chain of custody procedures to promote greater transparency and more uniform results. By focusing
on blended systems, the new procedures will be written for the most complex and time intensive items
to help the counties meet certification deadlines while still performing top quality audits. The county
plans to seek data from twenty-two counties for voting system specific audits and testing and from all
fifty-eight counties for audits required under state law.

In FY 2010, EAC established and awarded the Military Heroes Initiative, a $500,000 two-year grant aimed
at advancing voting technology and processes for recently injured military personnel and veterans.
Throughout FY 2011 and FY 2012, this initiative continued in earnest with the grantee making substantial
progress toward project completion in 2012. The Information Technology and Innovation Foundation
(ITIF), a leading technology and innovation policy think tank, conducts this initiative along with the
Georgia Institute of Technology Applied Research Corporation, a research institute with extensive
experience working with military institutions and conducting accessibility research, and with Operation
Bravo Foundation, a pioneer in developing voting alternatives for military and overseas citizens. The
EAC and ITIF are also working with the National Institute of Standards and Technology (NIST) on this
Initiative.

HAVA disability requirements (specifically Section 301) and the Military Oversees Voting Empowerment
Act contain provisions aimed at significantly improving the voting process for people with disabilities and
military personnel. The grant seeks to enhance voting technology and processes for military service
members who have sustained disabling injuries in combat operations. According to the Department of
Defense's Statistics on Global War on Terror Casualties, more than 45,500 U.S. service members in
recent years have returned from a combat zone with a range of disabilities, including loss of limbs, loss of
sight and traumatic brain injury. In addition, hundreds of thousands of these service members and
veterans deal with non-visible injuries, such as post traumatic stress disorder.

Under the EAC and ITIF’s lead, the Initiative seeks to 1) assess the voting needs of recently injured
service members with civilian status; 2) perform an assessment of current voting technology and
processes; 3) research voting technology and process alternatives and best practices that may better
meet the needs of injured service members; and 4) develop a set of technical and policy
recommendations to improve accessibility. As part of this program, ITIF proposed a demonstration project
that will showcase short-term recommendations for improving voting accessibility for recently injured
service members.

To date, ITIF has conducted research for the purposes of understanding current limitations experienced
by military voters as a result of their injuries and the barriers those voters encounter in the voting process.

19


Fiscal Year 2012 Activities Report - Technical Guidelines
Development Committee List

Appointed by First Last Title 3 City

Director of NIST | Dr. Patrick D. Gallagher | Committee Chair, Deputy Secretary of Gaithersburg | MD
Commerce and Director of the National
Institute of Standards and Technology

Standards Board | Donald Palmer Secretary of Elections, Commonwealth of Richmond VA
Virginia

Standards Board | Don Merriman__| Saline (KS) County Clerk and Election Officer Salina KS

Board of Advisors | Linda Lamone Maryland Administrator of Elections Annapolis MD

Board of Advisors | Access Board Purcell Recorder, Maricopa County Arizona Phoenix AZ

Access Board VACANT

Access Board Philip Jenkins Accessibility Consultant, Business Austin TX

Development Consultant and Senior Engineer,
IBM Human Ability and Accessibility Center

ANSI Dr. David Wagner Professor, University of California - Berkeley Berkeley CA

IEEE VACANT

NASED VACANT

NASED Matt Masterson | Deputy Election Administrator, Office of the Columbus OH
Ohio Secretary of State

Other Tech/Sci Dr. Steven Bellovin Professor of Computer Science, Columbia, New York NY
University

Other Tech/Sci Dr. Diane Golden Program Coordinator, Association of Assistive | Grain Valley | MO

Cordry Technology Act Programs

Other Tech/Sci Dr. Douglas Jones Associate Professor, Department of Computer | lowa City 1A
Science, University of lowa

Other Tech/Sci Edwin Smith, Ill | Vice President, Compliance and Certification, Longmont co

Dominion Voting Systems

Access Board = Architectural and Transportation Barrier Compliance Board
ANSI = American National Standards Institute.

IEEE = Institute of Electrical and Electronics Engineers.

NASED = National Association of State Election Directors.


Fiscal Year 2012 Activities Report — Standards Board List

Members of the Standards Board who served in FY2012

The fell g former members of the EAC Standards Board served in Fiscal \
Execiitive Director of District of Columbia Board of Elections 4

Executive Director of Kentu State Board of Elections, S:

Election Director of Harford County Board of Elections (Maryland), James Massey

State Designee | First Last Title City State
Alabama State Beth Chapman Secretary of State Montgomery AL
Alabama Local VACANT AL
Alaska State Gail Fenumiai Director, Division of Elections | Juneau AK
Alaska Local Shelly Growden Election Systems Manager Fairbanks AK
American State Soliai T. Fuimaono Chief Election Officer Pago Pago AS
Samoa

American Local Vaitoelau Filiga Deputy Director Pago Pago AS
Samoa

Arizona State Amy Bjelland Deputy Secretary of State Phoenix AZ
Arizona Local Reynaldo Valenzuela Assistant Director of Elections | Phoenix AZ
Arkansas State AJ Kelly Deputy Secretary of State Little Rock AR
Arkansas Local VACANT AR
California State Lowell Finley Deputy Secretary of State Sacramento CA
California Local Neal Kelley Orange County Registrar of San Diego CA

Voters
Colorado State Wayne Munster Deputy Elections Director Denver co
Colorado Local Gilbert Ortiz Pueblo County Clerk and Pueblo co
Recorder
Connecticut State Peggy Reeves Assistant to Secretary of State | Hartford CT

for Elections, Legislation and
Intergovernmental Affairs

Connecticut Local Anthony Esposito Hamden Republican Registrar | Hamden CT
of Voters

Delaware State Elaine Manlove Commissioner of Elections Dover DE

Delaware Local Howard G. | Sholl, Jr. Deputy Administrative Director | Wilmington DE

District of State VACANT Washington DC

Columbia

District of Local VACANT

Columbia

Florida State VACANT FL

Florida Local Lori Edwards Polk County Supervisor of Bartow FL
Elections

Georgia State Tim Fleming Assistant Director of Elections | Atlanta GA
Division

Georgia Local Lynn Bailey Executive Director Augusta GA

Guam State Gerald A. Taitano Executive Director Hagatna GU

Guam Local VACANT GU

Hawaii State Judy Gold Precinct Operations Section Honolulu HI
Head

Hawaii Local Lyndon Yoshioka Kaua'i County Election Lihu’e HI
Administrator

Idaho State Timothy A. Hurst Chief Deputy Coeur d'Alene | ID

Idaho Local Patty Weeks Nez Perce County Clerk Lewiston ID



Keystone College, La Plume, PA: $39,996
To recruit and train culturally diverse students and students who are multi-lingual to become poll
workers to serve in Lackawanna, Wyoming, Bradford and Susquehanna Counties through the Step Up
to the Poll Challenge campaign.

Kutztown University, Kutztown, PA: $58,868
To partner with Berks County Board of Elections to expand the pool of poll workers and available poll
interpreters, assess and address the accessibility of the polling places, and produce an updated poll
worker recruitment and training video to be used by the county.

Lourdes College, Sylvania, OH: $34,783
To recruit 120 students from diverse backgrounds including underrepresented groups, those with
disabilities and veterans by partnering with the Lucas County Board of Elections and conduct a needs
assessment of access to voting resources among economically disadvantaged neighborhoods and
individuals with disabilities.

Marshall-Wythe Law School Foundation, Williamsburg, VA: $63,700
To recruit and train 240 college students from six colleges in the Tidewater region including
Christopher Newport University, Hampton University, Norfolk State University, Old Dominion
University, Regent University and William & Mary through the Tidewater Roots Polling Project which
aims to not only teach students the skills needed to be effective poll workers, but also to ensure lasting
impact by inspiring students and instilling a sense of civic spirit.

Morehouse College, Atlanta, GA: $38,037
To collaborate with the Brisbane Institute and the Bonner Office of Community Service of Morehouse,
and to partner with the Fulton County Election Commission to recruit, train and mobilize 75 students to
become poll workers through Voter Education classes, website development, and pre and post
surveys.

Southern Utah University, Cedar City, UT: $46,480
To work with the Lieutenant Governor and five County Clerk offices to recruit 30 students to become
poll workers using social media tools and campus mass texting network to target Native American and
Hispanic students through the Native American Student Union and the Hispanic Student Association,
as well as students with disabilities through the Disability Support Center.

13


Testing & Certification Program Manuals; published a final formal investigation report on a voting system;
and developed and implemented major updates to the EAC’s Virtual Review Tool (VRT).

EAC is currently rolling out the addition of the ECO Database to the VRT tool to track engineering change
orders for all EAC certified voting systems; published the certification timeline for ES&S Unity 3.4.0.0
voting system; conducted a Unisyn Manufacturer Facility audit of the manufacturing process; observed
the installation and acceptance testing of a voting system in Cuyahoga County, Ohio; and observed the
acceptance testing of a voting system in Arlington, Virginia. There are currently four voting systems in
active test campaigns.

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.

System Advisory Notices are also an important part of the Quality Monitoring Program. EAC issues
advisories to inform jurisdictions and members of the public of an existing anomaly or issue with an EAC-
certified system. The advisory notice describes the nature of the issue identified, the root cause of the
issue if known, and the current status of a solution to the issue. EAC will follow up with additional advisory
notices regarding unresolved issues as more information is gathered and the problem is resolved.

These notices support EAC's quality monitoring program requirement related to identifying and reporting
anomalies of fielded EAC systems. These notices are issued after an anomaly or issue is identified and
verified through conversations with the jurisdiction fielding the system and the manufacturer of the
system.

In addition, as part of the Quality Monitoring Program, EAC is required to conduct onsite manufacturing
assessments. These onsite visits provide the opportunity for EAC to ascertain that the manufacturers of
voting systems are following EAC’s required procedures. In FY 2012, the EAC:

¢ Posted five documents regarding Election Systems and Software (ES&S) Unity 3.2.0.0: Formal
Investigation Report, Notice of Non-Compliance, ES&S Response to EAC Notice of Non-
Compliance, ES&S Letter Requesting Certification Withdrawal and EAC Response to ES&S
Withdrawal Request.

