# Contingency Planning and Change Management

## [Introduction]{.underline}

Change in a voter registration and elections office is inevitable, and
effective management requires election administrators to develop
contingency and change management plans to respond to situations in a
timely and effective manner. The goal of this chapter is to provide
election officials general guidelines on how to identify, assess, and
respond to events that may disrupt election and voter registration
services in their local jurisdictions. The chapter addresses both
contingency planning and change management as they are inextricably
linked to each other and may at times be developed concurrently with
each other. The goal of both these management plans is to prevent or
minimize the impact of change (expected or unexpected) on election and
voter registration processes, while preserving the integrity of the
electoral system.

For purposes of this discussion, contingency planning refers to the
development of a management plan that addresses an election office's
response to emergency and crisis situations that might arise
unexpectedly. Examples of contingencies include, but are not limited to,
natural disasters (e.g. earthquakes, severe snow and rain storms, fires,
etc.), technology disasters (e.g. power outages), political and social
events (e.g. war, civil unrest, medical emergencies, etc.), and
election-related emergencies (e.g. lack of poll workers or polling
places, shortage of ballots or voting systems, charges of voter
intimidation, etc.). Change management, on the other hand, refers to how
an election office handles situations that impact how the office
functions in its capacity as an election and voter registration agency;
for example: changes in Federal and State laws, budget fluctuations,
relocation of election office, staffing changes, agency reorganization,
etc. Unlike contingencies, change management focuses on events the
office is already aware of and do not rise unexpectedly.

## [Identifying and assessing contingencies and change factors]{.underline}

The first step in developing contingency and change management plans is
to identify the contingencies and change factors that can impact
election and voter registration practices and procedures in your
particular community. This process is useful for several reasons. First,
it will help you define the goal of either your contingency or change
management plans. Second, it will help you to objectively assess
situations and their potential impact. Finally, it provides the
framework for developing and prioritizing the actions required to
address a given situation.

To ensure a thorough evaluation, approach the identification and
assessment process from a group perspective; for example, incorporate
these topics into staff meetings or conduct regularly scheduled meetings
to review existing policies and procedures. For contingency planning
sessions, have the election office staff members come up with a list of
worst case scenarios. Do not limit worst case scenarios to just Election
Day situations; ask staff to also include contingencies that can occur
during both pre and post election timeframes. Try to identify every
possible irregularity that can occur in your jurisdiction. When
brainstorming about change factors, consider both internal and external
sources of change. For example, an internal source could be a change in
staff and an external source can be a change in State law that affects
current policies and practices.

***Change Management Tip: Do not wait for situations to come up before
you address them. Be proactive and [learn to regularly evaluate the need
for change]{.underline}; involve staff, election workers, and other
stakeholders in this process.***

***Contingency Planning Tip: Do not wait for situations to come up
before you address them. Be proactive and [learn to regularly identify
and assess contingencies]{.underline}; involve staff, election workers,
and other stakeholders in this process.***

Table 1.0 lists several examples of possible contingencies and change
factors; review the list and see what other examples you can think of
for each category. In addition, when you list the contingencies and
change factors, begin to think of them as "goals." A goal is the general
end result you would like a contingency or change management plan to
achieve. It conveys the message in general, broad terms and does not
specify strategies or outcomes. This will begin to provide the framework
for developing your contingency and change management plans. For
example:

**Contingency** **=** fire in voting system warehouse one week before
Election Day

> **Goal =** prevent fires in voting system warehouse and mitigate
> impact of fires on warehouse and voting system equipment
>
> **Change factor =** election office is relocated
>
> **Goal =** ensure all office functions continue to operate smoothly
> during relocation process

Table 1.0

  ----------------------------------- -----------------------------------
  **Contingencies**                   **Change Factors**

  Fire in voting system warehouse     Election office is relocated

  Severe snow storm (blizzard) on     Reduction in number of staff
  Election Day                        members

  Electrical damage to office         Purchase of new voting system
  computers during peak voter         
  registration weeks prior to         
  election                            

  Poll workers do not show up at      New State law requires poll workers
  their assigned polling place        receive 8 hours of training prior
                                      to an election

  Polling place runs out of           Office budget is reduced by 7%
  provisional ballots                 
  ----------------------------------- -----------------------------------

Once you have identified all contingencies and change factors, proceed
with assessing the magnitude of impact these events can have on your
office and the election and voter registration processes. This will help
uncover vulnerabilities in the current system and assist in developing
contingency and change management plans that may prevent an event from
occurring or mitigate its impact.

To ensure consistency in the assessment process, establish basic
criteria for the magnitude of impact for each contingency or change
factor. A basic format to follow initially would be to use "low impact,"
"medium impact," and "high impact" categories, and for each of these
levels develop an explanation or definition of what each one entails.
For example:

-   **LOW** = *impact of event does not significantly disrupt the
    election process; does not require significant resources (internal
    or external); does not require immediate attention; does not require
    revision of existing policies or procedures*

-   **MEDIUM** = *requires attention of the election office; response
    needed within a reasonable timeframe; can be handled internally or
    with minimal external resources; may require revision of existing
    policies or procedures*

-   **HIGH** = *event causes a state of emergency; requires immediate
    attention; threatens the integrity of the election process;
    significant resources required, both internal and external; requires
    revision of existing policies or procedures*

The above model is generic and meant to serve as a source of ideas for
how to assess the level of impact changes can have in elections.[^1]
However, using this model as an example, one can begin to understand the
level of risk a contingency poses to an election office and how a change
factor may impact the current environment. Most contingencies will fall
in the medium to high categories by their nature, while change factors
can vary from low to high. In order to determine the level of impact,
begin by asking questions to clarify the situation (Table 1.1) and then
determine the level of impact. These will also become the building
blocks for the action steps you develop later in your contingency plan.

Table 1.1

  ------------------- --------------------------------- ------------------
  **Contingencies**   **Factors to consider**           **Magnitude of
                                                        impact**

  Fire in voting      What was the extent of the        Medium to High
  system warehouse    damage? How many voting systems   
                      are not functional as a result of 
                      the fire? What backup systems do  
                      we have that can be immediately   
                      put on the field?                 

