THE U.S. ELECTION ASSISTANCE COMMISSION 

FISCAL YEAR 2011 

CONGRESSIONAL BUDGET JUSTIFICATION 

February 1, 2010
U. S. Election Assistance Commission 

 Fiscal Year 2011 Budget Request 

2

PAGE INTENTIONALLY LEFT BLANK
U. S. Election Assistance Commission 

 Fiscal Year 2011 Budget Request 

3

TABLE OF CONTENTS 

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

FY 2011 High-Performance Priority Goals............................................................5 

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

EAC Background, Mission and Organizational Structure..............................................6 

Issues Behind the FY 2011 High-Performance Priority Goals...........................................7 

Implementation of the High-Performance Priority Goals in FY 2011.............................8 

Operating Plan Summary................................................................................11 

Budgets and Performance Measures by Strategic Plan Goal.......................................12 

Procurement Strategy....................................................................................21 

Human Resource Management.........................................................................22 

Improving Employee Satisfaction and Wellness.....................................................22 

Information Technology.................................................................................23 

Capital Assets.................................................................................... .........24 

Appendix A -- EAC Strategic Plan FY 2009 – FY 2013 Performance...........................25 

Appendix B -- EAC FY 2009 Annual Performance Report............................................29 

Appendix C -- EAC FY 2008 Help America Vote Act Grant Expenditure Report..............53 
U. S. Election Assistance Commission 

 Fiscal Year 2011 Budget Request 

4

PAGE INTENTIONALLY LEFT BLANK
U. S. Election Assistance Commission 

 Fiscal Year 2011 Budget Request 

5

VISION AND MISSION 

Vision 

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

accurately. 

Mission 

Assist the effective administration of Federal elections. 

Salaries and Expenses Resources Available for Obligation 

FY 2009 FY 2010 FY 2011 

Enacted Enacted President’s Budget 

FTE Dollars FTE Dollars FTE Dollars 

 

43 $17,959,000 50

 

$17,959,000 50 $16,800,000 

FY 2011 high-performance priority goals 

 Serve as a clearinghouse and provide election officials and voters with necessary information 

regarding the process for casting a vote in the 2012 Federal elections. 

 Provide election officials with funding, technical assistance and information, as 

appropriate, to support poll worker training, educate the public, and help provide voters 

access such as when and where to vote for the 2012 Federal elections. 

 Distribute materials designed to allow citizens who are not proficient in the English 

language to participate fully in Federal elections to any jurisdictions covered by the 

Voting Rights Act Section 5 languages. 

 Provide voluntary best practices for computerized statewide voter registration list 

requirements and registration by mail guidance to the States. 

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

the U.S. Election Assistance Commission’s (EAC’s) program are successfully and 

efficiently tested to Federal standards. 
U. S. Election Assistance Commission 

 Fiscal Year 2011 Budget Request 

6

Appropriations language: 

U.S. Election Assistance Commission 

SALARIES AND EXPENSES 

(INCLUDING TRANSFER OF FUNDS) 

For necessary expenses to carry out the Help America Vote Act of 2002, [$17,959,000] 

$16,800,000, of which [$3,500,000] $3,250,000 shall be transferred to the National Institute of 

Standards and Technology for election [reform] administration activities authorized under the 

Help America Vote Act of 2002.[: Provided, that $750,000 shall be for the Help America Vote 

College Program as provided by the Help America Vote Act of 2002 (Public Law 107-252): 

Provided further, that $300,000 shall be for a competitive grant program to support community 

involvement in student and parent mock elections.] (Financial Services and General Government 

Appropriations Act, 2009.) 

EAC Background, Mission and Organizational Structure 

In October 2002, Congress passed the Help America Vote Act (HAVA). The law recognized the 

need for States to invest in their election infrastructure and set out a comprehensive program of 

funding, guidance, and ongoing research. To foster those programs and to promote and enhance 

voting for United States citizens, HAVA established the EAC. 

EAC is an independent, bipartisan agency. Four full-time Commissioners, appointed by the 

President and confirmed by the U.S. Senate, and three Federal advisory committees--the 

Standards Board, Board of Advisors, and the Technical Guidance Development Committee-- 

guide the EAC. Its mission is to assist in the effective administration of Federal elections. EAC is 

statutorily required to: 

 Create a clearinghouse of information for election officials and the public. 

 Distribute HAVA funds to states for election administration improvements. 

 Issue, and periodically review and modify, as necessary, Voluntary Voting System 

Guidelines (VVSG). 

 Accredit voting system test labs and certify voting equipment. 

 Conduct periodic studies of election administration issues. 

 Establish best practices and guidelines on election administration for state and local 

election officials. 

 Maintain the national voter registration form developed in accordance with the National 

Voter Registration Act (NVRA) of 1993. 

 Provide Congress with a bi-annual report to assess the impact of the NVRA. 
U. S. Election Assistance Commission 

 Fiscal Year 2011 Budget Request 

7

The Standards Board and the Board of Advisors provide advice and guidance to EAC on 

Voluntary Voting System Guidelines and other election administration issues. In addition, the 

Technical Guidelines Development Committee (TGDC) assists EAC in the preparation of the 

VVSG. The VVSG sets the standards against which voting systems are tested. The Director of 

the National Institute of Standards and Technology (NIST) serves as the Chair of the TGDC and 

provides technical support to the Committee. 

Additionally, HAVA specifies that NIST provide recommendations to EAC regarding voting 

system test laboratories. Since Fiscal Year 2004, EAC’s annual appropriations have included 

funds for NIST support. 

The Senate confirmed four Commissioners in December 2003 and EAC began operations in 

January 2004, within ten months of the date mandated by HAVA. Its Fiscal Year 2004 operating 

budget was $1.7 million. At the close of the fiscal year, EAC had a staff of 18. 

EAC’s focus in 2004 was to assemble staff, obtain office space, arrange for administrative 

support from the General Services Administration (GSA), establish a website, start clearinghouse 

operations, and distribute Federal financial assistance to states. In regard to Federal financial 

assistance, Congress appropriated nearly $3 billion in Fiscal Years 2003 and 2004 for payments 

to States under Titles I and II of HAVA. States received the funds to upgrade their voting 

systems, establish a statewide voter registration database, train election officials, and educate 

voters. As EAC did not begin operations until 2004, GSA initially distributed HAVA funds to 

the fifty States, Guam, Puerto Rico, the U.S. Virgin Islands, American Samoa and the District of 

Columbia on EAC’s behalf in Fiscal Year 2003. 

In FY 2004, EAC appointed a statutorily-required General Counsel. During Fiscal Year 2005, 

EAC appointed its other statutorily-required position, the Executive Director, and an interim 

Inspector General. EAC focus in subsequent years was on upgrading the VVSG, completing 

required research to promote effective Federal elections and to present key data on election 

practices and voting, instituting a voting system testing and certification program, auditing State 

use of HAVA funds, and providing information on improving elections to its stakeholders. 

In FY 2007, the full-time equivalent staffing ceiling of 24 was lifted. As of the end of FY 2009, 

EAC had a full-time staff of 43 employees, including three Commissioners and four special 

assistants. Since its inception, EAC has received $2.5 billion in requirements payments based on 

a formula of the number of eligible voters, $14.7 million in discretionary grant funds for Poll 

Workers, Mock Elections and Election Data Collection, and transferred $17.7 million to NIST. 

EAC is located in Washington, D.C. 

Issues behind the FY 2011 high-performance priority goals 

Voters need easy access to up-to-date information on where, when and how to vote. Leading up 

to an election year, election officials are faced with an increasing task of informing voters and 

training Election Day poll workers. 
U. S. Election Assistance Commission 

 Fiscal Year 2011 Budget Request 

8

Federal elections are locally administered with a wide variety of practices and policies. Election 

officials work hard to conduct fair, accessible, accurate and secure elections. They do this by 

informing the electorate and properly training poll workers. EAC assists states and local 

jurisdictions by providing tools and best practices to election officials to improve election 

administration practices, including pre-election testing and contingency planning materials, 

which promote a proactive approach to election management. 

As States look to new technology and practices in voting (including remote access voting for 

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

accessible technology for disabled voters) and private sector manufacturers expand the number 

and type of voting systems available, EAC must be in a position to test the new systems against 

rigorous Federal standards in a timely, efficient and high-quality manner. 

Implementation of the high-performance priority goals in FY 2011 

 High-performance priority Goals 1a and 1b2

Serve as a clearinghouse and provide election officials and voters with necessary 

information regarding the process for casting a vote in the 2012 Federal 

elections. 

Provide election officials with funding, technical assistance and information, as 

appropriate to support poll worker training, educate the public, and help provide 

voters with access to information such as when and where to vote for the 2012 

Federal elections. 

The first of the high-performance priority goals is aimed at assisting eligible voters who are 

registered and who want to be registered to vote so that they have the necessary knowledge to 

cast and have their ballots counted on Election Day. Three EAC program areas will be involved 

in implementation of the goals--the Research, Policy and Program, Communications, and Grants 

Divisions—in partnership with State and local election officials, voter advocacy groups and all 

other stakeholders. 

In order to implement the goals, EAC will employ such strategies as: 

 Increasing the use and availability of EAC research products and teaching materials through 

the EAC clearinghouse and other electronic tools. 

 Using the results of the 2010 evaluation of EAC products to revise publications such as the 

poll worker training manual, poll worker recruitment guide, and voter education materials for 

2010 and beyond; 

 Implementing an annual research plan; and 

 Disseminating voluntary guidance on provisional voting pursuant to Section 311 of HAVA. 
U. S. Election Assistance Commission 

 Fiscal Year 2011 Budget Request 

9

 

 High-performance priority Goal 22

Support jurisdictions covered by the Voting Rights Act Section 5 languages so 

that all jurisdictions have access to and use materials designed to allow citizens 

who are not proficient in the English language to participate fully in Federal 

elections. 

The aim of the goal is to ensure that all voters assigned to jurisdictions covered under Section 5 

prior to and as a result of the 2010 Census receive materials and support from EAC. These 

voters include persons who are Native American, Asian American, Alaskan Natives or of 

Spanish heritage. It also will help in ensuring that limited and non-English proficiency voters are 

able to register and vote. The lead EAC offices responsible for implementing the goal are the 

Language Accessibility Program of Research, Policy and Program Division, and the Grants 

Division. Partners in the effort include State and local election officials, voter advocacy groups 

and all other stakeholders. 

EAC’s strategy to achieve the goal is to receive the 2010 Census data and translate the EAC 

“Voters’ Guide to Federal Elections” and other materials to any additional languages and 

jurisdictions determined to be covered under minority language provisions of the Voting Rights 

Act and any other jurisdiction that may have a need based on their population. Resources needed 

to achieve the goal include funds for translations and publications and the ability to convene 

working groups and roundtables; these resources are included in the 2011 Budget request for 

EAC Salaries and Expenses. 

 High-performance priority Goal 3

Provide States with best practices for computerized statewide voter registration 

list requirements and registration by mail based on voluntary guidance provided 

by EAC pursuant to Section 311 of HAVA. 

