in the ballot image report required by section 1-7-1003(7)(a)(II), C.R.S. In precincts with ten or fewer voters, the ballot image reports must be combined with another precinct. 26.9.3 For any ranked voting contest, if the state election night reporting website in Rule 11.9 lacks functionality to report the results of a ranked voting contest, the runoff tabulation entity is responsible for posting results to a public website. If the website used to report results is not the election night reporting website in Rule 11.9, the runoff tabulation entity must provide to the Secretary of State the website where results will be posted no later than a week before election day. 26.9.4 The schedule to post results on election night for a ranked voting contest is exempt from the requirements of Rule 11.9. Instead, the runoff tabulation entity must report results at least once on election night and at least once each day when ballots are tabulated thereafter. All counties conducting an instant runoff voting contest that are not the runoff tabulation entity must provide the runoff tabulation entity with an updated ranking data file at least once per day while ballot tabulation is still occurring. 26.10 Auditing a ranked voting contest 26.10.1 Instant runoff contests tabulated in accordance with Rule 26.5 are eligible to be targeted, as described in Rule 25.2.2(j), in the stateadministered risk-limiting audit, if the election that includes instant runoff contests is covered by section 1-7-515(2)(a), C.R.S. 26.10.2 Any jurisdiction that conducts an election that includes a ranked voting contest in a manner other than the instant runoff method in Rule 26.5 must conduct an independent audit of the contest that does not interfere with the state-administered audit before the canvass board certifies official election results, if the election is covered by section 1-7- 515(2)(a), C.R.S.

Editor's Notes

History Rules 25; 26; 30; 38; 45 eff. 03/16/2007.

Rules 25, 26, 30, 38, 45 eff. 05/30/2007.

Rules 2; 10; 11; 12; 14; 32; 43 eff. 07/30/2007.

Rules 2; 5; 6; 8; 10-18; 20; 22; 23; 25; 26; 29; 30; 37; 40-47 eff. 11/30/2007.

Rule 37 emer. rule eff. 12/06/2007.

Rules 2; 5; 7; 12; 26; 37; 38; 40; 43; 44; eff. 01/30/2008.

Rules 2; 11; 12; 13; 15; 43; 45; 48 eff. 06/2/2008.

Rules 2, 8, 12, 13, 20, 26, 27, 29, 30, 44, 48, 49 eff. 09/01/2008.

Rule 2.17 emer. rule eff. 01/30/2009.

Rules 2.17, 49.4 eff. 04/30/2009.

Rules 2.10, 2.18-2.20, 50 eff. 06/30/2009.

Rules 2.7, 2.12, 2.13, 6.5.2(e-f), 11.5.4.1, 12.5, 12.7, 12.9.3, 12.10.1, 13.2, 13.3, 13.8, 13.12, 13.13, 15.1, 25.2.1-25.2.3, 25.3, 26.1.3, 26.5.4, 30.1.6, 42.12.2 emer. rule eff. 08/26/2009; Repealed rules 2.1, 2.3, 2.15. emer. rules eff. 08/26/2009.

Rules 2.7, 2.12, 2.13, 6.5.2(e-f), 11.5.4.1, 12.5, 12.7, 12.9.3, 12.10.1, 13.2, 13.3, 13.8, 13.12, 13.13, 15.1, 25.2.1-25.2.3, 25.3, 26.1.3, 26.5.4, 30.1.6, 42.12.2 eff. 11/01/2009; Rules 2.1, 2.3, 2.15 repealed eff. 11/01/2009.

Rules 2.19, 2.21-2.23, 12, 26.3-26.5, 26.10, 30.1.6, 30.11.3, 40, 44.1-44.3, 51; Rules 26.1.2, 44.5 repealed eff. 01/30/2010.

Rules 2.18, 2.20 eff. 03/30/2010.

Rules 35.2, 37, 45 eff. 04/14/2010.

Rules 2.8, 2.83, 5.4.6, 6.5.2 (a-c, f1), 7.7, 12.1.1.1(b), 12.4.1(a), 12.4.2(a), 12.5.8, 12.9, 12.10.1, 13.8, 13.18, 14.4.4, 14.6.9, 14.7.1, 14.7.3, 25.3.11, 26.4.6, 26.4.9, 27.1.3, 27.1.7, 27.1.8, 27.3.2, 27.4.2, 27.6, 27.7.1, 27.7.4.3, 27.8.2.1, 29.2 emer. rules eff. 06/23/2010.

Rules 2.8, 2.83, 5.4.6, 6.5.2 (a-c), (f)(1), 7.7, 12.1.1.1(b), 12.4.1(a), 12.4.2(a), 12.5.8, 12.9, 12.10.1, 13.8, 13.18, 14.4.4, 14.6.9, 14.7.1, 14.7.3, 25.3.11, 26.4.6, 26.4.9, 27.1.3, 27.1.7, 27.1.8, 27.3.2, 27.4.2, 27.6, 27.7.1, 27.7.4.3, 27.8.2.1, 29.2 eff. 08/14/2010.

Rules 6.5.2(f)(1), 15.2, 15.3, 17.1.8, 17.3.11, 17.3.12 eff. 05/30/2011.

Rules 2.11, 2.12, 2.18.1, 6.2, 12.1.1, 12.4.1(b)(1),, 12.5.5, 12.9, 12.11, 12.12.1, 12.12.2, 13.10, 14.5, 15.1, 15.3.2, 25, 26.5.3, 27.4.2(e)(4), 27.4.2(f)(2), 27.4.3, 27.7.4.3, 29.1.2, 42.11 emer. rules eff. 09/06/2011.

Rules 2.11, 2.12, 2.18.1, 6.2, 12.1.1, 12.4.1(b)(1),, 12.5.5, 12.9, 12.11, 12.12.1, 12.12.2, 13.10, 14.5, 15.1, 15.3.2, 25, 26.5.3, 27.4.2(e)(4), 27.4.2(f)(2), 27.4.3, 27.7.4.3, 29.1.2, 42.11 eff. 10/30/2011.

Rule 8.6 emer. rule eff. 04/02/2012; expired 07/31/2012.

Rules 12.4.1(a)(8), 12.4.2(a)(7), 12.10.4, 43 emer. rules eff. 04/16/2012; Repealed rule 27.8. emer. rule eff. 04/16/2012.

Rule 10.6 emer. rule eff. 05/01/2012.

Rules 12.4.1(a)(8), 12.4.2(a)(7), 12.10.4, 43 eff. 06/14/2012. Rule 27.8 repealed eff. 06/14/2012.

Rules 2.7.5, 2.11, 2.19.1, 8.6-8.8, 8.15, 9.1, 10.6-10.7, 12.4.1(a), 12.4.1(b)(2), 12.4.1(d), 12.4.2(a), 12.11, 13.19-13.20, 26.10-26.13, 29.1.1, 29.1.3-29.1.4, 29.8-29.9, 30.1.6, 32.2, 41, 42.2, 42.6, 42.11.2 emer. rules eff. 08/15/2012. Rules 2.7.4, 26.1.6, 32.1, 32.3-32.5, 42.11.3-42.11.7 emer. rules repealed eff. 08/15/2012.

Rule 10.8 emer. rule eff. 08/20/2012; expired 12/18/2012.

Rules 2.7.5, 2.11, 2.19.1, 8.6-8.8, 8.15, 9.1, 10.6-10.7, 12.4.1(a), 12.4.1(b)(2), 12.4.1(d), 12.4.2(a), 12.11, 13.19-13.20, 26.10-26.13, 29.1.1, 29.1.3-29.1.4, 29.8-29.9, 30.1.6, 32.2, 41, 42.2, 42.6, 42.11.2 eff. 09/30/2012. Rules 2.7.4, 26.1.6, 32.1, 32.3-32.5, 42.11.3-42.11.7 repealed eff. 09/30/2012.

Rules 26.3.4, 26.5.3, 26.5.4, 26.8 emer. rules eff. 10/16/2012; expired 02/13/2013.

Rules 49.4, 50 emer. rules repealed eff. 05/13/2013; expired 09/10/2013.

Rules 10.8, 10.9 eff. 06/14/2013.

Rule 32.6 emer. rule eff. 07/22/2013.

Rule 32.7 emer. rule eff. 08/16/2013.

Rules 32.7(d)(2)-32.7(d)(3), 32.7.4(f) emer. rule eff. 08/23/2013.

Rules 32.7.3(d), 32.7.4(a), 32.7.4(d)-(f) emer. rules repealed eff. 08/29/2013.

Rule 40 eff. 08/30/2013.

Rule 12.15 emer. rule eff. 10/04/2013.

Entire rule emer. rule eff. 10/09/2013.

Rule 10.7.5 emer. rule eff. 11/05/2013.

Entire rule eff. 12/30/2013.

Rule 7.13 emer. rule eff. 06/24/2014.

Rules 1, 2, 4.8.3(a), 4.8.4(a)-(b), 5, 6.4, 6.5, 7, 8.6.1, 8.6.8-8.6.10, 9, 10, 11.3.2, 11.4, 11.10, 12, 13, 14.4.6, 15, 16.1, 16.2.1, 16.2.6, 18.3.2(d)(6), 20, 21 emer. rules eff. 09/10/2014.

Rules 1, 2, 4.8.3(a), 4.8.4(a)-(b), 5, 6.4, 6.5, 7, 8.6.1, 8.6.8-8.6.10, 9, 10, 11.3.2, 11.4, 11.10, 12, 13, 14.4.6, 15, 16.1, 16.2.1, 16.2.6, 18.3.2(d)(6), 20, 21 eff. 10/30/2014.

Rules 1.1.46(a), 2.3-2.5.1, 2.7.1, 2.10, 2.12, 2.13.1, 4.3.3, 6.4, 7.2.5-7.2.7, 7.5.1, 7.5.5, 7.7, 7.9.3, 7.11, 11.1.3, 16.1.5-16.1.8, 16.2.1(c), 16.2.3, 16.2.8, 20.4.1, 20.4.3(a), 20.9.1(c), 23 eff. 09/30/2015. Rules 4.1.3, 6.5, 7.2.3(c) repealed eff. 09/30/2015.

Rules 2.10.2, 2.14.5, 4.1.3, 4.8.6, 6.1.1-6.1.5, 6.2-6.8, 7.1.2-7.1.4, 7.2.6, 7.2.8, 7.2.9, 7.5.1(c)-(d), 7.8.1-7.8.13, 7.9.1(d), 7.9.5, 7.11-7.15, 8.1-8.18, 10.5.2, 10.8.3, 10.12.1, 10.12.6, 11.2.3, 11.3.2, 11.9.1-11.9.8, 11.10.1(i), 11.10.2-11.10.5, 20.3.1, 20.6, 21.4.2, 21.4.5(f), 21.4.7(d)-(f), 21.4.10(g), 21.4.11, 21.4.12(b)(1), 21.4.12(c)(7), 21.4.12(d)(3), 21.4.13(l)-(q), 21.4.14-21.4.16, 21.5.2(e)(2) eff. 03/30/2016.

Rules 1.1.8-1.1.49, 2.3, 2.10, 2.11.1, 2.12.1, 2.14.1, 3.3.3, 6.9, 7.5.1, 8.1.5, 8.7.4, 9.2, 10.5.2(b), 10.11.2(a), 10.11.3, 10.12.4(d), 10.12.7, 10.13.1(a), 11.3.2(d)(4)(B)(iv), 11.3.3, 11.10, 11.10.1, 11.10.3, 14.2.2-14.2.5, 14.3.3, 14.4.5-14.4.7, 18, 21.4.12(d)(5), 21.4.14(c)(3), 21.4.14(d)-(f), 21.4.15(d), 21.5.2(e) eff. 09/30/2016.

Rules 2.3.4, 2.10.2 repealed eff. 09/30/2016.

Rule 24 emer. rule eff. 12/19/2016; expired 04/18/2017.

Rules 1.1.10-1.1.51, 2.3.1, 2.5.4, 2.12.1, 2.13, 2.14.4-2.14.6, 2.15.1, 2.17, 4.8.3(a), 7.2.5-7.2.12, 7.5.5-7.5.14, 7.6.1, 7.7, 7.7.3, 7.8.2, 7.9.1-7.9.10, 7.16, 7.17, 8.1.5, 8.7.4, 8.15, 8.15.8-8.15.11, 10.3.2(b), 10.4, 10.5-10.14, 11.3, 11.10.1(b)(2), 11.10.3, 13.2.9(a), 14.1.1(a), 14.3.4, 16.1.6, 18.5.3, 20.13.1(c)(8), 20.16.3(a), 20.17.3, 21.4.5(e), 21.4.14(a), 21.4.14.(c)(8), 24, 25 eff. 09/30/2017. Rules 4.5.2(d), 13.1.7 repealed eff. 09/30/2017.

Rule 2.16.3 emer. rule eff. 10/20/2017.

Rule 7.16 emer. rule repealed eff. 11/01/2017.

Rules 2.5.3, 2.10, 2.14.4, 2.16.3, 3.4.1, 4.5.2(e)(3), 7.2.10-7.2.17, 7.5.1, 7.16, 10.4, 11.3.2(c)-(d), 15.1.1-15.1.4, 15.5, 15.7, 15.8, 16.1.6, 16.1.7, 16.2.3, 16.2.4, 25.2.2(g), 25.2.4, 25.2.5 eff. 01/30/2018.

Rule 7.7.5 emer. rule eff. 04/25/2018.

Rules 7.2.12, 7.2.16, 7.5.4, 10.4, 10.9.2-10.9.6, 10.12, 10.13.3(a), 20.9.3, 25.1, 25.2 eff. 05/15/2018.

Rule 2.18 emer. rule eff. 05/16/2018.

Rules 2.3.2(a)(4), 2.19, 7.17 emer. rules eff. 07/31/2018.

Rules 1.1.4, 1.1.6, 1.1.7, 1.1.25, 1.1.43, 2.1, 2.1.6, 2.2, 2.8, 2.9, 2.17.2, 2.20, 4.7.1, 4.8.3, 7.1.1, 7.2.11, 7.4, 7.5.5, 7.5.8, 7.5.13, 7.7.5, 7.11.3, 8.7.4, 10.6.2, 10.13.3, 11.2.3, 11.3.1(a), 11.3.2(c)(1), 11.3.2(d) 11.3.2(e), 11.4, 11.6, 11.7.1, 11.7.3, 11.8.3, 11.8.4-11.8.8, 11.9.1, 11.9.1(b), 11.10, 14.1.2, 14.5.5, 19.2, 19.3.4, 19.4.2, 19.5.1, 19.6, 20.2.2, 20.3-20.4.5, 20.5.2, 20.5.3, 20.6-20.16, 20.18.5, 20.19.3, 21.3.6, 21.4.4, 21.4.5, 21.4.7(e), 21.4.9, 21.4.10(d)(3), 21.4.11-21.4.14, 21.5, 21.6, 21.10.12, 25.2.2, 26 emer. rules eff. 08/22/2018. Rules 7.2.7, 7.3, 20.20, 21.4.11, 21.4.12 emer. rules repealed eff. 08/22/2018.

Rules 1.1.4, 1.1.6, 1.1.7, 1.1.25, 1.1.43, 2.1, 2.1.6, 2.2, 2.3.2(a)(4), 2.8, 2.9, 2.17.2, 2.19, 2.20, 4.7.1, 4.8.3, 7.1.1, 7.2.11, 7.4, 7.5.5, 7.5.8, 7.5.13, 7.7.5, 7.11.3, 8.7.4, 10.6.2, 10.13.3, 11.2.3, 11.3.1(a), 11.3.2(c)(1), 11.3.2(d) 11.3.2(e), 11.4, 11.6, 11.7.1, 11.7.3, 11.8.3, 11.8.4-11.8.8, 11.9.1, 11.9.1(b), 11.10, 14.1.2, 14.5.5, 19.2, 19.3.4, 19.4.2, 19.5.1, 19.6, 20.2.2, 20.3-20.4.5, 20.5.2, 20.5.3, 20.6-20.16, 20.18.5, 20.19.3, 21.3.6, 21.4.4, 21.4.5, 21.4.7(e), 21.4.9, 21.4.10(d)(3), 21.4.11-21.4.14, 21.5, 21.6, 21.10.12, 25.2.2, 26 eff. 10/15/2018.

Rules 7.2.7, 7.3, 20.20, 21.4.11, 21.4.12 repealed eff. 10/15/2018.

Rules 2.10.1, 17.2.10 emer. rules eff. 07/01/2019.

Rules 1.1.26, 1.1.41, 2.10.1, 2.17.2(b)(1), 2.19, 4.1.3, 4.5.2(f), 4.8.4, 4.8.5, 5.3, 6.1.2, 6.4, 7.1, 7.2.7, 7.2.9, 7.2.14, 7.4-7.7, 7.9.1, 7.9.7-7.9.10, 7.10, 7.12, 8.7.4, 9.1.4, 9.2, 10.1.4, 10.5.1, 10.6.2, 11.2, 11.3.2, 11.4, 11.8.4(g), 11.9.1(d), 11.9.2-11.9.6, 14.4.1, 15.1.1(d), 15.1.4(d)(14), 15.1.4(e)(5), 15.2, 15.7, 17.1.2, 17.2.9, 17.2.10, 20.1-20.11, 20.17.1, 20.17.3(a)(3), 21.1-21.4, 21.5.1(c), 22.4, 26.4.2 emer. rules eff. 08/23/2019. Rules 1.1.42, 7.1.4, 7.9.7, 7.12.3, 20.5.1(b) emer. rules repealed eff. 08/23/2019.

Rules 1.1.26, 1.1.41, 2.10.1, 2.17.2(b)(1), 2.19, 4.1.3, 4.5.2(f), 4.8.4, 4.8.5, 5.3, 6.1.2, 6.4, 7.1, 7.2.7, 7.2.9, 7.2.14, 7.4-7.7, 7.9.1, 7.9.7-7.9.10, 7.10, 7.12, 8.7.4, 9.1.4, 9.2, 10.1.4, 10.5.1, 10.6.2, 11.2, 11.3.2, 11.4, 11.8.4(g), 11.9.1(d), 11.9.2-11.9.6, 14.4.1, 15.1.1(d), 15.1.4(d)(14), 15.1.4(e)(5), 15.2, 15.7, 17.1.2, 17.2.9, 17.2.10, 20.1-20.11, 20.17.1, 20.17.3(a)(3), 21.1-21.4, 21.5.1(c), 22.4, 26.4.2 eff. 10/15/2019. Rules 1.1.42, 7.1.4, 7.9.7, 7.12.3, 20.5.1(b) repealed eff. 10/15/2019.

Rules 7.2.3, 7.2.17, 7.9.11, 7.17, 11.3.2(e), 25.2.2 emer. rules eff. 02/03/2020.

Rules 1.1.17, 7.2.3, 7.2.17, 7.5.1, 7.9.11, 7.17, 8.7.4, 11.3.2(e), 21.1.1(c), 25.2.2, 27 emer. rules eff. 05/08/2020. Rule 7.2.17 expired 09/05/2020.

Rule 27.4.3 emer. rule eff. 05/28/2020.

Rule 15.9 emer. rule eff. 05/30/2020.

Rule 15.9 emer. rule eff. 07/15/2020; expired 11/12/2020.

Rules 1.1.17, 6.4.1, 7.2.3, 7.5.1, 7.9.11, 7.17, 8.7.4, 11.2(e), 17.1.2, 17.1.4, 21.1.1(c), 25.2.2 eff. 08/30/2020.Rules 25.2.7, 27 emer. rules eff. 09/04/2020; expired 01/02/2021.

Rules 20.5.4, 21.7.3, 21.7.4 emer. rules eff. 06/17/2021.

Rules 1.1.34, 2.12.1, 2.12.3, 2.13.2, 2.13.3, 2.15.7, 2.18, 2.19, 6.1.3, 6.8, 7.1.1, 7.2.6, 7.2.7, 7.2.9, 7.2.14, 7.2.17, 7.3.2-7.3.4, 7.4.10, 7.4.15, 7.4.16, 7.5, 7.6, 7.7, 7.8, 7.11, 8.6.1(b), 8.7.4, 8.10.2(a)(4), 8.14, 8.15, 9.1.1, 9.2, 10.1.5, 10.2.5, 10.3, 10.5.1, 10.6.3, 10.8.2, 11.3.2(d)(2), 11.3.2(d)(4)(A)(i), 11.8.3, 11.9.1(b)(3), 11.10.1, 15.1, 15.1.1(d), 15.1.2, 15.1.3(c), 15.1.4(d)-(e), 15.2, 15.3.2, 15.4, 16.2.2, 16.2.3, 16.2.6, 16.2.7(b), 18.4.1, 20.3.3, 20.4, 20.5, 20.5.4, 20.7, 20.9.4, 20.11, 20.13, 20.14.2, 20.15, 20.19.4, 21.3.5, 21.4.1, 21.4.5(f), 21.4.11(g), 21.5.1, 21.7.3, 21.7.4, 21.7.5, 21.7.6, 21.10.1, 21.10.2, 21.10.12, 23.1.3, 24.3.3, 25.1.7, 25.2.2(d)-(i),(l), 25.2.3(a) eff. 10/15/2021. Rules 1.1.19, 1.1.25(b), 1.1.48, 2.13.5, 7.3.2-7.3.5, 7.4, 7.9.1(d), 8.13, 9.2.2, 10.3.3, 10.5.1(g)-(h), 10.12.3, 10.13.4, 10.13.6, 11.3.2(d)(4)(B), 11.8.2, 11.9.1(b)(4), 15.1.1(d), 15.1.4(d)(5), 15.3.3, 15.6, 20.4.1(a), 20.4.2, 20.4.3, 20.10.4(c), 20.11.2, 20.13, 20.14.2(d), 20.15.1(c)(3), 20.19.4(a),(c), 20.19.5, 20.20, 20.21, 21.5.1(b)(4), (b)(6)(A)-(C), (b)(13), (b)(16), 25.2.2(d)(2), 25.3 repealed eff. 10/15/2021.

Rules 20.4.1, 20.5.3, 20.5.4, 20.6.1-20.6.4, 20.7, 20.8.1(c), 20.10.5, 20.15.3, 20.15.4, 20.20-20.20.5 emer. rules eff. 02/10/2022; expired 06/10/2022.

Rules 20.4.1, 20.5.3, 20.5.4, 20.6.1-20.6.3, 20.7, 20.8.1(c), 20.10.5, 20.15.3, 20.15.4, 20.20-20.20.5 emer. rules eff. 06/10/2022.

Rules 1, 2.15.5-2.18, 3.1, 4.1.2, 4.8.8, 4.8.9, 6.9, 7.2.14, 7.4.1, 7.4.8-7.4.15, 7.8.12, 7.10.3, 7.16, 8.1.5, 8.1.6, 8.4.4, 8.7.4, 8.8, 8.8.4, 8.10.2, 8.14-8.15, 9.2.1, 11.1.1- 11.4.3, 11.7.3(b), 15.1.4(e)(8), 20, 21.11, 26 eff. 08/30/2022.

Rules 10.5.1, 11.3.2(c), 11.3.2(d)(4), 11.10.2, 21.11.4(b), 26.5.2-26.5.5, 26.8, 26.9, Rules 26.9.1-26.9.6 repealed eff. 05/30/2023.

Rules 6.2.2, 6.8, 7.4.11, 7.4.12 repealed, 7.7.3, 7.7.8, 8.8, 8.10.2(d), 18.4.1, 20.4.2(e), 20.11.1(f) emer. rules eff. 09/22/2023.

Rules 1.1.4, 1.1.5, 1.1.42, 1.1.62(c), 1.1.63, 2.1.2, 2.5.3, 2.5.5, 2.9, 2.13, 2.14, 2.15, 4.1.2(c), 4.5.1(b), 6.1.1-6.1.6, 6.2.2, 6.7, 6.8, 7.2.4, 7.2.10-7.2.16, 7.4.1(e), 7.4.5, 7.4.10, 7.4.13, 7.5.1, 7.7.1, 7.7.3, 7.7.8, 7.7.10, 7.8.1, 7.8.2, 7.8.3, 7.9.3, 7.17, 8.1, 8.8, 8.10.2, 9.1.4, 10.3.2, 10.6.3, 10.8.1, 10.9.2, 10.9.3, 10.10.2(b), 10.14, 11.2.3, 11.6, 11.7, 11.7.1, 11.8.2(f), 11.9.2, 11.9.4, 13.1.3(a), 13.1.3(a)(2), 13.2.10, 15.1.2, 15.1.4(c)-(e), 15.2.1, 15.2.2, 15.2.5, 15.2.6, 15.3.2, 15.4.1, 15.5.1(b), 15.6.1, 15.7.4, 16.1, 16.1.6, 16.2.5, 17.5, 18.3, 18.3.2, 18.4.1, 18.4.6, 18.5.2, 18.5.3(c), 19.1.3, 19.3.4, 20.2.2, 20.4.2(a)-(b), 20.4.2(e), 20.4.3, 20.5.2(c)(3), 20.5.4, 20.6, 20.6.2(a)(1)-(2), 20.9.2(a)(4), 20.11.1(f), 21.1.3, 21.1.4, 21.2.2, 21.2.3(e), 21.3.1, 21.4.9(a)(4), 21.5.1(b)(9), 21.10, 21.11.1(a), 21.11.6(a), 25.2.2(j)(5)-(7) eff. 11/14/2023. Rules 1.1.64, 2.8, 2.10, 2.12.3, 2.16, 3.8, 3.9, 5.3, 7.2.6, 7.2.11, 7.4.6, 7.4.11, 7.4.12, 10.5.3, 10.9.6, 10.12.2, 10.13.1, 18.3, 18.3.1, 21.10.2, 21.10.9, 21.10.10, 21.10.12 repealed eff. 11/14/2023.

Rule 7.2.17 emer. rule eff. 01/10/2024.

Rule 7.2.17 emer. rule eff. 05/09/2024.

Rules 7.2.17, 7.2.18, 7.14-7.14.6(c) eff. 07/01/2024.

Rules 2.13.8, 6.1.7, 6.7, 7.4.1(f)-(g), 7.16.4, 8.9-8.9.2, 11.3.2(c)(1)(B), 17.1.4, 17.2.9 AOK, 20.8.1, 20.8.1(c), 20.11.1(f) emer. rules eff. 09/09/2024.

Rules 1.1.46, 1.1.67, 2.13.7, 2.13.8, 3.3, 3.4, 3.4.3, 4.8.4(a)(2), 6.1.1, 6.1.7, 6.7, 7.4.1, 7.4.1(f)-(g), 7.4.12, 7.4.13, 7.7.10, 7.7.14, 7.16.3, 7.16.4, 7.17, 7.17.3(a), 8.9- 8.9.2, 8.10.2, 10.11, 11.2.4, 11.3.2(c)(1), 11.3.2(e)(3), 11.8.8-11.8.10, 15.1.1(a)- (b), 15.1.2(c), 15.2.1(d), 15.2.2, 15.2.4, 15.2.5, 15.3.1, 15.3.2(c), 17.1.4, 17.2.3(a), 17.2.9 AOK, 19.7.1-19.7.4, 20.1.2, 20.2.4, 20.4.2, 20.4.3(a)-(b), 20.4.4(a)(1), 20.4.5, 20.5.2(a)(1), 20.5.3(b)(1)(A)-(B), 20.5.3(c)(6), 20.6.2(a)(3), 20.6.3(b)(1), 20.8.1(c), 20.10.1(c), 20.10.3, 20.11.1(f)-(g), 20.12.2(a)(1),(3), 21.3.6, 21.4.5(g), 21.5.2(n), 21.11.3(c)-(d), 25.2, 25.2.2(b)-(c), 25.2.2(g)-(h), 26.5.4, 26.7.4 eff. 10/30/2024.

Rule 20.5.2(c)(12) emer. rule eff. 10/31/2024; expired 02/28/2025.

Rules 13.2.10, 14.5.5 eff. 01/01/2025. Rule 14.5.6 repealed eff. 01/01/2025.

Rules 1.1.42, 1.1.48, 2.10, 6.1.8, 7.24, 7.3.1, 7.7.8, 7.7.14, 7.8.5, 7.8.12, 7.9.4, 7.15, 7.16.4, 10.2.2, 10.3.2, 10.6.1, 10.6.3, 10.11, 10.12, 11.2.1-2, 11.3.1, 15.1.1, 15.2.1-3, 15.4.3, 16.1.3, 16.1.6-7, 16.2.2, 16.2.6, 18.3.3, 18.4.2, 20.1.2, 20.4.2, 20.4.4-5, 20.5.1, 20.12.2, 21.1.1, 21.3.1-2, 21.3.7, 21.4.1-2 21.4.-5, 21.4.10, 21.4.12, 21.5.3, 21.11.4 eff. 02/14/2026.

Rules 1.1.47, 7.4.1, 10.3.2, 10.5.1, 10.6.1-2, 10.9.6, 11.3.2-3, 20.4.2-4, 20.6.3, 20.10.3, 21.12, 25.2.2, 26.2, 26.5-6, 26.8-10 eff. 03/02/2026.

Annotations

Rule 43.4.4 (adopted 04/16/2012) was not extended by Senate Bill 13-079 and therefore expired 05/15/2013.

Rule 6.4.1, the first paragraph of rule 6.5, rule 6.5(a), and rule 7.2.6 (adopted 09/10/2014) were not extended by Senate Bill 15-100 and therefore expired 05/15/2015.

8 CCR 1505-2 Bingo and Raffles Games {#sec-8-ccr-1505-2 omnilex-key=us-co-regs-official--department-20--8 CCR 1505-2}

Department of State RULES CONCERNING BINGO AND RAFFLE GAMES 8 CCR 1505-2 [Editor’s Notes follow the text of the rules at the end of this CCR Document.]

Rule 1. Definitions 1.1 “Bingo” means the two types of bingo authorized in section 24-21-602(1), C.R.S., unless either specifically indicated or the context requires otherwise in these rules. 1.2 “Bucket raffle” means an event where a licensee conducts many small raffles at the same time. Ticket purchasers may deposit one or more of the purchased tickets into various receptacles from which a winner or winners will be drawn for a prize or prizes. 1.3 “Call fulfillment center” means a registered company that employs telephone operators to answer calls and provide data-entry services. 1.4 “Concealed face card” means a non-reusable bingo card containing five rows of five squares with a free center space, one number preprinted on each of the remaining 24 spaces, and the letters “B I N G O” printed in order over the five columns. No part of the card’s face is detectable or discernible until the card is purchased and opened by the player. 1.5 “Double action game” means a bingo game that uses a bingo card containing the letters “B I N G O” placed horizontally over a five-by-five matrix of squares with the center square blank, where each of the other squares contains two numbers in the range of one to 75. 1.6 “Face” means a bingo card. 1.7 “Flare” means a piece of heavy paper stock or other material accompanying a pull tab deal that shows at minimum the following about the matching deal: 1.7.1 The name and form number of the game; 1.7.2 The manufacturer name or logo; 1.7.3 The number of tickets in the deal and the cost per play; and 1.7.4 The prize structure, including the number of winning tickets by denomination and their respective winning symbol combinations. 1.8 “House rules” means the licensee’s rules governing the conduct of games, consistent with the Colorado constitution, the Bingo and Raffles Law, and these rules. 1.9 “Licensed premises” means the premises owned, leased by, or controlled by a licensee and used for games of chance, and that are not leased to other licensees for the conduct of games of chance. 1.10 “Master board” means the rack in which a bingo ball is placed after it is taken from the receptacle. If a master board is electronically connected to a lighted display board with an electronic random number generator that calls numbers, then the lighted display board is the master board. 1.11 “Pack” means a collation of disposable paper bingo cards, including strip bingo cards, or sheets. 1.12 “Pre-draw concealed face game” means a bingo game in which a designated number of balls, objects, or numbers are drawn or randomly generated in the presence of at least ten players before the purchase of the cards. Players purchase concealed face cards after the designated number of balls, objects, or numbers is drawn or randomly generated. The licensee announces the resumption of the game and continues to draw balls or generate numbers until a player signals a bingo. 1.13 “Progressive pull tab” means a game consisting of one or more seal pull tab deals with identical form numbers that offers a cumulative or carryover jackpot prize. The prize structure for a progressive pull tab game is predetermined by the game’s manufacturer. The structure includes a cumulative jackpot prize, to which each deal of the game in which the jackpot prize is not won contributes a predesignated amount. 1.14 “Progressive jackpot (“Progressive”) bingo game” means a bingo game of the specific type authorized by section 24-21-602(1)(b), C.R.S., in which a prize amount is carried over to the subsequent game in the progression if no bingo is achieved within a specified number of balls drawn and called. Progressive bingo games cannot be played with strip bingo cards. 1.15 “Remuneration” means a payment given to a member of an organization in return for that member’s participation in the operation of charitable gaming. 1.15.1 “ Remuneration” includes, but is not limited to:

(a) Cash;

(b) Reduced-price or free packs;

(c) Reduced dues based on the number of volunteer hours that the member works in the operation of charitable gaming;

(d) Meal vouchers;

(e) Reimbursement of travel expenses when other members who do not participate in the operation of charitable gaming are not reimbursed for travel;

(f) Non-competitive scholarships where the selection of the scholarship recipient is based on the amount of time volunteered in charitable gaming operations, whether by the recipient or a member of the organization related to the recipient; or (g) Tips received from a player as a result of the member’s participation in charitable gaming operations. 1.15.2 “ Remuneration” does not include food offered to volunteers in accordance with section 24-21-617(6), C.R.S., when the retail value of the food does not exceed $10.00 per volunteer-duty shift. 1.16 “Renewal application” means an application for bingo-raffle license renewal filed by a currently licensed, qualified organization. 1.17 “Seal pull tab” means a pull tab game that offers one or more prizes by means of a flare or a jackpot card that is part of a pull tab deal. The flare or jackpot card includes a section bearing a tab or tabs that must be torn or broken apart to reveal a winning combination or combinations. 1.18 “Strip bingo card” means a paper strip of up to five connected paper bingo cards with each card matching the requirements in section 24-21-602(40.5), C.R.S. 1.19 "Stub" means the portion of a raffle ticket kept by the licensee. 1.20 “Ticket” means a slip of paper or any other object that is discrete from every other object sold, which shows that the person to whom it is issued, or the current holder, is entitled to some right or privilege as indicated by the licensee.

Rule 2. Bingo-Raffle Licensees 2.1 Application 2.1.1 Initial application (a) An applicant seeking a bingo-raffle license must submit a complete application, using the form prescribed by the Secretary of State, in addition to the following:

(1) The application fee;

(2) A list of all members of the organization, and all members of auxiliary and affiliate organizations who will participate in the operation of games of chance. If the organization has a large number of members, the applicant may submit a copy of the entire membership;

(3) The names, addresses, and titles of all officers and directors of the organization; and (4) Proof that the organization has functioned for at least five years immediately preceding the application date and that the organization has had members throughout this period.

Proof of existence consists of:

(i) Articles of incorporation dated more than five years from the date of application, stating that the organization has members; and (ii) Copies of at least one bank statement per year for the five-year period; or (iii) Copies of minutes from at least one general membership meeting per year for the five-year period.

(b) The organization must qualify as one of the following types of organizations: religious, charitable, labor, fraternal, educational, volunteer fire, or veterans. The Secretary of State may require submission of supporting documentation.

(c) The 45 day period for approval or rejection of the application will start upon notification that the Secretary of State received the required information outlined in Rule 2.1.1(a). 2.1.2 Renewal application. To renew a bingo-raffle license, a licensee must submit a complete renewal application, using the form prescribed by the Secretary of State, in addition to the following:

(a) The items listed in Rule 2.1.1(a)(1)-(3); and (b) If the organization changed names in the last year, evidence of the name change. For entities organized under Colorado law, articles of amendment, articles of merger, or other documentation of changes filed with the Secretary of State qualify as evidence of the name change. 2.1.3 Board-only organizations without members. An organization that does not have members but is managed by a board of directors or trustees may apply for a bingo-raffle license but only in the name of the board of directors. Only board members may participate in the operation of charitable gaming. 2.2 A licensee may, as a membership condition or qualification, require all of its active members to assist with its charitable gaming operations. Members are considered bona fide volunteer workers when operating or assisting with the licensee’s bingo-raffle activities if: 2.2.1 The licensee does not provide any remuneration, including but not limited to, any fee, expense, travel, tuition, or other credit that is based on the amount of service or assistance rendered or time spent by a member in the course of operating any licensed bingo-raffle activity; and 2.2.2 The licensee does not offer or give to any member an option to pay money or donate anything of value to the licensee nor offer or give a reduction in any member’s benefits, privileges, or powers as an alternative to assistance with bingo-raffle activities. 2.3 Games managers 2.3.1 A licensee may not conduct any bingo, raffle, or other game of chance unless one of its designated games managers holds a current, valid games manager certificate issued by the Secretary of State.

(a) The Secretary of State may issue a games manager certificate to any individual who has successfully completed a games manager training program and passed a test.

(b) The Secretary of State may issue games manager certificates that are valid for the management of all licensed bingo-raffle activities or may issue a limited certificate valid only for licensed raffles.

(c) Each games manager must execute a games manager’s oath on a form prescribed by the Secretary of State.

(d) A games manager certificate is valid for a period of four years from the date of issuance. 2.3.2 The designated games manager must be continuously present during and for at least 30 minutes after a raffle drawing, a bingo occasion, or a bingo occasion-related pull tab game. 2.4 Materials and notices that a licensee must post 2.4.1 Constitution, statutes and rules. Each licensee must keep a current copy of the bingo-raffle constitutional provisions, the Bingo and Raffles Law, and rules at the location and during the time that an activity is held. The licensee must show the law and rules to any person on demand.

(a) Before the start of the first bingo game, the licensee must inform the players in attendance, by posting or announcement, that the players may obtain copies of the Bingo and Raffles Law and rules from the Secretary of State’s office. The notice must include the Secretary of State’s address, phone number, and email address.

(b) The licensee must post a sign stating that the games manager has a copy of the Bingo and Raffles Law and rules available for inspection. The licensee must use at least 12-point font and post the sign in a conspicuous location.

(c) The licensee must post any material as may be required by the Secretary of State from time to time. 2.4.2 License. A licensee must post a copy of the license for all players to see until the conclusion of the occasion. 2.4.3 Occasion rules. Each licensee must post a sign, in a conspicuous location and in at least 12-point font, that includes the following information:

(a) All house rules in effect during that occasion;

(b) That the games manager is the final authority in the event of a dispute; and (c) The procedure for determining refunds and the amount of the refund in the event of a power failure. 2.4.4 Prize information (a) At the beginning of each occasion, the licensee must post the number and amount of cash prizes and how the prizes may be won, including the cost to players. The licensee must use at least 12-point font and post the information in a conspicuous location.

(b) The licensee must either display the available merchandise prizes or post a list and complete description of the prizes and how the prizes may be won, including the cost to players. If the licensee designates an alternative cash prize in the case of multiple bingo winners, the licensee must post details about the alternative prize in accordance with Rule 2.4.4(a).

(c) If the licensee offers prize payouts on the basis of number of players or gross amount of sales, the licensee must conspicuously post a statement to that effect. 2.4.5 Notice of cancellation of the bingo occasion. A licensee may only cancel a previously scheduled occasion by posting a notice of cancellation at the location of the scheduled game at least one hour before the scheduled beginning of the occasion. The licensee must use at least 12-point font and post the notice in a conspicuous location.

(a) For occasions played at commercial bingo facilities, the scheduled beginning of the occasion is the occasion start time stated in the rental agreement.

(b) For occasions played at facilities owned by the licensee or used without charge, the start time is the time the licensee normally admits players into the facility. 2.5 A licensee may presell tickets in accordance with section 24-21-617(16), C.R.S., as follows: 2.5.1 Preselling is limited to the non-electronic sale, not more than fourteen days in advance of a bingo gaming event, of a ticket evidencing a person’s right to enter the event; and 2.5.2 A licensee may not presell or authorize reserving a:

(a) “Card,” as defined in section 24-21-602(7), C.R.S.;

(b) “Pull tab,” as used in section 24-21-602(36), C.R.S.;

(c) “Strip bingo card,” as defined in Rule 1.18; or (d) Specific seat.

Rule 3. Bingo Games 3.1 General conduct of bingo games 3.1.1 Bingo game. A bingo game starts when the first numbered object, ball or number is selected at random or randomly generated by machine, and called. The game continues until all the objects or balls have been returned to the receptacle or the machine has been cleared. A game may have two or more parts with different winning patterns for each part, if the total amount of prizes offered or given for all parts of one game does not exceed, in amount or value, the maximum prize that may be offered or given in a single game of bingo. 3.1.2 Authorized equipment and cards. A licensee must keep authorized equipment and cards, including all bingo-related items, in good repair and sound working condition. The Secretary of State may order, in writing, the immediate repair or replacement of any equipment, cards, or related items if they are found to be defective.

(a) A licensee may not use balls with creases, holes or other damage during a bingo game.

(b) Balls used during bingo games must be in the master board before each occasion, and at least one player must verify that all balls are present immediately before the first game of the occasion.

Licensees that use electronic random number generators must ensure that all numbers on the lighted board can be illuminated.

(c) Once a ball is removed from the receptacle, it may not be returned until the conclusion of that game.

(d) A licensee must select balls one at a time. 3.1.3 Call and display of balls. A caller must draw a ball from the receptacle and immediately display the letter and number on the ball to the players. The caller must loudly and clearly announce the letter and number on the ball so that all players can hear. The caller must make the announcement twice before drawing the next ball. The ball is not official until it has been properly called.

(a) If more than one room is used, the receptacle and the caller must be in the room with the greatest number of players.

(b) The caller may use a camera and monitor to display the letter and number. If the caller uses a monitor, the licensee must post a sign by each monitor that reads: "Ball on TV is not official until called." 3.1.4 Master board. The master board is the only official scorer unless the licensee is using a random number generator, in which case a lighted display board may serve as the official scorer.

(a) If a lighted display is used, the letter and number of the called ball must be lit immediately after the ball is called.

(b) If the caller discovers that the wrong letter or number was called, the caller must announce: "I am reading the correct number, please correct your card or sheet." The caller must then correct the master board and the lighted display, if applicable, before continuing with the game. 3.1.5 Closing a bingo game. Each bingo game must close in accordance with the following procedure:

(a) The licensee must stop the game after "Bingo" is signaled by a player or a worker. A player is responsible for ensuring that a signaled "Bingo" is acknowledged by a floor worker, the bingo caller, or both.

(b) The caller may not call the next ball removed from the machine or otherwise selected until the signaled bingo is verified or invalidated.

If a bingo has been signaled and a worker acknowledges the player but the caller was unaware and continues to call the next ball, the effect of the preceding ball is suspended pending the verification or invalidation of the last bingo. If the signaled bingo is verified, the caller must return the ball to the machine unless the verified bingo is part of a multi-part or continuing game.

(c) The last number called does not need to be part of the signaled bingo, unless the licensee has conspicuously posted a bingo occasion rule with this requirement.

(d) When a player or worker signals “Bingo”, a worker on the floor must place the card, sheet, or electronic bingo aid device in front of at least one other player at a different table to confirm the bingo.

(e) The worker must call the numbers of the winning combination to the caller or, in the case of a coverall or blackout bingo, the caller may announce the numbers that have not been called, unless an electronic bingo number verification device is used to verify the bingo.

(f) If an electronic verification device is used to invalidate a signaled bingo, the worker on the floor must announce the numbers of the winning combination so the caller can check the numbers against those actually called.

(g) The caller must then ask the players two times: "Are there any other bingos?" If no player answers, the caller must announce "This game is completed." 3.1.6 Multiple bingo winners (a) If multiple bingos are announced and verified and the prize is a cash prize, the licensee must divide the prize for that game or game part so that each verified bingo receives the appropriate amount, regardless of the number or identity of players involved. If a prize is divided, the licensee may round up the prize amount given to any player holding a verified bingo only to the nearest dollar.

(b) If the licensee is offering a merchandise prize, the licensee may designate an alternative cash prize in the case that more than one person achieves a valid bingo. The alternative cash prize must be equal to the current retail value of the merchandise prize, and information on the alternative prize must be posted in accordance with Rule 2.4.4. 3.1.7 Workers (a) No individual who works or assists at a bingo occasion may play bingo or purchase or play any pull tabs at the occasion which that individual works.

(b) A licensee must file with the Secretary of State a revised list of members who will work any bingo-raffle activities if the list submitted with the licensee’s application has changed due to new members.

(c) An individual may not work or assist in the operation of licensed activities unless that individual is a member of the licensee or of an auxiliary as defined in Rule 3.1.8 and the licensee has provided a list of members containing that individual’s name to the Secretary of State.

(d) An individual working or assisting at any bingo-raffle activity must present photo identification upon request of the Secretary of State. 3.1.8 Auxiliaries (a) Auxiliaries of licensee. An association or organization is an auxiliary of a licensee if:

(1) It is subsidiary to the licensee;

(2) It is subordinate to the licensee;

(3) Its primary purpose is to support and assist, particularly by donations and volunteer services, the licensee; and (4) It is constituted, chartered, governed, or otherwise formally recognized as an adjunct by the licensee.

(b) Licensee auxiliary of another organization. A licensee is an auxiliary of an association or organization if:

(1) The licensee is subsidiary to the association or organization;

(2) The licensee is subordinate to the association or organization;

(3) The primary purpose of the licensee is to support and assist, particularly by donations and volunteer services, the association or organization to which it is subsidiary; and (4) The licensee is constituted, chartered, governed, or otherwise formally recognized as an adjunct by the association or organization to which it is subsidiary.

(c) Auxiliary affiliated with licensee. An association or organization is affiliated with a licensee and the association or organization and the licensee are auxiliaries of another organization or association if:

(1) The licensee and the affiliated organization are both subsidiary to an association or organization;

(2) The licensee and the affiliated organization are both subordinate to the association or organization;

(3) The primary purpose of the licensee and the affiliated organization is to support and assist, particularly by donations and volunteer services, the association or organization to which they both are subsidiary; and (4) Both the licensee and the affiliate are constituted, chartered, governed, or otherwise formally recognized as adjuncts by the association or organization to which they are subsidiary. 3.1.9 Security personnel (a) Security personnel must wear a badge or uniform.

(b) Security personnel, whether volunteer or paid, may not play or participate in the operation of any bingo-raffle activities. 3.1.10 Number of games allowed. No licensee may hold, operate, or conduct more than 220 bingo occasions in any calendar year.

(a) A licensee may play one type or both types of bingo authorized by

section 24-21-602(1), C.R.S., during a single occasion.

