APPENDIX A

THE U.S. ELECTION ASSISTANCE COMMISSION

FISCAL YEAR 2012

INTERIM ANNUAL PERFORMANCE REPORT

April 10, 2013
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Overview

In November 2012, the U.S. Election Assistance Commission (EAC) presented a fiscal year (FY)

2012 Agency Financial Report (AFR). The report described EAC’s financial results over the past 

year as it pursued its mission to assist the effective administration of Federal elections. The report 

highlights efforts to strengthen internal controls and financial management activities. EAC 

presented summarized performance data in the AFR, and provides as much detailed data as 

possible in the following Interim Annual Performance Report for FY 2012 in conjunction with the 

FY 2013 Interim Congressional Justification. This is the fifth year EAC has undergone a financial 

statement audit pursuant to the Accountability of Tax Dollar Act of 2002, and the fourth year that 

EAC is participating in the pilot performance reporting project, as described in OMB Circular A136 on Financial Reporting Requirements, in place of the Performance and Accountability Report. 

Managing for results and producing an Annual Performance Report requires valid, reliable and 

high-quality performance measures and data. In the program areas during FY 2012, EAC made 

progress in achieving the goals described in its Strategic Plan, which is based on the mandates of 

the Help America Vote Act (HAVA) of 2002:

Communications & Clearinghouse

In Fiscal Year 2012, EAC focused efforts on providing information and best practices to election 

officials and voters in preparation for the 2012 federal election cycle with the goal of building a 

community of knowledge and expertise that would save election officials time and money. EAC:

• Hosted a series of public roundtable discussions about topics and initiatives in preparation 

for 2012 federal election cycle. Questions and comments were taken from the public 

throughout the live webcasts. The subjects included: 

o Cost-effective procedures and best practices for 2012 Voting System Preparation;

o EAC’s role as a national clearinghouse and resource for election officials around 

the country;

o Getting ready for the November 2012 elections; and 

o Ways to improve access to voting for veterans; 

• Expanded The EAC Blog to provide periodic election updates and highlight program 

activities during each week: 1) Election Updates summarize information on upcoming 

primaries, special elections, and the general election in 2012; 2) Voting System Testing 

Updates track progress made on EAC voting system certification; and 3ongoing blog posts 

cover election related topics to answer frequently asked questions and provide critical or 

time sensitive information to stakeholders and the media;
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• Managed @EACgov on Twitter to rapidly deliver information and updates to stakeholders 

and the public about the voting system certification program, EAC activities and election 

information, communicate with election officials, and build a community of expertise; 

• Maintained #BReady2012, the Twitter hashtag where election officials and the public 

gathered to discuss preparation for the next Federal election. The number of EAC Twitter 

followers grew from 250 to over 900 from October 2011 through September 2012;

• Hosted online The Election Official Exchange, a platform to help local election officials 

connect and leverage their collective knowledge by sharing and exchanging best practices 

and information expertise; and

• Provided program updates where the public can customize the kind of information and the 

frequency that it is delivered via EAC’s newsletter and automatic program updates.

Grants Management

In FY 2012, EAC:

• Disbursed requirements payment grants to States certifying compliance from the FY 2008-

FY 2011 awards; 

• Closed the College Poll Worker and the Mock Election grants awarded in FY 2009;

• Continued to monitor and provide technical assistance to three-year award 2010 College 

Poll Worker grantees to help them carry out successful programs; 

• Continued to monitor and work with the three-year award 2010 Mock Election Program 

grantees; and

• Monitored and provided technical assistance for the Voting System Pre-Election Logic and 

Accuracy Testing & Post-Election Audit Initiative grants, and the Accessible Voting 

Technology Initiative grants. In FY 2012, the latter projects focused on making preelection information accessible to voters and using a specialized system in the field for 

elections. 

Research, Policy and Programs

Work completed in FY 2012 includes: 

• Release of the results of the 2010 Election Administration and Voting Survey (EAVS) to 

Congress and the public;

• Final draft of a study on the use of Social Security numbers for the purpose of voter 

registration;

• Final draft of a study on Vote Recounts and Contests describing laws and procedures in 

each state; 
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• Award of contracts to perform research on administering elections in urban and rural areas, 

and to administer and analyze the data for the 2012 EAVS; 

• Completion of the process for updating the 2012 Election Administration and Voting 

Survey;

• Research on new jurisdictions and languages covered by Section 203 of the Voting Rights 

Act as determined by the 2010 census and consideration of its application to various 

minority language election resources; and

• Responding to requests from state and local election officials, Congress, the media and the 

public-at large for copies of Voter’s Guides to Elections and Glossaries of Election Terms 

in various foreign languages, and NVRA registration forms and accompanying state 

instructions for completing the form; clarification of data reported in the biennial EAVS;

assistance on completing the Federal NVRA form; and requests to clarify certain technical 

aspects of election procedures and processes; 

• Processing of State requests for modifications to the state-specific instructions on the 

National Mail Voter Registration Form. States include Delaware, Florida, Illinois, Maine, 

Louisiana, Virginia and Washington State; 

• Conducting presentations and distributing material highlighting EAC educational resources

on best practices and tips from EAC research on subjects such as poll worker recruitment 

and training, making contingency plans, voting accessibility, and communicating with the 

public; and

• Distributing 30,000 copies of EAC’s “Voting Tips To Enhance Your Voting Experience”

to the 55 State election offices.

Voting Systems Testing and Certification

In FY 2012, EAC:

• Certified four voting systems and published a certification timeline for a fifth system;

• Conducted testing campaigns for four systems;

• Drafted and published six Requests for Interpretation (RFIs) to the Voluntary Voting 

System Guidelines (VVSG);

• Drafted and published two Notices of Clarification to Testing & Certification Program 

Manuals;

• Published a Final Formal Investigation Report on a voting system;

• Developed and implemented major updates to EAC’s Virtual Review Tool (VRT);

• Audited a voting system manufacturing facility;

• Received a revised version of VVSG 1.1 from NIST, incorporated NIST comments and 

new RFI’s into the guidelines, and posted the second draft version for Public Comment;

• Performed two laboratory re-accreditation audits, and an EAC and NVLAP initial 

laboratory audit; and
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• Published the Survey of Internet Voting (SIVAR) document on the EAC web site.

Finally, EAC conducted briefings for visiting foreign delegations under the auspices of the U.S. 