23


Certified Systems
Voting System (Name/Version) Testing Standard

Dominion | Democracy Suite 4.0 | 2005 VVSG |
} |
Dominion (Premier) Assure 1.3 (Modification) | 2002 VSS |
ES&s | Unity 3.4.0.0 (Modification) | 2002 vss
aa | Pretloualy Unity 3.0.1.0 & Uniy 3.0.1.1 w. ATS 1.3 | 2002 VES |
| esas Unity 3.2.0.0 Rev. 3 (Modification) | 2002 VSS |
| ES&S/ Dominion (Premier) Assure 1.2 2002 VSS |
| MicroVote EMS Ver. 4.08 (Modification) | 2005 se |
MicroVote | EMS Ver. 4.0 | 2005 VWSG
Unisyn | OpenElect v.1.1 (Modification) | 2005 WWSG |
Unisyn | OpenElect v.1.0.1 (Modification) | 2005 VVSG
Unisyn OpenElect 1.0 |

2005 VVSG

Systems Under Test

Manufacturer Voting System (Name/Version) Testing Standard
| Dominion | Sequoia WinEDS 4.0 | 2002 vss
j | | n
| Dominion | Democray Suite 4.14 (Modification) | 2005 VVSG
\ |
i
Hart Verity Voting 1.0 | 2005 wsG
|
EVS 5.0.0.0 | 2005 VVSG

ES&S


Comment period beginning September 6, 2012. In light of the Presidential General Elections the
comment period was extended from 90 days to 130 days.

Regarding laboratory accreditation in FY 2012, EAC performed two laboratory accreditation
renewal audits and EAC and National Voluntary Laboratory Accreditation Program (NVLAP)
performed an initial laboratory audit.

Further, in FY 2012, EAC attended meetings with NASED; Election Center; EVN, Pennsylvania
State Election Officials; the Technical Guidelines Development Committee (TGDC); NIST; and
the USENIX conference. EAC organized and attended technical reviewer meetings, manufacturer
meetings, the State Certification Symposium (Indianapolis, IN), and kick off meetings for new test
campaigns. EAC staff also witnessed Primary and General Election Day activities in a number of
jurisdictions.

Research, Policy and Programs

In FY 2012 highlights include:

Research:

Policy:

Releasing the results of the 2010 Election Administration and Voting Survey to Congress and the
general public. This included a data overview and summary, along with a survey FAQ.
Completed the final draft of a study on the use of Social Security numbers for the purpose of
voter registration.

Completed the final draft of a study on Vote Recounts and Contests describing laws and
procedures in each state.

Awarded a contract to perform research on administering elections in urban and rural areas.
Completed the process for updating the 2012 Election Administration and Voting Survey (EAVS).
Awarded a contract to administer and analyze the data for the 2012 EAVS.

Conducted research on new jurisdictions and languages covered by Section 203 of the Voting
Rights Act as determined by the 2010 census and considered its application to various minority
language election resources.

Administered provisions of the National Voter Registration Act of 1993 (NVRA) that relate to the
content of the national mail voter registration form and the submissions of biennial reports to
Congress on the impact of the NVRA.

Developed an interim procedure for processing state requests to modify state-specific instructions
on the national mail voter registration form. The procedure was approved by the General
Counsel and the Executive Director. The interim procedure will be used by Staff to process such
requests until a quorum is established on the Commission.

Received and processed State requests for modifications to the state-specific instructions on the
National Mail Voter Registration Form from Delaware, Florida, Illinois, Maine, Louisiana, Virginia
and Washington State.

Made a series of minor technical corrections to the NVRA form so that it was more accessible
and easy to complete (fillable) when downloaded from EAC’s website.

Reviewed and provided input into the 2012 General Accounting Office (GAO) report on voter
registration.


FISCAL YEAR 2012 ACTIVITIES REPORT — EAC BOARD OF ADVISERS LIST
The following former members of the EAC Board of Advi:
Soney, Associate Director, Electronic Privacy

rs served in Fiscal Year 2012:
nformation Center

Appointed by First Last Title City State
Name Name

Architectural and Ron Gardner National Federation of Bountiful UT

Transportation Barrier the Blind of Utah

Compliance Board

Architectural and Vacant

Transportation Barrier

Compliance Board

Chief, Public Integrity Richard Pilger U.S. Department of Washington DC

Section, Criminal Division, Justice, Director,

US. Dept. of Justice Election Crimes Branch

Chief, Voting Section, Civil | Chris Herren Chief, Voting Section Washington DC

Division, U.S. Dept. of

Justice

Committee on House Stewart Cohen Attorney Philadelphia PA

Administration — Ranking

Member

Committee on House Donald Jones Advocate Willingboro NJ

Administration — Ranking

Member

Committee on House Keith Cunningham | Special Projects Mgr. Columbus OH

Administration — Chair Elections Division, OH

Committee on House Jill LaVine Registrar of Voters — Sacramento CA

Administration — Chair Sacramento Count!

Director, Federal Voting Robert Carey Director, FVAP Arlington VA

Assistance Program, U. S.

Department of Defense

International Association of | Robert Saar Executive Director, Wheaton IL

Clerks, Recorders, Election DuPage County Election

Officials and Treasurers Commission

International Association of | Elizabeth Ensley- Election Commissioner | Topeka KS

Clerks, Recorders, Election | “Libby” Deiter

Officials and Treasurers

National Association of Helen Purcell Maricopa County Phoenix AZ

Counties Recorder

National Association of Wendy Noren Boone County Clerk Columbia MO

Counties

National Association of Jan Kralovec Director of Elections, Chicago IL

County Recorders, Election Cook County j

Officials and Clerks

National Association of Neal Kelley Registrar of Voters, Santa Ana CA

County Recorders, Election Orange County

Officials and Clerks

National Association of Mark Ritchie Secretary of State, St. Paul MN

Secretaries of State Minnesota

National Association of Beth Chapman Secretary of State, Montgomery AL

Secretaries of State Alabama

National Association of Christopher | Thomas Director of Elections, Lansing MI

State Election Directors

State of Michigan



In order to understand the functional limitations the injured service members might experience when
engaged in voting activities, a sample of the target population was interviewed using a structured
interview battery. Due to the nature of the military environment, particularly in hostile, deployed settings,
service members experience a range of injuries that differs from those typically found in the general
population. Thus, the range of accommodations recommended for military voting will likely also differ
from those published for the general population. ITIF and their partners have also reviewed election
administration practices, focusing primarily on the State of Georgia, and election assistance services
provided by the Department of Defense and the Department of Veterans Affairs. They have developed a
set of recommendations for state election offices, the Department of Defense and Veterans Affairs, and
the Election Assistance Commission.

In FY 2012, the EAC monitored the Accessible Voting Technology Initiative, a $7,000,000 grant to
advance voting accessibility technology to enable citizens with disabilities to vote privately and
independently. The grant recipients are Clemson University, which is funded at $4,500,000 and the
Information Technology Innovation Foundation, which is funded at $2,500,000. The EAC, Clemson
University, and ITIF are also working closely with NIST on this Initiative.

This effort seeks to increase the accessibility of new, existing and emerging technological solutions in
such areas as assistive technologies, interoperability and voting system design. According to statistics
compiled by the U.S. Census, there are more than 50,000,000 Americans with disabilities and the United
States also faces a rapidly approaching demographic shift to an older population, which will result in an
increase in the incidence of disability. The HAVA disability requirements, specifically Section 301,
recognized the necessity for dramatically improving the voting process for this population and these
grants help further this vital mission.

Clemson University and their partners are working to advance the accessibility of elections and voting
through applied research, development, evaluation, dissemination and implementation of concepts and
technologies. Clemson University is working with an extensive set of partners including the Election
Center and Rutgers University. In 2012, they further pilot tested Prime Ill, a Clemson-produced election
prototype voting machine, and worked with a diverse group of organizations from the elections community
on research and development.

ITIF seeks to use a design-led innovation process to translate research, observations and insights into
actionable steps to change voting system technologies and processes to improve the voting experience
for people with disabilities. They are working closely with several organizations including the National

20


Research, Policy and Programs

The Research, Policy and Programs (RPP) division is responsible for implementing research, policy and
program initiatives including HAVA-mandated research that covers topics such as the number of ballots
cast and returned in accordance with the Uniformed and Overseas Citizens Absentee Voting Act of 1986
(UOCAVA); the number of registration applications submitted through various sources as stipulated by
the National Voter Registration Act of 1993 (NVRA); administration of the NVRA form; language
accessibility; and election management resources.

In FY 2012, RPP began, completed or made progress on several research projects, policy and program
initiatives described below, many of which are mandated by HAVA and/or authorized by Congress. The
list of projects and initiatives will continue to be revised in accordance with EAC and/or Congressional
priorities.

In addition to conducting HAVA-mandated research, RPP produces materials for voters and election
Officials to facilitate successful participation in federal elections. For voters, EAC’s national mail voter
registration form can be used in almost every State in the country. For election officials and voters, EAC’s
A Voter's Guide to Federal Elections can supplement state and local education materials. Many of the
materials, such as A Voter's Guide to Federal Elections and the Glossaries of Election Terminology, are
available in several non-English languages.

The division also administers the Election Management Guidelines program to help election officials
operate secure, accurate, and accessible elections by providing information on topics such as poll worker
recruitment and training, communicating with voters and the public, serving voters in long-term care
facilities, effective ballot design, contingency planning, and many others.

Under HAVA requirements, EAC collects information about election administration issues and shares that
information with Congress, election officials, and the public. In FY 2012, EAC released the results of the
2010 Election Administration and Voting Survey (EAVS). EAC also made progress in five research areas
by completing: (1) the final draft of a study on the use of Social Security numbers for the purpose of voter
registration; (2) the final draft of a study on Vote Recounts and Contests describing laws and procedures
in each state; (3) a statement of work and awarding a contract to perform research on administering
elections in urban and rural areas; (4) a competitive procurement process and awarding a contract to
administer and analyze the data for the 2012 EAVS; and (5) research on new jurisdictions and languages
covered by Section 203 of the Voting Rights Act as determined by the 2010 census for possible
translation of minority language election resources.

26


NIST director recommends the laboratory to EAC for accreditation. EAC makes the final determination to
accredit the laboratory. EAC issues the accreditation certificate to approved laboratories, maintains a
register of accredited laboratories and posts this information on EAC.gov.

Laboratories must adhere to the requirements of EAC’s Voting System Test Laboratory Program Manual
or face possible suspension or revocation of accreditation. These requirements include stringent conflict-
of-interest and compliance-management programs.

Currently, two test laboratories are accredited by EAC: SLI Global Solutions (formerly SysTest
Laboratories) and Wyle Laboratories. In FY 2012, EAC performed two laboratory accreditation renewal
audits and EAC and NVLAP performed an initial laboratory audit.

Information on Voting System Test Laboratory Accreditation, including the Voting System Test Laboratory
Program Manual, is posted in the Testing and Certification section of EAC.gov.