(b) A licensee must not play both types of bingo at the same time during an occasion. A licensee must complete playing one type of bingo before starting to play another type of bingo during an (c) Each individual occasion counts towards the total 220 limit, regardless of whether the licensee plays a single type of bingo or both types during an occasion. 3.1.11 Prohibition on saving seats. A specific seat may only be reserved to provide a reasonable accommodation for a player with a disability. 3.2 Progressive jackpot bingo games. The following requirements apply specifically to progressive bingo games. 3.2.1 Required postings. In addition to any postings otherwise required by these rules, a licensee that conducts a progressive bingo game must also post, a sign in at least 12-point font stating:

(a) The amount of the progressive jackpot at the beginning of the bingo (b) The percentage of gross sales of progressive cards that is contributed to the jackpot and whether the contribution amount is added to the jackpot during the present occasion or during the next (c) The price and description, including color and design, of the cards for the progressive bingo game;

(d) The bingo pattern or number arrangement a player must complete to win the progressive jackpot prize, together with a clear diagram of the number arrangement, if any pattern other than a full card ("blackout" or "coverall") is required to win;

(e) The maximum number of calls in which a player must complete the required pattern in order to win the progressive jackpot prize;

(f) The date, time, and location of the occasion at which the next game in the progression will be conducted if the jackpot is not awarded;

(g) The amount of the regular game prize if the licensee elects to continue a progressive bingo game as a regular game when the progressive jackpot is not won; and (h) If the licensee is operating a progressive bingo game and is withholding 10% of the gross sales of progressive cards as a secondary jackpot, a statement to that effect. 3.2.2 Number of progressive bingo games allowed. A licensee may not conduct more than three progressive bingo games simultaneously, except that a licensee that conducts a members-only bingo occasion may conduct successive games of a progression during a single bingo occasion. 3.2.3 Method of play (a) A licensee may start a single game of progressive bingo, in an amount not to exceed $500 or the amount of the secondary jackpot from a prior progression, whichever is greater. A progressive bingo game is won when a previously designated arrangement of numbers or spaces on a card or sheet is covered within a previously designated number of objects or balls drawn.

(b) If the game is not won within the drawing of the previously designated number of objects or balls, the licensee must replay the game at the same location using the previously designated arrangement of numbers or spaces, until the game is won.

(c) On the second and subsequent occasions, the jackpot amount increases by a percentage of the gross proceeds, not greater than 70%, collected from the sale of progressive bingo cards or sheets during that occasion or on the prior occasion. If a licensee is conducting a progressive bingo game with a secondary jackpot, 10% of the gross proceeds collected from the sale of progressive bingo cards or sheets at that occasion or the prior occasion must be set aside and segregated from the jackpot amount in the bingoraffle account.

(d) A progressive jackpot may not exceed $15,000. Upon reaching $15,000, the licensee must award the jackpot to the player completing the designated pattern regardless of the number of objects or balls called. If the jackpot reaches $15,000, the licensee must award the jackpot on that or the following occasion.

(e) A licensee may impose by house rule a progressive jackpot maximum below the $15,000 maximum ceiling. Upon reaching the self-imposed maximum, the licensee must award the jackpot to the player completing the designated pattern regardless of the number of objects or balls called. When the maximum is reached, the licensee may choose to stop contributing the set percentage of the proceeds to the jackpot (hard cap) or continue to contribute the same percentage until the jackpot prize is won (soft cap). The licensee must award the jackpot at the occasion during which the maximum was reached or at the following occasion. The licensee must post notice of self-imposed caps in accordance with Rule 3.2.1. 3.2.4 Members-only occasions. A licensee must restrict a members-only occasion to bona fide members of the licensee, accompanying spouses, and guests of bona fide members. The public may not access the premises where members-only bingo is conducted. 3.2.5 Successive bingo occasions. Once a progressive bingo game begins at a public bingo occasion, it must continue at each successive bingo occasion of the licensee at the same location until a player wins the jackpot. If a progressive is started at a members-only occasion, successive progressive bingo games for that jackpot must occur at successive members-only occasions. 3.2.6 Card type. The licensee must use the same type of progressive bingo game card throughout all games in a progression. 3.2.7 Bingo pattern. The licensee must require the same bingo pattern or number arrangement to win the progressive jackpot prize throughout all games in a progression. 3.2.8 Number of balls called during successive occasions. For each successive game in a progression, the number of balls called may remain the same or increase. 3.2.9 Percentage added to the jackpot. For each successive game in a progression, the licensee must not change the percentage of gross proceeds added to the jackpot or the timing of when the amount is added. 3.2.10 Pre-game announcements. Immediately before drawing the first ball for any progressive bingo game, the caller must clearly announce the maximum number of balls to be called in which a player must complete the pattern or number arrangement required to win the progressive jackpot prize, the jackpot prize amount, the card description, and the date and time of the next occasion if the jackpot prize is not awarded. 3.2.11 No winner of progressive. If no player wins a progressive jackpot in the designated number of balls called, the entire jackpot prize amount, without deduction for consolation prizes, will carry over to the next game in the progression. After the designated number of balls is called, the licensee may either proceed to its next regular bingo game or continue the current game as its next regular game. If the game is continued as a regular game, the licensee must publicly announce the start of the regular bingo game. The pattern or arrangement required to win may not change. The prize amount is subject to the limitations in these rules. 3.2.12 Winner of progressive. The caller, a floor worker, and a player other than the winning player must verify a winning card by the manufacturer’s identification number, series number, and balls called. 3.2.13 Conditions affecting the award of the final progressive bingo jackpot prize (a) If the licensee plans, expects, or otherwise foresees the occurrence that it can still determine a winner and award the jackpot prize and secondary jackpot prize, if any, before the occurrence of the event on the licensee’s last authorized bingo occasion at the location where the progression was started, regardless of the number of balls called:

(1) Permanent termination of licensee’s operations;

(2) Permanent termination of licensee’s operations at a (3) Loss of license through expiration, nonrenewal, suspension, (b) If an event in Rule 3.2.13(a)(1)–(3) occurs without the licensee’s 3.2.14 Inability to conduct occasion at regular licensed premises. If a licensee cannot conduct the next game in the progression at the location where the progression started, the licensee must post a notice on the premises where the last game in the progression was conducted announcing the date, time, and location of the next game in the progression. If known at the time, the caller must make this announcement at the conclusion of the progressive bingo game before the change in location. 3.2.15 Multiple locations. If a licensee regularly conducts bingo occasions at least weekly at each of two licensed commercial bingo facilities, the licensee may offer and continue one progressive bingo progression at each facility as long as all games in a single progression are conducted at the location where the progression began, except where the provisions of Rules 3.2.13 or 3.2.14 apply. 3.3 Disputed games 3.3.1 If the licensee discovers verifiable problems with the bingo balls, equipment, or operation of the equipment, the games manager must settle the dispute in the following manner:

(a) Discovered before start of next game. If a problem is discovered before the start of the next game and if the error affected the outcome of the previous game, then the licensee must void and replay the previous game during the same occasion at no cost to players.

(b) Discovered after occasion. If a problem is discovered after a bingo occasion is completed, then no games will be replayed.

(c) Void game. If a game is voided and the number of bingo cards that each player was playing during the voided game can be determined, then each player must receive that same number of bingo cards for the replay. If the number of bingo cards played cannot be determined for all players, the licensee must give each player an equal number of bingo cards.

(d) Mechanical defect of electronic bingo aid device. If the licensee discovers or is advised by a player that the player’s electronic bingo aid device malfunctioned during a game, the licensee is not required to suspend the calling of new balls or numbers until the player replaces the malfunctioning device.

(e) Mechanical failure of electronic bingo system. If the licensee discovers or is advised by a player that the computer system controlling radio frequency signal transmission to electronic bingo aid devices has failed, the games manager must either:

(1) Instruct players using electronic bingo aid devices to manually daub the numbers of the balls called;

(2) Provide packs or sheets to players using electronic bingo aid devices and continue the occasion if the failure of the bingo aid system does not render the blower and master board inoperative; or (3) Terminate the occasion and refund all or a portion of the pack and sheet sales and rental of electronic bingo aid devices.

(f) Player has no right to prize. If the licensee discovers after the start of another game that a winner does not have the right to claim a previous game’s prize, the licensee must replay the disputed game.

(g) Prize money payment in disputed game. In a disputed game, the licensee may not pay any prize money until the dispute is resolved in accordance with Rule 3.

(h) Payment exceeds occasion limit. If prize payment exceeds the maximum prize limit permitted by these rules, the licensee must note the cause of the over-payment in the game records and corresponding financial report for that time period. The Secretary of State may consider repeated or excessive overpayments of this nature a violation of these rules.

(i) Loss of electrical power. If electrical power is lost during an occasion, the games manager must wait a minimum of 30 minutes, but no more than one hour, before terminating an occasion.

Reimbursement for games not played or for the rental of electronic bingo aid devices will be as set forth in the occasion rules posted before the game.

(j) Secretary of State. While investigating disputed prizes, the Secretary of State may instruct a licensee to pay a disputed prize if the preponderance of the evidence is in favor of the player. 3.3.2 Games manager’s log. The games manager must keep a written log of all disputed games. The entries must include the occasion date, the game played, a short description of the dispute, the names and addresses of players involved in the dispute if the dispute involves a called bingo, and the resolution determined by the games manager. 3.4 Multiple bingo occasions. A licensee may conduct multiple bingo occasions on the same day, if: 3.4.1 The licensee concludes all games of chance from the first occasion and completes all player-related activities, including, but not limited to, the purchase, opening, and redemption of pull tabs, before the end of the 3.4.2 The licensee does not begin the next occasion for 15 minutes after the conclusion of the previous occasion, or until the final accounting for games of bingo played and pull tabs sold is completed and the books are closed for all of the first occasion activities, whichever comes later. 3.4.3 The licensee does not offer to sell pull tabs or other raffle tickets after an occasion concludes and before the next occasion begins. 3.4.4 The licensee does not continue activities from an occasion during the next occasion, and does not offer to sell, distribute or reserve any cards, sheets, tickets (except as authorized by section 24-21-617(16), C.R.S., and Rule 2.5), or chances for the next occasion during the previous occasion or during the period between the two occasions.

Rule 4. Sale and use of Bingo Cards, Packs, and Sheets 4.1 Sales 4.1.1 Player payment method. A licensee may not extend credit to a player.

(a) When accepting payment, the licensee must:

(1) Collect the consideration for playing a game of chance in full, in advance, by check, cash, or debit or credit card.

(2) Directly deposit all proceeds into the licensee’s segregated checking or savings account. The licensee may not commingle proceeds with funds in a general account or other account. [Section 24-21-622(3)(a), C.R.S.]

(b) A licensee accepts all risks and losses associated with credit and debit card payment cancellations and returned checks. A licensee may not subtract these losses from its gross proceeds.

(c) A licensee may pay fees to a check guarantee service or debt collection firm for recovery of bad checks or cancelled credit charges from the licensee’s segregated checking or savings account. 4.1.2 Premises only sales. All sales of cards, packs, and sheets must take place on the licensed premises during the bingo occasion. 4.1.3 Set price. A licensee:

(a) Must sell all cards, packs, and sheets at a set price;

(b) May offer discounts on the basis of criteria available to all players, such as quantity purchased;

(c) Must set a price for the purchase, lease, or use of an electronic bingo aid device and that price must not change during the bingo (d) Must charge identical fees for electronic and non-electronic bingo card faces; and (e) Must post the price of each card, pack, or sheet, including discounts offered, and the charge, if any, for the purchase, lease, or use of each electronic bingo aid device, during the occasion, and before players may purchase items. 4.1.4 Sales of individual sheets and cards. At all bingo occasions where individual disposable cards, including strip bingo cards, or sheets are sold, the following procedures apply:

(a) The licensee must issue individual disposable cards or sheets and a change fund to the workers. The licensee must record the exact number of disposable cards or sheets issued using the form prescribed by the Secretary of State.

(b) After the cards or sheets for a game are sold, the games manager or other designated individual must count the amount on hand, subtract the change fund, and compare cards or sheets sold against the money received.

(c) The licensee must record and retain the exact number of cards or sheets that are removed from inventory, sold, and returned to inventory using the form prescribed by the Secretary of State.

(d) Sellers of individual disposable cards or sheets may not use proceeds from sales to pay prizes.

(e) A licensee cannot use a device to dispense individual cards, sheets, or packs to players. Device includes any type of mechanical, nonelectronic, electronic, or electromechanical machine or apparatus. 4.1.5 Progressive bingo cards and sheets. The following procedures and requirements, in addition to those for bingo operations generally, apply to the sale and use of progressive bingo cards and sheets:

(a) The licensee must sell only disposable paper cards and must only lease electronic bingo aid devices where card faces are distinguishable by a color or design that the licensee does not use for any other game.

(b) Each card or face sold for a progressive bingo game must contain five rows of five squares with 24 preprinted numbers, or 48 preprinted numbers in the case of double action games, from the range of 1-75, a free center space, and the letters B I N G O printed in order over the five columns.

(c) A licensee must determine a set card price before the first game in a progression. Discounts, free cards or faces, price changes, and variable pricing are prohibited.

(d) A licensee must sell progressive bingo cards before the drawing of the first number for the game, except that, if the progressive bingo game is a pre-draw concealed face game, the licensee may sell cards after the first drawing of numbers and before the game resumes.

(e) A licensee must sell and account for progressive bingo cards separately from other cards, sheets, or packs sold or used at a bingo occasion. A licensee may, by house rule, make purchase of a pack or door card a prerequisite for purchase of a progressive bingo card. 4.2 Use 4.2.1 Packs. A licensee must collate each pack sold for use at a bingo occasion from a series of consecutively numbered sheets, and each sheet must contain its individual consecutive series number and the identification number assigned by the manufacturer to that series. Nothing in this rule requires a licensee to sell packs in any particular order. 4.2.2 Tally cards. A licensee must provide a tally card or cash receipt to anyone who purchases cards or packs at the door. At a minimum, the tally card or cash receipt must show the date of purchase and the total number of cards or packs purchased. A licensee must only award a prize when the purchaser provides the tally card or cash receipt. 4.2.3 Manufacturer’s identification number. Before starting any game using disposable sheets or packs, the bingo caller must have the manufacturer’s identification number and/or card number and the series number of the set of cards sheets or packs offered for sale for that particular occasion. When a player completes a bingo, the worker on the floor checking the bingo must read the manufacturer’s identification number and/or card number and the series number of each winning sheet. Payment may not be made unless both numbers were among those offered for sale for that game. 4.3 Concealed face cards. At all bingo occasions where pre-draw concealed face cards are sold or used, the following procedures, in addition to those applicable to the sale and use of bingo cards generally, apply: 4.3.1 All pre-draw concealed face cards must be conspicuously identified before sale or transfer to any player so that the concealed face card may not be played at any occasion other than the one at which the card was sold or transferred. 4.3.2 A licensee must sell all pre-draw concealed face cards for a uniform price, except that a licensee may permit players to trade one previously purchased card for one new one with the purchase of an additional card. 4.3.3 A licensee that allows pre-draw concealed face card trade-ins must maintain two sets of cards for each pre-draw concealed face game. One set is the original set and is a different color from the second set, which is the trade-in set. Players may purchase cards only from the original set, and may only trade for cards in the trade-in set. 4.3.4 A licensee that allows pre-draw concealed face card trade-ins must mark or otherwise deface all returned cards. 4.4 Cash shortages. A licensee must notify the Secretary of State within 72 hours if, at the end of the bingo occasion or a bingo occasion related pull tab game, the cash counted is short by $30 or more.

Rule 5. Sale and use of Pull Tabs 5.1 Pull tabs 5.1.1 Price. A licensee may not sell a pull tab ticket for a price different than the price stated on the deal’s flare. 5.1.2 Pull tab construction. A licensee may not sell a pull tab ticket unless it has a pull tab or seal to be opened by the purchaser. 5.1.3 Reservation of pull tabs. A licensee may not reserve pull tabs for any person. 5.1.4 Prohibition against information to players. No person selling pull tabs or managing or working at any bingo game or other place where pull tabs are sold may state, imply, or in any way indicate to the purchaser the number or type of tickets that have been redeemed or that remain in the container. 5.1.5 Defective pull tabs. A licensee may not permit the display, sale, or operation of a defective pull tab.

(a) The following are types of defective pull tabs:

(1) A pull tab that is marked, defaced, tampered with, or otherwise placed in a condition that may deceive the public;

(2) A series or deal of pull tabs that consists of more than one serial number or ticket name; and (3) A pull tab that contains printer or manufacturer mistakes or misstatements that adversely affect the gross receipts and/or profit of the pull tab series or deal.

(b) The licensee must immediately remove a defective pull tab deal or series from display and refund the purchase price of all presented winning tickets and all unopened tickets in the players’ possession.

(c) The licensee must notify the Secretary of State in writing within 72 hours of discovering a defective series or deal of pull tabs.

(d) The licensee must return the defective pull tabs in the licensee’s possession, including all returned, redeemed, and unopened tickets, to the manufacturer no earlier than the 30 th day after discovery or the inspection of the defective deal or series by the Secretary of State, whichever comes first. 5.1.6 No commingling. A licensee may not commingle pull tab deals or display, or sell a commingled deal. A commingled series or deal of pull tabs is one containing two or more serial numbers of the same form number. 5.1.7 Identical form and serial numbers. A licensee may not knowingly obtain or allow a deal of pull tabs, or portion thereof, with the same serial number and form number as another deal of pull tabs, or portion thereof, in the possession or on the premises of the licensee. 5.1.8 Removal of deal from play. A licensee may not remove any deal or series of pull tab tickets or any unsold portion thereof from display or sale after the first ticket from the deal or series is sold unless the Secretary of State or any law enforcement authority orders the removal or when the deal is unsalable.

(a) A ticket or portion of a pull tab deal or series is unsalable if it was displayed and openly offered throughout the duration of at least two consecutive bingo occasions at the same location. Pull tabs at bar and clubrooms are unsalable if they were displayed and offered for sale for a two-week period without any pull tab tickets from that deal or series being sold.

(b) The licensee must keep any unsold or unsalable pull tab tickets unopened for a period of six months following the end of the quarter in which the tickets were removed from sale unless the pull tabs were removed from sale because of defects.

(c) The licensee must destroy, after the time specified in Rule 5.1.8(b), all pull tabs that were removed from sale. 5.1.9 Defacing winning pull tabs. Before the end of the bingo occasion, the licensee must ensure that the winning combination of every winning pull tab ticket is defaced so that the winning ticket combination is identifiable but cannot be altered or used again.

(a) A licensee that conducts pull tabs only on its premises must deface the winning pull tab tickets daily.

(b) The licensee must keep all redeemed winning tickets of $20 or more and all opened flares and sign-up sheets for seal pull tabs for six months following the end of the quarter in which the tickets were redeemed. 5.1.10 Paying pull tab prizes (a) The licensee may not redeem a ticket from a seal or pull tab for any other prize than the prize on the flare for the symbol combination on the winning ticket.

(b) The licensee must award a prize only upon presentation, verification, and redemption of a ticket showing a winning combination, except when the deal of pull tabs is a last sale deal as designated by the manufacturer of the pull tab deal.

(c) If pull tab tickets are sold at a bar or clubroom, the licensee may maintain a separate cash fund in a secure container on the premises to track proceeds and pay out pull tab prizes. This cash fund may not exceed $2,000. 5.2 Seal pull tab operations 5.2.1 Number of deals in play. A licensee may not operate, sell, or put into play more than one seal pull tab deal of the same game name, form number, and serial number at one time. 5.2.2 Flare. The licensee must post the flare for the deal with the deal’s serial number at the location of the seal game. The flare must be posted out of reach but fully visible to any player, and must contain a correct and accurate record of all holders of redeemed tickets that offer a chance on the seal tab prizes, as well as the potential winning combination of each ticket redeemed. 5.2.3 Hold tickets. The licensee must deface and return to the purchaser those tickets redeemed for a chance to win the seal pull tab prize. 5.2.4 Sign-up sheet. The licensee must maintain a separate list of redeemed ticket holders’ addresses to contact them if they are not present when the winning combinations are revealed. 5.2.5 Small deals (a) The licensee is not required to maintain a list of names and addresses of those winners entitled to a chance to win the seal pull tab prize if the game consists of 600 or fewer tickets and is reasonably anticipated to sell out in the course of a single bingo occasion or in one day at a licensee’s bar or club room.

(b) Small deals, sign-up sheet required. The licensee must prepare a complete and accurate sign-up sheet and address record for any small deal pull tab game that does not sell out as anticipated in a single occasion or day. 5.2.6 Opening seal tab. A player who is eligible to win the seal tab prize must break or tear open the seal tab for the deal in plain view of all individuals present when tickets from a seal pull tab deal are sold or when the deal is declared unsalable. 5.2.7 Announcements and postings. The licensee must announce the winning combination(s), the specific form number, the name of the game, the serial number of the deal, and the date the seal tab was opened and must post the information at the game. The licensee must record the name and license number of the licensee on the flare. 5.2.8 Unsold deals. The licensee must announce and post the game name, form number, and serial number of any seal pull tab deal that is not sold out before the end of a bingo occasion or the closing time for a bar or clubroom where the deal was offered for sale. The licensee shall also announce and post the date, time, and place of the next scheduled pull tab operation and advise the players to retain potential winning tickets until the flare is opened. 5.2.9 Notification of winner. If the winning ticket is not redeemed upon the opening of the seal, the licensee must, within 15 days of seal opening, send written notice to the holder of the winning ticket at the address shown on the sign-up sheet. The notification must give the game name, form number, and serial number of the deal, and state that the winner must present the winning ticket for verification to receive the prize. 5.2.10 Unclaimed prizes. The licensee may retain a seal pull tab prize if the prize goes unclaimed for 15 days after sending notification to the winner. 5.2.11 Redemption of pull tabs. The licensee must redeem and retain seal flare prize winning tickets in the same manner as other winning pull tab tickets. 5.3 Last sale pull tab operations 5.3.1 Upon opening a last sale deal of pull tabs for sale, a licensee must display and make available for sale all pull tabs contained in the deal. If the pull tab deal exceeds 5,000 tickets, the licensee is not required to display all pull tabs but must post a conspicuous notice upon the receptacle indicating whether all unsold tickets in the deal are contained in the receptacle. 5.3.2 If the licensee uses a mechanical pull tab dispensing device, the licensee must post a conspicuous notice upon the machine indicating whether all unsold tickets in the deal are loaded in the machine. 5.3.3 A licensee may sell or pay in full any pull tab deal that offers a prize for the last sale in the deal if the licensee:

(a) Completes the forms required by the Secretary of State for last sale pull tab prizes and retains the forms for four months after the end of the quarter in which the prize was paid.

(b) Verifies the identification of the winner of the last sale pull tab prize, regardless of amount, including name, address, and driver’s license number or government-issued identification card number. No last sale prize may be paid without such verified information. 5.4 Progressive pull tab operations. A licensee may conduct a progressive pull tab game if it complies with all rules and regulations concerning the sale and operation of pull tabs in general and the following specific requirements: 5.4.1 Number allowed. A licensee may not offer, put into play or have in play more than one progressive pull tab deal at any time. A licensee may open the next deal in the pull tab game if a winner is not immediately discovered. The licensee must announce the winner of the deal twice and allow a reasonable amount of time for the winner to claim their prize. If no winner comes forward, the licensee must display the flare card for at least 15 days to allow time for the winner to claim their prize. 5.4.2 Continuous play. Once a progressive pull tab game starts, it must continue until a jackpot winner is determined. 5.4.3 Offered for play. Once a progressive pull tab game starts at a bingo occasion, a licensee must offer the game at each succeeding bingo occasion sponsored by the licensee until the jackpot is won. If a progressive pull tab game starts on the licensee’s premises, the licensee must offer the game on each successive day that the premises are open.

A licensee may suspend play of progressive pull tab games only while operating a pari-mutuel bingo occasion. Once the pari-mutuel occasion has ended, the progressive pull tab game must continue during the next regular bingo occasion. 5.4.4 Award of prizes. A licensee must only award prizes in a progressive pull tab game in accordance with the manufacturer’s predesignated prize structure for the game. 5.4.5 Flare (a) Format. The flare or jackpot card for each deal in a progressive pull tab game must show the amount dedicated to the progressive jackpot prize and the current total of the prize. The jackpot prize amount must be modified on the flare each time a contribution is made to the jackpot from sales of progressive pull tab tickets at the immediately preceding occasion and the sales of progressive pull tab tickets during the current occasion.

(b) Display. The licensee must display or keep available for viewing the flare or jackpot card for each deal in a progressive pull tab game being played or that has been played during the course of a progressive pull tab game. The flare must be available for viewing at all times the game is in play until the progressive jackpot prize is won. 5.4.6 Maximum prize (a) The maximum jackpot prize for a progressive pull tab is $5,000.

(b) Once the jackpot amount reaches $5,000, the licensee may not make any further contributions to the jackpot amount.

(c) All proceeds from the sale of progressive pull tabs after the jackpot amount reaches $5,000 are considered part of the bingo-raffles licensee’s gross proceeds from the progressive pull tab game.

(d) If a jackpot prize reaches $5,000 without a winner:

(1) The licensee must award the prize in accordance with the manufacturer’s specifications for determining a winner upon accumulation of the maximum amount; or (2) If there are no specifications built into the progressive game being conducted, the game must continue in accordance with the manufacturer’s specifications until the game is won.

The licensee, however, may not make further contributions to the jackpot amount in accordance with Rule 5.4.6(c). 5.4.7 Conditions affecting the award of the final progressive pull tab jackpot prize (a) If the licensee plans, expects, or otherwise foresees the occurrence that it can still determine a winner and award the progressive pull tab jackpot prize before the occurrence of the event on the licensee’s last authorized bingo occasion at the location where the progression was started:

(1) Permanent termination of licensee’s operations;

(2) Permanent termination of licensee’s operations at a (3) Loss of license through expiration, nonrenewal, suspension, (b) If an event in Rule 5.4.7(a)(1)–(3) occurs without the licensee’s (c) If an event in Rule 5.4.7(a)(1)–(3) occurs without licensee’s 5.4.8 Serial and form numbers. The licensee may not pay a prize amount unless the serial and form numbers of the winning ticket match the serial and form numbers of a deal contributing to the jackpot amount. 5.4.9 Conclusion of game. A progressive pull tab game must end with the award of the cumulative jackpot prize or, if the jackpot prize is unclaimed, upon expiration of a 15-day period after the determination of the winner. If a jackpot prize is not claimed by the next day or occasion on which the licensee conducts pull tab activities, the licensee may begin a new progressive pull tab game. 5.4.10 Display of winner(s) and notice to winner(s). If a jackpot prize is not claimed upon the determination of a winner, a licensee shall continue to display all flares and jackpot cards for 15 days after such determination.

The display must be in plain view of all players at the licensee’s bingo occasions or pull tab operations. The licensee shall also provide the winner with the notice prescribed for all winners. 5.4.11 Unclaimed prizes. The licensee may retain a progressive pull tab prize if the prize goes unclaimed for 15 days after a winner is determined. 5.5 Multiple locations. A licensee that conducts bingo occasions at two or more locations may also conduct pull tab operations at each location, if the bingo-raffle licensee uses a different deal of pull tabs at each location and does not use pull tabs with the same name, form number, and serial number at more than one location. 5.5.1 Termination of operations at premises. If the licensee terminates operations at one location, the licensee must display and sell all opened pull tab deals from the terminated location with the pull tabs at one of the remaining locations. 5.5.2 Records. The licensee must maintain the required records for all deals regardless of where the pull tabs were sold and must make those records available to the Secretary of State upon request at the location where the pull tabs were sold.

Rule 6. Electronic Bingo Aid Devices 6.1 Usage of electronic bingo aid devices 6.1.1 New usage. A licensee that intends to use any electronic bingo aid device must provide the following to the Secretary of State in writing:

(a) The name and address of the manufacturer and the licensed Colorado supplier; and (b) The make, model, and description of the electronic bingo aid device or bingo aid computer system that the licensee intends to offer. 6.1.2 Compatible device. A licensee must use a bingo aid device that is compatible with the type of bingo being played. 6.1.3 Bingo aid system. A licensee that uses a bingo aid computer system to record, track, or process any bingo transactions during a bingo occasion must use the system to record, track, and process all bingo transactions occurring during that occasion. 6.1.4 Use of bingo aid system without bingo aid devices. A licensee may use a bingo aid computer system at any time. A licensee must use a bingo aid computer system if players are allowed to use electronic bingo aid devices during a bingo occasion. 6.2 Required reports. A licensee that uses a bingo aid computer system must produce and attach to its daily bingo occasion records the report generated by the bingo aid computer system. The report must show at least the following information: 6.2.1 The reporting licensee’s name; 6.2.2 The date and time of the bingo occasion reported; 6.2.3 A description of each transaction processed, including all voids and refunds, which shows:

(a) The time the transaction took place;

(b) The quantity, description and price of all cards and sheets, including specials, progressives and extras that were sold, refunded or voided during the transaction;

(c) The charges for any electronic bingo aid device furnished in connection with the transaction;

(d) The manufacturer’s identification number (serial number) for all cards and sheets sold in conjunction with an electronic bingo aid device; and (e) The total number and related charges for all electronic bingo aid devices sold, leased or furnished in connection with the reported 6.3 Data backup and security 6.3.1 Data backup. At the end of an occasion, a licensee must save all transaction data and keep an electronic copy of the data for two calendar years after the occasion. 6.3.2 Data security (a) A licensee must not access or attempt to access a bingo aid computer system’s data that does not belong to the licensee.

(b) A licensee must protect, secure and safeguard its unique system identification from unauthorized disclosure or use. If the licensee discovers or suspects that system security has been breached or compromised, the licensee must:

(1) Immediately report the breach or compromise to the Secretary of State; and (2) Disable access to the system and either issue new identification and passwords or stop using the system until new identification and methods of access have been provided by the manufacturer, supplier or agent.

(c) Control of the means of access, like identification, passwords, or tokens, to the licensee’s bingo aid computer system is the responsibility of designated games managers or officers. The disclosure or transfer of the means of access is strictly prohibited unless disclosure or transfer is ordered by the Secretary of State or a law enforcement authority. 6.4 Player usage 6.4.1 Single player usage. A bingo player may use only one electronic bingo aid device during an occasion. 6.4.2 Maximum number of faces. A licensee may not program an electronic bingo aid device to play more than 100 faces per bingo game. 6.4.3 Passive Play. The passive play of a bingo game using an electronic bingo aid device is prohibited. Players must physically enter each number called by either manually entering the number or by touching a button or a screen icon.

Rule 7. Promotions by Bingo-Raffle Licensees 7.1 Promotions allowed. A licensee may conduct a promotion on its own or on leased premises where no purchase is necessary to enter the contest. A licensee may charge an admission fee to enter its premises to participate in a bingo occasion separate from the promotion, but the licensee must allow anyone participating in the promotional contest to be present when the prize is awarded. 7.1.1 Reporting requirements. A licensee that conducts a promotion must report awarded prize information to the licensing authority in accordance with

section 24-21-604(3)(c), C.R.S. 7.1.2 Promotion prize limits. The licensee must not offer merchandise, services, or cash that exceeds $1,000 in value as a prize for any single promotion. 7.2 Relationship with landlord licensee promotions. A licensee may conduct a promotion concurrently with any promotion sponsored by a landlord licensee. If the licensee agrees to participate in the landlord licensee’s promotion and agrees to pay a portion of the costs of the promotion, such costs must not exceed $1,000.

Rule 8. Raffles 8.1 General requirements. Licensees that conduct raffles shall comply with the following: 8.1.1 Selling tickets (a) Except as provided in Rule 8.1.1(e), only members of the licensee may sell tickets for entry into a raffle drawing. Members must not receive remuneration for selling raffle tickets and must not sell raffle tickets while they are receiving compensation for performing regular duties for the licensee.

(b) A licensee must sell tickets for entry in a raffle drawing at a stated price, and each ticket must constitute a separate and equal chance to win.

(c) A licensee must provide any conditions that may affect the stated price of a raffle ticket to the public before the sale of the first raffle ticket. If any of the following apply, then the licensee must provide the information to the ticket purchaser at the time of sale:

(1) The date(s) that the price of an individual ticket or group of tickets may increase or decrease;

(2) Any discounted price that is based on the purchase of a minimum number of tickets; and (3) The method of determining the number of tickets at a set price, such as in a stretch raffle.

(d) A licensee may sell raffle tickets at bingo occasions if:

(1) The proceeds from raffle ticket sales are recorded separately from bingo sales; and (2) Purchase of a raffle ticket is not conditioned on the purchase of bingo cards or faces, pull tabs, or payment of an admission fee to play bingo.

(e) Licensees may contract with a call fulfillment center to process raffle ticket orders if:

(1) The call fulfillment center only receives incoming calls from ticket-purchasers and processes ticket-purchaser information;

(2) The call fulfillment center does not process payments for raffle tickets and does not make outgoing calls to solicit purchases or encourage incoming callers to purchase additional raffle tickets; and (3) The licensee submits a form prescribed by the Secretary of State that contains details of the agreement between the licensee and the call fulfillment center before the sale of raffle tickets through the call fulfillment center. 8.1.2 Format of tickets. All tickets must be discrete from every other ticket sold and may be identified by symbols, numbers, color, design or combination thereof. 8.1.3 Ownership of prizes. The licensee must fully own merchandise offered as a raffle prize except as provided in Rule 8.2. The raffle prize must be free of debt, lien and encumbrance before the sale of raffle tickets. 8.1.4 If the total retail value of the raffle prize or prizes in a single raffle exceeds $1,000, a licensee must satisfy the following requirements:

Ticket Content Print a paper ticket with the following:

1. License number;

2. Licensee name exactly as it appears on the license;

3. Date, time and place of the drawing;

4. Ticket cost;

5. Adequate description of the major prize(s) offered;

6. Date(s) when the ticket 7. Cost if tickets purchased as a package;

7. The word “RAFFLE.”

Print a paper ticket with the following:

1. License number;

2. Licensee name exactly as it appears on the license;

3. Date, time and place of the drawing;

4. Ticket cost;

5. Adequate description of the major prize(s) offered;

6. Date(s) when the ticket 7. Cost if tickets purchased as a package;

7. The word “RAFFLE.”

Print a paper ticket with the following:

1. License number;

2. Licensee name exactly as it appears on the license;

3. Date, time and place of the drawing;

4. Ticket cost;

5. Adequate description of the major prize(s) offered;

6. Date(s) when the ticket 7. Cost if tickets purchased as a package; and 8. The word “RAFFLE.” statement indicating that the ticketholder must be present to win prize. statement indicating that the ticketholder need not be present to win prize. statement indicating that the ticketholder need not be present to win prize. address if raffle tickets are sold on any day or at any location other than the day and location of the drawing. address.

Print on each ticket the web address where the licensee will post the winning number, the period of time for which the winning number will be posted, and a phone number that ticketholders can call to verify the winning number.

Pre-Raffle Filing Before the sale of any tickets, file a voided ticket for the raffle with the Secretary of State.

Before the sale of any tickets, file a voided ticket for the raffle with the Secretary of State.

Before the sale of any tickets, file a voided ticket for the raffle with the Secretary of State.

At least 14 calendar days before any ticket sale, submit to the Secretary of State. the website address where winning ticket numbers will be posted The website must indicate when the winning ticket numbers will be available.

Claiming Prize Provide a reasonable amount of time, not to exceed 30 minutes, for winner(s) to claim prize(s).

If winner(s) fails to claim a prize, the licensee must continue drawing tickets until the prize is claimed.

Within 30 days of the drawing, notify all winners who have not claimed their prizes by U.S. postal service certified mail, return receipt requested.

The notification must indicate the prize won, a contact person’s telephone number, and the time and location where the winner may claim the prize(s).

If a winner fails to claim a prize within 30 days of receiving notification, the licensee may retain the prize or offer it in another raffle.

Within 24 hours of the drawing, post all winning ticket numbers and a contact phone number to the website listed on raffle tickets. The winning ticket numbers and phone number must remain posted on the website for at least 30 days after the raffle drawing. months following the quarter in which the raffle was held.

Retain all raffle ticket stubs and unsold tickets for six months following the quarter in which the raffle was held. months following the quarter in which the raffle was held. 8.1.5 If the total retail value of the raffle prize or prizes in a single raffle is $1,000 or less, a licensee must satisfy the following requirements:

Total Retail Value of Prizes $1,000 and Under Requirement Type When Ticketholder's Ticket Content address.

Print on each ticket the web address where the licensee will post the winning number, the period of time for which the winning number will be posted, and a phone number that ticketholders can call to verify the winning number.

Pre-Raffle Filing At least 14 calendar days before any ticket sale, submit to the Secretary of State the website address where winning ticket numbers will be posted. The website must indicate when the winning ticket numbers will be available.

Claiming Prize Provide a reasonable amount of time, not to exceed 30 minutes, for winner(s) to claim prize(s).

If winner(s) fails to claim a prize, the license must continue drawing tickets until the Within 30 days of the drawing, notify all winners who have not claimed their prizes by U.S. postal service certified mail, return receipt requested.

The notification must indicate the prize won, a contact person’s telephone number, and the time and location where the winner may Within 24 hours of the drawing, post all winning ticket numbers and a contact phone number to the website listed on raffle tickets. The winning ticket numbers and phone number must remain posted on the website for at least 30 days after the raffle drawing.

Total Retail Value of Prizes $1,000 and Under Requirement Type When Ticketholder's prize is claimed. claim the prize(s).

If a winner fails to claim a prize within 30 days of receiving notification, the licensee may retain the prize or offer it in another raffle.

Retain all raffle ticket stubs and unsold tickets for six months following the quarter in which the raffle was held.

Retain all raffle ticket stubs and unsold tickets for six months following the quarter in which the raffle was held. months following the quarter in which the raffle was held. 8.1.6 Cancelation. A licensee may not cancel a raffle after the first raffle ticket is sold unless the licensee demonstrates to the Secretary of State that it will provide a notice of cancelation to all ticket purchasers and refund the purchase amount to every purchaser. 8.1.7 Postponing or altering a drawing. A licensee must not alter or postpone a raffle after the first raffle ticket has been sold unless the licensee can demonstrate to the Secretary of State that purchasers of raffle tickets will not be adversely affected by a substitution of prizes or a change of time or location and that the information concerning the raffle specifically states that a purchaser need not be present at the drawing to win. 8.1.8 A licensee may not conduct more than one regular (non-progressive) raffle drawing at a bingo occasion. 8.2 Motor vehicle, real estate, or real estate under construction as a prize 8.2.1 A licensee may raffle a motor vehicle if:

(a) The raffle ticket contains information as to whether there are any encumbrances on the motor vehicle that the winner of the raffle will be subject to, including federal, state and local income taxes; and (b) With respect to ownership of the motor vehicle:

(1) The licensee files proof of ownership of the motor vehicle with the Secretary of State; or (2) A contract exists between the owner of the motor vehicle and the licensee to transfer title to the motor vehicle to the holder of the winning ticket under the following conditions:

(i) The licensee must maintain, during the course of the sale of raffle tickets and continuing through the date of the raffle drawing, a certificate of deposit in the amount of the purchase price of the motor vehicle described in the contract.

(ii) If the motor vehicle owner fails to transfer title, the licensee must use the certificate of deposit to purchase an equivalent motor vehicle for delivery to the holder of the winning ticket; and (iii) Before the sale of the first raffle ticket, the licensee must submit evidence of the contract and certificate of deposit to the Secretary of State. 8.2.2 A licensee may raffle real estate, including real estate containing an existing house, if:

(a) The raffle ticket contains information as to whether there are any encumbrances on the real estate, including any existing house, that the winner of the raffle will be subject to, including a mortgage and federal, state and local income taxes; and (b) With respect to ownership of the real estate, including any existing house:

(1) The licensee files proof of ownership (such as a real property transfer declaration); or (2) A contract exists between the owner of the real estate and the licensee to transfer title to the real estate, including any existing house, to the holder of the winning ticket under the following conditions:

(i) The licensee maintains, during the course of the sale of raffle tickets and continuing through the date of the raffle drawing, a certificate of deposit or bond in the amount of the purchase price of the real estate, including any existing house, described in the contract.

(ii) If the owner fails to transfer ownership, the licensee must purchase equivalent real estate, including a house, for delivery to the holder of the winning ticket;

(iii) Before the sale of the first raffle ticket, the licensee must submit evidence of the contract and certificate of deposit or bond to the Secretary of State. 8.2.3 A licensee may raffle real estate that will include a house under construction if:

(a) The raffle ticket contains information as to whether there are any encumbrances on the real estate that the winner of the raffle will be subject to, including a mortgage and federal, state and local income taxes; and (b) With respect to ownership:

(1) A contract exists between the owner of the real estate and the licensee to transfer title to the real estate and the house under construction to the holder of the winning ticket;

(2) The licensee maintains, during the course of the sale of raffle tickets and continuing through the date of the raffle drawing, a certificate of deposit or bond in the amount of the purchase price of the real estate and the house described in the contract;

(3) If the owner fails to transfer ownership, the licensee must purchase equivalent real estate, including an equivalent house, for delivery to the holder of the winning ticket; and (4) Before the sale of the first raffle ticket, the licensee must submit evidence of the contract and certificate of deposit or bond to the Secretary of State. 8.3 Specific types of raffles 8.3.1 Key raffles. Licensees may conduct a key raffle where the purchaser receives a key that may open the particular prize being raffled, such as an automobile, if:

(a) The licensee conducts a raffle where the keys are sold only to participants at an event sponsored by the licensee;

(b) The purchaser selects the key from a receptacle containing all of the keys being sold;

(c) The licensee provides a separate paper ticket to the purchaser that contains a stub with the name, address and telephone number of the purchaser and each stub sold is placed in a separate receptacle containing all stubs sold. The receptacle must be designed so that each stub has an equal chance of being drawn; and (d) In the event that not all keys are sold, and none of the keys that are sold will open the prize, the licensee determines the winner by drawing a ticket stub from the receptacle containing all stubs sold. 8.3.2 Card raffles. A licensee may conduct a card raffle where the purchaser receives a card containing numbers, symbols, colors or a combination thereof, where one-half of the card is torn off and placed in the receptacle from which the winning card will be drawn if:

(a) The portion of each card deposited into the receptacle is approximately the same size and shape as all other portions deposited; and (b) Each card sold is distinct from every other card sold, although multiple decks of playing cards may be used if the decks are of different colors or design. 8.3.3 Bucket raffles (a) A licensee may conduct bucket raffles using theater style tickets only if the total retail value of the prizes offered for a specific receptacle in which raffle tickets are placed does not exceed $1,000.

(b) If the total retail value of the prizes offered for a specific receptacle in which raffle tickets are placed exceeds $1,000, the licensee must print a ticket conforming to Rule 8.1.4.

(c) The licensee must either display merchandise prizes or display descriptions of merchandise prizes offered for each receptacle. 8.3.4 Sporting event raffles. A licensee may conduct raffles where the winner is determined based on scores from sporting events if and only if the licensee can demonstrate to the Secretary of State that each ticket sold has an equal chance to win with every other ticket sold. 8.3.5 Wheel raffles. A licensee may conduct a wheel raffle where the winning ticket is determined by spinning a wheel until a pointer lands in one of the discrete segments marked on the wheel.

(a) The number of raffle tickets must be less than or equal to the number of discrete numbers or symbols on the wheel, and each ticket sold must match only one of the numbers or symbols on the wheel.

(b) If fewer tickets than the number of segments are sold, the licensee must continue to spin the wheel until there is a winner.

(c) A licensee may use a wheel containing symbol(s), 0, or 00 only if it offers to sell tickets for those segments. 8.3.6 Stretch raffles. A stretch raffle is a raffle where the number of raffle tickets purchased for a set price is determined by a specific measurement method. For example, a stretch raffle may use a raffle participant’s arm span to determine how many raffle tickets may be purchased for a set price. A licensee may conduct a stretch raffle only if the same measurement method is used to determine the number of tickets for all purchasers. 8.4 Progressive raffles. In addition to all other applicable raffle requirements, a licensee that conducts a progressive raffle must comply with the following: 8.4.1 Progressive raffle games are restricted to members-only progressive drawings and playing card progressive raffles as follows:

(a) Members-only progressive drawings (1) Licensee members are given the opportunity to buy raffle tickets.

(2) At the drawing, the licensee places the names of all members or a subset of members into a pool and selects one name. The names of each member who bought a progressive raffle ticket for a specific drawing must be included in the pool for that drawing.

(3) If the member whose name is drawn purchased a ticket for that drawing, that member wins the raffle prize amount, consisting of the prize money accumulated since the last winning draw.

(4) If the member whose name is drawn did not purchase a ticket for that drawing, there is no winner and the prize amount is added to the jackpot for the next drawing.

(b) Playing card progressive raffles (1) A licensee may conduct a playing card progressive raffle game by selecting the winning card called the “Jackpot Prize Card” from either:

(i) A specifically designed prepackaged game purchased from a licensed supplier which contains images of a standard deck of 52 cards or a standard deck of 52 cards plus two joker cards (for a total of 54 playing card images); or (ii) A standard deck of 52 cards or a standard deck of 52 cards plus two joker cards (for a total of 54 playing cards).

(2) If using a prepackaged game:

(i) The board must have a serial number and the licensee must retain the used board for at least six months after the final game.

(ii) The licensee must post the Jackpot Prize Card for the raffle with the board’s serial number at the location of the progressive raffle game. The licensee must post Jackpot Prize Card so that it is both out of all players’ reach but also fully visible to all players.

(iii) The licensee must break or tear open the Jackpot Prize Card’s window in plain view of all individuals present.

(3) If using a playing card deck with envelopes or other containers:

(i) The licensee must place the cards from the deck in identical separate envelopes or other containers, one card per container, through which the card is not visible. The container must be sealed so that the licensee must tear, break, or rip a portion of the container in order to access the card.

(ii) Before sealing cards in the containers, the games manager and at least one other licensee member must verify that all cards are present.

(iii) The licensee must shuffle the envelopes containing the cards before putting them on public display.

(iv) Once the licensee places the envelopes on display, the licensee must keep them in a locked container at all times except during drawings. Only the games manager and licensee officers are allowed access to the keys for the container.

(4) For both methods of playing card progressive raffles:

(i) After selling raffle tickets, the licensee must hold a drawing with the pool containing all tickets purchased for that drawing.

(ii) The purchaser of the drawn ticket is given the opportunity to select one or more of the windows or envelopes. The number of windows or envelopes selected per draw must remain constant throughout the progression.

(iii) If the ticket purchaser selects the window or envelope containing the Jackpot Prize Card, the ticket purchaser wins the raffle prize amount, consisting of the prize money accumulated since the last winning draw.

(iv) If the ticket purchaser’s selected window or envelope does not contain the Jackpot Prize Card, there is no winner and the prize amount is added to the jackpot for the next drawing. 8.4.2 Additional rules for both methods of playing card progressive raffles (a) A ticket holder must be present at the drawing in order to claim a progressive raffle prize. If the winning ticket purchaser is not present at the drawing, the licensee must continue to draw tickets until selecting a ticket purchaser who is present.