State Department to explain EAC’s role and function as a national clearinghouse, and how EAC's 

resources and tools serve and support election officials around the country as they prepare for the 

2012 election. Staff explained the voting process in the United States, and provided resource 

materials developed by EAC to the delegates.

Delegations included election officials and news media journalists from the following nations: 

Afghanistan, Burkina Faso, Chad, Korea, Mali, Mauritania, Senegal, Niger, and Russia. Other 

briefings were conducted for representatives of the International Foundation for Electoral Systems 

and from the Office for Democratic Institutions and Human Rights (ODIHR) in the Organization 

for Security and Cooperation in Europe (OSCE).
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Funding

Enacted Appropriations by Fiscal Year

(dollars in thousands)

2003 2004 2005 2006 2007 2008 2009 2010 2011 2012 Total

EAC (FY 2003–2010)

EAC Salaries & 

Expenses

Operations $2,00

0 

$1,674 1 $11,110 $10,986 $11,313 $12,330 $12,909 $13,409 $13,024 $8,750 $97,505 

 Mock Election 

Grants

200 300 300 $800 

 Poll Worker Grants 300 750 750 750 $2,550 

Transfer to NIST 2,778 2,772 4,950 3,250 4,000 3,500 3,243 2,750 $27,243 

Election Reform Grants $0 

 Requirements 

Payments

830,0

00

2 1,491,150 115,000 100,000 70,000 $2,606,150

 Poll Worker Grants 1,500 $1,500 

 Foundation 1,500 $1,500 

 Voting Tech. 

Research

5,000 3,000 $8,000 

 Testing & 

Verification

1,000 2,000 $3,000 

Election Data Collection 10,000 $10,000 

TOTAL EAC 835,0

00

1,492,824 13,888 14,058 16,263 141,530 123,959 92,959 13,267 11,500 $2,755,248

GSA (FY 2003) $0 

 Section 101 and 102 649,5

00

$649,500 

 Administrative 

Expenses

500 $500 

 TOTAL GSA 650,0

00

$650,000 

TOTAL EAC & GSA $3,405,248

1/ Includes $481,092 transferred from the Federal Election Commission

2/ Carried forward to FY 2005

Operations

EAC reports its results of operations within four programs: Communications; Fund and Oversee;

Research, Policy and Programs; and Testing and Certification. Costs specifically identified with 

each of these programs such as assigned personnel costs and specific program contract costs are 

allocated to the program directly. Other general agency overhead costs such as rent, information 

technology costs and financial management services are allocated on a percent of overall costs 

method. The Fund and Oversee program reports the expenditures for EAC’s grants. This 
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methodology is outlined in EAC’s Cost Allocation Model and is reviewed each year by staff and 

financial statement auditors to ensure the accurate allocation of expenses to each program. 

Performance Goals

EAC adopted its first-five year Strategic Plan 2009-2014 in March 2009. The plan was reviewed 

by the Office of Management and Budget, and presented to EAC’s Board of Advisors and 

Standards Board for comment. 

EAC’s five strategic goals are:

Goal 1. Communicate -- Communicate timely and accurate information on the effective 

administration of elections for Federal office and on the operations and services offered by 

EAC.

Goal 2. Fund and Oversee -- Deliver and manage Federal funds effectively. 

Goal 3. Study, Guide and Assist -- Identify and develop information on areas of pressing 

concern regarding the administration of elections for Federal office, issue recommended 

improvements, guidance, translations, and best practices as required by HAVA, and carry 

out responsibilities under the National Voter Registration Act. 

Goal 4. Test and Certify -- Build public confidence in elections by testing and certifying voting 

systems to improve system security, operation, and accessibility.

Goal 5. Manage -- Achieve organizational and management excellence.

EAC Strategic Plan objectives in the following sections describe the results needed to accomplish 

the five Strategic Goals. Outcomes measure the effect program outputs have on their stakeholders. 

Outputs are quantifiable targets that directly measure the results of a program. A program may

have multiple outputs but each output is associated with one program. Performance measures are 

quantifiable and documentable representations of a capacity, process or outcome that is relevant to 

the assessment of performance. 

Goal One – Communicate

Strategic Plan Goal 1: Communicate timely and accurate information on the effective 

administration of elections for Federal office and on the operations and services offered by 

EAC.

Outcome: The Congress, Federal agencies, State and local election officials and 

the public receive reliable, accurate, and non-partisan information about 
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administering, conducting and participating in Federal elections and how, where, 

and when Americans vote.

FY 2012 

Communications

Enacted Budget

Direct Costs $405,996

Indirect Costs 523,559

Total, Communicate $929,555

Goal 1’s aim of communication of timely and accurate information is the responsibility of the 

Communications and Clearinghouse division. The Communications and Clearinghouse division is 

responsible for external communications and the tools and platforms used to provide information 

to election officials and the general public. Areas of responsibility include:

• EAC Website and Clearinghouse

• Social media 

• Media inquires

• External communications

• Congressional relations

• The Freedom of Information Act

• National Archives and Records Act 

• Editorial support: press releases, speeches, and Congressional testimony

The agency’s website, www.eac.gov, is the primary communications tool. EAC.gov contains 

thousands of documents and information about voting systems, press releases, informational 

videos, research, data and program-related information. It also features on-demand webcasts and 

related information from public meetings, hearings and roundtables.

EAC’s award-winning website features a user-driven notification system, allowing visitors to 

customize how they receive information. Users can customize their online experience by signing 

up for automatic e-mail alerts on a variety of election topics and events, including public meetings, 

advisory board meetings, reports, policies and agency news. These alerts can be received in real 

time on a daily or weekly basis. 

Goal 1 FY 2012 Accomplishments

In Fiscal Year 2012, the Communications and Clearinghouse division focused its efforts on 

providing information and best practices to election officials and voters in preparation for the 2012 

federal election cycle. The goal was to build a community of knowledge and expertise that would 
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save election officials time and money as they faced the challenge of providing more services to 

voters with fewer resources and more budget constraints. EAC embraced the tenets of 

Government 2.0 and established a robust network of information sharing for election officials and 

professionals. 

EAC.gov Resources

• The Election Official Exchange: an online resource built by EAC to help local election 

officials connect and leverage their collective knowledge by sharing best practices and 

knowledge. By participating in the Exchange, any U.S. election official can call on a 

colleague for advice about virtually any administrative task they face, from testing voting 

equipment and training poll workers to creating an audit trail and conducting a recount. 

