Election Ma

C h pte 

CONTINGENCY PLANNING AND

CHANGE MANAGEMEN

Introduction

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. The recommendations 

contained in this chapter should be vetted with Federal, 

State, and local laws, regulations, and relevant case law 

to ensure they are properly and lawfully implemented; 

election officials should contact their State officials when 

there is a question as to whether a practice is permitted 

or prohibited under State law.

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

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. 
106  U.S. Elect

Table 11.1 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

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

tip

CHANGE MANANGEMENT TIP: Do not wait for

situations to come up before you address them. Be 

proactive and learn to regularly evaluate the need 

for change; involve staff, election workers, and other 

stakeholders in this process.

tip

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; involve staff, election workers, and 

other stakeholders in this process.

Contingencies Change Factors

Fire in voting system warehouse Election office is relocated

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

Electrical damage to office computers during peak voter registration 

weeks prior to election

Purchase of new voting system

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

to an election

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

TABLE 11.1: EXAMPLES OF CONTINGENCIES AND CHANGE FACTORS
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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 11.2) 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.

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:

Contingencies Factors to Consider Magnitude of Impact

Fire in voting system warehouse What was the extent of the 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?

Medium to High

Severe snow storm (blizzard) on 

Election Day

How accessible are the roads leading to the polling places? 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? 

High

Change Factors Factors to Consider Magnitude of Impact

Election office is relocated Is the new facility accessible by public transportation? Is the space 

small, large, or the same in size to the previous location? Where 

and how will supplies be stored?

Low to Medium

Reduction in number of staff 

members

Is the reduction permanent? How will responsibilities be divided 

among the remaining staff?

Low to Medium

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.

TABLE 11.2: ASSESSING MAGNITUDE OF IMPACT
108  U.S. Elect

 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:

 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

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

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. 

Contingency Likelihood Factors to consider Magnitude of impact

Polling place runs out of 

provisional ballots

Medium Voter turnout is not predictable; 

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

Medium to High

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.
Election Ma

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

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

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

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] 
110  U.S. Elect

8. train staff and poll workers in both regular and 

backup voting systems

4. Develop an action plan

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 

Discussion Box 11.4, “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:

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 11.3). 
Election Ma

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

Action step Timeline Labor 

categories 

(Staff)

Labor units 

(staff time 

for this task)

Labor 

Cost

Other 

Costs

Specific activities

consult with 

local firemen 

to determine 

the number and 

location of smoke 

detectors required 

for warehouse

within 5 days 

of adoption of 

plan

Director 8 hours $20/hr mileage to 

and from 

warehouse

contact local firemen, 

conduct site visit to 

warehouse (identify 

quantity, type, 

and placement), 

communicate findings 

to staff for purchase of 

smoke detectors

purchase smoke 

detectors

within 7 days 

of adoption of 

plan

Administrative 

Assistant

3 hours $12/hr 0 purchase smoke 

detectors per 

specifications, inspect 

and accept purchased 

smoke detectors, store 

smoke detectors until 

installation

install smoke 

detectors

within 15 days 

of adoption 

of the 

contingency 

plan

Director 4 hours $20/hr mileage to 

and from 

warehouse

provide smoke detectors 

to technicians, 

provide placement 

instructions and other 

necessary information 

for installation, 

inspect and approve 

installation, maintain 

record of installation, 

train staff responsible 

for monitoring smoke 

detectors

Technician 

(installer)

8 hours $50/hr 0 receive smoke 

detectors, install smoke 

detectors, ensure all 

smoke detectors are 

operational by end of 

installation

monitor smoke 

detectors and 

sprinklers once a 

week during the 

last 30 days prior 

to a scheduled 

election

once a week 

during the last 

30 days prior 

to a scheduled 

election

2 Office Staff not to exceed 2 

hours per visit

$14/hr mileage to 

and from 

warehouse

warehouse site visit, 

perform evaluation of 

smoke detectors, record 

and communicate 

results of visit, replace 

nonfunctioning smoke 

detectors

continued next page...

TABLE 11.3: SAMPLE VISUAL REPRESENTATION OF ACTION STEPS
112  U.S. Elect

Additional things to consider when developing the 

action plan:

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

 Agencies and groups that conduct voter education 

and registration efforts

 Representatives from elderly, disabled, and language 

minority groups should be included to ensure contingency plans are effectively communicated and implemented in regards to these groups

 Legal staff/representatives from the election offices 

and other legal organizations vested in elections to 

ensure contingency plans are consistent with applicable Federal, State, and local laws

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 ha

the authority to declare an Election Day emergency, thus 

permitting your office to implement approved “emergency 

election procedures”. 