(b) If the window or envelope selected by the drawing winner does not contain the Jackpot Prize Card, the licensee must display the selected card at all future drawings until the licensee awards the (c) The licensee must determine the amount of the jackpot based on a percentage of gross raffle ticket sales from each raffle in the progressive sequence, not to exceed 70%.

(d) The licensee may offer a cash consolation prize for a winning ticket purchaser that does not select the Jackpot Prize Card.

(1) Consolation prizes do not count against the $15,000 maximum progressive raffle prize limit.

(2) Before conducting a progressive raffle offering a consolation prize, the licensee must designate the consolation prize as either a specified amount or a specified percentage of the gross proceeds collected from the sale of raffle tickets for a particular drawing. 8.4.3 The licensee may conduct a maximum of one playing card progressive raffle and one members-only progressive raffle simultaneously. 8.4.4 Progressive raffles ticket sales (a) If the licensee only sells progressive raffle tickets to licensee members, Rule 8.1.4 requirements do not apply.

(b) Tickets sold for a specific drawing are void and ineligible for future drawings.

(c) The licensee must determine ticket prices before selling progressive raffle tickets and must not change ticket prices for any drawing in that progressive sequence. 8.4.5 Progressive jackpot prizes (a) A progressive raffle jackpot prize must not exceed $15,000. When the jackpot prize reaches $15,000, the licensee must award it in the following manner:

(1) In a members-only drawing, the licensee must continue to draw member names until a member who purchased a ticket is drawn. The licensee must award the progressive raffle prize to that member.

(2) In a playing card progressive raffle, the licensee must either:

(i) Award the jackpot to the ticket purchaser whose ticket is first drawn after the prize limit is reached; or (ii) Determine the winner by drawing raffle tickets and allow ticket holders to select envelopes until a drawing winner selects the jackpot prize card.

(b) The licensee must retain any proceeds from raffle tickets sold after the progressive prize reaches the $15,000 prize limit.

(c) A licensee may impose a progressive raffle jackpot maximum below the $15,000 maximum set by these rules. Upon reaching the self-imposed maximum, the licensee must award the jackpot according to procedures listed in Rule 8.4.5(a). The licensee must post notice of self-imposed maximums in accordance with Rule 8.4.6.

(d) A licensee may seed a single progressive raffle with an amount not to exceed $500. 8.4.6 Required postings. In addition to any postings otherwise required by these rules, a licensee that conducts a progressive raffle must also post a sign in at least 12-point font and in a conspicuous location stating:

(a) The amount of the progressive raffle jackpot and any consolation prizes;

(b) The percentage of gross sales of progressive raffle tickets that will be contributed to the jackpot;

(c) If applicable, the maximum number of progressive raffle drawings without a jackpot winner or the maximum jackpot amount before the licensee will automatically award the prize according to procedures listed in Rule 8.4.5(a);

(d) If the jackpot is not awarded, the date, time, and location of the occasion at which the next drawing will occur; and (e) In a playing card progressive raffle, the Jackpot Prize Card and the number of envelopes to be selected per drawing. 8.4.7 Conditions affecting the award of the final progressive raffle jackpot prize (a) If the licensee plans, expects, or otherwise foresees the occurrence that it can still determine a winner and award the progressive raffle jackpot prize before the occurrence of the event on the last posted drawing date at the location where the progression was started:

(1) Permanent termination of licensee’s operations;

(2) Permanent termination of licensee’s operations at a (3) Loss of license through expiration, nonrenewal, suspension, (b) If an event in Rule 8.4.7(a)(1)–(3) occurs without the licensee’s foreknowledge before the date of the last posted drawing date, the licensee must contact the Secretary of State for approval of a means of determining a winner and awarding any jackpot prize(s). 8.5 Games not classified as raffles. The games of chance commonly known as "Animal Plop Bingo," "Golf Ball Drops," plastic or rubber "Duck Races," "Coin Flip Games," and variations of these games are not raffles as defined by section 24- 21-602(38), C.R.S., and are not raffles as authorized by subsections (2) to (4) of

Section 2 of Article XVIII of the Colorado Constitution. Therefore, these games of chance are not licensed or regulated by the Secretary of State. In certain circumstances, these games of chance may be considered unlawful gambling.

Licensees or other organizations who wish to conduct these games should contact law enforcement authorities or legal counsel to determine how to comply with Colorado law.

Rule 9. Prize Amounts and Payment of Prizes 9.1 Occasion and single game prizes. As long as the total value of prizes offered during a bingo occasion, including any occasion in which both strip bingo games and traditional bingo games are played, does not exceed the statutory maximum of $15,000 in section 24-21-618(11)(d), C.R.S., a licensee may award: 9.1.1 Any amount as a prize for any single game of traditional bingo; and 9.1.2 A maximum of $1,000 for any single game of strip bingo per section 24- 21-618(11)(b), C.R.S. 9.2 Progressive prizes 9.2.1 Progressive bingo. The maximum progressive jackpot prize may not exceed $15,000. 9.2.2 Progressive pull tab games. The maximum progressive pull tab prize may not exceed $5,000. 9.2.3 Progressive raffle. The maximum progressive raffle prize may not exceed $15,000. 9.3 Payment of prizes 9.3.1 Pull tab prize payment. Licensees must award all pull tab prizes immediately upon determination of a winner. 9.3.2 Time to redeem pull tab. If a ticket holder presents a pull tab ticket more than 21 days after the licensee closes the pull tab deal, the ticket is void and irredeemable except as otherwise provided in these rules and unless the licensee’s house rules provide an alternative redemption deadline. 9.3.3 Method of payment. Licensees must award all pull tab prizes in cash, by check, or in merchandise, except that winning pull tab tickets may be exchanged for an equivalent amount in new tickets of the same deal and serial number.

(a) All progressive prizes in excess of $500 must be paid by check.

(b) A progressive prize need not be paid immediately upon the determination of a winner if:

(1) The prize amount exceeds $500;

(2) The prize amount is paid in full within 48 hours after the winner was declared;

(3) The prize amount is paid at a location and in a manner acceptable to the winner; and (4) The winner is presented with a voucher or promissory note for the full amount of the jackpot prize before the end of the occasion during which the winner was declared. The licensee’s games manager and one other member of the licensee must sign the voucher or promissory note. The note must state the following:

(i) The name and license number of the licensee;

(ii) The date, time, and location of verification of the winning card;

(iii) In the case of progressive bingo and progressive pull tabs, the manufacturer’s serial and identification numbers of the winning card;

(iv) The identification of the winner of the prize; and (v) The date, time, place and manner in which the check for the prize amount will be delivered to the winner.

Rule 10. Accounting for Receipts and Deposits 10.1 Maintenance of records 10.1.1 Retention period. Each licensee conducting charitable gaming activities must maintain records on forms prescribed or approved by the Secretary of State. These forms must cover bingo occasions, bar and club room sales and raffles. The records must be retained for a period of two years following the calendar year in which bingo, pull tabs or raffles were conducted. 10.1.2 Each licensee must record the following receipts:

(a) Gross receipts collected for all cards, including strip bingo cards, packs and sheets sold for each occasion;

(b) Gross receipts collected for all pull tabs sold for each occasion and in bars and clubrooms; and (c) Gross receipts collected for all raffle tickets sold. 10.1.3 Progressive games (a) All receipts from the sale of progressive games must be accounted for separately within the licensee’s bingo-raffle checking or savings account created in accordance with sections 24-21-622(3), C.R.S.

(b) All receipts from the sale of progressive games must be deposited in the licensee’s bingo-raffle account by using separate deposit slips. Deposit slips for progressive bingo and progressive pull tab games must indicate the serial numbers of the progressive bingo cards sold and the serial numbers of the progressive pull tabs sold.

Deposit slips for progressive raffles must contain the words “Progressive Raffle.” All deposits must be made no later than the close of the business day after the occasion at which the progressive took place.

(c) Unless the licensee starts a progressive jackpot bingo game with a secondary jackpot amount, the licensee must continuously hold an amount equal to at least the accrued progressive jackpot prize in the licensee’s bingo-raffle checking or savings account for the entire duration of the progression. No part of this amount may be expended, transferred, or otherwise removed from the account before the payment of the progressive jackpot to a winner.

(d) If the licensee has started a progressive jackpot bingo game with a secondary jackpot amount, the licensee must continuously hold an amount equal to at least the accrued primary and secondary jackpots in the licensee’s bingo-raffle checking or savings account for the entire duration of the progression. No part of this amount may be expended, transferred, or otherwise removed from the account before the payment of the progressive jackpot to a winner.

(e) If the licensee conducts a progressive pull tab game or a progressive raffle, the licensee must maintain an amount in the bingo-raffle account sufficient to pay out the total of all prize amounts in the game.

(f) If the licensee fails to maintain account balances in accordance with this rule or uses such balances for unlawful purposes, the failure or action is prima facie evidence of fraud. 10.2 Method of accounting 10.2.1 Accrual method. The licensee must use the accrual accounting method and must report all incurred bingo-raffle related expenses on the licensee’s quarterly financial statement. The licensee must report these expenses regardless of whether the expense is paid when incurred or at a later date. The licensee must not report a payment that was reported in a previous quarter as an expense to be paid. 10.2.2 Segregated bank accounts (a) The licensee must indicate on forms provided by the Secretary of State, the financial institution and account numbers for all segregated bingo-raffle checking or savings accounts.

(b) The licensee must notify the Secretary of State in writing if the licensee changes the financial institution it uses to maintain the segregated checking or savings accounts or if the licensee closes an account or starts a new account. 10.2.3 Accounting for prizes and payouts. The licensee must maintain prize and payout records on forms prescribed or approved by the Secretary of State covering each occasion, bar and club room sales, and each raffle. The licensee must retain the records for a period of two years following the calendar year in which bingo, pull tabs or raffles were conducted. The records must disclose the following information:

(a) The amount of the prizes paid to winners in cash or in merchandise for each bingo game at each occasion;

(b) The amount of the prizes paid to all pull tab winners at each occasion and bar and club room;

(c) The amount of prizes paid to raffle winners for each raffle conducted; and (d) The cost of all merchandise given as prizes in any bingo game, pull tab game, or raffle. 10.2.4 Records. The licensee must maintain administrative records on forms prescribed or approved by the Secretary of State covering each occasion, bar and club room sales, and each raffle. The licensee must retain the records for a period of two years following the calendar year in which bingo, pull tabs or raffles were conducted. The records must disclose the following information:

(a) The name and signature (as may be required by the Secretary of State’s form) of each games manager for the licensee at each bingo occasion, bar and club room or raffle; and (b) The full name of each member working the occasion. 10.2.5 Availability of records. The licensee must have available on its premises all required daily records for the current quarter and the immediately preceding quarter on forms prescribed or approved by the Secretary of State. A licensee must be able to print records maintained on a computer upon request of the Secretary of State or authorized representative. 10.2.6 Pull tab records. Each licensee that sells pull tabs must record sales and prize payout information on forms prescribed or approved by the Secretary of State, including a current summary of such sales. The licensee must retain the records for a period of two years. The licensee must maintain the records for the current and immediately preceding quarter on the premises where the pull tabs are sold and must make them available to the Secretary of State or authorized representatives upon request. 10.2.7 Submission of bank statements to the Secretary of State. Any licensee that surrenders its license, has had its license suspended or revoked, or, for whatever reason, ceases to conduct charitable gaming activities after it has opened a segregated bingo-raffle checking or savings account, or both, must send a copy of the bank statement for each account to the Secretary of State within 30 days after the licensee ceased operations. 10.3 Allowable expenses limitations 10.3.1 Bookkeeper. A licensee must not pay more than $200 per occasion for bookkeeper or accountant services. The licensee must notify the Secretary of State in writing, signed by an officer of the licensee, if the licensee remunerates its games manager for performing bookkeeping or accounting services. 10.3.2 Security (a) A bingo-raffle licensee must not pay more than $400 per occasion for security unless:

(1) Security is provided by one or more off-duty law enforcement officers; or (2) The occasion requires additional security, for example, a large number of people or large amount of money will be present on the premises.

(b) If a bingo-raffle licensee uses off-duty law enforcement officers, the licensee must notify the Secretary of State and list the names and badge numbers of those officers who perform security duties before paying more than $400 per occasion.

(c) If a bingo-raffle licensee uses security other than off-duty law enforcement officers, and payment will exceed $400 for a single occasion, the licensee must notify the Secretary of State and provide a reason for the increase before making the payment. 10.3.3 Janitorial. A licensee must not pay more than $200 per occasion for janitorial services. The licensee may only pay for janitorial services in facilities owned by the licensee or in its sole control, or which it uses rentfree. 10.3.4 Advertising. A licensee must not pay more than the amount customarily charged by the medium used for advertisements of the same size and duration of publication. 10.3.5 Call fulfillment center. A licensee may pay a reasonable amount to contract a call fulfillment center for call reception and data entry only. All activities of the call fulfillment center must comply with Rule 8.1.1(e). 10.3.6 Legal services. A licensee may only pay for legal services directly related to an administrative action brought by the Secretary of State or the Colorado Department of Law or for legal advice relating to the interpretation of the Bingo and Raffles Law or these rules.

Rule 11. Rental Agreements 11.1 General 11.1.1 License required. A licensee may only rent premises from landlords licensed by the Secretary of State. 11.1.2 Lease fees (a) The rental fee may only cover the expenses reasonably necessary for the use of the premises for the occasion, plus any expenses related to landlord sponsored promotions.

(b) Rental agreements must not specify any fee that the licensee must charge for a player’s right to participate in any games of chance conducted during a bingo occasion.

(c) A licensee must not conduct any activity under the Bingo and Raffles law if the lease, rent, contract or any other arrangement under which the rights to use the premises for the conduct of the activity is based on a percentage of receipts or profits derived from such licensed activities. 11.2 Termination 11.2.1 Termination by bingo-raffle licensee. A licensee may terminate a rental agreement upon at least two weeks’ notice to the landlord licensee or upon the voluntary cessation of bingo-raffle operations by the licensee or suspension or revocation of the licensee’s license by the Secretary of State. 11.2.2 Termination by landlord licensee. A landlord licensee may terminate a rental agreement between the landlord licensee and any bingo-raffle license by giving at least two weeks’ notice to the licensee or upon failure of the licensee to make payment for at least three bingo occasions.

Rule 12. Landlord Licensees 12.1 Application 12.1.1 Forms. A landlord license applicant must use the forms prescribed and provided by the Secretary of State. 12.1.2 Fees. The fee established by the Secretary of State must accompany all applications for a landlord license. There is no proration of the annual license fee. 12.1.3 Duration. A landlord license is issued for a period of one calendar year (January through December). 12.2 Lease agreements 12.2.1 Copy to Secretary of State. A landlord licensee must submit an executed copy of the rental agreement between the landlord licensee and each licensee to the Secretary of State before the conduct of any games of chance on the licensed premises. 12.2.2 Equipment lease. If a landlord licensee provides equipment on the licensed premises and the licensee has agreed to the use of the equipment, the landlord licensee must submit an executed copy of the equipment agreement between the landlord licensee and each licensee to the Secretary of State before the conduct of any games of chance in or on the licensed premises. 12.2.3 Substitutions. A landlord licensee may negotiate with a licensee to have the licensee operate a bingo-raffle occasion that was not provided in the original rental agreement between the landlord licensee and the licensee.

The landlord licensee must submit an executed copy of the rental agreement to the Secretary of State within five business days of the date of the substituted occasion. 12.3 Promotions. A landlord licensee may award a prize of merchandise, services, or cash in a promotion that does not exceed $10,000. A landlord licensee must not require participation by any licensee, and the landlord licensee must not require payment in excess of $1,000 from any licensee that agrees to participate in the promotion. 12.4 Assistance with licensee games. A landlord licensee and its employees must not assist a licensee in the conduct or operation of games of chance. This assistance includes but is not limited to: 12.4.1 Acting as a caller; 12.4.2 Selling bingo packs, sheets or electronic bingo aid devices; 12.4.3 Acting as a floor worker; 12.4.4 Operating a bingo computer aid system other than instructing a licensee on its use and maintenance; and 12.4.5 Providing bookkeeping or accounting services to a licensee. 12.5 Prohibited activities 12.5.1 A landlord licensee must not require any licensee that operates games of chance on the premises to adopt a specific set of occasion rules. 12.5.2 A landlord licensee must not require, coerce or induce a licensee to purchase supplies from a specific supplier as a condition of rental of the premises. 12.5.3 A landlord licensee must not require, coerce or induce a licensee to charge players a set pack price, admission to the premises, or other fee as a condition of rental of the premises. 12.5.4 A landlord licensee must not require, coerce or induce a licensee to conduct a set number of bingo games during an occasion or set a minimum prize amount per game or occasion as a condition of rental of the premises.

Rule 13. Manufacturer and Supplier Licensees 13.1 Application 13.1.1 Forms. A manufacturer’s or supplier’s license applicant must use the forms prescribed by the Secretary of State. 13.1.2 Fees. The fee established by the Secretary of State must accompany all applications for a manufacturer’s or supplier’s license. There is no proration of the annual license fee. 13.1.3 Duration. A manufacturer’s or supplier’s license is issued for a 12-month period commencing April 1 and ending March 31 of the following calendar year. 13.1.4 Software manufacturers. Companies that produce bingo, pull tab, or raffle software must hold a manufacturer’s license and comply with all statutes and rules pertaining to bingo-raffle manufacturers in Colorado. 13.2 Authorized sales 13.2.1 Licensed purchasers. A licensed manufacturer or supplier may sell supplies and equipment only to licensed licensees. 13.2.2 Financial terms. A licensed manufacturer or supplier may sell supplies and equipment to licensed bingo-raffle licensees for cash or on terms agreed to between the licensed manufacturer or supplier and the licensee, but the duration of the agreement may not exceed 60 days. 13.3 Delinquent accounts. If a licensee’s account with a manufacturer or supplier is more than 60 days past due, then: 13.3.1 The manufacturer or supplier must report to the Secretary of State by the tenth day of each month the name of the licensee whose account is in arrears. 13.3.2 The Secretary of State will notify all licensed manufacturers, suppliers, suppliers’ agents, and the licensee that, until further notice from the Secretary of State, all sales of bingo supplies and equipment to the delinquent licensee must be on a cash-only basis. 13.3.3 No manufacturer, supplier, or supplier’s agent may extend credit to the delinquent licensee until the Secretary of State approves, in writing, credit sales to the licensee. 13.4 Discontinued pull tabs. A licensed manufacturer or supplier that sells progressive pull tab games to any licensee may discontinue distribution or production of specific progressive pull tab games if: 13.4.1 The licensed manufacturer or supplier provides at least 60 days written notice to the Secretary of State and to all licensees that have purchased the pull tab game from the manufacturer or supplier within the previous 12 months. The notice must state that the manufacturer or supplier intends to discontinue the distribution or manufacture of the progressive pull tab game on a specified future date that is at least 60 days after notice is received by the Secretary of State; and 13.4.2 The manufacturer or supplier maintains a sufficient inventory of pull tab deals for that progressive pull tab game to ensure that all licensees that have purchased the game within the previous 12 months can close the game by awarding a jackpot.

Rule 14. Electronic Devices used as Bingo Aids and Bingo Aid Computer Systems Manufacturers and Supplier Requirements 14.1 General 14.1.1 Application for approval. Any Colorado licensed manufacturer of an electronic bingo aid device and computer system may apply for a letter ruling in accordance with section 24-21-605(1)(d), C.R.S., by submitting a written request to the Secretary of State. The request must include:

(a) The manufacturer’s name, license number, address, telephone and fax numbers, and an email address;

(b) The make, model and description of the bingo aid device and computer system for which approval is sought;

(c) The name and specific contact information of the manufacturer’s representative who is an expert on the construction, programming, and operation of the device and system;

(d) A complete user’s manual of the bingo aid device or system;

(e) Either a working prototype or a location in Colorado where the manufacturer can demonstrate the prototype;

(f) An affirmation from the manufacturer stating that the manual and prototype submitted to the Secretary of State do not differ materially from the manual, device and system that will be distributed in Colorado after approval of the prototype;

(g) In the case of a bingo aid device, a verified certificate from the manufacturer stating that the device meets all the standards set forth in section 24-21-618(8)(a)(II)(A) through (D), C.R.S., and that the device can and will be restricted to allow the play of no more than 54 faces per bingo game;

(h) In the case of a bingo aid computer system, a verified manufacturer’s certificate stating that:

(1) The system meets all the requirements set forth in section 24-21-618(9), C.R.S.; and (2) The system, if constructed or intended for more than one licensee’s use, can:

(A) Clearly identify each user’s data;

(B) Segregate and secure each user’s data from others’ access; and (C) Restrict access to each user’s data through a unique user identification and password, smart card, token, or other method that limits access solely to the unique identifier’s bearer, the Secretary of State and the manufacturer. 14.1.2 Letter ruling. The Secretary of State will issue a letter ruling within 45 days after receipt of the letter ruling request complete with all attachments required by these rules. 14.1.3 Authorization required. A manufacturer or supplier licensee must not distribute any electronic bingo aid device or bingo aid computer system that differs materially in construction, hardware, software, or operation from a previously approved device or system until the Secretary of State approves the differing device or system. A manufacturer or supplier does not have to request authorization for nonfunctional differences in a device or system, including but not limited to, changes in screen appearance, case color or size, or power supply. 14.2 Agreements with bingo-raffle licensees. Any contract or agreement between a manufacturer, supplier, or agent and a bingo-raffle licensee concerning the rental, lease or use of any bingo aid device or bingo aid computer system are subject to the following: 14.2.1 Initial term. The initial term and any subsequent term of the contract or agreement must not exceed one year. 14.2.2 Extensions. The contract or agreement may be extended only upon the written affirmative consent of the licensee. 14.2.3 Termination. The contract may be terminated if:

(a) The licensee ceases bingo-raffle operations;

(b) The Secretary of State suspends or revokes the license of the licensee; or (c) The licensee gives the other party to the contract or agreement written notice at least 30 days in advance of the licensee’s intention to terminate the contract. 14.3 Secretary of State powers 14.3.1 Violation of law. The Secretary of State, in addition to or in lieu of any other penalties or corrective actions, may restrict or prohibit the use of any electronic bingo aid device or computer system that violates any provision of law or these rules. 14.3.2 Access and audit (a) Upon request, a manufacturer, supplier, or agent of a bingo aid computer system must grant the Secretary of State access to all systems in use within the state. The Secretary of State will use this access to audit any system and verify that the system is operated in compliance with the law and rules regulating bingo aid computer systems.

(b) Independent testing (1) Upon initiating an audit, the Secretary of State may require the manufacturer to submit any electronic bingo aid device, bingo aid computer system, random number generator, or the operating software of any electronic bingo aid device, bingo computer system, or random number generator for testing by an independent testing facility. Testing is at the manufacturer’s expense and the Secretary of State will specify the independent testing facility.

(2) The Secretary of State, in consultation with the independent testing facility, will determine if the electronic bingo aid device and software is operating in compliance with the requirements and restrictions of applicable laws and rules.

(c) If the Secretary of State requests access to a particular system and the manufacturer, supplier or agent does not comply, the manufacturer, supplier and agent are prohibited from allowing a licensee to use the bingo aid computer system until authorized by the Secretary of State. 14.4 Random number generators. Any manufacturer or supplier that intends to sell or lease bingo equipment that generates numbers electronically must submit the following to the Secretary of State before the sale or lease of such equipment to licensees: 14.4.1 An operator’s manual for the model or models intended for sale or lease; 14.4.2 Technical specifications for the model or models to be sold or leased that describe the method and algorithm of randomly generating numbers, along with the method used to ensure that duplicate numbers cannot be called; 14.4.3 Letters of authorization regarding the sale, lease, use or restrictions on use for each state in which the model or models is currently being sold, leased or otherwise used; and 14.4.4 Upon request of the Secretary of State, a working model capable of demonstrating play or a location where such equipment can be demonstrated to the Secretary of State.

Rule 15. Fines 15.1 General. The schedule of fines provided in this rule applies to any violation of the Bingo and Raffles Law or rules for which the Secretary of State elects to impose an administrative fine. 15.2 Class 1 violations. A Class 1 violation is a willful act that is specifically prohibited by statute or rule and does, may, or is intended to result directly in the profit or enrichment of the violator or any person associated with the violator. 15.2.1 The fine for a Class 1 violation is $175. 15.2.2 Class 1 violations include, but are not limited to:

(a) Employing a device, scheme, or artifice to defraud or deceive in connection with any charitable gaming activity;

(b) Engaging in an act, practice, or conduct that constitutes fraud or deceit, including any intentional misstatement of fact, in charitable gaming operations;

(c) Transferring any license issued in accordance with the Colorado Bingo and Raffles Law;

(d) Authorizing or permitting any person other than active member of a licensee to assist in the management or operation of games of chance;

(e) Conducting more than 220 bingo occasions in one calendar year under color of a single bingo-raffle license;

(f) Possessing, using, selling, offering for sale or putting into play any computerized or electro-mechanical facsimile of a pull tab game, any pull tab game not purchased from a licensed supplier and accompanied by a complete supplier’s invoice; any pull tab game that is marked, altered, tampered with, commingled or known to be defective; any pull tab game in any unlicensed premises, other than the licensee’s own premises; or any pull tab game that does not conform to the definitions and requirements of the Bingo and Raffles Law;

(g) Permitting any person under the age of eighteen to purchase the opportunity to participate in a game of chance;

(h) Allowing any person other than a licensee’s owner, officer, director, member, shareholder of more than 10% of the licensee’s ownership interests, or licensed agent to represent a supplier, manufacturer or landlord licensee with regard to any Colorado transaction;

(i) Buying, selling, receiving, furnishing, or distributing games of chance equipment to any person in Colorado other than a licensee, a supplier licensee and its licensed agents, or a manufacturer licensee;

(j) Filing any falsified and/or materially misleading renewal application or quarterly financial statement;

(k) Authorizing, permitting, or receiving any remuneration or inurement for participating in the management or operation of a licensed game of chance; and (l) Requiring, inducing or coercing a licensee to enter into any agreement contrary to the Bingo and Raffles Law, or to purchase supplies or equipment from a particular supplier as a condition of conducting games of chance at a commercial bingo facility. 15.3 Class 2 violations. A Class 2 violation is a willful act that is specifically prohibited by statute or rule and is not intended to and does not directly result in the profit or enrichment of the violator. 15.3.1 The fine for a Class 2 violation is $125. 15.3.2 Class 2 violations include:

(a) Using bingo or pull tab equipment that is not owned or leased by a landlord licensee or owned or leased by a licensee;

(b) Paying other than reasonable, bona fide, lawful expenses in connection with the conduct of licensed games of chance, purchasing games of chance prizes or equipment at prices exceeding reasonable and usual amounts, or other use of games of chance proceeds for other than the lawful purposes of the licensee;

(c) Converting into or redeeming for cash any bingo merchandise prizes;

(d) Offering or giving any alcoholic beverage as a prize in a licensed game of chance;

(e) Giving, receiving, authorizing, or permitting the assistance in the conduct of games of chance of any person disqualified or prohibited by statute or rule from rendering such assistance;

(f) Offering or giving any bingo door prizes or jackpot prizes exceeding the statutory maximum amounts set for prizes;

(g) Reserving or setting aside bingo cards or pull tabs for use by players, except as authorized in section 24-21-618(3)(d), C.R.S., or, except as authorized by these rules, reserving or allowing to be reserved any seat or playing space for use by players;

(h) Drawing a check on a bingo-raffle account payable to “cash” or to a fictitious payee;

(i) Authorizing or allowing the play of bingo by a person not present on the premises where the game is conducted, or the play of any game of chance on credit, or without collecting the consideration required in full and in advance; and (j) Engaging in any act, practice or conduct described as a Class 1 violation in Rule 15.2, or that would otherwise be a Class 1 violation, when the act or conduct is not intended to and does not directly result in the profit, inurement or remuneration of the violator. 15.4 Class 3 violations. A Class 3 violation is one that occurs when a licensee omits, fails or neglects to comply with a requirement set forth in the statutes or rules, but that does not involve the affirmative performance of an act specifically prohibited by statute or rule. Class 3 violations are deemed negligent rather than willful, unless a specific violation is repeated within a two-year period or the facts of the violation show that the violator knowingly and deliberately failed or refused to comply with a requirement or standard set by statute or rule. 15.4.1 The fine for a Class 3 violation is $50 unless the violation is repeated or knowing and deliberate, in which case the fine is $75. 15.4.2 Class 3 violations include, but are not limited to:

(a) Neglecting to display a license or other document at a time and place where display is required;

(b) Failing to file with the Secretary of State any quarterly report, administrative fee, or rental or other document at the time required for the filling, or omitting required information on such a filing;

(c) Failing to keep or furnish required records in connection with any licensed activity;

(d) Omitting any required procedure in the conduct of bingo-raffle activities;

(e) Failing to designate an officer responsible for the use of games of chance proceeds;

(f) Neglecting to have a certified games manager present continuously during the conduct of any raffle or bingo occasion and for thirty minutes after the last game in an occasion;

(g) Failing to have games of chance premises or equipment open or available for inspection by the Secretary of State or police officers;

(h) Failing to deposit or maintain all games of chance receipts in a special segregated checking or savings account of the licensee, or to withdraw any funds expended from such account by means of consecutively numbered checks or withdrawal slips signed by an officer or officers of the licensee and showing the payee and a description of reason for the payment for which the check or withdrawal slip is made, or by electronic funds transfer;

(i) Failing to submit the required administrative fee, or a portion thereof, at the time of filing a required quarterly financial report;

(j) Neglecting to give required notice of the termination of a rental agreement or the cancellation of a bingo occasion; and (k) Omitting required information from a raffle ticket, if the ticket has been offered for sale or sold without the approval of the Secretary of State. 15.5 Citations 15.5.1 Issuance. The Secretary of State will issue all citations in writing, signed and dated by the authorized agent of the Secretary of State and will identify the licensee cited; the facts and/or conduct constituting the violation; the specific rule or statutory provision violated; and the fine assessed in accordance with this rule and the Bingo and Raffles Law. 15.5.2 Delivery. Citations may be delivered to the cited licensee, to the attention of its games manager, games managers, officer or officers on record in the files of the Secretary of State, either personally or by first class mail. 15.5.3 Suspension or reduction of fine. The Secretary of State, for good cause shown, may suspend or reduce any fine imposed in accordance with this

rule. Requests for fine suspensions or reductions must be in writing, must be received by the Secretary of State within 20 days of the date of the citation, and must state and document with particularity the facts, circumstances and arguments supporting the request. 15.5.4 Referral to law enforcement. Irrespective of whether a citation was issued, the Secretary of State reserves the right to refer any violation to a law enforcement agency. 15.6 Hearings, payment of fines, and collections 15.6.1 Request for hearing. In accordance with section 24-21-605(1)(a)(II), C.R.S., a licensee may request a hearing before an administrative law judge to appeal the imposition of a fine. The Secretary of State must receive a written request for a hearing within 20 days of the date that the Secretary of State denied a fine suspension or reduction request. 15.6.2 Payment of fines (a) If a licensee does not request a fine suspension, fine reduction, or hearing before an administrative law judge, then the licensee must pay within 20 days of the date of the citation imposing the fine.

(b) If the Secretary of State denies a fine suspension request or grants a reduction request, then the licensee must pay the fine or reduced fine within 20 days of the date of the notice of denial or reduction.

(c) If an administrative law judge denies an appeal of a fine, then the licensee must pay the appealed fine within 20 days of the date of the issuance of the administrative law judge’s order.

(d) A licensee must pay fines by check or money order, payable to the Colorado Secretary of State.

Editor’s Notes

History Emer. rules 4.0, 8.0, 13.0, 16.0, eff. 04/30/2008.

Rules 4.0 through 9.0, 13.0, 16.0 eff. 07/30/2008.

Rules 2.0(B), 2.0(V), 5.0(A.1), 9.0(E.5) eff. 05/16/2010.

Rules 2.0(S, V), 5.0(A.1), 9.0(E.5 – F) eff. 09/14/2011.

Entire rule eff. 03/30/2013.

Rules 2.1.1, 2.3.2, 3.2.1(g), 3.2.2, 3.2.4 – 3.2.5, 3.2.11, 3.2.13, 3.4.2, 4.4, 5.1.8, 5.2.10 – 5.2.11, 5.4.11, 8.1.7, 8.4 – 8.5, 9.2.3, 9.3.3(a) – 9.3.3(b), 10.1.2 – 10.1.3, 10.3.1 – 10.3.3, 15.5.1, 15.5.4, 15.6 eff. 01/01/2014.

Rules 1, 2.3.1, 2.4.3, 2.4.4(c), 3.2.3(b), 4.1.1(a)(2), 4.1.2 – 4.1.5, 4.2.2, 5.3.2, 5.4.3, 7.1.1, 8.1.4 – 8.1.6, 8.1.8, 8.4.1(b)(2), 8.4.2–8.4.7, 9.3.2, 14.1.1, 15.3.2 eff. 08/14/2014. Rule 3.2.16 repealed eff. 08/14/2014.

Rules 1.9, 1.15.2, 2.4.4, 2.5, 3.1.11, 3.4, 4.1.1, 6.4.2, 7.1.1, 8.5, 10.1.3(a), 14.1.1, 15.3.2(g), 15.6.1 emer. rules eff. 06/14/2017.

Rules 1.9, 1.15.2, 2.4.4, 2.5, 3.1.11, 3.4, 4.1.1, 6.4.2, 7.1.1, 8.5, 10.1.3(a), 14.1.1, 15.3.2(g), 15.6.1 eff. 09/30/2017.

Rules 3.1.5(b), 3.1.5(d), 5.4.1, 5.4.3, 8.4.1, 8.4.2 eff. 11/01/2021. Rule 15.6.3 repealed eff. 11/01/2021.

Rules 1.1-1.21, 2.5.2, 3.1.10, 3.2.13, 4.1.4, 4.1.4(e), 5.1.5(a)(2), 5.1.7, 5.4.7, 6.1.2- 6.1.4, 6.4.2, 8.4.1(b)(1)(i), 8.4.7, 9.1.1, 9.1.2, 10.1.2(a), 13.1.4 eff. 03/31/2023.

Rules 1, 2.1, 2.4.1, 2.4.4, 2.4.5, 2.5, 2.5.2, 3.1.2, 3.1.5(b), 3.1.7(b), 3.2, 3.3, 3.4.4, 4.1.4, 4.1.5, 4.2.3, 4.3.1, 5.3.3, 5.4.5, 5.4.7, 5.5, 6.2.3(b), 6.4.3, 8.1.1, 8.1.3, 8.2.1- 8.2.3, 8.3.3, 8.3.4, 8.4.1, 8.4.5, 8.4.6, 9.1, 10.1.2, 10.1.3, 10.2.1, 10.2.4, 10.2.5, 10.2.7, 10.3, 12.2.1-12.2.3, 13.2.1, 13.2.2, 13.3, 13.4, 14.1.1, 14.4, 15.1-15.4 eff. 10/15/2024.

8 CCR 1505-3 Rules Governing General Policies and Administration {#sec-8-ccr-1505-3 omnilex-key=us-co-regs-official--department-20--8 CCR 1505-3}

DEPARTMENT OF STATE

GENERAL POLICIES AND ADMINISTRATION

8 CCR 1505-3 [Editor’s Notes follow the text of the rules at the end of this CCR Document.] _________________________________________________________________________

Rule 1. Declaratory Orders 1.1 Applicability. Any person may petition the Secretary of State for a declaratory order to terminate controversies or to remove uncertainties as to the applicability to the petitioner of any statutory provisions or any rule or order of the Secretary of State as required by section 24-4-105(11), 1.2 Initial determination 1.2.1 The Secretary of State will determine, at their discretion and without notice to petitioner, whether to rule upon the filed petition. If the Secretary decides not to rule upon the petition, the petitioner shall promptly be notified of the action. The notice shall state the reasons for the action. 1.2.2 In determining whether to rule upon a petition filed pursuant to this rule, the Secretary will consider the following matters, among others:

(a) Whether a ruling on the petition will terminate a controversy or remove uncertainties as to the applicability to the petitioner of any statutory provision,

rule or order of the Secretary.

(b) Whether the petition involves any subject, question or issue which is the subject of a formal or informal matter or investigation currently pending before the Secretary or a court involving one or more of the petitioners.

(c) Whether the petition involves any subject, question or issue which is the subject of a formal or informal matter or investigation currently pending before the Secretary or a court but not involving any petitioner.

(d) Whether the petition seeks a ruling on a moot or hypothetical question or will result in an advisory ruling or opinion. 1.3 Content of petition. any petition filed pursuant to this rule shall set forth the following: 1.3.1 The name and address of the petitioner and the relationship of the petitioner to the Secretary of State whether a licensee, a person required to file with the Secretary of State, a citizen or other relationship; 1.3.2 The statute, rule or order to which the petition relates; and 1.3.3 A concise statement of all of the facts necessary to show the nature or the controversy or uncertainty and the manner in which the statute, rule or order in question applies or potentially applies to the petitioner. 1.4 Procedure for ruling. If the Secretary of State decides to rule on the petition, the following procedures shall apply: 1.4.1 The Secretary may rule upon the petition based solely upon the facts presented In the petition. In such a case:

(a) Any ruling of the Secretary will apply only to the extent of the facts presented in the petition and any amendment to the petition;

(b) The Secretary may order the petitioner to file a written brief, memorandum or statement of position;

(c) The Secretary may set the petition, upon due notice to petitioner, for a nonevidentiary hearing;

(d) The Secretary may dispose of the petition on the sole basis of the matters set forth in the petition;

(e) The Secretary may request the petitioner to submit additional facts, in writing. In that event, the additional facts will be considered as an amendment to the petition;

(f) The Secretary may take administrative notice of facts pursuant to section 24-4- 105(8), C.R.S., and may utilize the experience, technical competence and specialized knowledge of the Secretary in the disposition of the petition; and (g) If the Secretary rules upon the petition without a hearing, the petitioner shall be promptly notified of the decision. 1.4.2 The Secretary, at their discretion, may set the petition for hearing under section 24-4-105, C.R.S., upon due notice to petitioner, for the purpose of obtaining additional facts or information or to determine the truth of any facts set forth in the petition or to hear oral argument on the petition. The notice to the petitioner setting the hearing shall set forth, to the extent known, the factual or other matters into which the Secretary intends to inquire.

The petitioner shall have the burden of proving all of the facts stated in the petition, all of the facts necessary to show the nature of the controversy or uncertainty, the manner in which the statute, rule or order in question applies or potentially applies to the petitioner and any other facts the petitioner desires the Secretary to consider. 1.5 Parties and intervention. The parties to any proceeding pursuant to this rule shall be the Secretary and the petitioner. Any other person may seek leave of the Secretary to intervene in the proceedings. Leave to intervene will be granted at the sole discretion of the Secretary. A petition to intervene shall set forth the same information as required by Rule 1.3. Any reference to a "petitioner" in this rule also refers to any person who has been granted leave to intervene by the Secretary. 1.6 Final agency action. Any declaratory order or other order disposing of a petition pursuant to this

rule shall constitute agency action subject to Judicial review pursuant to section 24-4-106(2),

Rule 2. Seal of the State 2.1 State seal. In accordance with section 24-80-901, C.R.S., the seal of the state shall be two and one-half inches in diameter.

Rule 3. General Procedural Rules for Administrative Hearings 3.1 Scope of rules 3.1.1 The Secretary of State has authority to conduct hearings pursuant to section 24-21-108, C.R.S., and in conjunction with sections 24-4-104 and 24-4-105, C.R.S. 3.1.2 These rules apply to matters that come before a hearing officer under the Secretary of State’s authority and the corresponding statutory authority:

(a) For candidate petition protests, section 1-4-909(1.7)(c), C.R.S.;

(b) For campaign finance complaints, sections 1-45-111.5 and 1-45-111.7(5), C.R.S.;

(c) For charitable solicitations, section 6-16-111(6)(b), C.R.S.;

(d) For durable medical equipment license complaints, section 24-21-115, C.R.S., (e) For Help America Vote Act (HAVA) complaints, section 1-1.5-105(2)(g), C.R.S.;

(f) For lobbyist complaints, section 24-6-305(2)(c) and 24-6-308(2), C.R.S.;

(g) For notary public complaints, section 24-21-523(3), C.R.S;

(h) For petition circulator complaints, section 1-40-132, C.R.S.;

(i) For petition circulator report complaints, sections 1-4-905.7(3), C.R.S.;

(j) For petition entity complaints, sections 1-4-905.5 and 1-40-135(3)(a), C.R.S.;

(k) For recall petition protests, section 1-12-108(9)(a)(III), C.R.S.;

(l) For voter registration drive complaints, section 1-2-703, C.R.S.; and (m) Any other complaints filed by a division, or its designee, for which there is statutory authority. 3.2 Definitions 3.2.1 “Administrative complaint” means a complaint alleging that there have been one or more violations of a constitutional provision, statutory provisions, or rules promulgated by the Secretary of State and is filed with the hearing officer to commence a hearing. 3.2.2 “Complainant” means a person filing an administrative complaint to a hearing officer. A “complainant” in these rules does not include an initial complainant who has filed a complaint with a division under section 1-45-111.7(5)(b), C.R.S. 3.2.3 “C.R.C.P.” means Colorado Rules of Civil Procedure. 3.2.4 “Day” means “calendar day” unless otherwise indicated. 3.2.5 “Deputy secretary” means the person appointed by the Secretary of State as the deputy secretary of state pursuant to section 24-21-105, C.R.S., or their designee. 3.2.6 “Division” means a division within the Secretary of State and includes: the Administration, Elections, and Business and Licensing divisions. 3.2.7 “Expedited hearings” include the following:

(a) Candidate petition protest hearings;

(b) Colorado Charitable Solicitation Act hearings;

(c) Petition circulator complaint hearings;

(d) Petition circulator reports complaint hearings;

(e) Recall petition protest hearings; and (f) Any other requests for expedited hearings upon motion to the hearing officer. 3.2.8 “Hearing officer” means a person authorized to conduct a hearing under section 24-4- 105(3), C.R.S. A hearing officer, for the purpose of these rules, is not the division or its designee in which an initial complaint was filed. 3.2.9 “Initial complaint” means a complaint alleging that one or more violations of the Colorado Constitution or Colorado statutes, which are incorporated or referenced in these rules, has occurred, and is filed with a division. 3.2.10 “Licensee” means any person:

(a) Commissioned or approved under the Revised Uniform Law on Notarial Acts (Title 24, Article 21, Part 5);

(b) Licensed under section 24-21-115(1)(a), C.R.S., as a durable medical equipment supplier;

(c) Registered under the Colorado Charitable Solicitations Act (Title 6, Article 16, C.R.S.);

(d) Registered as a petition entity under Title 1, Article 40, C.R.S.;

(e) Registered as a professional lobbyist under section 24-6-303, C.R.S.; and (f) Who has applied for a license, commission, approval, or registration under the statutes in (a)-(e) above. 3.2.11 “Motion” means a formal, written request or proposal made by any party to the hearing officer for an order, ruling, or decision. 3.2.12 "Pleading” means a document filed with the hearing officer. This includes, but is not limited to, the complaint, answer, reply, motion for entry of default, motion for continuance, and motion to stay proceedings. 3.2.13 “Respondent” means a person or entity that is subject to a complaint filed by the division or its designee to a hearing officer. 3.3 Timing for filing an administrative complaint, request for hearing, or transfer of an initial complaint or protest to a hearing officer 3.3.1 Administrative complaints filed for campaign finance violations must be filed within 30 days after initiating an investigation for a campaign finance violation, in accordance with

section 1-45-111.7, C.R.S., or 14 business days after the deputy secretary of state’s denial of a motion to dismiss the initial complaint in a campaign finance violation filed under section 1-45-111.7(5), C.R.S. 3.3.2 Licensees (a) Licensees must file a request for a hearing with a hearing officer within:

(1) 30 days of the date of a notice of denial, suspension, or revocation of registration for charitable organization, professional fundraising consultant, or paid solicitor under the Colorado Charitable Solicitations Act.

(2) 60 days of the date of a notice of a denial of a new license, or a revocation, suspension, annulment, limitation, modification, or nonrenewal of a license from the Secretary of State for all other licensees.

(b) The division must file an administrative complaint with the hearing officer within seven days of the hearing officer’s setting and notice of the date of an expedited hearing. 3.3.3 HAVA complainants who want a hearing must request a hearing at the time of filing a complaint, using the HAVA complaint form. The division must file an administrative complaint with a hearing officer if the initial complaint is not resolved within 90 days of the date that it was initially filed with the division. 3.3.4 For candidate petition protests, petition circulator complaints, and petition circulator report complaints, the division will timely determine if an initial complaint or protest will be transferred to the hearing officer to schedule a hearing and, if so, submit a transfer form, along with the petition protest or complaint, to the hearing officer. 3.3.5 A recall petition protest filed with the Secretary of State will be immediately transferred to the hearing officer upon the division’s completion of a transfer form, along with the recall petition protest, to schedule a hearing. 3.4 Content of administrative complaints and legal representation of a division 3.4.1 An administrative complaint filed with a hearing officer by a division may supplement or amend any initial complaint with additional or alternative factual allegations and legal claims that are supported by the Secretary of State’s review and investigations. An administrative complaint also may omit any factual allegations, legal claims, and named respondents from an initial complaint that are not supported by the Secretary of State’s review and investigation. 3.4.2 In any proceeding in which the Secretary of State is a party, the Secretary of State will be represented by counsel from the Colorado Department of Law, or such other special assistant attorneys general as may be designated by the Colorado Department of Law. 3.5 General filings and service of pleadings and other papers 3.5.1 Any filings made to the hearing officer shall be made to the following email address:

AdministrativeHearingOfficer@coloradosos.gov. Service of pleadings will not be accepted by facsimile copy. Filing and service of pleadings or other papers on a party or on an attorney representing a party may be made by email. 3.5.2 All pleadings or documents submitted by agencies to the hearing officer must be in an accessible format and compliant with section 24-85-103, C.R.S. All pleadings or documents submitted by non-agencies individuals or entities must be submitted to the hearing officer in Word format and checked for accessibility. 3.5.3 Upon receipt by the hearing officer, the case will be assigned a case number, and all future pleadings and papers filed with the hearing officer shall contain that case number. 3.5.4 Pleadings or other papers sent to the hearing officer must contain a certificate of service attesting to service on the opposing party.

(a) In the case of service by mail, pleadings must include the address for service.

(b) In the case of service by email, pleadings must include the email address for service. 3.5.5 Attorneys and parties not represented by attorneys must inform the hearing officer and all other parties, in writing, of their current address and of any change of address during the course of the proceedings. 3.6 Filings for answers or other pleadings 3.6.1 Answers (a) A respondent who is served an administrative complaint is required to file a written answer, a motion under C.R.C.P. 12(b), a motion for enlargement of time, or a motion to stay proceedings due to settlement within 30 days after the service or mailing of notice of the proceeding. If a respondent receiving such notice fails to file an answer, a hearing officer may enter a default against that respondent.