• Enhanced and improved search tool: based on usability studies and user feedback, EAC’s 

search tool is an intuitive and user friendly way for the public to find information.

• Events finder: a comprehensive presentation of all EAC public events, including meetings, 

hearings and roundtable discussions. 

• Webcasts: public events are offered live. On demand webcasts are available within 24 

hours. The meeting agenda accompanies the webcast, and the viewer can select topics of 

interest. All meeting materials are also available to the public. 

• Customized program updates: a listserv for EAC’s newsletter and automatic program 

updates. Users are notified daily or weekly when new documents are posted based on their 

delivery preferences. 

Social Media and Stakeholder Updates

• The EAC Blog: allows EAC to provide periodic election updates and highlight program 

activities. Weekly Election Updates summarize information on upcoming primaries, special 

elections, and the general election in 2012. Weekly Voting System Testing Updates track 

progress made on EAC system certification. Ongoing blog posts cover election related 

topics to answer frequently asked questions and provide critical or time sensitive 

information to stakeholders and the media.

• @EACgov on Twitter: another tool used to communicate with stakeholders and the public 

on EAC activities and election information. The number of EAC Twitter followers grew 

from 250 to over 900 from October, 2011 through September, 2012.

• #BReady2012: a Twitter hashtag hosted and created by EAC provides an online meeting 

place for election officials and the public to gather and discuss preparation for the next 

federal election. 

• EAC maintains and emails a public list of election officials and has used the platform to 

inform thousands of people about program activities. For example, EAC can rapidly 

deliver information and updates about the voting system certification program across the 
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country. As requests are received from election officials, EAC continues to add more links 

to state & local election social media sites.

Preparing for the 2012 Elections: The Roundtable Series of Public Discussions

In Fiscal Year 2012, EAC continued hosting a series of public roundtable discussions about topics 

and initiatives in preparation for 2012 federal election cycle. Four roundtable discussions were 

webcast live and featured a live Twitterfall. Questions and comments were taken from the public 

through the webcasts. Participants included election officials and subject experts who provided 

real world solutions to the issues facing election officials and voters as we prepare for the 2012 

elections. EAC distributed press advisories to national media daybooks and contacts, and to the 

home state/local media outlets representing roundtable participants

• 2012 Voting System Preparation (Nov. 17, 2011), a discussion on cost-effective procedures 

and best practices for conducting voting system preparation activities. Topics included 

ballot preparation, acceptance testing, and logic and accuracy testing.

• EAC Clearinghouse (March 20, 2012) roundtable to highlight and build on EAC’s role as a 

national clearinghouse and resource for election officials around the country. Participants 

shared ideas and strategies for improving the administration of elections in the U.S.

• Getting Ready for November (June 19, 2012), a discussion on what to expect and how to 

prepare for November and beyond. Participants shared ideas and strategies about voting 

system preparation, ballot preparation, voter education, polling places, voter turnout, 

provisional ballots and more.

• Veterans Voting This November (Sept 13, 2012), a roundtable where participants discussed 

election operations, procedures and accessibility best practices for improving access to 

voting for veterans with disabilities.
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Strategic Goal One FYs 2009 - 2012 Performance Measures

Performance Indicator

Type of 

Indicator Planned

FY 2009 

Actual

FY 2010 

Actual FY 2011 Actual FY 2012 Actual

Strategic Objectives

Operate the EAC Clearinghouse effectively.

Issue Clearinghouse policy within 6 

months [from March 2009]. Output Final policy

Final 

expected next 

FY

Final 

expected next 

FY 

In Final Draft 

(quorum required 

for approval) 

In Final Draft 

(quorum 

required for 

approval) 

Post applicable information on the 

website within 24 hours of receipt. 1/ Output

100% of data 

posted within 

24 hours

100% of data 

posted within 

24 hours

100% of data 

posted within 

24 hours

100% of data 

posted within 24 

hours

100% of data 

posted within 24 

hours

Distribute at least one email update per 

month to stakeholders about the webbased Clearinghouse. Output

12 updates 

distributed

51 newsletters; 6 

updates; 5 

Public 

Meeting 

reports

51 newsletters; 8

Public 

Meeting 

reports 

42 newsletters; 6 

updates

42 newsletters; 6

updates

Respond to outside requests about the EAC timely and accurately.

Issue policies and procedures to 

process requests from outside the 

agency by September 2009. Output

Final policies 

and 

procedures

Final 

expected next 

FY 

Final 

expected next 

FY 

In Final Draft 

(quorum required 

for approval) 

In Final Draft 

(quorum 

required for 

approval) 

Distribute media and Congressional 

inquiry and response log to EAC staff 

on a daily basis. Output

Distribute 

inquiry and 

response data 

on a daily 

basis

Inquiries 

distributed on 

receipt, logs 

sent daily

Inquiries 

distributed on 

receipt, logs 

sent daily

Inquiries 

distributed on 

receipt, logs sent 

daily

Inquiries 

distributed on 

receipt, logs sent 

daily

Respond to FOIA requests in 

accordance with requirements. Output 

Respond in 

20 business 

days

Median 

processing 

time 12 days; 

average 25 

days

Median 

processing 

time 16 days; 

average 14.8

days 

Response in 20 

business days

Response in 20 

business days

Respond to 75 percent of non-FOIA 

requests within 72 [business] hours. 

[Excludes requests with Congressional 

deadlines.] Output

75% response 

rate in 72 

hours

100% 

response rate 

in 72 hours

100% 

response rate 

in 72 hours

100% response 

rate in 72 hours

100% response 

rate in 72 hours

Convey the results of EAC operations and accomplishments.

