APPENDIX A

THE U.S. ELECTION ASSISTANCE COMMISSION

FISCAL YEAR 2013

INTERIM ANNUAL PERFORMANCE REPORT

March 10, 2014
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TABLE OF CONTENTS

 Page

 

I. Overview....................................................................................4 

 Strategic Plan Goals and Organizational Structure Alignment

Allocation of Costs to Programs

 Performance Data Collection and Validation

Performance Indicators

II. Goal One – Communicate...............................................................5 

 

 Outcome and Costs

 Areas of Responsibility

 Accomplishments

 Performance Indicators

III. Goal Two – Fund and Oversee.......................................................10

 

 Outcome and Costs

 Areas of Responsibility

 Accomplishments

 Performance Indicators

IV. Goal Three – Study, Guide and Assist...............................................13 

 

 Outcome and Costs

 Areas of Responsibility 

 Accomplishments

 Performance Indicators

V. Goal Four – Test and Certify..........................................................16

 

 Outcome and Costs 

 Areas of Responsibility

 Accomplishments 

 Performance Indicators

V. Goal Five – Manage....................................................................18
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Overview

In December 2013, the U.S. Election Assistance Commission (EAC) presented a fiscal year (FY)

2013 Agency Financial Report (AFR). The report described EAC’s financial results over the 

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

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

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

possible in the following Interim Annual Performance Report for FY 2013 in conjunction with 

the FY 2015 Interim Congressional Justification. This is the sixth year EAC has undergone a 

financial statement audit pursuant to the Accountability of Tax Dollar Act of 2002.

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

high-quality performance measures and data. In the program areas during FY 2013, EAC made 

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

the Help America Vote Act (HAVA) of 2002:

Strategic Plan Goals and Organizational Structure Alignment

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

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

Standards Board for comment. EAC’s five strategic goals are:

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’s program offices are aligned with each of the goals in the Plan. Communications; 

Inspector General and Grants Management; Research, Policy and Programs; and Testing and 

Certification. Goal 5 encompasses costs needed to support the programs such as HAVAmandated positions, staff needed to comply with federal laws such as the Federal Information 

Management Security Act; rent, information technology and financial management services.
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Allocation of Costs to Programs

Costs specifically identified with each of these programs such as assigned personnel costs and 

specific program contract costs are allocated to the program directly. Other general agency 

overhead are allocated to the programs based on staffing levels of the programs. This 

methodology is outlined in EAC’s Cost Allocation Model and is reviewed each year by staff and 

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

Performance Data Collection and Validation

Managing for results and producing an Annual Performance Plan 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 verifies mandatory source 

documentation, and documentation of calculation methodology for performance indicators to 

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

reliable. 

Performance Indicators

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

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

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

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

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

or outcome that is relevant to the assessment of performance. 

Goal One – Communicate

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

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

EAC.

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

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

administering, conducting and participating in Federal elections and how, 

where, and when Americans vote.

FY 2013

Communications

Enacted Budget

Direct Costs $366,095

Indirect Costs 345,730

Total, Communicate $711,825

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

Communications and Clearinghouse division. 
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Areas of Responsibility

The Communications and Clearinghouse Division is responsible for external communications 

and the tools and platforms used to provide information to election officials and the general 

public. Areas of responsibility include:

• EAC Website and Clearinghouse

• Social media 

• Media inquires

• External communications

• Congressional relations

• The Freedom of Information Act

• National Archives and Records Act 

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

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

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

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

related information from public meetings, hearings and roundtables.

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

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

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

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

received in real time on a daily or weekly basis.

FY 2013 Accomplishments

The Communications and Clearinghouse Division began Fiscal Year 2013 with a focused effort 

on providing information and best practices to election officials and voters in the remaining 

weeks prior to the 2012 November election. EAC maintained the goal of building a community 

of knowledge and expertise that could save election officials time and money in preparation for 

the 2014 federal election cycle. 

EAC.gov Resources

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

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

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

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

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

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

meetings, hearings and roundtable discussions. 

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

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

interest. All meeting materials are also available to the public. 
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• Customized program updates: a listserv for EAC’s newsletter and automatic program 

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

their delivery preferences. 

