APPENDIX A 

THE U.S. ELECTION ASSISTANCE COMMISSION 

FISCAL YEAR 2010 

INTERIM ANNUAL PERFORMANCE REPORT 

February 14, 2011
 U. S. Election Assistance Commission 

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Overview 

In November 2010, the U.S. Election Assistance Commission (EAC) presented an FY 2010 

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. This is the 

third year EAC has undergone a financial statement audit pursuant to the Accountability of Tax 

Dollar Act of 2002, and the second year EAC is participating in the pilot performance reporting 

project, as described in OMB Circular A-136 on Financial Reporting Requirements, in place of 

the Performance and Accountability Report. EAC presented summarized performance data in 

the AFR, and provides as much detailed data as possible in the following Annual Performance 

Report for FY 2010 in conjunction with the FY 2012 Congressional Justification. 

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

high-quality performance measures and data. EAC is committed to the continuous improvement 

of its performance and financial management data. To this end, EAC is working on 

recommendations for a data validation system, mandatory source documentation, and 

documentation of calculation methodology for estimates. Performance indicators are supported 

by documentation. An independent reviewer evaluated EAC business processes related to 

implementation of the four programmatic goals in the Strategic Plan. The reviewer made 

recommendations on procedures EAC can implement to provide reasonable assurance that the 

reported performance data is relevant and reliable. Plans are for the recommendations to be 

implemented in FY 2011. 

In the program areas during FY 2010, EAC made a great deal of 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

• Launched a new website with powerful search and improved navigation tools. 

• Posted videos on its website and YouTube on Contingency Planning, Polling Place 

Management, the EAC Voluntary Voting System Testing and Certification Program, and 

Making Polling Places Accessible. 

Grants Management

• Awarded eight Mock Election grants that in conjunction with the current active grant 

portfolio that will help educate approximately 250,000 students about the electoral 

process; awarded 15 Help America Vote College Program grants to recruit students to 

serve as poll workers; and awarded a $500,000 Military Heroes grant to improve voting 

accessibility for injured military personnel. 

• In coordination with the Testing and Certification division, conducted a roundtable 

discussion on research, development and implementation of technologies and other 

assistance to make voting more accessible to individuals with disabilities. 

• Commissioners adopted Maintenance of Effort Policy to facilitate State compliance with 

the maintenance of expenditure requirement in HAVA.
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Research, Policy and Programs

• Issued Election Management Guideline chapters and Quick Start Guides on Technology 

in Elections, Elections Office Administration, Accessibility, Building Community 

Partnerships, Canvassing and Certifying an Election, Communicating with the Public, 

Conducting a Recount, and Provisional Ballots. 

• Released the mandated report on Free Postage for the Return of Voted Absentee Ballots. 

• Conducted a working group on Administering Elections in Rural and Urban Areas. 

• Initiated the public comment process on proposed changes to incorporate HAVA 

requirements into the National Voter Registration Act regulations (NVRA). 

• Translated the National Mail Voter Registration Form into five Asian languages. 

• Expanded the translated versions of the Voter’s Guide to Federal Elections to include 

four Native American languages. 

• Partnered with the Office of Citizenship within U.S. Citizenship and Immigration 

Services to make the Voter’s Guide available to new citizens in the U.S. naturalization 

ceremony packet. 

Voting Systems Testing and Certification

• Certified a fourth voting system in eight months at a cost of less than $1 million to the 

test laboratory. 

• Issued a report to Congress on progress in establishing guidelines for remote electronic 

voting systems for absentee voters pursuant to the Military and Overseas Voters 

Empowerment (MOVE) Act. 

• Held a joint workshop with the Federal Voting Assistance Program (FVAP) and National 

Institute of Standards and Technology (NIST) on Uniformed and Overseas Citizens 

Absentee Voting Act (UOCAVA) remote electronic absentee voting systems; and jointly 

completed a UOCAVA Pilot Program Testable Requirements document. 

• Completed a revision of the 2005 Voluntary Voting System Guidelines (VVSG) Version 

1.1 addressing comments received during the public comment period ending September 

28, 2009. The draft revised version and policy decisions were presented to EAC’s 

Commissioners and discussed at a public meeting in September 2010. 

 
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Funding 

Status of Help America Vote Act Authorization versus Appropriations 

(in whole dollars) 

 Authorized 

Appropriated 

FYs 2003-2010 Remaining 

GSA (FY 2003) 

Election Administration Improvement (Section 101) $324,750,000 $324,750,000 

Punch Card/Lever Machine Replacement (Section 102) 

 

324,750,000 

 

324,750,000 

Administrative Expenses for 101 and 102 

 

500,000 

 

500,000 

EAC (FY 2003 – 2010) 

Requirements Payments (Section 251) 

 

3,000,000,000 ** 

 

2,606,150,000 

 

393,850,000 

Voting Technology Improvement Research Grants (Section 

271) 

 

20,000,000 

 

8,000,000 

 

12,000,000 

Equipment and Technology Testing Pilot Program (Section 

281) 

 

10,000,000 

 

10,000,000 

Pre-Election Logic and Accuracy Testing & Post-Election 

Verification 

 

3,000,000 1,4

 

3,000,000 

 

- 

Operations (Section 210) 

 