HAVA instructs EAC to establish the federal government's first voluntary program to test and certify voting
equipment. The certification program was established after the 2005 Voluntary Voting Systems
Guidelines (VVSG) were adopted and the first recommendations regarding laboratories for federal
accreditation were given to EAC by NIST in February 2007.

The first step in the certification process is manufacturer registration. Applicants are required to provide
written policies regarding quality assurance and document retention and also provide a complete list of
manufacturing facilities. Through registration with EAC, the manufacturer agrees to meet all program
requirements.

A manufacturer that has a system ready for testing submits an application for testing to EAC and selects
an EAC-accredited laboratory to conduct the testing. The laboratory submits a test plan to EAC for
approval; tests the voting system; and provides a test report, based on the findings from testing, to EAC
for review and action. EAC technical reviewers and staff members review the test reports. If the testing
and report of a system demonstrate conformance with all applicable voting system standards or
guidelines, the program director will recommend the system for certification. EAC’s executive director
considers the recommendation and provides a final decision on the system. Commissioners serve as the
appeal body. Upon certification, a system may bear an EAC mark of certification and may be marketed as
EAC certified.

In FY 2012, EAC certified five new or modified voting systems: Dominion Democracy Suite 4.0; Dominion
(Premier) Assure 1.3 (Modification); ES&S Unity 3.4.0.0 (Modification); ES&S Unity 3.2.0.0 Rev. 3
(Modification); and Unisyn OpenElect v.1.1 (Modification). Additionally, the Testing and Certification
Division performed ongoing testing for four voting systems or system modifications. EAC published six
Requests for Interpretation (RFls) to the VVSG; drafted and published two Notices of Clarification to

22


FISCAL YEAR 2012 ACTIVITIES REPORT —- EAC BOARD OF ADVISERS LIST
The following former members of the EAC Board of Advisors seryed in Fiscal Year 2012:

Lillie Coney, Associate Director, Electronic Privacy Information Center

Appointed by First Last Title City State
Name Name
National Association of Linda Lamone Executive Director, MD | Annapolis MD
State Election Directors State Board of Elections
National Conference of Sue Landske Senator, Indiana State Cedar Lake IN
State Legislatures Senate
National Conference of Thomas Reynolds Representative, Charleston MS
State Legislatures Mississippi State
Legislature
National Governors Assn. Vacant
National Governors Assn. Vacant
Senate Rules & Admn. Greg Bell Lieutenant Governor, Salt Lake City | UT
Committee - Ranking State of Utah
Member
Senate Rules & Admn. Vacant
Committee — Ranking
Member
Senate Rules & Admn. James Dickson V.P. for Organizing & Washington DC
Committee - Chair Civic Engagement,
American Assn. of
People with Disabilities
Senate Rules & Admn. Barbara Bartoletti Legislative Director, N. Greenbush | NY
Committee — Chair League of Women’s
Voters of NY State
The Election Center Doug Lewis Executive Director Houston TX
The Election Center Ernie Hawkins Chair, Board Of Elk Grove CA
Directors
U.S. Commission on Civil Abigail Thernstrom Vice Chair McLean VA
Rights
U.S. Commission on Civil Roberta Achtenberg Commissioner San Francisco | CA
Rights
U.S. House Minority Leader | Vacant
U.S. House Speaker Tom Fuentes The Claremont Institute | Lake Forest CA
U.S. Senate Majority Leader | Dr. Barbara | Simmons Researcher, Assn. for San Francisco | CA
Computing Machinery
U.S. Senate Minority Leader | Sarah Ball | Johnson Executive Director, Frankfort KY
KY Board Of Elections
United States Conference of | Vacant
Mayors
United States Conference of | Vacant
Mayors



made test scripts will improve accuracy, eliminate tester bias, reduce cost for local jurisdictions and
remove reliance on voting equipment vendor-generated test decks. While the project will first focus on
developing test scripts for Boone County, additional programming will be developed that will allow
other jurisdictions in the state to generate test scripts from voter registration data regardless of the
ballot counting system.

County of Humboldt, Eureka, CA: $25,000
The Humboldt County Elections Department (HCED) has been working with the Humboldt County
Election Transparency Project (EPT) for more than two years, supplementing the Department's official
vote counting equipment by scanning all cast ballots on a commercial off the shelf scanner. The
resulting ballot images are made available to interested parties, so that any interested party may
conduct their own vote counts off of their ballot images. The open source software developed by Mitch
Trachtenberg is freely available, and the current version builds its own “ballot definition files” by
scanning ballots via optical character recognition, thus eliminating the need to reprogram for each
ballot. Funds from this award will be used to develop better reporting capabilities for the software and
for a training manual to assist those conducting audits in Humboldt and other counties interested in
this method.

Cook County, Chicago, IL: $125,000
Cook County Clerk, David Orr, plans to document current Pre-Election Logic and Accuracy testing and
Post election audit processes and develop an improved data-driven Election Verification and Audit
Tool Kit that integrates and analyzes all election data streams. Funds from this award will be used for
enhanced database design, real time connectivity, customized code development, and the
development of a public guide to these testing procedures. The Tool Kit in combination with the public
guide will achieve a level of automation and database utilization that will provide both a diagnostic tool
to identify areas of focus for judge training and streamlined election administration, as well as a
replicable prototype for other election jurisdictions that wish to enhance their ability to produce data
that can augment vote count accuracy.

Indiana Election Division, \ndianapolis, IN: $143,074
The State of Indiana, which uses both Direct Recording Electronic (DRE) and optical scan voting
systems, will develop general protocols for a L&A checklist as well as specific protocols for different
voting systems, based on surveys with election officials. In addition, current procedures governing
chain of custody of voting records will be collected from the counties and analyzed in order to develop
improved procedures to govern post-election audits. Post-election audit forms will be developed to
manage the procedures to be followed after the election.


The Board of Advisors elects a chair, vice chair and secretary from its members. Officers serve for a term
of 1 year and may serve no more than two consecutive terms in any one office.

Standards Board
The Standards Board consists of 110 members; 55 are state election officials selected by their respective

chief state election official and 55 are local election officials selected through a process supervised by the
chief state election official. HAVA prohibits any two members representing the same state to be members
of the same political party.

The Board elects nine members to serve as an executive board, of which not more than five can be state
election officials, not more than five can be local election officials and not more than five can be members
of the same political party.

Technical Guidelines Development Committee
HAVA mandates that the TGDC help EAC develop the VVSG, a task that was completed in May 2005.

The VVSG are not mandatory and each state retains the prerogative to adopt these guidelines.

By law, the chairperson of the TGDC is the director of NIST. The TGDC is composed of 14 other
members appointed jointly by EAC and the director of NIST. Members include representatives from the
EAC Standards Board, EAC Board of Advisors, Architectural and Transportation Barriers Compliance
Board, American National Standards Institute, Institute of Electrical and Electronics Engineers, the
National Association of State Election Directors (2 representatives) and other individuals with technical
and scientific expertise related to voting systems and voting equipment.

TGDC meeting minutes, roster, resolutions and other related material are available at www.vote.nist.gov.

In FY 2012, EAC held four roundtable discussions, which were also available to the public via webcast.
Roundtable discussion topics included Veterans Voting this November; 2012 Voting System Preparation;
Getting Ready for the November 2012 Elections, and EAC National Clearinghouse on Elections.

Public meetings, hearings and roundtables are available to the public via archived webcasts and meeting
agendas, minutes and testimony are posted at EAC.gov.

In FY 2012, EAC also conducted briefings for visiting foreign delegations under the auspices of the U.S.
State Department to explain EAC’s role and function as a national clearinghouse, and how EAC's
resources and tools serve and support election officials around the country as they prepare for the 2012
election. Delegations included election officials and news media journalists from the following nations:
Afghanistan, Burkina Faso, Chad, Korea, Mali, Mauritania, Senegal, Niger, and Russia. Another briefing


Moving Forward

In fiscal year 2013 the U.S. Election Assistance Commission plans to build upon its core mission work:
developing guidance to meet HAVA requirements, adopting voluntary voting system guidelines, and
serving as a national clearinghouse of information on election administration. However, the EAC
anticipates it will experience challenges due to an absence of a quorum.

In FY 2013, EAC plans on finalizing records management handbooks. Further, once a quorum of the
Commissioners is present, EAC will examine remaining policies and procedures related to clearinghouse
and communications and public comments regarding the National Mail Voter Registration Form.

The Office of Inspector General Activities

In FY 2012, the OIG provided oversight to the independent public accounting firm that performed the
annual audits of EAC’s financial statements and its compliance with the Federal Information Security
Management Act (FISMA). The auditors were unable to express an opinion on the EAC’s balance sheet
as of September 30, 2012, and on the related statements of net cost, changes in net position, and the
statement of budgetary resources for the year then ended. The disclaimer resulted from EAC’s inability to
provide accurate and timely accounting information from its general ledger, could not support amounts
recorded for its grant expenses incurred and advances paid, and due to internal control and other
accounting issues was unable to provide sufficient competent evidential support for the amounts
presented in the 2012 financial statements. The audit identified material weaknesses in the preparation
of and support for financial statements and footnote disclosures and the lack of controls over journal
vouchers.

The annual FISMA audit revealed that EAC was in substantial compliance with FISMA requirements,
Office of Management and Budget policy and guidelines, and applicable National Institute of Standards
and Technology standards and guidelines for the security control areas that were evaluated. The audit
found that EAC had developed an agency-wide internet technology security program based upon
assessed risk, and the security program provided reasonable assurance that the agency's information
and information systems were appropriately protected. However, the audit noted one area relating to the
vulnerability scans of EAC’s internal network where EAC’s controls and processes could be further
strengthened. During the audit, . EAC officials took action to address the vulnerabilities identified.

In addition to conducting the audit and performing investigative work, the OIG annually issues a report to
EAC out lining the most significant management challenges. In FY 2012, the OIG reported on three

32


numerous comments and held three public hearings on the proposed changes in 2010. The testimony
presented was made available to the public on the EAC Web site at EAC.gov. Once a quorum of
commissioners is established, EAC will issue a Final Notice of Proposed Rulemaking. In addition, EAC
will analyze the public input to determine whether the national mail voter registration form must be revised
and the nature of guidance that EAC should provide to the states.

The primary focus of the Programs Department of RPP was to provide additional resources for voters and
election officials before the 2012 federal general election. Resources included election management
materials, information on registration deadlines and basic information about federal elections. EAC
responded to requests from state and local election officials, Congress and the public-at-large for a range
of materials including: Voter’s Guides to Elections; Glossaries of Election Terms in various languages;
NVRA registration forms and accompanying state instructions for completing the form; and educational
resources on designing ballots, recruiting and training poll workers and managing certain aspects of the
elections process.