Provide weekly updates about EAC 

activities and election administration 

issues to EAC employees. Output

52 

updates/100%

50 

updates/96%

52

updates/100% Monthly updates Monthly updates

Produce an annual FOIA report to 

chronicle requests and responses. Output

Final report 

by January 31 

of each FY

Final report 

on 1/31/09

Final report 

on 1/31/10

Final report on 

1/31/11

Final report on 

1/31/12

Issue quarterly press releases 

summarizing EAC activities. Output

4 press 

releases

26 press 

releases

25 press 

releases

28 press releases; 

launched EAC 

blog & Twitter 

accounts

1 press release; 

125 EAC blog 

posts & Twitter 

communications 

in place of press 

releases
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Provide regular briefings regarding 

EAC activities to Congressional 

staffers. Output

2 formal 

briefings

2 formal 

briefings; 

inquiries 

completed & 

chronicled

4 formal 

briefings; 

inquiries 

completed & 

chronicled

2 formal 

briefings; 

inquiries 

completed & 

chronicled

2 formal 

briefings; 

inquiries 

completed & 

chronicled

Produce the annual report of EAC 

activities to Congress by January 31 of 

each year for the preceding year ending 

September 30. Output

Report disseminated by 

1/31 each FY

Report 

disseminated 

1/31/09

Report 

disseminated 

1/31/10

Report 

disseminated 

1/31/11

Report 

disseminated 

1/31/12

Issue at least 12 EAC newsletters per 

year. Output

12 

newsletters 51 newsletters 54 newsletters 50 newsletters 42 newsletters

1/ Note: This is a change to the Strategic Plan, replacing “web-based Clearinghouse” with “website.” This excludes Commissioner 

approval of tally votes or voting system reports from States that are posted within 48 hours.

Goal Two – Fund and Oversee

Strategic Plan Goal 2: Deliver and manage Federal funds effectively.

Outcome: States and other recipients promptly and accurately receive Federal 

funds administered by EAC and use the funds appropriately to improve the 

administration of elections for Federal office.

Goal 2’s aim of delivering and managing Federal funds effectively is the responsibility of the 

Grants Management division and the Office of the Inspector General (OIG). The goal will be 

achieved via three strategic objectives described in the performance measure chart at the end of 

this section. 

The Grants Management division:

• Awards and monitors discretionary grants programs including: Help America Vote College 

Program, Help America Vote Mock Election Program, Military Heroes Initiative, Voting 

Systems Pre-Election Logic and Accuracy Testing and Post-Election Audit Initiative, and 

Accessible Voting Technology Initiative; 

• Provides technical assistance to States on administering Federal funds;

FY 2012 Grants Management Division and 

Office of the Inspector General Enacted Budgets

Grants Management $ 415,776

OIG 1,250,000

Indirect Costs 1,308,898

Total, Fund and Oversee $2,974,674
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• Processes and disburses payments to States and discretionary grant recipients;

• Conducts trainings on the administration and use of HAVA funds; 

• Tracks the submission of and reviews the content of financial and performance reports 

submitted by States and discretionary grant recipients;

• Reviews audit reports and resolves findings applicable to EAC programs;

• Reviews amended State Plans; and 

• Drafts advisory opinions for Commission approval and issuance. 

Goal 2 FY 2012 Accomplishments

Section 251 Requirements Payments 

Section 251 funds were included in the Election Reform Programs no-year appropriation. 

Congress appropriated $115 million in FY 2008, $100 million in FY 2009 and $70 million in FY 

2010. In FY 2012, EAC disbursed $575,000 from the FY 2008 appropriation, $500,000 from the 

FY 2009 appropriation and $2,464,199 from the FY 2010 appropriation. EAC also paid $435,808 

from funds made available in FY 2011 that were previously undistributed requirements payments 

or returned Section 102 funds. These funds were requested by the States by September 30, 2012. 

The funds are distributed according to a formula based on the voting age population of the State 

per the last Census and the total voting age population of all States. In order to draw the funds, the 

States certify that they are in compliance with applicable laws and requirements per HAVA 

Section 253. 

A State may use requirements payments to carry out activities to improve the administration of 

elections for Federal office outside of the activities listed under HAVA Title III if the State per 

Section 251 certifies that the State has implemented the requirements of Title III, or the amount it 

will spend on other activities will not exceed an amount equal to the minimum payment amount 

applicable to the State under section 252. Title III includes voting system standards, voting 

information requirements, provisional voting, statewide voter registration lists, and identification 

requirements for voters who register by mail. States may also use requirements payments to 

improve the administration of Federal elections. 

College Poll Worker Grants

To date, EAC has awarded 89 grants totaling $3.1 million to recruit and train college poll workers 

since the College Program was established in 2004. In FY 2012, EAC closed the College Poll 

Worker grants awarded in FY2009. EAC continued to monitor and work with the 2010 College 

Poll Worker grantees to help them carry out successful programs. The grants are three-year 

awards. 
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Mock Election Grants

Mock Election Program grants are authorized under HAVA Section 295. To date, EAC has 

awarded grants totaling $998,820 to organizations under this program since the Mock Election 

program was established in 2004. The grants allow students to become familiar with voting 

processes and technologies so that when they become eligible to vote they will be more 

comfortable with their civic duties. In FY 2012, EAC closed the Mock Election grants awarded in 

FY 2009. EAC continued to monitor and work with the 2010 Mock Election Program grantees to 

help them carry out successful programs. The 2010 grants are three-year awards. 

Voting System Pre-Election Logic and Accuracy Testing & Post-Election Audit Grants

The purpose of the Voting System Pre-Election Logic and Accuracy Testing & Post-Election 

Audit Initiative is to develop and document processes and best practices for coordinating quality 

and cost-effective: 1) voting system pre-election logic and accuracy testing (L&A), and 2) postelection audits. Outcomes will include tool kits, guides, best practices, research findings and 

recommendations that could be disseminated widely within the election community. In FY 2011, 

EAC awarded $1,463,074 to 12 award recipients. EAC did not award the remaining $1,536,926 

on no-year funded L&A grants in FY 2012 pending a quorum of the commissioners to approve the 

Notice of Funding Availability.

Accessible Voting Technology Grants

The Accessible Voting Technology Initiative supports research and development activities to 

increase the accessibility of new, existing, and emerging technological solutions in areas such as 

assistive technologies, interoperability, and the design of voting systems. Funding supports 

research for: 1) promising technologies and practices; 2) technology testing and adoption; and 3) 

development of administrative processes and training improvements to increase accessibility of 

existing voting procedures and election systems. In FY 2012, the projects focused on making preelection information accessible to voters and using the Prime III system in the field for elections. 
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Strategic Goal Two: Fund and Oversee FYs 2009 - 2012 Performance Measures

Performance Indicator

Type of 

Indicator Planned

FY 2009 

Actual

FY 2010 

Actual

FY 2011 

Actual

FY 2012 

Actual

Strategic Objectives

Accurately and timely disburse Federal financial assistance administered by EAC.