100,331,108 2

 

100,331,108 

 

- 

Election Data Collection Grants 

 

10,000,000 3

 

10,000,000 

 

- 

National Student and Parent Mock Election Organization 

(Section 295) 200,000 ** 200,000 

Poll Worker Grants (Section 501) 

 

5,000,000 ** 

 

1,500,000 3,500,000 

Help America Vote Foundation (Section 601) 

 

5,000,000 ** 

 

1,500,000 

 

3,500,000 

Total $3,803,531,108 $3,380,481,108 $423,050,000 

1/ Authorized by P.L. 111-8 

2/ $30 million per HAVA, balance per appropriations. Includes $2.55 million Poll Worker grants and $800,000 Mock Election Grants 

3/ Authorized by P.L. 110-161 

4/ Authorized by appropriations 

**Plus such sums as may be necessary in succeeding years 

Note: excludes $140 million plus such sums authorized for HHS under Disability Access Section 261 and Participation Section 291, 

and $15 million appropriated to GSA in FY 2003 for Title I.

 
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Enacted Appropriations by Fiscal Year 

(dollars in thousands) 

 2003 2004 2005 2006 2007 2008 2009 2010 Total 

EAC (FY 2003–2010) 

 

 

 EAC Salaries & Expenses 

 Operations $2,000 $1,674 1 $11,110 $10,986 $11,313 $12,330 $12,909 $13,409 $75,731 

 

 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 21,250 

 

 Election Reform Grants 

 

 

 

 Requirements Payments 

 

830,000 

 

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 835,000 1,492,824 13,888 14,058 16,263 141,530 123,959 92,959 2,730,481 

GSA (FY 2003) 

 

 

 

 Section 101 and 102 649,500 

 

 649,500 

 

 Administrative Expenses 500 

 

 500 

 TOTAL GSA 650,000 650,000 

TOTAL EAC & GSA 

 $3,380,481 

 

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

2/ Carried forward to FY 2005 

EAC received $70 million in FY 2010 appropriations for Requirements Payments of which $29.7 

million were disbursed as of September 30, 2010. In FY 2010, the States reported having spent 

$33.6 million of the HAVA Section 102 funds. EAC has approximately $11.8 million remaining 

available until expended, for research on voting technology improvement grants, pre-election 

logic and accuracy testing and post-election voting systems verification grants, and carryover 

Requirements Payments funds that will be disbursed along with the next appropriation of 

requirements payments monies. 

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 the programs such as assigned personnel costs and specific program contract costs are 

allocated to the respective program directly. The Fund and Oversee program reports the 

expenditures for the Requirements Payments and the other EAC grants. In years in which EAC 

receives significant appropriation for HAVA Election Reform Program funds, this program 

typically exceeds the other programs in overall costs. Other general agency overhead costs such 
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as rent, human resources and financial management are allocated on either a per employee basis 

or a percent of overall costs method. This 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. 

The following table presents FY 2010 expenditures of direct and indirect costs by the four 

programs: 

 Results of FY 2010 Operations by Program 

Program Expenditures 

Communications $ 1,797,916 

Fund and Oversee 122,834,439 

Research, Policy and Programs 2,845,652 

Testing and Certification 3,531,576 

$131,009,583 

Performance Goals 

Recognizing the need to formalize its planning, reporting and execution activities, EAC began 

development of its first five year Strategic Plan 2009-2014 in March 2008. The plan was 

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

and Standards Board for comment, as required by HAVA. EAC adopted the Plan in March 

2009. 

EAC has five strategic goals: 

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 listed below describe in general terms the results needed to 

accomplish its 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. 
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Strategic Goal One -- Communicate

Strategic Plan Goal 1 is to communicate timely and accurate information on the effective 

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

The outcome for the goal is to provide Congress, Federal agencies, State and local election 

officials and the public with reliable, accurate, and non-partisan information about administering, 

conducting and participating in Federal elections and how, where, and when Americans vote. 

FY 2010 Communications 

Division 

Enacted Budget 

$848,752 

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

Office of Communications and Clearinghouse. The goal will be achieved via three strategic 

objectives. The results of the measures associated with the objectives appear in the next table of 

this report. 

The Communications and Clearinghouse division is primarily responsible for external 

communications, as well as the tools used to provide information to the public. Areas of 

responsibility include: 

• EAC Web site and Clearinghouse 

• Media inquires 

• External communications 

• Congressional relations 

• The Freedom of Information Act 

• National Archives and Records Act 

• Editorial support: press releases, speeches, Congressional testimony 

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

thousands of documents with information about voting system test plans, agency 

correspondence, testimony from EAC monthly public meetings and hearings, and external and 

internal communications such as press releases, informational videotapes, research, data and 

program-related information. EAC’s 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 2010 Accomplishments

In 2010, the Communications and Clearinghouse division unveiled a new website enabling EAC 

to receive more public input and feedback, increase transparency, and add more information 

about EAC programs and operations. The new website features leading-edge search, navigation 
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and content-delivery tools that transform the site into a more modern, dynamic and transparent 

source of information for the public and election officials. The new tools enhance users’ ability 

to find information more efficiently through a powerful search device that provides more 

qualified, relevant data as well as options for sorting and filtering results. Site searches are also

enhanced by the new streamlined mouse-over navigation bar, which allows users to scan the 

contents of the site before selecting. 