  Severe snow storm   How accessible are the roads      High
  (blizzard) on       leading to the polling places?    
  Election Day        How long will the severe weather  
                      last? Can polling places be       
                      relocated to more accessible      
                      locations? Has a state of         
                      emergency been declared by the    
                      State?                            

  **Change Factors**  **Factors to consider**           **Magnitude of
                                                        impact**

  Election office is  Is the new facility accessible by Low to Medium
  relocated           public transportation? Is the     
                      space small, large, or the same   
                      in size to the previous location? 
                      Where and how will supplies be    
                      stored?                           

  Reduction in number Is the reduction permanent? How   Low to Medium
  of staff members    will responsibilities be divided  
                      among the remaining staff?        
  ------------------- --------------------------------- ------------------

In contingency planning there is an additional step in the assessment
process that needs to be taken into account -- determining the
likelihood of an event happening. For example, if earthquakes are listed
as a contingency one would need to evaluate the probability of such an
event occurring in one's local jurisdiction. If the jurisdiction has no
history of earthquakes, then the likelihood of the event is low and the
priority for developing a contingency plan would rank low as well.
However, if the jurisdiction does have a history of earthquakes then a
contingency plan for such an event would be considered a high priority.
Determining the likelihood of an event is important because it helps
agencies prioritize contingencies and the resources they require.

Following the example for assessing the magnitude of impact, develop
definitions for the likelihood of an event occurring. We have used the
"low," "medium," and "high" categories once more to simplify the
process:

-   **LOW** = *likelihood of event occurring is low, threat is
    negligible; policies and procedures are in place to prevent the
    event or mitigate the magnitude of impact*

-   **MEDIUM** = *likelihood of event is likely but uncertain; policies
    and procedures are in place that may prevent the event or mitigate
    the magnitude of the impact*

-   **HIGH** = *event is highly probable; policies and procedure are not
    in place to prevent the event or mitigate the magnitude of impact*

For example:

  ------------------- ---------------- -------------------- --------------------
  **Contingency**     **Likelihood**   **Factors to         **Magnitude of
                                       consider**           impact**

  Polling place runs  Medium           Voter turnout is not Medium to High
  out of provisional                   predictable;         
  ballots                              evaluate public      
                                       interest in contests 
                                       and issues on the    
                                       ballots;             
                                       availability of      
                                       backup provisional   
                                       ballots; time it     
                                       takes to deliver new 
                                       supply of ballots to 
                                       each polling place   
  ------------------- ---------------- -------------------- --------------------

***Tip: Another tool you can use during the identification and
assessment process to supplement (not replace) the evaluation, in either
contingency or change management planning, is to conduct an analysis of
the Strengths, Weaknesses, Opportunities, and Threats (S.W.O.T.
analysis) that can assist or impede the successful development and
implementation of the identified change or contingency plan. A sample
S.W.O.T. analysis worksheet can be found at the end of this chapter.***

Identifying and assessing the contingencies and change factors that can
or will impact your election office are the initial steps required to
develop sound contingency and change management plans. They provide the
foundation for determining the resources and plan of actions required to
address situations in a timely and effective manner. The following two
sections will separately address how to develop and implement
contingency and change management plans for your election office, and
they will address some of the ideas already explored in this chapter.

## [Developing and implementing contingency plans]{.underline}

The following five steps describe the general process for developing and
implementing a contingency plan:

1.  *Set a goal*

2.  *Define the purpose*

3.  *Specify objectives*

4.  *Develop an action plan*

5.  *Implement action plan*

***[1. Set a goal]{.underline}***

In the previous section of this chapter, the concept of developing a
goal was briefly mentioned. The following example was given:

-   **Contingency** **=** fire in voting system warehouse

-   **Goals =** prevent fires in voting system warehouse and mitigate
    impact of fires on warehouse and voting system equipment

As you can see, a goal is the general end result you would like a
contingency plan to achieve. It conveys the message in general, broad
terms and does not specify strategies or outcomes. In addition, the goal
of the contingency plan should be in alignment with the overall mission
and goal(s) of the agency. In other words, the outcome(s) of the
contingency plan help support and achieve the agency's strategic
plan.[^2] It is also important to note that agencies may develop a
strategic plan for their contingency planning program in general, which
would include its own goal(s) and objectives. If so,
contingency-specific plans would help support and achieve the mission
and goal(s) of both the program and the agency's strategic plans.

Some examples of a contingency planning *program's* goals could be:

-   To provide prompt and effective responses to emergencies and crisis
    situations while preserving the integrity, transparency, and
    accessibility of the election process.

-   The prevention or minimization of any interruption in the election
    processes during emergency and crisis situations.

-   To ensure rapid and complete recovery of the election processes to
    normal conditions following emergencies/disasters.

-   Serve as a model agency in the area of emergency and crisis
    recovery.

Here is another example of a goal for a contingency-specific plan:

-   **Contingency** **=** poll workers do not show up at their assigned
    polling place

-   **Goal =** ensure polling places are fully staffed throughout
    Election Day

***[2. Define the purpose]{.underline}***

Now that you have set a general goal, define the purpose of the
contingency plan. The purpose refers to the scope (i.e. parameters,
authority) of the contingency plan. It gives the plan a specific
framework in which to operate, giving it focus. For example:

-   **Contingency** **=** fire in voting system warehouse

-   **Goals =** prevent fires in voting system warehouse and mitigate
    impact of fires on warehouse and voting system equipment

-   **Purpose of contingency plan =** establish policies and procedures
    for preventing and mitigating the effects of fire on the voting
    system warehouse through proper fire safety practices and community
    collaboration

As you may note in the example above, the purpose focuses the plan on
fires that occur only in the voting system warehouse; fires that occur
in other places (e.g. other storage facilities, polling places, election
office, etc) fall outside the scope of this contingency plan. The latter
would have to be addressed in a separate contingency plan.

***[3. Specify objectives]{.underline}***

Objectives refer to the specific outcomes that support and help achieve
the goal(s) of the contingency plan; these should be clear, measurable,
achievable, realistic, and be time-bound.