EAC also conducted a number of presentations and distributed material highlighting its educational
resources at conferences and workshops around the country. The presentations highlighted key best
practices and tips gathered from EAC research on topics such as poll worker recruitment and training,
designing ballots, making contingency plans, ensuring voting accessibility and communicating with the
public. In recognition of September as Voter Registration month, EAC staff developed a guide “Voting
Tips To Enhance Your Voting Experience”. In an effort to enhance the November voting experience,
EAC distributed 30,000 of these voter's guides to each of the 55 State election offices.

Communications and Clearinghouse

The Communications and Clearinghouse division is responsible for external communications and the
tools and platforms used to provide information to election officials and the general public. Areas of
responsibility include:

EAC Website and Clearinghouse

Social media

Media inquiries

External communications

Congressional relations

The Freedom of Information Act

National Archives and Records Act

Editorial support: press releases, speeches, and Congressional testimony

29


Social Media and Stakeholder Updates

« The EAC Blog: allows EAC to provide periodic election updates and highlight program activities.
Weekly Election Updates summarize information on upcoming primaries, special elections, and
the general election in 2012.

© @EACgov on Twitter: another tool used to communicate with stakeholders and the public on
EAC activities and election information. The number of EAC Twitter followers grew from 250 to
over 900 from October, 2011 through September, 2012.

e #BReady2012: a Twitter hashtag hosted and created by EAC provided an online meeting place
for election officials and the public to gather and discuss preparation for the next federal election.

* EAC maintains and emails a public list of election officials and has used the platform to inform
thousands of people about program activities.

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

« EAC continued the series of public roundtable discussions begun in FY 2011 about topics and
initiatives in preparation for the 2012 federal election cycle. In the two fiscal years (2011-2012),
EAC hosted nine roundtables and the discussions were webcast live and featured a live
Twitterfall. Four roundtable discussions were held in FY 2012. Questions and comments were
taken from the public through the webcasts. Participants included election officials and subject
matter experts who provided real world solutions to the issues facing election officials and voters
in preparation for the 2012 elections. EAC distributed press advisories to national media
daybooks and contacts, and to the home state/local media outlets representing roundtable
participants. Roundtables included: 2012 Voting System Preparation (November 17, 2011); EAC
Clearinghouse (March 20, 2012); Getting Ready for November (June 19, 2012); Veterans Voting
This November (September 13, 2012).

Operations

EAC is an independent, bipartisan agency created by the Help America Vote Act (HAVA) that assists and
provides guidance to state and local election administrators in improving the administration of elections
for federal office. EAC provides assistance by disbursing federal funds to states to implement HAVA
requirements, auditing the use of HAVA funds, adopting the Voluntary Voting System Guidelines (VVSG)
and serving as a national clearinghouse and resource of information regarding election administration.
EAC also accredits voting system testing laboratories and certifies, decertifies and recertifies voting
systems.


Programs:

Program staff conducted presentations and distributed material highlighting EAC educational
resources at conferences and workshops. For example, presentations by program staff at
workshops and conferences highlighted key best practices and tips gathered from EAC research
on topics such as poll worker recruitment and training, designing ballots, making contingency
plans, ensuring voting accessibility and communicating with the public.

In recognition of September as Voter Registration month, EAC staff developed a guide, “Voting
Tips To Enhance Your Voting Experience”. In an effort to enhance the November voting
experience, EAC distributed 30,000 of these voter’s guides to each of the 55 State election
offices.

Program staff assisted in planning and executing a June roundtable discussion on EAC’s
clearinghouse of educational resource materials and was a regular contributor to EAC blog posts
that offered helpful tips and best practices on effective election administration procedures.
Responded to requests from state and local election officials, Congress, the media and the
public-at large for a range of materials including: Voter’s Guides to Elections; Glossaries of
Election Terms in various foreign languages; NVRA registration forms and accompanying state
instructions for completing the form; and educational resources on designing ballots, recruiting
and training poll workers and managing the elections process.

Clarified various data reported in the biennial EAC Election Administration and Voting Survey;
Provided assistance regarding the completion of the Federal NVRA form; and

Responded to requests to clarify certain technical aspects of election procedures and processes.

Communications & Clearinghouse

In FY 2012 highlights include:

The Communications and Clearinghouse division focused its efforts on providing information and
best practices to election officials and voters in preparation for the 2012 federal election cycle.
The goal was to build a community of knowledge and expertise that would save election officials
time and money as they faced the challenge of providing more services to voters with fewer
resources and more budget constraints. EAC embraced the tenets of Government 2.0 and
established a robust network of information sharing for election officials and professionals.

EAC.gov Resources

The Election Official Exchange: an online resource built by EAC to help local election officials
connect and leverage their collective knowledge by sharing best practices and knowledge

Enhanced and improved search tool: based on usability studies and user feedback, EAC’s search
tool is an intuitive and user friendly way for the public to find information.

Events finder: a comprehensive presentation of all EAC public events, including meetings,
hearings and roundtable discussions.

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

Customized program updates: a listserv for EAC’s newsletter and automatic program updates.
Users are notified daily or weekly when new documents are posted based on their delivery
preferences.


City of Takoma Park, Takoma Park, MD: $25,000
The City of Takoma Park, MD proposes to document the procedures, practices, and policies when
using post-election End-to-End (E2E) verifiable voting technologies, and to measure the impact of E2E
voting on voters and election officials. All documentation produced by this project will be reviewed by
the City of Takoma Park election officials, along with experts in the fields of computer security, election
systems, and accessibility through its research partner, the Voting Systems Institute (VSI). The results
of this research will increase knowledge and understanding on how other jurisdictions can successfully
implement E2E verifiable post-election audit technology.

State of New York Board of Elections, Albany, NY: $230,000
The New York State Board of Elections (NYSBOE) is refining the Logic and Accuracy and Post-
Election audit procedures that are used in its 62 county board of elections. For the L&A portion of its
proposal, NYSBOE will develop training materials and identify changes to current practices for cost
savings. NYSBOE also plans to develop a post election audit procedure that will statistically verify the
results obtained from the voting systems. Anticipated outcomes include the use of ballot images, the
identification (through the use of statistical modeling) of an appropriate sample size, development of
proper chain of custody procedures, and development of a threshold that adjusts the audit percentage
based on the closeness of the election. Based on the results of the project, the current L&A and Post-
election Audit procedures will be revised and disseminated for statewide implementation.

Orange County, Santa Ana, CA: $125,000
Orange County Registrar of Voters proposes a two phase approach to examining and improving its
current audit processes and procedures: The first phase will analyze paper ballot accounting and the
potential conflicts associated with the process of paper voting, chain of custody, canvass instructions,
rosters, board member qualifications, supplies, and seals. The second phase will examine the voting
performance of the county's Hart InterCivic electronic voting system including the Voter Verified Paper
Audit Trail (VVPAT). A detailed review of policies and procedures in these areas ensures post-election
audits are conducted with integrity and transparency which enhances public confidence in the voting
process.

County of Santa Cruz, Santa Cruz, CA: $25,000
The Santa Cruz County Clerk proposes to improve current pre-election logic and accuracy testing and
post-election auditing for blended voting systems. The county will create procedures, checklists,
physical measures, etc., that create a more efficient process by removing overlapping procedures,
reducing staff required, and increasing uniformity both between counties and internally from one
election to the next. The work will focus on more comprehensive testing prior to the election and a
more detailed series of post-election audits focusing on easy audits and clear and comprehensive

18


mismanagement in EAC programs and operations. Its reports serve to educate and inform clients (EAC,
the Congress, the Office of Management and Budget, the Government Accountability Office, state
governments, other federal entities, and the public) of opportunities to improve the efficiency and
effectiveness of EAC and its programs.

HAVA established a 37-member Board of Advisors and a 110-member Standards Board to help EAC
carry out its mandates under the law. Further, HAVA Section 221 established the Technical Guidelines
Development Committee (TGDC) to help EAC develop the VVSG. These governing boards provide
valuable input and expertise in forming guidance and policy. On January 25, 2011, the General
Counsel/Acting Executive Director issued a Memorandum suspending activity by the advisory boards.
The memo states, in part,

“Boards and commissions subject to the provisions of FACA must have a Designated Federal Official
(DFO) in order to conduct official business, at both the full committee and subcommittee level. It is the
policy of the EAC (adopted on September 12 and certified September 15, 2008) that those positions be
designated by the chair.....With no commissioners, there is no commission chair to appoint DFOs. And
absent a quorum of commissioners, there are no means by which to change this established policy of
appointing/replacing the DFOs.”

The complete memorandum is available at EAC.gov.

Board of Advisors
EAC’s Board of Advisors includes members appointed by the following groups as specified in HAVA (two

members appointed by each): National Governors Association; National Conference of State
Legislatures; National Association of Secretaries of State; The National Association of State Election
Directors; National Association of Counties; National Association of County Recorders, Election Officials
and Clerks; The United States Conference of Mayors; Election Center; International Association of
Clerks, Recorders, Election Officials and Treasurers; the U.S. Commission on Civil Rights; and
Architectural and Transportation Barriers Compliance Board.

Other members include representatives from the U.S. Department of Justice, Public Integrity Section of
the Criminal Division and the Voting Section of the Civil Rights Division; the director of the U.S.
Department of Defense Federal Voting Assistance Program; four professionals from the field of science
and technology, with one each appointed by the Speaker and the Minority Leader of the U.S. House of
Representatives and by the Majority Leader and Minority Leader of the U.S. Senate; and eight members
representing voter interests, with the chairs and the ranking minority members of the U.S. House of
Representatives Committee on House Administration and the U.S. Senate Committee on Rules and
Administration each appointing two members.


Received three system advisory notices (voluntarily submitted by the manufacturer) for the
Premier Assure 1.2 system: AV-TSX “System Halt — 13” error message, AV- TSX revised
“System Halt — 13” error message and GEMS Standard Export Error Message "The Export
produced no Output". ‘

Information generated by the Quality Monitoring Program, including anomaly reports, are posted in the

Testing and Certification section of EAC.gov.

In an effort to increase efficiency and streamline the certification process, EAC established the Requests

for Interpretation (RFI) process. This process enables program participants to request interpretations of
the VVSG. In addition, EAC established the Notice of Clarification (NOC) process, through which EAC
issues clarifying language based on written requests from manufacturers or test laboratories seeking

clarification about a program requirement, policy or guideline. In FY 2012, the EAC published six RFIs

and issued two NOCs:

RFI 2012-01 -- EAC Decision on Ballot Handling - MultiFeed
RFI 2012-02 -- EAC Decision on Transmission of Results (Official and Unofficial Results)

RFI 2012-03 -- EAC Decision on Configuration Management of Commercial Off The Shelf
(COTS) Products

RFI 2012-04 -- EAC Decision on Software Setup Validation
RFI 2012-05 -- EAC Decision on Public Telecommunications and Cryptography

RFI 2012-06 -- EAC Decision on Use of Public Telecommunications Networks and Data
Transmission

NOC 2012-01 -- Clarification of COTS Product Equivalency for De Minimis Change

NOC 2012-02 -- Clarification of System Identification Tool Functionality

All RFls and NOCs are available in the Testing and Certification section of the EAC Web site at EAC. gov.

