THE U.S. ELECTION ASSISTANCE COMMISSION

FISCAL YEAR 2014

INTERIM CONGRESSIONAL BUDGET JUSTIFICATION

April 10, 2013
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TABLE OF CONTENTS

Vision and Mission ..........................................................................................5

FY 2014 Priority Goals.......................................................................................5

Appropriations Language....................................................................................6

Legislative Proposals.........................................................................................6

EAC Background and Mission.................................................................................6

EAC’s Goals and Structure..................................................................................7

Operating Plan Summary....................................................................................8

Budgetary Changes............................................................................................9

Budget Requests and Performance Measures by Strategic Plan Goal.................................9

Improper Payments......................................................................................... 21

Mandated Reports to Congress............................................................................21

Appendix A -- FY 2012 Annual Performance Report
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VISION AND MISSION

Vision

Lead election reform that reaffirms the right to vote and to have all eligible votes counted 

accurately.

Mission 

Assist the effective administration of Federal elections.

FY 2014 Priority Goals 

--Ensure that voting systems and modifications of already certified systems submitted to Election 

Assistance Commission’s (EAC) Voting System and Certifications program are successfully and 

efficiently tested to Federal standards.

--Serve as a Clearinghouse and provide election officials and voters with necessary information 

regarding the elections process.

--Provide election officials with information to support effective and efficient election 

administration, and provide information to voters about the voting process.

--Review and update the National Voter Registration form (pending the establishment of a 

commissioner quorum).

Salaries and Expenses Resources Available for Obligation

FY 2012

Enacted

FY 2013

Annualized CR Rate

FY 2014

President’s Budget

FTE Dollars FTE Dollars FTE Dollars

38 $11,500,000 29 $11,477,000 29 $11,062,500
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Appropriations Language

For necessary expenses to carry out the Help America Vote Act of 2002 (Public Law 107-252), 

$11,062,500, of which $2,750,000 shall be transferred to the National Institute of Standards and 

Technology for election reform administration activities authorized under the Help America Vote 

Act of 2002. (Financial Services and General Government Appropriations Act, 2012.)

Legislative proposals

No legislative proposals are being submitted at this time due to lack of a quorum of 

Commissioners.

EAC Background and Mission

The U.S. Election Assistance Commission (EAC) was established by the Help America Vote Act 

(HAVA) of 2002. EAC is an independent, bipartisan commission charged with accrediting 

voting system testing laboratories and certifying voting systems, adopting voluntary voting 

system guidelines for the States, developing guidance for State and local election officials to 

meet HAVA requirements, serving as a national Clearinghouse of information on election 

administration including tools and best practices, maintaining the national mail voter registration 

form developed in accordance with the National Voter Registration Act (NVRA) of 1993, 

providing grantees with technical assistance on use of grant funds, and auditing the use of 

HAVA funds.

HAVA established the Standards Board and the Board of Advisors to advise EAC. The law also 

established the Technical Guidelines Development Committee (TGDC) to assist EAC in the 

development of voluntary voting system guidelines. The Commission holds Public Meetings 

and hearings to inform the public about its progress and activities. EAC is headed by four 

Commissioners appointed by the President and confirmed by the U.S. Senate. As of this writing, 

there are no commissioners. 

Among EAC’s key stakeholders are election officials. Leading up to an election, State and local 

election officials are faced with the enormous responsibility of informing voters about where, 

when and how to vote; training Election Day poll workers; and conducting fair, accessible, 

accurate and secure elections. Federal elections are locally administered in an estimated 11,000 

jurisdictions. Election practices, policies and laws vary from State to State and jurisdiction to 

jurisdiction. 