The aim of Goal 3 is to encourage the 50 States, Puerto Rico, the U.S. Virgin Islands, the District 

of Columbia, Guam and American Samoa to utilize best practices that encourage increased voter 

participation. The lead EAC division for the effort is Research, Policy and Program, in 

partnership with State and local election officials, and voter advocacy groups and all other 

stakeholders. 

In order to achieve Goal 3, EAC, using in-house research, will help election officials educate 

voters on the need to update their registration status, and provide assistance regarding training 

poll workers on issues related to voter relocation within the same State (directing voters to the 

appropriate polling place, provisional ballots, acceptable ID, etc.). EAC plans on issuing 

voluntary guidance that may include but is not limited to: matching protocols, maintenance of 

accurate voter registration lists, data collection and storage, online functionality, identification 
U. S. Election Assistance Commission 

 Fiscal Year 2011 Budget Request 

10

requirements for first-time voters, and interoperability and intraoperability of databases; and help 

States promote intergovernmental cooperation between their various agencies and departments. 

 High-performance priority Goal 4 

Ensure that modifications of certified systems submitted to EAC’s program are 

successfully and efficiently tested to federal standards. 

The goal is to ensure that modifications of certified systems submitted to EAC’s testing and 

certification program are successfully and efficiently tested to federal standards. The 

certifications help election officials maintain the reliability and security of those voting systems 

and the integrity of the overall election results. The lead office for implementation of the goal is 

the Testing and Certification division, with input from partners including the U.S. Department of 

Commerce National Institute of Standards and Technology. 
U. S. Election Assistance Commission 

 Fiscal Year 2011 Budget Request 

11

Operating plan summary 

 FY 2009 FY 2010 FY 2011 

Salaries and Expenses Enacted Enacted President's 

Budget 

Full-Time Equivalent Staff 43 50 50 

 

Personnel Compensation and 

Benefits

11.1 Full-Time Permanent $3,831,845 $4,209,015 $5,065,658

11.3 Other than Full-Time 

Permanent 

477,717 649,118 448,726

12.1 Personnel benefits 993,722 1,480,015 1,220,898

 Subtotal, Personnel 5,303,283 6,383,149 6,735,282

Non-Personnel

21 Travel 1,139,400 871,894 954,141

23.1 Rental payments to GSA 586,581 717,111 882,477

23.3 Communications, utilities, 

postage 

200,478 133,089 139,109

24 Printing and reproduction 701,031 601,933 686,694

25 Other services 4,600,227 4,289,030 3,270,292

25.3 Transfer to NIST 4,000,000 3,500,000 3,250,000

26 Supplies and subscriptions 100,900 154,733 113,685

31 Equipment 277,100 258,060 18,320

41 Grants 1,050,000 1,050,000 750,000

 Subtotal, Non-Personnel 12,655,717 11,575,851 10,064,718

 Total Budget Authority $17,959,000 $17,959,000 $16,800,000

Note: FY 2011 assumes a Cost of Living Adjustment of 4.2% and a non-pay inflationary 

increase of 1% (exclusive of transfer to the National Institute of Standards and Technology 

(NIST) and Grants). 
U. S. Election Assistance Commission 

 Fiscal Year 2011 Budget Request 

12

EAC has aligned its five Strategic Plan goals—Communicate; Fund and Oversee; Study, Guide, 

and Assist, Test and Certify; and Manage—with the offices responsible for implementing them. 

Budgets and Performance Measures by Strategic Plan Goal

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

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

EAC. 

 

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

the public receive reliable, accurate, and non-partisan information about 

administering, conducting and participating in Federal elections and how, 

where, and when Americans vote. 

FY 2009 FY 2010 FY 2011 

Enacted Enacted President’s Budget 

$985,017 $848,752 $840,167 

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

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

objectives: 

 Operate the EAC Clearinghouse effectively. 

 Respond to outside requests about the EAC timely and accurately. 

 Convey the results of EAC operations and accomplishments. 

Key Performance Measures

o Post applicable information on the web-based 

Clearinghouse within 24 hours of receipt.

o Respond to 75 percent of non-Freedom of Information 

Act requests within 72 hours.

o Issue quarterly press releases summarizing EAC 

accomplishments.

o Provide regular briefings regarding EAC activities to 

Congressional staffers.

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

www.eac.gov which contains over 1,000 documents with information about voting system test 

plans, agency correspondence, and testimony from EAC monthly Public Meetings and hearings; 

and external and internal communications such as press releases, 
U. S. Election Assistance Commission 

 Fiscal Year 2011 Budget Request 

13

news articles and speeches, informational videotapes on the programs, a monthly newsletter 

about EAC activities and events to approximately 1,200 subscribers, and a weekly email on 

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

research, and other agency initiatives to the Public. 

The Communications division is instrumental in ensuring all stakeholders receive information 

about the testing and certification program. EAC’s Testing and Certification Voting System 

Reports Clearinghouse is where Communications staff post and disseminate voting system 

reports and studies that have been conducted or commissioned by a State or local government. 

Using an interagency agreement with the U.S. Department of Agriculture, the division produced 

poll worker and election official training videos, available on the eac.gov website and on 

YouTube. As we prepare for the 2010 federal election year, EAC plans on producing four new 

training videos at approximately $8,000. 

In 2009, in order to accelerate establishment of a Clearinghouse of information on Federal 

elections and to ensure a cost-effective contract, EAC recompeted its contract which includes the 

Clearinghouse and a restructure of the website. With the new contract, EAC will continue to 

achieve our goal of serving as the trusted source for information about elections and election 

administration. In 2010, EAC intends to connect its stakeholders to a new, separately 

identifiable Clearinghouse on the EAC website. The fixed price for the website contract in FY 

2011 is $130,000 with optional time and materials task orders. 

Goal 1 is administered by a staff of three. The unit spends approximately $26,000 to 

produce the mandated EAC Annual Report. 

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

Outcome: States and other recipients promptly and accurately receive Federal 

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

administration of elections for Federal office. 

 FY 2009 FY 2010 FY 2011 

 Enacted Enacted President’s Budget 

Grants Management $1,965,889 $1,914,069 $1,406,639 

OIG 1,757,730 1,770,259 1,837,836 

Total $3,723,619 $3,684,328 $3,244,475 

Goal 2 consists of three strategic objectives: 

 Accurately and timely disburse Federal financial assistance administered by EAC. 

 Effectively monitor Federal financial assistance administered by EAC. 
U. S. Election Assistance Commission 

 Fiscal Year 2011 Budget Request 

14

 Provide technical assistance and guidance on the management of Federal financial 

assistance administered by EAC to reduce the risk of inappropriate use of funds and 

accounting errors. 

Key Performance Measures

o Award grants within established timeframes.

o Submit State plans for publication in the Federal 

Register within 30 days of receipt of each plan.

o Submit payment requests to GSA within 10 days of 

receipt of acceptable requests/certifications in a timely 

manner. 

o Respond to all inquiries by recipients about the use 

and administration of funds in accordance with EAC 

requirements in a timely manner. 

Goal 2 is administered by the Grants Management unit and the Office of the Inspector General 

(OIG). 

In FY 2009, EAC reorganized, creating a Grants Management division. The division is 

responsible for distributing, monitoring, providing technical assistance to States and grantees on 

use of funds, and reporting on requirements payments and discretionary grants that improve 

administration of elections for Federal office. The office negotiates indirect cost rates with 

grantees and resolves audit findings on use of HAVA funds. 

With EAC’s reorganization of the financial management functions, a new senior level grants 

director was hired in FY 2009. The director will emphasize technical assistance to the States and 

grantees, offering workshops and training sessions using distance learning tools and services of a 

grant support contract. EAC will continue to work with the States and grantees to clarify their 

responsibilities they have in managing the funds they receive or are awarded. 

A system to track audits and State completion of corrective actions will be established. Another 

goal is to achieve the performance targets for timeliness in the Strategic Plan, such as resolving 

100 percent of audit findings, awarding grants in established timeframes, and submitting State 

plans to the Federal Register within 30 days of receipt. 

The Grants Office is currently staffed by the director and a grants specialist with contractor and 

temporary staff support. An estimated $303,000 will be needed to print State Plans and grants 

notices in the Federal Register. In FY 2010, EAC plans on hiring one full-time staff in lieu of 

FY 2009 contractor support. 

For FY 2011, the Office of the Inspector General initial request is $1,893,494. The President’s 

Budget request is $1,837,836. The Inspector General has determined that these amounts will 

support operations for FY 2011. Of the total requested in the President’s Budget, $25,000 is for 

staff training to meet the continuing education requirements applicable under Generally 
U. S. Election Assistance Commission 

 Fiscal Year 2011 Budget Request 

15

Accepted Government Auditing Standards, and $4,534 is for support for the Council of 

Inspectors General on Integrity and Efficiency. 

OIG plans on increasing the number of audits from five per year to eight, and the number of 

reviews and investigations that are conducted. OIG plans on conducting two internal 

audits/evaluations of EAC programs and operations and an evaluation of its own operations in 

2011. 

An increase of one junior auditor is requested for FY 2010, in addition to the existing positions 

of the Inspector General, legal counsel, and senior auditor. OIG requests 3.5 additional staff – a 

director of audits, a journeyman auditor, an investigator, and a part-time administrative assistant 

– for 2011 to build two audit teams. The additional staff would be hired in lieu of contracts to 

increase flexibility to react to and further investigate questionable situations and potential audit 

findings. The staff would help manage contract audits to more efficiently review State and local 

government use of HAVA funds, expand grant audits to include the discretionary grant 

programs, and evaluate EAC operations. 

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

regarding the administration of elections for Federal office and issue guidance, 

translations, best practices and recommended improvements as required by HAVA, and 

carry out responsibilities under the National Voter Registration Act. 

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

stakeholders improve the administration of elections for Federal office on the 

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

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

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

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

information. 

FY 2009 FY 2010 FY 2011 

Enacted Enacted President’s Budget 

$1,191,890 $1,544,817 $1,523,184 

Goal 3 consists of four strategic objectives: 

 Complete research on relevant issues that improve the administration of elections for 

Federal office and expeditiously report on critical administration subjects and election 

data. 

 Identify and collect required and useful data on election administration practices and on 

voting methods and demographics and make recommendations for improving the quality 

of practices, methods, and data. 

 Issue guides, translations and other tools that are timely and useful. 
U. S. Election Assistance Commission 

 Fiscal Year 2011 Budget Request 

16

 Update and maintain a national mail voter registration application and report to the 

Congress as required by NVRA. 

Key Performance Measures

o Increase the percentage of stakeholder use of EAC 

research products to improve the administration of 

elections for Federal office.

o Increase the accuracy and completeness of data 

reported by States in response to EAC surveys. 

o Include recommendations to improve election 

administration and data to the Congress in the annual 

report on the Election Day survey.

The Research, Policy and Programs division administers: 

1) the Election Management Guidelines Program to provide information on topics such as 

Ballot Design, Contingency Planning, Managing Change in an Election Office, Media 

and Public Relations, and Developing an Audit Trail for the verification of votes, to help 

election officials promote secure, accurate, and accessible elections; 

2) the Language Accessibility Program to provide informational materials on the Federal 

election process and election terminology in languages other than English, translate the 

national voter registration form, and gather information from working groups to address 

the election needs of voters with limited or no English proficiency; 

3) provides materials to voters to facilitate successful participation in Federal elections such 

as registering to vote; and 

4) conducts election research on mandated topics. 