¢ Participated in EAC roundtable discussion: 2012 Voting System Preparation (Nov. 17, 2011), a

discussion on cost-effective procedures and best practices for conducting voting system
preparation activities. Topics included ballot preparation, acceptance testing, and logic and
accuracy testing.

24


2012 Activities Report

VOTE

U. S. ELECTION ASSISTANCE COMMISSION


One EAC employee processes FOIA requests, but this employee is not solely dedicated to FOIA
activities. The EAC spent approximately $15,000 processing FOIA requests in FY 2012. The EAC
granted fee waiver requests on all completed FOIA requests.

The EAC’s FOIA regulations instructions for submitting a request and the FOIA Reading Room are
available to the public at www.eac.gov.

Federal Financial Assistance To Improve Federal

Elections

EAC's Grants Management Division distributes and monitors HAVA funds, provides technical assistance
to states and grantees on the use of funds, and reports on requirements payments and discretionary
grants to improve the administration of elections for federal office. The division also ensures the
negotiation of indirect cost rates with grantees and resolves audit findings on the use of HAVA 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 if the state, per Section 251, certifies
that it has implemented the requirements of Title III or that the amount it will spend on other activities will
not exceed an amount equal to the minimum payment amount applicable under Section 252. Title Ill
includes voting system standards, voting information requirements, provisional voting, statewide voter
registration lists and identification requirements for voters who register by mail.

To assist state and local governments regarding the proper use of HAVA funds, EAC established the
Advisory Opinion request process, through which any federal or state government official, or any member
of the EAC staff may request an advisory opinion concerning the use of HAVA funds. Prior to losing its
quorum of Commissioners in FY 2011, EAC issued one Funding Advisory Opinion. All Funding Advisory
Opinions are available at EAC.gov.

The Help America Vote College Program, established by HAVA Section 501, provides grants to
encourage student participation as poll workers or assistants, to foster student interest in the electoral
process and to encourage state and local governments to use students as poll workers. EAC awarded no
new College Poll Worker grants in FY 2012, but continued to monitor and provide technical assistance to
its 2010 College Poll Worker grant programs.

The Help America Vote College Poll Worker grants help relieve poll worker shortages across the country
and provide election officials with technically proficient poll workers. According to EAC’s 2008 Election


was conducted for representatives from the Office for Democratic Institutions and Human Rights (ODIHR)
in the Organization for Security and Cooperation in Europe (OSCE).

Since 2004, EAC has received funds in three appropriations: Salaries and Expenses (S&E), Election
Reform Programs and for FY 2008 only, Election Data Collection Grants. The purpose of the Data
Collection grants of $2.0 million each to five states was to measure the costs of improving the collection
of election data at the precinct level during the 2008 federal election.

In FY 2012, the Salaries and Expenses appropriation of $11,500,000 funded a $2.75 million transfer to
NIST; and general office expenses including salaries, travel, rent, and expenses incurred for telecom-
munications, printing, contracts, supplies, and equipment. EAC is currently administering 13 College Poll
Worker recruitment and training grants and 6 Mock Elections for high school student grants funded in the
S&E appropriation.

During FY 2012, EAC received a disclaimer on the financial statement and a clean opinion on the Federal
Information Security Management Act audits.

In FY 2012, EAC monitored, from the Election Reform Programs funds, two Accessible Voting
Technology Initiative grants totaling $7 million to support research and activities to increase the
accessibility of new, existing and emerging technological solutions that help ensure all citizens can vote
privately and independently; and 12 Pre-Election Logic and Accuracy (L&A) Testing and Post-Election
Audit Initiative grants totaling $1,463,074 to support the research, development, documentation and
dissemination of a range of procedures and processes used in managing and conducting high-quality
L&A testing and post-election audit activities.

In FY 2012, the EAC received eight requests under the Freedom of Information Act (FOIA). Seven of
them were processed and completed and one was pending completion at the end of the fiscal year.

The median processing time for completed requests was 27 days; and the average was 30.85 days. The
range in number of days for completed responses was 10 to 97 days. As of the end of the fiscal year, the
pending request had been open 67 days.

There were no instances in which the EAC did not comply with a completed request. EAC withheld three
documents in one request under FOIA exemption 4. The documents withheld included proprietary
information belonging to another federal agency which was withheld at its request, in accordance with 5
USC 552(b)(4). An appeal was made for EAC to reverse the decision to withhold the three documents.
EAC denied the appeal based on the fact that the request must be made to the agency that retained
proprietary rights to the material and the agency which asserted the FOIA privilege. There were no
instances where a court reviewed a decision to withhold, no administrative appeals were made, and there
was one expedited review request.

10


cultivates a list of Election Office Twitter accounts to facilitate ongoing communication between election
officials.

EAC social media highlights for 2012 include:

The EAC Blog: allows EAC to provide periodic election updates and highlight program activities.
Weekly Election Updates summarize information on upcoming primaries, special elections, and
the general election in 2012. Weekly Voting System Testing Updates track progress made on
EAC system certification. Ongoing blog posts cover election related topics to answer frequently
asked questions and provide critical or time sensitive information to stakeholders and the media.

@EACgov on Twitter: another tool used to communicate with stakeholders and the public on
EAC activities and election information. The number of EAC Twitter followers grew from 250 to
over 900 from October, 2011 through September, 2012.

#BReady2012: a Twitter hashtag hosted and created by EAC provided an online meeting place
for election officials and the public to gather and discuss preparation for the 2012 election.

EAC maintains and emails a public list of election officials and has used the platform to inform
thousands of people about program activities. For example, EAC can rapidly deliver information
and updates about the voting system certification program across the country. As requests are
received from election officials, EAC continues to add more links to state & local election social
media sites.

The EAC was also committed in 2012 to expanding an informative internet presence through our official
website www.eac.gov.

EAC website highlights for 2012 include:

.

The Election Official Exchange: an online resource built by EAC to help local election officials
connect and leverage their collective knowledge by sharing best practices and knowledge. By
participating in the Exchange, any U.S. election official can call on a colleague for advice about
virtually any administrative task they face, from testing voting equipment and training poll workers
to creating an audit trail and conducting a recount.

Enhanced and improved search tool: based on usability studies and user feedback, EAC’s search
tool is an intuitive and user friendly way for the public to find information.

Events finder: a comprehensive presentation of all EAC public events, including meetings,
hearings and roundtable discussions.

Webcasts: public events are offered live. On demand webcasts are available within 24 hours. The
meeting agenda accompanies the webcast, and the viewer can select topics of interest. All
meeting materials are also available to the public.

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

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

31


The agency's website, www.eac.gov, is the primary communications tool. EAC.gov contains thousands of
documents and information about voting systems, press releases, informational videos, research, data
and program-related information. It also features on-demand webcasts and related information from
public meetings, hearings and roundtables.

EAC’s award-winning website features a user-driven notification system, allowing visitors to customize
how they receive information. Users can customize their online experience by signing up for automatic e-
mail alerts on a variety of election topics and events, including public meetings, advisory board meetings,
reports, policies and agency news. These alerts can be received in real time on a daily or weekly basis.

In Fiscal Year 2012, the Communications and Clearinghouse division focused its efforts on providing
information and best practices to election officials and voters in preparation for the 2012 federal election
cycle. The goal was to build a community of knowledge and expertise that would save election officials
time and money as they faced the challenge of providing more services to voters with fewer resources
and more budget constraints.

In Fiscal Year 2012, EAC continued the series of public roundtable discussions begun in FY 2011 about
topics and initiatives in preparation for the 2012 federal election cycle. In the two fiscal years (2011-
2012), EAC hosted nine roundtables and the discussions were webcast live and featured a live Twitterfall.
Questions and comments were taken from the public through the webcasts. Participants included
election officials and subject experts who provided real world solutions to the issues facing election
officials and voters in preparation for the 2012 election season.

EAC roundtables in FY 2012:

© 2012 Voting System Preparation (November 17, 2011), a discussion on cost-effective procedures
and best practices for conducting voting system preparation activities. Topics included ballot
preparation, acceptance testing, and logic and accuracy testing.

¢ EAC Clearinghouse (March 20, 2012) roundtable to highlight and build on EAC’s role as a
national clearinghouse and resource for election officials around the country. Participants shared
ideas and strategies for improving the administration of elections in the U.S.

© Getting Ready for November (June 19, 2012), a discussion on what to expect and how to prepare
for November and beyond. Participants shared ideas and strategies about voting system
preparation, ballot preparation, voter education, polling places, voter turnout, provisional ballots
and more.

e Veterans Voting This November (September 13, 2012), a roundtable where participants
discussed election operations, procedures and accessibility best practices for improving access
to voting for veterans with disabilities.

The EAC has been extremely active using social media to reach election officials in new and engaging
ways. Technology is transforming elections and the EAC wants to be at the forefront of the field. In
particular, the EAC has developed an interactive blog and an active twitter account. Additionally, the EAC

30


At the beginning of FY 2012 EAC had two commissioners serving, Gineen Bresso and Donetta Davidson,
and two vacancies. Commissioners, who are nominated by the President and confirmed by the U.S.
Senate, may serve only two consecutive terms. Commissioners serve staggered terms. No more than two
commissioners may belong to the same political party.

Commissioner Gineen Bresso resigned on December 21, 2011 and Commissioner Donetta Davidson
resigned on December 31, 2011.

Thomas Wilkey was named executive director of EAC in May 2005 by a unanimous vote of the
commissioners and was unanimously reappointed to the post in June 2009 for an additional 4-year term.
His duties included managing daily operations, preparing program goals and long-term plans, managing
VVSG development, reviewing reports and studies and overseeing EAC staff appointments. On
November 30, 2011, Thomas Wilkey resigned as executive director.

Mark Robbins was appointed by the Commission in September, 2010 as EAC General Counsel. In
accordance with HAVA, the general counsel is appointed to a 4-year term and may serve additional terms
by a vote of EAC. As EAC’s chief legal officer, Mr. Robbins provided advice to commissioners and senior
leadership on legal issues affecting EAC’s activities and operations. On December 1, 2011, Mark A.
Robbins assumed the duties as General Counsel and Acting Executive Director. Mark Robbins resigned
as General Counsel.