Publish program handbook in FY 2009 Output

Final 

handbook

Completed 

9/30/2009

Award grants within established timeframes. Output 100% 100% 

100% of 

Requirements 

Payments 

(RPs) & 1year 

grants, 33% of 

no year 

discretionary 

grants

100% of RPs 

& no year 

discretionary 

grants 

(Disability 

and 1st round 

L&A grants) 100% of RPs 

Submit State plans for publication in the 

Federal Register within 30 days of receipt of 

the plan. Output 100% 100% 100% 100% 100%

Submit payment requests to GSA/BPD within 

10 days of receipt of acceptable requests/

certifications. Output 100% 98% 100% 100% 100%*

Effectively monitor Federal financial assistance administered by EAC.

Review financial and performance reports and notify 

recipients of reporting anomalies or failures to file 

within 30 days of knowledge of such conditions, in 

writing in all cases, and by telephone as time permits, 

to offer assistance and answer questions. Output

State reports due 

12/31/09 Met goal

Met goal by 

deadline

Met goal by 

deadline

Met goal by 

deadline

Resolve 100 percent of audit findings within 

established time frames. Output

100% audit 

resolution

TBD% 

resolution

50% audit 

resolution; no 

overdue mgt. 

decisions as of 

9/30/2010

No overdue 

management 

decisions as of 

9/30/2011

No overdue 

management 

decisions as of 

9/30/2012

Conduct site visits to at least three high priority 

grantees each year. Output 3 site visits

1 site visit 

during Strategic 

Plan period 3 site visits 2 site visits

No site visits 

in 2012

Negotiate indirect cost rates within 30 days of receipt 

of acceptable indirect cost proposals. Output 30 days

Negotiations on 

hold pending 

MOU w/HHS

Signed MOU 

w/HHS July 

2010 for 

negotiation 

services

Requests 

submitted to 

HHS upon 

receipt

Requests 

submitted to 

HHS upon 

receipt

Issue the annual report to Congress on the expenditure 

of HAVA funds by July 15 of each year [with the 

Annual Performance Report]. 1/ Output

Report issued 

7/15/09

Format revised, 

attached to 

Cong'l Budget 

Justification 

(CBJ) as 

Appendix C

Report issued 

with 

CBJ/Annual 

Performance 

Report 

Appendix C

No final report 

issued due to 

staff 

transitions

Report will be 

issued by 

4/30/13

Provide technical assistance and guidance on the management of Federal financial assistance administered by EAC to reduce the risk of

inappropriate use of funds and accounting errors.

Submit to the Commissioners all recommended policy 

and guidance concerning the administration of 

Federal financial assistance administered by EAC 

within established time frames. Output 100%

Count will 

begin in FY 

2010

50% of advisory 

opinions (AOs)

Submitted 

one AO 

before 

quorum was 

lost

Submitted 

one AO 

before 

quorum was 

lost
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*With exception of the conversion period from GSA to BPD

1/ Represents a change to the Strategic Plan, from June 30 of each year to with the Annual Performance Report in FYs 09 and 10.

Goal Three – Study, Guide and Assist

Strategic Plan Goal 3: Identify and develop information on areas of pressing concern 

regarding the administration of elections for Federal office and issue recommended 

improvements, guidance, translations, and best practices as required by HAVA, and carry

out responsibilities under the National Voter Registration Act.

Outcome: As a result of this goal: 1) the election community and other key 

stakeholders improve the administration of elections for Federal office on the 

bases of pertinent, impartial, timely, and high-quality information, 

recommendations, guides and other tools on election and voting issues and 2) 

eligible citizens use the mail voter registration application to register to vote, 

register with a political party, or report a change of name, address, or other 

information.

Goal 3 is administered by the Research, Policy and Programs division. Goal 3 consists of four 

strategic objectives: 1) complete research on issues that improve the administration of elections 

for Federal office and expeditiously report on those subjects and election data as deemed relevant 

by the Commission; 2) identify and collect required and useful data on election administration 

practices and on voting methods and demographics, and make recommendations for improving the 

quality of practices, methods, and data; 3) issue guides, translations and other tools that are timely 

and useful; and 4) update and maintain a national mail voter registration application and submit a 

report on the impact of the NVRA to the Congress as required by the NVRA.

The Research, Policy and Programs division administers: 

 Offer at least one workshop per year. Output 1 workshop 2 webinars 3 presentations

1 webinar, 2 

presentations 1 presentation

Respond to all inquiries by recipients about the use 

and administration of funds in accordance with EAC 

requirements in a timely manner. Output

24 hour turnaround for 

phone & email 

response time 

To be measured 

beginning in 

FY 2010

24 hour turnaround for phone 

& email response 

time 90%

24 hour turnaround for 

phone & 

email 

response 

time 90%

24 hour turnaround for 

phone & email 

response time 

90%

FY 2012

Study, Guide, and Assist

Enacted Budget

Direct Costs $1,029,975

Indirect Costs 1,047,119

Total, Study, Guide, Assist $2,077,094
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1) The Election Management Guidelines and quick start guides, which provide information to 

State and local election officials and voters on various topics, such as technology in elections; 

voter accessibility; election office administration; pre-election activities including ballot 

preparation and design; voting system security; contingency planning; voting system 

certification; voting system acceptance testing; and parallel testing. The materials promote a 

proactive approach to election management;

2) Election research on mandated topics as described in HAVA;

3) The biennial Election Administration and Voting Survey, which includes mandatory reports to 

Congress on the impact of the National Voter Registration Act (NVRA) on the Administration 

of Elections for Federal office and the Uniformed and Overseas Citizens Absentee Voting Act 

(UOCAVA); 

4) The Language Accessibility Program, which provides informational materials on the Federal 

election process and election terminology in languages other than English; 

5) Responsibilities under the National Voter Registration Act regarding the national mail voter 

registration form; and

6) Provisions of HAVA requiring voluntary guidance to the State on provisional voting and 

statewide voter registration databases.

Goal 3 FY 2012 Accomplishments

• Release of the results of the 2010 Election Administration and Voting Survey to Congress 

and the general public. This included a data overview and summary, along with a 

Frequently Asked Questions survey.

• Completed final draft of a study on the use of Social Security numbers for the purpose of 

voter registration.

• Completed final draft of a study on Vote Recounts and Contests describing laws and 

procedures in each state. 

• Completed statement of work and awarded a contract to perform research on administering 

elections in urban and rural areas. 

• Initiated the 2012 Election Administration and Voting Survey (EAVS).