States are looking at new technology and practices in voting such as remote access voting for 

Uniformed and Overseas Citizens Absentee Voting Act (UOCAVA) voters, vote by phone, 

internet voting, and accessible technology for disabled voters. To assist the States, EAC has 

produced reports A Survey of Internet Voting, the Uniformed and Overseas Citizens Absentee 

Voting Act Registration and Voting Process and UOCAVA Pilot Program Testable 

Requirements; awarded two grants totaling $7 million for the Accessible Voting Technology 

initiative to support research and development activities to increase the accessibility of new, 

existing, and emerging technological solutions. Further, EAC discusses the new technologies 
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and practices with its advisory boards. Due to a lack of commissioners, the boards’ activities are 

currently suspended.

EAC’s Goals and Structure

EAC’s offices are aligned to address the goals in the Strategic Plan: Goal 1, Communicate is 

administered by the Office of Communications and Clearinghouse. Goal 2, Fund and Oversee is 

administered by the Grants Management and Inspector General Offices. Goal 3, Study, Guide, 

and Assist, is administered by the Research, Program and Policy unit. Goal 4, Test and Certify is 

administered by the Voting System Testing and Certification unit. Goal 5, Manage is 

administered by the Boards, Commissioners, Executive Director, Chief Operating Officer, Chief 

Financial Officer and General Counsel. 

A cost allocation model distributing administrative costs to the four program goals is part of the 

annual Agency Financial Report. The model is reviewed by EAC’s independent financial 

statement auditors and is used to present the FY 2014 agency budget request. Budgets 

correspond with the goals. 
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Operating Plan Summary

Salaries and Expenses

FY 2012

Enacted

FY 2013

Annualized 

CR Rate

FY 2014

Request

Full-Time Equivalent Staff 38 29 29

Full-time Staff 35 28 28

Other than Full-time Staff 9 3 2

Personnel Compensation and Benefits

11.1 Full-Time Permanent Staff $3,575,956 $3,218,721 $3,168,259

11.3 Other than Full-Time Permanent 367,139 187,030 187,030

12.1 Personnel Benefits 964,165 812,810 797,575

Transit and Parking Benefits 58,742 54,780 54,780

Subtotal, Personnel 4,966,002 4,273,340 4,207,644

Non-Personnel

21 Travel 327,460 369,798 369,798

23.1 Rent 972,495 907,665 740,860

23.3 Communications, Utilities, 

Postage 129,208 133,008 125,004

24 Printing and Reproduction 57,650 81,176 64,175

25 Other Services 2,198,749 2,859,309 2,683,065

25.3 Transfer to NIST 2,750,000 2,744,500 2,750,000

26 Supplies and Subscriptions 89,001 87,839 71,589

31 Equipment 9,435 20,365 50,365

Subtotal, Non-Personnel 6,533,999 7,203,660 6,854,856

Total $11,500,000 $11,477,000 $11,062,500*

Notes:

1. FY 2014 assumes a .6211 percent Cost of Living Adjustment, zero non-pay inflationary increase, and 

relocation to smaller space (Rent 23.1 decrease).

2. Travel remains level because it has been reduced from $622,946 in FY 2011. Of the $369.8 thousand 

requested, $196.7 thousand is requested for board and public meetings, and $77.5 thousand for voting 

system site visits. The two amounts represent 74 percent of the request. EAC uses webinar services and 

procures voting systems to reduce the need for travel.
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Budgetary Changes FY 2012 Enacted to FY 2014

(in whole dollars)

Personnel Compensation and Benefits ($758,358)

Decrease of nine full-time and 3 part-time staff

Rent

Decrease space when the current lease expires March 2014 ($231,635)

Other Services $484,315

Increase for the eac.gov website $241,760, videostreaming of public 

meetings $152,648, change of financial services provider $202,967; 

decrease $63,849 in IG procurements and other reductions $49,211 to 

reflect the decrease in the request

Miscellaneous $68,178

Increases for travel $42,338, purchase of voting system equipment 

$30,000 and other equipment $10,931, printing $6,525; decreases for 

office equipment rentals ($4,204), and supplies and subscriptions 

($17,412)

Budget Requests and Performance Measures by Strategic Plan Goal

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. The anticipated outcome of the goal is to provide Congress, Federal agencies, State and 

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

the administration of Federal elections.