Alice P. Miller serves as chief operating officer for the EAC, a position she has held since June, 2008. Ms.
Miller oversees the day-to-day operations at EAC in all program areas and serves as EAC’s acting
executive director, managing an $11.5 million budget. Since her arrival, Ms. Miller's leadership role at
EAC has enabled the agency to serve its mission while developing and integrating policies and
procedures aimed at improving efficiency and transparency.

Ms. Miller came to EAC after serving as the former general counsel and executive director of the District
of Columbia Board of Elections and Ethics. On May 16, 2012, Alice P. Miller assumed the duties as Chief
Operating Officer and Acting Executive Director.

EAC’s Office of Inspector General (OIG) conducts audits, investigations and other reviews of EAC’s
programs and operations. This includes internal reviews of how EAC conducts business as well as
reviews of recipients of funds disbursed by EAC. Its work is designed to enhance the economy, efficiency
and effectiveness of EAC. The OIG also works to detect and prevent fraud, waste, abuse and


Federation of the Blind and the Georgia Institute for Applied Technology Research Corporation. In FY
2012, ITIF conducted competitive sub-grant competitions proposals.

Testing and Certification

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 the National Institute of Standards
and Technology to evaluate and accredit voting system test laboratories and the management of the
voting system certification process.

The Testing and Certification (T&C) division:
e 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 through the EAC quality monitoring
program; and

* 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.

In FY 2012, the Voting Systems Testing and Certification division certified five new or modified voting
systems, monitored the testing for four voting systems or system modifications and published a final
formal investigation report. Additionally, EAC attended meetings with the National Association of Election
Directors (NASED); Election Center; EVN, Pennsylvania State Election Officials; the Technical Guidelines
Development Committee (TGDC); NIST; and the USENIX conference. EAC also organized and attended
technical reviewer meetings, manufacturer meetings, the State Certification Symposium (Indianapolis,
IN), and kick off meetings for new test campaigns. EAC staff witnessed primary and general Election Day
activities in a number of counties. Information regarding systems in testing, test plans, test reports and
decisions on certification are posted in the Testing and Certification section of the EAC Web site at
EAC.gov.

HAVA Section 231 requires EAC and NIST to develop a program for accrediting voting system testing
laboratories. The National Voluntary Laboratory Accreditation Program (NVLAP) of NIST evaluates test
laboratories and performs periodic re-evaluations to verify that the laboratories continue to meet the
accreditation criteria. When NIST determines a laboratory is technically competent to test systems, the

21


Members of the Standards Board who served in FY20

State Designee | First Last itle City

Montana State Jorge Quintana Chief Legal Counsel Helena MT

Montana Local Charlotte Mills Gallatin County Clerk and | Bozeman MT
Recorder

Nebraska State John Gale Secretary of State Lincoln NE

Nebraska Local David Dowling Cedar County Clerk & Hartington NE
Election Commissioner

Nevada State Scott Gilles Deputy Secretary of State | Carson City NV
for Elections

Nevada Local Harvard L. | Lomax Clark County Registrar of | North Las NV
Voters Vegas

New State Anthony Stevens Assistant Secretary of Concord NH

Hampshire State

New Local Robert Dezmelyk Moderator, Town of Newton NH

Hampshire Newton

New Jersey State Robert Giles Director Trenton NJ

New Jersey Local Linda Von Nessi Clerk of the Board Newark NJ

New Mexico State Bobbi Shearer Bureau of Elections Santa Fe NM
Director

New Mexico Local Lynn Ellins Dona Ana County Clerk Las Cruces NM

New York State Robert Brehm Co-Executive Albany NY
Director/Chief Election
Official

New York Local Robert Howe Cortland County Cortland NY
Commissioner

North Carolina | State Gary Bartlett Executive Director, State Raleigh NC
Board of Elections

North Carolina_| Local Deborah J._| Bedford Director of Elections Rutherford NC

North Dakota State James Silrum Deputy Secretary of State_| Bismarck ND

North Dakota Local Michael M._| Montplaisir Cass County Auditor Fargo ND.

Ohio State Matt Masterson Deputy Elections Columbus OH
Administrator

Ohio Local Steven Harsman Director, Montgomery Dayton OH
County Board of Elections

Oklahoma State Thomas Prince Chairman, State Election | Edmond OK
Board

Oklahoma Local Doug Sanderson Secretary, Oklahoma Oklahoma City | OK
County Election Board

Oregon State Steve Trout Director Salem OR

Oregon Local Tamara Green Baker County Clerk Baker City OR

Pennsylvania__| State VACANT PA

Pennsylvania _| Local VACANT PA

Puerto Rico State Maria D. Santiago First Vice President San Juan PR

Rodriguez
Puerto Rico Local Nestor J. Colén Second Vice President San Juan PR
Berlingeri
Rhode Island | State Robert Kando Executive Director, State | Providence RI

Board of Elections



Members of the Standards Board who served in FY20

State Designee | First Last Title City
Rhode Island__| Local VACANT
South Carolina | State Marci Andino Executive Director Columbia sc
South Carolina | Local Edith Redden Director, Williamsburg Kingstree sc
County
Voter Registration
South Dakota_| State Aaron Lorenzen Director of Elections Pierre SD
South Dakota | Local Patty McGee Sully County Auditor Onida. SD
Tennessee State Mark Goins State Coordinator of Nashville TN
Elections
Tennessee Local Marshall McKamey Campbell County Election | LaFollette TTMN
Commissioner
Texas State Paul Miles Senior Attorney/Voting Austin TM
System Examiner
Texas Local Dana DeBeauvoir Travis County Clerk Austin TX
Utah State Mark Thomas Director of Elections Salt Lake City | UT
Utah Local Robert Pero Carbon County Clerk Price UT
Vermont State Kathleen Scheele Director of Elections Montpelier VT
Vermont Local Melissa Ross Hinesburg Town Clerk Hinesburg VT
Virgin Islands | State John Abramson, Supervisor of Elections Kingshill, St. vi
Jr. Croix
Virgin Islands | Local Corinne Halyard Deputy Supervisor of Kingshill, St. vi
Plaskett Elections Croix
Virginia State Don Palmer Secretary, Virginia State Richmond VA
Board of Elections
Virginia Local Renee Andrews Secretary, City of Falls Falls Church VA
Church
Electoral Board
Washington State Shane Hamlin Co-Director of Elections Olympia WA
Washington Local Kristina Swanson Cowlitz County Auditor Kelso WA
West Virginia State Layna Valentine- HAVA Coordinator Charleston WV
Brown
West Virginia Local Jeff Waypbright Jackson County Clerk Ripley WV.
Wisconsin State Nathaniel Robinson Election Division Madison wi
Administrator
Wisconsin Local Sandra L. Wesolowski Franklin County Clerk Franklin Wi
Wyoming State Peggy Nighswonger_| State Election Director Cheyenne WY
Wyoming Local Julie Freese Fremont County Clerk Lander WY



The 2010 Election Administration and Voting Survey

In FY 2012, EAC released the fourth iteration of the Election Administration and Voting Survey (EAVS).
The report covers the 2-year period from the November 2008 elections through the November 2010
elections and is based on the results of a survey of all States, the District of Columbia, and four
territories—American Samoa, Guam, Puerto Rico, and the U.S. Virgin Islands. In addition to providing
basic information about voting, it includes data used for two federally mandated reports — the impact of
the National Voter Registration Act (NVRA) (see the FY2011 Activities Report) and the Uniformed and
Overseas Citizen Absentee Voting Act (UOCAVA).

Select findings from the EAVS Report:

¢ According to the data submitted by the States and territories, 90,810,679 individuals participated
in the 2010 election.

« Of the more than 90 million people who turned out to vote in 2010, nearly 63% voted at the polls,
16% voted a domestic absentee ballot, and 8% voted early (prior to Election Day).

« States reported counting 98.6% of the domestic absentee ballots submitted. The most common
reason for absentee ballot rejection was a missed deadline for returning the ballot, followed by an
invalid signature as a distant second.

¢ A total of 1,061,569 provisional ballots were submitted as reported by the States and territories.
Roughly 77% of those ballots were counted. Of the more than 187,000 that were not counted, the
_most common reason was because the voter was not registered.

« In .2010, States operated 176,071 precincts and 110,941 physical polling places. States relied on
769,795 poll workers on Election Day.

In addition to the voting data, the 2010 survey collected information on the types of voting technologies,
which vary across and within States. Twenty-two States reported deploying 157,798 Direct Recording
Electronic (DRE) machines without voter-verified paper ballots. Another 18 States reported using 77,573
DREs with voter-verified paper audit trails (VVPAT). The most widely deployed technology was the optical
or digital scanner that reads voter-marked ballots; 44 States reported using 280,496 such counters or
booths in at least some of their jurisdictions.

The 2010 Uniformed and Overseas Absentee Voting Act Study

The Help America Vote Act of 2002 (HAVA) mandates that for each regularly scheduled general election
for federal office, EAC shall collect comprehensive data from the states on all of the ballots sent and
received by voters covered by UOCAVA. In FY 2012, EAC released its fourth report to Congress
regarding UOCAVA voters; the data are part of the larger Election Administration and Voting Survey.

Select findings from the UOCAVA section of the EAVS Report:

27


Mock Election Program grants are authorized under HAVA Section 295. To date, EAC has
awarded grants totaling $998,820 to organizations under this program since the Mock Election
program was established in 2004. The grants allow students to become familiar with voting
processes and technologies so that when they become eligible to vote they will be more
comfortable with their civic duties. In FY 2012, EAC closed the Mock Election grants awarded in
FY 2009. EAC continued to monitor and work with the 2010 Mock Election Program grantees to
help them carry out successful programs. The 2010 grants are three-year awards.

The purpose of the Voting System Pre-Election Logic and Accuracy Testing & Post-Election Audit
Initiative is to develop and document processes and best practices for coordinating quality and
cost-effective: 1) voting system pre-election logic and accuracy testing (L&A), and 2) post-
election audits. Outcomes will include tool kits, guides, best practices, research findings and
recommendations that could be disseminated widely within the election community. In FY 2011,
EAC awarded $1,463,074 to 12 award recipients. EAC did not award the remaining $1,536,926
on no-year funded L&A grants in FY 2012 pending a quorum of the commissioners to approve the
Notice of Funding Availability.

The purpose of the Accessible Voting Technology Initiative is to support research and
development activities to increase the accessibility of new, existing, and emerging technological
solutions in areas such as assistive technologies, interoperability, and the design of voting
systems. Funding supports research for: 1) promising technologies and practices; 2) technology
testing and adoption; and 3) development of administrative processes and training improvements
to increase accessibility of existing voting procedures and election systems.