EAC’s most commonly requested materials, such as the National Mail Voter Registration Form, 

Voter’s Guides, Election Management Guidelines, and biennial National Voter Registration Act 

reports are easily accessed on the website. The new Election Resource Library now holds all of 

these materials for easy searching, sorting and browsing. 

The site also provides several mechanisms through which the public can provide direct feedback 

to EAC on agency activities and operations. For instance, the public can rate and comment on 

nearly 200 EAC reports, policies, manuals and Election Management Guidelines in the Election 

Resource Library. 

The new website played a major role in the efforts to deliver information to voters to help them 

have a successful experience leading up to Election Day during the 2010 Federal election year. 

The Resources for Voters section provides information on poll worker requirements, registration 

information, provisional voting requirements, and other election administration information such 

as early voting deadlines. 

In FY 2010, EAC contracted for new educational videos that will provide further information to 

the public about the EAC. The Communications division is currently producing four of these 

videos to inform the public about key election administration procedures. Topics include 

information for student voters, pre-election and post-election activities, about the EAC, and 

registering to vote. 

Communications staff completed a draft Open Government Policy (which is now finalized) in 

accordance with Federal requirements and created the companion www.eac.gov/open site to 

notify the public about EAC’s open government initiatives. In addition, EAC’s new Public 

Comment section at www.eac.gov makes it easier for the public to keep track of draft EAC 

policies on which the agency is seeking public input. The public may also submit general 

comments at www.eac.gov/contact. 

Also in FY 2010, Communications staff proposed a National Clearinghouse for Elections as the 

central location for information about elections pursuant to HAVA Section 202 on duties of the 

Commission and EAC operations and initiatives. The proposal included a recommendation for 

an initial pilot program to be reviewed in FY 2011. EAC’s website has the capability to support 

the National Clearinghouse for Elections. 

To further educate the public about EAC’s Voting System Testing and Certification Program, 

Communications staff developed, built and populated a map categorizing States based on state 

laws regarding voting system certifications, as well as the location of EAC-certified systems. 

Users can locate the historical records about the voting system, including System Advisory 
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Alerts, draft and final test plans, correspondence and basic information about the voting system 

manufacturer. 

Strategic Goal One FY 2010 Performance Measures 

Performance Indicator 

Type of 

Indicator Planned Actual 

Strategic Goal One: Communicate 

Strategic Objectives

Operate the EAC clearinghouse effectively. 

 

Issue clearinghouse policy within 6 months 

[from March 2009]. Output Final policy 

Final expected in FY 

2011 

 

Post applicable information on the web-based 

clearinghouse within 24 hours of receipt. Output 

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 web-based clearinghouse. Output 

12 updates 

distributed 

51 newsletters; 8 

public meeting 

reports 

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 in FY 

2011 

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 

Distributed on 

receipt, logs sent 

daily 

Respond to FOIA requests in accordance with 

requirements. Output 

Respond in 20 

business days 

Median processing 

time 16 days; average 

14.8 days 

Respond to 75 percent of non-FOIA requests 

within 72 hours. Output 

75% 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% 

52 updates/ 

100% 

Produce an annual FOIA report to chronicle 

requests and responses. 

Output Final report on 

1/31/09 

Final report 

submitted on time 

Issue quarterly press releases summarizing EAC 

activities. Output 4 press releases 25 press releases 

Provide regular briefings regarding EAC 

activities to Congressional staffers. Output 2 formal briefings 4 formal briefings 

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 

1/31/09 

Report disseminated 

1/31/10 

 Issue at least 12 EAC newsletters per year. Output 12 newsletters 54 newsletters 

Goal Two – Fund and Oversee

Strategic Plan Goal 2 is to deliver and manage Federal funds effectively. The outcome of 

the goals is for States and other recipients to promptly and accurately receive Federal 

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

administration of elections for Federal office. 
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FY 2010 Enacted 

Budget 

Grants Management $ 1,914,069 

OIG 1,770,259 

Total $ 3,684,328 

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. The results of the measures associated with the Grants 

Management objectives appear in the next table of this report. 

The Grants Management division: 

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

• Provides technical assistance to States on administering Federal funds; 

• 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; 

• Processes and disburses payments to States and discretionary grant recipients; 

• 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; 

• Receives amended State Plan submissions; 

• Drafts advisory opinions for Commission approval and issuance. 

Goal 2 FY 2010 Accomplishments

In November 2009, EAC provided training via a webinar to States on using the Standard Form 

425 Federal Financial Report. The webinar is available on www.eac.gov. On February 1, 2010, 

the division released the EAC Annual Report on Grant programs as of September 30, 2008. The 

Report was released along with the FY 2011 Congressional Budget Justification and FY 2009 

Annual Performance Report. 

Requirements Payments 

In FY 2010, the Consolidated Appropriations Act, 2010, Public Law 111-117 included $70 

million for HAVA Section 251 Requirement Payments. 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 Condition for receipt 

of funds. 

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

elections for Federal office outside of the activities listed under HAVA Title III Uniform and 
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nondiscriminatory Election Technology and Administration Requirements. This may be done if 

the State, per Section 251, certifies that the State has implemented the requirements of Title III, 

or if the amount it will spend on other activities will not exceed the formula amount allocated to 

the State under HAVA Section 252 Allocation of Funds. 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. 