FY 2012

Enacted

FY 2013

FY 2014

Request

Annualized 

CR Rate

Direct Costs $405,996 $740,697 $721,197

Indirect Costs 523,559 776,970 751,845

Total, Communicate $929,555 $1,517,667 $1,473,042

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: 1) operate the EAC Clearinghouse effectively; 2) respond to outside requests about 

EAC timely and accurately; and 3) convey the results of EAC operations and accomplishments.
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EAC’s Communications Division is responsible for communicating with the media and 

stakeholders, including election officials, academics, policy-makers, advocacy groups and the 

public. The Communications division is responsible for administration of the agency’s website, 

www.eac.gov, which contains thousands of documents with information about voting system test 

plans, agency correspondence, and testimony from EAC Public Meetings, roundtable 

discussions, and hearings; and external and internal communications such as press releases, news 

articles and speeches, informational videotapes on the programs, Twitter account @EACgov, the 

Election Official Exchange of information, a blog, a monthly newsletter about EAC activities 

and events that goes to approximately 1,200 subscribers, and a monthly email on internal 

operations. The unit coordinates with EAC staff to communicate policies, guidance, research, 

and other agency initiatives to the public. 

Open Government and Public Participation Activities

EAC’s Open Government activities are available at www.eac.gov/open and general comments 

can be submitted to www.eac.gov/contact. Throughout EAC’s website, the agency has applied 

the concept of open government and implemented tools to facilitate a conversation with the 

public about voting and election administration. There are several mechanisms through which 

the public can provide direct feedback to EAC on agency activities and operations. For example, 

the public can rate and comment on nearly 200 EAC reports, policies, manuals and Election 

Management Guidelines in the Election Resource Library. In addition, EAC’s Public Comment 

section makes it easier for the public to keep track of draft EAC policies on which the agency is 

seeking Public input.

Users can also 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. Other features include a multimedia center that provides 

training and educational videos on polling place management, election contingency planning, 

voting accessibility, and voting system testing and certification.

EAC Elections Clearinghouse

The Elections Clearinghouse is required under the Help America Vote Act (HAVA) of 2002 and 

provides a public portal for information about elections. EAC’s website serves as a national 

Clearinghouse of election administration information. Among its thousands of pages of content 

are test plans and reports of voting system manufacturers seeking Federal certification, datasets 

containing detailed information by State on voter registration and turnout statistics in recent 

Federal elections, and information for voters on how to register to vote and contact their State 

elections offices.

The Clearinghouse’s primary purpose is to: 

• Disseminate election information to the public.

• Supplement States’ efforts to provide information to assist voters.

• Provide a central location for best practices, shared practices, innovations and creative 

solutions in election administration.

• Share research findings and data about elections.
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• Provide information about EAC’s voluntary voting system certification and testing 

program including information regarding voting system experiences and anomalies 

submitted by State and local election jurisdictions.

• Notify the public about EAC’s funding grants opportunities. 

• Report on the expenditure of HAVA funds.

The FY 2014 Request

Efforts will continue in FY 2014 to post and disseminate additional information on election 

administration topics to achieve the goal of serving as the trusted source for information about 

elections and election administration. 

The FY 2014 request includes funds for a staff of two. Estimated cost for the website contract is 

$418,810. The request also includes $7,000 for staff travel, and $28,500 for supplies and 

subscriptions. 

FUND AND OVERSEE

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

anticipated outcome of the goal 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 in accordance with HAVA.

FY 2012

Enacted

FY 2013

Annualized 

CR Rate

FY 2014

Request

Grants Management Direct Costs $415,776 $236,475 $228,471

OIG Direct Costs 1,250,000 1,247,500 1,187,500 

Indirect Costs 1,308,898 1,165,455 1,127,768

Total, Fund and Oversee $2,974,674 $2,649,430 $2,543,739

 

Goal 2 consists of three strategic objectives: 1) accurately and timely disburse Federal

financial assistance administered by EAC; 2) effectively monitor Federal financial 

assistance administered by EAC; and 3) 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. Goal 2 is administered by the Grants 

Management unit and the Office of the Inspector General (OIG). 