Social Media and Stakeholder Updates

• Blog posts provided periodic election updates and highlight program activities including: 

EAC resources; election updates; voting system testing updates to track progress made on 

EAC voting system certification; information on absentee and early voting; hurricane 

contingency plans; state election info; post election info; roundtables, workshop and 

symposium; public comments on test lab program manual and 2014 EAVS/UOCAVA 

Survey; and Engineering Change Order (ECO) database for State users to better handle 

our test matrix of VVSG requirements; and ongoing blog posts covering election related 

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

information to stakeholders and the media;

• Used @EACgov on Twitter to rapidly deliver information and updates to stakeholders 

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

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

• Maintained #BReady2012 and #FOV13, the Twitter hashtags where election officials and 

the public can gather and discuss preparation for Federal elections. The number of EAC 

Twitter followers grew from 970 to 1602 from October 2012 through September 2013;

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

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

and information expertise; and

• Provided program activity updates where the public can customize the kind of 

information and the frequency that it is delivered via EAC’s newsletter and automatic 

program updates.

• EAC delivered information and updates to election officials and stakeholders about: (1) 

2012 survey report data on the ability of civilian, military and overseas citizens to 

successfully cast a ballot; (2) voting system certification program; and (3) remaining 

HAVA funds available to states. 

• As requests were received from election officials, EAC continued to add more links to 

state & local election social media sites.

Post 2012 Election: The Roundtable Series of Public Discussions

In Fiscal Year 2013, EAC hosted two public roundtable discussions which followed the series of 

prior EAC roundtables about topics and initiatives in preparation for 2012 federal election cycle. 

In January, EAC hosted a post election roundtable to assess the 2012 election and review shared 

best practices for addressing some of the challenges presented during the election cycle. A 

second roundtable was held in May to discuss the results of grant funded work and how recent 

innovations in accessibility research may be applied to the future of election administration and 

voting systems. Both roundtables were webcast live and featured a live Twitterfall. Questions 

and comments were taken from the public through the webcasts. Participants included election 

officials and subject experts who provided real world solutions to the issues facing election 

officials and voters as we prepare for the 2012 elections. EAC distributed press advisories to 
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national media daybooks and contacts, and to the home state/local media outlets representing 

roundtable participants. EAC also publicized and promoted participation in two EAC / NIST 

events: a workshop on accessible voting technology, with approximately 70 participants; and a 

symposium on the future of voting systems, attended by about 75 participants. 

• Informing Change: A Review of Events and Issues of the 2012 Elections Cycle (January

9, 2013). Reviewed shared best practices for addressing some of the challenges 

presented during the 2012 election cycle. EAC heard from state and local election 

officials, poll workers and end users, advocates, leading academics, researchers and 

observers of the election process. Participants shared ideas and strategies for improving 

the administration of elections in the U.S. Objective: to identify which aspects of the 

process may be improved in order to begin developing best practices that can be used in 

the next election. CSPAN covered via webcast. On demand webcasts are available of 

EAC's yearlong series of discussions on major topics to prepare for the Presidential 

Election.

• Transforming Election Administration, Voting System Accessibility, and the 

Certification Process (May 9, 2013). Discussed the results of grant funded work and how 

recent innovations in accessibility research may be applied to the future of election 

administration and voting systems. The May 9 roundtable continued discussions from 

the Future of Voting Systems Symposium and the Accessible Voting Technology 

workshop.

• EAC/NIST Accessible Voting Technology Research Workshop (April 1-2, 2013). EAC 

and NIST hosted a workshop to discuss current and future research in accessible voting 

technology, and the transition of this research to industry. Topics included: Innovative 

assistive applications and techniques; New approaches to accessibility in voting; 

Accessibility research benchmarks and results; Transitioning research to industry; New 

and existing devices that provide accessible access to elements of the voting process; and 

Challenges in accessible voting.

• EAC/NIST Future of Voting Systems Symposium (February 26-28, 2013). EAC and 

NIST hosted a symposium to explore emerging trends in voting system technology with 

the election community at large. Topics included: Why some jurisdictions are exploring 

building their own voting systems; Trends in voting system technology acquisition and 

deployment plans; How election officials, manufactures, young voters, and academics 

view the future of voting system technologies; Alternative standard development 

processes for voting systems; and Alternative methods for voting system testing and 

certification at the Federal and State level.
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Performance Indicator

Type of 

Indicator

FY 2011

Actual

FY 2012

Actual

FY 2013

Actual

FY 2014

Planned

FY 2015

Planned

Operate the EAC clearinghouse effectively.