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

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

voters, the feasibility of alternative voting methods, the voting experiences of first-time voters 

who register to vote by mail, and the feasibility and advisability of identifying voters by Social 

Security Numbers. 

Each year, staff presents potential Election Management Guideline (EMG) chapters and Quick 

Start Management Guide ideas to the Commissioners for their review and consideration. Ideas 

for new chapters and guides are gathered by program staff from a variety of sources in the 

elections field. Once reviewed by the Commissioners, staff from the Research, Policy and 

Programs Department complete preliminary research for each new agreed-upon chapter. 

EMG chapters are vetted with the topical working group and made available for comment to the 

EAC’s Board of Advisors and Standards Board through the Virtual Meeting Room. The final 
U. S. Election Assistance Commission 

 Fiscal Year 2011 Budget Request 

17

version of each EMG chapter is formally adopted by the Commission. Once this has occurred 

the chapter is disseminated by mail and the Internet to all local and State election officials. 

In 2011, EAC will release a report on data collected in the 2010 elections and a report to 

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

administration of elections for Federal office. On August 28, 2009, the NVRA regulations were 

transferred from the Federal Election Commission to EAC. The project will involve review of 

the current regulations, any proposed changes to the regulations, and consideration of public 

comments. The EAC will conduct hearings to ensure broad participation in the rulemaking 

process. Final regulations must be adopted by a vote of the Commission following the public 

rulemaking process and published in the Federal Register before taking effect. In addition, EAC 

will update the Federal Election Commission’s implementation manual to reflect any changes in 

the regulations and the additional requirements added by the passage of HAVA. 

EAC’s Board of Advisors and Standards Board assist in prioritizing research topics that are 

important and helpful to election officials. When new research projects are identified as 

priorities to undertake, a working group is organized. The members of the working group 

provide feedback to Research staff about possible topics of study and are subject to final 

approval by Commissioners as part of the annual research plan. 

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

voting systems to improve system security, operation and accessibility. 

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

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

ensure voting systems meet standards. 

FY 2009 FY 2010 FY 2011 

Enacted Enacted President’s Budget 

$1,672,406 $1,861,008 $1,825,642 

Goal 4 consists of three strategic objectives: 

 Develop and update the voluntary voting system guidelines (VVSG). 

 Provide for the accreditation and revocation of accreditation of independent, non-Federal 

laboratories qualified to test voting systems to Federal standards. 

 Administer the testing, certification, decertification, and recertification of voting system 

hardware and software by accredited laboratories. 
U. S. Election Assistance Commission 

 Fiscal Year 2011 Budget Request 

18

Key Performance Measures

o Complete accreditation reviews for all laboratories 

recommended to EAC by NIST and for all emergency 

actions within 90 days.

o Test and document the results of the review of 

compliance with procedures by at least 100 percent of 

accredited laboratories every two years.

o Test 100 percent of systems applying and qualifying 

for testing.

o Respond to requests for interpretations of voting 

system standards within 45 days.

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

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

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

Program for the States also provides the public the opportunity to review every aspect of 

certifying voting equipment, such as voting equipment system information, test plans and 

reports, and reports on irregularities. Comprehensive procedures for the program are detailed in 

EAC’s Voting System Testing and Certification program. 

The division works on EAC’s full accreditation and certification program. Staff works with the 

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

test laboratories and the management of the voting system certification process. The program 

assists States with voluntary certification of their systems, supports local elections officials in the 

areas of acceptance testing and pre-election system verification, increases quality control in 

voting system manufacturing, and provides clear procedures to manufacturers for the testing and 

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

HAVA Section 231(a)(1). 

In FY 2009, EAC increased the Testing and Certification staff to expedite the voting system 

certification process. An EAC certification means that a voting system has met the requirements 

of the Federal standards by passing a series of comprehensive tests conducted by an EACaccredited test laboratory. Procedural requirements for the Voting System Test Laboratory 

Program are detailed in EAC’s Voting System Test Laboratory Manual. Currently, six voting 

systems are participating in EAC’s Testing and Certification Program. 

The additional staff hired in 2009 has improved the process by answering technical questions of 

the election officials and vendors, helping test lab vendors understand how to test specialized 

systems, reviewing test plans, tracking complaints, visiting the testing labs, and keeping the 

technical review and approval process moving forward. The staff has made a commitment to 

match the testing time schedules provided by the voting system test laboratories and 

manufacturers. Staff holds weekly teleconferences with the labs and manufacturers of all testing 
U. S. Election Assistance Commission 

 Fiscal Year 2011 Budget Request 

19

engagements underway. Staff holds kick-off meetings with the labs and manufacturers to give 

the technical reviewers an opportunity to meet with the labs and manufacturers and ask them 

about everything they need to know about the systems for their reviews. 

EAC certified three voting systems between February and August 2009.

In addition to staffing and staff efforts to streamline the voting system certification process, EAC 

along with its Standards Board, Board of Advisors, and Technical Guidelines Development 

Committee (TGDC) (chaired by the director of NIST and comprised of 14 other members) work 

together to review voluntary testing standards. Efforts are underway to revise the 2005 

Voluntary Voting System Guidelines. The revisions are aimed at aiding the creation of test 

suites that promote uniform, consistent and faster testing by eliminating bottlenecks in the testing 

process. Revisions will also provide clarification in key areas that may cause confusion and slow 

the process. 

In 2011, EAC plans on transferring $3,250,000 to NIST via interagency agreement for activities 

required under Sections 221 Technical Guidelines Development Committee (TGDC), 231 

Certification and Testing of Voting Systems, and 245 Study and Report on Electronic Voting and 

the Electoral Process of HAVA. 

EAC and NIST seek to produce a final report by the first quarter of 2010 related to UOCAVA 

initiatives on Best Practices for Transmission of Election Material and Security Considerations 

for Remote Voting. NIST’s interim report, “Threat Analysis for UOCAVA Voting Systems,” 

discusses the need to balance security and privacy in electronic transmission of voting materials 

with ensuring UOCAVA voters get to vote in a timely manner. 

The Testing and Certification unit consists of six full-time staff, four part-time technical 

reviewers, and two contractual staff. Total cost of staff, reviewers, and contractors for FY 2011 

is $1,254,941. Travel is budgeted at $280,500; printing at $105,200; other services at $180,000; 

and $5,000 for supplies. Current plans are to begin phasing out one of the contractual staff as 

new full-time staff are trained and can take over the function. 

Improving and refining the testing process continues to be an agency priority.

Strategic Plan Goal 5: Achieve organizational and management excellence. 

Outcome: EAC Commissioners and staff proficiently carry out EAC’s strategic 

objectives. 

Goal 5 consists of one clear-cut objective: 

 Implement a high performance organization. 
U. S. Election Assistance Commission 

 Fiscal Year 2011 Budget Request 

 

 FY 2009 FY 2010 FY 2011 

 Enacted Enacted President’s Budget 

Commissioners $1,149,402 $1,186,525 $1,354,238 

Board of Advisors, Standards Board 454,333 293,299 274,786

Executive Director & Public 

Meetings 708,765 627,182 717,138

Chief Operating Officer 746,922 1,164,033 639,007

Administrative Services 2,160,741 1,862,250 1,822,466

Chief Financial Officer 470,790 704,511 602,339

Office of the General Counsel 695,115 670,677 706,559

Total $6,386,068 $6,508,477 $6,116,533 

20

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

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

Chief Financial Officer with support from the Offices of the General Counsel and Administration. 

Key Performance Measures

o Obtain a clean audit opinion on agency financial 

statements within two years of the initial statement 

preparation. 

o Implement 90 percent of the OIG audit 

recommendations within agreed upon timeframes. 

o Meet annual performance measures.

EAC’s offices have been realigned to address the goals in the Strategic Plan: Goal 1 

Communicate is administered by the Office of Communications and Clearinghouse. Goal 2 

Funds and Oversee is administered by the Grants and Inspector General Offices. Goal 3 Study, 

Guide and Assist is aligned with the Research, Program and Policy unit. Goal 4 Test and Certify 

is administered by the Voting Systems and Certifications unit. 

Goal 5 Manage is aligned with the Boards, Commissioners, Executive Director, Chief Operating 

Officer, Chief Financial Officer and General Counsel. A cost allocation model distributing 

administrative costs to the goals was developed and submitted to the financial statement auditors 

for review. Budgets tie to information in the financial statements. 

In FY 2009, in response to the agency’s first financial statement audit, EAC reorganized the 

agency structure and created a financial division. The division consists of a senior level grants 

director who administers HAVA funds, an accounting director who is a Certified Public 

Accountant, and a Chief Financial Officer who ensures that EAC is compliant with Federal 

requirements and resources are used efficiently. 
U. S. Election Assistance Commission 

 Fiscal Year 2011 Budget Request 

21

EAC received an unqualified opinion on its FY 2009 financial statement audit.

The CFO department will continue to focus on resolution of issues identified in 

audits, setting up sound systems and policies and procedures, working with managers 

on the relationship between budget and performance, maximizing use of staff and 

financial resources, and training EAC staff on financial management processes and 

their responsibilities. 

Management is working to foster a culture of accountability among staff. The agency is seeking 

to improve staff satisfaction ratings and achieve management excellence through improved 

internal controls and human resource initiatives. 

Improvement of internal controls will be an ongoing high priority effort. 

Procurement Strategy

Beginning in FY 2008, EAC started the process of hiring staff in lieu of contractors for its 

research and evaluation work. By FY 2009, EAC phased out 12 contracts awarded by the 

Department of Interior on EAC’s behalf and used staff to produce publications and reports that 

had previously been contracted out. 

Some one-time contracts totaling $244,000 were awarded in FY 2009 related to remediation of 

financial management and Federal Information Security Management Act audit findings after the 

agency’s first financial statement audit covering FY 2008. 

In accordance with the President’s Memorandum on Government Contracting, issued on March 

4, 2009, we have reviewed EAC’s existing contracts and current acquisition practices in order to 

target achievable cost savings. The acquisition budget for FY 2010 is planned at $4.3 million 

and FY 2011 is approximately $3.3 million. The following items are proposed in order to save 

3.5 percent of EAC’s baseline contract spending in FY 2010 and a further 3.5 percent in FY 

2011. 

Acquisition Savings Plans Steps to be Taken for FY2010/2011 

1) Perform an analysis of organizations within EAC to consider the continued need and costeffectiveness of out-sourcing expertise that could be staffed in-house. 

2) Cost savings are projected by converting current out-sourced resources to current or future 

in-house staff for ongoing work tied to growth projections of EAC. 