Grants Management

EAC’s Grants Management unit is responsible for distributing grants funds, monitoring grantee 

performance, providing technical assistance to States and grantees on the use of funds, and 

reporting on requirements payments and discretionary grants to improve administration of 

elections for Federal office. The office recommends actions to resolve audit findings on the use 

of HAVA funds. Via a Memorandum of Understanding with the U.S. Department of Health and 

Human Services, the unit sets indirect cost rates with grantees. 
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The FY 2014 Request

For FY 2014, goals include achieving the performance targets for timeliness in EAC’s Strategic 

Plan (see chart below), including resolving 100 percent of audit findings within established 

timeframes, awarding grants in established timeframes, and submitting State Plans to the Federal 

Register within 30 days of receipt.

The request includes funds for staff, an estimated $800 for grant site visit travel, $1,500 

for webinar services which reduce travel costs, $2,334 to print references to State Plan 

and grant notices in the Federal Register, $25,000 for a Memorandum of Understanding 

with the U.S. Department of Health and Human Services for indirect cost rate 

negotiation plus $25,000 for audit resolution services, $2,000 for peer reviewers for 

Logic and Accuracy grants, and $50 for supplies.

Office of Inspector General

The Office of Inspector General (OIG) was established by HAVA and the Inspector General Act 

of 1978 (IG Act), as amended, to provide independent and objective reporting to EAC and 

Congress through its audit and investigative activities. 

Charged with the identification and prevention of waste, fraud, and abuse of Federal resources, 

OIG strives to promote economy, efficiency and effectiveness in EAC programs and operations. 

To accomplish this goal the OIG conducts regular audits of recipients of grant funds distributed 

by the EAC, annual audits of EAC’s operations, and periodic reviews and audits of EAC 

program operations and transactions. In addition, the OIG conducts investigations in response to 

allegations against the EAC, its grant recipients, or other third parties involved in EAC 

programs.

Auditing Grant Programs and EAC Operations

Section 902 of HAVA gives EAC and other agencies making grants or payments the authority to 

conduct audits of any recipients of funds. EAC is further authorized to conduct regular audits of 

funds distributed under HAVA. OIG conducts those audits on behalf of EAC. 

Over the past several years, OIG has focused on auditing large dollar amount grants distributed 

to states under Title II of HAVA. These grants represent the vast majority of grant funds 

distributed by EAC. 

The objectives of the state audits are to determine whether the state: 

(1) expended HAVA payments in accordance with HAVA and related administrative 

requirements,

(2) complied with HAVA requirements including replacing punch card or lever voting 

machines, 

(3) established an election fund,

(4) appropriated five percent in matching funds to the HAVA payments, and 

(5) maintained state expenditures for elections at a level not less than expended in the state’s 

base fiscal year per HAVA Section 254(a)(7). 
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The Federal government has made a sizable investment in the American electoral system with 

Congress appropriating $3.25 billion in grant funds to the states to improve election 

infrastructure and processes. To date, the OIG has audited $2.15 billion of these $3.25 billion in 

grants funds and completed audits of 41 states. The 41 HAVA OIG state audits conducted to date

have made over 200 recommendations for improving the HAVA program at the state level. 

Audits have identified over $29 million of unallowable costs. 

OIG’s program to ensure economy, efficiency and integrity in the use of funds is not limited to 

audits. OIG also works with EAC to help educate states on the requirements associated with 

federal funding. 

When allegations are made concerning the misappropriation of HAVA funds, OIG is responsible 

for investigating those allegations. To meet the requirement of identifying and investigating 

waste, fraud and abuse in EAC programs and operations, OIG uses technology to communicate 

with its stakeholders and the public by operating a web site, 

http://www.eac.gov/inspector_general/, where information is available concerning its operations, 

issued reports, rights and protections for whistleblowers, as well as an on-line form for making 

complaints of fraud, waste, abuse and mismanagement. The OIG hotline allows people to make 

complaints via telephone, fax, email, mail, and on-line. 