Issue Clearinghouse policy within 

6 months.

Output In final draft Final adoption 

contingent on 

Commission 

quorum

Post applicable information on the 

website within 24 hours of receipt. 

Output 100% of data 

posted in 24 

hours

100% of data 

posted in 24 

hours 

100% of data 

posted in 24 

hours 

100% of data 

posted in 24 

hours

100% of data 

posted in 24 

hours

Establish a separate location on 

the EAC website in 2010 to 

present and manage all 

clearinghouse information.

Pending 

approval of 

Clearinghouse 

policy

Distribute at least one email 

update per month to stakeholders 

about the web-based 

Clearinghouse.

Output 50 newsletters; 13 

updates

12 updates 

distributed

12 updates 

distributed

12 updates 

distributed

29 updates 

distributed

Respond to outside requests about EAC timely and accurately.

Issue policies and procedures to 

process requests from outside the 

agency by September 2009.

Output In final draft Final adoption 

contingent on 

quorum 

Distribute media and 

Congressional inquiry and 

response log to EAC staff on a 

daily basis.

Output Inquiries 

distributed on 

receipt, logs 

sent daily

Inquiries 

distributed on 

receipt, logs 

sent daily

Inquiries 

distributed on 

receipt, logs 

sent daily

Inquiries 

distributed 

on receipt, 

logs sent 

daily

Inquiries 

distributed on 

receipt, logs 

sent daily or 

in monthly 

reports

Respond to FOIA requests in 

accordance with requirements.

Output Responses in 

20 business 

days

Respond in 20 

business days

Respond in 20 

business days

Respond in 

20 business 

days

Respond in 20 

business days

Respond to 75 percent of nonFOIA requests within 72 

[business] hours. [Excludes 

requests with Congressional 

deadlines.]

Output 100% 

response rate 

in 72 hours

100% 

response rate 

in 72 hours

100% 

response rate 

in 72 hours

100% 

response rate 

in 72 hours

100% 

response rate 

in 72 hours

Convey the results of EAC operations and accomplishments.

Provide weekly updates about 

EAC activities and election 

administration issues to EAC 

employees.

Output 52 

updates/100%

52 updates 52 updates 52 updates 52 updates

Produce an annual FOIA report to 

chronicle requests and responses.

Output Final report on 

time 1/31/11

Final report on 

1/31/12

Final report on 

1/31/13

Final report 

on 1/31/14

Final report on 

1/31/15

Issue quarterly press releases 

summarizing EAC activities.

Output 28 press 

releases

4 press 

releases

4 press 

releases

4 press 

releases

67 blog posts 

in lieu of press 

releases

Provide regular briefings 

regarding EAC activities to 

Congressional staffers.

Output 2 formal 

briefings

2 formal 

briefings

2 formal 

briefings

2 formal 

briefings

2 formal 

briefings

Produce the annual report of EAC 

activities to Congress by January 

31 of each year for the preceding 

year ending September 30.

Output Report 

disseminated 

1/31/11

Report 

disseminated 

1/31/12

Report 

disseminated 

1/31/13

Report 

disseminated 

1/31/14

Report 

disseminated 

1/31/15

Issue at least 12 EAC newsletters 

per year.

Output 50 newsletters 12 12 12 29 newsletters
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Goal Two – Fund and Oversee

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

Outcome: States and other recipients promptly and accurately receive Federal 

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

administration of elections for Federal office.

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

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

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

this section. 

Areas of Responsibility

The Grants Management Division:

• Provides technical assistance to the States on administering Federal funds;

• Awards and monitors discretionary grant programs including: Help America Vote 

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

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

Initiative and Accessible Voting Technology Initiative; 

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

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

submitted by States and discretionary grant recipients;

• Reviews audit reports and works with fund recipients on recommendations to resolve 

audit findings applicable to EAC programs;

• Reviews amended State Plan submissions; and

• Drafts advisory opinions for Commission approval and issuance.