Here are some examples of possible objectives for the example we have
been using regarding fires in the voting system warehouse:

-   **Contingency** **=** fire in voting system warehouse

-   **Goals =** prevent fires in voting system warehouse and mitigate
    impact of fires on warehouse and voting system equipment

-   **Purpose of contingency plan =** establish policies and procedures
    for preventing and mitigating the effects of fire on the voting
    system warehouse through proper fire safety practices and community
    collaboration

-   **Objectives:**

1)  reduce probability of fire occurrence at least 50% by the next
    scheduled State/local election

2)  ensure smoke detectors are operational 100% of the time

3)  ensure sprinkler system is operational 100% of the time

4)  mitigate impact of fires on voting system equipment

5)  develop fire safety measures in collaboration with local firemen and
    police

6)  have backup voting system in case fire destroys equipment in
    warehouse

7)  establish policies and procedures for conducting an election with
    the backup voting system

8)  train staff and poll workers in both regular and backup voting
    systems

***[4. Develop an action plan]{.underline}***

You have the defined the goal, purpose, and objectives of the
contingency plan -- now, turn that information into an action plan. The
action plan should speak to the goal and objectives you have
established; each action step should relate back to a particular
objective(s). The plan should also define the staff, budget, time,
training needs, and resources needed to accomplish the tasks and achieve
the goal. Not all action plans will look the same, some will be more
complex than other according to the needs of the particular contingency
being considered. In addition, if you have not brought in staff and/or
outside resources to participate in the contingency planning process up
to this point this is the time to do so. Establishing community partners
is essential to the success of many contingency plans. The role of
taskforces and community groups is discussed more in depth in Box 1.0,
"Community Collaborations."

*Example:*

-   **Contingency** **=** fire in voting system warehouse

-   **Goals =** prevent fires in voting system warehouse and mitigate
    impact of fires on warehouse and voting system equipment

-   **Purpose of contingency plan =** establish policies and procedures
    for preventing and mitigating the effects of fire on the voting
    system warehouse through proper fire safety practices and community
    collaboration

-   **Objectives:**

1)  reduce probability of fire occurrence at least 50% by the next
    scheduled State/local election

2)  ensure smoke detectors are operational 100% of the time

3)  ensure sprinkler system is operational 100% of the time

4)  mitigate impact of fires on voting system equipment

5)  develop fire safety measures in collaboration with local firemen and
    police

6)  have backup voting system in case fire destroys equipment in
    warehouse

7)  establish policies and procedures for conducting an election with
    the backup voting system

8)  train staff and poll workers in both regular and backup voting
    systems

    -   **Action steps:**

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```
1)  within 15 days of adoption of the contingency plan, meet with local
    fire department to assess safety of warehouse and develop policies
    and procedures for preventing and reducing incidents of fire and the
    damage caused by them *(objective #5)*

2)  install smoke detectors in warehouse within 15 days of adoption of
    the contingency plan *(objectives #1 and #2)*

3)  schedule and conduct monthly visits to the warehouse to ensure smoke
    detectors are operational 100% of the time *(objectives #1 and #2)*

4)  schedule and conduct monthly visits to the warehouse to ensure
    sprinkler system is operational 100% of the time *(objectives #1 and
    #3)*

5)  monitor smoke detectors and sprinklers once a week during the last
    30 days prior to a scheduled election *(objectives #1, #2, and #3)*

6)  within 30 days of adoption of the contingency plan, cover voting
    equipment with nonflammable material during storage at warehouse to
    reduce impact of fire *(objective #4)*

7)  within 30 days of adoption of the contingency plan, prevent
    sprinkler water damage by keeping voting equipment at least 12
    inches off the warehouse floor *(objective #4)*

8)  within 30 days of adoption of the contingency plan, designate backup
    facility to store voting system equipment in case current facility
    becomes unsafe as result of a fire *(objective #5)*

You may find it useful to display the action steps in the form of a
table to help you visualize the information and present it to others
(see Table 1.2).

**Table 1.2**

  -------------- -------------- ---------------- --------- --------- ----------- -------------------
  **Objective:                                                                   
  #2 = ensure                                                                    
  smoke                                                                          
  detectors are                                                                  
  operational                                                                    
  100% of the                                                                    
  time**                                                                         

  **Action       **Timeline**   **Labor          **Labor   **Labor   **Other     **Specific
  step**                        categories       units     Cost**    Costs**     activities**
                                (Staff)**        (staff                          
                                                 time for                        
                                                 this                            
                                                 task)**                         

  consult with   within 5 days  Director         8 hours   \$20/hr   mileage to  contact local
  local firemen  of adoption of                                      and from    firemen, conduct
  to determine   plan                                                warehouse   site visit to
  the number and                                                                 warehouse (identify
  location of                                                                    quantity, type, and
  smoke                                                                          placement),
  detectors                                                                      communicate
  required for                                                                   findings to staff
  warehouse                                                                      for purchase of
                                                                                 smoke detectors

  purchase smoke within 7 days  Administrative   3 hours   \$12/hr   0           purchase smoke
  detectors      of adoption of Assistant                                        detectors per
                 plan                                                            specifications,
                                                                                 inspect and accept
                                                                                 purchased smoke
                                                                                 detectors, store
                                                                                 smoke detectors
                                                                                 until installation

  install smoke  within 15 days Director         4 hours   \$20/hr   mileage to  provide smoke
  detectors      of adoption of                                      and from    detectors to
                 the                                                 warehouse   technicians,
                 contingency                                                     provide placement
                 plan                                                            instructions and
                                                                                 other necessary
                                                                                 information for
                                                                                 installation,
                                                                                 inspect and approve
                                                                                 installation,
                                                                                 maintain record of
                                                                                 installation, train
                                                                                 staff responsible
                                                                                 for monitoring
                                                                                 smoke detectors

                                Technician       8 hours   \$50/hr   0           receive smoke
                                (installer)                                      detectors, install
                                                                                 smoke detectors,
                                                                                 ensure all smoke
                                                                                 detectors are
                                                                                 operational by end
                                                                                 of installation

  monitor smoke  once a week    2 Office Staff   not to    \$14/hr   mileage to  warehouse site
  detectors and  during the                      exceed 2            and from    visit, perform
  sprinklers     last 30 days                    hours per           warehouse   evaluation of smoke
  once a week    prior to a                      visit                           detectors, record
  during the     scheduled                                                       and communicate
  last 30 days   election                                                        results of visit,
  prior to a                                                                     replace
  scheduled                                                                      nonfunctioning
  election                                                                       smoke detectors

  schedule and   monthly (other 2 Office Staff   not to    \$14/hr   mileage to  warehouse site
  conduct        than the 30                     exceed 2            and from    visit, perform
  monthly visits days prior to                   hours per           warehouse   evaluation of smoke
  to the         an election)                    visit                           detectors, record
  warehouse to                                                                   and communicate
  monitor smoke                                                                  results of visit,
  detectors                                                                      replace
  during other                                                                   nonfunctioning
  times                                                                          smoke detectors
  -------------- -------------- ---------------- --------- --------- ----------- -------------------