Voting Systems Testing and Certification
In FY 2012 EAC:

Certified five new or modified voting systems;

Drafted and published six Requests for Interpretation (RFls) to Voluntary Voting System
Guidelines (VVSG);

Drafted and published two Notices of Clarification to Testing & Certification Program Manuals;
Published a Final Formal Investigation Report on a voting system;

Developed and implemented major updates to the EAC’s Virtual Review Tool (VRT). EAC is
currently rolling out the addition of the ECO Database to the VRT tool to track engineering
change orders for all EAC certified voting systems;

Published the Certification Timeline for the Elections Systems & Software (ES&S) Unity 3.4.0.0
voting system;

Conducted a Unisyn Manufacturer Facility audit of the manufacturing process;

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

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

There are currently four voting systems in active test campaigns.

In the area of Voluntary Voting System Guidelines (VVSG) and Test Suites, in FY 2012, EAC
received a new revised version of VVSG 1.1 from the National Institute of Standards and
Technology (NIST). EAC incorporated NIST comments and new Request for Interpretations
(RFI’s) into VVSG 1.1. EAC posted the second draft version of VVSG 1.1 for a 90 day Public


Suffolk University, Boston, MA: $30,211
To build on past successes by expanding its poll worker program through partnership with Wheelock
College, the Colleges of Fenway and the Disability Law Center to recruit 250 students to serve as poll
workers.

University of Rochester, Rochester, NY: $62,000
To partner with the Monroe County Board of Elections to recruit and train 150 college poll workers
from the University of Rochester, Monroe Community College and Roberts Wesleyan College with
emphasis on disabled students.

The Mock Election Grant Program, authorized under HAVA Section 295, encourages youth participation
and civic engagement by enabling students to participate in simulated elections with voting equipment,
ballots and poll workers. The grants enable 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
responsibilities. EAC awarded no new Mock Election Program grants in FY 2012, but continued to
monitor and provide technical assistance to its 2009 and 2010 Mock Election Program grants.

The current Mock Election Program grantees are as follows:

Seminole County Supervisor of Elections, Sanford, FL: $15,441

To partner with Crooms Academy of Information Technology to hold debates in which candidates,
voters and community leaders discuss issues before the students and to train students to serve as poll
workers on Election Day.

Polk County Auditor’s Office, Des Moines, 1A: $49,293

To educate students using computer simulations of common and lesser known aspects of the voting
process, from establishing eligibility and operating voting equipment to casting a provisional ballot and
assisting voters who have special needs.

Michigan Government Television, Lansing, Ml: $42,000
To partner with Leland Public Schools to recruit 100,000 students in rural and urban areas to
participate in educational election activities leading up to the National Student/Parent Mock Election.

League of Women Voters of Oregon Education Fund, Salem, OR: $41,413
To partner with the Governor's Office, the secretary of state, the Oregon Department of Education, the
Oregon School Board Association and the Oregon Association of Student Councils to reach 80,000


and present findings and recommendations on the effectiveness, efficiency, usability, challenges,
mitigations, costs and benefits of risk-limiting audits. The team will also develop and document a set of
tools, processes and best practices for conducting risk-limiting post-election audits, including easy-to-
follow statistical formulas and rules to set the initial sample size and escalation triggers.

State of Colorado, Denver, CO: $230,000
The Colorado Department of State plans to pilot risk-limiting audits in five counties in a mix of areas —
urban, suburban, and rural. Colorado will develop, test, and implement a risk-limiting audit system that
helps meet legislation requiring the state’s jurisdictions to implement a risk-limiting audit system by the
2014 elections. The research team will review current election processes in target counties and solicit
input from other stakeholders, including county election officials, voters and concerned citizen groups.
The team will also review existing best practices in the state and the nation, selecting the most
promising practices for testing the appropriate target counties.

State of Connecticut, Hartford, CT: $230,000
The Connecticut Secretary of State’s office will be partnering with the University of Connecticut to test
the accuracy of the memory cards used in optical scan voting machines and to demonstrate a
prototype of an Audit Station, as developed by the research team. The Audit Station is a combination
of hardware, specialized software, methodology and auditing procedures for automating hand count
activities. During the two year project period, the research teams anticipate collecting data from
approximately six live elections, which will provide enough data to determine the failure rate of the
memory cards, and analyze the cost, time, and accuracy of current audit procedures as compared to
the new Audit Station.

Cuyahoga County, Cleveland, OH: $50,000
The Cuyahoga County Board of Elections (CCBOE) plans to create a virtual how-to-guide and web
reporting program based on best practices for all optical scan election jurisdictions to utilize during
L&A testing and Post-Election audits. The funds provided will allow the CCBOE to further document,
in writing and on film, each process including L&A testing, poll book justification, ballot reconciliation,
chain of custody verification, and post election audit. The CCBOE plans to share these procedures
with election jurisdictions throughout the country by providing the resources in an online format. The
CCBOE intends to create a virtual “post-election audit how-to guide” that will illustrate how to conduct
different types of audits from start to finish and will include a web-based program to organize and
report audit outcomes.

County of Boone, Columbia, MO: $25,000
County of Boone, Missouri plans to develop computer programs that will enable local jurisdictions to
generate logic and accuracy (L&A) test scripts that meet State of Missouri regulations. Having ready-

16


Introduction

The U.S. Election Assistance Commission's focus in FY 2012 was on building upon its core mission work:
developing guidance to meet the Help America Vote Act (HAVA) requirements, adopting voluntary voting
system guidelines, serving as a national clearinghouse of information on election administration and
finalizing human capital and records management handbooks.

EAC has been without a quorum of commissioners since December 10, 2010 and has been without
commissioners since December 2011. The agency functions by following the order of succession in the
Roles and Responsibilities document adopted by the Commission in September 2008, and the
organization chart in the Strategic Plan 2009-2014 adopted in March of 2009. Under the present
structure, if EAC is without an Executive Director or General Counsel, as is the case, the Chief Operating
Officer assumes the responsibilities of the Executive Director in an acting capacity. Agency staff is
authorized by the Roles and Responsibilities document to perform activities such as managing the voting
systems certification/decertification process, conducting roundtable meetings and disbursing
Requirements Payment grant funds. The agency cannot process second level audit appeals, issue
advisory opinions to States on use of Help America Vote Act funds or adopt policy without a quorum of

commissioners.

During FY 2012, EAC made a great deal of progress in achieving the program area goals described in its
Strategic Plan, which is based on the mandates of the Help America Vote Act (HAVA) of 2002:

Grants Management
In FY 2012 highlights include:

¢ Section 251 funds were included in the Election Reform Programs no-year appropriation.
Congress appropriated $115 million in FY 2008, $100 million in FY 2009 and $70 million in FY
2010. In FY 2012, EAC disbursed $575,000 from the FY 2008 appropriation, $500,000 from the
FY 2009 appropriation and $2,464,199 from the FY 2010 appropriation. EAC also paid $435,808
from funds made available in FY 2011 that were previously undistributed requirements payments
or returned Section 102 funds. These funds were requested by the States by September 30,
2012. The funds are distributed according to a formula based on the voting age population of the
State per the last Census and the total voting age population of all States. In order to draw the
funds, the States certify that they are in compliance with applicable laws and requirements per
HAVA Section 253.

¢ Todate, EAC has awarded 89 grants totaling $3.1 million to recruit and train college poll workers
since the College Program was established in 2004. In FY 2012, EAC closed the College Poll
Worker grants awarded in FY 2009. EAC continued to monitor and work with the 2010 College
Poll Worker grantees to help them carry out successful programs. The grants are three-year
awards.


Members of the St

dards Board who served in

State Designee | First Last Title City

Hawaii Local Lyndon Yoshioka Kaua'i County Election Lihu’e HI
Administrator

Idaho State Timothy A._| Hurst Chief Deputy Coeur d'Alene_| ID

Idaho Local Patty Weeks Nez Perce County Clerk Lewiston ID

Illinois State Becky Glazer Asst. to Executive Director | Springfield IL

Illinois Local Lance Gough Executive Director, Chicago IL

Chicago Bd of Election
Commissioners

Indiana State Brad King Co-Director, Indiana Indianapolis IN
Election Division

Indiana Local Fran Satterwhite Scott County Circuit Court | Scottsburg IN
Clerk

lowa State Sarah Reisetter Director of Elections Des Moines 1A

lowa Local Ben Steines Winneshiek County Decorah IA
Auditor &
Commissioner of
Elections

Kansas State Bryan Caskey Assistant State Election Topeka KS
Director

Kansas Local Donald Merriman Saline County Clerk Saline KS

Kentucky State VACANT. KY.

Kentucky Local Kevin Mooney Bullitt County Clerk Shepherdsville | KY

Louisiana State Angie Rogers Louisiana Commissioner Baton Rouge LA
of Elections

Louisiana Local H. Lynn Jones, Il Calcasieu Parish Clerk of | Lake Charles LA
Court

Maine State Julie L. Flynn Deputy Secretary of State_| Augusta ME

Maine Local Lucette Pellerin City Clerk Saco ME

Maryland State Nikki Trella Election Reform Director Annapolis MD

Baines
Maryland Local Katie Brown Election Director, Catonsville MD

Baltimore County
Board of Elections

Massachusetts State William F. Galvin Secretary of the Boston MA
Commonwealth

Massachusetts | Local John McGarry Executive Director, Brockton MA
Election Commission

Michigan State Sally Williams Manager, Elections Lansing MI
Support Section

Michigan Local Janet Roncelli Bloomfield Township Bloomfield MI
Clerk Hills

Minnesota State Gary Poser Director of Elections St. Paul MN

Minnesota Local Sharon K. | Anderson Cass County Auditor- Walker MN
Treasurer

Mississippi State Heath Hillman Assistant Secretary of Jackson MS
State — Elections

Mississippi Local Robert Harrell Circuit Clerk, Clay County _| West Point MS

Missouri State Leslye Winslow Senior Counsel to Jefferson City | MO
Secretary of State

Missouri Local Richard T. | Struckhoff Greene County Clerk Springfield MO



* Participated in a TGDC / NIST public meeting (December 15 and 16, 2011).Topics included:
Uniformed and Overseas Citizens Absentee Voting Act (UOCAVA), Common Data Format,
Usability and Accessibility, and Voluntary Voting System Guidelines (VVSG).

¢ Participated in an Election Center Voter Accessibility Seminar (March, 2012).

The VVSG is the set of testable standards by which EAC evaluates all voting systems. EAC’s accredited
laboratories conduct a conformance assessment using the VVSG to evaluate the voting systems. A
system submitted to EAC’s program will receive certification only if it complies with the VVSG; nothing
guarantees that a system will meet the VVSG requirements and ultimately receive an EAC certification.