(1) Exception for expedited hearings. Answers, if required or requested, will be addressed in the hearing officer’s scheduling order.

(b) A respondent may, but is not required to, file a written answer during a stay of proceedings or if the administrative complaint is dismissed. If a stay of proceedings is lifted and complaint proceedings resume, respondent must file a written answer or responsive pleading within 30 days or as provided by the 3.6.2 Motion for entry of default. A hearing officer will not grant a motion for entry of a default under this rule unless the following requirements are met:

(a) The motion for entry of a default must be served upon all parties to the proceeding, including the person against whom a default is sought;

(b) The motion shall be accompanied by an affidavit establishing that both the notice of the proceeding and the motion for entry of default have been personally served upon the person against whom a default is sought or have been mailed by first-class mail to the last address known to the Secretary of State by the person against whom the default is sought; and (c) The motion for entry of default requesting a fine or civil penalty shall contain the legal authority for the claim and any applicable calculation thereof. 3.6.3 All other motions (a) Every motion must include a certification by the party or counsel filing the motion that they have conferred, or attempted to confer, with opposing counsel and unrepresented parties, and must also include a statement regarding whether the motion is contested, uncontested, or stipulated. If no conference has occurred, an explanation must be included in the motion.

(b) The motion shall conspicuously state in the caption if the motion is unopposed or stipulated.

(c) Any motion involving a contested issue of law shall be supported by a recitation of legal authority.

(d) A responding party shall have 14 days from service, or as specified by the hearing officer, to file and serve a responsive brief. Reply briefs may be filed within seven days of service of the responsive brief, or as specified by the (e) If facts not in the record before the hearing officer are to be considered in disposition of the motion, the parties may file affidavits at the time of filing the motion or responsive or reply brief. Copies of such affidavits and any documentary evidence used in connection with the motion shall be served on all other parties.

(f) If possible, motions will be determined upon the written motion and briefs submitted. The hearing officer may order oral argument or evidentiary hearing on the hearing officer's request. If any party fails to appear at an oral argument or hearing without prior showing of good cause for non-appearance, the hearing officer may proceed to hear and rule on the motion.

(g) An expedited hearing on any motion may be held at the discretion of the hearing officer. If any party requests that a motion be determined immediately with or without a hearing, or that a hearing be held on a motion in advance of a previously set motions date, that party shall:

(1) Inform the hearing officer, in writing, of said request;

(2) Contact all other parties, determine their position on the motion, and indicate on the face of the motion whether other parties oppose the motion and whether they will request a hearing on the motion; and (3) Conference in all other parties to set the matter directly with the hearing officer on an expedited basis, if a hearing is desired by any party and authorized upon advanced notice by the hearing officer.

(h) A hearing officer will issue an order on a motion no later than 21 days after conclusion of the briefings or arguments.

(i) Motions for continuance. Continuances shall be granted only upon a showing of good cause. Motions for continuance must be filed in a timely manner.

Stipulations for a continuance shall not be effective unless and until approved by the hearing officer.

(1) Exceptions for a hearing regarding the registration of a charitable organization, professional fundraising consultant, or paid solicitor. A hearing officer may continue a proceeding up to 15 days pursuant to

section 6-16-111(6)(b), C.R.S. 3.7 Setting of hearings or other proceedings 3.7.1 Within 30 days of the filing of an administrative complaint or request for a hearing, a hearing officer shall set a date for hearing. All hearings must take place within 98 days from when the administrative complaint is filed, unless a stay is entered, the matter is continued, or the hearing officer finds good cause for an enlargement of time. The hearing officer will also provide a scheduling order to the parties.

(a) Exception for denials, suspensions, or revocations of registrations under the Charitable Solicitations Act. A hearing officer will set and give notice of the hearing within seven days of receiving a request for a hearing per section 6-16- 111(6)(b), C.R.S. The hearing shall take place within 49 days after a notice of hearing is provided to the parties.

(b) Exception for HAVA complaints. If a HAVA complaint is transferred to the hearing officer for alternative dispute resolution under Rule 13.2.9, 8 CCR 1505-1, a hearing officer shall set a hearing within 14 days of receipt of the complaint. A hearing and order shall take place within 60 days after a receipt of the complaint by the hearing officer.

(c) Exception for petition circulator complaints. A hearing officer shall set a hearing within three business days of receipt of the administrative complaint. A hearing and order shall take place either 14 days after receipt of the administrative complaint or prior to the final petition review date, whichever is earlier.

(d) Exception for petition circulator report complaints. A hearing officer shall set a hearing within seven days of the deadline to cure the alleged violation or seven days after the responding party attempted to cure the violation, whichever is earlier. The hearing and order shall take place within 14 days after the deadline to cure the alleged violation or 14 days after the responding party attempted to cure the violation, whichever is earlier.

(e) Exception for protests for candidate petitions. A hearing officer shall set a hearing within seven days of receipt of the protest. The notice of the hearing must be provided to the parties no later than five days prior to the hearing. The hearing and order must take place no later than seven days prior to the deadline to certify ballot content on the primary election ballot, and no later than 14 days prior to the deadline to certify ballot content for any other candidate in any other election. A hearing concerning a protest for candidate petitions may be conducted solely by paper review upon determination by the hearing officer.

(f) Exception for protests for recall petitions. A hearing officer shall set a hearing within three business days of receipt of the protest. The hearing and order shall take place between five and 10 days after a notice of the hearing is provided to the parties, and no more than 30 days from the date of the initial protest was file with a division. 3.7.2 For a proceeding that is stayed, or for a hearing that has been continued, any party may file a request to reset the proceedings. The hearing officer may issue a scheduling order during stayed proceedings in the interest of justice or to serve the efficiency of the proceedings. 3.8 Mediation for licensees 3.8.1 Upon petition of the licensee or the Secretary of State after the licensee has received the notice of hearing, the hearing officer shall order mediation pursuant to section 24-4- 105(4)(b), C.R.S., except if a license is summarily suspended under section 24-4-104(4), 3.8.2 The Secretary of State shall provide a notice of mediation to the hearing officer stating the date of the mediation. This notice shall automatically stay the proceedings. 3.8.3 If mediation fails, the Secretary of State shall notify the hearing officer within seven days, and the hearing officer shall proceed with the hearing. 3.9 Settlements 3.9.1 At any time, the parties may enter into a settlement agreement. The settlement agreement must be in writing and signed by the parties. 3.9.2 A division may file a motion to stay proceedings with the hearing officer once good faith settlement negotiations begin. A division shall file a motion of dismissal with the hearing officer if a settlement has been approved by the deputy secretary. If the settlement agreement is not approved and alternative terms cannot be agreed upon, the division will move the hearing officer to lift the stay and resume proceedings before the hearing 3.9.3 The following factors shall be considered in arriving at a settlement agreement:

(a) Specific fine amounts outlined in statute or rule;

(b) Any appropriate specific action outlined in statute or rule;

(c) Any mitigating and aggravating factors in statute or rule to increase or decrease the monetary fine or terms, including the public interest in resolution of the complaint; and (d) As justice and equity is served. 3.9.4 The settlement agreement is contingent upon approval by the deputy secretary, who must also consider any factors set forth in statute or rule regarding a fine or action. If the deputy secretary does not approve the settlement agreement, none of the terms nor recitals of the agreement are binding or enforceable by either party. 3.9.5 If a respondent fails to comply with the terms of a settlement agreement, including failure to submit payment, failure to satisfy any registration, filing, or other tasks required by the settlement agreement, or failure to stop an action as required by the settlement agreement, the Secretary of State may pursue an enforcement action in Denver District Court. 3.9.6 The settlement agreement shall become the final agency action under section 24-4-105, C.R.S., upon approval by the deputy secretary. Settlements are not subject to appeal. 3.10 Discovery and subpoenas 3.10.1 Discovery (a) Discovery may be sought by any party without authorization of the hearing (b) Compliance with C.R.C.P. To the extent practicable, C.R.C.P. 26 through 37 and 121, section 1-12, and the duty to confer at C.R.C.P. 121, section 1-15(8), apply to proceedings within the scope of these rules, except to the extent that they provide for or relate to required disclosures, the time when discovery can be initiated, and discovery response times.

(1) Upon service of interrogatories and request for production or inspection, answers, responses, and objections if any, must be served upon the initiating party within 21 days.

(2) Discovery for expedited hearings is not subject to discovery deadlines under the C.R.C.P. The hearing officer may hold a prehearing with the parties to discuss deadlines for discovery and other related issues or require the parties to confer and propose discovery deadlines. A shorter or longer time may be directed by the hearing officer or as agreed upon by the parties.

(c) In addition to the requirements of C.R.C.P. 36, a request for admission shall explicitly advise the responding party that failure to timely respond to the request may result in all of the matters stated in the request being deemed established unless the hearing officer, on motion, permits withdrawal or amendment of the admission. The failure to comply with this rule may result in the matters contained in the request being deemed denied.

(d) Discovery requests and responses should not be filed with the hearing officer, except to the extent necessary for the hearing officer to rule upon motions involving discovery disputes, requests for summary judgment, or such other dispositive motions as may depend on a discovery response.

(e) Either party may move to modify discovery deadlines and limitations in accordance with prehearing procedures as set forth in Rule 3.11.

(f) Either party may move for a protective order. The motion must specify the disclosure or portion of the disclosure that is to be subject to a protective order, as well as the legal basis for seeking such an order. 3.10.2 Subpoenas (a) Upon oral or written request of any party or of counsel for any party, a hearing officer shall sign a subpoena or subpoena duces tecum requiring the attendance of a witness or the production of documentary evidence, or both, at a deposition or hearing. Unless otherwise provided by statute, rule, or regulation, practice before the hearing officer regarding subpoenas shall be governed by C.R.C.P. 45.

(b) A hearing officer shall designate and authorize specific Secretary of State personnel to use a stamp signature or to otherwise duplicate the signature of a hearing officer on subpoenas completed by the parties. However, no other party or person may duplicate the signature of a hearing officer. Subpoenas issued in contravention of this rule are invalid and may subject the party using them to sanctions.

(c) Any attorney representing a party before a hearing officer may issue a subpoena or subpoena duces tecum requiring the attendance of a witness or the production of documentary evidence, or both, at a deposition or hearing. Requests to attend by video conference may be directed to the hearing officer. 3.11 Prehearing procedures, statements, and conferences 3.11.1 Prehearing conferences regarding motions, discovery issues, case management deadlines, or other matters may be held at the request of either party or upon order of the 3.11.2 Unless otherwise ordered by the hearing officer, each party shall file with the hearing officer and serve on each other party a prehearing statement in substantial compliance with the form as outlined in Appendix A to these rules. 3.11.3 Prehearing statements shall be filed and served no later than seven days prior to the hearing or such other date as specified by the hearing officer. Exhibits shall not be filed with prehearing statements, unless ordered by the hearing officer. Exhibits shall be exchanged between the parties by the date on which prehearing statements are to be filed and served on such other date as ordered by the hearing officer.

(a) The authenticity of exhibits, statutes, ordinances, regulations, or standards set forth in the prehearing statement shall be admitted unless objected to in a written objection filed with the hearing officer and served on other parties no later than five days prior to hearing.

(b) The information provided in a prehearing statement shall be binding on each party throughout the course of the hearing unless modified to prevent manifest injustice. New witnesses or exhibits may be added only if the need to do so was not reasonably foreseeable at the time of filing of the prehearing statement and then only if it would not prejudice other parties or necessitate a delay of the hearing. The Secretary of State shall use numbers to identify exhibits and any opposing party shall use letters.

(c) In the event of noncompliance with this rule, the hearing officer may impose appropriate sanctions including, but not limited to, the striking of witnesses, exhibits, claims, and defenses.

(d) Expedited hearings do not require a prehearing statement. 3.12 General conduct of hearings 3.12.1 To the extent practicable, and unless inconsistent with these rules and the applicable statute, the C.R.C.P. applies to matters before the hearing officer. Unless the context otherwise requires, whenever the word "court" appears in a rule of civil procedure, that word shall be construed to mean a hearing officer. The following C.R.C.P rules do not apply:

(a) C.R.C.P. 16;

(b) The filing deadlines for motions and cross motions for summary judgment set forth in C.R.C.P. 56(c); and (c) Any other C.R.C.P. rule that by its terms necessarily does not apply to the litigation of a disputed administrative complaint. 3.12.2 A hearing officer does not need to strictly comply with the Colorado Rules of Evidence.

Such rules shall serve as guidance for the hearing officer who has discretion to admit evidence, not admissible under Colorado Rules of Evidence, that is sufficiently reliable and trustworthy, and is evidence that possesses probative value commonly accepted by reasonable and prudent persons in the conduct of their affairs. 3.12.3 The hearing officer will conduct any hearings at the offices of the Secretary of State at 1700 Broadway, Denver, Colorado, unless exigent circumstances require use of another location. The Secretary of State will provide such administrative, technical, and logistical support to the hearing officer as may be required to facilitate such hearings. Remote hearings by video conference or telephone conference may be conducted as circumstances require. 3.12.4 Any hearing conducted by the hearing officer shall be open to the public, unless closed pursuant to a written order by the hearing officer finding good cause for such closure. 3.12.5 All hearings conducted by the hearing officer shall be audio recorded with an audio recording system provided by the Secretary of State.

(a) The audio recording of the hearing shall be the official record of the proceeding.

(b) Any party may request a copy of the recording at the party’s expense.

(c) One party or the other, or by agreement of the parties, may make arrangements for a court reporter transcription of the proceedings.

(1) Neither the Secretary of State nor the hearing officer supplies court reporters. If any party wishes to have all or a portion of a proceeding transcribed by a court reporter, that party may make private arrangements to do so at that party's own expense. The recording of any proceeding made electronically by the hearing officer shall be the official record.

(2) A request to the hearing officer or the Secretary of State for a recording must be in writing and must contain the case number and the date and time of the hearing or conference. 3.12.6 Subject to the exceptions set forth in sections 1-45-111.7(5)(a)(II) and (III), C.R.S., all documents filed with or by the hearing officer shall be open to public inspection, unless otherwise prohibited by law, regulation, or court order, or when upon motion by either party and so ordered by the hearing officer to prohibit public inspection. 3.13 Burden of proof 3.13.1 The proponent of a request for remedy or relief shall have the burden of proof, and every party to the proceeding shall have the right to present their case or defense by oral and documentary evidence, to submit rebuttal evidence, and to conduct such crossexamination as may be required for a full and true disclosure of the facts. 3.13.2 Respondent bears the burden of proving any affirmative defenses. 3.13.3 The degree of proof required to prevail on a request for a remedy or relief is a preponderance of the evidence, unless a constitutional or statutory provision sets a different standard. 3.14 Post-hearing procedures. An initial decision shall be issued by a hearing officer within 21 days of the hearing and must be made in accordance with section 24-4-105, C.R.S. The hearing officer may issue an oral decision from the bench at the time of the hearing with a follow-up minute order within one business day. The hearing officer shall serve the initial decision upon the parties and the deputy secretary. 3.14.1 Exception for expedited hearings. An initial decision shall be issued by a hearing officer:

(a) Within 10 days following the hearing or within 10 days of the close of evidence, whichever is later, regarding a denial, suspension, or revocation of registration for a charitable organization, professional fundraising consultant, or paid solicitor under the Colorado Charitable Solicitations Act; and (b) Within the timelines stated in Rules 3.7.1(a)-(e) for hearing regarding petitions. 3.14.2 In issuing an order that includes sanctions, the hearing officer shall consider the following factors:

(a) Specific fine amounts outlined in statute or rule;

(b) Any appropriate specific action outlined in statute or rule;

(c) Any mitigating and aggravating factors in statute or rule to increase or decrease the monetary fine or terms, including the public interest in resolution of the complaint; and (d) As justice and equity is served. 3.14.3 Any party who seeks to reverse or modify the initial decision of the hearing officer shall file with the Secretary of State and all parties:

(a) A designation of the relevant parts of the record and transcript of the proceedings within 20 days and at their own expense, and (b) Exceptions with the deputy secretary within 30 days of the initial decision. 3.14.4 The initial decision in campaign finance cases pursuant to section 1-45-111.7(6)(b), C.R.S., is subject to review by the deputy secretary, including any submission of exceptions filed by the parties. 3.14.5 All final agency action is subject to review under section 24-4-106, C.R.S. 3.15 Entry of appearance and withdrawal of counsel. Entries of appearance and withdrawals of counsel shall be in conformance with C.R.C.P. 121, section 1-1, unless new counsel enters an appearance at the same time as prior counsel withdraws. Any out-of-state attorney shall comply with C.R.C.P. 221.1. 3.16 Ex parte communications 3.16.1 With the exception of scheduling or other purely administrative matters, a party or counsel for a party shall not initiate any communication with a hearing officer pertaining to a matter before that hearing officer unless prior consent of all other parties or their counsel has been obtained. Copies of all pleadings or correspondence filed with that hearing officer or directed to a hearing officer by any party shall be served upon all other parties or their counsel. 3.16.2 During the proceedings under this Rule 3, the deputy secretary, as well as staff directly supporting the deputy secretary or the deputy secretary’s designee, shall have no contact regarding the matter with the hearing officer while the matter is pending before the hearing officer. Staff directly supporting the deputy secretary are authorized to contact support staff directly supporting the hearing officer concerning procedural, recordkeeping, or other non-substantive matters. 3.17 General conduct of the hearing officer 3.17.1 Assignment of cases. Cases will be assigned on a rotating basis to the hearing officer(s) retained by the Secretary of State for purposes of conducting hearings under Rule 3.

Should the Secretary of State retain only one hearing officer, that hearing officer will be assigned and will prioritize hearing cases in order of their filing as appropriate. 3.17.2 Substitution of hearing officer (a) In the event the hearing officer becomes aware of a circumstance that reflects an actual or perceived conflict of interest for the hearing officer to conduct a hearing on an administrative complaint, the hearing officer shall promptly transmit to the deputy secretary a request for the deputy secretary to appoint a substitute hearing officer in their place to conduct the hearing in the matter. The deputy secretary will appoint a substitute hearing officer to conduct the hearing of the pending administrative complaint.

(b) A party may seek substitution of the hearing officer assigned to conduct the hearing on an administrative complaint only upon a verified motion with supporting evidence that is concrete and particular and not speculative, demonstrating that a reasonable person would question the propriety of the hearing officer conducting the hearing on the administrative complaint. Such a request for substitution of the hearing officer will be determined in the first instance by the hearing officer assigned to hear the administrative complaint. If the hearing officer denies the request for a substitute hearing officer, that decision is not subject to review until the hearing officer issues an initial decision for review by the deputy secretary, at which time a party may raise the substitution issue among its exceptions to the initial decision.

(c) By way of illustration, and without limitation, circumstances that may give rise to an actual or perceived conflict of interest requiring the substitution of the hearing officer are the following:

(1) A familial relationship with a party or the party’s counsel;

(2) A current business or professional relationship with or representation of a party;

(3) Current representation of a respondent in another case either before the Secretary of State or in a separate hearing; or (4) Such other circumstances as would cause a reasonable person to question the propriety of the hearing officer conducting the hearing on the administrative complaint. 3.18 Transfer of cases from the Office of Administrative Courts to hearing officer. Upon motion by the division, any administrative complaint pending before the Office of Administrative Courts shall be transferred to a hearing officer as provided for in these rules. The administrative complaint will proceed uninterrupted.

APPENDIX A – EXAMPLE OUTLINE FOR PREHEARING STATEMENT

The following shall be included in each party's Prehearing Statement:

I. PENDING MOTIONS. A list of all outstanding motions that have not been ruled upon by the hearing II. STATEMENT OF CLAIMS AND DEFENSES. A concise statement of all claims or defenses asserted by all parties, together with all matters in mitigation or aggravation.

Ill. UNDISPUTED FACTS. A concise statement of all facts that the party contends are or should be undisputed.

IV. DISPUTED ISSUES OF FACT. A concise statement of the material facts that the party claims or concedes to be in dispute.

V. POINTS OF LAW. A concise statement of all points of law that are to be relied upon or that may be in controversy, citing pertinent statutes, regulations, cases and other authority. Extended legal argument is not required but may be reserved for a trial brief at the option of the party.

VI. WITNESSES. The name, address and telephone number of any witness or party whom the party may call at hearing, together with a detailed statement of the content of that person's testimony.

VII. EXPERTS. The name, address and brief summary of the qualifications of any expert witness a party may call at hearing, together with a statement that details the opinions to which each expert is expected to testify. These requirements may be satisfied by the incorporation of an expert's resume or report containing the required information.

VIII. EXHIBITS. A description of any physical or documentary evidence to be offered into evidence at the hearing. An agency shall use numbers to identify exhibits and any opposing party shall use letters.

IX. STIPULATIONS. A listing of all stipulations of fact or law reached, as well as a listing of any additional stipulations requested or offered to facilitate disposition of the case.

X. TRIAL EFFICIENCIES. An estimate of the amount of time required to try the case.

APPENDIX B – EXAMPLE OUTLINE FOR CASE MANAGEMENT ORDER

A case management conference was held on ____________ at which the following schedule and deadlines were ordered:

Hearing:

The hearing has been scheduled for ______ through _____ at _______________________ starting at 9:00 a.m.

Discovery:

1. Discovery cutoff, including completion of expert and fact witness depositions and receipt of all written discovery: ________ 2. The numerical limits on interrogatories, requests forth in C.R.C.P. 26 (b)(2) are/are not adopted. The C.R.C.P. 26 (b)(2)(A) are/are not adopted.

2. Other discovery issues Expert Disclosures:

3. The Agency's initial disclosure of expert witnesses:__________ 2. The opposing party's initial disclosure of expert witnesses:_____________ 3. Rebuttal experts:________________ 4. Expert disclosures shall be filed with the hearing officer, as well as served on the opposing party.

Prehearing Statements:

(Set out any modifications to the content of the prehearing statements.)

Motions Deadline:

1. Dispositive motions:___________ Responses:__________ 2. All other prehearing motions to the extent that the basis for the motion is reasonably known:___________ Response:____________________ Service:

(Set out any agreement or order as to the method of service, i.e., by email, mail, or other method. Set out whether extra time for mailing is permitted.)

Filing:

(Set out any agreement or order as to the method of filing, i.e., by email, mail, or other method. Set out whether extra time for mailing is permitted.)

Prehearing Conference:

A motions hearing/final prehearing conference is set for ______________ at ___ a.m./p.m. at_________________.

DONE AND SIGNED:

(date) ____________________________ (NAME)

Hearing Officer _________________________________________________________________________ Editor’s Notes

History

Rule 2 eff. 10/30/2008.

Entire rule eff. 01/01/2025.

Rule 3.6.1 eff. 03/30/2025.

8 CCR 1505-4 DEFINITIONS AND OPERATIONS OF THE BOARD [Repealed eff. 07/01/2003] {#sec-8-ccr-1505-4 omnilex-key=us-co-regs-official--department-20--8 CCR 1505-4}

DEPARTMENT OF STATE

Secretary of State DEFINITIONS AND OPERATIONS OF THE BOARD 8 CCR 1505-4 – Repealed eff. 07/01/2003 [Editor’s Notes follow the text of the rules at the end of this CCR Document.] _________________________________________________________________________ Editor’s Notes

History

8 CCR 1505-5 DESIGN, IMPLEMENTATION AND OPERATION OF THE CENTRAL INFORMATION SYSTEM [Repealed eff. 07/01/2003] {#sec-8-ccr-1505-5 omnilex-key=us-co-regs-official--department-20--8 CCR 1505-5}

DEPARTMENT OF STATE

Secretary of State DESIGN, IMPLEMENTATION AND OPERATION OF THE CENTRAL INFORMATION SYSTEM - Repealed eff. 07/01/2003 8 CCR 1505-5 [Editor’s Notes follow the text of the rules at the end of this CCR Document.] _________________________________________________________________________ Editor’s Notes

History

8 CCR 1505-6 Rules Concerning Campaign and Political Finance {#sec-8-ccr-1505-6 omnilex-key=us-co-regs-official--department-20--8 CCR 1505-6}

DEPARTMENT OF STATE

RULES CONCERNING CAMPAIGN AND POLITICAL FINANCE

8 CCR 1505-6 [Editor’s Notes follow the text of the rules at the end of this CCR Document.] _________________________________________________________________________

Rule 1. Definitions 1.1 “Administrative complaint” means a complaint alleging that one or more violations of Colo. Const.

Article XXVIII, Article 45, or Article 46 of Title 1, C.R.S., such other constitutional or statutory provisions that are incorporated or referenced therein, or the rules has occurred and that is filed by the division, or its designee, with a hearing officer. 1.2 “Ballot measure” means ballot issue or ballot question. 1.3 “Business activities” for purposes of Colo. Const. Article XXVIII: 1.3.1 “Business activities” means providing goods or services that result in income or any other revenue-generating activity not expressly for political purposes. 1.3.2 “Cannot engage in business activities,” means that the articles of incorporation and bylaws, either expressly or implicitly, prohibit the corporation from engaging in any business activities. 1.4 “Committee” as used generally in these rules includes candidate committee, political committee, small donor committee, issue committee, small-scale issue committee, independent expenditure committee, political party committee, and political organization. 1.5 “Contribution” has the same meaning as set forth in Colo. Const. Article XXVIII, Section 2(5)(a), and section 1-45-103(6), C.R.S. 1.5.1 A contribution does not include an endorsement of a candidate or an issue by any person, or include interest earned in an interest-bearing bank account, dividend income from invested committee funds, earned income from commercially reasonable transactions, or transfers of money within a political party. 1.5.2 Volunteer services (a) Time-based services volunteered by an individual are not considered a contribution if the individual receives no direct or indirect compensation for the time volunteered.

(b) If an individual volunteers only a portion of his or her time-based services, the volunteered portion is not considered a contribution.

(c) Any unpaid services that create a thing of value are not considered a contribution. If volunteer services yield a thing of value, “contribution” only includes the reasonable value of the materials involved, unless the value is de minimis. 1.5.3 “Contribution in support of the candidacy” as outlined in Colo. Const. Article XXVIII,

Section 2(2), includes all contributions given directly to, or expenditures or spending coordinated with, a candidate for a specific public office, including those to a person who maintains a candidate committee after an election cycle. 1.6 “Designated filing agent” means any natural person appointed by a committee who is responsible for timely filing campaign finance reports. 1.7 “Deputy secretary” means the person appointed by the Secretary of State as the deputy secretary of state pursuant to section 24-21-105, C.R.S., with authority under section 1-45-111.7, C.R.S., or such other person as may be designated by the deputy secretary of state as the deputy secretary’s designee under section 1-45-111.7(1)(b), C.R.S. 1.8 “Direct ballot measure expenditure” means a direct ballot issue expenditure or a direct ballot question expenditure. 1.9 “Direct spending”, as used in section 1-45-103(7.2), C.R.S., includes both a monetary and nonmonetary purchase, payment, distribution, loan, advance, deposit, monetary or non-monetary gift, contract, promise, or agreement to expend funds. 1.10 “Division” or “elections division” has the same meaning as in section 1-45-111.7(1)(c), C.R.S., which is commonly known as the Elections Division of the Colorado Department of State. 1.11 “Frequent filing schedule” means: 1.11.1 For state and school district director candidates and committees, the filing schedule outlined in sections 1-45-108 (2)(a)(I)(B), (2)(a)(I)(C), (2)(a)(I)(D), and (2)(a)(I)(E), C.R.S.; 1.11.2 For a county, municipal, and special district candidate or committee, the filing schedule outlined in section 1-45-108 (2)(a)(II), C.R.S.; 1.11.3 For political committees, small donor committees, independent expenditure committees, and political organizations participating in a regular biennial school election, the filing schedule outlined in sections 1-45-108(2)(a)(I)(C), (2)(a)(I)(D), and (2)(a)(I)(E), C.R.S.; 1.11.4 For issue committees supporting or opposing a ballot measure that attempts access to or will appear on an upcoming ballot, the filing schedule outlined in sections 1-45- 108(1)(a)(I)(B), 1-45-108(2)(a)(I)(C), (2)(a)(I)(D), and (2)(a)(I)(E), C.R.S. 1.12 “Funding intermediary”, as used in section 1-45-103(12)(b)(II)(E), C.R.S., means acting as a pass-through for contributions earmarked for an issue committee. A person becomes an intermediary when they accept an earmarked contribution from one person and then make a contribution to an issue committee as directed. 1.13 “Independent expenditure committee” has the same meaning as set forth in section 1-45- 103(11.5), C.R.S. 1.14 “Infrequent filing schedule” means: 1.14.1 For a state and school district director candidate or committee, the quarterly filing schedule outlined in section 1-45-108(2)(a)(I)(A), C.R.S.; 1.14.2 For a county, municipal, or special district candidate or committee, the annual filing schedule outlined in section 1-45-108(2)(a)(II), C.R.S.; and 1.14.3 For issue committees supporting or opposing a ballot measure that will not appear on an upcoming ballot, the filing schedule outlined in sections 1-45-108(2)(a)(I)(A) and (2)(a)(II) 1.15 “Initial complaint” means a complaint alleging that one or more violations of Colo. Const. Article XXVIII, Article 45 of Title 1, C.R.S., such other constitutional or statutory provisions that are incorporated or referenced therein, or the rules has occurred and that is filed by any person, including the division, with the division pursuant to section 1-45-111.7(2)(a) and (7), C.R.S. 1.16 “Issue committee” means a person or a group of people that meets both of the conditions in Colo.

Const. Article XXVIII, Section 2(10)(a)(I) and 2(10)(a)(II). An “issue committee” does not include a married couple. 1.17 “Limited liability company” or “LLC” has the same meaning as set forth in section 1-45-103.7(8), 1.18 “Member”, as used in Colo. Const. Article XXVIII, Sections 2(5)(b), 2(8)(b)(IV), and 2(14)(a) only, means a person who pays membership dues. 1.19 “Municipal campaign finance matter” as used in section 1-45-111.7(10), C.R.S., means any campaign finance matter exclusively related to a municipal campaign, including matters involving a candidate for a municipal office; a municipal ballot measure; and contributions or expenditures made by any person, committee, or group to support or oppose any candidate for municipal office, or municipal ballot measure. Notwithstanding home rule municipalities that have adopted their own campaign finance charter provisions, ordinances, rules or regulations, this definition applies to all municipalities. 1.20 “Non-public information” means confidential material in any form that is not available to the general public, including a non-public campaign plan, communications plan, campaign budget, specification of unmet and potentially unmet campaign needs, proposed or actual media buy, list or description of households or voters who will receive or have received materials under a mailing or other distribution program, polling or focus group results, or other proprietary material. “Nonpublic information,” does not include communications dealing solely with candidate positions on legislative or policy issues. 1.21 “Organization”, as used in section 1-45-103(12)(b)(II), C.R.S., means a person other than a natural person or two or more natural persons that work together with a particular purpose. 1.22 “Per day” means “per calendar day” unless otherwise indicated. 1.23 “Per year” means “per calendar year” unless otherwise indicated. 1.24 “Political committee” has the same meaning as set forth in Colo. Const. Article XXVIII, Section 2(12), and does not include a married couple. 1.25 “Principal”, as used in section 1-45-105.5, C.R.S., means any person that employs, retains, engages, or uses, with or without compensation, a professional or volunteer lobbyist. A person serving as an officer, employee, member, shareholder, or partner of an organization or business entity that employs, retains, engages, or uses a lobbyist is not considered a principal. 1.26 “Public office” means any office voted for in this state at any election. “Public office” does not include the office of president or vice president of the United States, the office of senator or representative in the Congress of the United States, or any office within a political party. 1.27 “Publicly announced an intention to seek election to public office or retention of a judicial office”, as set forth in Colo. Const. Article XXVIII, Section 2(2), means: 1.27.1 Registering a candidate committee; or 1.27.2 Announcing an intention to seek public office or retention of a judicial office through:

(a) A speech, advertisement, or other communication reported or appearing in public media; or (b) A statement made in any place accessible to the public; or (c) A statement made in a manner that a reasonable person would expect to become public. 1.28 “Registered agent”, as set forth in sections 1-45-108(3)(b) and 1-45-109(4)(b), C.R.S., is a natural person or candidate designated to receive mailings, to address concerns and questions regarding a committee, and is responsible for timely filing campaign finance reports. 1.29 “Respondent” means a person or entity who is the subject of a campaign and political finance complaint. 1.30 “Standalone candidate” means a candidate without a committee who does not accept contributions. 1.31 “Substantial evidence”, as used in these rules, means evidence that is probative, credible, and competent and of such weight as to be adequate for the division to accept a fact as true. This standard of proof requires a greater weight of evidence than that which is required for finding “probable cause”. 1.32 “Support or oppose”, for the purpose of determining if a person or group of persons is a political committee as defined by Colo. Const. Article XXVIII, Section 2(12)(a), means that the person or group of persons that contributed or made an expenditure did so in coordination with the candidate or candidate committee. 1.33 “Transfer”, as used in section 1-45-107.5(14), C.R.S., means the disposition of or parting with funds by check, electronic transfer, or other means. It does not include payment to a vendor or payment of a contract for goods or services.

Rule 2. Candidates and Candidate Committees 2.1 Standalone candidates 2.1.1 A standalone candidate need not register a candidate committee. 2.1.2 A standalone candidate must file disclosure reports for all reporting periods in which he or she makes expenditures. [Sections 1-45-108 and 1-45-109, C.R.S.] 2.2 Candidate committees 2.2.1 A candidate may serve as the candidate committee’s registered agent or appoint another natural person to be the registered agent. Only the registered agent, the designated filing agent, or the candidate may file the contribution and expenditure report. 2.2.2 Once assigned a candidate committee must follow the frequent filing schedule for the remainder of the year, except as outlined in Rule 17.5. 2.2.3 A candidate committee may accept the contribution limit specified in Colo. Const. Article XXVIII, Section 3(1) and section 1-45-103.7(1.5), C.R.S. for the primary election even if the primary election is canceled under section 1-4-104.5(1), C.R.S. or the candidate is running unopposed. 2.2.4 Managing unexpended campaign contributions (a) A candidate committee’s ending balance on the report filed 35 days after the major election must reflect the committee’s unexpended balance and that total is reported as the beginning balance on the first report due in the next election cycle. The candidate committee’s beginning balance must reflect what amount is retained for use in a subsequent election cycle and what amount is retained for use as unexpended funds.

(b) Candidates seeking re-election to the same office (1) A candidate committee may retain contributions to use in a subsequent election cycle for the same public office, in an amount not to exceed the political party contribution limit in Colo. Const. Article XXVIII, Section 3(3) and section 1-45-103.7(1.5)(a)(III), C.R.S. (as adjusted by Rule 10.17).

(2) If a candidate committee retains contributions to use in a subsequent election cycle for the same office, the amount retained counts toward the limit on contributions from a political party.

(3) If a candidate committee retains contributions from a prior election cycle in excess of the political party contribution limit, the candidate committee may not use those funds for any subsequent election cycle but may retain them for use in accordance with section 1-45-106(1)(b), C.R.S., if applicable. The committee may also contribute the funds to a political party, donate the funds to a charitable organization recognized by the Internal Revenue Service, or return the funds to contributors.

(c) Candidates seeking election to a different office (1) A candidate committee may transfer funds to a new candidate committee established by the same candidate for a different public office, subject to the political party contribution limit for the prior office sought. [Colo.

Const. Article XXVIII, Section 3, and section 1-45-103.7(12)(b), C.R.S.]

(A) Funds held in excess of the party limit must be disbursed before the new election cycle in accordance with section 1-45-106(5), C.R.S., and cannot be rolled over.

(B) Funds previously designated as unexpended funds from a prior election cycle cannot be transferred to the new committee and must be disbursed as specified in section 1-45-106(1)(a) and (b), (2) Contributions from persons or committees made to the prior candidate committee do not apply toward the contribution limits for the new (3) A candidate committee transferring funds to a candidate committee for a different office must terminate within ten days of registering the new (4) A candidate seeking election to a state, county, or local office may not transfer funds from a federal candidate committee to a Colorado candidate committee that is subject to the provisions of the Fair Campaign Practices Act.

(d) Funds rolled over, up to the political party limit of a new candidate committee, from a candidate’s prior candidate committee will have the effect of offsetting how much the candidate may receive in party contributions during that election cycle by the amount of the rollover. 2.2.5 Disposition of debt in anticipation of committee termination (a) A candidate committee must report all contributions received during the election cycle and those contributions are subject to the contribution limit, regardless of debt carried over from a prior election cycle.

(b) Financial obligations incurred by a candidate committee in an election cycle that are not paid within a commercially reasonable period of time, not to exceed one year after the close of that election cycle, are “contributions” from the person extending credit. 2.3 Candidate affidavits. A candidate required to file with the Secretary of State must file a candidate affidavit electronically using the Secretary of State’s online campaign finance filing system. [Sections 1-45-110(1) and 24-21-111, C.R.S.] 2.4 Personal financial disclosures 2.4.1 Filing of personal financial disclosures (a) A candidate who is not an incumbent need not file a personal financial disclosure statement if the candidate filed a full disclosure statement less than 90 days before filing a candidate affidavit.

(b) If a candidate withdraws their candidacy by submitting appropriate documentation before filing the disclosure statement required in section 1-45- 110(2)(a), C.R.S., the candidate need not file a disclosure statement. Any delinquent filing fines that the candidate accrued before withdrawing may be waived by the appropriate filing office.

(c) An incumbent must file full a personal financial disclosure statement annually.

Personal financial disclosure statement update forms are no longer accepted.

(d) An incumbent seeking re-election need not file a personal financial disclosure statement if the incumbent filed a full disclosure statement less than 30 days before filing a candidate affidavit.

(e) Any personal financial disclosure statements filed by incumbents more than 30 days before January 10th will not satisfy the requirement to file the annual disclosure statement.

(f) Personal financial disclosure statements must be amended within 30 days of a substantial change in interest. Amended personal financial disclosure statements must be made on the form provided by the Secretary of State.

(g) All personal financial disclosure filings required under sections 1-45-110 and 24- 6-202, C.R.S., must be filed electronically by 11:59 p.m. MT on the due date and will be publicly available online. 2.4.2 Income and debt ranges for required disclosures:

(a) Ranges for income from any individual source:

(i) Less than $999;

(ii) $1,000 to $9,999;

(iii) $10,000 to $24,999;

(iv) 25,000 to $49,999:

(v) $50,000 to $74,999;

(vi) $75,000 to $99,999;

(vii) $100,000 to $149,999;

(viii) $150,000 to $199,999;

(ix) $200,000 to $249,999;

(x) $250,000 to $499,999;

(xi) $500,000 to $749,999;

(xii) $750,000 to $999,999;

(xiii) $1,000,000 to $1,499,999;

(xiv) $1,500,000 to $ 1,999,999;

(xv) $2,000,000 to $4,999,999; and (xvi) Greater than $5,000,000.

(b) Ranges of debt:

(i) Less than $1,000;

(ii) $1,000 to $9,999;

(iii) $10,000 to $24,999;

(iv) 25,000 to $49,999;

(v) $50,000 to $74,999;

(vi) $75,000 to $99,999;

(vii) $100,000 to $149,999;

(viii) $150,000 to $199,999;

(ix) $200,000 to $249,999;

(x) $250,000 to $499,999;

(xi) $500,000 to $749,999;

(xii) $750,000 to $999,999;

(xvi) $1,000,000 to $1,499,000;

(xvii) $1,500,000 to $1,999,999; and (xviii) Greater than $2,000,000. 2.4.3 Failure to file (a) Any person can file a complaint under section 1-45-111.7, C.R.S., concerning the completeness, accuracy, or timeliness of a candidate’s, including an incumbent who is also a candidate, personal financial disclosure filed in accordance with a candidate affidavit.

(b) In the event a complaint concerning the completeness, accuracy, or timeliness of an incumbent’s personal financial disclosure is filed with the Department when such incumbent is not a candidate, the Department will transmit the complaint to the appropriate body for considering such complaints as is designated under

section 24-6-202(8), C.R.S. The Department will notify both the complainant and the incumbent of the transfer of the complaint. Upon such transfer, the Department will take no further action on the complaint unless or until the public body that received the transfer refers the matter back to the Department.

(c) If a complaint is filed under section 1-45-111.7, C.R.S., alleging that the candidate’s personal financial disclosure was inaccurate or an amended disclosure was not accurate or timely filed, the division may consider the following responses from the candidate, without limitation, in determining whether the personal financial disclosure or amendment meets statutory requirements:

(1) Documentation refuting the allegation of inaccuracy or incompleteness, including without limitation, for example:

(A) Federal tax returns;

(B) Banking, investment, or other financial statements;

(C) Deeds of trust or other property records;

(D) A financial manager’s or auditor’s certified statement of the candidate’s financial holdings; or (E) Other independently verifiable documentary evidence; or (2) A signed affirmation under penalty of perjury from the candidate attesting that the allegation of inaccuracy or incompleteness is not true and the substance of the personal financial disclosure, including amendments, is complete and accurate.

(d) If there is evidence of willful behavior outlined in section 24-6-202(7), C.R.S., such complaint may be referred to the applicable law enforcement without prejudice to the division’s concurrent investigation of the matter and the pursuit of civil or administrative penalties independent of any criminal sanction.

(e) If a person subject to a complaint related to a personal financial disclosure under

section 1-45-110(2), C.R.S., meets the criteria of section 1-45-110(5), C.R.S., and is defeated or withdraws from the candidacy, that person will not be required to file, supplement, or correct a personal financial disclosure after the election but may still be subject to a complaint and potential monetary penalty. 2.5 For special district candidates and committees, election cycle means the period of time beginning thirty-one days following the special district election for the particular office and ending thirty days following the next special district election for that office.

Rule 3. Political Committees and Small Donor Committees 3.1 A political committee or small donor committee may not make contributions to an issue committee or small-scale issue committee, except to the extent that a contribution is for the purchase of items such as event tickets, merchandise, or services. [Colo. Const. Article XXVIII, Section 2(12)(a)] 3.2 A political committee may change its registration to a small donor committee without terminating the political committee if it has never accepted contributions of more than $50 per natural person per year. 3.3 Only the following qualify as a contribution or expenditure made to “support or oppose” a candidate, as those terms are used in the definition of “political committee” in subsection (12) (a) of section 2 of article XXVIII of the Colorado Constitution: 3.3.1 Contribution to the candidate committee: must be a payment, loan, pledge, gift, or advance of money, guarantee of a loan, or the gift or loan of property, made by the political committee and given directly to the candidate committee for the purpose of promoting the candidate’s nomination, retention, recall, or election; or 3.3.2 Expenditure from the political committee: must be coordinated with a candidate committee or political party and be intended to:

(a) Support that candidate’s nomination, retention, recall, or election; or (b) Oppose a competing candidate’s nomination, retention, recall, or election. 3.4 Where there is no coordination as described in Rule 3.3, and the aggregate amount of the expenditures is in excess of one thousand dollars, the entity is an independent expenditure committee rather than a political committee. If the person or group meets the registration requirements of an independent expenditure committee, it must register as an independent expenditure committee.

Rule 4. Issue Committees 4.1 An issue committee may support or oppose more than one ballot measure if the committee registration form states each measure, describes each measure, and states whether the committee supports or opposes the measure. [Colo. Const. Article XXVIII, Section 2(10)(a)(I) and (2)(10)(a)(II)] 4.2 If an issue committee supports or opposes a ballot measure on an upcoming ballot, the issue committee must file on a frequent filing schedule. See Rule 17.2.3. 4.3 A statewide issue committee must file reports of contributions and expenditures for all of the activity that qualifies it as an issue committee under section 1-45-103(12), C.R.S. 4.4 Major purpose standard 4.4.1 For an organization supporting or opposing a non-statewide ballot measure, a major

purpose of the organization as that phrase is used in Colo. Const. Article XXVIII, Section 2(10)(a), is determined based on the consideration of:

(a) The organization’s specifically identified objectives in its organizational documents at the time it is established or as such documents are later amended; or (b) The organization’s demonstrated pattern of conduct, as reflected through the following non-exclusive set of factors, including:

(1) The scope of the issues addressed in the organization’s print and electronic publications;

(2) The length of time the organization had existed;

(3) The organization’s original purpose;

(4) The organization’s organizational structure;

(5) The various issues in which the organization had been involved; and (6) The amount of money the organization had spent on the issue in question in relation to its annual budget. [Cerbo v. Protect Colo. Jobs, Inc., 240 P.3d 495, (Colo. App. 2010)] 4.4.2 For an organization supporting or opposing a statewide ballot measure, a major purpose as outlined in section 1-45-103(12)(b), C.R.S., is determined as follows:

(a) The organization’s specifically identified objectives in its organizational documents at the time it is established or as such documents are later amended; or (b) The organization’s demonstrated pattern of conduct which is evidenced by its spending. Specifically, (1) During the current and two preceding years, did the organization:

(A) Make contributions to a single statewide issue committee or make direct ballot measure expenditures in support of or opposition to one statewide ballot measure that, combined, exceeded 20% of the organization’s total spending (in any location and for any reason) during the current and two preceding years; or (B) Make contributions to more than one statewide issue committee or make direct ballot measure expenditures in support of more than one statewide ballot measure that combined exceeded 30% of the organization’s total spending (in any location and for any reason) during the current and two preceding years; or (2) Does the organization have a pattern of conduct as acting as a funding intermediary by making earmarked contributions to an issue committee. 4.4.3 For campaign and political finance complaints involving whether the respondent is an organization that has a major purpose of supporting or opposing one or more ballot measures, a rebuttable presumption that the organization met the standard for having a major purpose under section 1-45-103(12)(b), C.R.S., is created if:

(a) A campaign and political finance complaint has been filed and the division initially determines that the complaint alleges a potential violation in which the respondent may have a major purpose of supporting or opposing one or more ballot measures; and (b) The respondent fails to provide substantial evidence, as defined in Rule 1.31, that they have not met the major purpose standard. 4.4.4 This presumption will be considered sufficient information to support the filing of an administrative complaint with a hearing officer under section 1-45-111.7(5), C.R.S. The presumption of meeting the major purpose standard can be rebutted by the respondent during the administrative hearing process. The presumption of meeting the major

purpose standard no longer applies once the respondent has appeared and answered an administrative complaint in a hearing before a hearing officer. See 8 CCR 1505-3, Rule 3, for additional information regarding the administrative hearing process. 4.5 Termination. An issue committee may file a termination report at any time if the following conditions are met: 4.5.1 The committee no longer has a major purpose of supporting or opposing a ballot measure and no longer intends to accept or make contributions or expenditures to support or oppose a ballot measure; and 4.5.2 The committee's TRACER account reflects no cash on hand and no outstanding debts, obligations, or penalties. 4.6 Small-scale issue committees 4.6.1 A small-scale issue committee may support or oppose more than one ballot measure if the committee registration form states each measure, describes each measure, and states whether the committee supports or opposes the measure. [Colo. Const. Article XXVIII, Section 2(10)(a)(I) and (2)(10)(a)(II)] 4.6.2 The notification required by section 1-45-108(1.5)(c)(III), C.R.S. must be submitted on the form provided by the Secretary of State. 4.6.3 The disclosure report required by section 1-45-108(1.5)(c)(I), C.R.S., must be filed with the appropriate officer within five calendar days after notification to the appropriate officer that the small-scale issue committee qualifies as an issue committee under section 1-45- 108(1.5)(c)(III), C.R.S. 4.6.4 Upon conversion of a small-scale issue committee to an issue committee, the issue committee’s first report of contributions and expenditures must reflect the small-scale issue committee’s funds on hand as a beginning balance. 4.6.5 A small-scale issue committee may terminate by filing an affirmation indicating the committee has no outstanding debts or obligations and wishes to terminate. 4.6.6 A small-scale issue committee required to register under section 1-45-108(1.5), C.R.S. may register and report as an issue committee at any time. 4.7 For issue committees and small-scale issue committees, the election cycle is a calendar year, beginning January 1 and ending December 31. This rule does not apply to issue committees formed to support or oppose a recall.