3) Re-compete two current contracts to obtain cost reductions: 

EAC Website Maintenance & Hosting Contract. Savings in 2011: $235,000 

EAC Election Day Survey Analysis Contract: $130,000 in 2010 
U. S. Election Assistance Commission 

 Fiscal Year 2011 Budget Request 

22

Human Resource Management

Program and financial integrity depends on well-structured human resource policies and 

practices. Along with the Chief Operating Officer and Chief Financial Officer, EAC’s Human 

Resource (HR) Director in the Office of the Chief Operating Officer is charged with improving 

program operations and tracking accomplishment of goals. In 2009, HR began the process of 

implementing policies and procedures to improve staff performance and to establish a human 

resource accountability system. The system will ensure effective Human Resource management 

in support of the agency’s Strategic Plan and in adherence to the Federal merit systems 

principles, and other Federal HR laws and regulations. 

EAC is committed to building a diverse, well-trained, high-performing workforce. Managers 

and supervisors are accountable for efficient and effective human resources management in 

support of the agency’s mission and in accordance with merit system principles. Supervisors 

will undergo a human resources management training program with the aim of enhancing 

managers’ and supervisors’ ability to accurately evaluate performance, recognize good 

performance, and take corrective action as needed to address identified performance deficiencies. 

They will be trained on effective performance management: the importance of providing 

feedback to employees frequently throughout the year, and of conducting regular formal 

performance appraisals with appropriate detailed feedback to help staff grow and succeed. The 

supervisory training program also includes modules on EEOC and sexual harassment, No Fear 

Act, teambuilding, ergonomics, and work/life balance. 

Staff and supervisors will also be responsible for annual Performance Plans and Individual 

Development Plans (IDPs) to help employees identify strengths and weaknesses, reach their 

potential and attain their career goals. The Performance Plans will address not only 

accomplishment of strategic plan goals and how each employee contributes to achievement of 

the agency’s mission and goals, but will also address core competencies and performance 

elements for each position. Development activities in the IDPs include in addition to formal 

training, mentoring, coaching, computer-assisted training, brown bag lunch-time learning groups, 

and formal feedback. 

In September 2007, EAC produced a Succession Management Framework to mitigate the impact 

of employee attrition. The plan outlines recruitment, selection criteria, identification of agencywide core competencies required, development of staff, and retention of staff by providing 

challenges and rewards. The acquisition budget for FY 2010 is planned at $4.3 million and FY 

2011 is approximately $3.3 million. 

Improving Employee Satisfaction and Wellness

EAC plans on using employee survey findings to improve recruitment, retention and future 

ratings. We are developing an action plan to address the specific areas that employees have 

identified as needing improvement. One area identified as needing improvement is leadership 

and supervisory skills. As mentioned in the Internal Control section of this document, a 
U. S. Election Assistance Commission 

 Fiscal Year 2011 Budget Request 

23

Supervisory Development Program will be offered with courses in project cost management; 

EEO, sexual harassment and diversity; financial management, human resources management, 

and performance appraisal. Further, the agency arranges team building exercises to improve 

internal communication over and above the activities described in Goal 1 Communicate. 

The acquisition budget for FY 2010 is planned at $4.3 million and FY 2011 is approximately 

$3.3 million. In an effort to promote health and wellness initiatives, EAC provides staff with an 

Employee Assistance Program via a Memorandum of Understanding with Federal Occupational 

Health. EAC has expanded the services provided under the MOU to include clinic services such 

as first aid and blood pressure checks and the WorkLife4You Program. The Work/Life Program 

includes consultations for staff on such topics as child and elder care, adoption, career 

development, retirement planning, and services for adults with disabilities and illnesses. In 

addition, EAC does not have to expend funds on offering a fitness facility as one is provided to 

staff in the building to use free of charge. EAC participates in the Flexible Spending Account 

program, and provides flexible work schedules, telecommuting, and transit benefits. In FY 2009, 

EAC purchased automated external defibrillators for each of its three locations and provided 

cardio-pulmonary resuscitation training to approximately 12 staff on use of the machines through 

the Red Cross. 

Information Technology 

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

protect the Commission's information resources. These measures include providing for each 

project: the appropriate technical, personnel, physical, administrative, environmental and 

telecommunications safeguards; and continuity of operations through contingency or disaster 

recovery plans. The Commission's protective measures cover the following information 

resources: data, applications, software, hardware, physical facilities and telecommunications. 

The Commission's information security program assures that each automated information system 

has a level of security that is commensurate with the risk and magnitude of the harm that could 

result from the loss, misuse, unauthorized disclosure or improper modification of the information 

contained in the system. 

Currently, EAC depends on GSA for email, internet and information technology (IT) security 

services, and on a contractor for maintenance of the website, www.eac.gov. Current EAC IT 

staff maintains personal computers and smartphones, provide software requested by EAC staff, 

and perform vulnerability scans. The agency has a shared drive but does not have an intranet 

where policies and procedures can be posted. 

EAC is GSA’s last IT client agency. EAC’s vision is to be responsible for our own infrastructure 

led by a qualified Chief Information Officer (CIO). EAC expects to replace the acting CIO with 

a CIO in the first quarter of FY 2010. The CIO will work on integration of EAC systems, 

upgrade the agency’s email to MS Outlook from Lotus Notes, assist the directors with systems to 

capture performance metric data, and guide EAC in implementation of an automated Time and 

Attendance system and an e-Travel system. Currently, EAC submits hard copy exception-based 
U. S. Election Assistance Commission 

 Fiscal Year 2011 Budget Request 

24

time sheets to GSA, where the Electronic Time and Attendance Management System is used. 

EAC submits hard copy Travel Authorizations and Vouchers to GSA. 

Summary of Information Technology Resources Table 

Salaries and Expenses 

(Dollars in thousands) 

IT Resource Category Budget Activity 

FY 2009 

Enacted 

FY 2010 

Enacted 

FY 2011 

President’s 

Budget 

Major IT Investments Not applicable 

Non-Major IT 

Investments 

Telecommunications Telephone, smartphones, wireless 

service for PCs 90.4 92.2 94.0

Financial management 

system and reports 

Memorandum of Understanding 

with GSA/Pegasys and FMIS 16.7 17.0 17.3

Payroll processing and 

reports 

Memorandum of Understanding 

with GSA/Comprehensive HR 

Integrated System (CHRIS) 14.4 14.7 15.0

Subtotal, Non-Major 

IT Investments 121.4 123.9 126.3

IT Security Memorandum of Understanding 

with GSA 5.6 5.7 5.8

Infrastructure 

Investments 

EAC website & Clearinghouse 

maintenance/recompeted 2009 650.0 400.0 400.0

 Staff salaries and benefits 217.7 379.1 388.2

 Memorandum of Understanding 

with GSA 36.4 37.1 37.8

 Personal computers 6.0 19.5 16.5

Subtotal, 

Infrastructure 

Investments 910.1 837.5 848.3

Total, IT Investments 1,037.1 961.4 974.6

Capital Assets 

Salaries and Expenses 

(Dollars in thousands) 

Resource Category 

FY 2009 

Enacted 

FY 2010 

Enacted 

FY 2011 

President’s 

Budget 

Personal Property 417.6 837.6 837.6

Leasehold Improvements 551.4 633.0 633.0

 Total, Capital Assets 969.0 1,470.6 1,470.6
U. S. Election Assistance Commission 

 Fiscal Year 2011 Budget Request 

25

Appendix A 

EAC Strategic Plan FY 2009 – FY 2013 Performance 

By Fiscal Year 

2009 

o Issue clearinghouse policy within 6 months. 

o Issue policies and procedures to process requests from outside the agency by September 

2009. 

o Publish grants program handbook in Fiscal Year 2009. 

o Establish a baseline in Fiscal Year 2009 on the accuracy and completeness of election 

data reported by states in response to EAC surveys. 

o Complete the “Voters Guide to Federal Elections” in languages currently covered under 

the minority language provisions of the Voting Rights Act by September 2009. 

o Issue the annual report to Congress on the expenditure of HAVA funds by July 15 of 

each year. 

2010 

o Establish a separate location on the EAC website in 2010 to present and manage all 

clearinghouse information. 

o Complete an inventory of potential research projects in Fiscal Year 2010. 

o Establish, in Fiscal Year 2010, a baseline for measuring stakeholder use of EAC research 

and educational products to improve the administration of elections for Federal office. 

o Complete guidance regarding HAVA Section 302 by August 2010. 

o Complete interactive glossaries by March 2010. 

o Begin NVRA rulemaking process and adopt interim procedures by January 2010. 

o Establish a baseline for measuring stakeholder use of EAC teaching materials by the end 

of Fiscal Year 2010. 

o Complete a feasibility study of making the national mail voter registration application 

available in all languages covered by the Voting Rights Act by June 2010. 

o Produce an update to the VVSG in Fiscal Year 2010. 

o Obtain a clean audit opinion on agency financial statements for Fiscal Year 2010. 

o Institute an internal integrated budget and financial management system in Fiscal Year 

2010. 

o Issue the annual report to Congress on the expenditure of HAVA funds by July 15 of 

each year. 

2011 

o Recoup and redistribute unspent Section 102 funds by February 2011. 

o Complete guidance regarding HAVA Section 303 by June 2011. 

o Complete initial materials for addressing the needs of Native Americans and Alaska 

Natives by October 2010. 
U. S. Election Assistance Commission 

 Fiscal Year 2011 Budget Request 

26

o Translate the “Voters Guide to Federal Elections” to any additional languages determined 

to be covered under minority language provisions of the Voting Rights Act on the basis 

of the 2010 Census. 

o Issue the annual report to Congress on the expenditure of HAVA funds by July 15 of 

each year. 

2012 

o Complete guidance regarding HAVA Section 301 by January 2012. 

o Issue the annual report to Congress on the expenditure of HAVA funds by July 15 of 

each year. 

2013 

o Produce an update to the VVSG in Fiscal Year 2013. 

o Complete NVRA rulemaking process and issue guidance by October 2012 and make new 

regulations effective immediately following the Federal general election of 2012. 

o Issue the annual report to Congress on the expenditure of HAVA funds by July 15 of 

each year. 

Mandatory 

o Respond to FOIA requests in accordance with requirements. 

o Produce the annual report of EAC activities to Congress by January 1 of each year for the 

preceding year ending September 30. 

o Resolve 100 percent of grant audit findings within established time frames. 

o Issue required research reports to Congress by statutory deadlines. 

o Issue the biennial report on the impact of NVRA by June 30 of each odd-numbered year. 

o Include recommendations to improve election data collection and data provided to 

Congress in the biennial report on the Election Day Survey. 

o Award grants within established timeframes. 

o Implement 90 percent of OIG audit recommendations within agreed upon timeframes. 

Annual/ongoing outputs 

o Produce an annual FOIA report to chronicle requests and responses. 

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

o Offer at least one grants workshop per year. 

o Plan to conduct voting system field reviews for at least 50 percent of jurisdictions that 

volunteer for reviews. 

o Test and document the results of the review of compliance with procedures by 100 

percent of accredited laboratories every 2 years. 

o Test 100 percent of voting systems qualifying for testing each year.

o Conduct at least one review of a voting system manufacturing facility of a registered 

manufacturer a least once every 4 years. 

o Disseminate all completed research project reports to stakeholders. 

o Start 100 percent of planned and funded research projects each year. M 
U. S. Election Assistance Commission 

 Fiscal Year 2011 Budget Request 

27

o Meet milestones for the completion of research projects in accordance with schedules and 

deliverables each year. 