Complaints from the hotline as well as information from audits and evaluations can identify 

potential civil or criminal wrongdoing and when the OIG identifies potential wrongdoing, it 

institutes an investigation. OIG does not currently employ an investigator. When issues arise 

that require investigation, OIG contracts with other government agencies for investigative 

services. 

OIG also is responsible for conducting reviews, audits, and investigations of EAC’s internal 

policies, procedures, and actions. Over the past several fiscal years, OIG has issued a total of 14 

reports regarding EAC’s operations. These reports assess the efficiency of EAC’s operation and 

its compliance with governing statutes and regulations, including compliance with the Federal 

Information Security Management Act (FISMA) and compliance with the Federal Travel 

Regulations. OIG as part of its duties to oversee the financial statement audit and the FISMA 

audit issues a final financial audit report by November 15 of each fiscal year.

OIG uses various tools to communicate with the EAC, Congress, and the general public 

concerning the status of EAC’s programs and operations as well as OIG’s activities in 

conducting audits, evaluations, inspections, and investigations. OIG issues reports following 

each formal engagement, regardless of type. Reports are disbursed to the entity that is subject of 

the audit or evaluation, as well as the EAC and oversight and appropriations committees of 

Congress.

The OIG also produces two semi-annual reports to Congress in each fiscal year. That report 

summarizes the audit, evaluation, inspection and investigation reports issued by the OIG during 

the relevant six months. The report includes OIG activities and statistics such as the number of 

findings that are outstanding, the amount of costs that were questioned, and how much in federal 

funding could be put to better use.
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The FY 2014 Request

In FY 2014, OIG will continue: 1) outreach efforts to keep EAC, Congress and the public 

informed of OIG’s activities as well as its reviews of EAC programs and operations; 2) to rely 

upon interagency agreements with other offices of Inspector General to assist with conducting 

investigations of fraud, waste, abuse and mismanagement; and 3) to focus its efforts on the $3.25 

billion in grants appropriated to the states, auditing EAC grant recipients, conducting external 

investigations, and auditing and investigating EAC programs and operations. OIG is currently 

staffed by two full-time employees: the Inspector General and the Assistant Inspector General 

for Audits. The attorney position is currently vacant. OIG will continue to use contract auditors 

in FY 2014 to conduct audits.

For FY 2014, the OIG is requesting a total of $1,187,500. The request includes: $3,325 as a 

transfer to the Council of Inspectors General for Integrity and Efficiency (CIGIE) in keeping 

with section 6(f) of the Inspector General Act of 1978, as amended, 5 U.S.C. App. 3, Sec. 6(f); 

and $5,000 for costs associated with training and professional development for the OIG’s fulltime employees. OIG evaluates the effectiveness and efficiency of EAC programs and 

operations, and in the same manner, it is important that OIG ensure its operations are effective 

and efficient. This includes having the needed policies, procedures and practices in place that 

underpin its operations and providing a supportive working environment including providing 

professional education and training for its employees. All of the OIG employees will be required 

to meet the continuing education requirements applicable under the Generally Accepted 

Government Auditing Standards.

The FY 2014 request includes the $3,325 transfer to CIGIE and $5,000 for training mentioned 

above; $276,149 for OIG staff salaries; $61,276 for benefits; $10,000 for travel; $3,000 for the 

printing of notices in the Federal Register, and printing of reports, audits, etc.; $669,750 for 

contracts to support audits of EAC programs and grant recipients; $150,000 for interagency 

agreements for supplemental investigatory and legal services; $4,000 for administrative supplies 

and material; and $5,000 for the purchase of equipment. 
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OIG BUDGET REQUEST BY OBJECT CLASS