Rule 5. Independent Expenditures and Independent Expenditure Committees 5.1 An independent expenditure committee must report donations over $20 given for the purpose of making an independent expenditure. 5.1.1 An independent expenditure committee must itemize donations of $250 or more per year given for the purpose of making an independent expenditure and include the name and address of the donor. 5.1.2 Except for a committee exercising its right to cure under section 1-45-111.7(4), C.R.S., if the committee is unable to gather the information required by section 1-45-107.5(4)(b)(II), or (III), C.R.S., within 30 days after receipt of the donation, the committee must return the donation to the donor no later than the 31st day after receipt. 5.1.3 An independent expenditure committee must itemize independent expenditures made in an aggregate amount of $1,000 in any one calendar year and include the information required by section 1-45-107.5, C.R.S. 5.1.4 An independent expenditure committee must list all expenditures of $250 or more during a reporting period, including the name and address of payees. The committee may report any disbursement not defined as an expenditure to the appropriate officer. 5.1.5 An independent expenditure committee must list individual expenditures in amounts of less than $250 that aggregate to total of $250 or more to the same payee during the reporting period. 5.1.6 An independent expenditure committee may report all other expenditures of less than $250 during a reporting period, in total, as non-itemized expenditures. 5.2 An independent expenditure committee may not coordinate its campaign-related expenditures with a candidate, candidate committee, or political party. Nothing in these rules limits joint fundraising efforts or the transfer of funds raised through joint fundraising efforts by an independent expenditure committee or other committee as long as each committee pays its allocated share of joint fundraising expenses and no committee participating in the joint fundraising activity receives more than its allocated share of funds raised in accordance with applicable contribution limits.

Rule 6. Political Parties 6.1 The appropriate filing officer for a state or county political party is the Secretary of State. [Section 1-45-108(1)(a)(I), C.R.S.] 6.2 Transfers of money within a party 6.2.1 A party may transfer money from one level of the organization to another without limit. 6.2.2 The party must disclose transfers as “other income” in accordance with Rule 10.15. 6.3 Home rule jurisdictions 6.3.1 A political party in a home rule jurisdiction that maintains a separate account in accordance with Rule 14.3 may not include contributions to, or expenditures from that separate account in reports filed with the Secretary of State. 6.3.2 If a political party receives contributions into a separate account in accordance with Rule 14.3, the party may not transfer funds from that account to other county parties or to a state party.

Rule 7. Federal PACs and 527 Political Organizations 7.1 Federal PACs 7.1.1 A Federal PAC that qualifies as a political committee under Colo. Const. Article XXVIII,

section 2(12), must register with the Secretary of State’s office as a state political committee and follow all requirements for state political committees; except that a Federal PAC is not required to form a separate bank account for the state political committee so long as the funds used for the state political committee can be separately identified. Nothing in this rule requires a Federal PAC to observe Colorado requirements for contributions, expenditures, or other campaign finance activity for federal elections or elections in states other than Colorado. 7.2 Political organizations. 7.2.1 A political organization must file on the frequent filing schedule for a political committee in an even-numbered year, and on the infrequent filing schedule in an odd-numbered year, according to the filing schedules set forth in section 1-45-108(2), C.R.S. 7.2.2 A political organization that receives no contributions and spends less than $20 during a reporting period is not required to file a disclosure report for that reporting period. [Section 1-45-108.5(1)(b), C.R.S.] 7.2.3 A political organization must file all disclosure reports required by section 1-45-108.5, C.R.S., with the appropriate filing officer. For the purposes of this rule, the appropriate filing officer is the same for political organizations as for political committees.

Rule 8. Registering a Committee 8.1 The committee registration must include the purpose or nature of interest of the committee or party. 8.1.1 A candidate committee must identify the name of the candidate. 8.1.2 A political committee, independent expenditure committee, small donor committee, or political organization must identify the types of candidates it supports or opposes, and the offices they seek and, as applicable, public policy position(s). 8.1.3 An issue committee or small-scale issue committee must identify the ballot measure it will support or oppose, if known. If particular ballot measures are not known, the issue committee or small-scale issue committee must identify the policy position it will support or oppose.

Rule 9. Registered Agents 9.1 The registered agent or a designated filing agent for any committee must sign the committee’s registration form and all disclosure reports. For registration forms and reports filed by a candidate or candidate committee, the candidate must sign. For purposes of this requirement, an electronic login will fulfill the signature requirement. 9.2 Resignation of the registered agent 9.2.1 A committee may assign a new registered agent by filing an amended committee registration. For a candidate committee, upon resignation of the registered agent the candidate becomes the registered agent until a new agent is assigned. For all other committees, the registered agent’s name remains on file until the committee assigns a new registered agent. 9.2.2 A committee must file an amended committee registration form within ten days after the resignation of a registered agent or the appointment of a new registered agent. A committee must have an active registered agent at all times. [Section 1-45-108(3)(b), C.R.S.; Rule 12.1]

Rule 10. Managing Contributions and Expenditures 10.1 Unexpended campaign contributions. 10.1.1 For purposes of section 1-45-106(1), C.R.S., contributions to a candidate committee become unexpended campaign contributions at the earliest of the following:

(a) The end of the election cycle; or (b) When the candidate withdraws from the political race and intends to terminate his or her candidate committee. 10.1.2 For purposes of section 1-45-106(3), C.R.S., contributions to an issue committee become unexpended contributions at the end of the election cycle in which the committee supported or opposed a ballot measure, or one that attempted access to the ballot.

Funds do not become unexpended contributions if the issue committee supports or opposes, or intends to support or oppose, another ballot measure or measures. 10.1.3 Unexpended contributions may not be used for personal purposes except to reimburse a candidate or incumbent for reasonable and necessary expenses for the care of a child or a dependent as allowed under sections 1-45-103.7(6.5) and 1-45-106(1)(b)(VI), C.R.S. 10.2 Except for independent expenditure committees and small-scale issue committees, committees must report contributions as follows: 10.2.1 Committees must individually list all contributions of $20 or more received during a reporting period, including names and addresses of the contributors. If a contributor gives $20 or more in the aggregate during the reporting period, the committee must individually list the contributor on the report, regardless of the amount of each contribution. [Section 1-45-108(1), C.R.S.] 10.2.2 A committee may report all other receipts and contributions less than $20 in total as nonitemized contributions for the reporting period, except for contributions from an LLC. A committee must itemize all contributions from an LLC, regardless of amount. [Section 1- 45-103.7(5)(d), C.R.S.] 10.2.3 Disclosure of occupation and employer (a) The requirement to disclose a contributor’s or donor’s occupation and employer applies only to any one-time contribution or donation, and not to the person’s aggregate contributions or donations.

(b) Except for a committee exercising its right to cure under section 1-45-111.7(4), C.R.S., if a committee does not report required occupation and employer information, and the committee is unable to gather the information within 30 days after receipt of the contribution, the committee must return the contribution to the contributor no later than the 31st day after receipt.

(c) The requirement under section 1-45-108, C.R.S., to disclose a contributor’s or donor’s occupation and employer applies only to a contributor who is a natural person. 10.3 Except for independent expenditure committees and small-scale issue committees, committees must report expenditures as follows: 10.3.1 A committee must list all expenditures of $20 or more during a reporting period, including the name and address of payees. The committee may report any disbursement not defined as an expenditure to the appropriate officer. 10.3.2 A committee must list individual expenditures in amounts less than $20 that aggregate to total $20 or more to the same payee during the reporting period. 10.3.3 A committee may report all other expenditures less than $20 during a reporting period in total as non-itemized expenditures. [Section 1-45-108(1), C.R.S.] 10.4 Date of a contribution or donation. 10.4.1 A contribution or donation by check or money order is accepted, at the earliest on the date that it is received or at the latest, on the date that the contribution or donation is deposited into the committee account. If a committee receives a donation by check or money order at least five business days before the end of a reporting period, the committee must deposit the check or money order or return to the contributor before that reporting period closes. 10.4.2 A cash contribution or donation is accepted the date the cash is in the committee’s possession. 10.4.3 A contribution or donation made by credit card, PayPal, or other payment intermediary service is accepted on the date the contributor or donor authorizes the payment, or if unknown, on the date the payment intermediary service electronically transfers the contribution or donation. 10.4.4 A non-monetary or in-kind contribution or donation is accepted on the date the committee takes possession of the item, or has the right to possess or use the item. 10.4.5 For purposes of section 1-45-105.5, C.R.S., concerning contributions by lobbyists to certain state officers and candidates when legislation is under consideration, a contribution is accepted when the pledge is made or possession of the check is transferred to any person not under the control of the issuer, whichever is sooner. 10.4.6 If a committee accepts a contribution or donation from a joint account and the contributor or donor is not specified, the committee may apportion the entire amount to the joint account who signed the check or determine how to apportion the contribution or donation between joint account holders. If the committee apportions a contribution or donation between joint account holders, the committee must notify each joint account holder of the apportionment. 10.4.7 Any other contribution or donation is accepted on the date its received. 10.5 A committee must maintain all financial records for 180 days after any general election cycle in which the committee received contributions. If a complaint is filed against the committee, the committee must maintain financial records until final disposition of the complaint and any consequent litigation. The committee must maintain covered organization and LLC affirmations for one year after the end of the election cycle. 10.6 If a committee receives a contribution in excess of the contribution limit, the committee must return the excess to the contributor within ten days of receipt or within three days after receiving notification from the appropriate filing office, whichever is sooner, and will not be held liable. 10.7 A committee may accept contributions in cryptocurrency, up to the acceptable limit for a cash or coin contribution. The amount of the contribution is the value of the cryptocurrency at the time of the contribution. The committee must report any gain or loss after the contribution as other income or receipts. 10.8 Contributions by anonymous contributor 10.8.1 A committee may not keep anonymous contributions of $20 or more. 10.8.2 Anonymous contributions are contributions where the identity of the contributor or other required reporting information is unknown. 10.8.3 A committee must donate an anonymous contribution of $20 or more to a charitable organization recognized by the Internal Revenue Service, or transmit the contribution to the State Treasurer within 30 days after receipt. 10.9 Reporting contributions and loans: 10.9.1 If a candidate does not accept voluntary spending limits, the candidate may make unlimited contributions from his or her personal funds to his or her candidate committee. 10.9.2 A candidate who accepts voluntary spending limits may make a loan to his or her candidate committee in any amount, so long as the unpaid balance of any loan does not exceed the contribution limit in Colo. Const. Article XXVIII, Sections 3 and 4(2) at any time. 10.10 If all candidates who declined voluntary spending limits have withdrawn from the race or lost in the primary election, a candidate who accepted voluntary spending limits may not continue to accept contributions double the standard limits. 10.11 Cost-sharing by candidates 10.11.1 Each candidate, standalone candidate, and candidate committee that shares any cost or expense including brochures, communications, advertisements, office space, or other overhead must pay its proportionate share of the cost within 30 days of the date the cost was incurred. The committee or candidate that made the expense must report the entire amount as an expenditure. The committee or candidate reimbursing for the expense must reimburse within 30 days and report their portion of the expense as an expenditure, and the reimbursed committee or candidate must report reimbursement payments as a returned expenditure. 10.11.2 A committee nor candidate need not report discounts resulting from shared expenses as contributions given by a vendor or others on a purchase solely because more than one committee is cost-sharing with another committee. 10.11.3 If a “paid for by” disclaimer is needed for any shared communication, the names of all of the committees or candidates must be included on the communication. 10.12 Reimbursement of expenditures – payments by credit card or payment intermediary service 10.12.1 A committee must report a reimbursement of $20 or more and include the purpose, payee, and amount of the reimbursement. 10.12.2 For the purpose of reporting, simply disclosing that a payment was made to a credit card company or a payment intermediary service such as PayPal is not adequate. The committee must itemize all payments of $20 or more made with a credit card or through a payment intermediary service, including the name and address of the original payee, amount, original date of expenditure, and purpose of the expenditure. 10.12.3 An immediate reimbursement for committee expenses is not a contribution. [Section 1-45-108(1)(e), C.R.S.] 10.13 Loans to a candidate committee 10.13.1 Financial institution loans to a candidate committee under Colo. Const. Article XXVIII,

Section 3(8) may not be forgiven. 10.13.2 Candidate loans to his or her committee (a) A candidate may make an interest-free loan to his or her candidate committee.

Any foregone interest is not a contribution to the committee.

(b) A committee must report the interest repaid for a loan made under Colo. Const.

Article XXVIII, Section 3(8) as an expenditure.

(c) A candidate may forgive a loan he or she loaned to his or her own committee.

The amount of unpaid debt forgiven by the candidate remains a contribution and is not considered a returned contribution. 10.14 A committee may deposit committee money in more than one financial institution. [Colo. Const.

Article XXVIII, Section 3(9)] 10.15 Other income 10.15.1 A committee may invest its funds in any type of account or instrument of a government regulated financial institution. 10.15.2 A committee must disclose all interest or dividends earned on its bank account, earned income from a commercially reasonable transaction, or transfers of money within a political party as other income on the committee’s reports. These other receipts are not subject to contribution limits. 10.16 Disclosure of contributions by limited liability companies (LLCs) [Section 1-45-103.7(5), (6), (7), and (8), C.R.S.] 10.16.1 The affirmation must include the occupation and employer of any member attributed with contributing $100 or more. 10.16.2 The affirmation provided by an LLC under section 1-45-103.7, C.R.S., must include the name and address of each LLC member, the amount attributed to each member, and, if more than $100 is attributed to a member, the occupation and employer of that member.

When reporting the contribution, the committee must select the “LLC” contributor type and include the name and address of the LLC, the name and address of each member, and the amount attributed to each member. Attribution is determined by the pro-rata share of ownership. 10.16.3 A committee must return any contribution received from an LLC that does not comply with the affirmation requirements in section 1-45-103.7, C.R.S., and this rule to the contributor within 30 days. 10.16.4 A committee must itemize each contribution received from an LLC on disclosure reports, regardless of the dollar amount. 10.16.5 Any contribution from an LLC counts against contribution limits for both the individual members to whom the contribution is attributed and the LLC itself. [Colo. Const. Article XXVIII, Section 3(9)]. An LLC may not make a contribution that exceeds the limit for a “person” established in Colo. Const. Article XXVIII, Section 3, as adjusted by Rule 10, regardless of the amount attributed to each individual member. 10.17 Current adjusted limits 10.17.1 Adjusted limits made in the first quarter of 2023 and effective until the next adjustment is made in 2027:

(a) There is no adjustment to the contribution limits on individual donations to small donor committees outlined in Colo. Const. Article XXVIII, Section 2(14).

(b) The aggregate limits on contributions from any person for a primary or a general election, described in Colo. Const. Article XXVIII, Section 3(1), are adjusted as follows:

(1) $725 to any one:

(A) Governor candidate committee for the primary election, and Governor and Lieutenant Governor candidate committee, as joint candidates under section 1-1-104, C.R.S., or any successor

section, for the general election;

(B) Secretary of State, State Treasurer, or Attorney General (2) $225 to any one State Senate, State House of Representatives, State Board of Education, Regent of the University of Colorado, or any District Attorney candidate committee.

(c) The aggregate limits on contributions from a small donor committee for a primary or a general election, described in Colo. Const. Article XXVIII, Section 3(2), are adjusted as follows:

(1) $7,825 to any one:

(A) Governor candidate committee for the primary election, and Governor and Lieutenant Governor candidate committee, as joint candidates under section 1-1-104, C.R.S., or any successor

section, for the general election;

(B) Secretary of State, State Treasurer, or Attorney General candidate committee; and (2) $3,100 to any one State Senate, State House of Representatives, State Board of Education, Regent of the University of Colorado, or any District Attorney candidate committee.

(d) The aggregate limits on contributions from any person to a political party, described in Colo. Const. Article XXVIII, Section 3(3)(a), are adjusted as follows:

(1) $4,675 per year at the state, county, district, and local level combined;

(2) Of such, no more than $3,875 at the state level.

(e) The aggregate limits on contributions from a small donor committee to a political party, described in Colo. Const. Article XXVIII, Section 3(3)(b), are adjusted as follows:

(1) $23,600 per year at the state, county, district, and local level combined;

(2) Of such, no more than $19,650 at the state level.

(f) The aggregate limits on pro-rata contributions or dues made to political committees, described in Colo. Const. Article XXVIII, Section 3(5), are adjusted to $725 per house of representatives election cycle.

(g) The aggregate limits on contributions to a county candidate as defined in section 1-45-103.7(1.5)(a)(I), C.R.S. are as follows:

(1) $1,425 for a primary or a general election from any person other than a small donor committee or a political party;

(2) $14,400 for a primary or a general election from any small donor committee; and (3) $25,475 for the election cycle from a political party.

(h) The aggregate limits on contributions to candidates for school district director are as follows:

(1) $2,500 per election cycle from any person other than a small donor committee; and (2) $25,000 per election cycle from any small donor committee.

(i) This table contains the contribution limits listed in subsections (a)-(h).

Recipient:

Contributor:

Natural Person Person, other than a natural person Political Small donor Political party Political committee $725 per Small donor committee $50 per year Prohibited Prohibited Prohibited Prohibited Governor (governor & lt. governor) $7,825 per $789,060 per Secretary of state, state treasurer, attorney general $7,825 per $157,805 per State senate $225 per $3,100 per $28,395 per State house of representatives, state board of education, regent of the University of Colorado, district attorney $3,100 per $20,500 per Recipient:

Contributor:

Natural Person Person, other than a natural person Political Small donor Political party Political party $4,675 ($3,875 at the state level) per year $4,675 ($3,875 at the $4,675 ($3,875 at the $23,600 ($19,650 at the Transfers within a party may be made without limitation.

County candidate $1,425 per $1,425 per $1,425 per $14,400 per $25,475 per School district director $2,500 per $25,000 per * A candidate may accept the contribution limit for both the primary election and the general election.

(j) The voluntary spending limits for a candidate described in Colo. Const. Article XXVIII, Section 4(1), are adjusted as follows:

(1) The spending limit for Governor, and Governor and Lieutenant Governor as joint candidates under section 1-1-104, C.R.S., or any successor

section is adjusted to $3,945,300.

(2) The spending limit for a candidate for Secretary of State, Attorney General, or Treasurer is adjusted to $789,025.

(3) The spending limit for a candidate for State Senate is adjusted to $141,975.

(4) The spending limit for a candidate for State House of Representatives, State Board of Education, Regent of the University of Colorado, or any District Attorney is adjusted to $102,500.

Candidate Voluntary Spending Limit Governor, and Governor and Lieutenant Governor as joint candidates $3,945,300 Secretary of State, Attorney General, or State Treasurer $789,025 State Senate $141,975 State House of Representatives, State Board of Education, Regent of the University of Colorado, or District Attorney $102,500 10.18 Major Contributor Reports. 10.18.1 Municipal committees required to file major contributor reports under section 1-45- 108(2.5), C.R.S. must file with the municipal clerk. 10.18.2 Small-scale issue committees are not required to file major contributor reports under

section 1-45-108(2.5), C.R.S. 10.19 Reporting a direct ballot measure expenditure 10.19.1 The disclosure report required by section 1-45-108(1)(a)(VI), C.R.S.

(a) The aggregate of $5,000 in direct ballot measure expenditures can be met with expenditures of any amount.

(b) Once a person makes $5,000 in direct ballot measure expenditures in the aggregate within a calendar year, each additional expenditure of $1,000 or more must be reported.

(c) A single direct ballot measure expenditure of less than $1,000 does not need to be reported.

(d) Direct ballot measure expenditure disclosure reports must be filed within 48 hours of when the direct spending occurs or when a contractual agreement is made.

(e) Expenditures by an issue committee are not direct ballot measure expenditures and should be reported in accordance with Rule 10.3 and section 1-45-108(1), 10.19.2 Each direct ballot measure expenditure disclosure must include:

(a) The name and address of the payor;

(b) The name and address of payee;

(c) The name of the original source of the funds, if the direct ballot measure expenditure was paid with earmarked funds;

(d) The amount of the direct ballot measure expenditure;

(e) The date of the direct ballot measure expenditure;

(f) The purpose for which the direct ballot measure expenditure was made, including the ballot measure and whether the direct ballot measure expenditure was in support or opposition of the ballot measure; and (g) An affirmation signed by an authorized representative on a form provided by the Department or appropriate officer that the filer does not meet the definition of an issue committee and only used permissible sources for the expenditure. 10.20 Earmarked contributions 10.20.1 A contribution will be considered earmarked if it includes or is accompanied by a direction or instruction which results in all or any part of a contribution or expenditure being made to, or expended on behalf of, a candidate, committee, or ballot measure. 10.20.2 Disclosure reports of earmarked contributions must include the original source of the funds as well as conduits, funding intermediaries, or other persons involved in the transaction. 10.20.3 Recipients of earmarked contributions must disclose the original source of the contribution and the person who made the contribution.

Rule 11. Electioneering Communications 11.1 Any person who expends $1,000 or more per calendar year on electioneering communication or regular biennial school electioneering communication must include the method of communication on the electioneering report. 11.2 Persons making electioneering communications or regular biennial school electioneering communications must maintain all financial records for 180 days after the general election or regular biennial school election, as applicable. If a complaint is filed against the person making electioneering communications or regular biennial school electioneering communications, the person must maintain financial records until final disposition of the complaint and any resulting litigation. 11.3 Electioneering communication reports must include the name of the candidate(s) unambiguously referred to in the electioneering communication or regular biennial school electioneering communication. [Colo. Const. Article XXVIII, Section 2(7)(a)(I)] 11.4 A committee need not file electioneering communication reports separate from regularly filed disclosure reports if the expenditure or spending subject to Colo. Const. Article XXVIII, Section 6 is identified as an electioneering communication or regular biennial school electioneering communication. The disclosure of electioneering communication expenditures or spending on a regularly filed report must include the name of the candidate(s) referred to in the communication.

Rule 12. Changing or Closing a Committee 12.1 A committee must report any change to its committee registration statement to the appropriate filing officer within ten days. [Section 1-45-108(3), C.R.S.] 12.2 A candidate seeking a different public office must terminate his or her existing candidate committee and register a new candidate committee within ten days. See Rule 2.2. 12.3 A committee may file a termination report terminating the committee if the following conditions are met: 12.3.1 The committee no longer intends to receive contributions or make expenditures; 12.3.2 The committee’s TRACER account has a zero balance, indicating it has no cash or assets on hand and there are no outstanding debts, penalties, or obligations; 12.3.3 A committee may dispose of assets remaining in its possession before termination in the same manner as allowed for unexpended contributions; 12.3.4 The committee has no pending campaign and political finance complaints or related proceedings pending before the elections division or any court; and 12.3.5 In addition to the requirements outlined in this Rule 12.3, candidate committees must terminate within:

(a) One year after the election, if the candidate was not elected; or (b) One year after an elected candidate leaves office. [Sections 1-45-103.7(12)(a)(I) and (II), C.R.S.] 12.4 Administrative committee terminations. The appropriate officer may terminate a standalone candidate or committee if the standalone candidate or committee fails to file any required reports for six consecutive reporting periods or 18 months, whichever is shorter, or files “zero” reports or reports with no activity for the same time period in accordance with the procedures set out in the State Administrative Procedure Act. [Colo. Const. Article XXVIII, Section 2(3), and section 24-4- 105, C.R.S.] 12.5 If the appropriate filing office receives verifiable information in writing that the candidate is deceased, the appropriate filing office may immediately terminate the candidate’s candidate committee.

Rule 13. Corporations and Membership Organizations 13.1 A corporation or labor organization may establish a political committee, an independent expenditure committee, and a small donor committee. Each committee is subject to the applicable individual contribution and expenditure limits for that committee. A corporation or labor organization may pay for the costs of establishing, administering, and soliciting funds from its own employees or members. [Colo. Const. Article XXVIII, Sections 2(5)(b) and 2(14)(b)] 13.2 Transferring membership dues to a small donor committee, independent expenditure committee, and political committee. 13.2.1 A membership organization transferring a portion of a member’s dues to a small donor committee, independent expenditure committee, or political committee must provide the respective committee with the member’s name, address, amount of dues transferred, and the date of the dues transfer. 13.2.2 Each small donor committee, independent expenditure committee, and political committee must keep records of all contributions or donations received in the form of membership dues including the name, address, and amount of the dues transferred. [Section 1-45-108(1)(a)(I), C.R.S.] 13.2.3 Each small donor committee and political committee must itemize and report the name and address of each person contributing $20 or more in a reporting period, including but not limited to contributions in the form of membership dues transferred by a membership organization to the committee. [Colo. Const. Article XXVIII, Section 2(14)(a); section 1- 45-108(1)(a), C.R.S.] 13.2.4 On each disclosure report, the candidate or registered agent of a committee must certify and declare, under penalty of perjury, that to the best of his or her knowledge or belief all contributions or donations received in a reporting period, including contributions or donations received in the form of membership dues transferred by a membership organization, are from permissible sources. [Colo. Const. Article XXVIII, Section 3]

Rule 14. Local Offices and Home Rule 14.1 The requirements of Colo. Const. Article XXVIII and of Article 45 of Title 1, C.R.S., do not apply to home rule counties or home rule municipalities that have adopted charters, ordinances, or resolutions that address any of the matters covered by Colo. Const. Article XXVIII or Article 45 of Title 1. Nothing precludes a home rule municipality from adopting or using Colo. Const. Article XXVIII and of Article 45 of Title 1, C.R.S., for their compliance and enforcement. 14.2 During the legislative session, a lobbyist may not contribute to a member of the General Assembly who is a candidate for any state or local office, including any office in a home rule municipality that has adopted charters, ordinances, or resolutions that address any of the matters covered by Colo. Const. Article XXVIII or Article 45 of Title 1. 14.3 A political party may establish a separate account for contributions and expenditures made by the party, for the purpose of supporting the party’s home rule county or municipal candidates.

Contributions to and expenditures from such account do not count against party limits or reported under Colo. Const. Article XXVIII or Article 45 of Title 1, C.R.S.

Rule 15. Recall Elections 15.1 The recall election cycle begins on the date the recall petition is approved for circulation by the designated election official and ends on the last day of the final reporting period following the date of the recall election as defined in Rule 15.2.2. 15.1.1 If a recall petition is determined to be insufficient, the recall election cycle ends 25 days after the time for protest and final disposition of any protest or appeal of such determination. 15.1.2 If a recall election is canceled for any other reason, the recall election cycle ends 25 days after the deadline for filing the recall election petition, or 25 days after the event that caused the designated election official to cancel the election, whichever is later. 15.1.3 If a recall election is canceled, all committees that were participating in the recall election except small-scale issue committees must file a report five days after the end of the recall election cycle. The reporting period begins on the first day following the last day of the reporting period for the previous report. If there was no previous report, the reporting period begins on the date the committee registered. The reporting period ends on the last day of the election cycle. 15.2 Except for issue committees and small-scale issue committees, committees participating in a recall election must file reports on the fifth day of every month until disclosure under section 1-45- 108(2.7), C.R.S. and Rule 15.5 begins. 15.2.1 The initial reporting period for committees formed for the purpose of the recall election begins on the date the committee registers with the appropriate filing office. 15.2.2 Subsequent reporting periods for a committee participating in the recall election begin on the first day of each month and end on the last day of that month, except that the final reporting period ends 25 days following the date the recall election was held. 15.2.3 All other committees whose original formation was not for the purpose of supporting or opposing a recall measure must notify the appropriate officer within ten days after deciding to support or oppose a recall or support or oppose a successor candidate. Once notified, the appropriate officer will place the committee on the recall filing calendar until the end of the recall election cycle. 15.3 The incumbent in a recall election is not a candidate for the successor election and may open an issue committee or small-scale issue committee to oppose the recall. The incumbent may not use his or her candidate committee to oppose the recall. 15.4 The aggregate contribution limits specified for a general election in Colo. Const. Article XXVIII,

Section 3, as adjusted by these Rules, apply to the recall election with respect to each successor candidate. 15.5 A committee supporting or opposing a candidate in a recall election must file disclosure reports: 15.5.1 14 days before the recall election; 15.5.2 Seven days before the recall election; and 15.5.3 30 days after the recall election. [Section 1-45-108 (2.7), C.R.S.] 15.6 Under Colo. Const. Article XXVIII, Section 2(3), a successor candidate must terminate any other active candidate committee for the candidate and open a new candidate committee for the

purpose of running in the recall election. Transfer of funds from a previously active candidate committee are subject to Rule 2.2.4. 15.7 An issue committee remaining open at the end of the recall election cycle must file reports according to the infrequent filing schedule in Rule 17.2.3(b).

Rule 16. Special Districts 16.1 A special district designated election official or director candidate must file a copy of the selfnomination and acceptance form described in Rule 16.2 with the Secretary of State no later than 60 days before the special district election. This rule does not apply if the special district cancels the election. 16.2 Self-nomination and acceptance forms and affidavits of intent to be a write-in candidate. 16.2.1 The self-nomination and acceptance form and letter, and affidavits of intent to be a writein candidate must include the following information:

(a) The candidate’s full name;

(b) The name of the special district and the special district director office sought;

(c) The date of the election;

(d) The county in which the district court that authorized the creation of the special district is located;

(e) The candidate’s residence and mailing addresses;

(f) The candidate’s telephone number;

(g) The candidate’s email address;

(h) The date on which the form, letter, or affidavit was filed by the candidate;

(i) The candidate’s signature; and (j) The signature of a registered elector acting as a witness. [Sections 1-45-110, 1-13.5-303, C.R.S.] 16.3 A special district candidate is not required to file disclosure reports if: 16.3.1 The special district candidate affidavit, the self-nomination and acceptance form or letter, or the affidavit of intent to be a write-in candidate contains a statement substantially stating, “I will not, in my campaign for this office, receive contributions or make expenditures exceeding $200 in the aggregate during the election cycle, however, if I do so, I will thereafter register and file all disclosure reports required under the Fair Campaign Practices Act;” and 16.3.2 The candidate does not accept contributions or make expenditures exceeding $200 in the aggregate during the election cycle. [Colo. Const. Article XXVIII, Section 2(2) and section 1-45-108(1), C.R.S.]

Rule 17. Filing Calendars and Reporting periods 17.1 A committee other than a political organization or small-scale issue committee must file a disclosure report for every reporting period, even if the committee has no activity to report during the reporting period. 17.2 Filing schedules. 17.2.1 A candidate committee files on:

(a) A frequent filing schedule during the year in which the office to which candidate seeks to be elected is up for election.

(b) An infrequent filing schedule during any year in which the office to which candidate seeks to be elected is not up for election.

(c) For purposes of this rule, the office to which the candidate seeks to be elected is the office named in the candidate’s most recent candidate affidavit. 17.2.2 A political committee, small donor committee, political party, independent expenditure committee, or political organization files on:

(a) A frequent filing schedule during any year in which a general election occurs and, if participating in a regular biennial school election, in any year in which a biennial school election occurs.

(b) An infrequent filing schedule during any year in which no general election occurs, except if the committee is participating in a regular biennial school election. 17.2.3 An issue committee files on:

(a) A frequent filing schedule during any year in which an issue that the committee supports or opposes appears on, or seeks access to, the ballot.

(b) An infrequent filing schedule during any year in which the committee does not support or oppose any issues appearing on, or which seek access to, any ballot. 17.2.4 An issue committee must notify the appropriate filing office within ten days after deciding that it will support or oppose a ballot measure on an upcoming ballot.

(a) Once an issue committee notifies the appropriate filing office of its active status under this Rule, the appropriate filing office will place the committee on a frequent filing schedule.

(b) Once an issue committee has declared its committee filing status as frequent or infrequent in a particular year, the committee must follow the appropriate filing schedule for the remainder of that election cycle, except that an inactive committee may change its status to active at any time. 17.3 Report periods 17.3.1 The reporting period for any report begins on the first day following the last day of the reporting period for the previous report. The reporting period for any report, except a quarterly report or post-election report, closes five calendar days before the date that the report is due. 17.3.2 Quarterly reporting periods close on the last day of the month. The report is due on or before April 15th, July 15th, October 15th, and January 15th following each calendar quarter. If the filing deadline falls on a Saturday, Sunday, or legal holiday, the filing deadline is the next business day. [Section 1-45-108(2)(a), C.R.S.] 17.3.3 Monthly reports are due on the first calendar day of the following month. If the filing deadline falls on a Saturday, Sunday, or legal holiday, the filing deadline is the next business day. When the filing deadline for a monthly report approximates the filing deadline for a biweekly report, no separate monthly report must be filed, and the biweekly report serves as the monthly report. [Section 1-45-108(2)(a) and (c), C.R.S.] 17.4 Reports for former officeholders, persons not elected to office, and term-limited office holders 17.4.1 Annual reporting (a) A candidate committee for a candidate not elected to office, who was formerly in office, or who is term-limited may submit a written request to file only an annual report for each calendar year.

(1) Statewide and school district candidate committees must file an annual report not later than January 15th of the following year.

(2) All other candidate committees must file an annual report on the first day of the month in which the anniversary of the major election occurs, in accordance with section 1-45-108(2)(a)(II), C.R.S.

(b) A change in the balance of funds resulting solely from the accrual of interest or dividends to the account and/or the automatic deduction of periodic service fees does not subject a candidate committee to the reporting requirements of section 1-45-108, C.R.S. At a minimum, a candidate committee must file an annual report as set forth in subsection (a) of this Rule. [Sections 1-45-108(2)(c) and (2)(d), C.R.S.] 17.4.2 The exemption in section 1-45-108(2)(d), C.R.S., applies only to reports where the entire reporting period occurs after the election in which the candidate’s name appeared on the ballot. 17.5 Any filing related to a municipal campaign finance matter must be filed with the municipal clerk.

Rule 18. Late Filing Penalties and Waiver Process 18.1 Requests for waiver or reduction of campaign finance penalties due to late or missing filing penalties imposed under Colo. Const. Article xxviii, Section 10(2): 18.1.1 A request for waiver or reduction of campaign finance penalties imposed under Colo.

Const. Article XXVIII, Section 10(2) must state the reason for the delinquency.

(a) The filer should provide an explanation that includes all relevant factors relating to the delinquency and any mitigating circumstances, including measures taken to avoid future delinquencies.

(b) Before the appropriate officer will consider a request, the report must be filed, and a request including the required information must be submitted.

(c) The appropriate filing office will not consider a waiver request after a penalty has been paid. 18.1.2 Requests for waiver or reduction of campaign finance penalties due to late or missing filings imposed under Colo. Const. Article XXVIII, Section 10(2) must be considered by the appropriate officer according to the following rules:

Scenario - applied in numerical order (i.e. if #1 doesn't apply, move to #2)

Result #1 A waiver is requested and establishes good cause that made timely filing impracticable (For example, was in the hospital, got in a car accident, was stranded by a blizzard, etc.).

The event or events that made timely filing impracticable must occur within a reasonable time of the date on which the report was filed.

Waive penalty in full. A waiver will be granted without consideration of previous delinquencies. #2 A waiver is requested but does not present circumstances that made timely filing impracticable (For example, forgot, was out of town, electronic calendar crashed), and:

(a) Filer had contributions and/or expenditures during the reporting period. The penalty imposed is $100 or more.

First delinquency in 24 months: The penalty will be reduced to $50.

Second delinquency in 24 months: The penalty will be reduced by 50%.

Third (or subsequent) delinquency in 24 months: A reduction in penalty will not be granted.

Penalties imposed under this Section are capped at the higher of the contributions or expenditures made during the reporting period. If a delinquency is found to be willful, the penalty cap may be increased to two to five times the higher of the contributions or expenditures made during the reporting period.

For purposes of this analysis, previous delinquencies exclude those for which a waiver under scenario #1 was granted.

(b) Filer has no activity (contributions OR expenditures) during the reporting period and the committee balance is zero. The penalty imposed is $100 or more.

The penalty will be reduced to $50.

(c) Filer has a fund balance greater than zero and filer has no activity (contributions OR expenditures) during the reporting period. The penalty imposed is $100 or more.

First delinquency in 24 months: The penalty will be reduced to $50.

Second delinquency in 24 months: The penalty will be reduced by 50%, subject to a cap of 10% of the fund balance (but not less than $100).

Third (or subsequent) delinquency in 24 months: The penalty is capped at 10% of the fund balance, and a minimum penalty of $100 will be imposed.

If a delinquency is found to be willful, the penalty cap may be increased to 20% to 50% of the fund balance.

For purposes of this analysis, previous delinquencies exclude those for which a waiver under scenario #1 was granted.

Scenario - applied in numerical order (i.e. if #1 doesn't apply, move to #2)

Result (d) Filer seeks to terminate active status, has a fund balance of $1,000 or less, and has no activity (contributions OR expenditures) during the reporting period(s) in question.

Penalties are subject to a cap equal to the total amount of the filer’s fund balance as of the date on which the delinquent report was filed, if the committee is promptly terminated. #3 A waiver is requested, but submitted more than 30 days after the date of penalty imposition. For purposes of this analysis, a filer has 30 days after the date on which the final notice of penalty imposition is issued following the filing of the delinquent report.

Until an outstanding report is filed, penalties continue to accrue at a rate of $50 per day and no request for waiver will be considered.

A request will not be considered unless good cause has been shown for failure to meet the 30-day waiver filing requirement. 18.1.3 The appropriate officer may consider any additional factors that establish good cause or may otherwise be relevant to the request for waiver or reduction of campaign finance penalties for late or missing filings. In considering a request, the appropriate officer may request additional information, including but not limited to financial or other records maintained by the filer. 18.1.4 Filers may request that the appropriate officer reconsider a request for waiver or reduction of campaign finance penalties. A filer must submit, in writing any request for reconsideration within 30 days of the date on which the waiver decision was mailed. The filer must present additional material facts that are significantly different than those presented in the original request for reduction or waiver. 18.1.5 The appropriate officer will respond to requests for waiver or reduction of campaign finance penalties within 60 days. Failure to respond within 60 days, however, will not constitute an approval of the request. 18.1.6 When reduced, penalties are rounded to the highest $25. The appropriate officer will not reduce a penalty to an amount less than $25, unless a full waiver has been granted. 18.1.7 When applying Rule 18.1.2(2)(d), all outstanding penalties must be considered.

Rule 19. Electronic Filing 19.1 All disclosure reports filed with the Secretary of State under Colo. Const. Article XXVIII and Article 45 of Title 1, C.R.S., must be filed electronically on the Secretary of State’s TRACER system, except as provided in Rule 19.2. Paper reports will not be accepted. 19.2 In accordance with section 24-21-111, C.R.S., reports are not required to be filed electronically in either of the following circumstances: 19.2.1 The Secretary of State has granted an exception to the electronic filing requirement after written application based on hardship or other good cause shown.

(a) All applications for an exception must include a brief statement of the hardship or good cause. The Secretary of State must receive the application at least 15 calendar days before the applicable filing deadline, unless the exception is based on emergency circumstance. For applications made under emergency circumstances after the deadline, the nature of the emergency must be described in the application.

(b) The filing of an application for exception based on emergency circumstances does not delay any reporting deadlines. If a penalty is imposed for failure to file a report on the date due, the penalty may be set aside or reduced in accordance with Colo. Const. Article XXVIII, Section 10(2).

(c) The Secretary of State will review and respond in writing to all applications for an exception within three business days. 19.2.2 The report is filed using the Secretary of State’s Electronic Data Interface (EDI) upon approval of the Secretary of State. 19.3 For the purpose of section 1-45-109(2)(a), C.R.S., “close of business” for electronic filing means 11:59 p.m. MT. 19.4 If the electronic filing system is unavailable for a total of more than one hour on the due date for filing a report, the Secretary of State may extend the due date for an additional day. [Sections 1- 45-108(2.3) and 1-45-109(6), C.R.S.]

Rule 20. Redaction of Sensitive Information 20.1 Any person who believes their safety or the safety of an immediate family member may be in jeopardy as a result of information disclosed on any campaign finance registration or report, personal financial disclosure, or gift and honoraria report filed with the Secretary of State, may apply to the Secretary of State to redact sensitive personal information from the online versions of such report(s). 20.1.1 The Secretary of State, upon a finding of good cause, may redact the minimum amount of sensitive information necessary to protect the safety of such person or his or her immediate family. 20.1.2 If the Secretary of State redacts sensitive information disclosed on a campaign finance report, the original unredacted report remains a public record under Article 72 of Title 24 20.2 Applications for redaction of sensitive information must be submitted in writing and include the requestor’s name, the identified entry(s) of concern, a justification for the application, and the committee to whom the contribution(s) was made or expenditure(s) received. 20.3 Applications for redaction of sensitive personal information are not subject to disclosure under the Colorado Open Records Act. [Section 24-72-201 et. seq., C.R.S.]

Rule 21. Coordination 21.1 “Coordination”. Expenditures or spending are coordinated with a candidate committee or political party if: 21.1.1 A person makes an expenditure or engages in spending at the request, suggestion, or direction of, in consultation with, or under the control of that candidate committee or political party; or 21.1.2 An independent expenditure or electioneering communication is created, produced, or distributed:

(a) After one or more substantial discussion(s) between the candidate or political party and the person making the expenditure or engaging in the spending, (1) In which the person making the expenditure or engaging in the spending received non-public information about the candidate or political party's plans, projects, activities, or needs; and (2) The information is material to the creation, production, or dissemination of an independent expenditure or electioneering communication; or (b) By a common consultant who provides, or has provided during the election cycle, professional services to the candidate committee or political party as well as to the person making the expenditure or engaging in the spending; and (1) In which the person making the expenditure or engaging in the spending received non-public information about the candidate or political party's plans, projects, activities, or needs; and (2) The information is material to the creation, production, or dissemination of an independent expenditure or electioneering communication. 21.1.3 This rule does not apply to an attorney, accountant, bookkeeper, or registered agent who provides services within the scope of his or her profession. 21.1.4 If a candidate committee or political party and the person making the expenditure or engaging in spending use a common consultant, an independent expenditure or electioneering communication is not coordinated if the consultant places effective barriers (i.e., “firewalls”) to the transmission of non-public information between:

(a) The candidate committee or political party; and (b) The person making an independent expenditure or engaging in spending.

Physical or technological barriers include appropriate security measures, and must be set forth in a written policy that is distributed to all affected agents, employees, board members, directors, officers, and consultants. A firewall is not effective if non-public material information is nonetheless directly or indirectly transmitted to the person making an expenditure or engaging in spending. 21.1.5 For purposes of this Rule:

(a) Candidate committee or political party includes any agent, employee, board member, director, or officer of that candidate committee or political party.

(b) The person making the expenditure or engaging in the spending includes any agent, employee, board member, director, or officer of the person making the expenditure or engaging in the spending. 21.2 Pre-candidacy coordination 21.2.1 For purposes of section 1-45-103.7(11)(a), C.R.S., a person actively solicits funds for an independent expenditure committee with the intent of benefitting his or her future candidacy when the person:

(a) Organizes, directs, or plans a fundraising event for the independent expenditure committee; or asks for, encourages, or suggests a donation to the independent expenditure committee; and (b) Knows or reasonably should know that the independent expenditure committee will support the person’s future candidacy.

Rule 22. “Paid for by” Disclaimer Statements 22.1 Disclaimer requirement for nonbroadcast communications, including online communications. 22.1.1 Under section 1-45-107.5(5)(c), C.R.S., nonbroadcast communications must contain a clear and conspicuous “paid for by” disclaimer that is clearly readable, printed in text that is no less than 15 percent of the size of the largest font used in the communication, or at least eight-point font, and includes:

(a) The name of the person that paid for the communication;

(b) In the case of an independent expenditure, a statement that the communication is not authorized by any candidate; and (c) A natural person who is the registered agent if the person identified in subsection (a) above is not a natural person. 22.1.2 These requirements do not apply to bumper stickers, pins, buttons, pens, and similar small items upon which the “paid for by” disclaimer cannot be reasonably printed. 22.1.3 If the size, format, or display requirements of an electronic or online communication make it impracticable to include a “paid for by” disclaimer statement on the communication, the disclaimer statement must be available by means of a direct link from the communication to the web page or application screen containing the statement.

(a) The information provided in the direct link are subject to all of the size and content requirements in Rule 22.1.1.

(b) The information provided in the direct link must be clearly and conspicuously displayed, and must be immediately apparent on the screen without receiving or viewing any additional material.

(c) If the communication is a direct or indirect electronic message to a person, including but not limited to a text message, only the initial communication must contain the direct link.

(d) For purposes of this Rule, it is impracticable to include a disclaimer statement if it would severely interfere with the ability to convey the intended message.