FY 2013 Accomplishments

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

2008 through FY 2011 awards;

• Closed the 9 College Poll Worker and the 4 Mock Election grants awarded in FY 2010; 

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

Poll Worker grantees to help them carry out successful programs;

FY 2013 Grants Management and 

Office of the Inspector General Enacted Budgets

Grants Management $ 415,831

OIG 1,184,617

Indirect Costs 1,382,920

Total, Fund and Oversee $2,983,368
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• Continued to monitor and work with the three-year award 2010 Mock Election Program 

grantees; 

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

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

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

elections; 

• Closed all open OIG audits of state HAVA funds; and

• Provided technical assistance to grant recipients as they are responsible for establishing 

and maintain internal controls that will reasonably ensure compliance with federal laws, 

regulations, and the provisions of the authorizing legislations and grant agreements for 

the applicable grant programs. 
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Performance Indicator

Type of 

Indicator

FY 2011

Actual

FY 2012

Actual

FY 2013

Actual

FY 2014

Planned

FY 2015

Planned

Accurately and timely disburse Federal financial assistance administered by EAC.

Award grants within established 

timeframes.

Output All Disability 

and 1st round of 

L&A; 100% of 

RPs

N/A (lack of 

Commissioner quorum for 

L&A)

100% of 

appropriated 

funds

100% of 

appropriated 

funds

Submit State plans for publication in 

the Federal Register within 30 days 

of receipt of the plan.

Output 100% 100% 100% 100% 100%

Submit payment requests to GSA 

[BPD] within 10 days of receipt of 

acceptable requests/certifications.

Output 100% 100% 99% 100% 100%

Effectively monitor Federal financial assistance administered by EAC.

Review financial and performance 

reports and notify recipients of 

reporting anomalies or failures to file 

w/in 30 days of knowledge of 

conditions in writing in all cases and 

by phone as time permits to offer 

assistance & answer questions.

Output 100% Met goal by 

deadline

Met goal by 

deadline

Meet goal

by 

deadline

Meet goal

by 

deadline

Resolve 100 percent of audit findings 

within established time frames.

Output No overdue mgt. 

decisions as of 

9/30/2010

85% audit 

resolution

100% audit 

resolution

100% 

audit 

resolution

100% 

audit 

resolution

Conduct site visits to at least three 

high priority grantees each year.

Output 2 site visits 2 site visits 0 site visits 3 site 

visits

3 site 

visits

Negotiate indirect cost rates within 

30 days of receipt of acceptable 

indirect cost proposals.

Output Submitted 

requests for rate 

negotiation to 

HHS on receipt

Proposals 

submitted to 

HHS on 

receipt

Proposals 

submitted to 

HHS on 

receipt

Proposals 

submitted 

to HHS on 

receipt

Proposals 

submitted 

to HHS on 

receipt

Issue the annual report to Congress 

on the expenditure of HAVA funds 

by July 15 each year. 

Output Report issued 

with CBJ/APR

Report to 

be submitted w/CBJ 

after 9/30 

FFRs 

Report to be 

submitted w/ 

CBJ after 9/30 

FFRs

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 Submitted 1 AO 

before quorum 

was lost

N/A 100% 100%

 

Offer at least one workshop per year. Output 1 webinar, 2 

presentations

1 webinar Provided 

technical 

assistance on a 

one-on-one 

basis

1 webinar 1 webinar

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 85%

90% 100% 100% 100%
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Goal Three – Study, Guide and Assist

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

regarding the administration of elections for Federal office and issue recommended 

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

out responsibilities under the National Voter Registration Act.

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

stakeholders improve the administration of elections for Federal office on the 

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

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

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

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

information.

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

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

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

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

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

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

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

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

Areas of Responsibility

The Research, Policy and Programs (RPP) Division: 

• Conducts research on election administration topics as mandated by Congress and at the 

discretion of the Commission;

• Administers the biennial Election Administration and Voting Survey;

• Administers the National Mail Voter Registration Form as prescribed by the National 

Voter Registration Act of 1993 (NVRA), also known as “Motor Voter;”

• Administers the Election Management Guidelines and Quick Start Guides Program to 

help election officials promote secure, efficient, accurate, and accessible elections by 

providing information on topics such as Ballot Design, Polling Place Management, 

Voting Accessibility, Communicating with the Public, Contingency Planning, Managing 

FY 2013

Study, Guide and Assist

Enacted Budget

Direct Costs $548,178

Indirect Costs 819,479

Total, Study, Guide, Assist $1,367,657
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Change in an Election Office, Media and Public Relations, and Developing an Audit 

Trail for the verification of votes;

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

Federal election process and glossaries of election terminology in languages English and 

six other languages, translates the National Mail Voter Registration Form into ten 

languages other than English; and

• Provides materials to voters and election administration officials to facilitate their 

successful participation in Federal elections such as registering to vote. 