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

Action step Timeline Labor 

categories 

(Staff)

Labor units 

(staff time for 

this task)

Labor 

Cost

Other 

Costs

Specific activities

monitor smoke 

detectors and 

sprinklers once a 

week during the 

last 30 days prior 

to a scheduled 

election

once a week 

during the last 

30 days prior 

to a scheduled 

election

2 Office Staff not to exceed 2 

hours per visit

$14/hr mileage to 

and from 

warehouse

warehouse site visit, 

perform evaluation of 

smoke detectors, record 

and communicate 

results of visit, replace 

nonfunctioning smoke 

detectors

schedule and 

conduct monthly 

visits to the 

warehouse to 

monitor smoke 

detectors during 

other times

monthly (other 

than the 30 

days prior to 

an election)

2 Office Staff not to exceed 2 

hours per visit

$14/hr mileage to 

and from 

warehouse

warehouse site visit, 

perform evaluation of 

smoke detectors, record 

and communicate 

results of visit, replace 

nonfunctioning 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.

TABLE 11.3 (cont.)
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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?

5. Implement the plan

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 Te

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 

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 preassigned team of runners who are trained to respond 

to specific polling places with additional ballots. 

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. 
114  U.S. Elect

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.

Organizational Planning for Catastrophic Disas

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:

•	 Closing and relocation of polling places

•	 Consolidation of polling locations

•	 Cancellation and rescheduling of an election

 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. 

Community Collaboratio

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

 Voter education and outreach groups

 Legal staff/representatives from the election offices and other legal organizations vested in elections

 Staff from the State’s election office

 Other counties’ election directors

DISCUSSION BOX 11.4: COMMUNITY COLLABORATIONS
Election Ma

 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 t

orange or red on Election Day, local area police and sheriff 

departments would immediately implement their response 

team procedures.

Contingency Planning for Unexpected Eve

during Early Votin

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:

Creating a Media Action P

In order to protect and enhance the Election Office’s credibility and to communicate effectively with the 

media, the election director should consider the following suggestions:

 Designate an election staff member to be the central media contact person.

 Instruct all employees to refer all questions from the media to the election director or to the County’s 

Public Information Officer.

 Educate your employees that news reporters are under constant deadlines, but no deadline is worth anyone 

releasing an inaccurate statement to the media.

 Be aware that media reporters often frame their questions to bring out the conflict or emotion in a story. 

 Educate your polling place supervisors on proper ways to handle media questions.

 Never allow anyone to provide a “personal” or “off the record” opinion to the media.

 Press releases should be developed and disseminated in an expeditious fashion regarding changes in election times, polling place locations, expected release of election results, etc. 

 Be sure to take time to explain to the media and the public the nature of the emergency and all procedures 

as you work toward managing the issue. Perceived problems can be just as damaging as actual problems. 

Remember to provide thorough explanations. By taking the time to inform the public as things progress, 

an Election Day emergency, large or small, will be thought of and reported as a problem that you accurately and efficiently handled, not an Election Day disaster.

 The designated election PIO staff should maintain a media contact list, including office and cell telephone 

numbers and email addresses for all first line media personnel.

DISCUSSION BOX 11.5: CREATING A MEDIA ACTION PLAN
116  U.S. Elect

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? 
Election Ma

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 hav

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 voter

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 tha

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 b

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 t

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 thi

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 Electio

Day, and to dispatch response teams to deliver any missing supplies.

Contingency Planning for Unexpected Eve

on Election D

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:

continued next page...
118  U.S. Elect

Equipment issues

 Provide poll workers with easy to follow, step by step instructions for opening and closing voting equipment. Make thes

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 fin

on Election morning.

 Maintain a support help desk to answer questions from poll workers regarding any problem they have with opening or closin

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 whic

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 da

Polling place not open

 Provide the supervisory poll worker with current contact information for the manager of the facility they are assigned t

on Election Day.

 Train poll workers to immediately contact the facility manager by phone if the location is locked and they are not able t

gain access. If they are not able to reach the facility manager, they should immediately contact the central election 

office for assistance.

 In the event that access to the location is not available by the time that the polls are scheduled to open, poll workers shoul

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 voter

Inclement weather after the polls open

 Develop an emergency action plan in the event that roads in your jurisdiction become either somewhat or completel

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 vote

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 emergenc

action plan is now in place. 