Stretch goals annually/ongoing -- measurable 

o Post applicable information on the web-based clearinghouse within 24 business hours of 

receipt. 

o Distribute at least one email update per month to stakeholders about the web-based 

clearinghouse.

o Distribute media and Congressional inquiry and response log to EAC staff on a daily 

basis.

o Respond to 75 percent of non-FOIA requests within 72 hours. 

o Provide weekly updates about EAC activities and election administration issues to EAC 

employees. 

o Issue quarterly press releases summarizing EAC activities. 

o Provide regular briefings regarding EAC activities to Congressional staffers. 

o Issue at least 12 EAC newsletters per year.

o Submit state plans for publication in the Federal Register within 30 days of receipt of the 

plan.

o Submit grant payment requests to General Services Administration (GSA) within 10 days 

of receipt of acceptable requests/certifications. 

o Review grant financial and performance reports and notify recipients of reporting 

anomalies or failure to file within 30 days of knowledge of such conditions, in writing in 

all cases and by telephone as time permits, to offer assistance and answer questions. 

o Negotiate indirect cost rates within 30 days of receipt of acceptable indirect cost 

proposals. 

o Submit to the Commissioners all recommended policy and guidance concerning the 

administration of Federal financial assistance administered by EAC within established 

time frames. 

o Respond to all inquiries by recipients about the use and administration of grant funds in 

accordance with EAC requirements in a timely manner.

o After 2010, increase the percentage of stakeholder use of EAC research products and 

teaching materials. 

o Increase the accuracy and completeness of reported election data after FY 2009. 

o Complete accreditation reviews for all laboratories recommended to EAC by NIST and 

for all emergency actions within 90 days. 

o Respond to requests for interpretations of voting system standards within 45 days 

(Measures may be modified after EAC determines average number of requests). 
U. S. Election Assistance Commission 

 Fiscal Year 2011 Budget Request 

28

PAGE INTENTIONALLY LEFT BLANK
U. S. Election Assistance Commission 

 Fiscal Year 2011 Budget Request 

29

Appendix B 

EAC FY 2009 Annual Performance Report 
U. S. Election Assistance Commission 

 Fiscal Year 2011 Budget Request 

30

PAGE INTENTIONALLY LEFT BLANK
U. S. Election Assistance Commission 

 Fiscal Year 2011 Budget Request 

 February 1, 2010 

The Honorable Nancy Pelosi 

Speaker 

U.S. House of Representatives 

Washington, DC 20515 

Dear Madam Speaker: 

I am pleased to present the U.S. Election Assistance Commission’s (EAC’s) Fiscal Year 2009 

Annual Performance Report. EAC’s mission is to assist in improving the administration of 

elections for federal office. 

The Office of Management and Budget approved EAC participation in the alternative to the 

consolidated Performance and Accountability Report. The alternative reporting format consists 

of the Agency Financial Report, the Annual Performance Report, and a Citizen’s Report. 

The Agency Financial Report, submitted November 16, 2009, contains EAC’s audited financial 

statements and describes EAC’s financial results over the past year. EAC received an 

unqualified opinion on the financial statement audit. The report also highlights agency efforts to 

strengthen internal controls. 

The Annual Performance Report which follows this letter contains information comparing 

EAC’s Fiscal Year (FY) 2009 actual performance with FY 2009 targeted performance goals. 

Since EAC’s first Strategic Plan was adopted in March 2009, metrics presented are for the most 

part, presented for the portion of the fiscal year covered by the Strategic Plan. Consequently, FY 

2009 measures represent partial year baseline information, and historical data is not presented. 

At this stage of development of our performance measurement, we are reporting on outputs. As 

you will see in the report which follows, we are in the process of finalizing remaining program 

and administrative policies and procedures and establishing an agency-wide internal control 

program to get to the point where we are able to verify the reliability and completeness of the 

performance data presented in future Annual Performance Reports. 

The FY 2009 Annual Performance Report will be posted on our web site, www.eac.gov, on 

February 2, 2010. The Citizen’s Report, which summarizes the financial and performance data, 

will be available on February 15, 2010. 

Sincerely, 

Donetta Davidson, Chair 

31
U. S. Election Assistance Commission 

 Fiscal Year 2011 Budget Request 

32

Overview 

In November 2009, the U.S. Election Assistance Commission (EAC) presented an FY 2009 

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

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

highlights efforts to strengthen internal controls and financial management activities. This is the 

second year EAC has undergone a financial statement audit per the Accountability of Tax Dollar 

Act of 2002, and the first year EAC is participating in the pilot performance reporting project as 

described in OMB Circular A-136 on Financial Reporting Requirements in place of the 

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

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

Report for FY 2009 in conjunction with the FY 2011 Congressional Justification. 

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

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

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

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

documentation of calculation methodology for estimates. Performance indicators are supported 

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

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

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

reported performance data is relevant and reliable. The recommendations will be implemented in 

FY 2010. 

The agency has made tremendous progress in the program areas during FY 2009. EAC made 

strides in speeding up certification of voting systems: between February and August, three 

voting systems were certified. In order to improve communications with stakeholders, EAC 

instituted a Testing and Certification Voting System Reports Clearinghouse on its website. EAC 

issued a report on Voter Registration, Quick Start Management guides on administering Federal 

elections, best practices for voter information web sites; held roundtable discussions on 

Elections, Election Office Management and Accessibility; awarded 13 Poll Worker grants to 

colleges, universities and nonprofit organizations totaling $750,000, and seven Mock Election 

grants to State and local election officials, and regional and nonprofit organizations totaling 

$300,000 to educate secondary school students and their parents about the electoral process 

through mock Federal elections. 
U. S. Election Assistance Commission 

 Fiscal Year 2011 Budget Request 

33

Funding 

Status of Help America Vote Act Authorization versus Appropriations 

(dollars in thousands) 

 Authorized 

Appropriated 

FYs 2003-2010 Remaining

General Services Administration 

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

Punch Card/Lever Machine Replacement (Section 102) 324,750 324,750 - 

Administrative Expenses for 101 and 102 500 500 - 

EAC 

Requirements Payments (Section 251) 3,000,000 2,604,460 $395,540 

Voting Technology Improvement Research Grants 

(Section 271) 20,000 8,000 12,000 

Equipment and Technology Testing Grants (Section 281) 10,000 - 10,000 

Pre-Election Logic and Accuracy Testing & PostElection Verification 3,000 1 3,000 - 

Operations (Section 210) 99,582 2 99,582 - 

Election Data Collection Grants 10,000 3 10,000 - 

National Student and Parent Mock Election Organization 

(Section 295) 1,400 ** 199 1,201

Help America Vote Act Foundation (Section 601) 5,000 2,246 2,754

Poll Worker Grants (Section 501) 5,000 ** 2,246 2,754 

Total $3,803,982 $3,379,733 $424,249 

1/ Authorized by P.L.s 111-8 and 111-117 

2/ $30 million per HAVA, balance per appropriations. Includes $2.6 million Poll Worker grants, $800,000 Mock Election Grants 

3/ Authorized by P.L. 110-161 

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

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

The General Services Administration distributed funds on EAC’s behalf in FY 2003 prior to establishment of EAC. 
U. S. Election Assistance Commission 

 Fiscal Year 2011 Budget Request 

State-Reported Help America Vote Act Spending as of September 30, 2009 

Description Amount Percent 

Voting Systems $1,604,367,413 71.0% 

Voter Registration Systems 354,992,541 15.7 

Improving to the Administration of Federal Elections* 155,299,936 6.9 

Educating Voters, Training Officials and Poll Workers, and 

Recruiting Poll workers 77,140,039

 

 3.4 

Improving Polling Places 29,765,726 1.3 

Provisional Voting 3,664,550 0.16 

Uncategorized 34,206,688 1.5 

Total $2,259,436,893

*Includes costs associated with preparing State plans, administering the HAVA program, identification 

for first-time voters, posting voting information at polls, and language assistance. Also, includes 

additional costs of training, voting equipment, and voter registration systems that was reported 

collectively. 

EAC received $100,000,000 in FY 2009 appropriations for Requirements Payments of which 

$26.3 million were disbursed. In FY 2009, the States reported having spent $16.0 million of the 

HAVA Section 102 funds. EAC has approximately $7.3 million remaining available until 

expended, in FY 2009 grant appropriations for research on voting technology improvements, 

pre-election logic and accuracy testing and post-election voting systems verification, and 

carryover Requirements Payments funds that will be disbursed in FY 2010. 

EAC, as presented in its Statement of Net Costs, categorizes results of operations within four 

programs: Communications; Fund and Oversee; Research, Policy and Programs; and Testing and 

Certification. The four programs correspond with goals one through four of the EAC Strategic 

Plan. Direct costs for each of program such as assigned personnel costs and specific program 

contract costs are allocated to the respective program directly. 

Other general agency overhead costs such as rent, human resource costs and financial 

management costs are allocated on either a per employee basis or a percent of overall costs 

method. This methodology is outlined in the EAC’s Cost Allocation Model and is reviewed each 

year by staff and financial statement auditors to ensure the accurate allocation of expenses to 

each program. 

The Fund and Oversee program reports the expenditures for the Requirements Payments and the 

other EAC grants. In years in which EAC receives significant appropriation for the Help 

America Vote Act (HAVA) Election Reform Program funds, this program typically exceeds the 

other programs in overall costs. 

The following table presents FY 2009 expenditures of direct and indirect costs by the four 

programs: 

34
U. S. Election Assistance Commission 

 Fiscal Year 2011 Budget Request 

35

Results of FY 2009 Operations by Program 

Program Expenditures 

Communications $ 1,994,125 

Fund and Oversee 113,042,449 

Research, Policy and Programs 2,972,123 

Testing and Certification 3,578,173 

$121,586,870 

Performance Goals 

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

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

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

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

2009. As such, the majority of performance data presented herein for FY 2009 begins at that 

point. 

EAC has five strategic goals: 

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

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

EAC. 

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

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

regarding the administration of elections for Federal office, issue recommended 

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

responsibilities under the National Voter Registration Act. 

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

systems to improve system security, operation, and accessibility. 

5. Manage -- Achieve organizational and management excellence. 

EAC Strategic Plan objectives listed below describe in general terms the results needed to 

accomplish its Strategic Goals. Outcomes measure the effect program outputs have on their 

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

program may have multiple outputs but each output is associated with one program. 

Performance measures are quantifiable, documentable, representations of a capacity, process or 

outcome that is relevant to the assessment of performance. 

The agency, during FY 2009, with the hiring of a CFO/Budget Director and Director of 

Accounting who is a CPA, and adoption of a five year Strategic Plan, implemented controls that 

ensure that financial transactions are executed in accordance with budgetary and financial laws 

and other requirements, consistent with the purposes authorized, and are recorded in accordance 

with Federal accounting standards. EAC was able, by the end of the fiscal year, to ensure that 
U. S. Election Assistance Commission 

 Fiscal Year 2011 Budget Request 

36

assets are properly acquired and used, safeguarded to deter theft, accidental loss or unauthorized 

disposition, and fraud. 