Each year, EAC reports to Congress on how the States have spent HAVA funds. EAC paid out 

$29.7 million of the $70 million awarded in FY 2010, which represents all funds requested by 

the States as of September 30, 2010. 

College Poll Worker Grants 

In FY 2010, EAC awarded the $750,000 appropriated for the College Poll Worker grants to 14 

institutions of higher education and one nonprofit organization to recruit students to serve as poll 

workers in the 2010 Federal election. The grants serve to educate college students on the 

importance of volunteering and voting on Election Day and to encourage them to become 

involved in the process. Trained, qualified poll workers play a crucial role in ensuring smooth 

and accurate elections. Reports of poll worker shortages are not uncommon during election 

season. According to EAC's Election Administration and Voting Survey, 46 percent of 

jurisdictions across the country reported having difficulty recruiting poll workers during the 2008 

election cycle. 

As of FY 2010, EAC has awarded 89 grants totaling $3.1 million to recruit and train college poll 

workers since the College Program was established in 2004. FY 2010 College Poll Worker 

Grant Recipients are: 

 Alverno College, Milwaukee, Wisconsin 

 Benedictine University, Lisle, Illinois 

 Central Connecticut State University, Hartford, Connecticut 

 College of the Canyons, Santa Clarita, California 

 Harris-Stowe State University, St. Louis, Missouri 

 Keystone College, La Plume, Pennsylvania 

 Kids Voting of Central Ohio, Columbus, Ohio 

 Kutztown University, Kutztown, Pennsylvania 

 Lourdes College, Sylvania, Ohio 

 Marshall-Wythe Law School Foundation, Williamsburg, Virginia 

 Morehouse College, Atlanta, Georgia 

 Southern Utah University, Cedar City, Utah 

 Suffolk University, Boston, Massachusetts 

 University of Tennessee, Knoxville, Tennessee 

 University of Rochester, Rochester, New York 
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Mock Election Grants 

In FY 2010, EAC awarded eight Mock Election Program grants totaling the $300,000 

appropriation to six government agencies, one civic group and one nonprofit organization to 

educate students about the electoral process during the 2010 mid-term election cycle. 

The competitive grants are aimed at operating programs of simulated elections for high school 

students. Grant applicants are encouraged to use real voting equipment, create ballots, and have 

students act as poll assistants and poll workers. Mock Election 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. The competition was open to State and local 

election offices, and regional and national nonprofit organizations, including faith-based, 

community-based, and tribal organizations. 

Winners were selected through an independent review process that examined each applicant’s 

level of experience, and their management and conceptual approaches for meeting program 

goals. The 2010 winners, chosen from a highly competitive pool of 34 applicants that sought a 

combined $1.2 million, will use a wide range of creative approaches to engage high school 

students. EAC was particularly interested in funding opportunities that promote the use of 

voting machines through partnerships with local election officials. The schools are located in 

rural areas, including American Indian reservations, as well as urban locales. 

The Mock Election Program grants are authorized under HAVA Section 295. As of FY 2010, 

EAC awarded grants totaling $1,198,820 to organizations under this program since it was 

established in 2004. FY 2010 Mock Election Grant Recipients are: 

Office of the Secretary of State of the Commonwealth of Kentucky, Franklin, Kentucky 

Polk County Auditor’s Office, Des Moines, Iowa 

Office of the Washington Secretary of State, Olympia, WA 

State of Montana Secretary of State, Helena, Montana 

League of Women Voters of Oregon Education Fund, Salem, OR 

State of Rhode Island and Providence Plantations, Providence, RI 

Michigan Government Television, Lansing, Michigan 

Seminole County Supervisor of Elections, Sanford, Florida 
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Strategic Goal Two FY 2010 Performance Measures 

Performance Indicator 

Type of 

Indicator Planned Actual 

Strategic Goal Two: Fund and Ovesee 

Strategic Objectives

Accurately and timely disburse Federal financial assistance administered by EAC. 

 Award grants within established timeframes. Output 100% 

100% of 

requirements 

payments & 1-year 

grants, 33% of noyear discretionary 

grants 

Submit state plans for publication in the Federal Register within 30 

days of receipt of the plan. Output 100% 100% 

Submit payment requests to GSA within 10 days of receipt of 

acceptable requests/certifications. Output 100% 100% 

Effectively monitor Federal financial assistance administered by EAC. 

Review financial & performance reports & notify recipients of 

reporting anomalies or failure to file w/in 30 days of knowledge of 

conditions, in writing in all cases & by phone as time permits, to 

offer assistance & answer questions. Output 

State reports due 

12/31/10 

EAC is on schedule 

to meet goal by 

deadline 

 

Resolve 100 percent of audit findings within established time 

frames. 

Output 100% audit 

resolution 

No overdue mgt. 

decisions as of 

9/30/10 

 Conduct site visits to at least three high priority grantees each year. Output 3 site visits 3 site visits 

Negotiate indirect cost rates within 30 days of receipt of acceptable 

indirect cost proposals. 