 Note Consider implementing a central text messaging service to provide immediate notification to all pol

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 th

guidelines on the card and to call 911 immediately.
Election Ma

Power failure at polling places

 Include instructions on how to manage a power failure in your poll worker training program and manual. These instruction

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 prepare

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 solution

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 t

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 thei

training manual. Tip: Consider developing and incorporating line management guidelines into the poll worker training session 

and materials if you do not currently have one. Reach out to other community groups, agencies, and businesses that have 

experience coordinating and managing large events for their input on how they would manage a polling place.

 Provide various scenarios as solutions to this issue, i.e. break up the line into two or more check in locations; station a pol

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.

 Develop a plan for deploying additional personnel, voting equipment, and other supplies to polling places experiencing long lines

 Tip As a first step on Election Day, have poll workers and/or roaming technicians first explain the cause of the lo

lines before deploying resources; this will help you identify which personnel or materials need to be sent out or if the problem only requires a modification within the polling place.
120  U.S. Elect

Developing a Continuity of Operations Plan 

Internal Operation

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 failur

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 interrupte

for any reason? 

 Have you contacted your area utility companies to request that they limit work in your vicinity on Election Da

Computer system issues

 Who will you call if the main computer system crashes on Election mornin

 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 mod

Telephone system issues

 How will you communicate to the polling places, the voters, and the media if the main telephone system malfunctions o

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 Ma

Election office needs

 Do you have an alternative location for use as backup “main election office” on Election Day if your phone, computers and th

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 offic

It is also recommended that there be a system 

and process for how poll workers and voters will 

communicate with the election office during the 

voting period in case of emergencies and other 

election-related events. For example: do you have 

dedicated telephone lines for poll workers, voters, 

media, etc; do you have the necessary telecommunications equipment and staffing to manage the phone 

lines; how have you communicated these numbers 

to each group; how will poll workers contact the 

office (agency issued cell phones, telephones already 

located on polling site, personal phones, etc.); etc.

Staff and Poll Worker Training and Sup

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 weatherrelated issues and supplies and equipment issues.

Specific Emergencie

 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 

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.
122  U.S. Elect

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. 
Election Ma

RESOURC

• Centers for Disease Control and Prevention – Emergency Preparedness and Respons

http://emergency.cdc.go

• Disability Preparedness Resource Cente

http://www.disabilitypreparedness.go

• Federal Emergency Management Agenc

http://www.fema.go

• Ready Campaig

www.ready.g

• List of State offices and agencies of emergency manageme

http://www.fema.gov/about/contact/statedr.s

• Disaster Hel

https://www.disasterhelp.gov/index.s

• Making Community Emergency Preparedness and Response Programs Accessible to People with Disabilitie

http://www.ada.gov/emergencyprep.

• Stoneburner, Gary, Alice Goguen, and Alexis Feringa. Risk Management Guide for Information Technolo

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.p

• U.S. Department of Homeland Securit

http://www.dhs.gov/index.s

• U.S. Department of the Interior – Emergency Manageme

(http://www.doi.gov/emergency/index.ht

• U.S. Department of Justice, Americans with Disability Ac

http://www.usdoj.gov/crt/ada/adahom1.

• An ADA Guide for Local Governments: Making Community Emergency Preparedness and Response Programs Accessible to People with Disabilities. (An 11-page illustrated publication that provides guidance on preparing f

and carrying out emergency response programs in a manner that results in the services being accessible to 

people with disabilities.) 

(http://www.ada.gov/emergencyprepguide.ht

• 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 Disabiliti

(http://www.ada.gov/emergencyprep.ht

• U.S. Department of Justice, Office of Justice Program, Bureau of Justice Assistance, Center for Program Evaluatio

http://www.ojp.usdoj.gov/BJA/evaluation/index.

• U.S. General Accounting Office. Executive Guide: Effectively Implementing the Government Performance a

Results Act. June 1996. 

http://www.gao.gov/special.pubs/gg96118
124  U.S. Elect

S.W.O.T Analysis Sample Wor

Exampl  A county is considering the use of vote center

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)

Exampl  budget, number of staff members, organizational structure, et

Opportunities and Threats = external factors (factors 

outside the office that can be an asset or an obstacle to 

achieving desired end result)

Exampl  community interest, public perception, change

in Federal/State laws, etc.

STRENGTHS WEAKNESSESS

 Office has the appropriate budget to make the chan

 Current staff is well trained and invested in the proce

 No current policies or procedures exist in the count

regarding the use of vote centers

 Current staffing level is already below what is neede

– how will this change impact current staff’s roles and 

responsibilities

OPPORTUNITIES THREATS

 Strong community approval of vote cente

 Several locations for vote centers have been identifie

that: 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) 

 Identified locations do not agree to participate a

vote centers

 Difficulty in recruiting qualified poll worke
U.S. ELECTION ASSISTANCE COMMISSION

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