Where the agency has work to do, taking into consideration the newness of the Strategic Plan, is 

collecting performance data and ensuring that it is adequately supported. To this end, EAC 

contracted for an independent review of: 1) its strategic plan performance measures and systems 

to collect the data and 2) risk levels associated with providing inaccurate information for internal 

decision-making. 

EAC’s assessment of internal controls for ensuring the effectiveness and efficiency of operations 

focused on assessing controls for ensuring the reliability of information associated with the 

performance measures presented in its strategic plan, and on self-assessments in the Office of the 

Chief Financial Officer (OCFO). With respect to assessing internal control designed to ensure 

the reliability of financial reporting, EAC is not required by OMB Circular A-123 to perform a 

separate assessment. EAC relied upon the evaluation of internal controls over financial reporting 

conducted by its independent auditors, on reports issued by the Inspector General, and on OCFO 

departmental risk assessments and letters of assurance over the accounting, budget, grants, 

procurement and overall OCFO functions. With respect to internal controls to ensure 

compliance with laws and regulations, EAC relied upon the evaluation conducted by its 

independent auditors and the Inspector General. 

The independent auditors identified a material weakness in internal controls over financial 

reporting involving five accounting errors in FY 2009. The errors were resolved by September 

30, 2009. Further the auditors identified two significant deficiencies, one regarding controls over 

journal vouchers and one involving the need to determine the collectability of a non-material 

receivable. In FY 2010, EAC will implement policies and procedures for journal vouchers, and 

will resolve the receivable issue as quickly as possible. 

In FY 2009, EAC focused efforts on resolving material weaknesses and strengthening internal 

controls. By the end of FY 2009, management identified two material weaknesses in the 

effectiveness of its internal control over operations: lack of effective written policies and 

procedures in the areas of property, personnel, travel, information technology, research, and 

communications; and full compliance with the requirements of Federal Managers’ Financial 

Integrity Act (FMFIA). The pertinent policies and procedures are in draft and in legal review. 

One of the keys to management excellence is a strong internal control program. The agency is 

working towards an integrated Federal Managers’ Financial Integrity Act and OMB Circular A123 Internal Control Systems program that provides management with continuous assurance 

about the effectiveness of internal controls relating to effectiveness and efficiency of operations, 

reliability of financial reporting, and compliance with applicable laws and regulations. The 

integrated internal control evaluation process will result in an invaluable tool for evaluating, 

financial and budgeting performance, program performance, financial and program risks, control 

activities and assessments, and will lead to an effective program for monitoring the effectiveness 

of financial and programmatic activities on a periodic basis. 
U. S. Election Assistance Commission 

 Fiscal Year 2011 Budget Request 

37

During FY 2010, EAC will work on implementing remaining required internal control actions. 

Each manager will be familiar with internal control requirements and responsibilities and be able 

to sign statements of assurance that controls are in place and functioning. EAC will work in FY 

2010 to finalize the remaining effective policies and procedures, strengthen its processes and 

systems, and establish a robust internal control program. 

At the current time, the Commission provides a qualified statement of assurance that the internal 

control and financial management systems meet the objectives of the FMFIA. This is the second 

year in its six year operational existence that EAC prepared financial statements and submitted 

them for audit. Prior to establishment of an Office of the Chief Financial Officer (OCFO) in the 

Spring of 2009, EAC did not have the systems, controls, processes, and staff expertise necessary 

to comply with the Office of Management and Budget guidance for financial and performance 

reporting and received a disclaimer opinion on the FY 2008 financial statement audit. 

To improve the quality of EAC’s financial information and to prepare for future audits, we began 

taking necessary steps at the end of FY 2008 by engaging contractors to help EAC draft policies 

and procedures, identify improvements to internal controls, and upgrade financial reporting; and 

by hiring a staff of budgeting, accounting, grants and contracting experts. The agency now has 

an exceptional OCFO team in place. 

EAC worked diligently in FY 2009 to receive its unqualified opinion on the FY 2009 financial 

statements. During FY 2009, EAC began the process of designing, implementing, and assessing 

internal controls in full compliance with Office of Management and Budget Circular A-123, 

Management’s Responsibility for Internal Control, and FFMIA. A-123 requires the managers of 

Federal agencies to take responsibility for assessing internal controls over financial reporting. 

EAC contracted for independent review of the key business processes impacting financial 

operations and the financial statements, and business processes with no material impact on the 

financial statements but which have some potential for risk or exposure for the agency. 

In December 2009, EAC began conducting agency-wide internal control training, emphasizing 

identification of risks to accomplishment of the agency’s mission and program results. Each 

agency director will be responsible for risk assessment of their specific unit, and for remediation 

activities for identified risks, in conjunction with CFO staff. As mentioned earlier, performance 

measurement systems were independently assessed. The assessment revealed that existing 

performance measures are good indicators as to whether programs and operations achieve 

intended results. Recommendations from the assessment, including control activities needed to 

achieve program objectives and control activities that will improve accuracy of performance 

data, will be implemented in FY 2010 so that EAC’s performance metric reports are reliable and 

measure the right activities. 
U. S. Election Assistance Commission 

 Fiscal Year 2011 Budget Request 

38

Strategic Goal One -- Communicate 

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

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

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

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

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

FY 2009 Enacted FY 2010 Enacted FY 2011 President’s Budget 

$985,017 $848,752 $840,167 

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

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

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

this report. 

FY 2009 Accomplishments

The Communications division has been instrumental in FY 2009 in improving communication 

about EAC’s voting system Testing and Certification program, ensuring that election officials 

are getting the information they need. In FY 2009, the division established a Testing and 

Certification Voting System Reports Clearinghouse, where Communications staff post and 

distribute voting system reports and studies that have been conducted or commissioned by a 

State or local government on the EAC website, www.eac.gov. To be considered for posting on 

the EAC website, a State or local government official submits the report to the EAC Chair or 

Executive Director and certifies that the report reflects their experience operating voting systems 

or implementing EAC's voluntary voting systems guidelines. All system test plans, test reports 

including discrepancies, and certification information are posted to the website. 

During FY 2009, using a cost-effective interagency agreement with the U.S. Department of 

Agriculture, the division produced training videos. Poll worker and election official training 

videos are available on both the EAC website and on YouTube. 

In 2009, in order to accelerate establishment of a Clearinghouse of information on Federal 

elections and to ensure a cost-effective contract, EAC recompeted its website and Clearinghouse 

contract. With the new contract, EAC will pursue its goal of becoming the “go to” place for 

trusted source information about Federal elections and election administration. 

In 2010, EAC intends to connect its stakeholders to a new separately-identifiable Clearinghouse 

on the EAC website. The new Clearinghouse will better disseminate information, data, and 

reports from outside sources, as well as EAC published materials for easy access by Federal, 

State, and local election officials and voters. 
U. S. Election Assistance Commission 

 Fiscal Year 2011 Budget Request 

39

Strategic Goal One FY 2009 Performance Measures 

Performance Indicator 

Type of 

Indicator Planned Actual 

Strategic Goal One: Communicate 

Strategic Objectives

Operate the EAC clearinghouse effectively. 

 

Issue clearinghouse policy within 6 

months [from March 2009]. Output Final policy 

Final will be in 

FY 2010 

 

Post applicable information on the webbased clearinghouse within 24 hours of 

receipt. Output 

100% of data 

posted within 

24 hours 

100% of data 

posted within 24 

hours 

Distribute at least one email update per 

month to stakeholders about the webbased clearinghouse. Output 12 updates 

distributed 

51 newsletters; 6 

updates; 5 public 

meeting reports 

Respond to outside requests about the EAC timely and accurately. 

Issue policies and procedures to process 

requests from outside the agency by 

September 2009. Output 

Final policies 

and procedures 

Final will be in 

FY 2010 

Distribute media and Congressional 

inquiry and response log to EAC staff 

on a daily basis. Output 

Distribute 

inquiry and 

response data 

on a daily basis 

Distributed on 

receipt 

Respond to FOIA requests in 

accordance with requirements. Output 

Respond in 20 

business days 

Median 

processing time 

12 days; average 

25 days 

Respond to 75 percent of non-FOIA 

requests within 72 hours. Output 

75% response 

rate in 72 hours 

100% response 

rate in 72 hours 

Convey the results of EAC operations and accomplishments. 

Provide weekly updates about EAC 

activities and election administration issues 

to EAC employees. 

Output 52 updates/ 

100% 

50 updates/ 

96% 

Produce an annual FOIA report to 

chronicle requests and responses. Output 

Final report on 

1/31/09 

Final report 

submitted on time 

Issue quarterly press releases 

summarizing EAC activities. Output 4 press releases 26 press releases 

Provide regular briefings regarding EAC 

activities to Congressional staffers. Output 2 formal briefings 

2 formal briefings; 

inquiries completed 

and chronicled. 

Produce the annual report of EAC activities 

to Congress by January 31 of each year for 

the preceding year ending September 30. Output 

Report 

disseminated 

1/31/09 

Completed on 

time 

Issue at least 12 EAC newsletters per year. Output 12 newsletters 51 newsletters 
U. S. Election Assistance Commission 

 Fiscal Year 2011 Budget Request 

40

Goal Two -- Fund and Oversee 

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

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

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

administration of elections for Federal office. 

 FY 2009 Enacted FY 2010 Enacted FY 2011 President’s Budget 

Grants Management $ 1,965,889 $ 1,914,069 $1,406,639 

OIG 1,757,730 1,770,259 1,837,836 

Total $3,723,619 $ 3,684,328 $3,244,475 

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

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

achieved via three strategic objectives. The results of the measures associated with the Grants 

Management objectives appear in the next table of this report. 

FY 2009 Accomplishments

In FY 2009, Public Law 111-8 included $100.0 million in FY 2009 to help States improve the 

administration of Federal elections. The funds are referred to as Requirements Payments and are 

authorized under Section 251 of HAVA. Requirements Payments are used to meet the 

requirements of Title III of HAVA, including voting system standards, voting information 

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

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

improve the administration of Federal elections once they certify that the State has implemented 

the requirements of Title III or that the State will use only up to the minimum payment amount 

for the administration of Federal elections. EAC distributed $26.3 million of the $100.0 million 

appropriated by the end of September 2009. 

Each year, EAC reports to Congress on how the States have spent HAVA funds. The report for 

FY 2008 appears as Appendix C of this document. Working with the States, EAC recently 

changed the reporting cycle for submission of the new Federal Financial Report. The new 

reporting calendar will allow EAC to present FY 2010 spending information with the FY 2010 

Annual Performance Report. 
U. S. Election Assistance Commission 

 Fiscal Year 2011 Budget Request 

41

South Dakota received a $500,000 requirements payment in FY 2009. 

The funds will be used by the State’s 66 counties for maintenance of the 

touch screen voting machines required by HAVA for individuals with 

visual or other disabilities, insurance and programming. 