Research and reporting is mandated by HAVA on topics such as the impact of the National Voter 

Registration Act of 1993 and on the Uniformed and Overseas Citizens Absentee Voting Act

(UOCAVA) for military and overseas voters’ participation in federal elections; the feasibility 

and advisability of establishing free absentee ballot return postage; recounts and contests; the 

feasibility of alternative voting methods such as electronic voting; the voting experiences of firsttime voters who register to vote by mail; administering elections in urban and rural areas; and the 

feasibility and advisability of identifying voters by Social Security Number.

FY 2013 Accomplishments

Research:

• Published, delivered to Congress and posted to EAC’s website, all reports and data 

related to the 2012 Election Administration and Voting Survey (EAVS) including: the 

Statutory Overview; the NVRA report; the UOCAVA report and; the general EAVS 

report.

• Successfully administered and completed a national survey and final draft report on 

findings from a HAVA-mandated (241b15) study on voting and administering elections 

in urban and rural areas.

• Successfully completed an agreement between EAC and FVAP for creating a combined 

2014 EAVS.

• Completed the first of two Federal Register public comment periods on the 2014 EAVS 

that will include 12 additional FVAP questions.

Policy:

• Responded to and processed requests from Arizona, Georgia, Washington State, Kansas, 

Wisconsin and Florida to modify their state-specific instructions on the national mail 

voter registration application form (Federal form). 

• Updates to these states’instructions were posted in English and other required languages 

on the EAC website.

Programs:

• To prepare for the 2012 Federal election the division created and widely distributed--to 

the general public and to each of the 55 states and territories--Voter Tips cards and 

Voter’s Guides to Elections;
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• Hosted several briefings for foreign delegations regarding the EAC, the U.S. Election 

system and voting process;

• Conducted nine webinars for election officials on Best Practices in Election Management. 

Topics included polling place and election-day management, contingency planning, voter 

registration and education and, poll worker recruitment training and retention. Each 

session--moderated by an election official-- featured two local election officials as 

speakers. Each session involved between 45-50 election officials representing states 

throughout the US and American Samoa.

• Developed a work plan for updating 4-5 EAC Quick Start Guides, concise tips on a wide 

range of election topics, in 2014. 

Throughout the year RPP staff has also on a continuing basis:

• Clarified various data reported in the 2012 EAC Election Administration and Voting 

Survey along with other previous EAVS reports; 

• Provided assistance (including assistance in Spanish) regarding the completion of the 

Federal NVRA form; 

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

processes.

Performance Indicator

Type of 

Indicator

FY 2011

Actual

FY 2012

Actual

FY 2013

Actual

FY 2014

Planned

FY2015

Planned

Complete research on relevant topics that improve the administration of elections for Federal office and expeditiously 

report on critical election administration subjects and data.

Meet milestones for the completion of research 

projects in accordance with schedules and 

deliverables each year.

Output 100% 100% 100% 100% 100%

Disseminate all completed research project 

reports to stakeholders.

Output 100% 100% 100% 100% 100%

Include recommendations to improve election 

data collection and data provided to Congress in 

the biennial report on the Election Day Survey.

Output Report 

submitted 

June 2011

NA Report 

submitted 

June 2013

NA Report 

submitted 

June 2015

Issue required reports [UOCAVA, NVRA, 

EAVS] to Congress by statutory deadlines.

Output 3 4 3 2

Administer programs that provide timely and useful information to election officials and voters

Complete guidance regarding HAVA Section 

301, 302, 303.

Output Complete 

pending a 

quorum

Establish a baseline for measuring stakeholder 

use of EAC teaching materials by the end of FY 

2010. In subsequent years, increase the % of 

stakeholder use of EAC teaching materials.

Output 75% 85% 96% 96% 96%

Begin NVRA rulemaking process and adopt 

interim procedures by January 2010.

Output Complete 

pending a 

quorum
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Goal Four – Test and Certify

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

voting systems to improve system security, operation and accessibility.

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

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

to ensure voting systems meet standards.

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

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

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

voting systems to Federal standards, and for the revocation of accreditation as appropriate; and 

3) administer the testing, certification, decertification, and recertification of voting system 

hardware and software by accredited laboratories.

Areas of Responsibility

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

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

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

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

certification process.