Output 

100% 

Signed MOU with 

HHS 07/10 for 

negotiation services 

Issue the annual report to Congress on the expenditure of HAVA 

funds by July 15 of each year. Output Report issued 7/15/10 

Attach as Appendix 

C of CBJ Feb. 

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 admin. of Fed’l financial assistance 

administered by EAC within established timeframes. Output 100% 

50% of advisory 

opinions 

 

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

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 

Initial email or phone 

response w/in 24 

hours 90% 

Goal Three – Study, Guide and Assist

Strategic Plan Goal 3 is to 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 (NVRA). The outcome of the goal is to provide the 

election community and other key stakeholders pertinent, impartial, timely, and high-quality 
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information, recommendations, guides, and other tools on election and voting issues. Further, 

eligible citizens use the National Mail Voter Registration form to register to vote, register with a 

political party, or report a change of name, address, or other information. 

FY 2010 Research, Policy 

and Programs Division 

Enacted Budget 

$1,544,817 

Goal 3 is administered by the Research, Policy and Programs (RPP) division. The goal 

will be achieved through the use of four strategic objectives. The results of the measures 

associated with the objectives appear in the next table of this report. 

The Research, Policy and Programs division: 

• Administers the Election Management Guidelines Program to help election officials 

promote secure, accurate, and accessible elections by providing information on topics 

such as Ballot Design, Contingency Planning, Managing Change in an Election Office, 

Media and Public Relations, and Developing an Audit Trail for the verification of votes; 

• Manages the Language Accessibility Program to provide informational materials on the 

Federal election process and election terminology in languages other than English, 

translates the National Mail Voter Registration Form, and gathers information from 

working groups to address the election needs of voters with limited or no English 

proficiency; 

• Provides materials to voters to facilitate successful participation in Federal elections such 

as registering to vote; 

• Conducts election research on mandated topics. 

HAVA mandates that EAC issue studies on the impact of free absentee ballot return postage on 

voter participation, electronic voting and Uniformed and Overseas Citizens Absentee Voting 

Act (UOCAVA) voters, the feasibility of alternative voting methods, the voting experiences of 

first-time voters who register to vote by mail, and the feasibility and advisability of identifying 

voters by Social Security Numbers. 

Goal 3 FY 2010 Accomplishments

In FY 2010, the RPP division developed a listing of potential research projects, policy and 

program initiatives including timelines, to guide staff work through 2012. Progress has been 

made toward completing several projects noted in the research schedule, many of which are 

mandated by HAVA. The list will continue to be revised in accordance with EAC and 

Congressional priorities. 

Research work completed in FY 2010 includes: 

 

• Reports to Congress on the findings of the 2008 Election Administration and Voting 

Survey and the Uniformed and Overseas Citizens Absentee Voting Act (UOCAVA). 
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• The three-year National Academy of Sciences study on Statewide Voter Registration 

Databases. 

• A study evaluating stakeholder use of EAC educational products designed to improve the 

administration of elections for Federal office. 

• A report to Congress on the study of use of Free or Reduced Postage for the Return of 

Voted Absentee Ballots. 

• Selecting a contractor to collect and analyze data for the 2010 Election Administration 

and Voting Survey. 

Research efforts continue on the HAVA-mandated study “Recounts and Contests”, and a 

working group convened and preliminary research began on a study of “Election Administration 

in Urban and Rural Settings”. 

RPP’s Policy unit completed research on a compendium of State laws applicable to provisional 

voting and has begun work on voluntary guidance related to provisional voting pursuant to 

Section 311 of HAVA. 

RPP’s Election Management Guidelines (EMG) Program released three new Quick Start 

Management Guides in 2010 on Technology in Elections, Elections Office Administration, and 

Accessibility. Further, staff created and released eight new EMG chapters: 

• Building Community Partnerships 

• Canvassing and Certifying an Election 

• Communicating with the Public 

• Conducting a Recount 

• Provisional Voting 

• Technology in Elections 

• Elections Office Administration and 

• Accessibility. 

 The Quick Starts and chapters were sent to over 5,000 election officials across the country in 

September 2010. 

RPP’s Language Accessibility Program has worked to meet its strategic goal of assisting election 

officials in meeting the needs of language minority voters by translating glossaries of election 

terms into four Native American languages and by broadly distributing the Voter’s Guide to 

Federal Elections. The glossaries and the Voter’s Guide were translated into Navajo, Cherokee, 

Dakota, and Yu’Pik. The Office of Citizenship of the U.S. Citizenship and Immigration Services 

distributed over 700,000 copies of the Voter’s Guide to new citizens. Finally, the National Mail 

Voter Registration Form has been translated into five Asian languages: Chinese, Japanese, 

Korean, Tagalog and Vietnamese. 

EAC’s Strategic Plan includes reissuing regulations pertaining to the National Voter Registration 

Act (NVRA) of 1993. A Notice of Proposed Rulemaking related to NVRA was developed and 

subsequently published in the Federal Register on August 9, 2010. The Notice proposes the 

incorporation of HAVA requirements into the NVRA regulations and asks for public comment 
 U. S. Election Assistance Commission 

 Fiscal Year 2010 Annual Performance Report 

17

on these proposals, and on other proposals related to the National Mail Voter Registration Form. 