In FY 2009, EAC awarded grants in two discretionary programs funded by Salaries and 

Expenses funds: College Poll Worker recruitment and training, and High School Mock 

Elections. Thirteen grants were awarded to colleges, universities, and nonprofit organizations 

totaling $750,000 for College Poll Worker grants. One award winning grantee is Salish Kootenai 

College in Montana. The College is partnering with Flathead Valley Community College, and 

the Lake and Flathead County elections offices to recruit student workers to assist voters who 

speak the Salish and Kootenai languages and voters with hearing impairments. The program 

received a $66,008 grant to recruit and train 200 students using an innovative multi-media 

recruitment program developed by students. 

“This grant program will help us recruit the next generation of poll 

workers by focusing on recruiting and educating a new generation of 

Americans about the importance of civic participation on Election Day.” 

Paula Robinson, Flathead County Clerk & Recorder 

EAC awarded seven Federal Student Mock Election Grants to State and local election offices, 

and regional and national nonprofit organizations, totaling $300,000. The grants will support 

efforts to allow students to participate in a simulated election, often using actual voting 

equipment and realistic ballots. For example, the Miami Dade County Elections department will 

sponsor mock elections reaching over 100,000 students, with 40 targeted high schools serving as 

precincts and students working as poll workers. 

In FY 2009, EAC resolved audit reports covering State use of HAVA funds in Illinois, New 

Jersey, Ohio, and South Carolina. EAC’s OIG Semi-Annual Report to Congress for the period 

April 1, 2009 through September 30, 2009 identified five audit reports with unresolved 

corrective actions for Illinois, South Carolina, Wyoming, New Mexico, and North Carolina. In 

FY 2010, EAC plans on contracting for assistance with grant audit resolution activities to 

achieve the goal of implementing 90 percent of agreed-upon OIG audit recommendations within 

agency timeframes. 
U. S. Election Assistance Commission 

 Fiscal Year 2011 Budget Request 

42

Strategic Goal Two FY 2009 Performance Measures 

Performance Indicator 

Type of 

Indicator Planned Actual 

Strategic Goal Two: Fund and Ovesee 

Strategic Objectives

Accurately and timely disburse Federal financial assistance administered by EAC. 

 Publish program handbook in Fiscal Year 2009. Output 

Final 

handbook 

Completed 

9/30/2009 

Award grants within established timeframes. Output 100% 100% 

Submit state plans for publication in the Federal 

Register within 30 days of receipt of the plan. Output 100% 100% 

Submit payment requests to GSA within 10 days of 

receipt of acceptable requests/certifications. Output 100% 98% 

Effectively monitor Federal financial assistance administered by EAC. 

Review financial and performance reports and notify 

recipients of reporting anomalies or failure to file within 30 

days of knowledge of such conditions, in writing in all cases 

and by telephone as time permits, to offer assistance and 

answer questions. Output 

State reports 

were due 

12/31/09 

EAC is on 

schedule to 

meet goal by 

deadline 

 

Resolve 100 percent of audit findings within established 

time frames. Output 

100% audit 

resolution 

TBD % 

resolution 

Conduct site visits to at least three high priority grantees 

each year. Output 3 site visits 

1 site visit 

during Strategic 

Plan period 

Negotiate indirect cost rates within 30 days of receipt of 

acceptable indirect cost proposals. Output 

Negotiations on 

hold pending 

MOU w/HHS N/A 

Issue the annual report to Congress on the expenditure 

of HAVA funds by July 15 of each year. Output 

Report issued 

7/15/09 

Format 

revised, 

attached as 

Appendix C 

Provide technical assistance and guidance on the management of Federal financial assistance administered 

by EAC to reduce the risk of inappropriate use of funds and accounting errors. 

Submit to the Commissioners all recommended policy and 

guidance concerning the administration of Federal financial 

assistance administered by EAC within established time 

frames. Output 100% 

Count will 

begin in FY 

2010 

 

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

Respond to all inquiries by recipients about the use and 

administration of funds in accordance with EAC 

requirements in a timely manner. Output 

24 hour turnaround for 

phone &email 

response time 

To be 

measured 

beginning in 

FY 2010 
U. S. Election Assistance Commission 

 Fiscal Year 2011 Budget Request 

43

Goal Three -- Study, Guide and Assist 

Strategic Plan Goal 3 is to identify and develop information on areas of pressing concern 

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

guidance, translations, and best practices as required by HAVA, and carry out responsibilities 

under the National Voter Registration Act (NVRA). The outcome of the goal is for the election 

community and other key stakeholders to improve the administration of elections for Federal 

office on the basis of pertinent, impartial, timely, and high-quality information, 

recommendations, guides, and other tools on election and voting issues. In addition, eligible 

citizens use the national mail voter registration application to register to vote, register with a 

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

FY 2009 Enacted FY 2010 Enacted FY 2011 President’s Budget 

$1,191,890 $1,544,817 $1,523,184 

Goal 4 is administered by the Research, Policy and Programs unit. The goal will be 

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

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

FY 2009 Accomplishments

In FY 2009, the Research, Policy and Programs Division developed a listing of potential research 

projects with timelines to guide staff work through 2012. Progress has been made toward the 

completion of several projects noted in the research schedule, many of which are mandated by 

HAVA and/or authorized by Congress. The list will continue to be revised in accordance with 

EAC and/or congressional priorities. EAC receives input on scheduling of mandated studies 

from its Standards Board and from the Research Subcommittee of its Board of Advisors. 

In FY 2009, consistent with the list of potential research noted above, the Research Division 

administered its biennial election survey for the 2008 Federal elections, and produced and 

disseminated two Congressionally-mandated reports by their statutory deadlines--the Impact of 

the National Voter Registration Act and the $10.0 million Election Data Collection Grant 

Program. A Statutory Overview report on State election laws was developed as well. 

The Research Division also initiated in FY 2009 an evaluation project to assist with developing a 

baseline for measuring stakeholder use of EAC educational products to improve the 

administration of elections for Federal office. Research efforts continue on the HAVA-mandated 

Vote Count/Recount study, and work on two others was initiated at the end of FY 2009, on 

Election Administration in Urban and Rural Settings and the Cost of Elections. 

The Research office continues to identify and collect required and useful data on election 

administration while making recommendations for improving the quality of data collection. A 

conference call was held in FY 2009 with State and local election officials to discuss the 2008 
U. S. Election Assistance Commission 

 Fiscal Year 2011 Budget Request 

44

Election Day Survey and garner their input on ways to make future versions of the survey more 

conducive to their data collection and submission needs. A draft of the 2010 Election 

Administration and Voting Survey was released for public comment in FY 2009. 

The Research Division’s Election Management Guidelines program released four Quick Start 

Management Guides in October 2008 on Serving Voters in Long-Term Care Facilities, 

Provisional Ballots, Recounts, and Canvassing and Certifying an Election. During the year, staff 

worked on five Election Management Guidelines chapters. In September 2009, staff conducted 

three working groups for new chapters and Quick Starts on Technology in Elections, Election 

Office Management, and Accessibility. 

The Research Division’s Language Accessibility Program has been working to meet its strategic 

goal of assisting election officials in meeting the needs of language minority proficiency voters. 

In FY 2009, the Spanish Glossary of Key Election Terminology was redesigned. The new 

glossary is in line with the design of the five Asian language glossaries. In October 2008, EAC 

developed “A Voter’s Guide to Federal Elections” in English, Spanish, Chinese, Japanese, 

Korean, Vietnamese, and Tagalog. 

EAC’s Strategic Plan includes a performance measure of beginning National Voter Registration 

Act (NVRA) of 1993 rulemaking. A Federal Register Notice transferring the NVRA 

Regulations from the Federal Election Commission to EAC was published on July 29, 2009. 

The transfer became effective August 28, 2009. An expedited Paperwork Reduction Act 

clearance request was submitted to the Office of Management and Budget (OMB) on August 28, 

2009 for NVRA Regulations for the Voter Registration Application and NVRA Regulations for 

Data Collection. Both submissions were approved, and OMB Control Numbers were assigned 

on September 3, 2009. 
U. S. Election Assistance Commission 

 Fiscal Year 2011 Budget Request 

Strategic Goal Three FY 2009 Performance Measures 

Performance Indicator 

Type of 

Indicator Planned Actual 

Strategic Goal Three: Study, Guide, Assist 

Strategic Objectives

Complete research on relevant issues that improve the administration of elections for Federal office and 

expeditiously report on critical election administration subjects and data. 

 

Start 100 percent of planned and funded projects each 

year. Output 100% 100% 

 

Meet milestones for the completion of research projects in 

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

Disseminate all completed research project reports to 

stakeholders. Output 100% 100% 

Identify and collect required and useful data on election administration practices, voting methods, and 

demographics; and make recommendations for improving the quality of practices, methods, and data. 

Establish a baseline in Fiscal Year 2009 on the accuracy 

and completeness of data reported by states in response to 

EAC surveys. Increase the accuracy and completeness of 

reported data in each of the succeeding years. Output 

Baseline 

93% EDS 

2004 

100% response 

rate to 

Election Day 

Survey 2008 

Include recommendations to improve election data 

collection and data provided to Congress in the biennial 

report on the Election Day Survey. Output 

2008 

election

recommendations

Report 

submitted 6/09 

Issue required reports to Congress by statutory deadlines. Output 2 2 

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

and voters. 

Complete the “Voters Guide to Federal Elections” in 

languages currently covered under the minority language 

provisions of the Voting Rights Act by September 2009. Output 

Complete 

translations Completed 

10/2008 

Enact regulations governing the national mail voter registration application, collection of voter 

registration and related data, and reporting to the Congress as required by NVRA. 

Issue the biennial report on the impact of NVRA by June 

30 of each odd-numbered year. Output 

Final by 

6/30/09 

Completed on 

time 6/30/09 

45
U. S. Election Assistance Commission 

 Fiscal Year 2011 Budget Request 

46

Goal 4 -- Test and Certify 

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

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

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

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

Certification Program to ensure voting systems meet standards. 

 FY 2009 Enacted FY 2010 Enacted FY 2011 President’s Budget 

$1,672,406 $1,861,008 $1,825,642 

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

through the use of two strategic objectives. The results of the measures associated with 

the objectives appear in the next table of this report. 

FY 2009 Accomplishments 

In addition to the ongoing work of the Communications Division to make EAC stakeholders 

aware of Certification Division activities, the Certification Division began issuing its own 

monthly email newsletters specifically focusing on the Certification Division in 2009. The 

newsletter is distributed to approximately 400 State and local election officials, advocacy groups, 

Voting System Test Laboratories (VSTLs), voting system manufacturers and Congressional 

staff. 

 

The Certification Division, working with the National Institute of Standards and Technology 

(NIST), drafted and updated the current version of the 2005 Voluntary Voting System Guidelines 

(VVSG), now entitled 2005 VVSG Version 1.1, in 2009. The draft was published for a 120 day 

public comment period beginning June 1, 2009 and ending September 28, 2009. Staff is 

currently reviewing over 300 comments received from the public. 