***Tip: Contact your state and local Department of Emergency
Preparedness and request copies of existing action plans and information
on available resources. These plans and resources can provide the
template for developing a specific operational plan as it relates to
elections, including pre-election, early voting, Election Day, and post
election activities.***

[Additional things to consider when developing the action
plan:]{.underline}

Coordinate a team meeting with other election officials within your own
state to work together to develop a state disaster/contingency plan for
local election offices. Include the following team members:

-   Election officials from small, medium and large jurisdictions,
    including at least one jurisdiction that manages each type of voting
    system deployed within your state

-   State Election Director and staff members

-   State Emergency Preparedness Director and staff members

-   Representatives from local police and fire departments

-   Media and public relations outreach representatives

-   Political party representatives

Review your State election code and regulations to determine how these
guidelines and laws will regulate your actions. *Example: In some states
the Secretary of State has the authority to declare an Election Day
emergency, thus permitting your office to implement approved "emergency
election procedures"*.

Within your county, it is important to understand the chain of authority
for local disasters. Contact your local Emergency Management Department
to gather information on your countywide procedures, including powers
and responsibilities of county officials, as well as procedures for
managing media operations.

Once your state Plan has been drafted, each local election official
should establish and meet with a local task force to include:

-   County department representatives

-   Area law enforcement and fire district agencies

-   Area school district representatives

-   Area utility staff members, etc.

The local area task force provides your office access to resources
available throughout your jurisdiction in the event of an emergency.
With their input and the assistance of your Emergency Management
Director, begin by developing a chain of authority and decision tree,
including a contact list of these individuals, with home and cell
telephone numbers.

Throughout the development of your plan, consider the following
questions:

-   Are there any gaps, overlaps, or other problem areas?

-   Is it detailed enough? Too detailed?

-   Does the Plan reflect lessons learned (from actual disasters or
    tests)?

-   Does the Plan reflect changes in the facilities or internal
    processes?

-   Have the types of situations changed?

-   Are names and phone numbers current?

-   Are disaster supplies stocked and ready for distribution?

***Tip: It is also strongly recommended that the Plan be tested on a
regular basis -- no less than twice a year. This helps all employees to
become familiar with the procedures and reduces your risks in the event
of an actual disaster.***

**Box 1.0**

+-----------------------------------------------------------------------+
| **Community Collaborations**                                          |
|                                                                       |
| The success of a contingency plan does not rely solely on the         |
| internal resources the election office has. Many emergencies and      |
| crisis situations will require the election office to reach out to    |
| other agencies and groups in the community for assistance in managing |
| the situation and ensuring interruptions to the election processes    |
| are prevented and/or minimized. As such, it is best to involve key    |
| stakeholders from the beginning, i.e. during the development phase of |
| the contingency plan. There are many benefits to this, including:     |
|                                                                       |
| -   They can be a resource of fresh and innovative ideas.             |
|                                                                       |
| -   They can provide volunteers, materials, and services.             |
|                                                                       |
| -   They can provide technical expertise in areas outside the scope   |
|     of the election office's functions, knowledge, and capabilities.  |
|                                                                       |
| -   It helps educate non-election staff about the roles and           |
|     responsibilities of the election offices and its importance in    |
|     the community.                                                    |
|                                                                       |
| Whom do you decide to involve? The response to this question will     |
| vary according to the particular issue being considered. A good way   |
| to identify stakeholders is to determine who will be impacted by the  |
| contingency plan -- for example:                                      |
|                                                                       |
| -   Staff from other county offices/department                        |
|                                                                       |
| -   Poll workers                                                      |
|                                                                       |
| -   Voters                                                            |
|                                                                       |
| -   Local police and fire departments                                 |
|                                                                       |
| -   Emergency medical services                                        |
|                                                                       |
| -   Representatives from groups serving the elderly, individuals with |
|     disabilities, and minority groups                                 |
|                                                                       |
| -   Representatives from political parties                            |
|                                                                       |
| -   Staff from the State's election office                            |
|                                                                       |
| -   Other counties' election directors                                |
+-----------------------------------------------------------------------+

**Box 2.0**

***[5. Implement the plan]{.underline}***

Now it is time to implement the action steps that you have laid out for
your contingency plan. A key activity during the implementation of the
plan is to EVALUATE. Once the plan has been implemented, it is important
to assess how effective the action plan was and how it can be improved
for the next time. It is useful to involve the staff and other teams of
people involved in carrying out the steps of the action plan; they will
be able to better tell you how the plan worked in actual practice. It is
also as important to communicate the results of this assessment with
your team and interested stakeholders; engaging them in the process will
help them better understand the successes and challenges election
officials face during moments of crisis.

## [Organizing Response Teams]{.underline}

A response team is comprised of designated individuals, and can include
county management officials, election staff members, area police and
fire staff, and specific polling place supervisors. *Example: A disaster
response team is comparable to a volunteer Fire Department. The
volunteer firemen are regular citizens with other jobs. They are trained
as firemen and have a central meeting location (fire station), which
contains all of their equipment. When a fire occurs, the alarm sounds
and they leave their regular jobs, go to the central meeting location
and perform firefighting duties until the fire is extinguished.*

The duties of the response team can include:

-   Implement the procedures as detailed in the Disaster/Contingency
    Plan

-   Initiate the phone tree

-   Serve as a liaison between the response team, management, and other
    employees

-   Direct and supervise operations

-   Maintain and distribute disaster supplies, etc.

Each type of disaster/contingency plan should have its own unique
response team. As an example, a shortage of provisional ballots in one
area of the county would require the deployment of a pre-assigned team
of runners who are trained to respond to specific polling places with
additional ballots. These runners must be "on call" and be prepared to
respond at a moment's notice. Supplies must be readied and may include
polling place directional maps, names of polling place supervisors,
official response team name tags, checklists, instructions, etc., etc.