• Conducted research on new jurisdictions and languages covered by Section 203 of the 

Voting Rights Act as determined by the 2010 census and considered its application to 

various minority language election resources.

• In accordance with HAVA, EAC has responsibility to implement portions of the National 

Voter Registration Act of 1993 (NVRA) that relate to the form and content of the national 

mail voter registration form and include submitting a biennial report to Congress on the 

impact of the NVRA. During FY 2012: staff received and processed State requests for 

modifications to the state-specific instructions on the National Mail Voter Registration 

Form from Delaware, Florida, Illinois, Maine, Louisiana, Virginia and Washington State; 
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made a series of minor technical corrections to the NVRA form so that it was 508 

Complaint in English and easy to complete (fillable) when downloaded from EAC’s 

website; and developed an interim procedure for processing state requests to modify their 

state-specific instructions on the national mail voter registration form. The procedure was 

approved by both the General Counsel and the Executive Director. The interim procedure 

will be used by Staff to process such requests until a quorum is established on the 

Commission.

• EAC program staff conducted a number of presentations and distributed material 

highlighting its educational resources at conferences and workshops around the country. 

For example, presentations in Washington, DC, San Diego and Boston highlighted key best 

practices and tips gathered from EAC research on topics such as poll worker recruitment 

and training, designing ballots, making contingency plans, ensuring voting accessibility and 

communicating with the public.

• In recognition of September as Voter Registration month, EAC staff developed a guide 

“Voting Tips To Enhance Your Voting Experience”. In an effort to enhance the November 

voting experience, EAC distributed 30,000 of these voter’s guides to each of the 55 State 

election offices. 

• Program staff assisted in planning and executing a June roundtable discussion on EAC’s 

clearinghouse of educational resource materials and was a regular contributor to EAC blog 

posts that offered helpful tips and best practices on effective election administration 

procedures.

Throughout the year and, on a continual basis, RPP division staff respond to requests from state 

and local election officials, Congress, the media and the public-at large for a range of materials 

including: 

• Voter’s Guides to Elections; 

• Glossaries of Election Terms in various foreign languages; 

• NVRA registration forms and accompanying state instructions for completing the form.

Staff also on a continuing basis:

• Clarified various data reported in the biennial EAC Election Administration and Voting 

Survey; 

• Provided assistance regarding the completion of the Federal NVRA form; 

• Responded to requests to clarify certain technical aspects of election procedures and 

processes, and; 

• Met with numerous foreign delegations in order to explain the American election process 

and the role of the EAC. 
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Strategic Goal Three: Study, Guide, and Assist FYs 2009 - 2012 Performance Measures

Performance Indicator

Type of 

Indicator Planned

FY 2009 

Actual

FY 2010 

Actual

FY 2011 

Actual

FY 2012 

Actual

Strategic Objectives

Complete research on relevant issues that improve the administration of elections for Federal office and expeditiously report on critical election administration 

subjects and data.

Start 100 percent of planned and funded projects each 

year. Output 100% 100% 100% 100% 100%

Meet milestones for the completion of research projects 

in accordance with schedules and deliverables each year. Output 100% 67% 100% 80% 90%

Disseminate all completed research project reports to 

stakeholders. Output 100% 100% 100% 100% 100%

Establish, in Fiscal Year 2010, a baseline for measuring 

stakeholder use of EAC research and educational 

products to improve the administration of elections for 

Federal office. In subsequent years, increase the 

percentage of stakeholder use of EAC research products. Output NA

Baseline 

50% 65% 65%

Identify and collect required and useful data on election administration practices, voting methods, and demographics; and make recommendations for improving 

the quality of practices, methods, and data.

Establish a baseline in Fiscal Year 2009 on the accuracy 

and completeness of data reported by States in response 

to EAC surveys. Increase the accuracy and completeness 

of reported data in each of the succeeding years. Output

Baseline 

93% EDS 

2004

100% 

response to 

EDS 2008 NA

97% response to 

EAVS 2010 NA

Include recommendations to improve election data 

collection and data provided to Congress in the biennial 

report on the Election Day Survey (EDS). Output

Report 

submitted 

June 2009 NA

Report submitted 

June 2011 NA

Issue required reports [UOCAVA, NVRA, Vote 

Count/Recount FY 2011, Urban/Rural late FY 2012] to 

Congress by statutory deadlines. Output

# varies by 

statute 2 1 2 1

Issue guidance and administer programs that provide timely and useful information to election officials and voters.

Complete the “Voters Guide to Federal Elections” in 

languages currently covered under the minority language 

provisions of the Voting Rights Act by 9/2009 Output

Complete 

translations

Completed 

10/2008

Complete guidance regarding HAVA Section 301 by 

January 2012. Output NA NA

Complete 

pending a 

quorum

Complete 

pending a 

quorum

Complete guidance regarding HAVA Section 302 by 

August 2010. Output NA 20% 35% 35%

Complete guidance regarding HAVA Section 303 by 

June 2011. Output NA NA

Complete 

pending a 

quorum

Complete 

pending a 

quorum

Translate the Voter’s Guide to Federal Elections in 

languages currently covered under the minority language 

provisions of the Voting Rights Act on the basis of the 

2010 Census. Output NA NA

Updated and 

completed 

additional 

translations

Updated and 

completed 

additional 

translations

Complete initial materials for addressing the needs of 

Native Americans and Alaska Natives by October 2010. Output NA

Planned for 

completion 

in FY 2012

Completed 

glossaries of 

election terms

Completed 

glossaries of 

election 

terms
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Complete interactive glossaries by March 2010. Output NA

Contracted 

for glossaries Completed Completed

Establish a baseline for measuring stakeholder use of 

EAC teaching materials by the end of Fiscal Year 2010. 

In subsequent years, increase the percentage of 

stakeholder use of EAC teaching materials. Output NA

Baseline 

50% TBD TBD

Enact regulations governing the national mail voter registration application, collection of voter registration and related data, and reporting to the Congress as 

required by NVRA.

Begin NVRA rulemaking process and adopt interim 

procedures by January 2010. Output NA

Completed 

comment process 

2/2011.

Complete 

pending quorum

Completed 

comment 

process 

2/2011.