Rule 23. Complaints filed under section 1-45-111.7, C.R.S. 23.1 Filing initial complaints 23.1.1 Campaign and political finance complaints must be filed in writing and can be submitted by hardcopy or electronically. Electronic signatures are permitted for any complaint documentation that requires a signature by complaint, respondent, or the elections division. 23.1.2 A complaint must identify both a respondent and a complainant. Anonymous complaints or complaints that fail to identify a complainant and respondent may be rejected and not reviewed by the elections division. 23.1.3 Complaints must meet the plausibility pleadings standard by presenting a plausible basis, based on concrete, non-conclusory allegations of particularized facts, to support the allegations that a potential campaign and political finance violation occurred. The plausibility of an allegation is determined while accepting as true the concrete, nonconclusory assertions of fact upon which the allegation is based. 23.1.4 Complaints that stem from a common set of operative facts as a pending complaint will be consolidated when practicable. When consolidation is not practicable and the outcome of the initial case will be determinative of the later case, a complaint will be stayed until a final agency decision issues on the initial complaint and any appeals are resolved. 23.1.5 Violations stemming from late or missing filings that have had a late filing penalty assigned or the assigned penalty has been waived under Rule 18 are not subject to additional monetary penalties under Rule 23.4 for the late filing violation. 23.1.6 A respondent that fails to preserve potentially relevant information or records concerning its contributions or expenditures or otherwise reportable activity upon receipt of a complaint may be subject to an adverse inference establishing that the information or records that were not preserved after receipt of a complaint would otherwise establish the disputed fact. This adverse inference is subject to the equitable principles applicable under the common law spoliation doctrine. 23.2 Referral of municipal complaints 23.2.1 A municipal complaint may not be directly filed with the division and must be reviewed by the municipal clerk as required by section 1-46-111.7(10)(a)-(b), C.R.S., before being referred to the division. 23.2.2 A municipal complaint may be referred to the division to process and investigate if the complaint meets all of the following conditions:

(a) A complaint meets the grounds for referral:

(1) For statutory and home rule municipalities, the complaint involves an actual or potential conflict for the municipal clerk or the clerk’s staff; or (2) For statutory municipalities, the municipality has not adopted a campaign and political finance complaint and hearing process;

(b) A local ordinance meeting the conditions in section 1-45-111.7(10)(d), C.R.S., and this rule’s subsection (c) specifically allows complaints to be referred to the division due to a conflict or because there is no local enforcement process; and (c) The municipality has adopted the ordinance and provided a copy to the Department 180 days or more prior to the municipal election at issue in the complaint. Once a copy of the ordinance has been provided to the Department, another copy does not need to be provided for additional complaints unless amended or updated. 23.2.3 A municipal complaint referred to the division must include:

(a) The underlying complaint and any documents attached to the complaint;

(b) A municipal complaint cover sheet, available on the Secretary of State’s website, with all the required information provided;

(c) The name and contact information for a person within the municipal clerk’s office who will assist the division with any questions during the processing of the complaint;

(d) A copy of the local ordinance that allows referral; and (e) Any relevant campaign and political finance filings, documents, copies of applicable local law, communications with complainant or respondent related to the complaint, determination of the conflict, evidence of the initial review conducted under section 1-45-111.7(10), C.R.S., or other documents relevant to the complaint. 23.2.4 Timeliness (a) A municipal complaint must be referred to the division within 14 business days of receipt by the municipality and will be processed and reviewed according to the provisions of subsections 1-45-111.7(3)-(10), C.R.S.

(b) For processing deadlines under section 1-45-111.7, C.R.S., the division will process the complaint based on the date the complaint was received by the division from the municipal clerk.

(c) Unless local law provides for a different date, a municipal complaint must be filed no later than 180 days after the date on which the complainant either knew or should have known, by the exercise of reasonable diligence, of the alleged violation. The determination of timeliness is calculated from the date the complaint is filed with the municipality. 23.2.5 The division may reject a referral of a municipal complaint if the clerk did not conduct an initial review as provided in section 1-45-111.7, C.R.S., the complaint was not referred to the division within 14 business days, or the municipality did not have an ordinance in place that allowed referral or otherwise met referral requirements. 23.2.6 The division has no jurisdiction to consider an allegation against a municipality or a municipal clerk that the municipality or clerk improperly failed to refer a municipal campaign finance complaint to the Department. Such claims, if any, may be pursued against the municipality or the clerk in the District Court where the municipality is located pursuant to Rule 106(4) of the Colorado Rules of Civil Procedure. The Department has no liability to a complainant or any other person for the failure of a municipality or a municipal clerk to refer a municipal campaign finance complaint to the Department. 23.3 Documents related to complaints. 23.3.1 The original complaint, notice of initial review, motion to dismiss, an order issued by the Secretary of State’s Office, final agency decision, and any administrative complaint filed by the elections division with a hearing officer will be publicly available at the time the document is provided to the respondent. 23.3.2 The elections division may redact any document that it will otherwise make available pursuant to this rule if such redaction is necessary to protect any personal private information or personally identifiable information, is not relevant or material to the determination, or is otherwise required under the Colorado Open Records Act. 23.3.3 Any document the elections division receives under section 1-45-111.7(5)(a)(III), C.R.S., will not be retained after the time necessary to review, investigate, or prosecute a complaint, including any appeal, as applicable. 23.4 Settlement of complaints and fine structure for violations 23.4.1 After an administrative complaint has been filed with a hearing officer, under 8 CCR 1505-3, Rule 3, the elections division may enter into a settlement agreement with the respondent. 23.4.2 In assessing a fine amount or approving a settlement, the deputy secretary of state or a hearing officer, as applicable, will consider all of the following factors:

(a) Specific fine amounts outlined in Rule 23.4.3;

(b) Any appropriate specific action in Rule 23.4.4;

(c) Whether Rule 18 late filing penalties have been issued and if a waiver was granted;

(d) Sanctions available under section 1-45-111.5, C.R.S.; and (e) The mitigating and aggravating factors, including those listed in Rule 23.4.5, to increase or decrease the monetary fine or terms. 23.4.3 Fine amounts (a) Failure to register a committee (1) Amount of contributions or donations accepted or expenditures made while out of compliance, outlined below:

(A) Less than $1,000 fine is at least $150;

(B) Between $1,001 and up to $5,000 fine is at least $300; or (C) Greater than $5,000 the fine of at least $300 plus at least 10 percent of total amount of the contributions and expenditures made.

(b) Failure to file complete and accurate affidavits, disclosures, contributions, expenditures, or other finance reports (1) Failure to file complete and accurate reports is a $100 fine per report plus 5 percent of the activity not accurately or completely reported.

(2) Failure to file an accurate candidate affidavit (A) If the affidavit is submitted within 14 days of registration deadline, the fine is at least $50; or (B) If the affidavit is submitted after 14 days post deadline, the fine is at least $100.

(3) Failure to file an accurate or complete initial, updated, or amended personal financial disclosure as required under section 1-45-110, C.R.S., which includes content required by section 24-6-202(2), C.R.S.

(A) If the personal financial disclosure is filed or corrected within 14 days of the applicable filing due date, the fine is at least $50;

(B) If the personal financial disclosure is filed or corrected prior to the filing of any complaint alleging an insufficient filing of a personal financial disclosure, so long as the disclosure is submitted at least 30 days prior to the first election in which the candidate is running, the fine is at least $100;

(C) If the personal financial disclosure is filed or corrected after the filing of any complaint alleging an insufficient filing of a personal financial disclosure, so long as the disclosure is submitted at least 30 days prior to the first election in which the candidate is running, the fine is at least $250;

(D) If the personal financial disclosure is filed or corrected fewer than 30 days before the election in which the candidate is running, the fine is at least $500;

(E) If the candidate or incumbent is defeated or withdraws and the personal financial disclosure was not corrected, the fine will be at least $500; or (F) If the personal financial disclosure is corrected after the election, and the respondent was not defeated or did not withdraw, the fine is at least $1,000.

(4) Failure to file an initial disclosure report or an annual update as required under section 24-6-202, C.R.S.

(A) If the disclosure report is filed within 14 days of due date, the fine is at least $50;

(B) If the disclosure report is filed within 28 days of due date, the fine is at least $100;

(C) If the disclosure report is filed more than 28 days late but at least 30 days prior to an election in which the official is running, the fine is at least $500; or (D) If the disclosure report is filed after an election in which the official is running, the fine is at least $1,000.

(5) Filing an inaccurate or incomplete personal financial disclosure or failure to correct an inaccurate or incomplete personal financial disclosure could result in criminal and civil penalties under section 24-6-202(7), C.R.S.

(c) Prohibited contributions, donations, and expenditures (1) For accepting a prohibited contribution including accepting an amount that exceeds a contribution limit or making prohibited expenditures, the fine is at least $100 and 10 percent of the prohibited activity:

(2) Prohibited use of unspent campaign funds and exceeding voluntary contribution limits (A) A fine of at least $250 per violation; and (B) A fine that is up to 25 percent of the amount of the prohibited activity.

(d) Disclaimer and electioneering communications (1) If noncompliant communication is mitigated prior to the election: a fine of at least 5 percent cost of the noncompliant communication including cost to broadcast;

(2) If noncompliant communication is not mitigated prior to the election: a fine of at least 10 percent of the cost of the communication including cost to broadcast; or (3) For failure to include a compliant disclosure statement for a deepfake communication, the penalties are outlined under section 1-45- 111.5(1.5)(c.5), C.R.S.

(e) Violations by the state or a political subdivision under section 1-45-117, C.R.S.

(1) If the violation is cured before the election but there was no substantial compliance, the fine will be at least $500;

(2) If the violation is not cured before the election, the fine will be at least $1,000; or (3) If the amount of funds improperly used is ascertainable, the fine will be at least three times the amount of the improperly used funds.

(f) Other violations of campaign and political finance rules and regulations will be assessed penalties based on the circumstances of the violations and factors outlined in Rule 23.4.4. 23.4.4 Specific action(s)

(a) In addition to monetary fines the deputy secretary of state or assignee may seek a specific action(s) from the respondent. Specific actions may include:

(1) Registering as a committee or candidate in TRACER;

(2) Return or donation of prohibited contribution or disgorgement of the value of the improper conduct;

(3) Filing or amending disclosure reports;

(4) Inclusion or correction of disclaimer on the communication; or (5) Other specific performance or terms that may be warranted. 23.4.5 The elections division may also consider the follow mitigating and aggravating factors:

(a) Nature and extent of the violation;

(b) Timing of the violation (including proximity to the election);

(c) Ability or effort to mitigate the violation;

(d) Evidence of an intentional act or a pattern or practice of misconduct;

(e) Extent to which the harm cause by the violation or the value of the violation cannot be reasonably calculated; or (f) Other aggravating or mitigating factors may be taken into consideration in reaching a just and equitable outcome.

Rule 24. [Reserved.]

Rule 25. Deepfake Communications 25.1 Deepfake communications 25.1.1 Deepfakes must involve a candidate as that term is defined in section 1-46-102(2), C.R.S., which includes current federal, state, and local officeholders in Colorado, and candidates for federal, state, and local offices on the ballot in Colorado, and must be disseminated to an audience that includes Colorado electors. 25.1.2 There is a rebuttable presumption that the alleged deepfake communication was created, edited, or modified using generative A.I, if:

(a) A campaign and political finance complaint has been filed and the division initially determines under section 1-45-111.7(3), C.R.S., that the complaint alleges a potential violation of section 1-46-103(1), C.R.S.; and (b) The respondent fails to provide substantial evidence, as defined in Rule 1.31, regarding how the communication was created or modified. 25.1.3 This presumption will be considered sufficient information to support the filing of an administrative complaint with a hearing officer under section 1-45-111.7(5), C.R.S. The presumption that a communication was created, edited, or modified using generative A.I. can be rebutted by the respondent during the administrative complaint process. The presumption no longer applies once the respondent has appeared and answered an administrative complaint in a hearing before a hearing officer. 25.2 Disclosure statements 25.2.1 A deepfake communication must include a disclosure statement that meets the requirements of subsections 1-46-103(2), (3)(b) and (3)(d), C.R.S. Substantial compliance with these statutory provisions may be found to be compliant. 25.2.2 If a communication is required to have a “paid for by” disclaimer under section 1-45- 108.3, C.R.S., the communication must include both a “paid for by” disclaimer and a deepfake disclosure statement. _________________________________________________________________________ Editor’s Notes

History Rules 1.4, 1.6-1.15, 2.2, 2.5, 2.8, 2.10-2.11, 3.10, 4.7-4.23, 5.6, 5.10-5.12, 6.4, 8.1, 8.4, 9.4, 11.1, 11.3, 11.4 eff. 11/30/2007.

Rules 1.1, 2.4, 2.8, 2.11, 3.10, 4.2, 4.20, 9.2, 9.5 eff. 01/30/2008.

Rule 4.21.3.1 emer. rule eff. 07/28/2008; expired 10/28/2008.

Rules 4.21, 6.4, 10, 13 eff. 09/01/2008.

Rule 4.21.3-4.21.3.1 eff. 10/30/2008.

Rules 1.6, 1.14, 2.1, 2.3, 2.4, 2.5, 3.4, 3.7, 4.3, 4.5, 4.8, 4.11, 4.24, 6.1, 10.2, 10.5, 11.2, 11.5, 14 eff. 11/30/2009.

Rules 2.10, 2.11, 5.7 through 5.11, 8.1, 8.2, 8.3 eff. 01/01/2010.

Rules 4.3, 4.25, 5.6, 5.10, 10.1, 14.2 eff. 03/30/2010.

Rules 4.2, 5.5, 10.5, 11.4 repealed eff. 03/30/2010.

Rules 4.26, 9.6, 14.3, 14.4 emer. rules eff. 04/02/2010; rules 4.12, 4.22 emer. rules repealed eff. 04/02/2010.

Rules 4.26, 9.6, 14.3, 14.4 eff. 06/30/2012; rules 4.12, 4.22 repealed eff. 06/30/2010.

Rules 1.5, 1.13, 1.16, 2.1, 2.3, 2.4, 2.6, 2.9, 3, 3.9, 4.3, 4.4, 4.14, 4.16, 4.19, 4.20, 5.6, 14.5, 14.6, 14.7 eff. 10/30/2012; rules 14.1, 14.2, 14.3, 14.4 repealed eff. 10/30/2010.

Rules 6.3, 8.1, 12, 13 emer. rules eff. 03/15/2011.

Rules 6.3, 8.1, 12, 13 eff. 04/14/2011.

Rule 15 eff. 06/14/2011.

Rule 5.13 emer. rule eff. 06/29/2011.

Rule 4.27 eff. 06/30/2011.

Rule 5.13 eff. 08/14/2011.

Rule 5.14 eff. 01/30/2012; rule 5.13 repealed eff. 01/30/2012.

Entire rule emer. rule eff. 03/07/2012.

Entire rule eff. 04/12/2012.

Rules 6.3, 15.6 annotation emer. rules eff. 5/23/2012; rule 6.1.1 emer. rule repealed eff. 05/23/2012; 15.6 annotation expired 09/20/2012.

Rules 3.1, 7.1.1(e) emer. rules eff. 08/07/2012.

Rules 4.3, 5.1.2, 6, 16.6, 17.2.4 emer. rules eff. 08/15/2012.

Rules 4.3, 5.1.2, 6, 16.6, 17.2.4 eff. 09/30/2012.

Rules 3.1, 7.1.1(e) eff. 11/30/2012.

Entire rule eff. 07/30/2015.

Rules 2.3, 9.1, 10.8.1 emer. rules eff. 09/15/2015. Rule 2.3.2 emer. rule repealed eff. 09/15/2015.

Rules 2.3, 9.1, 10.8.1 eff. 12/15/2015. Rule 2.3.2 repealed eff. 12/15/2015.

Rules 1.3, 1.7, 2.2.4(b), 2.4.4, 3.1, 4, 8.1.3, 9.2.1, 9.3, 10.2, 10.3, 10.7.2, 10.14.2, 10.17, 11.2-11.5, 15.1- 15.4, 17.1, 17.2.2, 17.6, 18.1.1(c), 18.2, 18.3, 20.1, 21.1.2(a) eff. 09/30/2016.

Rules 1.6, 1.7, 1.13, 1.19, 1.21, 2.2.4(c)(3), 2.4.5, 2.5, 3.3, 4.4.3, 4.5, 4.6, 10.1.3, 10.2.3(b), 10.4.6, 10.11.3, 12.4, 18.2, 18.4 emer. rules eff. 08/10/2017; expired 12/08/2017.

Rules 1.6, 1.7, 1.13, 1.19, 1.21, 2.2.4(c)(3), 2.4.5, 2.5, 3.3, 3.4, 4.4.3, 4.5, 4.6, 10.1.3, 10.2.3(b), 10.4.6, 10.11.3, 12.4, 12.5, 18.2, 18.4 eff. 12/15/2017.

Rule 18.2.4 emer. rule eff. 01/05/2018.

Rule 18.2.4 emer. rule eff. 05/04/2018.

Rule 18.2 emer. rule eff. 06/19/2018.

Rules 1.4, 1.6.1, 1.7, 1.8.1, 1.17, 1.18-1.21, 2.2.2-2.2.4, 2.4.3, 4.6, 6.2.2, 10.3, 10.7-10.18, 17.5, 18.1.1, 18.1.4-18.1.7, 18.3, 18.4 eff. 08/30/2018. Rules 4.5, 14.4, 18.1.4 repealed eff. 08/30/2018.

Rule 18.2 emer. rule eff. 10/11/2018.

Rule 18.2 eff. 11/30/2018.

Rule 2.2.4 emer. rule eff. 12/03/2018.

Rule 2.2.4 eff. 01/30/2019.

Rule 10.17 emer. rule eff. 03/29/2019; expired 07/27/2019.

Rule 18.2.13 emer. rule eff. 07/01/2019.

Rule 10.17 emer. rule eff. 07/27/2019.

Rules 1.4, 1.6-1.8, 1.23, 2.2.3, 2.2.4(b)(1), 2.4.3, 5.1, 5.2, 7.1.1, 9.1, 10.1.3, 10.2.3, 10.4.1-10.4.3, 10.5, 10.6, 10.16, 10.17, 11.5, 12.5, 16.3, 17.2.4, 17.5.1(a)(1), 18.1.1(c), 18.1.2, 18.1.3, 18.2, 21.2, 22 emer. rules eff. 08/02/2019.

Rules 1.4, 1.6-1.8, 1.23, 2.2.3, 2.2.4(b)(1), 2.4.3, 5.1, 5.2, 7.1.1, 9.1, 10.1.3, 10.2.3, 10.4.1-10.4.3, 10.5, 10.6, 10.16, 10.17, 11.5, 12.5, 16.3, 17.2.4, 17.5.1(a)(1), 18.1.1(c), 18.1.2, 18.1.3, 18.2, 21.2, 22 eff. 09/30/2019.

Rules 1.12, 10.4, 10.4.1, 10.4.7, 12.3, 14.1, 15.3, 17.6, 18.1, rules 18.2, 18.2.1, 18.2.3, 18.2.4 repealed,

rule 18.2.2 recodified as rule 23.2 emer. rules eff. 08/10/2020.

Rules 1.12, 10.4, 10.4.1, 10.4.7, 12.3, 14.1, 15.3, 17.6, rules 18.2, 18.2.1, 18.2.3, 18.2.4 repealed, rule 18.2.2 recodified as rule 23.2 eff. 09/30/2020.

Rules 2.2.4(a), 2.4.5-2.4.6, 8.1, 10.17.1(h)-10.17.1(j), rules 17.3.4, 17.4 repealed eff. 11/14/2022.

Rule 10.17.1 emer. rule eff. 02/15/2023.

Rules 23.2, 24, Appendices A, B emer. rules eff. 04/13/2023.

Rule 10.17.1 eff. 05/30/2023.

Rules 23.2, 24, Appendices A, B eff. 07/15/2023.

Rules 1.1-1.38, 2.1, 2.4, 4.3, 5.1, 10.1, 10.19, 10.20, 12.3, 19.1, 23.1, 23.3, 24.2-24.21 eff. 10/15/2023.

Rules 1.5, 10.17.1.a, 10.17.1.i eff. 12/15/2023.

Rules 1.1-1.37, 2.4.1-2.4.3, 4.3, 4.4-4.7, 5.1.2, 10.2.3(c), 10.11, 10.19.1, 11, 22, 23.1.5, 23.1.6, 23.2- 23.2.6, 23.3, 23.4, 24.8.5, 24.14.3, 24.14.4, 25-25.2.2 eff. 11/14/2024. Rules 1.26, 10.19.1(f), 11.1 repealed eff. 11/14/2024.

Rules 4.4.3(b), 4.4.4, 23.3.1, 23.4.1, 25.1.2(b) eff. 01/01/2025. Rules 1.2, 1.7, 1.15, 1.19, 24, Appendices A, B repealed eff. 01/01/2025.

8 CCR 1505-7 Ucc Filing Office Rules {#sec-8-ccr-1505-7 omnilex-key=us-co-regs-official--department-20--8 CCR 1505-7}

DEPARTMENT OF STATE

UCC FILING OFFICE RULES

8 CCR 1505-7 [Editor’s Notes follow the text of the rules at the end of this CCR Document.] _________________________________________________________________________

Rule 1. General Provisions 1.1 Definitions. The following terms are used as defined in this rule. Terms not defined in this rule, which are defined in the UCC, the Central Filing of Effective Financing Statement Act, the Colorado Statutory Lien Registration Act, or section 24-21-301, C.R.S., are used as defined in the applicable Act or section. 1.1.1 “Address” means either:

(a) A street address, route number (may include box), or post office box number plus the city, state, and zip code; or (b) An address that purports to be a mailing address outside the United States of America. 1.1.2 “Assignment” means an amendment that purports to reflect a transfer of all or a part of a secured party's or claimant's power to authorize an amendment of a secured transaction record. 1.1.3 “Direct computer access” means access by computer to information or data available on the series of interrelated Internet pages on the Secretary of State’s website, and by other means of data transfer. 1.1.4 “EFS” means effective financing statement as that term is used in the EFS Act. 1.1.5 The “EFS Act” means the Central Filing of Effective Financing Statement Act, Article 9.5 of Title 4, C.R.S. 1.1.6 “Electronic filing” means a filing method that utilizes the Secretary of State’s electronic filing application available through the Secretary of State’s website or the system-tosystem transfer method. 1.1.7 “Electronic filing application” means the web-based computer application that is used to file a secured transaction record with the Secretary of State. 1.1.8 “Electronic searching application” means the web-based computer application that is used to search the secured transaction records maintained by the Secretary of State. 1.1.9 “File number” means the unique identifying number the Secretary of State assigns to a secured transaction record. 1.1.10 “Filer” means a person who completes and submits a secured transaction record to the Secretary of State for filing, whether or not the person is an agent of a person authorized to submit the record for filing. 1.1.11 “Information statement” means a UCC record claiming that a financing statement or record comprising part of a financing statement is inaccurate or wrongfully filed. 1.1.12 “Initial financing statement” means a UCC record that does not identify itself as an amendment or information statement, or does not identify an initial financing statement to which it relates. 1.1.13 “Lapsed” or “Lapsed record” means a master record whose period of effectiveness has expired. 1.1.14 “Lien Registration Act” means the Colorado Statutory Lien Registration Act, Article 9.7 of Title 4, C.R.S. 1.1.15 “Master record” means a record opening document and any amendment or correction related to the record opening document. 1.1.16 “Online services” means the electronic filing application, the electronic searching application, the secured transactions information management system, and any other direct computer access that is available on or accessed through the Secretary of State's website. 1.1.17 “Record opening document” means an initial financing statement, an EFS, a notice of lien, or other record that creates a new master record. The use of the term “record opening document” in these rules has no relation to the definition of the term “document” in section 4-9-102(a)(30), C.R.S. 1.1.18 “Secured transactions information management system” means the computer system used by the Secretary of State to record, index, provide public access to, and otherwise manage secured transaction records. 1.1.19 “Secured transaction record” means any record that is required or permitted to be filed with the Secretary of State under the UCC, the EFS Act, or the Lien Registration Act, except any lien filed under federal law. 1.1.20 “System-to-system transfer method” means the electronic communication standard authorized by the Secretary of State for the transfer of secured transaction records from a filer to the Secretary of State. This type of transfer is often referred to as XML filing. 1.1.21 “Taxpayer identification number” means a social security number, an employer identification number, or an individual taxpayer identification number. 1.1.22 “UCC” means the Uniform Commercial Code - Secured Transactions, codified at Article 9 of Title 4, C.R.S., as adopted in this state. 1.1.23 “UCC record” means an initial financing statement, an amendment, an assignment, a continuation, a termination, or an information statement filed under the UCC. The use of the term “UCC record” in these rules has no relation to the definition of the term “record” in section 4-9-102(a)(72), C.R.S. 1.1.24 “Unique identifier” means the ten-digit number used to identify a debtor named in an EFS or an EFS amendment. 1.1.25 “Unlapsed” or “Unlapsed record” means a master record on file with the Secretary of State whose period of effectiveness has not expired. 1.2 Delivery of secured transaction records. Filers must deliver secured transaction records to the Secretary of State through the electronic filing application or by transmission using the system-tosystem transfer method. The Secretary of State will refuse to accept any secured transaction records delivered by other unauthorized methods of communication, including but not limited to personal delivery, express mail delivery, postal delivery, and telefacsimile. 1.2.1 Filing time. The filing time for a secured transaction record is the time that the Secretary of State’s system analyzes the relevant transmission and determines that it received all the required elements of the transmission in the required format. 1.2.2 Hardship delivery. In the case of hardship or other good cause, the Secretary of State may, at its discretion, allow for the communication of a secured transaction record by a method of communication other than electronic filing. Hardship delivery may only occur after the filer has received prior approval from the Secretary of State. Requirements concerning the filing and data entry of a hardship delivery are set forth in Rule 4.15. 1.2.3 Delivery of federal liens and records. Any lien or record created in accordance with federal law may be delivered to the Secretary of State by any method of communication authorized by federal law or by arrangement between the Secretary of State and the United States Government. The recorded filing time is the earliest time at which the Secretary has received both the fee payment and the paper record. 1.3 Search request delivery. The electronic searching application is the sole method of conducting a search request and obtaining search request results. An individual conducting a search or requesting certified search results will only be able to do so through the electronic searching application of the Secretary of State’s website. Requirements concerning search requests are set forth in Rule 5.2. 1.3.1 Hardship search requests. In the case of hardship, the Secretary of State may allow for the communication of a secured transaction search request by a method other than the electronic searching application. Hardship search requests may only occur after the searcher has received prior approval from the Secretary of State. Requirements concerning processing of a hardship search request are set forth in Rule 5.8. 1.4 Approved forms. The Secretary of State approves the use of the following forms to file a written financing statement with a filing office that accepts written records in accordance with the UCC: 1.4.1 UCC forms promulgated by the International Association of Commercial Administrators (IACA), or a substantial equivalent. 1.4.2 Printed copies of record images that are generated by the electronic filing application. 1.5 Secured transactions search application. Searches of the secured transactions information management system are performed by utilizing the electronic searching application. Electronic searching is the sole method used to search the secured transactions information management system and the Secretary of State does not accept written search requests. 1.6 Fees. The Secretary of State will post fees and fee schedule information on the Secretary of State’s website. Fees are subject to change. 1.7 Expedited services. Expedited processing of UCC records and searches is not available. 1.8 Methods of payment. Filing fees and fees for public records services may be paid in accordance with the following rules: 1.8.1 The Secretary of State will only accept credit, debit, or prepaid account payments for secured transaction services. Information regarding usage is available upon request and on the Secretary of State’s website. 1.8.2 The Secretary of State will accept cash, check, or electronic transfer payments from the IRS. 1.8.3 In the case of hardship, the Secretary of State may allow for the payment of fees by an alternative method of payment authorized by the Secretary of State. Hardship payment may only occur after the filer has received prior approval from the Secretary of State. 1.9 Overpayment and underpayment policies. 1.9.1 Overpayment. Information regarding the refund of an overpayment is available upon request and on the Secretary of State's website. 1.9.2 Underpayment. The electronic filing application and the system-to-system transfer method will not allow a filer to submit a record with insufficient fee payment. 1.10 Public records services are provided on a nondiscriminatory basis to any member of the public on the terms described in these rules. The following methods are available for obtaining copies of secured transaction records and copies of data from the secured transactions information management system: 1.10.1 Individually identified records. Images of individually identified secured transaction records are available, when possible, via the electronic searching application. 1.10.2 Bulk images of secured transaction records. The Secretary of State will provide a bulk image subscription service. 1.10.3 Data from the information management system. The Secretary of State will provide a bulk data subscription service. A list of available data elements from the secured transactions information management system, with the file layout, is available from the Secretary of State upon request. 1.10.4 Online services. Secured transactions data and images are available online from the Secretary of State's website. The Secretary of State may limit the size and number of data or images in order to address any technical limitation or to maintain continuity of service. 1.11 Except as provided in Rules 1.2.3, 1.8.3, and 6.2, liens created under federal law are recorded, indexed, and managed in the same manner as secured transaction records.

Rule 2. Acceptance and Refusal of Records 2.1 Role of the filing office. The duties and responsibilities of the Secretary of State with respect to the administration of the UCC, the EFS Act, and the Lien Registration Act are ministerial. In accepting for filing or refusing to file a secured transaction record in accordance with these rules, the Secretary of State will not: 2.1.1 Determine the legal sufficiency or insufficiency of a record; 2.1.2 Determine whether a security interest in collateral exists; 2.1.3 Determine that information in the record is correct or incorrect, in whole or in part; or 2.1.4 Create a presumption that information in the record is correct or incorrect, in whole or in

part. 2.2 Duty to file. A record that does not have a ground for refusal is filed upon receipt by the Secretary of State with the applicable filing fee. The Secretary of State will assign a file number to the secured transaction record upon receipt and promptly index the record in the secured transactions information management system. 2.3 Grounds for refusal of a UCC record. In accordance with section 4-9-516(b), C.R.S., the Secretary of State will refuse to file a UCC record for the following reasons: 2.3.1 Some or all of the information provided in the UCC record is illegible. Legibility is not limited to written expressions on paper. A filer must submit a legible record in the form, format, and medium required by the Secretary of State. 2.3.2 Lack of identification of initial financing statement. The Secretary of State will refuse an amendment or information statement if the record does not provide:

(a) A file number of a financing statement in the secured transactions information management system that has not lapsed;

(b) The date that the initial financing statement was filed; and (c) For an amendment to an initial financing statement filed on or before December 31, 1999, an indication of the filing office in which the initial financing statement was filed. 2.3.3 Timeliness of continuation. The Secretary of State will refuse a continuation statement if it is received more than six months before the financing statement’s lapse date or if it is received after the financing statement’s lapse date. The Secretary of State will accept a continuation statement filing as follows:

(a) First day permitted. The first day on which a continuation statement may be filed is the day of the sixth month preceding the month in which the financing statement would lapse that corresponds to the day of the month on which the financing statement would lapse. If there is no such corresponding date, the first day on which a continuation statement may be filed is the last day of the sixth month preceding the month in which the financing statement would lapse. Filing may not be possible on any date that the electronic filing application is unavailable, such as during regular system maintenance periods.

(b) Last day permitted. The last day on which a continuation statement may be filed is the date on which the financing statement lapses, although filing may not be possible on any date that the electronic filing application is unavailable, such as during regular system maintenance periods.

(c) Means of communication. The Secretary of State will only accept UCC records communicated by an authorized means in accordance with Rule 1.2. 2.3.4 Indecipherable. The Secretary of State will refuse an indecipherable UCC record that cannot be indexed. An indecipherable record may include, but is not limited to, a record that contains a special character outside of the character set provided in Rule 3.14, or an amendment that fails to indicate the type of amendment. 2.3.5 The Secretary of State will provide a notice to the filer indicating the missing, indecipherable, or invalid information, and that the filer must provide the missing information in order to file the record. 2.4 Grounds for refusal of an EFS record. The Secretary of State will refuse to accept an EFS or EFS amendment only for those reasons found in the UCC and in Rule 2.3. 2.5 Grounds for refusal of a notice of lien or notice of amendment. In addition to the reasons set forth in section 4-9.7-105, C.R.S., the Secretary of State will refuse to accept a notice of lien or notice of amendment for the following reasons: 2.5.1 Fee. The Secretary of State will refuse a notice of lien or notice of amendment if the record is submitted with less than the full filing fee and the fee is not tendered by a method authorized in Rule 1.8. 2.5.2 Means of communication. The Secretary of State will refuse a notice of lien or notice of amendment communicated to the Secretary of State by a means of communication not authorized in Rule 1.2. 2.5.3 Indecipherable. The Secretary of State will refuse a notice of lien or notice of amendment that is indecipherable and cannot be indexed. An indecipherable record may include, but is not limited to, a record that contains a special character outside of the character set provide in Rule 3.14, or a notice of amendment that fails to indicate the type of amendment. 2.6 Grounds for refusal of a record submitted via the system-to-system transfer method. The sole grounds for the Secretary of State's refusal to accept a secured transaction record for filing submitted via the system-to-system transfer method are enumerated in Rules 2.3 and 2.4. 2.7 Procedure upon refusal. During the submission process, the electronic filing application will indicate any deficiencies and will prompt the filer to provide all required information necessary to complete filing. The system will not accept a filing until all required information is provided. 2.8 Acknowledgment. 2.8.1 When a filer completes the electronic filing application, the system will display an image of the secured transaction record including the record information, file number, and the filing date and time. 2.8.2 When a filer completes a system-to-system transfer, the system will display the record information, file number, and the filing date and time. 2.9 Refusal errors. If a filer demonstrates to the satisfaction of the Secretary of State that a record was refused in error, the Secretary of State will file the record as of the filing date and time when the record was originally communicated for filing with a statement that the record was refused in error. The statement will be preserved for so long as the master record is preserved in the secured transactions information management system.

Rule 3. Secured Transactions Information Management System 3.1 General. The Secretary of State uses an information management system to store, index, and retrieve information relating to secured transaction records. The information management system includes an index of the names of debtors/owners named on secured transaction records. The following rules describe the secured transactions information management system: 3.2 Primary data elements. The primary data elements used in the secured transactions information management system are the following: 3.2.1 Identification numbers.

(a) Each secured transaction record is identified by a unique file number. The file number is permanently inscribed on the record image generated by the secured transactions information management system and is permanently associated with each secured transaction record that is stored and maintained in the secured transactions information management system. When a record is initially filed, a master record is created.

(b) An amendment or a correction to a secured transaction master record is linked to the related master record in the secured transactions information management 3.2.2 Type of record. The type of secured transaction record is identified in the secured transactions information management system. 3.2.3 Filing date and filing time. The filing date and time are the date and time the record is filed in the secured transactions information management system. The filing date and time of a secured transaction record are stored in the secured transactions information management system and are noted on the image of a secured transaction record. 3.2.4 Identification of parties. The names and addresses of all parties, as provided by the filer, are stored and maintained in the secured transactions information management system. 3.2.5 Status of secured transaction record. Each master record has a status of unlapsed or lapsed. 3.2.6 Page count. The total number of pages in a secured transaction record is indicated on the image of the secured transaction record. 3.2.7 Lapse indicator. If a secured transaction record has a limited period of effectiveness, the system will calculate and maintain the lapse date of the record. The lapse date is determined as provided in Rule 4.3. The lapse date is indicated in the electronic searching application and stored in the secured transactions information management 3.3 Names of individuals. This rule applies to the name of a debtor, an owner, a claimant, or a secured party provided on a secured transaction record who is an individual. 3.3.1 Individual name fields. The secured transactions information management system will provide separate fields for the first, middle, and last names of individuals. A filer should place the name of a debtor with a single name (e.g., “Cher”) in the last name field. All individual name information will be recorded in the secured transactions information management system exactly as the data was entered in the electronic filing application or as transmitted by the system-to-system transfer method. 3.3.2 Individual names - truncation. Individual name fields are fixed in length. The application will truncate names longer than the allowed fixed length. The lengths of the corresponding fields available in the electronic filing application and the system-to-system transfer method are as follows:

(a) First name: 255 characters.

(b) Middle name: 255 characters.

(c) Last name: 255 characters.

(d) Suffix: The secured transactions information management system will only accept the following suffixes: Jr., Sr., II, III, IV, V, VI, VII, VIII, IX, and X. 3.4 Names of organizations. This rule applies to the name of an organization that is a debtor, an owner, a claimant, or a secured party provided on a secured transaction record. 3.4.1 Single field. The secured transactions information management system will provide a single field for an organization name. 3.4.2 Organization names - truncation. The organization name field is fixed in length. The application will truncate names longer than the allowed fixed length. The length of the corresponding fields available in the electronic filing application and the system-to-system transfer method is 255 characters. 3.5 Estates. The electronic filing application will provide a method to indicate, separate from the identification of the debtor, that a personal representative of a decedent is administering the collateral. 3.6 Trusts other than registered organizations. The electronic filing application will provide a method to indicate, separate from the identification of the debtor, that the collateral is held in trust and to include, if applicable, additional information to distinguish the trust from other trusts having one or more of the same settlors or the same testator. 3.7 Record opening document. Upon the filing of a record opening document, a master record is created with an unlapsed status. The status of the master record and the status of the following parties are recorded in the secured transactions information management system and retained in accordance with Rule 4.14: 3.7.1 Status of secured party. Each secured party named on an initial financing statement or EFS is recorded. 3.7.2 Status of claimant. Each claimant named on a notice of lien is recorded. Each claimant identified in a notice will be maintained in the secured transactions information management system as if the claimant were a secured party of record. 3.7.3 Status of assignee and assignor. If a record opening document includes an assignment, the assignee and the assignor will each be indexed as a secured party of record. 3.7.4 Status of debtor. A debtor named on an initial financing statement or EFS is recorded. 3.7.5 Status of owner. An owner named on a notice of lien is recorded. Each owner identified in a notice will be maintained in the secured transactions information management system as if the owner were a debtor. 3.8 Amendment. Upon the filing of an amendment, the status of the parties and the status of the secured transaction record will be as follows: 3.8.1 Status of secured party and debtor. An amendment will affect the status of the names of the debtor and the secured party in the related master record as follows:

(a) Collateral amendment or address change. An amendment that amends only the collateral description or one or more addresses will not affect the status of any debtor or secured party.

(b) Debtor name change. An amendment that changes a debtor's name will not affect the status of any other debtor or any secured party, except that the related initial financing statement or EFS and all UCC records that include an identification of such initial financing statement will be cross-indexed in the secured transactions information management system so that a search under either the debtor’s old name or the debtor’s new name will reveal the initial financing statement or EFS and any related records.

(c) Secured party name change. An amendment that changes the name of a secured party will not affect the status of any debtor or any other secured party, but the new name will be added to the secured transactions information management system as if it were a new secured party of record.

(d) Addition of a debtor. An amendment that adds a new debtor name will not affect the status of any other debtor or any secured party, except the new debtor name will be added to the secured transactions information management system as a new debtor.

(e) Addition of a secured party. An amendment that adds a new secured party will not affect the status of any debtor or other secured party, except that the new secured party name will be added to the secured transactions information management system as a new secured party of record.

(f) Deletion of a debtor. An amendment that deletes a debtor will not affect a debtor or secured party stored in the secured transactions information management (g) Deletion of a secured party. An amendment that deletes a secured party of record will not affect a debtor or secured party stored in the secured transactions information management system. 3.8.2 Status of claimant and owner. A notice of amendment affects the status of a claimant or owner in the same manner as an amendment filed in accordance with Rule 3.8.1. 3.8.3 Status of master record. An amendment will not affect the status of the master record, except as provided in Rules 3.10 and 3.11. 3.9 Assignment of powers of secured party of record. 3.9.1 Status of the parties. An assignment will not affect the status of the parties to the financing statement, except that each assignee named in the assignment will become a secured party of record. 3.9.2 Status of master record. An assignment will not affect the status of the master record. 3.10 Continuation. 3.10.1 Continuation of lapse date. Upon the timely filing of one or more continuations, the lapse date of the master record will be extended by the appropriate period in accordance with the applicable substantive statute. 3.10.2 Status of parties. The filing of a continuation will not affect the status of any party included in the master record. 3.10.3 Status of master record. Upon the filing of a continuation, the status of the master record will remain unlapsed. 3.11 Termination. 3.11.1 Status of parties. The filing of a termination will not affect the status of any party included in a master record. 3.11.2 Status of UCC master record. A termination will not affect the status of the master record.

If the termination relates to a financing statement filed against a transmitting utility, then the master record will lapse upon the filing of the termination statement with respect to all secured parties of record. 3.11.3 Status of EFS. A termination or an amendment that purports to remove EFS master list notification will cause the EFS identified in the termination or amendment and any related EFS amendments to be removed from the master lists published and distributed by the Secretary of State after the termination. An amendment that removes EFS master list notification will not affect the status or otherwise impair the perfection of any security interest perfected by the EFS for purposes of Article 9 of Title 4, C.R.S. 3.11.4 Status of notice of lien. A notice of amendment that purports to terminate a notice of lien will cause the notice of lien to lapse. 3.12 Information statement. 3.12.1 Status of parties. Filing an information statement will not affect the status of any party to the financing statement. 3.12.2 Status of financing statement. An information statement will not affect the status of the financing statement. 3.13 Procedure upon lapse. If there is no timely filing of a continuation statement in accordance with

Rule 4.3, a master record lapses. The Secretary of State will retain all lapsed secured transaction records in accordance with Rule 4.14. 3.14 The secured transactions information management system will only support ASCII characters 32- 126. Information regarding ASCII characters 32-126 is available upon request and on the Secretary of State's website. 3.15 Electronic Procedures. 3.15.1 Direct electronic filing and searching services. The secured transactions information management system will include an electronic filing application and an electronic searching application that are available to any person with Internet access. Instructions on how to file and conduct searches are available on the Secretary of State’s website. 3.15.2 Filing procedures. All secured transaction records will be communicated to the Secretary of State for filing by the electronic filing application or by utilizing the system-to-system transfer method authorized by the Secretary of State. Instructions on how to file are available on the Secretary of State’s website.

Rule 4. Filing and Records Management Procedures 4.1 Duties and Authority of the Secretary of State. The Secretary of State will promptly file a record that conforms to these rules and will maintain and index all data exactly as the filer entered the data in the electronic filing application or the system-to-system transfer method. It is not within the Secretary of State’s authority to determine the legal effectiveness of a secured transaction record.

The filing of or refusal to file a record does not affect the validity of the record or relate to the correctness of the information in the record. 4.2 Record indexing and other procedures for the electronic filing application or system-to-system transfer method. 4.2.1 Record review. The Secretary of State only determines if one or more grounds for refusal exist. If a ground for refusal exists, the electronic filing application will not allow the record to be submitted. 4.2.2 Electronic attachments. The electronic filing application and system-to-system transfer method will allow a filer to include electronic attachments when filing a secured transaction record. The Secretary of State does not review the contents of electronic attachments and will not index or make the contents of electronic attachments searchable. 4.3 Lapse date and time. A lapse date is calculated for each record opening document. The lapse date is the same day of the same month as the filing date in the final year of the initial statutorily determined period of effectiveness or subsequent statutorily determined period of effectiveness if a timely continuation statement is filed. A master record lapses at 12:00 AM of the day immediately following the lapse date. The lapse date for a record opening document filed on February 29 will be February 28 in the final year of the statutorily determined period of effectiveness. 4.4 Verification of data entry. The Secretary of State is neither permitted nor authorized to provide legal advice or to make any judgment regarding the effectiveness or sufficiency of a secured transaction record. Entering data into the electronic filing application and determining whether the information included in a record is legally sufficient is the sole responsibility of the filer. 4.5 Errors of the filing officer. The Secretary of State may correct errors made by filing office personnel when entering information in the secured transactions information management system at any time. If a correction is made, the Secretary of State will file a filing officer correction relating to the relevant master record stating the date of the correction and explaining the nature of the corrective action taken. The correction will be preserved for so long as the related master record is preserved in the secured transactions information management system. 4.6 Errors other than filing office errors. Filer errors are the responsibility of the filer. A filer may file an amendment to correct an error or an information statement to disclose an error. The accuracy and completeness of information that is filed is ultimately the responsibility of the filer. 4.7 Data entry of names - no designated fields. Only names entered in a designated name field in the electronic filing application or received in a designated name field through the system-to-system transfer method will be recorded as a name in the secured transactions information management system. This applies to all parties associated with a secured transaction record. 4.8 Record opening document. A new master record will be created in the secured transactions information management system for each record opening document that is filed. The master record will use the file number of the financing statement and the date and time of filing of the record opening document. 4.8.1 Debtor or owner information. The name and address of each debtor or owner that are legibly set forth in a secured transaction record will be entered into the related master record. 4.8.2 Secured party or claimant information. The name and address of each secured party or claimant that is legibly set forth in a secured transaction record will be entered into the related master record. 4.8.3 Indexing. Each master record will be indexed according to the name of the debtor(s) or owner(s) indicated on the secured transaction record and will be available for public inspection through the electronic searching application. 4.9 Amendment. Each amendment that is filed will be indexed in the secured transactions information management system and will be linked to the related master record. 4.9.1 Indexing of an amendment. An amendment is associated with a master record so that the amendment can be retrieved by searching for the file number of the amendment, searching for a debtor or secured party designated in the amendment, or by searching for the related record opening document through the electronic searching application. 4.9.2 Names and addresses. The name and address of each debtor/owner and secured party/claimant designated in an amendment will be entered into the secured transactions information management system and associated with the related master record. 4.9.3 If the amendment is a continuation, a new lapse date will be established for the related master record. If no lapse date is associated with a master record, then the continuation will be made part of the master record and no other action will be taken. 4.10 Information statement. Each information statement that is filed will be indexed in the secured transactions information management system. The information statement will be associated with the related master record in a manner that causes the information statement to be retrievable by searching for the file number of the information statement or by searching for the related record opening document. 4.11 Master amendments. An amendment or information statement that would change or affect multiple secured transaction records with one filing is not possible at this time. 4.12 Treatment of paper records. The Secretary of State will scan a paper record to create and store an electronic image of the record in the secured transactions information management system.

Once the Secretary verifies that the image is correctly scanned, the Secretary will destroy the paper record. 4.13 Database backups. The Secretary of State will make both daily incremental backups and weekly full backups of the database using magnetic tape or other appropriate data backup or data storage system. 4.14 Records retention. The Secretary of State will retain data, including electronic image records, in the secured transactions information management system for at least two years after lapse. 4.15 Hardship policy and procedures. A hardship filing by a method of communication other than electronic filing will be processed only if the request was preapproved by the Secretary of State, and the request is tendered with the appropriate fee. The Secretary of State will determine the policy and procedure used to accept and process a secured transaction record under a hardship request. 4.16 Notice of bankruptcy. The Secretary of State takes no action upon receipt of a notification, formal or informal, of a bankruptcy proceeding. Accordingly, secured transaction records will lapse as scheduled unless properly continued.

Rule 5. Search Requests and Reports 5.1 General requirements. The Secretary of State maintains a searchable index of all master records and liens created under the UCC, the EFS Act, the Lien Registration Act, and applicable federal law. This searchable index allows records to be retrieved by searching for the name of a debtor, owner, or taxpayer or by the file number of a secured transaction record. 5.2 Search requests. Search requests can be submitted and processed only by using the electronic searching application. A searcher may perform a search of the secured transactions information management system using the following types of search requests: 5.2.1 Standard search. A standard search is a search of the secured transactions information management system using the standard search logic provided for in Rule 5.4. A searcher may perform a standard search of all unlapsed records by providing the name of a debtor, owner, or taxpayer. The standard search will return any unlapsed secured transaction records and any federal lien that designates a debtor, owner, or taxpayer name that matches the name entered into the electronic searching application.

(a) Lapsed records. A standard search may include all lapsed secured transaction records which name a debtor, owner, or taxpayer that matches the name entered into the electronic searching application.