## [Organizational Planning for Catastrophic Disasters]{.underline}

A catastrophic disaster is an event that causes the cancellation and
subsequent rescheduling of an election. This includes terrorist attacks
such as the 9/11 attack in New York and natural disasters such as the
Katrina hurricane in New Orleans.

-   Be sure to understand your state election law regarding declaration
    of emergencies, especially who has the authority to make decisions
    relating to the election process. Examples can include:

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-   Closing and relocation of polling places

-   Consolidation of polling locations

-   Cancellation and rescheduling of an election

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-   In your plan, be sure to establish a procedure for notifying all
    polling place supervisors that the election has been cancelled. Your
    action plan should also provide instructions on how to close the
    polling locations and return supplies. In the event that an election
    is cancelled, the Plan should also give guidance for the disposition
    of ballots and electronic media.

-   It is important to provide a complete listing of polling places to
    all area law enforcement and firefighting personnel prior to every
    election. Through a designated response team, area police
    departments can implement increased patrols and/or place law
    enforcement officers at specific polling place locations should they
    deem it necessary in order to protect public safety and the
    integrity of the election process. *Example: Should the national
    threat level be increased to orange or red on Election Day, local
    area police and sheriff departments would immediately implement
    their response team procedures*.

## [Contingency Planning for Unexpected Events during Early Voting]{.underline}

Early voting activities can include distribution of ballots by mail or
voting in person at satellite locations prior to Election Day. As with
all other election operations, any possible unexpected event during
early voting must be identified, an action plan developed, and staff
trained on how to respond to the issue. Evaluate all aspects of the
operation, from the moment the doors open, until they close.

*Note:* Satellite early voting in-person locations are similar to
polling places on Election Day. They are staffed by temporary staff,
managed by a supervisor, and are open for voting during a designated
period of time.

Following is a list of possible situations that can arise unexpectedly
during the early voting period and some of the factors to consider when
developing a contingency plan:

+-----------------------------------------------------------------------+
| **Computer network failure**                                          |
+-----------------------------------------------------------------------+
| -   If voters are processed on the main election software system, how |
|     will you check voters in if the computers stop working?           |
|                                                                       |
| -   How will you verify their eligibility?                            |
|                                                                       |
| -   How will you know which ballot style to provide the voter?        |
+-----------------------------------------------------------------------+

+-----------------------------------------------------------------------+
| **Power outage**                                                      |
+-----------------------------------------------------------------------+
| -   How will you process voters?                                      |
|                                                                       |
| -   Do you have a UPS device or battery powered laptop for emergency  |
|     use?                                                              |
+-----------------------------------------------------------------------+

+-----------------------------------------------------------------------+
| **Staff shortage**                                                    |
+-----------------------------------------------------------------------+
| -   Do you have designated staff identified to fill positions until   |
|     replacement temporary staff can be recruited?                     |
+-----------------------------------------------------------------------+

+-----------------------------------------------------------------------+
| **Ballot shortage**                                                   |
+-----------------------------------------------------------------------+
| -   Do you have a temporary backup supply of all ballots on site at   |
|     each location?                                                    |
|                                                                       |
| -   Are temporary staff members trained to call for additional        |
|     ballots once they access the backup supply?                       |
+-----------------------------------------------------------------------+

+-----------------------------------------------------------------------+
| **Long lines**                                                        |
+-----------------------------------------------------------------------+
| -   Do you have a Plan B for managing large quantities of voters?     |
|                                                                       |
| -   Are temporary staff members trained in line management            |
|     procedures?                                                       |
+-----------------------------------------------------------------------+

+-----------------------------------------------------------------------+
| **Incorrect ballot styles mailed to voters**                          |
+-----------------------------------------------------------------------+
| -   How will you determine which voters received the wrong ballot?    |
|                                                                       |
| -   What is your method for issuing replacement ballots?              |
|                                                                       |
| -   How will your office respond to media questions?                  |
+-----------------------------------------------------------------------+

## [Contingency Planning for Unexpected Events on Election Day]{.underline}

Unexpected events occur in every business operation, every day
throughout the year. On Election Day, any unexpected event can have a
significant impact, i.e. polling places don't open on time, poll workers
don't report for work, mission critical supplies were not delivered,
road closures, power failure, etc. Each scenario must be evaluated, and
an action plan developed, including the assignment of a response team
for each type of unexpected event.

Following is a list of possible situations that can arise unexpectedly
on Election Day and some of the factors to consider when developing a
contingency plan:

+-----------------------------------------------------------------------+
| **Relocation or consolidation of polling places**                     |
+-----------------------------------------------------------------------+
| -   Maintain a listing of all available polling place locations       |
|     within your jurisdiction, along with contact person name and      |
|     phone number.                                                     |
|                                                                       |
| -   Consider using satellite early voting locations as emergency      |
|     polling places on Election Day. These locations usually have      |
|     computer network lines in place to allow for any voter in the     |
|     jurisdiction to be validated.                                     |
|                                                                       |
| -   If it is necessary to relocate polling places at the last minute, |
|     be sure to post notices at the old location to inform voters of   |
|     the location of the new polling place.                            |
|                                                                       |
| -   Notify the media of any polling place changes and remember to     |
|     also post this information on your office web site.               |
|                                                                       |
| -   Use your office automated telephone system to provide updated     |
|     information to voters about last minute polling place changes.    |
+-----------------------------------------------------------------------+

+-----------------------------------------------------------------------+
| **Shortage of poll workers**                                          |
+-----------------------------------------------------------------------+
| -   As part of your normal operating procedures, assign a certain     |
|     percentage of poll workers to a "stand by" status. Require that   |
|     these poll workers report to the central election office instead  |
|     of a polling place on Election morning. These poll workers can be |
|     deployed to any polling place in the county in the event of "no   |
|     shows" or absences.                                               |
|                                                                       |
| -   Implement a county/city employee "stand by" poll worker program.  |
|     These employees should receive full training and be authorized    |
|     for immediate re-assignment on Election Day, if needed.           |
|                                                                       |
| -   If not needed at the polling places, utilize this pool of "stand  |
|     by" poll workers to serve other needs on Election Day, i.e.       |
|     runners, in-house telephone bank staff, etc.                      |
+-----------------------------------------------------------------------+