FY 2012 

Enacted

FY 2013 

Annualized 

CR Rate

FY 2014

Request

Personal Compensation and Benefits

11.1 Full-time permanent $275,000 $275,000 $276,149 

12.1 Civilian personnel benefits 61,076 62,100 61,276 

Contractual Services and Supplies

21 Travel and transportation of persons 10,000 10,000 10,000 

24 Printing and reproduction 3,000 3,000 3,000 

25.2 Other services 738,324 734,800 669,750 

Training 5,000

25.3 Other purchases of goods and services 

from Government accounts 150,000 150,000 150,000 

26 Supplies and materials 4,000 4,000 4,000 

Acquisition of Assets

31 Equipment 5,000 5,000 5,000 

94 Financial Transfers 3,600 3,600 3,325 

Total Program $1,250,000 $1,247,500 $1,187,500 

STUDY, GUIDE, AND ASSIST

Strategic Plan Goal 3: Identify and develop information on areas regarding the 

administration of elections for Federal office and issue guidance, translations, best 

practices and recommended improvements as required by HAVA, and carry out 

responsibilities under the National Voter Registration Act (NVRA). The anticipated 

outcome of this goal is for: 1) the election community and other key stakeholders to improve the 

administration of elections for Federal office on the bases of pertinent, impartial, and highquality information, recommendations, guides and other tools on election and voting issues, and 

2) making the national mail voter registration form available to citizens to register to vote, 

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

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 

FY 2012

Enacted

FY 2013

FY 2014

Request

Annualized 

CR Rate

Direct Costs $1,029,975 $1,015,814 $810,971

Indirect Costs 1,047,119 461,765 442,297

Total, Study, Guide, and Assist $2,077,094 $1,477,579 $1,253,268
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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: 

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.

The FY 2014 Request

In 2014, EAC anticipates completion of its work related to reviewing and updating the National 

Voter Registration form and coordinating regulations. EAC staff is prepared to present 

information to Commissioners collected from consultations with election officials, public 

rulemaking hearings, a public comment period, a review of current regulations, and will propose 

potential changes to the regulations. Final regulations will be adopted by a vote of the 

Commission following the Public rulemaking process and will be printed in the Federal Register

before taking effect. In addition, in 2014 EAC plans to update the Federal Election 

Commission’s existing NVRA implementation manual to reflect any changes in the regulations 

and the additional requirements added by the passage of HAVA.

EAC will also work to update key election management guideline materials, poll worker training 

manuals, and other critical educational products designed to improve the administration of 

Federal elections. EAC plans on creating voter educational products in Census-identified U.S. 

Department of Justice Voting Rights Act Section 203 minority languages. 

The FY 2014 request includes funds for staff; $487,000 for the bi-annual Election Administration 

and Voting Survey study; $15,000 for publication design and layout services for election 
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management guidelines, quick starts and voter’s guide; $5,000 for printing publications; $7,500 

for conferences and staff training; and $1,000 for supplies.

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. The 

anticipated outcome of the goal is that voting equipment operates more reliably and 

securely and is more accessible to the disabled. States participate in EAC’s testing and 

certification program to ensure that their voting systems meet the voluntary voting system 

guideline standards (VVSG).

Goal 4 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 

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 

FY 2012

Enacted

FY 2013

FY 2014

Request

Annualized 

CR Rate

Direct Costs $936,270 $756,914 $786,914

Indirect Costs 1,832,457 2,330,910 2,255,536 

Total, Test and Certify $2,768,727 $3,087,824 $3,042,451
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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 onsite 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.

The FY 2014 Request

VVSG 1.1 public comment period ended January 14, 2013. Comments have been collated and 

EAC and NIST staff are currently scheduling time for comment review. Commissioners will 

review and modify the document as appropriate. Subsequently, the new version will be adopted 

and published pending a quorum of EAC commissioners.