The period for commenting on the proposed rules ended in November 2010. EAC held three 

public hearings on the Notice of Proposed rulemaking in Orlando, FL, Washington, DC and 

Pasadena, CA in FY 2010. 

Goal 4 – Test and Certify

Strategic Plan Goal 4 is to build public confidence in elections by testing and certifying 

voting systems to improve system security, operation, and accessibility. The outcome of 

the goal is to help ensure that voting equipment operates more reliably and securely and 

is more accessible to voters with disabilities. States use the EAC Testing and 

Certification Program to ensure voting systems meet standards. 

FY 2010 Testing and 

Certification Division 

Enacted Budget 

$1,861,008 

Goal 4 is administered by the Testing and Certification division. The goal will be 

achieved through the use of two strategic objectives. The results of the measures 

associated with the objectives appear in the next table of this report. 

Strategic Goal Three FY 2010 Performance Measures 

Performance Indicator 

Type of 

Indicator Planned Actual 

Strategic Goal Three: Study, Guide, Assist 

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% 

 

Meet milestones for the completion of research projects in accordance with 

schedules and deliverables each year. Output 80% 100% 

 Disseminate all completed research project reports to stakeholders. Output 100% 100% 

Establish in FY 10 a baseline for measuring stakeholder use of EAC research 

& ed’l products to improve the admin. of elections for Fed’l office. In 

subsequent years, increase the % of stakeholders use of research products. Output 

Establish 

baseline 

Baseline 

established at 50% 

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. 

 Issue required reports to Congress by statutory deadlines. Output 1 1 

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

 Complete guidance regarding HAVA Sec. 302 by 08/10. Output 

Complete 

20% complete 

 Complete interactive glossaries by 03/10. Output 

Complete Contracted for 

glossaries 

Establish a baseline for measuring stakeholder use of EAC teaching materials 

by the end of FY 10. In subsequent years, increase % of use... Output 

Establish Baseline 

established at 50% 

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. 

Complete feasibility study of making the national mail voter registration 

application available in all languages covered by the Voting Rights Act by 

06/10. Output 

Complete 

study 

Analysis completed 

10/09 
 U. S. Election Assistance Commission 

 Fiscal Year 2010 Annual Performance Report 

18

Under the Help America Vote Act, EAC accredits voting system test laboratories and certifies 

voting equipment, marking the first time the Federal government has offered these services to the 

States. Participation by States in the program is voluntary. Staff works with NIST to evaluate 

and accredit voting system test laboratories and the management of the voting system 

certification process. 

The Testing and Certification (T&C) division: 

• Assists States with voluntary certification of their systems; 

• Supports local elections officials in the areas of acceptance testing and pre-election 

system verification; 

• Promotes quality control in voting system manufacturing; 

• Provides procedures to the voting system manufacturers for the testing and certification 

of voting systems to specified Federal standards consistent with the requirements of 

HAVA Section 231. 

EAC’s voting system certification program establishes accountability through its Quality 

Monitoring Program which ensures, through various check points, that the voting systems used 

in the field are in fact the same systems EAC has certified. For instance, under the program, 

EAC has the ability to conduct site visits to production facilities to determine whether systems 

produced are consistent with those that have received EAC certification. In addition, EAC 

collects reports from election officials regarding voting system anomalies. After reviewing the 

reports, EAC disseminates the information to election officials. Furthermore, upon invitation or 

with permission from election officials, the EAC conducts reviews of systems that are in use in 

the field. 

More information about EAC’s Voting System Certification and Testing Program is 

available in EAC’s Frequently Asked Questions on www.eac.gov. 

Goal 4 FY 2010 Accomplishments 

In 2009, Congress passed the Military and Overseas Voters Empowerment Act (MOVE) 

instructing the Federal Voting Assistance Program (FVAP) to run pilot programs to test the 

ability of new or emerging technology to better serve uniformed and overseas citizens. (The 

Director of FVAP administers the Uniformed and Overseas Citizens Absentee Voting Act 

(UOCAVA) on behalf of the Secretary of Defense.) MOVE goes on to mandate that should 

FVAP choose to run a pilot program, EAC and the National Institute of Standards and 

Technology (NIST) are to help support FVAP by providing best practices or standards to support 

the projects. Further, MOVE reiterated the 2004 mandate from Congress requiring EAC to 

create guidelines for FVAP to follow in the development of a remote electronic voting system. 

EAC submitted a mandated report to Congress on MOVE Act implementation in April 2010. 

In addition to participation in implementation of the MOVE Act, EAC is actively involved with 

efforts to facilitate military and overseas voting. UOCAVA requires that the States, the District 

of Columbia and territories allow U.S. citizens living abroad to register and vote absentee in 

elections for Federal office. EAC led a working group that included representatives of FVAP, 
 U. S. Election Assistance Commission 

 Fiscal Year 2010 Annual Performance Report 

19

NIST, EAC’s Advisory Board and voting system manufacturers in August 2010 to explore the 

technical issues associated with remote electronic absentee voting systems for military and 

overseas voters. This group completed a UOCAVA Pilot Program Testable Requirements 

document, which was approved by tally vote of the Commissioners in September 2010. Further, 

EAC staff developed an EAC Pilot Program Certification Manual which went out for public 

comment in April 2010. 