+-----------------------------------------------------------------------+
| **Shortage of ballots and/or supplies**                               |
+-----------------------------------------------------------------------+
| -   Poll workers should be trained to inspect their supply kits on    |
|     the day before Election Day. They are the final set of eyes to    |
|     determine if all mission critical supplies have been packaged     |
|     correctly.                                                        |
|                                                                       |
| -   Provide a checklist of all mission critical supplies. Place this  |
|     checklist on the top of their supply kit and train them to check  |
|     this list immediately upon receipt of their supplies. If          |
|     something is missing, poll workers must be trained to immediately |
|     telephone the central election office on the night prior to       |
|     Election Day.                                                     |
|                                                                       |
| -   Be sure that your office has an action plan in place to monitor   |
|     telephone calls from poll workers on the night before Election    |
|     Day, and to dispatch response teams to deliver any missing        |
|     supplies.                                                         |
+-----------------------------------------------------------------------+

+-----------------------------------------------------------------------+
| **Equipment issues**                                                  |
+-----------------------------------------------------------------------+
| -   Provide poll workers with easy to follow, step by step            |
|     instructions for opening and closing voting equipment. Make these |
|     instructions as simple as possible, placing the opening           |
|     instructions on one side and the closing on the reverse side.     |
|     Laminate this one page of instructions and place it in an easy to |
|     use location. *Note: Consider attaching the laminated             |
|     instructions to the handle of the voting equipment, making it     |
|     easy to find on Election morning.*                                |
|                                                                       |
| -   Maintain a support help desk to answer questions from poll        |
|     workers regarding any problem they have with opening or closing   |
|     the voting equipment. Be sure to document each call and use this  |
|     information for future debriefing sessions.                       |
|                                                                       |
| -   Provide cell phones to all rovers in the field and establish an   |
|     action plan to enable the central election office to know which   |
|     rovers have been dispatched to which polling place locations.     |
|                                                                       |
| -   Require the rovers to complete a daily log documenting their      |
|     visits to assigned polling locations throughout the day.          |
+-----------------------------------------------------------------------+

+-----------------------------------------------------------------------+
| **Polling place not open**                                            |
+-----------------------------------------------------------------------+
| -   Provide the supervisory poll worker with current contact          |
|     information for the manager of the facility they are assigned to  |
|     on Election Day.                                                  |
|                                                                       |
| -   Train poll workers to immediately contact the facility manager by |
|     phone if the location is locked and they are not able to gain     |
|     access. If they are not able to reach the facility manager, they  |
|     should immediately contact the central election office for        |
|     assistance.                                                       |
|                                                                       |
| ```{=html}                                                            |
| <!-- -->                                                              |
| ```                                                                   |
| -   In the event that access to the location is not available by the  |
|     time that the polls are scheduled to open, poll workers should be |
|     trained on how to implement Plan B for processing voters until    |
|     the building is opened. *Note: Plan B can include utilizing the   |
|     trunks of automobiles as check in locations for voters.*          |
+-----------------------------------------------------------------------+

+-----------------------------------------------------------------------+
| **Inclement weather after the polls open**                            |
+-----------------------------------------------------------------------+
| -   Develop an emergency action plan in the event that roads in your  |
|     jurisdiction become either somewhat or completely impassable due  |
|     to ice or snow.                                                   |
|                                                                       |
| -   Contact county/city employees to request use of four-wheel drive  |
|     vehicles for use in collecting voting equipment and voted ballots |
|     from pre-established emergency collection sites or from           |
|     individual polling place locations.                               |
|                                                                       |
| -   Utilize your established polling place notification plan to       |
|     inform supervisory poll workers that the Election night emergency |
|     action plan is now in place. *Note: Consider implementing a       |
|     central text messaging service to provide immediate notification  |
|     to all poll workers through their cell phone.*                    |
+-----------------------------------------------------------------------+

+-----------------------------------------------------------------------+
| **Bomb threat**                                                       |
+-----------------------------------------------------------------------+
| -   Provide a "Bomb Threat Protocol" laminated card in all polling    |
|     place supply kits. Instruct your poll workers to follow the       |
|     guidelines on the card and to call 911 immediately.               |
+-----------------------------------------------------------------------+

+-----------------------------------------------------------------------+
| **Power failure at polling places**                                   |
+-----------------------------------------------------------------------+
| -   Include instructions on how to manage a power failure in your     |
|     poll worker training program and manual. These instructions       |
|     should be laminated and placed in an easy to find location in     |
|     their Election Day supply kit.                                    |
|                                                                       |
| -   Poll workers should be trained in how to calmly continue the      |
|     voting process in the event of power failure.                     |
|                                                                       |
| -   Train your staff to establish and send a response team to these   |
|     polling place locations. The response team should be prepared to  |
|     transport needed supplies and equipment, i.e. food, water, space  |
|     heaters, fans, etc.                                               |
+-----------------------------------------------------------------------+

+-----------------------------------------------------------------------+
| **Electioneering or protesting**                                      |
+-----------------------------------------------------------------------+
| -   Train poll workers on state law regarding electioneering at the   |
|     polls on Election Day. Provide poll workers with simple solutions |
|     for dealing with this issue, i.e. request voters to remove        |
|     campaign buttons or stickers from their clothing, conduct         |
|     periodic visual checks outside the entrance of the polling place  |
|     to check for campaign signs, etc.                                 |
|                                                                       |
| -   If poll workers experience difficult in managing electioneering   |
|     activity, they should be trained to immediately call 911 to       |
|     request police assistance.                                        |
+-----------------------------------------------------------------------+

+-----------------------------------------------------------------------+
| **Traffic control**                                                   |
+-----------------------------------------------------------------------+
| -   Poll workers should be trained to be aware of potential traffic   |
|     issues and be prepared to request police assistance, if           |
|     necessary.                                                        |
+-----------------------------------------------------------------------+