The FY 2014 request includes funds for payroll and benefits; $77,500 for travel; printing at 

$30,000; $30,000 for the purchase of voting system equipment for use in on-site testing to reduce 

travel to election officials who report voting system anomalies; $9,504 for webinar services to 

reduce travel costs; $5,000 for training and conference registration fees; and $300 for supplies. 

Transfer to NIST

In 2014, EAC requests a non-expenditure transfer of $2,750,000 to NIST via interagency 

agreement for activities required under HAVA Sections 221 Technical Guidelines Development 

Committee (TGDC), 231 Certification and Testing of Voting Systems, and 245 Study and Report 

on Electronic Voting and the Electoral Process. EAC and NIST continue to work in cooperation 

with the FVAP on the development of testable guidelines for remote electronic voting systems to 

assist absentee voters covered under the Uniformed and Overseas Citizens Absentee Voting Act 

as required by the National Defense Authorization Act for Fiscal Year 2010.

MANAGE

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

organization. The anticipated outcome of the goal is that EAC Commissioners and staff 

proficiently carry out EAC’s strategic objectives.
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Efficiency Measures

As mentioned previously, EAC has four programs administered by five offices aligned with the 

agency’s Strategic Plan: Communications, Grants Management and Inspector General; 

Research, Policy and Programs; and Testing and Certification. It would not be feasible for EAC 

to eliminate any of its Strategic Plan programs, which are based on Help America Vote Act 

(HAVA) mandates. Consequently, EAC plans on achieving required reductions through 

decreasing staff and space, and improving efficiencies.

Performance Improvement

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, 

about eight months after the new CFO department was established. A clean opinion was also 

obtained in FYs 2010 and 2011. However, as discussed in the FY 2012 Agency Financial 

Report, EAC received a disclaimer opinion for FY 2012. Audit resolution steps are in process, 

and a clean opinion is anticipated for FY 2013.

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

upon timeframes, is tracked in EAC’s quarterly reports to Congress on the status of 82 OIG audit 

recommendations made as of March 2008. To date, only recommendations requiring a quorum 

of commissioners for resolution are open. The open recommendations are on National Voter 

Registration Act regulations, and communications and clearinghouse policy.

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

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

and achieve management excellence through continuous improvement of internal controls. 

Program staff responsible for implementation of the EAC Strategic Plan goals report on their 

division metrics for: 1) the Agency Financial Report each November, 2) the Annual 

Performance Report, along with the Congressional Budget Justification, around February every 

year, and 3) planned metrics in the OMB Budget Justification each September. 

EAC will continue to focus on maximizing efficient use of staff and financial resources, and 

training EAC staff on financial management processes and their responsibilities.

Acquisition Improvements

EAC relies heavily on General Services Administration (GSA) Schedule contracts and 

Memoranda of Understanding with other Federal agencies. This provides substantial cost 

savings in terms of lower prices, strategic sourcing, and internal operational efficiencies. 

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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On July 1, 2012, EAC automated its procurement function by implementing the Bureau of Public 

Debt’s (BPD’s) PRISM system, replacing use of hard copy procurement forms. System costs are 

estimated at $14,000 annually. Additionally, purchase-card orders have been automated with 

CitiDirect Services through the MOU with BPD.

e-Travel

On July 1, 2012, EAC implemented BPD’s GovTrip e-travel system. Travel authorizations and 

vouchers are now fully automated, replacing hard copy forms. Annual cost for system services 

is estimated at $4,900 annually.

Information Technology Infrastructure, Security, and Savings

The Office of the Chief Information Officer (OCIO) continues to explore new innovations to 

update and improve network services for security, availability, efficiency and productivity. For 

example, EAC is working with the General Services Administration (GSA) to leverage GSA’s 

private cloud computing strategy to host the EAC continuity of operations plan (COOP) site. 

The IT staff of two maintains personal computers, smart phones, and servers; provides software 

requested by EAC staff, remote access services, Voice Over IP (VOIP) and Interactive Voice 

Response (IVR) telephone systems; and performs vulnerability scans in addition to GSA’s 

backbone infrastructure scans, and remediates and updates security patches. EAC is in the 

process of establishing an intranet where policies and procedures can be posted in place of use of 

a shared drive to improve usability and communications. 