EAC, the TGDC and NIST work together to develop voluntary testing standards. The 2005 VVSG are
currently in place, while EAC and NIST are formulating future versions and updates.

After reviewing comments and receiving input from a series of roundtable discussions about the next
iteration, EAC determined the 2005 VVSG should be revised before the adoption of the next iteration,
which may not occur for several years.

To implement updates to the 2005 VVSG, EAC followed the procedures in HAVA, which included
providing a 120-day public comment period, longer than what is required by HAVA, and soliciting input
from EAC advisory boards. EAC and NIST reviewed the public comments and boards’ input.

Changes to VVSG 1.1 since the Initial Public Comment Period

The initial proposed revision to VVSG 1.1, was offered during a 120-day public comment period in the
summer of 2009. Since that time, the EAC’s Testing & Certification Program discovered additional best
practices, experienced anomalies and deficiencies with voting systems entering the Testing and
Certification Program, and clarified ambiguities with the standard. Changes were made after the 120-day
public comment period to address these issues and in FY 2012, EAC:

* Received a new revised version of VVSG 1.1 from NIST.

* Incorporated NIST comments and new RFI's into VVSG 1.1.

* Posted the second draft version of VVSG 1.1 for a 90 day Public Comment period beginning
September 6, 2012.

* Extended the Public Comment period from 90 days to 130 days.

All comments received will be reviewed and published on EAC’s website, and the final VVSG 1.1 draft

document will be prepared for a Commission vote at such time as the EAC once again has a quorum of
Commissioners.

25


Introduction
Operations
The U.S. Election Assistance Commission
Executive Director
General Counsel
Chief Operating Officer
The Office of Inspector General
EAC Federal Advisory Committees
Public Roundtables
Foreign Briefings
Freedom of Information Act
Operating Budget

Federal Financial Assistance to Improve Federal Elections
HAVA Funds
Help America Vote College Program
Mock Election Grant Program
The Voting System Pre-Election Logic and Accuracy Testing and Post-Election Audit Initiative
The Military Heroes Initiative
The Accessible Voting Technology Initiative

Voting System Testing and Certification
Voting System Test Laboratory Accreditation
Voting System Certification
Quality Monitoring Program
Communication and Clarification
Meetings and Roundtables
Voluntary Voting System Guidelines

Research, Policy and Programs
Research
Policy
Programs

Communications and Clearinghouse
Preparing for the 2012 Elections: The Roundtable Series of Public Discussions
Social Media
EAC.gov

The Office of Inspector General Activities
Moving Forward

Appendix
Commission Leadership
Board Rosters
List of Voting Systems Certified and Under Test


management challenges: performance management and accountability, human capital management and
records management. Based on agency-reported action, the OIG closed the challenge related to human
capital management. The OIG will continue to track EAC’s progress on the remaining two challenges.

Appendix

Commission Leadership

Chief Operating Officer Alice P. Miller

Alice P. Miller serves as chiet operating officer for the U.S. Election Assistance Commission (EAC), a
position she has held since June, 2008. Ms. Miller oversees the day-to-day operations at EAC in all
program areas and serves as EAC’s acting executive director, managing an $11.5 million budget. Since
her arrival, Ms. Miller’s leadership role at EAC has enabled the agency to serve its mission while
integrating policies and procedures aimed at improving efficiency and transparency.

Ms. Miller came to EAC after serving as the former general counsel and executive director of the District
of Columbia Board of Elections and Ethics. As executive director, she served the district's 340,000 active
voters and managed a $5.2 million budget. During her 12 years in this role, she was responsible for
overseeing and managing all aspects of elections, from voter registration to ballot access for candidates
and measures. She also directed the management of voter rolls and supervised the recruitment, training
and deployment of 2,500 poll workers.

Prior to her service at EAC, Ms. Miller served in 2003 as president of the National Association of State
Election Directors (NASED). She also served on two of EAC’s external advisory boards, the Technical
Guidelines Development Committee (TGDC), which assists EAC in developing the Voluntary Voting
System Guidelines (VVSG), and the EAC Standards Board. Before the creation of EAC, Ms. Miller

served on the Election Administration Advisory Panel for the Federal Election Commission. She
currently serves on the board of directors for the Election Center.
Ms. Miller holds a juris doctor degree from Northeastern University School of Law and a bachelor

of arts from Boston College.

33


U.S. ELECTION ASSISTANCE COMMISSION
1201 New York Avenue, NW, Suite 300
Washington, DC 20005


The number of ballots transmitted to UOCAVA voters decreased during the two years leading up
to the 2010 elections. The total number of ballots transmitted for the November 2010 elections
was 611,058, a decrease of more than 378,000 ballots sent for the 2008 elections.

¢ States reported receiving 211,749 ballots from UOCAVA voters. Approximately 51% of the ballots
submitted for casting came from uniformed service members, while 40% came from overseas
civilians.

* Of the 211,749 UOCAVA ballots submitted for counting, States reported counting 197,390 (93%).
The same percentage of UOCAVA ballots were counted in 2008.

¢ States reported rejecting 14,824 ballots. The most common reason for rejecting a UOCAVA ballot
was that the ballot was not received on time. Thirty-two percent of the ballots were not counted
for this reason.

* States reported that 4,294 Federal Write-in Absentee Ballots (FWABs) were submitted. FWABs
accounted for 2% of the total number of UOCAVA ballots submitted for counting.

In FY 2012, the Policy Department of RPP developed an interim procedure for processing state requests
to modify their state-specific instructions on the national mail voter registration form. The procedure was
approved by the General Counsel and the Executive Director. The interim procedure is to be used by
staff to process such requests until a quorum of the Commission is established. EAC received and
processed state requests for modifications to the state-specific instructions on the National Mail Voter
Registration Form from Delaware, Florida, Illinois, Maine, Louisiana, Virginia and Washington State. A
series of minor technical corrections were made to the NVRA form so that it was more accessible and
easy to complete (fillable) when downloaded from EAC’s website. EAC also reviewed and provided input
for a report issued by the General Accounting Office on voter registration.

Proposed Changes to the National Voter Registration Act Regulations

Section 9(a) of the NVRA requires the EAC to issue regulations for developing a national mail voter
registration form and for submitting a biennial report to Congress on the effect of the NVRA. In
accordance with HAVA and EAC’s Strategic Plan, a Notice of Proposed Rulemaking (NPRM) related to
the National Voter Registration Act of 1993(NVRA) was developed and published in the Federal Register
in FY 2010. In FY 2010 and FY 2011, EAC sought comments on the proposed regulations. The comment
period was over 100 days.

In the NPRM, EAC proposed to amend its NVRA regulations to ensure they are consistent with the 2002
HAVA and to make some technical amendments. EAC also asked for public comment on other issues
related to the national mail voter registration form and administration of the NVRA. EAC received

28


Administration and Voting Survey, nearly one-half of the jurisdictions reported experiencing difficulties
recruiting poll workers. Thanks to these grants, many grantees reported having an adequate number of
poll workers, some for the first time.

The current College Poll Worker grantees are as follows:

Alverno College, Milwaukee, WI: $40,800
To partner with the City of Milwaukee Election Commission to recruit, train and place 200 students
from Milwaukee Area Technical College, Milwaukee School of Engineering and the Art Institute of
Wisconsin to work the polls on by planning and developing a poll worker recruitment and training
program that incorporates course development, video production, and social media outreach
strategies.

Benedictine University, Lisle, IL: $55,385
To partner with the DuPage County Election Commission to train and recruit 100 students by using
online judge certification training, incorporating material on elections, voting and political participation
in Political Science courses, and requiring Political Science majors and minors to participate in the poll
worker program.

Central Connecticut State University, Hartford, CT: $32,107
To build off of 2004 College Poll Worker grantee, Asnuntuck Community College and work with the
Connecticut Association of Town Clerks to recruit 250 college poll workers, targeting first year students
to create a pool of students who will return to work as student mentors for other students in future
elections.

College of the Canyons, Santa Clarita, CA: $59,200
To establish a student poll worker recruitment program to alleviate the high demand for Election Day
precinct workers in the Santa Clarita Valley and other parts of North Los Angeles County. The program
is designed not only to train students and community members as poll workers but also to get them
excited about civic engagement.

Harris-Stowe State University, St. Louis, MO: $43,433
To increase student knowledge of election and voting processes and participation through voting by
working with the St. Louis City Board of Election Commissioners to implement a college poll worker
program to recruit 100-150 students.

12


students in 350 schools to participate in a simulated election of the state’s vote-by-mail system and
election-related educational and leadership development activities.

State of Rhode Island and Providence Plantations, Providence, Rl: $37,300
To partner with the Rhode Island Board of Elections, Rhode Island Department of Elementary and
Secondary Education and Roger Williams University to develop and implement a statewide voter
education project that will reach at least one-half of the state’s high school population of 46,000 and
target urban and immigrant communities.

Office of the Washington Secretary of State, Olympia, WA: $40,000
To provide students in 100 schools with opportunities to participate in online voting, election-related
educational activities and two televised segments cosponsored by TVW, Washington’s public affairs
broadcast network, on the mock election that will feature interviews with students and teachers and a
forum in which student audience members engage with panelists on national and local issues.

The program promotes voter participation in national elections through voter education activities for
students, building community involvement in awareness of the election process, and encouraging
continued civic engagement and participation by the youth population.

The Voting System Pre-Election Logic and Accuracy Testing (L&A) and Post-Election Audit Initiative grant
is aimed at developing and documenting processes and best practices for coordinating quality and cost-
effective voting system pre-election logic and accuracy testing and post-election audits. Through this
initiative, EAC seeks to capture and test innovative, high-quality processes and tools, as well as practices
that are cost effective and evidence based for performing voting system pre-election L&A testing and
post-election audits by jurisdictions of varying sizes, locations and equipment configurations. Congress
funded this initiative under the Consolidated Appropriations Act, 2010 and the Omnibus Appropriations
Act, 2009. .

In FY 2011, EAC awarded twelve grants totaling $1,463,074 to five states, six counties and one city. The
Voting System Pre-Election Logic and Accuracy Testing and Post-Election Audit Initiative grantees are:

California Secretary of State, Sacramento, CA: $230,000
The California Secretary of State (SOS) plans to conduct a two year pilot program to test new, risk-
limiting audit models, as developed by Dr. Stark of the University of California, Berkeley. Up to twenty
California counties will be participating in the pilot with the audits taking place during the post canvass
period following live elections held during 2011-2012. The team will document the pilot audits, analyze

15