(b) Certification of a standard search. The results of a standard search will be certified by the Secretary of State upon request, with the provision of information identifying the requestor, and payment of any applicable fee. 5.3 Optional search request criteria. The Secretary of State may allow searches of the secured transactions information management system using search criteria beyond the name of a debtor, owner, or taxpayer. The results of these search requests will include secured transaction records and federal liens that match the search criteria entered into the electronic searching application by the searcher. 5.3.1 Certification. The Secretary of State will not certify the results of any searches performed using the optional search criteria. 5.4 Rules applied to standard search requests. Search results are created by applying standardized search logic to the name a searcher enters in a standard search function of the electronic searching application. Human judgment does not play a role in determining the results of the search. The following are the sole rules applied to conduct searches: 5.4.1 Search result limits. Search results are limited to 500 matching records. 5.4.2 Standard search logic - organization name normalization. The standard search logic of the Secretary of State will normalize an organizational name as follows:

(a) All letters will be converted to upper case.

(b) An ampersand (“&”) will be converted to “and”.

(c) All articles, such as “the”, “a”, and “an”, that precede or follow the name will be removed.

(1) The character “a” will be considered an article if followed by a space and two or more characters unless the characters following the space are “and [space]”.

(2) If “[space] a” is the last character in a name, “a” will be considered an

article.

(d) All characters, including punctuation, outside of 0-9 and A-Z will be replaced with a single space.

(e) Any and all leading and trailing spaces will be removed.

(f) All multiple consecutive spaces within the name will be reduced to one space.

(g) Words and abbreviations at the end of a name that indicate the existence or nature of an organization as set forth in the “Ending Noise Words” list as promulgated and adopted by the Secretary of State from time to time, are disregarded (e.g., “company”, “limited”, “incorporated”, “corporation”, “limited partnership”, “limited liability company”, or abbreviations of the foregoing). The “E nding Noise Words” list is available upon request and on the Secretary of State's website.

(h) All spaces will be removed from the name in order to concatenate the name. 5.4.3 Standard Search Logic - individual name normalization. The standard search logic of the Secretary of State will normalize an individual name as follows:

(a) Only the last, first, and middle names will be used.

(b) A last name must be provided.

(c) All letters will be converted to upper case.

(d) All characters, including punctuation, outside of 0-9 and A-Z will be replaced by a space.

(e) All spaces in a last name, first name, or middle name will be removed.

(f) An individual name may be searched using any of the following combinations:

(1) Last name;

(2) Last name, first initial;

(3) Last name, first initial, middle initial;

(4) Last name, first initial, middle name;

(5) Last name, first name;

(6) Last name, first name, middle initial; and (7) Last name, first name, middle name. 5.4.4 A normalized name as a null value. A normalized name may be a null value. 5.4.5 Standard Search Logic results. The standard search logic will use the normalized name to search the secured transactions information management system and to produce search results.

(a) Normalized organization names. Only names that are an exact match of the normalized name will be included in the search results.

(b) Normalized individual names. Only last names that are an exact match of the normalized last name will be included in the search results.

(c) Only a last name is provided. If a search is conducted using only a last name, the search results will include debtors on record with only a last name.

(d) Individual first and middle names. The results of a search using a first name, middle name, or both will include the normalized first name, normalized middle name, or both with trailing wildcards. 5.5 Search responses. Upon submitting a search request using the electronic searching application, a list of results matching the search criteria will be provided. If no information matching the search criteria is returned, the electronic searching application will indicate that the search criteria do not return any results. A report of the search results will be available. Reports created in response to a search request will include the following: 5.5.1 Filing office identification. The Secretary of State will be identified as the report provider. 5.5.2 Processed through date. Each report will indicate:

(a) The most recent date through which the Secretary of State has processed paper filings in accordance with Rule 1.2.3; and (b) The most recent date and time through which the Secretary of State has received electronic filings. 5.5.3 Search criteria. The report will indicate the data that was used to generate the report.

Search criteria that may be used include the following:

(a) Debtor name. The debtor, owner, or taxpayer name used to conduct the search will be indicated.

(b) Exact match. The report will indicate if the search results are limited to an exact match of the debtor name used to conduct the search.

(c) Normalized name. The normalized name used to conduct a standard search will be indicated.

(d) Debtor city. The report will indicate if the search results are limited to a debtor's city.

(e) Debtor state. The report will indicate if the search results are limited to a debtor's state.

(f) Debtor ZIP/Postal code. The report will indicate if the search results are limited to a debtor's ZIP/Postal code.

(g) Secured party name. The report will indicate the secured party’s or claimant’s name used to conduct the search.

(h) Exact match. The report will indicate if the search results are limited to an exact match of the secured party name used to conduct the search.

(i) Secured party city. The report will indicate if the search results are limited to a secured party's city.

(j) Secured party state. The report will indicate if the search results are limited to a secured party’s state.

(k) Secured party ZIP/Postal code. The report will indicate if the search results are limited to a secured party's ZIP/Postal code.

(l) Date range. The report will indicate if the search results are limited to a date range.

(m) Record type. The report will indicate if the search results are limited to one or more types of records.

(n) Lapsed records. The report will indicate if the search results include lapsed records. 5.5.4 Report date and time. The date and time the report was generated will be indicated. 5.5.5 Identification of record opening documents. Any record opening document matching the search criteria will by retrieved and identified by the record’s file number and file date. 5.5.6 Record history. For each record opening document identified on the report, a list of all related records and corrections filed or entered on or before the processed through date will be identified with the record opening document. 5.5.7 Identification of master record information. Master record information on file with the Secretary of State will include the following:

(a) Record opening document file number.

(b) Record opening document filing date and time.

(c) Type of record.

(d) Each debtor's name and address.

(e) Each secured party's name and address.

(f) Amendment file number.

(g) Amendment filing date and time.

(h) Type of amendment.

(i) Information statement file number.

(j) information statement filing date and time.

(k) Filing officer correction date.

(l) Lapse date. For each record opening document identified on the report, a lapse date will be indicated, unless no lapse date exists. 5.6 Copies. Upon request and subject to availability, the Secretary of State will provide an image of a record that is on file with the Secretary of State and retrieved through the electronic searching application. 5.7 Certification of secured transaction records and reports. 5.7.1 Secured transaction records recorded with the Secretary of State. Secured transaction records that are available through the secured transactions information management system may be certified by the Secretary of State in response to a search request as required by applicable law.

(a) Secured transaction records certified by the Secretary of State. The unredacted image of the original secured transaction record will be provided in response to a request for a certified record. 5.7.2 Reports. Reports generated from the results of a standard search may be certified by the Secretary of State as required by applicable law.

(a) Certification identification number. The Secretary of State will assign a unique identifying number to each certified report. 5.7.3 Medium of certified records and reports. A certified report or record produced or generated by the Secretary of State will be communicated in an electronic medium.

(a) Hardship certification. In the case of hardship, the Secretary of State may, at its discretion, allow for the communication of a certified report or record in a medium other than an electronic medium. Hardship certification requests will only be accepted after the requester has received prior approval from the Secretary of State. 5.8 Hardship search requests. A hardship search request will be processed only if the request was preapproved by the Secretary of State and is tendered with any applicable fee. The Secretary of State will determine the policy and procedure used to accept a secured transaction search request under hardship.

Rule 6. Other Notices of Liens 6.1 Policy statement. This rule describes records of liens that the Secretary of State maintains according to statutes other than the UCC that the Secretary of State treats in a manner substantially similar to UCC records and that are included in search results obtained through the electronic searching application. 6.2 Notice of federal tax lien. All notices of federal tax lien are processed in accordance with Article 25 of Title 38, C.R.S.

Rule 7. EFS Filings 7.1 Incorporation of prior Rules. Rules 1 through 9 apply to filings and other actions made under the EFS Act to the extent not inconsistent with the EFS Act and this Rule 7. 7.2 Farm products. The list of farm products is found in the Federal Register and is posted on the Secretary of State’s website. 7.2.1 Each of the farm products contained in the list of farm products is considered a separate and distinct farm product. 7.2.2 Inclusion and removal of additional products. A person may request that a farm product be included or removed from the farm products list. However, the Secretary of State cannot change the list without the United States Department of Agriculture’s approval. 7.3 EFS filings. 7.3.1 EFS. The electronic filing application will allow the capture of all information required by the EFS Act and all information necessary to perfect a UCC security interest.

(a) Master list notification and records submitted for filing. An EFS is the only record that will create a master list notification. 7.3.2 EFS Amendment. The electronic filing application will allow an EFS to be amended. 7.3.3 Master list compilation. The EFS master list is compiled with the information contained in each EFS and EFS amendment.

(a) Master list notification. To be included the monthly master list, a filer must electronically file an EFS or an EFS amendment on or before 11:59 p.m.

Mountain Standard Time on the last day of the previous month. 7.4 EFS master list compilation and distribution. 7.4.1 Compilation month and distribution month. For the purpose of Rule 7, the following terms are defined:

(a) “Compilation month” means the calendar month for which the master list is compiled.

(b) “Distribution month” means the month immediately following a compilation month and the month in which the master list is distributed to master list registrants. For example, December is the distribution month for the master list compiled for November, which would include each effective EFS and EFS amendment filed on or before 11:59 p.m. on November 30th. 7.4.2 Monthly compilation. The Secretary of State will compile the EFS master list on a monthly

basis. The master list will not include an EFS and any related EFS amendment that lapsed or terminated on or before the last day of the compilation month.

(a) Compilation deadline. The Secretary of State will compile the monthly master list no later than the tenth day of the distribution month.

(b) Organization of the master list. The master list may be organized and distributed as multiple lists arranged by debtor name, debtor unique identifier, county, and crop year. 7.4.3 EFS master list distribution.

(a) Monthly distribution of the master list. The master list is distributed on a monthly

basis.

(b) Distribution method. A master list registrant may obtain the master list electronically. The master list may be downloaded from the Secretary of State’s website or it may be searched using the Secretary of State’s website. Upon request and payment of all applicable fees, a master list registrant may receive a paper copy of the master list.

(c) Custom list distribution. A person may only obtain a custom list by searching the EFS master list through the Secretary of State's website and then downloading the search results. Custom list criteria may be entered to limit EFS master list search and the system will return all matching master list results.

(d) Distribution deadline. Each monthly master list will be available no later than the fifteenth day of the distribution month. Once the monthly master list is distributed, custom lists will also be available. 7.4.4 Debtor name custom lists. A custom list of all farm products in all counties sorted by debtor name is available for download from the Secretary of State's website. 7.4.5 Failure to complete compilation and distribution by the deadline. If the Secretary of State cannot complete the compilation and distribution of the master list by the fifteenth day of the distribution month, the Secretary of State will communicate the fact of and reason for such failure to all master list registrants and on the Secretary of State's website. 7.5 Master list registration. 7.5.1 Registration. Registration is not necessary to download or search the master list through the Secretary of State’s website. A person may become a master list registrant by registering to receive email notification that the master list has been published and distributed. Registration is completed by creating an account through the Secretary of State's website and choosing to receive notification. A person who requests a paper copy of the master list must contact the Secretary of State’s office, complete a registration form, and pay all applicable fees. 7.5.2 Registration changes. A master list registrant is responsible for changing the registrant’s contact information. Changes are completed through the Secretary of State's website. 7.5.3 Duration. Master list registrations are effective for one year. 7.5.4 Renewal. Master list registrations will automatically be renewed unless a registrant cancels the registration. The Secretary of State will notify each registrant in June that the registrant’s registration will automatically renew on July 1. 7.6 EFS Filing Fees and EFS Master List Fees. Fees for processing EFS records, searches, copies and other services will be adopted and published by the Secretary of State from time to time.

Information, instructions, and a fee schedule are available upon request and on the Secretary of State's website.

Rule 8. Lien Registration Act 8.1 Incorporation of prior sections. Rules 1 through 7 and Rule 9 apply to filings and other actions made under the Lien Registration Act to the extent such rules are not inconsistent with the Lien Registration Act and this Rule 8. 8.2 Lapse date. A notice of lien, other than a restitution lien or child support lien, will not indicate a lapse date in the secured transactions information management system unless a notice of lien has been terminated. 8.2.1 Restitution lien. A notice of lien for a restitution lien is effective for 12 years. A lapse date is calculated in accordance with Rule 4.3. 8.2.2 Child support lien. A notice of lien for a child support lien is effective for 12 years. A lapse date is calculated in accordance with Rule 4.3. 8.2.3 Lapse date of a terminated notice of lien. The lapse date of a terminated notice of lien is the date that the notice of amendment terminating the notice of lien was filed. 8.2.4 Continuation of effectiveness. A filer may submit one or more notices of amendment continuing the effectiveness of a notice of lien. 8.3 Additional information or record. The electronic filing application and the system-to-system transfer method will accept an electronic attachment.

Rule 9. Redaction of Tax Identification Numbers 9.1 Redaction authority. The Secretary of State may redact any tax identification number contained in a secured transaction record in accordance with section 24-21-302(1), C.R.S. 9.2 Redaction method. The Secretary of State processes each secured transaction record using automated redaction software to identify and redact any tax identification number. 9.2.1 Verification of automated redaction software results. The Secretary of State may review processed images and restore information determined not to be a tax identification number. 9.2.2 Availability of secured transaction record images. An image of a secured transaction record is made available as soon as practicable after being processed by the redaction software.

(a) Acknowledgment. Upon completion of the filing process, the filer receives an acknowledgment copy of the image of the filed secured transaction record. The acknowledgment copy is not processed through the automated redaction software. 9.2.3 Application and retrieval process for an unredacted original secured transaction record.

The procedures to retrieve an unredacted original secured transaction record are available upon request or on the Secretary of State's website. 9.3 Requesting the redaction of a tax identification number. If the Secretary of State fails to redact a tax identification number, a party may submit a request to the Secretary of State to redact the tax identification number. 9.3.1 Redaction request guidelines. The procedures for submitting a request to redact a tax identification number are available from the Secretary of State upon request. 9.4 Restoration of redacted information that is not the social security number or individual taxpayer identification number of an individual identified in an image of a secured transaction record. If information contained in an image of a secured transaction record was redacted in error, a party may request the restoration of the redacted information by submitting a request to the Secretary of State. 9.4.1 Restoration request guidelines. The procedures for submitting a request to restore redacted information in an image of a secured transaction record are available from the Secretary of State upon request. _________________________________________________________________________ Editor’s Notes

History Entire rule eff. 05/29/2012.

Entire rule eff. 07/30/2013.

8 CCR 1505-8 Rules Concerning Lobbyist Regulation {#sec-8-ccr-1505-8 omnilex-key=us-co-regs-official--department-20--8 CCR 1505-8}

DEPARTMENT OF STATE

RULES CONCERNING LOBBYIST REGULATION

8 CCR 1505-8 [Editor’s Notes follow the text of the rules at the end of this CCR Document.] _________________________________________________________________________

Rule 1. Definitions 1.1 “Contract” means a written or verbal agreement between a client and a person for lobbying services including communicating directly or indirectly with a redistricting commission, as defined under Rule 1.9, for the purposes of aiding or influencing such commission in their constitutionally prescribed duties on behalf of a client. 1.2 “Contribution” means a gift, subscription, loan, advance, or deposit of money or anything of value and includes a contract, promise, or agreement, whether or not legally enforceable, to make a contribution. “Contribution” also includes the compensation and reimbursement for expenses of a person required to file a disclosure statement under section 24-6-302, C.R.S. 1.3 “Division” means the division within the office of the Secretary of State responsible for administering the State’s laws governing lobbying. 1.4 “Fiscal Year” means the period beginning July 1 of a calendar year and ending June 30 of the following calendar year. 1.5 “Legislation” means any bill, resolution, amendment, nomination, report, or any other matter whether or not in writing, pending, or proposed for consideration by either house or committee of the general assembly, whether or not the general assembly is in session. 1.6 “Monitoring” status means that a registered lobbyist is not currently communicating support or opposition, or influencing or attempting to influence a covered official on the drafting, introduction, sponsorship, consideration, debate, amendment, passage, defeat, approval, or veto of any bill, resolution, amendment, nomination, appointment, or report, pending or proposed. 1.7 “Professional lobbyist” means a person, a business entity, including a sole proprietorship, or an employee of a client, who is compensated by a client, another professional lobbyist, or lobbying firm for lobbying services. 1.8 “Rate” means a ratio of valuation, percentage, percentage change, annual adjustment, or an amount charged for a good or service, adopted by a state agency having rulemaking authority. 1.9 “Redistricting commission” means the independent congressional redistricting commission and the independent legislative redistricting commission, as created under sections 44 and 46 of

article V of the Colorado Constitution. For the purposes of these rules, “redistricting commission" includes the commission as a whole, an individual member of the commissions, their staff, or persons contracted by the commissions. 1.10 “Redistricting commission lobbyist” means a person who is contracted or compensated to communicate directly or indirectly, including through providing public comment, with a redistricting commission to advocate for the adoption or rejection of any map, amendment to a map, mapping approach, or manner of compliance with any of the mapping criteria specified in Article V, Sections 44.3 and 48.1 of the Colorado Constitution, or to otherwise aide or influence such commission in their constitutionally prescribed duties. A person representing a client on an uncompensated basis for the purposes listed above is a redistricting commission lobbyist. 1.11 “Respondent” means the person or entity against whom a complaint is filed. 1.12 “Session” means a regular or special session of the general assembly, and, where applicable, when any measure adopted by the general assembly in regular session is pending before the governor for approval or disapproval. 1.13 “Standard” means a criterion measuring acceptability, quality, accuracy, weight, or an amount, or a threshold for agency jurisdiction adopted by a state agency having rulemaking authority. 1.14 “State Liaison” means the one person designated by each principal department of state government who is responsible for any lobbying by a state official or employee on behalf of the principal department.

Rule 2. Professional Lobbyists 2.1 Registration 2.1.1 A professional lobbyist must register electronically via the Secretary of State’s website before lobbying. The statement must contain:

(a) The professional lobbyist’s full name, business address, and business telephone number;

(b) The name, address, and telephone number of the lobbying firm or any other person or entity that employs the professional lobbyist;

(c) The name, address, and telephone number of all clients that engage the professional lobbyist;

(d) The name, address, and telephone number of any other professional lobbyist for whom the professional lobbyist is lobbying on a subcontract basis. 2.1.2 The fee for filing a professional lobbyist registration statement is $40.00.

(a) Upon request, the Secretary of State may waive the registration fee for a professional lobbyist who is lobbying for a nonprofit organization if the professional lobbyist’s only compensation is from the nonprofit organization. To receive a waiver, the professional lobbyist must submit a written request to the Secretary of State along with a copy of the nonprofit organization’s most recent IRS form 990, 990EZ, or 990-N showing gross annual revenue of $50,000 or less. 2.1.3 A professional lobbyist must file an updated registration statement on or before July 15 each year. 2.2 Exceptions to registration with the Secretary of State’s office 2.2.1 Volunteer lobbyist (a) A volunteer lobbyist, as defined in section 24-6-301(7), C.R.S., is not required to register with the Secretary of State, but must register with the general assembly. 2.2.2 Grass roots lobbying (a) If an activity that could otherwise be considered lobbying is performed by an employee only once a year, and the employee is not paid solely to lobby, then that activity is not considered lobbying. This exclusion from lobbying covers “grassroots” lobbying by employees of an organization who contact members of the organization in response to a piece of legislation or rule. 2.3 Termination of registration 2.3.1 A professional lobbyist may terminate their registration at any time if the professional lobbyist:

(a) Will not lobby or receive lobbying income for the remainder of the fiscal year;

(b) Indicates on the next monthly disclosure statement that the professional lobbyist is terminating their professional lobbyist registration; and (c) Files their annual disclosure statement required by section 24-6-302(3)(b), C.R.S. 2.4 Revocation of registration 2.4.1 The division will revoke a professional lobbyist’s registration certificate if the lobbyist:

(a) Is convicted of violating any provision of Part 3 of Article 6 of Title 24, C.R.S.; or (b) Has been suspended from lobbying by the general assembly. 2.4.2 The division may revoke a professional lobbyist’s registration certificate under the provisions of section 24-6-305 (2), C.R.S. 2.5 Monthly disclosure statements 2.5.1 A professional lobbyist must file a monthly disclosure statement electronically via the Secretary of State’s website on or before the 15th day of the month following the month in which the professional lobbyist began lobbying, and monthly thereafter. The statement must contain:

(a) The name and address of each client or other professional lobbyist who contributed $100 or more to the professional lobbyist for lobbying, and the amount paid by the client or other professional lobbyist since the previous disclosure statement;

(1) If the client or other professional lobbyist is an individual, the statement must include a description of the individual’s business.

(2) If the client or other professional lobbyist is a business entity, the statement must include a description of the entity’s business, and the names of any chief executive officer, partners, or other designated contact person.

(3) If the client or other professional lobbyist is an industry, trade, organization or group of persons, or professional association, the statement must include a description of the industry, trade, organization or group of persons, or professional association.

(b) The total sum of contributions the professional lobbyist received for lobbying activities since the previous disclosure statement and during the fiscal year;

(c) The legislation, standards, rules, or rates, about which the professional lobbyist is lobbying, including:

(1) The official number or other designation of each legislative bill, standard,

rule, or rate, if available. If a number or designation is not available, the lobbyist must describe the nature and subject matter of the legislation, standards, rules or rates;

(2) The title or subject matter of the activity mentioned above; and (3) Whether the lobbyist is supporting, opposing, amending, or monitoring the activity mentioned above, including all up-to-date and current positions.

(d) If the professional lobbyist has made an expenditure that exceeds the current dollar gift limit, as established by the Independent Ethics Commission and posted on the Secretary of State website, on behalf of a covered official for gift or entertainment purposes, whether or not the professional lobbyist was reimbursed, and:

(1) The name of the covered official; and (2) The amount, date, and principal purpose of the gift or entertainment;

(e) The total amount of expenditures made by or on behalf of the professional lobbyist in connection with lobbying, other than for gift or entertainment purposes;

(f) If the professional lobbyist has made an expenditure or given a contribution to a paper, periodical, magazine, radio or TV station, or other media of mass communication:

(1) The name of the entity; and (2) The amount given to the entity (g) Any direct business association the professional lobbyist has with any pending legislation, measure, or question. 2.6 Annual cumulative disclosure statement 2.6.1 A professional lobbyist must file an annual disclosure statement for the entire fiscal year no later than July 15. The annual disclosure statement must include:

(a) The name of the client or other professional lobbyist for whom the professional lobbyist is lobbying;

(b) The total gross income the professional lobbyist has received from each client or other professional lobbyist; and (c) If a subcontract relationship exists between two professional lobbyists, both lobbyists must disclose the amount of money paid and received on the annual disclosure statement. 2.7 New client disclosure 2.7.1 New client not during session (a) When a professional lobbyist enters into a new oral or written agreement with a client or other professional lobbyist for lobbying, while the general assembly is not in session, the professional lobbyist must notify the Secretary of State by updating their registration statement within five business days of the oral or written agreement to lobby. 2.7.2 New client during session (a) If a professional lobbyist enters into a new oral or written agreement with a client or other professional lobbyist for lobbying while the general assembly is in session, the professional lobbyist must notify the Secretary of State by updating their registration statement within 24 hours in accordance with section 24-6- 302(6)(a), C.R.S. The professional lobbyist must update their registration by providing:

(1) The name of the client;

(2) The address of the client; and (3) A summary of the terms of the agreement including:

(A) The client’s contact information;

(B) The date the lobbyist was hired;

(C) The date the lobbyist’s employment will end, if known; and (D) If the client is a business:

(i) The organization’s name;

(ii) The business type;

(iii) The industry/trade type; and (iv) The names of the entity’s chief executive officer or partners. 2.8 Additional required disclosure during session 2.8.1 Lobbying disclosure during session for new client (a) If a professional lobbyist agrees to lobby for a new client or other professional lobbyist during session, the professional lobbyist must disclose:

(1) The identity of the new client or other professional lobbyist in accordance with Rule 2.7.2 within 24 hours; and (2) The legislation, standards, rules, or rates, on which the professional lobbyist is lobbying for that client or other professional lobbyist, in accordance with Rule 2.5.1(c), within 72 hours. 2.8.2 Lobbying disclosure during session for existing client or other professional lobbyist (a) New legislation, standards, rules, or rates.

(1) If a professional lobbyist agrees to lobby for an existing client during session in connection with new legislation, standards, rules, or rates, the professional lobbyist must disclose the lobbying activity, in accordance with Rule 2.5.1(c), within 72 hours.

(2) New legislation includes an engagement to lobby for an existing client on lobbying activities that were not previously disclosed.

(b) Change of position on legislation, standards, rules, or rates (1) If a professional lobbyist takes a new position on legislation, standards, rules, or rates for an existing client during session, the professional lobbyist must disclose the position change, in accordance with Rule 2.5.1(c), within 72 hours. 2.8.3 Disclosures made in accordance with this Rule 2.8 are proper when the professional lobbyist uploads the new legislation, change of position, or other lobbying activity to the electronic filing system.

Rule 3. Lobbying Firms 3.1 Registration 3.1.1 There is no registration requirement for a lobbying firm, but a lobbying firm must file disclosure statements in accordance with statute and as described in Rule 3.2 below. 3.2 Monthly disclosure statements for lobbying firms 3.2.1 Except as specified in paragraph (a) below, a lobbying firm must file a monthly disclosure statement electronically via the Secretary of State’s website on or before the 15th day of the month following the month in which the lobbying firm began lobbying, and monthly thereafter.

(a) A single-member lobbying firm that consists solely of one professional lobbyist need not file a lobbying-firm disclosure statement if the professional lobbyist’s disclosure statement contains the name of both the professional lobbyist and the single-member firm that employs the professional lobbyist. 3.2.2 The statement must contain:

(a) The name and address of each client or other professional lobbyist who has contributed $100 or more to the lobbying firm for lobbying and the amount contributed by the client or other professional lobbyist since the previous disclosure statement;

(1) If the client or other professional lobbyist is an individual, the statement must include a description of the individual’s business activity;

(2) If the client or other professional lobbyist is a business entity, the statement must include a description of the entity’s business, and the names of any chief executive officer, partners, or other designated contact person; or (3) If the client or other professional lobbyist is an industry, trade, organization, or group of persons, or professional association, the statement must include a description of the industry, trade, organization or group of persons, or professional association.

(b) The total sum of contributions to the lobbying firm received for lobbying activities since the previous disclosure statement and during the fiscal year;

(c) The legislation, standards, rules, or rates, on which the lobbying firm is lobbying, which includes:

(1) The official number or other designation corresponding with the activity mentioned above, if available. If the official number or designation is not available, the lobbying firm must describe the nature and subject matter of the legislation, standards, rules or rates;

(2) The title or subject matter of the activity mentioned above; and (3) Whether the lobbying firm is supporting, opposing, amending, or monitoring the activity mentioned above.

(d) If the lobbying firm has made an expenditure that exceeds the current dollar gift limit, as established by the Independent Ethics Commission and posted on the Secretary of State website, on behalf of a covered official for gift or entertainment purposes, whether or not the professional lobbyist was reimbursed:

(1) The name of the covered official; and (2) The amount, date, and principal purpose of the gift or entertainment;

(e) The total amount of expenditures made by or on behalf of the lobbying firm in connection with lobbying, other than for gift or entertainment purposes;

(f) If the lobbying firm has made an expenditure or given a contribution to a paper, periodical, magazine, radio or TV station, or other media of mass communication:

(1) The name of the entity; and (2) The amount given to the entity;

(g) Any direct business association the lobbying firm has with any pending legislation, measure, or question.

Rule 4. Redistricting commission lobbyists 4.1 Registration 4.1.1 A redistricting commission lobbyist must register electronically via the Secretary of State’s website. The registration must contain:

(a) The redistricting commission lobbyist’s full name, email address, business address, and business telephone number;

(b) The name, address, and telephone number of all clients that contract with or compensate the redistricting commission lobbyist; 4.1.2 There is no registration fee for a redistricting commission lobbyist. 4.1.3 If applicable, a person, who is already registered with the Secretary of State’s office as a professional lobbyist must also register as a redistricting commission lobbyist. 4.2 Disclosure 4.2.1 A redistricting commission lobbyist must disclose, within 72 hours:

(a) Any contracts to engage on behalf of a client in communication directly or indirectly with a redistricting commission for the purposes of aiding or influencing such commission in their constitutionally prescribed duties, including the start date and end date of such a contract;

(b) Any compensation received to engage on behalf of a client in communication directly or indirectly with a redistricting commission for the purposes of aiding or influencing such commission in their constitutionally prescribed duties, including the value of any non-monetary compensation; or (c) Termination of any contract. 4.2.2 A redistricting commission lobbyist must disclose the applicable commission. 4.3 Complaints. Any person who believes that a redistricting commission lobbyist is not complying with this Rule 4, may file a complaint with the Secretary of State in accordance with Rule 5.1.

Rule 5. Complaints and Enforcement 5.1 Filing a complaint 5.1.1 Any person who believes that a professional lobbyist or lobbying firm is not complying with the Colorado Lobbyist Regulation laws or these rules, may file a complaint with the Secretary of State. 5.1.2 A person may file a written complaint with the Secretary of State, on the Secretary of State’s approved form. At a minimum, the complaint must contain the following information:

(a) The complainant’s name;

(b) The complainant’s address and electronic mail address, if applicable;

(c) The alleged violation, which may include a reference to the specific statute or

rule;

(d) The lobbyist or firm name;

(e) The date and location of the alleged violation, if known; and (f) Other applicable or relevant information or documentation. 5.2 Notice of complaint 5.2.1 Upon receipt of a complaint, the division will:

(a) Notify and provide a copy of the complaint to the respondent by mail or by electronic mail if electronic mail is available; and (b) In the case of a state liaison, notify the head of the principal department in writing;

(c) In the case of a state official or employee lobbying on behalf of a principal department, notify the state liaison in writing; or (d) In the case of a state official or employee lobbying on behalf of an institution or governing board of higher education, notify the institution or governing board in writing. 5.3 Initial review 5.3.1 After receiving a complaint, the division will conduct an initial review within 21 days. The division may extend this time period to allow for clarification and further information gathering. The division will determine whether the lobbyist complaint:

(a) Specifically identifies one or more violations of section 24-6-301 et seq. C.R.S. and (b) Alleges sufficient facts to support a basis for the violations of law alleged in the complaint. 5.3.2 Upon initial review, the division will take at least one of the actions below:

(a) Dismiss the complaint if the complainant failed to specifically identify one or more violations of section 24-6-301 et seq. C.R.S., or allege sufficient facts to support a factual and legal basis for the violations of law alleged in the complaint;

(b) Conduct an investigation. If the division decides to conduct an investigation, it will notify the respondent and complainant in writing of the investigation. 5.4 Response to a complaint filed against lobbyist or lobbying firm 5.4.1 At any time during the division’s initial review or investigation, the respondent may respond to the allegations and provide other relevant information or documentation. The division may extend this time period to allow for clarification and further information gathering. 5.5 Division investigation 5.5.1 The division may conduct an investigation of the alleged violation. 5.5.2 If the division conducts an investigation, it will do so within 28 days from the date of the notification sent in Rule 5.3. The division may extend this time period at its discretion. 5.5.3 If, after its investigation, the division does not have reasonable grounds to believe that a violation of section 24-6-301 et. seq. C.R.S. has occurred, or otherwise concludes that enforcement pursuant to Rule 5.6 is not warranted then the division must make a motion to the Secretary of State or their designee to dismiss the complaint as a final agency decision. 5.6 Enforcement 5.6.1 If, after its investigation, the division has reasonable grounds to believe that a violation of

section 24-6-301 et seq. C.R.S., has occurred, the division may initiate a hearing with a hearing officer under section 24-4-105, C.R.S., and 8 CCR 1505-3, Rule 3. 5.6.2 During the hearing, the division may recommend that the hearing officer take any one or more of the following actions:

(a) Impose penalties;

(b) Suspend, revoke, or bar a person or entity from registration;

(c) Refer the matter to the general assembly;

(d) Provide notice to the general assembly when a substantial violation has occurred;

(e) Apply to the district court for the issuance of an order in accordance with section 24-6-309(2), C.R.S.; or (f) Determine another remedy in accordance with section 24-6-301, et seq., C.R.S. and 8 CCR 1505-3, Rule 3.14.2.

Rule 6. Requests for Waiver or Reduction of penalties. 6.1 A professional lobbyist or a lobbying firm may ask the division to waive or reduce a penalty automatically imposed in the electronic filing system by submitting a written request, on the Secretary of State’s approved form, by electronic mail or mail within 30 days of the imposition of a penalty. The request must include: 6.1.1 The professional lobbyist’s or lobbying firm’s name; 6.1.2 The request date; 6.1.3 The specific disclosure statement that the lobbyist or lobbying firm is requesting a waiver or reduction of a penalty from; and 6.1.4 A brief summary of the reason, circumstances, or other justification of the bona fide personal emergency. 6.2 Bona fide personal emergency 6.2.1 The Division will grant a waiver upon evidence of a bona fide personal emergency. 6.2.2 A bona fide personal emergency includes:

(a) A medical emergency involving the individual responsible for filing the required disclosure report or the individual’s family.

(b) An nonmedical emergency that made the timely filing of a disclosure statement an impracticability. 6.3 The division may consider all appropriate facts and circumstances when granting or rejecting a waiver request or reducing an imposed penalty. The division may also consider: 6.3.1 The frequency of requests to waive or reduce a penalty within a two-year period; 6.3.2 Efforts to mitigate or remedy the failure to file; 6.3.3 Whether the delinquent filer was required to register as a professional lobbyist; and 6.3.4 Whether the professional lobbyist or lobbying firm demonstrated a commitment to meet the requirements of Colorado’s lobbying laws. 6.4 The division will not consider a waiver request after a penalty has been paid. 6.5 A professional lobbyist or lobbying firm may request that the division reconsider a request for waiver or reduction of lobbying penalties. 6.6 When reducing a penalty, the division will round to the highest $20. The division will not reduce a penalty to an amount less than $20, unless it grants a full waiver. 6.7 The division may grant an exception to the electronic filing requirement based on hardship or good cause shown. 6.7.1 All applications for an exception must include a brief statement of the hardship or good cause for the requested exception. 6.7.2 A professional lobbyist or lobbying firm must submit written documentation on the Secretary of State’s approved form to the division at least 15 calendar days before the first applicable filing deadline, unless the exception is based on emergency circumstances arising after the deadline, in which case the professional lobbyist or lobbying firm must describe the nature of the emergency in the application. 6.7.3 Filing the application for exception based on emergency circumstances does not delay any reporting deadlines. If, however, a penalty is imposed for failure to file a disclosure statement on the due date, the division may reduce or waive the penalty in accordance with section 24-6-302(7), C.R.S.

Rule 7. Miscellaneous prohibitions applicable to professional lobbying. 7.1 Professional lobbyists are prohibited from making certain contributions, as outlined in section 1- 45-105.5, C.R.S. 7.2 Professional lobbyists may not give any gift or thing of value to any public officer, member of the general assembly, government employee, or to a member of such person’s immediate family, as outlined in Article XXIX, Section 3 (4) of the Colorado Constitution. _________________________________________________________________________ Editor’s Notes

History Entire rule eff. 01/01/2008.

Entire rule eff. 06/30/2011.

Entire rule eff. 11/14/2012.

Entire rule eff. 11/30/2013.

Rules 3.2.2, 5.3.1, 6.2 eff. 05/30/2015. Rule 2.2.3 repealed eff. 05/30/2015.

Entire rule eff. 06/30/2018.

Entire rule emer. rule eff. 01/01/2020.

Entire rule eff. 01/30/2020.

Rules 1.1, 1.9, 4, 5.5.2, 5.5.3, 5.6.3 emer. rules eff. 03/01/2021.

Rules 1.1, 1.9, 1.10, 4, 5.5.2, 5.5.3, 5.6.3 emer. rules eff. 05/28/2021.

Rules 1.1, 1.9, 1.10, 4, 5.5.2, 5.5.3, 5.6.3 eff. 07/30/2021.

Rules 5.6.1, 5.6.2, 5.6.2(f) eff. 01/01/2025. Rule 5.6.3 repealed eff. 01/01/2025.

8 CCR 1505-9 Rules for the Administration of the Colorado Charitable Solicitations Act {#sec-8-ccr-1505-9 omnilex-key=us-co-regs-official--department-20--8 CCR 1505-9}

DEPARTMENT OF STATE

RULES FOR THE ADMINISTRATION OF THE COLORADO CHARITABLE SOLICITATIONS ACT

8 CCR 1505-9 [Editor’s Notes follow the text of the rules at the end of this CCR Document.] _________________________________________________________________________

Rule 1. Definitions.

As used in these rules and in the Colorado Charitable Solicitations Act: 1.1 “Accounting period” means the time period for keeping records and reporting income and expenses. 1.2 “Agent” means an individual who, by the principal’s written authority, transacts business or manages affairs for the principal, and provides an accounting to the principal. “Agent” includes “subcontractors.” 1.3 “Authorized officer” means the individual designated by the filing entity to electronically sign forms on behalf of the organization in accordance with the CCSA. This individual must be an officer of a nonprofit corporation, a trustee of a charitable trust, or a senior manager member of any other entity subject to the filing requirements of the CCSA. 1.4 “Bona fide personal emergency”: 1.4.1 Includes:

(a) A medical emergency affecting a registrant or member of registrant’s immediate family, including incapacitation, hospitalization, accident, or death.

(b) A practical emergency including extraordinary obstacles out of the registrant’s control that prevents timely disclosure such as the loss or unavailability of records or a computer due to fire, flood, or theft. 1.4.2 Excludes:

(a) Failure to timely file documents due to failure to plan.

(b) Accounting delays.

(c) Misunderstanding of applicable disclosure requirements and deadlines.

(d) Mistakes in electronic filing submission, including incomplete filings resulting in rejection of the document.

(e) Lack of access to internet or computer.

(f) Lack of corporate credit card or other means of making online payments. 1.5 “CCSA” means the Colorado Charitable Solicitations Act codified at Article 16 of Title 6, C.R.S. 1.6 “Directly employed”, as used in section 6-16-103(7)(d), C.R.S., means the charitable organization controls or directs the means and methods of accomplishing the result of the individual’s work, regardless of whether the individual is employed full-time or part-time, is paid a salary or on commission, or is called an employee or an agent or independent contractor. 1.7 “EIN,” an employer identification number, means the Federal Tax Identification Number used to identify a business entity. 1.8 “E-mail address” in section 6-16-114(1)(b)(II), C.R.S., means the e-mail address provided by and belonging to an authorized officer during the creation of a registrant’s online account. 1.9 “Fiscal year” means annual accounting period. 1.10 “Form of the applicant’s business” means an entity listed in section 7-90-102, C.R.S., or similar business statutes in other states but excludes the organization’s purpose and tax-exempt status. 1.11 “Gross revenue” means all revenue received from any source during the organization’s accounting period, without subtracting costs or expenses. “Gross revenue” excludes receipt of funds by a pass-through agent that lacks the right to use or benefit from them. 1.12 “Name or names,” as used in section 6-16-104(2)(a), C.R.S., includes: 1.12.1 “Doing business as,” “also known as,” or trade names; and 1.12.2 The name of any donor-advised fund that solicits contributions from the public using its own name, unless, in all written and oral solicitations, the fund clearly identifies itself as a “donor-advised fund” of a specified charitable organization that is either registered with the Secretary of State or exempt under section 6-16-104(6)(a) through (d), C.R.S. 1.13 “Newly-Formed Charitable Organization” means an organization that has not reached the 15th day of the fifth month following the close of its first fiscal year. 1.14 “Person Responsible for Directing and Supervising the Conduct of the Campaign”, in accordance with section 6-16-104.6(7)(b), C.R.S., includes agents or subcontractors of the paid solicitor. 1.15 “Principal Place of Business” means the street address of the organization’s usual place of business. “Principal place of business”, as used in these rules, does not include a post office box or private mailbox. 1.16 “Registrant,” as used in these rules, refers collectively to charitable organizations, professional fundraising consultants, and paid solicitors subject to CCSA requirements. 1.17 “Short-period registration and financial statement” means a registration and financial statement covering a period of less than 12 months. 1.18 “State Elections Commission” includes, for purposes of section 6-16-104(6)(b), C.R.S., the Secretary of State’s Campaign and Political Finance Program. 1.19 “Subcontractor,” includes the agent but not employee of a paid solicitor who solicits on behalf of the paid solicitor for the benefit of a charitable organization that contracted with the paid solicitor.

Rule 2. Electronic Filing 2.1 Registrants must file all documents electronically using the Secretary of State’s online system. 2.2 The Secretary of State will issue a unique user identification and password for use of the online system. To receive access, an individual must provide their name, valid email address and EIN.

Registrants must update this information promptly if it changes. Filing with the user identification and password will constitute the filer's official signature, in accordance with section 24-71.3- 102(8), C.R.S.

Rule 3. Expedited Hearing Deadlines 3.1 The Secretary of State will file an administrative complaint with a hearing officer. The hearing officer must set and give notice of an expedited hearing within seven days of receiving a request for hearing per section 6-16-111(6)(b), C.R.S. The hearing must be held within 49 days of service of the notice of hearing, unless parties stipulate otherwise. See 8 CCR 1505-3, Rule 3, for additional information regarding the administrative hearing process. 3.2 For good cause shown, the Secretary of State may continue a proceeding for up to 15 days. 3.3 The hearing officer will issue an initial decision, as governed by section 24-4-105(14), C.R.S., within 10 days of a hearing or within 10 days of the close of evidence, whichever is later.

Rule 4. Registration 4.1 All registrants 4.1.1 If the Secretary of State approves an initial or renewal registration statement, the Secretary will issue a permanent registration number or update the registrant’s status and send confirmation to the registrant’s authorized officer via email. 4.1.2 A registrant that has not been denied, suspended, or revoked, withdrawn, or expired may obtain a registration certificate verifying that status. 4.2 Charitable organizations 4.2.1 If the charitable organization was not in existence for an entire accounting period, changes its accounting period, or merges out of existence or dissolves before the end of its accounting period, it must file a short-period registration and financial statement. 4.2.2 A charitable organization must use the same accounting period to file registration documents with the Secretary of State that it uses to maintain financial records internally and to file IRS Form 990 with the IRS. 4.2.3 The Secretary of State may require a charitable organization to provide a copy of the appropriate IRS Form 990 to meet Colorado’s reporting requirements. 4.2.4 If the Secretary of State identifies inconsistencies, between a charitable organization’s registration statement and the IRS Form 990, the Secretary of State may require the organization to file an amended IRS Form 990 with the Secretary of State, or otherwise correct the inconsistency to complete the state filing. Failure to correct the inconsistency may result in denial or suspension of registration in accordance with section 6-16-111(6), C.R.S. 4.3 Paid Solicitors 4.3.1 In accordance with section 6-16-104.6(4), C.R.S., a paid solicitor may register and pay a single fee on behalf of its agents (including subcontractors) listed on the paid solicitor’s registration. 4.3.2 For a specific solicitation campaign, an agent or subcontractor not directly under contract to the registered paid solicitor must file its own registration. See Rule 10 for additional subcontractor requirements.

Rule 5. Filing Deadlines and Extension of Filing Deadlines 5.1 Charitable organizations.

(a) If a charitable organization, at the time of initial registration, reports financial information outside of the most recently completed fiscal year, the Secretary of State may approve the initial registration but the organization must file a renewal or extension request within five days from the initial registration approval.

(b) If the organization fails to file a renewal or extension within the five day period, the organization’s registration will expire and the organization may be subject to fines. 5.1.2 Registration renewal and financial report.

(a) If a charitable organization does not file a deadline extension with the IRS, the charitable organization must file its registration renewal and a financial report for the most recent fiscal year by the 15th day of the fifth calendar month after the close of each fiscal year in which the charitable organization solicited in Colorado.

(b) If a charitable organization files a deadline extension with the IRS, the charitable organization must file its registration renewal and financial report by the 15th day of the eighth calendar month after the close of each fiscal year in which the charitable organization solicited in Colorado. 5.1.3 A charitable organization may renew its registration or replace initial estimates with actual financial information no earlier than the close of the accounting period to which the filing applies. 5.2 For a professional fundraising consultant or paid solicitor, the renewal period begins 60 days before the expiration date of the consultant’s or solicitor’s registration, which is either: 5.2.1 The day and month the initial registration was approved; or 5.2.2 The day and month the most recent reinstatement was approved. 5.3 Paid Solicitors 5.3.1 For reporting purposes, a solicitation campaign duration on a solicitation notice may not exceed one year. 5.3.2 Before the campaign end date listed on an initial solicitation notice, a paid solicitor may amend the initial solicitation notice to extend the campaign duration up to one year. After the campaign end date, the paid solicitor must file a new solicitation notice. 5.3.3 A paid solicitor must submit a solicitation campaign financial report on or before the 90th day following the campaign end date listed on a solicitation notice. A paid solicitor who does not submit a campaign report on or before the deadline may not begin a new solicitation campaign or file a new solicitation notice until the Secretary of State approves the overdue campaign report. 5.4 For any filing, including registration, that requires the name and address of a person with custody of a registrant’s records, the registrant must include: 5.4.1 The name of an individual; and 5.4.2 The individual’s principal place of business or, if the individual lacks a principal place of business, the individual’s residential street address. 5.5 If the deadline for filing a registrant’s document under the CCSA falls on a weekend or holiday, the deadline will still be on that day. 5.6 If a registration was filed on February 29, the renewal deadline is February 28 of the following year.

Rule 6. Fines 6.1 Charitable organization 6.1.1 The fine for a charitable organization is $60 per overdue report, including an overdue update of estimated financial information. 6.1.2 The fine for a charitable organization that, after notification continues to solicit contributions before registering is $300. 6.1.3 In response to a Secretary of State inquiry, an exempt charitable organization must indicate that it is exempt from registration and cite the basis for its exemption. 6.1.4 An organization fined for soliciting while unregistered, must pay both the fine and the regular filing fee. 6.1.5 If a nonexempt charitable organization solicits contributions in Colorado before filing its initial registration or reinstating its registration, it must provide financial reports for the last three fiscal years or for the period of solicitation, whichever is shorter. 6.2 Paid solicitor 6.2.1 The fine for a paid solicitor is $200 per overdue renewal, solicitation notice, and campaign financial report. 6.2.2 The fine for a paid solicitor that, after notification, continues to solicit contributions before registering is $1,000. 6.3 Professional fundraising consultant 6.3.1 The fine for a professional fundraising consultant is $200 per overdue renewal. 6.3.2 The fine for a professional fundraising consultant that is required to register and, after notification, continues to provide consulting services before registering is $1,000. 6.4 Waiver of fine 6.4.1 A registrant may ask the Secretary of State to reduce or excuse an imposed fine by submitting a written request by letter, email, fax. 6.4.2 The Secretary must receive the request within thirty days of the mailing date of the fine notice. 6.4.3 The request must include:

(a) The name of the charitable organization, professional fundraising consultant, or paid solicitor;

(b) The request date;

(c) The due date of the delinquently filed registration document(s);

(d) The actual filing date of the delinquently filed registration document(s);

(e) Measures that the charitable organization, professional fundraising consultant, or paid solicitor instituted or plan to institute to avoid future delinquencies, if applicable;

(f) A detailed explanation of the reason, circumstance, or other justification such as:

(1) A bona fide emergency as defined in Rule 1.4;

(2) A timely filing was not possible due to website or emergency errors; or (3) The organization was not required to register during the time period of fine assessment.