EAC has been able to decrease its telecommunications budget by implementing VOIP and IVR 

as part of the IT infrastructure project funded with Section 609 funds in FY 2010. Beginning at 

the end of FY 2010, EAC upgraded personal computers, software, and the telephone system. 

Costs are projected at $28,000 for land lines, smart phones, and wireless service for personal 

computers, down from the previous estimate of $80,300. The IVR menu-driven private branch 

exchange (PBX) telephone system is integrated with VOIP for unified messaging to allow users 

to retrieve their voice mail over the email messaging services via the smart phone.

A contractor and Communications staff member maintain the website, www.eac.gov. EAC’s 

website contract will be recompeted in FY 2014. 

Beginning July 1, 2012, EAC began receiving financial management system services from the 

Bureau of Public Debt. Costs for use of the system are estimated at $38,200 in FY 2014.

EAC continues to receive payroll services via an interagency agreement with GSA using the 

Comprehensive HR Integrated System. Annual system costs are estimated at $15,300 annually. 

The Commission's information security program encompasses measures necessary to protect 

EAC’s information resources: data, applications, software, hardware, physical facilities and 

telecommunications. These measures include providing appropriate technical, personnel, 

physical, administrative, environmental and telecommunications safeguards; and continuity of 

operations through contingency and disaster recovery plans. Each automated information system 

has a level of security that is commensurate with the risk and magnitude of the harm that could 
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result from the loss, misuse, unauthorized disclosure or improper modification of the data in the 

system.

For security purposes, EAC uses GSA’s network backbone for its infrastructure, and GSA 

manages a firewall, external intrusion detection, T1 lines and routers and switches for Federal 

Information Security Management Act compliance on EAC’s behalf. EAC’s cyber security 

management needs are covered by GSA through an annual Memorandum of Understanding for 

IT services at approximately $55,000 for FY 2014. The agreement funds the tools that enable 

GSA to continuously monitor EAC's IT systems security as described in OMB M-10-15, FY 

2010 Reporting Instructions for the FISMA and Agency Privacy Management dated April 21,

2010. 

Attrition

As staff depart functions are absorbed or covered by memoranda of understanding with other 

agencies. For example, EAC replaced the procurement office with a Memorandum of 

Understanding with the Bureau of Public Debt at a savings of about $135,000 annually. A 

limited number of positions requiring certain expertise may be backfilled.

Move to smaller space

EAC’s lease expires in March 2014, and the agency has been reducing staff through attrition 

since October 2010. EAC is working with the General Services Administration to locate smaller 

space in a federal building at a much lower cost per square foot than what is currently expended 

for rent. As funds permit, EAC plans to purchase equipment needed to operate in the new open 

environment of touchdown (or hoteling) space.

 

Improper Payments

The Improper Payments Elimination and Recovery Act requires each Federal agency to assess all 

programs and identify which, if any, may be subject to high risk with respect to improper 

payments. Based on EAC assessment of internal control procedures surrounding the value and 

volume of payments (which totaled $13.3 million in FY 2012, for example), EAC does not have 

programs that meet OMB’s criteria for being susceptible to significant improper payments 

(exceeding both 2.5 percent of program payments and $10 million).

The agency has internal controls which include review by multiple individuals within EAC and 

with service providers, the preparation of tracking reports, and documentation review to ensure 

payments are timely and accurate. Further, vendors and grantees are proactive in notifying the 

agency if a payment they are expecting is not received on time.

Mandated Reports to Congress 

Annual report of EAC activities to Congress by January 31 of each year for the preceding year 

ending September 30. 

Biennial report on the impact of NVRA by June 30 of each odd-numbered year. 

Recommendations to improve election data collection and data provided to Congress in the 

biennial report on the Election Administration and Voting.
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