The Testing and Certification (T&C) Division:

• Assists States with voluntary certification of their systems; 

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

system verification;

• Promotes quality control in voting system manufacturing through the EAC quality 

monitoring program; 

Complete NVRA rulemaking process and issue 

guidance by October 2012 and make new 

regulations effective immediately following the 

Federal general election of 2012.

Output No further 

action due to 

absence of 

quorum 

Issue final 

regulations 

pending a 

quorum

Issue the biennial report on the impact of NVRA 

by June 30 of each odd-numbered year.

Output Completed on 

time 6/30/11

Completed

on time 

6/30/13

Complete 

on time 

6/30/15

FY 2013 Testing and Certification Office

Enacted Budget

Direct Costs $ 982,228

Indirect Costs 2,247,244

Total, Test & Certify $3,229,472
 U. S. Election Assistance Commission

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

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

HAVA Section 231.

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

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

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

the ability to conduct site visits to production facilities to determine whether systems produced 

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

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

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

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

field.

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

EAC’s Frequently Asked Questions on eac.gov.

FY 2013 Accomplishments

In FY 2013 in the area of voting system certification, EAC:

• Certified three voting systems;

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

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

EAC rolled out the addition of the ECO (Engineering Change Order) Database to the 

VRT tool to track change orders for all EAC certified voting systems. This tool was also 

made available to State Certification Authorities to assist them in reviewing change 

orders that may be presented for certification in their individual States.

There are currently four voting systems in active test campaigns.

In the area of VVSG and Test Suites, in FY 2013, EAC posted the second draft version of VVSG 

1.1on www.eac.gov for a 90 day Public Comment period. Subsequent comments regarding the 

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

Comment period to 130 days. Following the close of the comment period, EAC staff worked 

with NIST staff to address the comments and prepare the VVSG1.1 revised draft document for 

final formatting so it can await EAC Commission vote and approval once a quorum is 

reestablished.

Regarding laboratory accreditation in FY 2013, EAC performed one laboratory re-accreditation 

audit in Denver, Colorado; 

Further, in FY 2013, Certification division staff, in conjunction with NIST, held the “Future of 

Voting Systems” Symposium at the NIST facility February 26-28, 2013 and attended meetings 

with NASED; Election Center; EVN, EAC technical reviewers; voting system manufacturers; 

the Presidential Commission on Election Administration; a voting system manufacturer for the 
 U. S. Election Assistance Commission

 Fiscal Year 2013 Annual Performance Report

18

kick-off overview meeting on a new system in Austin, TX; with State Certification officials in 

Harrisburg, Pennsylvania; USENIX - EVTWOTE on voting technology; and observed elections 

in Phoenix, AZ and Arlington County, VA.

Performance Indicator

Type of 

Indicator

FY 2011 

Actual 

FY 2012 

Actual

FY 2013

Actual

FY 2014

Planned

FY 2015

Planned

Develop and update the VVSG.

Produce updates to the VVSG in Fiscal 

Years 2010 and 2013.

Output

Public 

Comment for 

VVSG 

Version 1.1 

pending 

adoption

Provide for the accreditation and revocation of accreditation of independent, non-federal laboratories qualified to 

test voting sytems to Federal standards.

Meet or exceed the review and 

response timeframes related to 

laboratory accreditation or reaccreditation submissions contained in 

the Certification Division SOP’s and 

Voting System Test Laboratory 

Program Manual. Output

95% complete 

in 90 days

Complete accreditation reviews for all 

laboratories recommended to EAC by 

NIST and for all emergency actions 

within 90 days. Output

75% 

complete in 

90 days

50% (1 of 2)

complete in 

90 days

95% 

complete in 

90 days

95% complete 

in 90 days

Test and document the results of the 

review of compliance with procedures 

by 100 percent of accredited 

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

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

accredited laboratories.

Meet or exceed a one business day 

response timeframe for requests for 

assistance with EAC certified voting 

system anomalies from State or local 

election officials. Output

One business 

day response 

or less

Conduct at least one review of a 

manufacturing facility of a registered 

manufacturer at least once every 4 

years. Output

NA No new 

voting systems 

manufactured 

in 2012

Completed

two 

reviews

Plan to conduct field reviews for at 

least 50 percent of jurisdictions that 

volunteer for reviews. Output

100% of 

jurisdictions

Reviewed

100% of 

jurisdictions

requesting 

reviews

Reviewed

50% of 

jurisdictio

ns

Review 50% 

of 

jurisdictions

Review 50% 

of 

jurisdictions

Respond to requests for interpretations 

of voting system standards within 45 

days (measures may be modified after 

EAC determines average number of 

requests). Output 48 days

53.5 day (75% 

in 30 days or 

less) 45 days 45 days 45 days

Goal Five Manage

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

organization.
 U. S. Election Assistance Commission

 Fiscal Year 2013 Annual Performance Report

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The three strategic objectives of Goal 5 are to improve performance, strengthen internal controls; 

and maximize efficiencies.