Regarding EAC work with the voting system test laboratories, in addition to the semi-annual reaccreditation process, labs undergo a required EAC Policy, Procedures and Practices Review 

pursuant to the EAC Laboratory Accreditation Program Manual. Testing and Certification 

(T&C) completed an on-site laboratory assessment of Wyle Labs in FY 2010. The T&C 

Director approved the ES&S request to transfer testing of Unity 5.0 from iBeta to Wyle because 

of capacity issues at iBeta. EAC was able to close out audit recommendations made in GAO 

Audit Report 08-770, Voting System Test Laboratory Accreditation. GAO staff made a “ClosedImplemented” recommendation in August 2010 following the latest round of T&C responses. 

In FY 2010, T&C completed internal Standard Operating Procedures for both the Certification 

Program and the Laboratory Accreditation Program. The procedures were generated from the 

T&C Program Manual. Further, T&C, working with NIST, drafted and updated the current 

version of the 2005 Voluntary Voting System Guidelines (VVSG) (now entitled 2005 VVSG 

Version 1.1) in 2009. The draft was published for a 120-day public comment period beginning 

June 1, 2009 and ending September 28, 2009. Staff reviewed over 300 comments received from 

the public. In FY 2010, a revision of the 2005 VVSG addressing comments was completed and 

policy decisions were presented to the Commissioners. The Commission discussed the proposed 

changes to the 2005 VVSG at a public meeting on September 21, 2010. 

The VVSGs are mandated by HAVA. They comprise a set of specifications that voting systems, 

voting devices, and software must meet to receive a certification from EAC. EAC-accredited 

laboratories test voting systems, voting devices, and software against these guidelines. Under 

HAVA, NIST is directed to assist EAC with the certification program through its National 

Voluntary Laboratory Accreditation Program (NVLAP), and to provide recommendations to 

EAC regarding laboratory accreditation. EAC makes the final decision to accredit laboratories. 

Also in FY 2010, EAC accepted the final work product for the Elections Operations Assessment. 

The assessment was conducted to produce a scientifically-founded risk assessment tool that will 

facilitate informed decision-making by EAC and its Technical Guidelines Development 

Committee (TGDC) when developing Voluntary Voting System Guidelines (VVSG). The tool 

will provide EAC with information needed to conduct a cost-benefit analysis of a comprehensive 

list of risks associated with voting systems. 

 

EAC and the TGDC will use the Elections Operations Assessment risk assessment tool to further 

improve Federal voluntary voting system guidelines. EAC staff will use the tool to conduct a 

scientifically-based cost benefit analysis of voting systems risks and requirements. It will also 

help the agency develop voting system requirements that can help mitigate risk. Examples of 

risks include software bugs, equipment failures, power failures, natural disasters, terrorist 

attacks, or fraudulent acts or errors committed by persons involved in the elections process. 
 U. S. Election Assistance Commission 

 Fiscal Year 2010 Annual Performance Report 

20

In 2010, T&C continued to make progress in certifying voting systems and working with voting 

system manufacturers. Unisyn Open Elect System received Final EAC Certification on January 

12, 2010. ES&S Unity 3.2.0.0 received an initial decision on certification. The MicroVote EMS 

4.0B Modification was certified on August 23, 2010. EAC staff and technical reviewers 

conducted Manufacturer Facility Inspections for Unisyn and ES&S as required by Section 8.5 of 

Testing and Certification Program Manual on May 10-13, 2010. 

EAC published a System Advisory on the ES&S Unity 3.2.0.0 DS200 freeze/lock-up issue 

reported by Cuyahoga County, Ohio. The System Advisories alert jurisdictions across the 

country about reported voting system anomalies. EAC works with jurisdictions experiencing 

problems and with the manufacturers on resolving the issues. 

Added in 2010, EAC’s website houses a map of the U.S. showing the location of EAC-certified 

voting systems being used. The EAC Certified Voting System Map allows users to quickly 

access key information about EAC-certified voting systems, including the county in which the 

systems are used and test reports issued during the certification process. The interactive map 

makes it easy to track advisory alerts that EAC has issued about a system, a critical component 

of EAC’s Quality Monitoring Program. As part of the Program, EAC notifies the public about 

potential Federally-certified voting systems performance issues, including anomalies. The map 

also depicts State requirements for voting system certification. 

The Certified Voting Systems Map represents the most recent enhancement to the nation’s 

Clearinghouse on election administration information, www.eac.gov, which features numerous 

reports, in-depth research and State-specific data on the election administration process. 

 
 U. S. Election Assistance Commission 

 Fiscal Year 2010 Annual Performance Report 

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Strategic Goal Four FY 2010 Performance Measures 

Performance Indicator 

Type of 

Indicator Planned Actual 

Strategic Goal Four: Test and Certify 

Strategic Objectives

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 

Test and document the results of the review of compliance 

with procedures by 100 percent of accredited laboratories 

every 2 years. Output 100% 100% 

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

accredited laboratories. 

Test 100 percent of systems qualifying for testing each 

year. Output 

100% of 

systems 

submitted for 

testing are 

tested 

according to 

program 

standards 

Completed 

testing 

according to 

standards for 

60% of systems 

submitted (3 out 

of 5 systems) 

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) 

Goal 5 Manage

Strategic Plan Goal 5 is to achieve organizational and management excellence. The outcome is 

that EAC Commissioners and staff carry out EAC’s strategic objectives. 