+-----------------------------------------------------------------------+
| **Long lines**                                                        |
+-----------------------------------------------------------------------+
| -   In the event of long lines of voters, poll workers should be      |
|     trained to follow the guidelines for line management in their     |
|     training manual.                                                  |
|                                                                       |
| -   Provide various scenarios as solutions to this issue, i.e. break  |
|     up the line into two or more check in locations; station a poll   |
|     worker at the end of the line to encourage voters to review the   |
|     sample ballot and be prepared to vote in order to keep the line   |
|     moving; confirm that voters are in the correct polling place      |
|     location; and consider setting up a separate line to manage       |
|     provisional voters.                                               |
+-----------------------------------------------------------------------+

## [Developing a Continuity of Operations Plan for Internal Operations]{.underline}

On Election Day, the central election office becomes the command post
for all polling place activities throughout the jurisdiction. It is
imperative to review your internal continuity of operations plan with a
mindset of "It's now Election Day. What will we do if?" Consider every
conceivable scenario from bomb threats to power outage to telephone
malfunction. Ask yourself:

+-----------------------------------------------------------------------+
| **Power failure**                                                     |
+-----------------------------------------------------------------------+
| -   What are the mission critical operations that will need           |
|     electricity from an emergency source in the event of a power      |
|     failure at your main office?                                      |
|                                                                       |
| -   Do you have an emergency generator on stand-by on Election Day?   |
|                                                                       |
| -   Do you have UPS devices connected to mission critical computer    |
|     systems should the main power supply be interrupted for any       |
|     reason?                                                           |
|                                                                       |
| -   Have you contacted your area utility companies to request that    |
|     they limit work in your vicinity on Election Day?                 |
+-----------------------------------------------------------------------+

+-----------------------------------------------------------------------+
| **Computer system issues**                                            |
+-----------------------------------------------------------------------+
| -   Who will you call if the main computer system crashes on Election |
|     morning?                                                          |
|                                                                       |
| -   How will you direct voters to the correct polling place without a |
|     computer available to lookup the information?                     |
|                                                                       |
| -   Do you have a county computer staff member on call to your office |
|     24/7 during election mode?                                        |
+-----------------------------------------------------------------------+

+-----------------------------------------------------------------------+
| **Telephone system issues**                                           |
+-----------------------------------------------------------------------+
| -   How will you communicate to the polling places, the voters, and   |
|     the media if the main telephone system malfunctions on Election   |
|     morning?                                                          |
|                                                                       |
| -   Do you know which polling places have cell phones available to    |
|     them?                                                             |
|                                                                       |
| -   Do you have access to all cell phones within the county           |
|     organization?                                                     |
|                                                                       |
| -   Do you have a listing of personal cell phone numbers for your     |
|     staff?                                                            |
|                                                                       |
| -   Have you collected cell phone numbers for your poll workers in    |
|     the field?                                                        |
|                                                                       |
| -   Do your poll workers have an emergency contact phone number for   |
|     their use on Election Day?                                        |
|                                                                       |
| -   Have you made arrangements with your emergency dispatch           |
|     department to manage phone calls in the event of an emergency?    |
|                                                                       |
| -   Does your local phone company know where to reroute your calls in |
|     the event of an emergency?                                        |
+-----------------------------------------------------------------------+

+-----------------------------------------------------------------------+
| **Election night activities**                                         |
+-----------------------------------------------------------------------+
| -   Do you have an alternative location to tally votes on Election    |
|     night?                                                            |
|                                                                       |
| -   Do you have a backup of all computer data both onsite in a fire   |
|     proof safe and in an offsite secure location?                     |
+-----------------------------------------------------------------------+

+-----------------------------------------------------------------------+
| **Election office needs**                                             |
+-----------------------------------------------------------------------+
| -   Do you have an alternative location for use as backup "main       |
|     election office" on Election Day if your phone, computers and the |
|     overall facility become unusable for any reason?                  |
|                                                                       |
| -   Does your staff know where to report in order to answer the       |
|     incoming phone calls?                                             |
|                                                                       |
| -   Do you have an area designated for media in the alternative       |
|     location? What about security needs?                              |
|                                                                       |
| -   Do you have a plan in place for police officers to provide extra  |
|     services to your office?                                          |
+-----------------------------------------------------------------------+

***Tip: Document each of these scenarios and its specific action plan.
Publish and distribute your office's Internal Continuity of Operations
Plan to all agencies responsible for providing assistance in the event
of a disaster/emergency. You should also release the final Plan to all
area television, radio, and newspaper media.***

## [Staff and Poll Worker Training and Supplies]{.underline}

Polling Places become mini-branch offices on Election Day. Each one is
stand-alone and must be prepared to handle any situation that may arise.
Many types of situations can occur during the day. Often poll workers
face the challenge of managing electioneering activities, other types of
protests, accidents and illnesses impacting poll workers and/or voters,
traffic control needs, bomb threats, along with weather-related issues
and supplies and equipment issues.

[Specific Emergencies:]{.underline}

-   Fire -- Poll workers should be trained to review the procedures for
    reporting fires and evacuating the facility with their polling place
    facility manager. If possible, they should collect the designated
    election supplies prior to leaving the building.

-   Medical - For any medical emergencies, poll workers should be
    instructed to call 911 immediately, and to also report the emergency
    to the central election office.

-   Tornado -- Poll workers should seek shelter immediately if a warning
    is issued for their area. They should follow instructions posted in
    the facility and go immediately to the designated shelter area. If
    no shelter area is available, they should seek shelter in an
    interior room that does not have windows.

-   Flood -- In the event of flooding, poll workers should immediately
    notify the central election office and then move the polling place
    supplies and voting area to a higher location. *Note: Include large
    garbage bags with each polling place's supplies. In the event of
    heavy rain, they can be used to protect the ballot boxes and
    precinct supplies from moisture.*

-   Severe Ice/Snow Storm -- If poll workers are concerned about severe
    weather related to ice or snow, they should immediately notify the
    central election office.

-   Power Failure -- Should the power fail at a polling place location,
    the poll workers should follow the instructions provided in their
    election supplies. They should also be trained to notify the central
    election office as soon as possible.

Other things to consider:

-   Full time election staff should be responsible for preparing and
    packaging all polling place supply kits. These kits should contain a
    checklist to be signed by two staff members as a final proof that
    all supplies for each location are in place.

-   Develop a listing of all mission-critical polling place supplies.
    Again, this list should be double-proofed by two separate full time
    staff members prior to distribution to the poll workers.