(g) The basis for claiming an exemption, if applicable; and (h) Any other relevant information. 6.4.4 The Secretary of State may also consider the frequency of requests to excuse or reduce fines within a three-year period and any past CCSA violations. 6.4.5 If the Secretary of State does not receive payment by the 60th day following the date of the fine notice, the Secretary of State will forward the penalty to the State’s Central Collection Agency.

Rule 7. Suspensions and Revocations 7.1 A registrant may not solicit contributions, provide consulting services in connection with a solicitation campaign, file a solicitation notice, or conduct a solicitation campaign in Colorado while suspended or revoked. 7.2 If the Secretary of State does not receive an overdue solicitation campaign financial report, or a request for a hearing from a registrant by the 63rd day after the deadline or a deadline extension granted by Secretary of State, the Secretary of State will suspend the paid solicitor’s registration.

Rule 8. Withdrawing and Reinstating a Registration 8.1 Withdrawal 8.1.1 A registrant may request to withdraw its registration by notifying the Secretary of State. 8.1.2 A newly-formed charitable organization may withdraw its registration unconditionally if it determines that it registered by mistake. 8.1.3 The Secretary of State will not approve a withdrawal request unless and until:

(a) A registrant pays any and all outstanding fines or obtains a waiver under Rule 6.4;

(b) A charitable organization files its final financial report for the most recent fiscal year that it was subject to the CCSA.

(c) A paid solicitor files a solicitation campaign financial report for every solicitation campaign for which the paid solicitor filed a solicitation notice and a solicitation notice for every solicitation campaign conducted in Colorado. 8.1.4 If an organization is terminating, it may file a short-period financial statement covering the final fiscal year up to the date of dissolution or termination. 8.2 Reinstatement 8.2.1 Charitable organization (a) If a charity was exempt from registering for each fiscal year since its registration ended, it must complete the following requirements to reinstate its registration:

(1) File a reinstatement form;

(2) File a financial form for the most recent fiscal year; and (3) With respect to each fiscal year since the charity’s registration expired or was withdrawn, certify that the charity was exempt from registration requirements under the CCSA.

(b) An expired or withdrawn charity that was not exempt from registration requirements for each fiscal year since its registration ended must complete the following requirements to reinstate its registration:

(1) File a reinstatement form;

(2) File a financial form for the most recent fiscal year;

(3) File a financial form for each fiscal year the charity should have been registered under the CCSA, up to a maximum of the past three consecutive fiscal years; and (4) Pay all applicable fees and fines. 8.2.2 Paid solicitor (a) If a paid solicitor was exempt from registering for each fiscal year since its registration ended, it must complete the following requirements to reinstate its registration:

(1) File a reinstatement form; and (2) With respect to each year since the paid solicitor’s registration expired or was withdrawn, certify that it was exempt from registration requirements under the CCSA.

(b) If a paid solicitor was not exempt from registration requirements for each year since its registration ended, it must complete the following requirements to reinstate its registration:

(1) File a reinstatement form;

(2) File solicitation notices and campaign reports for solicitation campaigns conducted in Colorado while its registration was expired, withdrawn, or suspended; and (3) Pay all applicable fees and fines. 8.2.3 Professional fundraising consultant (a) If a professional fundraising consultant was exempt from registering for each year since its registration ended, it must complete the following requirements to reinstate its registration:

(1) File a reinstatement form; and (2) With respect to each year since the professional fundraising consultant’s registration expired or was withdrawn, certify that it was exempt from registration requirements under the CCSA.

(b) If a professional fundraising consultant was not exempt from registration requirements for each since its registration ended, it must complete the following requirements to reinstate its registration:

(1) File a reinstatement form; and (2) Pay all applicable fees and fines. 8.2.4 All suspended or denied registrants must cure all deficiencies, pay all applicable fines, and satisfy any other obligations that may be required.

Rule 9. Application of Registration Requirements to Internet Solicitation 9.1 As used in this Rule 9: 9.1.1 “Interactive website” means a website that permits a contributor to make a contribution or purchase a product in connection with a charitable solicitation electronically, such as by submitting credit card information or by authorizing an electronic funds transfer.

Interactive websites include sites through which a donor may complete a financial transaction online even if completion requires the use of linked or redirected sites. Such a website is interactive regardless of whether donors actually use it. 9.1.2 “Receives contributions from Colorado on a repeated and ongoing or substantial basis” means receiving contributions within the entity’s fiscal year that are sufficient to establish the regular or significant (as opposed to rare, isolated, or insubstantial) nature of those contributions.

(a) An entity receives contributions on a repeated and ongoing basis if it receives at least 50 online contributions during a fiscal year.

(b) An entity receives substantial contributions if it receives the lesser of $25,000 or 1% of its total contributions in online contributions during a fiscal year. 9.1.3 “Specifically targets persons physically located in Colorado for solicitation” means:

(a) To include on a website a reference to soliciting contributions from Colorado; or (b) To otherwise appeal to residents of Colorado, such as by advertising or sending messages to persons located in Colorado (electronically or otherwise) when the entity knows or reasonably should know the recipient is physically located in Colorado. Charities operating on a purely local basis, or within a limited geographic area, do not target states outside their operating area, if their web site makes clear in context that their fundraising focus is limited to that area even if they receive contributions from outside that area on less than a repeated and ongoing basis or on a substantial basis. 9.2 An entity that solicits Colorado residents via e-mail will be treated the same as one that solicits Colorado residents via telephone or direct mail. 9.3 An entity with a principal place of business in Colorado that uses the internet to conduct charitable solicitations in Colorado must register with the Secretary of State, unless it is exempt from the registration requirements per section 6-16-104(6), C.R.S., regardless of whether the solicitation methods are passive or interactive and regardless of whether the internet solicitation methods are maintained by itself or another entity with which it contracts, or whether it conducts solicitations in any other manner. 9.4 An entity with a principal place of business outside of Colorado must register with the Secretary of State, unless it is exempt per section 6-16-104(6), C.R.S., if: 9.4.1 Its non-internet activities are sufficient to require registration in Colorado, or 9.4.2 The entity solicits contributions through an interactive website and the entity either:

(a) Specifically targets persons physically located in Colorado for solicitation, or (b) Receives contributions from Colorado on a repeated and ongoing basis or a substantial basis through its website; or 9.4.3 The entity solicits contributions through a non-interactive site, but either specifically invites further offline activity to complete a contribution, or establishes other contacts with Colorado, such as sending e-mail messages or other communications that promote the website; and (a) Specifically targets persons physically located in Colorado for solicitation, or (b) Receives contributions from Colorado on a repeated and ongoing basis or a substantial basis through its website. 9.5 Solicitations for the sale of a product or service that include a representation that some portion of the price is devoted to a charitable organization or charitable purpose (also called “cause marketing” or “commercial coventuring,” as defined in section 6-16-103(3), C.R.S., as a “charitable sales promotion”) are governed by the same standards outlined in this Rule 9 and in accordance with section 6-16-104(1), C.R.S. 9.6 Nothing in this Rule 9 is intended to limit or expand upon the exception to the definition of a “paid solicitor” listed in section 6-16-103(7)(f), C.R.S., which states that a person whose only responsibility in connection with a charitable contribution is to provide a merchant account to process credit card payments using the internet is not considered a paid solicitor.

Rule 10. Subcontractors to Paid Solicitors 10.1 Filing Requirements 10.1.1 The Secretary of State will treat the subcontractor operating under a contract with a registered paid solicitor to solicit charitable contributions as an agent of that paid solicitor and the subcontractor is not required to register. The paid solicitor must file all solicitation notices and campaign reports and ensure that the subcontractor provides written confirmation of contribution statements and makes all the required oral disclosures that apply to paid solicitors in sections 6-16-105 and 6-16-105.3, C.R.S., respectively. 10.1.2 A subcontractor who makes an oral solicitation regarding a charitable contribution to a person by a telephone call received in Colorado must state their own first and last name and that they are calling on behalf of the registered paid solicitor. 10.1.3 An agent (but not an employee) of a subcontractor operating under a contract with that subcontractor to solicit contributions must register separately. 10.2 Authorization to Solicit 10.2.1 A subcontractor must operate under a written contract with a registered paid solicitor and the contract must be provided to the Secretary of State upon request in accordance with

section 6-16-104.6(2), C.R.S. 10.2.2 A subcontractor must keep records in accordance with section 6-16-109, C.R.S., and must furnish the originals or copies to the paid solicitor and, upon request, to the Secretary of State. _________________________________________________________________________ Editor’s Notes

History Entire rule eff. 08/01/2009.

Entire rule eff. 12/30/2012.

Rules 1.2, 1.17-1.18, 3, 5.2, 5.2.1-5.2.2, 5.4, 5.4.1, 5.5-5.7, 5.9, 6.1, 6.1.1-6.1.2, 8.2, 9.2.2, 9.3, 9.3.1- 9.3.2 eff. 12/17/2015. Rules 1.19, 6.1.3-6.1.4 repealed eff. 12/17/2015.

Entire rule emer. rule eff. 10/01/2018.

Entire rule eff. 11/14/2018.

Rule 5.7 emer. rule eff. 04/02/2020.

Rule 5.7 emer. rule eff. 07/15/2020; expired 11/12/2020.

Rules 3.1, 3.3 eff. 01/01/2025.

Annotations

Rule 1.17 (adopted 11/09/2012) was not extended by House Bill 14-1123 and therefore expired 05/15/2014.

8 CCR 1505-10 RULES CONCERNING THE ELECTRONIC RECORDING TECHNOLOGY GRANT PROGRAM [Repealed eff. 04/30/2021] {#sec-8-ccr-1505-10 omnilex-key=us-co-regs-official--department-20--8 CCR 1505-10}

DEPARTMENT OF STATE

Secretary of State RULES CONCERNING THE ELECTRONIC RECORDING TECHNOLOGY GRANT PROGRAM - Repealed eff. 04/30/2021 8 CCR 1505-10 [Editor’s Notes follow the text of the rules at the end of this CCR Document.] _________________________________________________________________________ Editor’s Notes

History Entire rule repealed eff. 04/30/2021.

8 CCR 1505-11 Notary Program Rules {#sec-8-ccr-1505-11 omnilex-key=us-co-regs-official--department-20--8 CCR 1505-11}

DEPARTMENT OF STATE

NOTARY PROGRAM RULES

8 CCR 1505-11 [Editor’s Notes follow the text of the rules at the end of this CCR Document.] _________________________________________________________________________

Rule 1. Definitions 1.1 “Approved course of instruction” means a live classroom or webcast course approved by the Secretary of State. 1.2 “Approved vendor” means a vendor approved by the Secretary of State who provides an approved course of instruction to notaries and prospective notaries for a fee. 1.3 “Course provider” means an entity other than an individual that uses the Secretary of State’s curriculum, in addition to any entity-specific practices, to provide notary training to its employees or members free of charge. 1.4 “DAN” means the unique document authentication number issued by the Secretary of State and required by section 24-21-520(3), C.R.S., for electronic notarizations. 1.5 “Electronic notarization” means a notary’s notarization of electronic records that includes the notary’s and the document signer’s electronic signatures. 1.6 “Electronic notarization software” means any software, coding, disk, card, certificate, or program that creates and affixes the notary’s electronic signature. 1.7 “Legal proceeding or disciplinary action based on the applicant’s or notary public’s fraud, dishonesty, or deceit” in section 24-21-523(1)(d), C.R.S., means any civil or criminal matter conducted either judicially or administratively concerning activities involving fraud, deceit, or the other violations listed in Rule 1.8. 1.8 “Misdemeanor involving dishonesty” in section 24-21-523(1)(c), C.R.S., means a violation of, or a conspiracy to violate, a civil or criminal law involving fraud, dishonesty, bribery, perjury, larceny, theft, robbery, extortion, forgery, counterfeiting, embezzlement, misappropriation of property, or any other offense adversely affecting a person’s fitness to serve as a notary public. 1.9 “New applicant” means a person seeking a commission as a Colorado notary for the first time or a formerly commissioned notary in Colorado whose commission has been expired for more than 30 days.

Rule 2. Notary Commissions 2.1 Filing and training requirements 2.1.1 An applicant must put his or her legal name on applications and renewals. The first and last name must match the name on the applicant’s government-issued identification. If the last name on the identification contains more than one name, the applicant must include all of those names in the last name field on the application and not abbreviate any

part. 2.1.2 All notary filings must be submitted via the Secretary of State’s online electronic filing system. 2.1.3 No more than 90 days before applying for a commission, a new applicant must successfully complete training and pass the exam administered by the Secretary of State. 2.1.4 No more than 90 days before renewing a commission, a notary must successfully complete the renewal training and pass the exam administered by the Secretary of State. 2.1.5 The Secretary of State will grant credit only for completion of courses offered by an approved vendor, an approved course provider, or the Secretary of State. 2.1.6 The Secretary of State may require a notary who has committed misconduct meriting a disciplinary proceeding to retake and successfully complete the training and exam. 2.1.7 Examination. The Secretary of State’s open book examination will test the applicant’s understanding of notary duties contained in the following:

(a) Title 24, Article 21, Part 5 (Revised Uniform Law on Notarial Acts) of the Colorado Revised Statutes;

(b) Title 38, Article 30 (Titles and Interests) of the Colorado Revised Statutes;

(c) Title 1, Article 40 (Initiative and Referendum) of the Colorado Revised Statutes; and (d) The Official Notary Handbook published by the Secretary of State. 2.2 Electronic notarization 2.2.1 A notary must submit a notice of intent on the approved form and receive approval from the Secretary of State before the notary may electronically notarize a document. A new applicant may file the intent at the time of application but may only electronically notarize a document after he or she has been commissioned and approved. A notary may choose to either use a DAN as the notary’s electronic signature or adopt a different electronic signature which the notary must always use in conjunction with a DAN. If the applicant intends to use a different electronic signature than a DAN, the applicant must attach an example of the electronic signature, a description of the electronic signature technology, and contact information for the technology’s supplier or vendor. A notary must notify the Secretary of State of all electronic signature changes. 2.2.2 A notary must:

(a) Use a different DAN for each electronic notarization;

(b) Take reasonable measures to secure assigned DANs against another person’s access or use and must not permit such access or use; and (c) Request new DANs to replace lost or stolen DANs after notifying the Secretary in the same manner as for a journal or seal. 2.2.3 A notary must verify that the document signer has adopted an electronic signature to function as his or her signature before electronically notarizing a document. 2.2.4 Expiration of the Secretary of State’s approval to notarize electronically (a) Approval automatically expires:

(1) Upon revocation, expiration, or resignation of the notary’s commission;

(2) 30 days after the notary’s name changes unless the notary previously submitted a name change.

(3) Upon conviction of a felony;

(4) Upon conviction of a misdemeanor involving dishonesty;

(5) If the notary no longer has a place of employment or practice or a residential address in the state of Colorado; or (6) Upon the expiration or revocation of the technology described in the notification.

(b) If approval expires, the notary or the notary’s authorized representative must destroy all electronic notarization software and unused DANs unless:

(1) The notary’s commission expired; and (2) Within 30 days of the commission’s expiration, the Secretary of State recommissions the notary and the notary reregisters his or her electronic signature. 2.3 Communication 2.3.1 A notary public must be able to communicate with, be understood by, and understand the individual for whom the notary public is performing a notarial act. 2.3.2 In accordance with section 6-1-707(1)(e)(I), C.R.S., an interpreter for deaf, hard of hearing, or deafblind individuals must hold either:

(a) A valid certification issued by the Registry of Interpreters for the Deaf, Inc. or a successor entity; or (b) A valid certification for sign language interpretation approved by the Colorado Commission for the Deaf, Hard of Hearing, and DeafBlind. 2.4 Itemization of charges 2.4.1 If a notary public charges for performing the notarial act, or charges for any additional service provided at the time of performing the notarial act, the notary public must:

(a) Inform the customer, verbally or in writing, of those charges before performing the notarial act; and (b) Provide to the customer, either before performing the notarial act, or at the time of signing, or immediately thereafter, a written document that lists the specific fee or fees charged for any notarial acts performed by the notary, or a zero charge if no fee for the notarial act is being charged, as well as any other fees the notary public is charging at the same time. This listing of fees may be included in a closing statement, itemized invoice, receipt, transaction summary, or any other similar document that lists the fee charged for the notarial acts. 2.4.2 If a notary public fails to provide a document listed in Rule 2.4.1(b) that itemizes the amount of the specific charge for any notarial act, the amount charged for those notarial acts will be presumed to exceed the statutory fee limit in section 24-21-529, C.R.S. 2.4.3 Rules 2.4.1 and 2.4.2 do not apply to notarial acts performed by an employee of a title company as part of services provided by the title company in conjunction with the business of title insurance, as defined in section 10-11-102(3), C.R.S., or closing and settlement services, as defined in section 10-11-102(3.5), C.R.S., or settlement services, as defined in section 10-11-102(6.7), C.R.S.

Rule 3. Notary Trainer Requirements 3.1 Trainer Application 3.1.1 A course provider applicant must:

(a) Submit an application that includes:

(1) Procedures to establish the identity of a person attending a live course and ensure that the person is present for the required time;

(2) Procedures to ensure that the person receiving the certificate of completion is the same person who completed the course;

(3) Copies of any course handout materials, workbooks, and tests; and (4) A draft copy of the certificate of successful completion as required by

Rule 3.3.

(b) Attend in-person or online training provided by the Secretary of State. 3.1.2 A vendor applicant must submit an application that includes:

(a) Procedures to establish the identity of a person attending a live course and ensure that the person is present for the required time;

(b) Procedures to ensure that the person receiving the certificate of completion is the same person who completed the course;

(c) Copies of any course handout materials, workbooks and tests;

(d) A draft copy of the certificate of successful completion as required by Rule 3.3;

(e) A detailed curriculum; and (f) The required application fee. 3.1.3 Deficient application. The Secretary of State will notify an applicant of any application or curriculum deficiencies. If the applicant fails to cure the deficiency within 30 days after the mailing date of the notice, the Secretary will consider the application rejected. A rejected applicant may request a hearing in accordance with the State Administrative Procedure Act (Article 4 of Title 24, C.R.S.) and 8 CCR 1505-3, Rule 3. 3.2 Vendor-specific requirements 3.2.1 The Secretary of State must approve a vendor’s proposed curriculum before a vendor may offer a notary training course. Curriculum must be based on:

(a) The Colorado Revised Uniform Law on Notarial Acts including but not limited to: the physical presence requirement, duty not to notarize a blank document, duty to use a notarial certificate, disqualifying interest, application procedures, resignation requirements, duty to maintain a journal of notarial acts, revocation proceedings, liability, identification of signers, role of the notary, and official misconduct; and (b) Widely accepted best practices, including but not limited to the role of the notary and notarizations for the elderly. 3.2.2 Seal of Accreditation (a) The Secretary of State will provide a seal of accreditation to a vendor applicant within 60 days after receipt of a subsequently approved application.

(b) A vendor must prominently display the seal of accreditation on all vendor materials provided to a course attendee.

(c) A seal of accreditation expires four years after issuance. To renew accreditation, a vendor must submit for reapproval a detailed curriculum; copies of any course handout materials, workbooks, and tests; and the required form and fee.

(d) A vendor may not assign or transfer a seal of accreditation to another vendor or curriculum without the Secretary of State’s approval.

(e) The seal of accreditation does not imply endorsement of a vendor’s products or services or other courses. 3.2.3 Vendor’s list of attendees. An approved vendor must maintain and, upon request, provide a list of attendees and the following information to the Secretary of State:

(a) The name of the instructor or instructors who taught the approved course of instruction;

(b) The date, time, and location of the approved course of instruction;

(c) Whether proof of completion was issued to each attendee;

(d) Each course attendee’s full name and the type of current government-issued photo identification used to establish the course attendee’s identity. 3.3 Certificate of completion. When a student successfully completes a course, the approved vendor or course provider must issue the graduate a certificate of successful completion. 3.3.1 Approved vendors and course providers must ensure that only a person who has completed an approved course of instruction receives a certificate of successful completion. Vendors and course providers may not issue a certificate of completion to an attendee who is absent during any substantive part of the course. 3.3.2 A certificate of successful completion of an approved course of instruction expires 90 days from the date of issuance. 3.3.3 The certificate of proof of successful completion of an approved course of instruction must contain:

(a) The name of the vendor or course provider who provided the course;

(b) The name of the person who completed the course;

(c) The date of completion of the course;

(d) The statement, “This certificate of proof of completion is valid for a period of 90 days from the date of issuance.”; and (e) For vendors, the seal of accreditation. 3.4 Notification of changes. Using their letterhead, approved vendors and course providers must notify the Secretary of State within 30 days of: 3.4.1 A change in physical address or email address. 3.4.2 Substantial changes to an approved curriculum and provide copies of the changes. 3.5 Duty to revise training. Approved vendors and course providers must revise approved courses of instruction as necessary to ensure that the courses accurately reflect current Colorado law.

Approved vendors and course providers must submit notice of revised training and copies of the revisions to the Secretary of State for review and approval in a format that satisfies Rule 3.4, before offering the revised training to the public. 3.6 Enforcement 3.6.1 Duty to respond to the Secretary of State’s written request. Vendors and course providers must respond in writing within 20 business days of receiving a written request from the Secretary of State for any information relating to a complaint or approved course of instruction. The Secretary of State will send a written request to the address or email address listed on the most current application. 3.6.2 Onsite inspections. Approved vendors and course providers must permit the Secretary of State or the Secretary’s designee to attend any approved course of instruction without prior notice at no charge to observe, monitor, audit, and investigate. 3.6.3 Complaints. A person may file a complaint against an approved vendor or course provider with the Secretary of State alleging a violation of these rules. The person must submit a signed and dated complaint on the Secretary of State’s standard form. 3.6.4 Grounds for termination of accreditation or approval. The Secretary of State may terminate an approved vendor’s accreditation or approval of a course provider for any of the following reasons:

(a) Violation of any provision of these rules.

(b) Misrepresentation of a notary public’s duties and authority under Colorado law.

(c) Deviation from the lesson plan for an approved course of instruction.

(d) Making representations that the Secretary of State endorses, recommends, or mandates use of any of the vendor’s products, goods, or services.

(e) Failure to timely respond to the Secretary of State’s request for communication or otherwise cooperate with an investigation. 3.6.5 Right to respond to and cure noncompliance and right to hearing before terminating, suspending, or imposing conditions on accreditation or approval.

(a) Except in cases of deliberate and willful violation or of substantial danger to the public health and safety, the Secretary of State will provide a vendor or course provider with written notice, an opportunity to respond in writing, and a reasonable opportunity to comply with all lawful requirements that may warrant agency proceedings to terminate, suspend, or impose conditions on an existing accreditation of a vendor or approval of a course provider before instituting such proceedings in accordance with the State Administrative Procedure Act (Article 4 of Title 24, C.R.S.) and 8 CCR 1505-3, Rule 3.

(b) Except in cases of deliberate and willful violation or that the public health, safety, or welfare imperatively require emergency action, the Secretary of State will not terminate, suspend, or impose conditions on an existing accreditation of a vendor or approval of a course provider until after holding a hearing in accordance with the State Administrative Procedure Act (Article 4 of Title 24, C.R.S.) and 8 CCR 1505-3, Rule 3.

(c) Termination does not bar the Secretary of State from beginning or continuing an investigation concerning the vendor or course provider.

Rule 4. Notary Journal Requirements 4.1 If a current or former notary leaves the notary journal with the notary’s firm or employer, as authorized by section 24-21-519(10)(a), C.R.S., the notary must notify the Secretary of State by electronically submitting the required form within 30 days. The notary must provide the notary’s firm or employer with a copy of the required form at the time of electronic submission to the Secretary of State. 4.2 A firm or employer in possession of a notary’s journal has the same responsibility as a notary to: 4.2.1 Keep the journal secure as detailed in section 24-21-519(4), C.R.S.; 4.2.2 Provide a copy of a requested transaction to a member of the public per section 24-21- 519(5), C.R.S, but without certifying the copy or charging a notary fee; 4.2.3 Provide the journal to the Secretary of State for auditing or inspection without restriction per section 24-21-519(6), C.R.S.; 4.2.4 Provide the journal to a certified peace officer per section 24-21-519(7), C.R.S.; and 4.2.5 Notify the Secretary of State if the journal is lost or stolen per section 24-21-519(8), C.R.S. 4.3 A firm or employer in possession of a notary’s journal may: 4.3.1 Retain the journal indefinitely; or 4.3.2 Transmit the journal to the Colorado State Archives and notify the Secretary of State per

section 24-21-519(10)(a)(I) and (b), C.R.S.

Rule 5. Remote Notarization 5.1 Definitions As used in the Revised Uniform Law on Notarial Acts (Title 24, Article 21, Part 5, C.R.S.) and this

Rule 5, unless otherwise stated: 5.1.1 “Personal information” means any information or data that is collected or used in order to complete the transaction subject to remote notarization or in the remote notarization itself. The term includes but is not limited to data included in the electronic record that is being remotely notarized. 5.1.2 “Provider” refers collectively to both remote notarization system providers and remote notarization storage providers. 5.1.3 “Remote notarization system provider” means a business entity that provides a remote notarization system, as defined in section 24-21-502(11.7), C.R.S., that includes storage of both the notarized electronic records and the audio-video recordings required by

section 24-21-514.5(9)(a), C.R.S. 5.1.4 “Remote notarization storage provider” means a business entity that solely provides storage of notarized electronic records and the audio-video recordings required by

section 24-21-514.5(9)(a), C.R.S. 5.2 Requirements for Remote Notaries 5.2.1 Application (a) A notary public must submit a notice of intent on the approved application form and receive approval from the Secretary of State before the notary can remotely notarize a document. The notary must submit proof of successful completion of remote notarization training and examination and the required fee.

(b) A notary public must already be commissioned as a Colorado notary public with Active status to be approved as a remote notary.

(c) An individual may file the notice of intent when initially applying to become a Colorado notary public but may only remotely notarize a document after being commissioned and approved.

(d) A remote notary public must renew every four years or until his or her regular notary public commission requires renewal, whichever date comes first. No more than 90 days before renewing his or her remote notary status, the remote notary public must successfully complete the renewal training, pass the required exam, and pay the required fee.

(e) In applying to become a remote notary public or upon renewal, the individual must select at least one approved remote notarization system provider. An applicant may select multiple approved system providers. 5.2.2 Approved Course of Instruction/Examination (a) The Secretary will provide a remote notarization training course and examination.

(b) If the Secretary determines that there is a need for additional instructors, the Secretary may designate a third-party training course or appoint certified notary public instructors to administer the remote training course and testing for applicants. 5.2.3 Requirements for Remote Notary Public Seal and Electronic Signature (a) Form of remote notary public seal and electronic signature (1) A remote notary public must affix to an electronic record a seal that in both appearance and content matches the manually applied official stamp required by section 24-21-517, C.R.S.

(2) The electronic signature used by the remote notary public for remote notarizations must match in appearance the image of the signature that the remote notary public submitted to the Secretary of State for and is on file as the notary’s most recent underlying commission as a Colorado notary public. This is the signature identified as the notary public’s “official signature” on the notary’s most recent affirmation form or on the notary’s most recent signature change form, whichever was filed later. A remote notary public may not use the remote notarization application or any update form to change the notary’s official signature.

(b) Use of and access to remote notary public’s seal and electronic signature (1) The remote notary’s seal and electronic signature must:

(A) Be retained under the remote notary public’s sole control and access through the authentication required by Rule 5.3.3 (a)(4).

(B) Appear as images on any visual or printed representation of a remote notarial certificate regardless of the technology being used to affix the images; and (C) Be attached or logically associated with both the electronic record being notarized and the certificate of notarial act being affixed and linked such that any subsequent alteration to either item is observable through visual examination, i.e., the document must be rendered tamper-evident.

(2) A remote notary public’s employer, including the employer's employees and agents, must not use or permit the use of a remote notary’s seal or electronic signature by anyone except the remote notary public.

(3) On resignation from or the revocation of the notary public’s commission or on the death or adjudication of incompetency of the notary public, the notary or that notary’s personal representative or guardian must delete the notary’s seal and electronic signature from the remote notary system provider’s system. 5.2.4 Journal to record remote notarizations (a) In addition to the journal information required by section 24-21-519(3), C.R.S., the remote notary public must record the name of the remote notarization system provider used for each remote notarization.

(b) The remote notary public must retain his or her electronic journal under the remote notary public’s sole control and access and all other requirements of

section 24-21-519, C.R.S. apply.

(c) The electronic journal must be securely backed up and be tamper-evident.

(d) On resignation from or the revocation of the notary public’s commission or on the death or adjudication of incompetency of the notary public, the notary or that notary’s personal representative or guardian with knowledge of the existence of or knowingly in possession of the remote notarization journal and recordings must retain or dispose of the journal and the audio-video recordings in accordance with sections 24-21-514.5(9)(c) and 24-21-519, C.R.S. Only remote notarization system providers and remote notarization storage providers that have been approved by the Secretary of State may store audio-video recordings. 5.2.5 A remote notary public must stop and restart the remote notarization process from the beginning if:

(a) The remotely located individual or the remote notary public must exit the remote notarization system before completion of the notarial act;

(b) The audio or visual feed is interrupted or terminated; or (c) The resolution or quality of the transmission becomes such that the remote notary public believes the process has been compromised and cannot be completed. 5.2.6 A remote notary public has an ongoing duty to verify that each remote notary provider used has Active status with the Secretary of State’s office before using that provider’s remote notarization system to perform a remote notarization. This duty extends to each remote notarization. 5.2.7 In accordance with section 24-21-529(2), C.R.S., a remote notary may charge a fee, not to exceed twenty-five dollars, for the notary’s electronic signature. 5.2.8 A remote notary public must notify the Secretary of State in writing through the Secretary of State’s online system within 30 days after changing a remote notarization system provider or remote notarization storage provider. 5.2.9 Expiration of the Secretary of State’s approval to perform remote notarizations:

(a) Approval automatically expires:

(1) Upon revocation, expiration, or resignation of the notary’s commission;

(2) 30 days after the notary’s name changes unless the notary previously submitted a name change.

(3) Upon conviction of a felony;

(4) Upon conviction of a misdemeanor involving dishonesty;

(5) If the notary no longer has a place of employment or practice or a residential address in the state of Colorado; or (6) Upon the revocation of approval of the remote notarization system provider or the remote notarization storage provider used by the remote notary public unless the remote notary public either notified the Secretary of State of another provider or already has alternative providers on file with the Secretary of State as authorized by Rule 5.2.1(e).

(b) If approval expires, the remote notary public or the notary’s authorized representative must delete the notary’s seal and electronic signature from the remote notary provider’s system and dispose of the journal and the audio-video recordings in accordance with sections 24-21-514.5(9)(c) and 24-21-519, C.R.S. unless within 30 days of the expiration, the Secretary of State reapproves the notary. 5.3 Requirements for providers 5.3.1 Provider Protocols (a) The Colorado Secretary of State’s Provider Protocols (December 1, 2020) are hereby incorporated by reference.

(1) Material incorporated by reference in the Notary Rules does not include later amendments or editions of the incorporated material.

(2) Copies of the material incorporated by reference may be obtained by contacting the Colorado Department of State, 1700 Broadway, Suite 550, Denver, CO 80290, (303) 894-2200. Copies are also available online at https://www.coloradosos.gov/pubs/notary/home.html.

(b) All providers must meet the requirements of the Provider Protocols. 5.3.2 Application (a) A provider must submit the approved application form and receive approval from the Secretary of State before the provider can provide services to a Colorado remote notary public.

(b) The applicant must provide to the Secretary of State in its application:

(1) The certification required by section 24-21-514.5 (11)(a), C.R.S.

(2) The following information:

(A) The names of all business entities and any of their affiliates that will have access to either personally identifying information and any non-personally identifying data gathered during the remote notarization process and procedures; and (B) A copy of the data privacy policy provided to users, which clearly specifies the permissible uses for both personally identifying and non-personally identifying data.

(3) All data and technology specifics required in the application and set forth in the Provider Protocols under Rule 5.3.1.

(c) At the time of application, the applicant must be in Good Standing status as a business entity registered to do business in Colorado and must continue to maintain that status while providing remote notarization services to Colorado remote notaries public.

(d) The Secretary of State may require an applicant to supplement its application with additional information, including an in-person demonstration or electronic demonstration of the applicant’s system.

(e) The applicant must pay the required application fee. 5.3.3 Criteria and standards for approval of remote notarization system providers.

(a) In order to be approved and maintain continuing eligibility, a remote notarization system provider must:

(1) Provide a remote notarization system that complies with the technical specifications of these rules and the standards, including data security and integrity requirements, set forth in the Secretary of State’s Provider Protocols under Rule 5.3.1;

(2) Verify the authorization of a Colorado notary public to perform remote notarial acts before each remote notarization;

(3) Suspend the use of its remote notarization system for any remote notary public if the notary’s underlying commission or the Secretary of State’s approval of the notary public to perform remote notarizations has been denied, suspended, or revoked by the Secretary or when the notary has resigned;

(4) Ensure that access to a remote notary public’s electronic signature and seal is limited solely to the remote notary public and protected by the use of a password authentication, token authentication, biometric authentication, or other form of authentication that is described in the remote notarization system provider’s application;

(5) Verify that a Colorado remote notary public has Active status with the Secretary of State’s office at the time of each remote notarization; and (6) Annually renew its registration with the Secretary of State’s office and pay the required fee.

(b) Communication technology provided by the remote notarization system provider must:

(1) Provide for continuous, synchronous audio-visual feeds;

(2) Provide sufficient video resolution and audio clarity to enable the remote notary public and the remotely located individual to see and speak to one another simultaneously through live, real time transmission;

(3) Provide sufficient captured image resolution for credential analysis to be performed in accordance with section 24-21-514.5(6)(b)(II), C.R.S., and this Rule 5;

(4) Include a means of authentication that reasonably ensures only the proper parties have access to the audio-video communication;

(5) Be capable of securely creating and storing or transmitting securely to be stored an electronic recording of the audio-video communication, keeping confidential the questions asked as part of any identity proofing assessment, and the means and methods used to generate the credential analysis output; and (6) Provide reasonable security measures to prevent unauthorized access to:

(A) The live transmission of the audio-video communication;

(B) A recording of the audio-video communication;

(C) The verification methods and credentials used to verify the identity of the principal; and (D) The electronic records presented for remote notarization.

(c) Credential analysis provided by a remote notarization system provider must satisfy the requirements of the Secretary of State’s Provider Protocols under

Rule 5.3.1.

(d) Dynamic, knowledge-based authentication assessment, if selected by a remote notarization system provider as the method of verifying the identity of the remotely located individual per section 24-21-514.5(6)(b)(II)(A), C.R.S., must satisfy the requirements of the Secretary of State’s Provider Protocols under

Rule 5.3.1.

(e) Public Key Certificate or an identity verification method by a trusted third party. A remote notarization system provider may satisfy section 24-21-514.5(6)(b)(II)(B) or (c), C.R.S., by providing a method of identification of the remotely located individual that satisfies the requirements of the Secretary of State’s Provider Protocols under Rule 5.3.1.

(f) Data Storage and security A remote notarization system provider must provide a storage system that complies with the technical specifications of these rules and the standards, including data security and integrity protocols, set forth in the Secretary of State’s Provider Protocols under Rule 5.3.1. 5.3.4 Criteria and standards for approval of remote notarization storage providers In order to be approved and maintain continuing eligibility, a remote notarization storage provider must provide a storage system that complies with the technical specifications of these rules and the standards, including data security and integrity protocols, set forth in the Secretary of State’s Provider Protocols under Rule 5.3.1. 5.3.5 Deficient provider application. If the Secretary of State denies approval of an applicant, the Secretary of State will notify the applicant of any application deficiencies. A rejected applicant may request a hearing in accordance with the State Administrative Procedure Act (Article 4 of Title 24, C.R.S.) and 8 CCR 1505-3, Rule 3. 5.3.6 Notifications (a) If a remote notarization system provider or storage provider becomes aware of a possible security breach involving its data, the provider must give notice to both the Secretary of State and each Colorado remote notary public using its services no later than 30 days after the date of determination that a security breach occurred. The provider must comply with any other notification requirements of Colorado’s data privacy laws.

(b) No later than 30 days before making any changes to the remote notarization system or storage system used by Colorado remote notaries that would impact any previously provided answer in its application about its system that would affect the provider’s eligibility for approval, a provider must both request approval from the Secretary of State and notify each Colorado remote notary public using its services. Changes to the system or storage must conform to statutory and rule requirements.

(c) For non-system or storage-related changes to the provider’s information on file with the Secretary of State, the provider must notify and update information provided to the Secretary of State no later than 30 days after changes to the provider’s previously supplied information. This requirement includes changes to the disclosures required by Rule 5.3.2(b)(2). 5.3.7 Complaints. A person may file a complaint with the Secretary of State against an approved provider. The complaint must allege a specific violation of Colorado’s Revised Uniform Law on Notarial Acts or these rules. The person must submit the signed and dated complaint on the Secretary of State’s standard form. 5.3.8 Grounds for termination of approval. The Secretary of State may terminate approval of a provider for any of the following reasons:

(a) Violation of any provision of Colorado’s Revised Uniform Law on Notarial Acts or these rules;

(b) Making representations that the Secretary of State endorses, recommends, or mandates use of any of the provider’s products, goods, or services;

(c) If the provider sustains a data breach; and (d) Failure to timely respond to the Secretary of State’s request for information or otherwise cooperate with an investigation, including providing requested information. 5.3.9 Right respond to and cure noncompliance and right to hearing before terminating, suspending, or imposing conditions on approval.

(a) Except in cases of deliberate and willful violation or of substantial danger to the public health and safety, the Secretary of State will provide a remote notarization system or storage provider with written notice, an opportunity to respond in writing, and a reasonable opportunity to comply with all lawful requirements that may warrant agency proceedings to terminate, suspend, or impose conditions on an existing approval before instituting such proceedings in accordance with the State Administrative Procedure Act (Article 4 of Title 24, C.R.S.) and 8 CCR 1505-3, Rule 3.

(b) Except in cases of deliberate and willful violation or that the public health, safety, or welfare imperatively require emergency action, the Secretary of State will not terminate, suspend, or impose conditions on an existing approval of a remote notarization system or storage provider until after holding a hearing in accordance with the State Administrative Procedure Act (Article 4 of Title 24, C.R.S.) and 8 CCR 1505-3, Rule 3.

(c) Termination does not bar the Secretary of State from beginning or continuing an investigation concerning the provider. 5.4 Use of personal information 5.4.1 The limited exceptions in section 24-21-514.5(11)(c)(I) through (IV), C.R.S., do not include or authorize the use of personal information for the purpose of generating additional business or marketing opportunities by or for:

(a) The remote notary;

(b) The remote notary’s employer or any business for whom the remote notary may be providing contracted services; or (c) The provider or any of its affiliates. 5.4.2 Such use is prohibited and cannot be waived by the explicit consent required section 24- 21-514.5(9)(a)(II), C.R.S., or otherwise. _________________________________________________________________________ Editor’s Notes

History

Rule 7 eff. 05/01/2010.

Entire rule eff. 11/30/2014.

Rules 1.4, 1.7-1.9, 2.1.2-2.1.6, 2.2.1-2.2.4, 3.1.1(b), 3.2.1(a), 3.2.2(c), 3.5, Rule 4 eff. 07/01/2018.

Rule 5 emer. rule eff. 03/30/2020.

Rule 5 emer. rule eff. 06/26/2020.

Rule 5 emer. rule eff. 10/15/2020.

Rules 2.1.1-2.1.7, 2.3-2.3.2, 3.3.2, 3.3.3, Rule 5 emer. rules eff. 12/31/2020.

Rules 2.1.1-2.1.7, 2.3-2.3.2, 3.3.2, 3.3.3, Rule 5 eff. 01/30/2021.

Rules 3.6.5, 5.3.5-5.3.9 eff. 03/17/2022.

Rule 2.3 emer. rule eff. 07/01/2022.

Rule 2.3 eff. 10/15/2022.

Rule 5.2.7 emer. rule eff. 05/18/2023.

Rules 2.3, 5.2.7, 5.3.1, 5.3.3 eff. 09/01/2023.

Rule 2.4 eff. 04/30/2024.

Rules 3.1.3, 3.6.5(a),(b), 5.3.5, 5.3.9(a),(b) eff. 01/01/2025.

8 CCR 1505-12 Public Records Pursuant to Cora {#sec-8-ccr-1505-12 omnilex-key=us-co-regs-official--department-20--8 CCR 1505-12}

DEPARTMENT OF STATE

Secretary of State PUBLIC RECORDS PURSUANT TO CORA 8 CCR 1505-12 [Editor’s Notes follow the text of the rules at the end of this CCR Document.] _________________________________________________________________________

Rule 1. Authority and Applicability 1. These rules are adopted pursuant to section 24-72-203 (1), C.R.S., for the protection of records in the custody of the Secretary of State and for the prevention of unnecessary interference with the regular discharge of the duties of the Secretary of State’s Office.

2. These rules apply to applications submitted to the Secretary of State for the inspection of public records pursuant to the Colorado Open Records Act, (CORA), § 24-72-201, et seq., C.R.S., as amended.

Rule 2. Submission of Applications 1. Applications must be submitted in writing to the Secretary of State’s office and must be specific as to the information required.

2. Applications may be submitted by mail, fax, e-mail, or hand-delivery.

3. Responses to applications will be coordinated by the Secretary of State’s Public Information Officer or his or her designee.

Rule 3. Inspection 1. Public records shall be made available for inspection during regular business hours, which for purposes of these rules shall be deemed to be from 8:30 a.m. to 4:30 p.m., Monday through Friday, except for times the office is closed.

2. If a public record is not immediately or readily available for inspection, the Public Information Officer or designee shall make an appointment or other arrangements with the applicant concerning the time at which the requested record will be available.

3. Public records shall be made available for inspection in as timely a manner as possible. However, responding to applications for inspection of public records shall not take priority over the previously scheduled work activities of the Secretary of State’s Office.

4. A public record shall not be removed from the Secretary of State’s offices. Records may be removed from file folders or places of storage for photocopying by the Public Information Officer or designee.

5. In accordance with section 24-21-111, C.R.S., for any record accessible to the public on the Secretary of State’s web site, the Secretary of State may make such access the sole means of inspection of the record.

6. (repealed.)

Rule 4. Fees 1. Photocopies, printouts, and other reproductions of records shall be provided at the standard fee charged by the Secretary of State for photocopies, printouts, and other reproductions.

2. If a public record is requested in an electronic format or is a result of computer output other than word processing, the Secretary of State may charge an additional fee based on recovery of the actual incremental costs of providing the electronic services and products, including any programming costs, together with a reasonable portion of the costs associated with building and maintaining the information system.

3. In the case of any request requiring more than one hour of staff time for search and retrieval or for supervision of inspection or copying, the Secretary of State may charge a reasonable hourly fee for such staff time based on the estimated average salary and benefits paid by the Secretary of State for the staff involved.

4. In accordance with section 24-21-104 (1), C.R.S., applicable fees shall be paid by the applicant prior to inspection of any public records and prior to receipt of or copies of any public records. Prior to performing any services necessary to respond to the application, the Secretary of State may require the applicant to pay a deposit equal to estimated fees that will be charged by the Secretary of State. _________________________________________________________________________ Editor’s Notes

History

8 CCR 1505-13 ADDRESS CONFIDENTIALITY PROGRAM [Repealed eff. 10/15/2011] {#sec-8-ccr-1505-13 omnilex-key=us-co-regs-official--department-20--8 CCR 1505-13}

DEPARTMENT OF STATE

Secretary of State ADDRESS CONFIDENTIALITY PROGRAM - Repealed eff. 10/15/2011 8 CCR 1505-13 [Editor’s Notes follow the text of the rules at the end of this CCR Document.] _________________________________________________________________________ Repealed.

(Repeal was effective on the date that the Department of Personnel and Administration Address Confidentiality Program Rules [1 CCR 103-6] became permanently effective.) _________________________________________________________________________ Editor’s Notes

History Entire rule eff. 12/31/2008.

Rule section 5.2 eff. 03/02/2009.

Entire rule repealed eff. 10/15/2011.

8 CCR 1505-14 Rules Concerning Conflict of Interest Disclosures {#sec-8-ccr-1505-14 omnilex-key=us-co-regs-official--department-20--8 CCR 1505-14}

DEPARTMENT OF STATE

Secretary of State RULES CONCERNING CONFLICT OF INTEREST DISCLOSURES 8 CCR 1505-14 [Editor’s Notes follow the text of the rules at the end of this CCR Document.] _________________________________________________________________________

Rule 1. Electronic Filing 1.1 Beginning January 1, 2009, all disclosures filed with the Secretary of State pursuant to section 24-18- 110, C.R.S., shall be filed electronically. Disclosures presented for manual filing shall not be accepted. 1.1.1 Disclosures shall be filed separately for each individual of a board, commission, council, committee, or other entity. However, individuals may disclose more than one conflict of interest for the same position on a single disclosure. 1.2 In accordance with section 24-21-111, C.R.S., reports are not required to be filed electronically if the Secretary of State has granted an exception to the electronic filing requirement after written application based on hardship or other good cause shown. All applications for an exception shall include a brief statement of the hardship or good cause for which the exception is sought.

Applications must be received by the Secretary of State at least fifteen (15) calendar days prior to filing the first disclosure unless the exception is based on emergency circumstances, in which case the nature of the emergency shall be described in the application. The Secretary of State shall review and respond in writing to all applications for an exception within three (3) business days. 1.3 For the purposes of this rule, “electronic filing” is defined as the filing of disclosures pursuant to

section 24-18-110, C.R.S., utilizing the internet system created and maintained by the secretary of state for such purpose. Submission of disclosures by facsimile or email shall not be considered “electronic filing.”

Rule 2. Fees 2.1 In accordance with section 24-21-104 (3)(b), C.R.S., beginning January 1, 2009, the fee for filing a disclosure shall be three dollars ($3.00). Fees shall be paid at the time of filing such disclosure and shall be submitted utilizing the electronic filing system maintained by the Secretary of State. _________________________________________________________________________ Editor’s Notes

History Entire rule eff. 1/1/2009.