Complete 

pending 

quorum

Complete NVRA rulemaking process and issue guidance 

by October 2012 and make new regulations effective 

immediately following the Federal general election of 

2012. Output NA

60% --

Completed 

comment 

analysis June 

2011

Issue final 

regulations and 

guidance pending 

a quorum

Issue final 

regulations 

and guidance 

pending a 

quorum

Issue the biennial report on the impact of NVRA by June 

30 of each odd-numbered year. Output

Completed 

on time 

6/30/09 NA

Completed on 

time 6/30/11 NA

Complete feasibility study of making the national mail 

voter registration application available in all languages 

covered by the Voting Rights Act by June 2010. Output NA

Analysis 

completed 

10/2009

Goal 4 – Test and Certify

Strategic Plan Goal 4: Build public confidence in elections by testing and certifying 

voting systems to improve system security, operation and accessibility.

Outcome: Voting equipment operates more reliably and securely and is more 

accessible to the disabled. States use the EAC testing and certification program to 

ensure voting systems meet standards.

Goal 4 is administered by the Voting System Testing and Certification (T&C) division. The goal 

consists of three strategic objectives: 1) develop and update the voluntary voting system 

guidelines (VVSG); 2) provide for the accreditation of independent laboratories qualified to test 

FY 2012

Test and Certify

Enacted Budget

Direct Costs $ 936,270

Indirect Costs 1,832,457

Total, Test & Certify $2,768,727
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voting systems to Federal standards, and for the revocation of accreditation as appropriate; and 3) 

administer the testing, certification, decertification, and recertification of voting system hardware 

and software by accredited laboratories.

Under HAVA, EAC is responsible for assisting States with improvements to voting systems 

through the distribution of Federal funds and by providing a voluntary Federal certification 

program. The Federal government’s first voluntary Voting System Testing and Certification 

Program for the States also provides transparency to the testing process including the publication 

of all test plans, test reports and related information as well as reports on anomalies in the found 

during use in an election.

Comprehensive procedures for the program are detailed in EAC’s Voting System Testing and 

Certification Program Manual. The program also:

• supports local election officials in the areas of acceptance testing and pre-election system 

verification for EAC-certified systems, 

• increases quality control in voting system manufacturing by means of periodic 

manufacturing facility audits of EAC-registered manufacturers, and

• provides procedures to manufacturers for the testing and certification of voting systems to 

specified Federal standards as required by HAVA Section 231(a)(1).

In addition to its certification duties, the unit works in a cooperative and coordinated manner with 

the National Institute of Standards and Technology (NIST) to evaluate and accredit voting system 

test laboratories (VSTLs). As a condition of accreditation, all VSTLs must hold a valid 

accreditation from NIST’s National Voluntary Laboratory Accreditation Program (NVLAP). 

NVLAP accreditation is the primary means by which EAC helps ensure that each VSTL meets and 

continues to meet the technical requirements of EAC’s program. NVLAP uses international 

standards (ISO 17025) to review each VSTL’s technical, physical and personnel resources, as well 

as its testing, management, and quality assurance policies and protocols. EAC monitors VSTLs 

through a comprehensive compliance management program. Further, EAC performs on-site 

reviews to ensure that VSTLs meet all program requirements. 

In addition to voting system certification and laboratory accreditation, EAC along with its 

Standards Board, Board of Advisors, and Technical Guidelines Development Committee (TGDC) 

(chaired by the director of NIST and comprised of 14 other members) work together to update and 

implement voluntary testing guidelines for voting systems. Efforts continue into research and 

development of alternative guidelines for the next iteration VVSG document. These areas include 

Software Independence and related alternatives; Common Data Format; improving voting system 

accessibility; EPollBooks; and Penetration Testing.
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Goal 4 FY 2012 Accomplishments 

In FY 2012 in the area of voting system certification, EAC:

• Certified four voting systems;

• Drafted and published six Requests for Interpretation (RFIs) to VVSG;

• Drafted and published two Notices of Clarification to Testing & Certification Program 

Manuals;

• Published a Final Formal Investigation Report on a voting system; 

• Developed and implemented major updates to the EAC’s Virtual Review Tool (VRT). 

EAC is currently rolling out the addition of the Engineering Change Order (ECO) Database 

to the VRT tool to track engineering change orders for all EAC certified voting systems;

• Published the Certification Timeline for ES&S Unity 3.4.0.0 voting system;

• Conducted a Unisyn Manufacturer Facility audit of the manufacturing process;

• Observed the installation and acceptance testing of a voting system in Cuyahoga, Ohio; and 

• Observed the acceptance testing of a voting system in Arlington, Virginia.

There are currently four voting systems in active test campaigns.

In the area of Voluntary Voting System Guidelines (VVSG) and Test Suites, in FY 2012, EAC

received a new revised version of VVSG 1.1 from NIST. EAC incorporated NIST comments and 

new RFI’s into VVSG 1.1. EAC posted the second draft version of VVSG 1.1 for a 90 day Public 

Comment period beginning September 6, 2012. Subsequent comments regarding the comment 

period coinciding with the General election persuaded EAC to revise the Public Comment period 

to 130 days.

Regarding laboratory accreditation in FY 2012, EAC performed a laboratory re-accreditation 

audit; an EAC and NVLAP initial laboratory audit; and a lab re-accreditation audit. 

Further, in FY 2012, EAC attended meetings with NASED; Election Center; EVN, technical 

reviewers; manufacturers; Pennsylvania State Election Officials; the Technical Guidelines 

Development Committee (TGDC); NIST;, a voting system manufacturer for the kick-off overview 

meeting on a new system in Omaha, Nebraska; with election officials in Indianapolis, Indiana on 

State Certification; and USENIX on voting technology.

Finally, EAC published the Survey of Internet Voting (SIVAR) document on the EAC web site.
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Strategic Goal Four: Test and Certify FYs 2009-2012 Performance Measures

Performance Indicator

Type of 

Indicator Planned

FY 2009 

Actual

FY 2010 

Actual

FY 2011 

Actual

FY 2012

Actual 

Strategic Objectives

Develop and update the VVSG.

Produce updates to the VVSG in Fiscal 

Years 2010 and 2013. Output

Revised; 

Commissioners 

need to adopt

VVSG 

updated 1/

Public 

Comment for 

VVSG 1.1 

(Need 

Commissioners 

to adopt)

Provide for the accreditation and revocation of accreditation of independent, non-Federal laboratories qualified to test voting systems to Federal 

standards.