-   On Election Day, poll workers should be trained to immediately
    notify the central election office in the event of an expected
    shortage of mission-critical supplies, i.e. provisional ballots,
    etc.

-   Runners should be available and a response team should be assigned
    to deliver additional supplies. The response team should be provided
    with driving maps and instructions on how to provide additional
    support to the poll workers. One member of the response team should
    have a cell phone to report back to election central when all
    supplies have been delivered.

-   Provide additional support to poll workers by assigning rovers to
    pre-established regions on Election Day. Each region should contain
    7-10 polling places. The rovers should visit these locations before
    the polls open and immediately after the polls close to provide
    additional support and assistance to the poll workers.

## [Resources]{.underline}

-   Centers for Disease Control and Prevention -- Emergency Preparedness
    and Response: <http://emergency.cdc.gov/>

-   Federal Emergency Management Agency: <http://www.fema.gov/>

Ready Campaign: [www.ready.gov](http://www.ready.gov/)

> List of State offices and agencies of emergency management:
> <http://www.fema.gov/about/contact/statedr.shtm>

Disaster Help: <https://www.disasterhelp.gov/index.shtm>

-   Stoneburner, Gary, Alice Goguen, and Alexis Feringa. *Risk
    Management Guide for Information Technology Systems, Recommendations
    of the National Institute of Standards and Technology* (Special
    publication 800-30). National Institute of Standards and Technology,
    Technology Administration, U.S. Department of Commerce. July 2002.
    (<http://csrc.nist.gov/publications/nistpubs/800-30/sp800-30.pdf>)

-   U.S. Department of Homeland Security:
    <http://www.dhs.gov/index.shtm>

-   U.S. Department of the Interior -- Emergency Management
    (<http://www.doi.gov/emergency/index.html>)

-   U.S. Department of Justice, Civil Rights Division, Disability Rights
    Section. *An ADA Guide for Local Governments: Making Community
    Emergency Preparedness and Response Programs Accessible for People
    with Disabilities.* (<http://www.ada.gov/emergencyprep.htm>)

-   U.S. Department of Justice, Office of Justice Program, Bureau of
    Justice Assistance, Center for Program Evaluation:
    <http://www.ojp.usdoj.gov/BJA/evaluation/index.html>

-   U.S. General Accounting Office. *Executive Guide: Effectively
    Implementing the Government Performance and Results Act*. June 1996.
    <http://www.gao.gov/special.pubs/gg96118.pdf>

## [S.W.O.T Analysis Sample Worksheet]{.underline}

Example: A **county is considering the use of vote centers** on Election
Day and have decided to conduct an analysis of the strengths,
weaknesses, opportunities, and threats that can assist or impede the
successful development and implementation of this change. They are
conducting the S.W.O.T. analysis as part of the overall identification
and assessment process in preparation for developing and implement a
contingency or change management plan.

**Strengths and Weaknesses** = internal factors (factors **inside** the
office that can be an asset or an obstacle to achieving desired end
result)

*Examples:* budget, number of staff members, organizational structure,
etc.

**Opportunities and Threats** = external factors (factors **outside**
the office that can be an asset or an obstacle to achieving desired end
result)

*Examples:* community interest, public perception, changes in
Federal/State laws, etc.

+-----------------------------------+-----------------------------------+
| **STRENGTHS**                     | **WEAKNESSESS**                   |
+-----------------------------------+-----------------------------------+
| -   Office has the appropriate    | -   No current policies or        |
|     budget to make the change     |     procedures exist in the       |
|                                   |     county regarding the use of   |
| -   Current staff is well trained |     vote centers                  |
|     and invested in the process   |                                   |
|                                   | -   Current staffing level is     |
|                                   |     already below what is needed  |
|                                   |     -- how will this change       |
|                                   |     impact current staff's roles  |
|                                   |     and responsibilities          |
+-----------------------------------+-----------------------------------+
| **OPPORTUNITIES**                 | **THREATS**                       |
+-----------------------------------+-----------------------------------+
| -   Strong community approval of  | -   Identified locations do not   |
|     vote centers                  |     agree to participate as vote  |
|                                   |     centers                       |
| -   Several locations for vote    |                                   |
|     centers have been identified  | -   Difficulty in recruiting      |
|     that:                         |     qualified poll workers        |
|                                   |                                   |
| ```{=html}                        |                                   |
| <!-- -->                          |                                   |
| ```                               |                                   |
| -   are centrally located =       |                                   |
|     accessible by public          |                                   |
|     transportation, easily        |                                   |
|     identifiable buildings,       |                                   |
|     accessible by major routes,   |                                   |
|     parking space accommodates    |                                   |
|     large amounts of cars, etc.   |                                   |
|                                   |                                   |
| -   have the required space       |                                   |
|     (inside and outside)          |                                   |
+-----------------------------------+-----------------------------------+

[^1]: The concepts for "magnitude of impact" and "likelihood of event"
    are modeled on risk assessment strategies found in the National
    Institute of Standards and Technology's *Risk Management Guide for
    Information Technology Systems* (special publication 800-30). See
    Resources section at the end of this chapter for full citation.

[^2]: Strategic planning refers to the process of comprehensive,
    integrative program planning that considers, at a minimum, the
    future of current decisions, overall policy, organizational
    development, and links to operational plans. \[Definition from the
    Center for Program Evaluation, which is part of the Bureau of
    Justice Assistance of the U.S. Department of Justice's Office of
    Justice Programs -
    <http://www.ojp.usdoj.gov/BJA/evaluation/index.html>\].

    In addition, the U.S. General Accounting Office (GAO) states that
    strategic plans "are intended to be the starting point for each
    agency's performance measurement efforts. Each plan must include a
    comprehensive mission statement based on the agency's statutory
    requirements, a set of outcome-related strategic goals, and a
    description of how the agency intends to achieve these goals. The
    mission statement brings the agency into focus. It explains why the
    agency exists, tells what it does, and describes how it does it. The
    strategic goals that follow are an outgrowth of this clearly stated
    mission. The strategic goals explain the purposes of the agency's
    programs and the results they are intended to achieve." \[GAO.
    *Executive Guide: Effectively Implementing the Government
    Performance and Results Act*. June 1996.
    <http://www.gao.gov/special.pubs/gg96118.pdf>\]