The performance measure on implementing audit recommendations is tracked by EAC. To date, 

only two of the recommendations remain open pending a quorum of the Commission for final 

resolution. 

On the metric regarding meeting annual performance measures, management is working to foster 

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

and achieve management excellence through continuous improvement of internal controls. 

Agency directors responsible for implementation of the EAC Strategic Plan goals report on their 

division metrics in the Agency Financial Report, the Annual Performance Report along with the 

Congressional Budget Justification, and on planned metrics in the OMB Budget Justification 

each September. 

Staff completes assessable unit risk assessment questionnaires and individual letters of 

assurance, which are reviewed and rolled into the agency’s Annual Statement of Assurance. 

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

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.

During FY 2013, to maximize efficiencies, EAC prepared for a paperless work environment with 

inexpensive storage at the National Archives and Records Administration Federal Records 

Center and an October 2013 move to new office space, saving close to 75 percent on rent; 

continued its commitment in October 2010 to reduce staff; has reassigned functions internally 

and uses the services of other agencies to obtain efficiencies of scale; and utilizes four automated 

systems via interagency agreement.

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

recent staff satisfaction ratings on the 2012 annual employee survey. Agency directors 

responsible for implementation of the EAC Strategic Plan goals report on their division metrics 

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

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

Justification each September. 

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

a full-time staff accountant. The auditors were unable to opine on the FYs 2012 and 2013

Key Performance Measures

o Implement 90 percent of the OIG audit 

recommendations within agreed upon timeframes.

o Meet annual performance measures.
 U. S. Election Assistance Commission

 Fiscal Year 2013 Annual Performance Report

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financial statements. This was due primarily to transfer of financial services from one federal 

agency to another and lack of a full-time staff accountant for over one year.

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

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

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

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

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

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

1) to increase efficiency by tapping into administrative services provided by other agencies; and 

2) in response to long-standing criticism that EAC has too many administrative staff at the 

expense of program staff. 

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

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

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

hired a full-time staff accountant with a CPA and extensive federal accounting experience in FY 

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

was implemented, detailing procedures and training related to advances, accruals, and accounts 

receivable; and a review of accounting treatment for FY 2012 financial entries was completed. 

EAC plans on addressing issues identified by the auditors in the FY 2013 audit. The results are 

available on eac.gov in the EAC FY 2013 Agency Financial Report. 

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

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

staff on financial management processes and their responsibilities.

Performance Indicator

Type of 

Indicator Planned

FY 2009 

Actual

FY 2010 

Actual

FY 2011 

Actual

FY 2012 

Actual

FY 2013

Actual

Strategic Objective

Implement a high performance organization

Obtain a clean opinion on 

agency financial statements by 

FY 2010

Outcome Unqualified 

opinion 

received 

Unqualified 

opinion 

received

Unqualified 

opinion 

received

Disclaimer 

opinion 

received

Disclaimer 

opinion 

received

Institute an internal integrated 

budget and financial 

management system in FY 2010

Established 

CFO 

department 

2/2010

Implement 90 percent of the 

OIG audit recommendations 

within agreed upon timeframes.

Outcome 90% 77% of 

outstanding 

operational 

recs. were 

resolved

100% of FY 

2010 

operational 

recs. 

implemented 

on time; 

97.6% of 

operational 

audit recs. 

made prior to 

FY 2010 

resolved (2 of 

82 outstanding)

No overdue 

grants 

management 

decisions as of 

9/30/2012; 2 

of 82 

operational 

audit recs 

outstanding

pending a 

quorum

No overdue 

grants 

management 

decisions as 

of 

9/30/2012; 2 

of 82 

operational 

audit recs 

outstanding

No overdue 

grants 

management 

decisions as 

of 

9/30/2012; 2 

of 82 

operational 

audit recs 

outstanding
 U. S. Election Assistance Commission

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