In 2009, EAC timely re-accredited SysTest Laboratories and iBeta Quality Assurance. In 

addition to the semi-annual re-accreditation process, both labs underwent a required EAC Policy, 

Procedures and Practices Review pursuant to the EAC Laboratory Accreditation Program 

Manual. Wyle Laboratories and Ciber, Inc. will undergo re-accreditation review and the 

required on-site Policy, Procedures and Practices Review during 2010. 

The Certification Division drafted internal Standard Operating Procedures generated by the 

requirements of the Testing and Certification Program Manual. In addition to certifying three 

voting systems, EAC approved five test plans for voting systems in 2009. Manufacturing facility 

reviews will be conducted in early FY 2010, following late FY 2009 receipt of the voting system 

certifications. Field Reviews will be conducted in FY 2010 for EAC-certified voting systems 

that experience election related anomalies. 
U. S. Election Assistance Commission 

 Fiscal Year 2011 Budget Request 

47

Strategic Goal Four FY 2009 Performance Measures 

Performance Indicator 

Type of 

Indicator Planned Actual 

Strategic Goal Four: Test and Certify 

Strategic Objectives

Provide for the accreditation and revocation of accreditation of independent, non-federal 

laboratories qualified to test voting systems to Federal standards. 

 

Complete accreditation reviews for all 

laboratories recommended to EAC by NIST and 

for all emergency actions within 90 days. Output 

100% 

complete 

in 90 days 

66% complete 

in 90 days 

Test and document the results of the review of 

compliance with procedures by 100 percent of 

accredited laboratories every 2 years. Output 100% 100% 

Administer the testing, certification, decertification, and recertification of voting system 

hardware and software by accredited laboratories. 

Test 100 percent of systems qualifying for 

testing each year. Output 

100% of 

systems 

submitted 

for testing 

are tested 

according to 

program 

standards 

Completed 

testing 

according to 

standards for 

60% of 

systems 

submitted (3 

out of 5 

systems) 

Respond to requests for interpretations of voting 

system standards within 45 days (Measures may 

be modified after EAC determines average 

number of requests). Output 45 days 

52.4 days 

(40% on 

target) 
U. S. Election Assistance Commission 

 Fiscal Year 2011 Budget Request 

Goal 5 Manage 

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

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

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

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

Chief Financial Officer with support from the Offices of the General Counsel and 

Administration. In order to achieve the goal, EAC will focus on continuing to achieve a clean 

audit opinion, providing accurate timely information, and improving integration of budget and 

performance as prescribed by the President’s Management Agenda. 

 FY 2009 Enacted FY 2010 Enacted FY 2011 President’s Budget 

Commissioners $1,149,402 $1,186,525 $1,354,238 

Board of Advisors, Standards Board 454,333 293,299 274,786

Executive Director & Public 

Meetings 708,765 627,182 717,138

Chief Operating Officer 746,922 1,164,033 639,007

Administrative Services 2,160,741 1,862,250 1,822,466

Chief Financial Officer 470,790 704,511 602,339

Office of the General Counsel 695,115 670,677 706,559

Total $6,386,068 $6,508,477 $6,116,533 

Goal 5 Accomplishments

During FY 2009, EAC: 

 Reorganized, to both align organizational structure and metrics with the Strategic Plan 

2009-2014 adopted in March; 

 Established its first Office of the Chief Financial Officer consisting of experienced 

grants, budget, accounting (including a CPA) and procurement staff; 

 Finalized financial management policies and procedures; 

 Addressed performance against the Strategic Plan in the Agency Financial Report for FY 

2009; 

 Resolved all outstanding accounting issues, identified as a material weakness in the FY 

2009 financial statement audit, including potential Anti-Deficiency Act and Purpose 

Statute violations; 

 Produced financial statements in conformance with generally-accepted accounting 

principles; 

 Established and followed a schedule of reconciliations; 

 Implemented funds control measures; 

48
U. S. Election Assistance Commission 

 Fiscal Year 2011 Budget Request 

49

 Assessed risks in financial management; 

 Submitted a FY 2010 Congressional Budget Justification and FY 2011 OMB Budget 

Justification in a performance-based format; 

 Made tremendous progress in closing out many outstanding recommendations from 

operational audits and the FY 2008 financial statement audit; and 

 Committed resources and time to move from a disclaimer opinion on our FY 2008 

financial statements to an unqualified (clean) opinion in the second half of FY 2009. 

During FY 2009, a great deal of progress was made to ensure the reliability of financial 

reporting. The CFO department completed a recode of all Salaries and Expenses obligations 

from the previously-used single organization code into specific office and program locations. A 

verification of the accuracy of the recode is underway with each of the unit directors. A report 

that accounts for the lag time between when the agency signs off on financial documents such as 

travel authorizations and contract award documentation and when GSA enters the documents 

into Pegasys was developed. 

FY 2009 Financial Statement Preparation Guidance was developed to ensure compliance with 

the financial reporting requirements of OMB Circular A-136 Financial Reporting Requirements. 

The guide was submitted to the financial statement auditor and financial policy review 

contractor. 

The Accounting Director created a financial statement template containing automated links 

between Treasury’s crosswalks, EAC’s Trial Balance, and all EAC financial statements. On a 

monthly basis, financial statement preparation is completed with a single update of the General 

Ledger balances in the template. The template automatically links to Treasury tie points so any 

discrepancies are easily identified. Discrepancies are resolved via conversations with GSA 

accountants. A control list of periodic reconciliations appears in the EAC Accounting Manual. 

Actions taken during FY 2009 -- accounting for all expenses by office and program, accounting 

for the lag between creation of financial documents and recording in Pegasys, reconciliation of 

documents submitted versus recorded by GSA using sequential tracking numbers, monthly 

financial statements, following capitalization policy, and tying budgets to information in the 

financial statements -- give reasonable assurance that revenues and expenditures are properly 

recorded and accounted for to permit the preparation of accounts and reliable financial reports 

and to maintain accountability over assets. 

EAC continues to improve it programs and operations, strengthening internal controls, financial 

management, and information technology across the agency. Some work remains to be done, 

such as a program of continuous internal control assessment and improvement as required by the 

Federal Managers’ Financial Integrity Act. In FY 2010, EAC plans on implementing internal 

control procedures including sending the division managers an assessable unit risk assessment 

questionnaire and individual letters of assurance for signature per EAC Internal Control 

Procedures. The directors’ letters of assurance will be rolled into the CFO’s annual statement of 

assurance. 
U. S. Election Assistance Commission 

 Fiscal Year 2011 Budget Request 

50

In FY 2010, we look forward to improving the agency’s information technology infrastructure 

with the pending hire of its first Chief Information Officer, analyzing results of user feedback on 

the quality and usability of our research and training materials, and continuing to provide 

materials to election officials to assist with the administration of Federal elections. 

Challenges for FY 2010 include: 1) finalizing effective written policies and procedures in the 

areas of property, personnel, travel, information technology, research, and communications; 2) 

implementing a robust internal control program; and 3) providing monthly status of funds reports 

to directors. 

Management is working to foster a culture of accountability among staff. The agency is seeking 

to improve staff satisfaction ratings and achieve management excellence through improved 

internal controls and human resource initiatives.

 

Information Technology

In the area of Information Technology accomplishments, during FY 2009, EAC conducted an 

inventory of systems and applications, received Certification and Accreditation of general 

support systems from the General Services Administration, and monitored the EAC website and 

GSA-provided IT services as part of the annual Federal Information Security Management Act 

(FISMA) audit. The lack of an internally developed agency-wide information security program 

and of an adequate security management structure will be resolved with implementation of 

policies and procedures currently under review and the hiring of a Chief Information Officer 

(CIO). 

The FY 2009 FISMA evaluation report found that EAC has taken actions to address many of the 

serious problems noted in the FY 2008 FISMA evaluation report. The FY 2009 report found that 

weaknesses in four areas had been resolved, weaknesses in two areas had been partially resolved, 

and one weakness had not yet been addressed. Since EAC is not in substantial compliance in 

every FISMA control area, the FY 2009 financial audit reported FISMA compliance as a 

significant deficiency. 

The one issue remaining to be addressed is development of a Continuity of Operations Plan 

(COOP)/Disaster Recovery Plan (DRP)/Business Impact Analysis (BIA). Without the plans, 

EAC’s ability to respond to a disruption in business operations as a result of a disaster or other 

long-term emergency could be affected. EAC will develop a COOP and DRP in order to ensure 

that if unexpected events occur, critical operations can continue or be promptly resumed without 

significant interruption. Per EAC’s FY 2009 Plan of Action and Milestones (POA&M), the 

agency will develop and test a COOP in FY 2010 based on cost-effective strategies identified in 

the final FY 2009 FISMA risk assessment. 

The FY 2009 FISMA evaluation report includes specific recommendations for ensuring 

substantial compliance in different control areas. These recommendations and other key 

information security tasks are included in EAC’s high-level FY 2009 FISMA POA&M. Once 
U. S. Election Assistance Commission 

 Fiscal Year 2011 Budget Request 

51

the items in the POA&M are implemented in FY 2010, EAC will be substantially compliant in 

every FISMA control area. 

In the area of financial system integration, EAC took the recommendation made in the FY 2008 

internal control report of the financial statement audit seriously. The recommendation was to 

“either interface its standalone financial systems with the service provider’s system or utilize the 

service provider’s subsystems, if available.” During FY 2009, EAC contracted for an 

independent assessment of and recommendations to remediate the finding as regards to a grants 

interface. Essentially, the recommendation was to use the U.S. Department of Health and 

Human Services Payment Management System (PMS). 

Since GSA is unwilling and would not be expected to support the interface between PMS and the 

GSA core financial system (Pegasys) for a single client agency, EAC remediates the finding 

using information provided by recipients of HAVA funds on Standard Form (SF) 425 Federal 

Financial Report and advance accounting methodology. Based on the information reported on 

the SF-425, EAC periodically adjusts the advance accounts and records grant expenditures by 

submitting adjusting entries to GSA for entry into Pegasys. The result is a record of actual grant 

activity and balances at the grantee level and information for periodic monitoring of grantee 

financial activity. 

Additionally, at the end of FY 2009, GSA made a capital asset module available to client 

agencies, which EAC is using. 

Audit Follow-Up

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

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

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

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

Tracking Report. The report is carefully reviewed by EAC and is submitted each month to 

Congressional Oversight staff. 

Of 82 open operational audit recommendations, EAC closed 50, consolidated 13 

as being repetitive, and has 19 open findings to resolve. This represents a 77 

percent improvement during FY 2009. 

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

substantially improved through the remediation of audit recommendations made by the 

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

recommendations from audits and reviews conducted by the Government Accountability Office. 
U. S. Election Assistance Commission 

 Fiscal Year 2011 Budget Request 

52

Strategic Goal Five FY 2009 Performance Measures 

Performance Indicator 

Type of 

Indicator Planned Actual 

Strategic Goal Five: Manage 

Strategic Objective 

Implement a high performance organization 

 

Unqualified financial statement audit 

opinion by FY 2010 Outcome No 

Unqualified opinion 

received for FY 2009 

 

Implement 90 percent of the OIG audit 

recommendations within agreed upon 

timeframes. Outcome 90% 

77% of outstanding 

operational 

recommendations were 

resolved in FY 2009