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

Technical Guidelines Development Committee, Executive Director, General Counsel, Chief 

Operating Officer, and Chief Financial Officer. In order to achieve the goal, EAC will focus on 

continuing to achieve a clean audit opinion, providing accurate timely information, and 

improving integration of budget and performance as prescribed by the President’s Management 

Agenda. 

 

FY 2010 Enacted 

Budget 

Commissioners $1,186,525 

Board of Advisors, Standards Board 293,299 

Executive Director & Public Meetings 627,182 

Office of the General Counsel 670,677 

Chief Operating Officer 3,037,900 

Chief Financial Officer 704,511 

Total $6,520,094 
 U. S. Election Assistance Commission 

 Fiscal Year 2010 Annual Performance Report 

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Goal 5 Accomplishments

EAC’s first Goal 5 performance measure, “Obtain a clean audit opinion on agency financial 

Statements within two years of the initial Statement preparation” was achieved in FY 2009 

approximately eight months after the new CFO department was established. 

The second measure, on implementing 90 percent of OIG audit recommendations with agreed 

upon timeframes, has been affected by the need for Federal Information Security Management 

Act (FISMA) resolution and a small number of remaining policies and procedures that must be 

put in place. Now that the agency’s first Chief Information Officer is on board, EAC has been 

able to resolve all FISMA audit findings and implement all but one recommendation by the end 

of December 2010. Each month, EAC’s Chair reports on the status of 82 OIG audit 

recommendations made as of March 2008. 

To date, only three recommendations remain open. With the exception of a recommendation 

related to the National Voter Registration Act rulemaking process, the open recommendations 

are on track for resolution in FY 2011. In addition, there were three recommendations made in 

the FY 2009 Financial Statement audit. One on IT security controls was resolved in 2010, one 

on journal voucher review was implemented, and EAC is in the ongoing process of establishing 

continuous assurance about the effectiveness of internal controls relating to effectiveness and 

efficiency of programmatic operations. 

On the third measure, meeting annual performance measures, management is working to foster a 

culture of accountability among staff. The agency is seeking to improve staff satisfaction ratings 

and achieve management excellence through improved internal controls and human resource 

initiatives. Agency directors responsible for implementation of the EAC Strategic Plan goals 

report on their division metrics for the Agency Financial Report in November, the Annual 

Performance Report along with the Congressional Budget Justification around February of each 

year, and on planned metrics in the OMB Budget Justification each September. 

One of the keys to management excellence is a strong internal control program. EAC staff was 

offered internal control training onsite in two sessions during FY 2010. 

 

Information Technology

EAC’s information security program encompasses those measures necessary to protect the 

Commission's information resources. These measures include providing the appropriate 

technical, personnel, physical, administrative, environmental and telecommunications safeguards 

for each project; and continuity of operations through contingency or disaster recovery plans. 

The Commission's protective measures cover: data, applications, software, hardware, physical 

facilities and telecommunications. The Commission's information security program assures that 

each automated information system has a level of security commensurate with the risk and 

magnitude of harm that could result from the loss, misuse, unauthorized disclosure or improper 

modification of the data contained in the system. 
 U. S. Election Assistance Commission 

 Fiscal Year 2010 Annual Performance Report 

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EAC depends on the General Services Administration (GSA) for email, internet and Information 

Technology (IT) security services, and on a contractor for maintenance of the agency website, 

www.eac.gov. Current IT staff maintains personal computers and smartphones, provides 

software requested by EAC staff, and performs vulnerability scans. 

EAC’s vision is to be responsible for its own infrastructure led by a qualified Chief Information 

Officer (CIO). EAC hired its first CIO in Quarter 3 of FY 2010. In FY 2010, EAC was able to 

fund an information technology modernization project encompassing upgrading EAC’s hardware 

and software, creating an EAC-operated network back-up service capability, development of an 

intranet, additional security monitoring tools, and upgrading the telephone system. 

Audit Follow-Up

EAC’s Office of Inspector General (OIG) conducts audits and reviews of the agency’s 

operations. The Office of the Chief Financial Officer (OCFO) works closely with EAC 

management and the OIG to complete actions necessary to respond to audit findings. OCFO 

tracks the completion of the audit recommendations in a Monthly Audit Recommendation 

Tracking Report. The report is provided for Commissioner review and is submitted each month 

to House Congressional Oversight staff. 

 

EAC made improvements in all Agency management challenges. Financial internal control has 

substantially improved through the remediation of audit recommendations made by the 

independent auditor in the annual financial statement audit. EAC also considers and responds to 

recommendations from audits and reviews conducted by the Government Accountability Office. 

Strategic Goal Five FY 2010 Performance Measures 

Performance Indicator 

Type of 

Indicator Planned Actual 

Strategic Goal Five: Manage 

Strategic Objective 

Implement a high performance organization 

 

Unqualified financial statement audit opinion by FY

2010 Outcome Yes 

Unqualified opinion 

received for FY 2009 

 

Implement 90 percent of the OIG audit 

recommendations within agreed upon timeframes. Outcome 90% 

77% of outstanding 

operational 

recommendations were 

resolved in FY 2009