Complete accreditation reviews for all 

laboratories recommended to EAC by 

NIST and for all emergency actions 

within 90 days. Output

100% 

complete in 90 

days

66% complete 

in 90 days

66% complete 

in 90 days

75% complete 

in 90 days

50% (1 of 2) 

complete in 90 

days

Test and document the results of the 

review of compliance with procedures 

by 100 percent of accredited 

laboratories every 2 years. Output 100% 100% 100% 100% 100%

Administer the testing, certification, decertification, and recertification of voting system hardware and software by accredited laboratories.

Conduct at least one review of a 

manufacturing facility of a registered 

manufacturer at least once every 4 

years. Output 2 reviews

N/A No 

manufacturing 

of new voting 

systems in 2012

Plan to conduct field reviews for at 

least 50 percent of jurisdictions that 

volunteer for reviews. Output

Reviewed 50% 

of jurisdictions

Reviewed 

100% of 

jurisdictions 

requesting 

reviews

Reviewed 

100% of 

jurisdictions 

requesting 

reviews

Respond to requests for interpretations 

of voting system standards within 45 

days (measures may be modified after 

EAC determines average number of 

requests). Output 45 days

52.4 days 

(40% on 

target) 52.4 days 48 days

53.5 days (75% 

in 30 days or 

less.)

1/ Currently referred to as VVSG Version 1.1.

Note: does not include the measure, “Test 100% of systems qualifying for testing each year.” The content of the measure will be clarified with 

Commissioners after a quorum is established.

Goal 5 Manage

Strategic Plan Goal 5 consists of one clear-cut objective: Implement a high performance 

organization.

Goal 5 is administered by the Commissioners, the Standards Board, the Board of Advisors, the 

Technical Guidelines Development Committee, Executive Director, Chief Operating Officer and 

Chief Financial Officer with support from the Offices of the General Counsel and Administration.
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EAC reports to Congress and the Inspector General on the status of 82 OIG audit 

recommendations made as of March 2008. To date, only two of the 82 recommendations remain 

open. Two of the open recommendations require a quorum of the Commission for final resolution. 

Regarding annual performance measures, the agency was successful in improving the most recent 

staff satisfaction ratings on the 2011 annual employee survey. Agency directors responsible for 

implementation of the EAC Strategic Plan goals report on their division metrics in the Agency 

Financial Report in November, the Annual Performance Report along with the Congressional 

Budget Justification in February, and on planned metrics in the OMB Budget Justification each 

September. 

For FYs 2009 through 2011, EAC received unqualified audited financial statement opinions. From 

April 2009 through late September 2011, EAC had a full-time staff accountant. However, the 

auditors were unable to opine on the FY 2012 financial statements. This was due primarily to 

transfer of financial services from one federal agency to another late in the fiscal year and running 

out of time to complete the conversion before end-of-year financial statements were due. Had the 

transfer of data between the providers been timely, the internal controls used by the providers been 

compatible, and the new provider not been upgrading its financial system for other clients, we 

believe that the audit opinion for FY 2012 would have been unqualified. 

During FY 2012, EAC was in a position where we had to take the risk of changing financial 

services to another federal agency as a condition for obtaining procurement services via 

memorandum of understanding with another federal agency. EAC’s former procurement services 

provider was no longer able to provide support due to staffing constraints, and no other agency 

contacted was able to provide established procurement services for the same reason. The decisions 

to outsource procurement services and not hire a full-time staff accountant were made: 1) to 

increase efficiency by tapping into administrative services provided by other agencies; 2) in 

response to long-standing criticism that EAC has too many administrative staff at the expense of 

program staff; and 3) to potential elimination or dismantling of the agency and proposed large cuts 

to the agency’s operations budget. 

Efficiency increased with automation of travel, procurement and purchase card systems for the 

first time, but it became apparent that even though EAC is a micro-agency, a full-time staff 

accountant with knowledge of agency programs and operations is critical to our success. EAC

Key Performance Measures

o Implement 90 percent of the OIG audit 

recommendations within agreed upon timeframes.

o Meet annual performance measures.
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hired a full-time staff accountant with a CPA and extensive federal accounting experience in FY 

2013. An action plan to address audit findings and restore our previous level of agency controls 

has been developed. The action plan includes detailed procedures and training related to advances, 

accruals, and accounts receivable; and a review of accounting treatment for FY 2012 financial 

entries. It is expected that issues described in the auditors’ report will be resolved quickly. 

EAC financial staff complete assessable unit risk assessment questionnaires and individual letters 

of assurance, and the Chief Operating Officer and Acting Executive Director provides a letter of 

assurance. The letters of assurance are rolled into the CFO’s Annual Statement of Assurance. 

EAC will continue to focus on resolution of issues identified in audits, setting up sound systems 

and policies and procedures, maximizing use of staff and financial resources, and training EAC 

staff on financial management processes and their responsibilities.

Performance Data Collection and Validation

Managing for results and producing an Annual Performance Plan requires valid, reliable and highquality performance measures and data. EAC is committed to the continuous improvement of its 

performance and financial management data. To this end, EAC verifies mandatory source 

documentation, and documentation of calculation methodology for performance indicators to 

provide reasonable assurance that the reported programmatic performance data is relevant and 

reliable. 

Strategic Goal Five Manage FYs 2009 - 2012 Performance Measures

Performance Indicator

Type of 

Indicator Planned

FY 2009 

Actual

FY 2010 

Actual

FY 2011 

Actual

FY 2012 

Actual

Strategic Objective

Implement a high performance organization

Obtain a clean opinion on agency 

financial statements by FY 2010 Outcome

Unqualified 

opinion 

received 

Unqualified 

opinion 

received

Unqualified 

opinion 

received

Disclaimer 

opinion 

received

Institute an internal integrated budget 

and financial management system in 

FY 2010

Established 

CFO 

department 

2/2010 NA NA NA

Implement 90 percent of the OIG audit 

recommendations within agreed upon 

timeframes. Outcome 90%

77% of 

outstanding 

operational 

recs. were 

resolved

100% of FY 

2010 

operational 

recs. 

implemented on 

time; 97.6% of 

operational 

audit recs. made 

prior to FY 

2010 resolved 

(2 of 82 

outstanding)

No overdue 

grants 

managemen

t decisions 

as of 

9/30/2012; 

2 of 82 

operational 

audit recs 

outstanding

No overdue 

grants 

management 

decisions as 

of 9/30/2012; 

2 of 82 

operational 

audit recs 

outstanding
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