APPENDIX A

THE U.S. ELECTION ASSISTANCE COMMISSION

FISCAL YEAR 2014

INTERIM ANNUAL PERFORMANCE REPORT

February 2, 2015
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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...............................................12 

 

 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 – Operate....................................................................19
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Overview

In December 2014, the U.S. Election Assistance Commission (EAC) presented a fiscal year (FY)

2014 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 Annual Performance Report for FY 2014 in conjunction with the FY 

2016 Congressional Budget Justification. This is the seventh 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 2014, 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 Fiscal Years (FYs) 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. Operate

Achieve organizational and management excellence.

EAC’s program offices are aligned with each of the first four goals in the Plan: 

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

and Testing and Certification. Goal 5 encompasses costs needed to support the programs such as 

HAVA-mandated positions, staff needed to comply with federal laws such as the Federal 
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Information Management Security Act; rent, information technology and financial management 

services.

Allocation of Costs to the Programs

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

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

overhead is 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 

independent 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: 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 2014 Enacted Budget 

Communications

Direct Costs $677,274

Indirect Costs 295,668

 Total $972,942
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Goal 1’s aim of communication of timely and accurate information is the responsibility of the 

Communications and Clearinghouse division. 

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 inquiries

• External communications

• Congressional relations

• 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 agency’s 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 ondemand 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 2014 Accomplishments

The Communications and Clearinghouse Division began Fiscal Year 2014 with a focused effort 

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

weeks prior to the 2014 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, election officials are able to 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. 
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• Webcasts: public events are offered live. On demand webcasts are available within 24 

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

interest. All meeting materials are also available to the public. 

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

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

their delivery preferences. 

Social Media and Stakeholder Updates

• Blog posts provide 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 information; post-election information; roundtables, 

workshops and symposia; public comments on the test laboratory program manual and 

the 2014 Election Administration and Voting Survey/Uniformed and Overseas Citizens 

Absentee Voting Act Survey; Engineering Change Order (ECO) database for State users 

to better handle the test matrix of the Voluntary Voting System Guidelines 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 Twitter hashtags where election officials and the public can discuss 

preparation for Federal elections. The number of EAC Twitter followers grew from 

1,602 to 1,968 from October 2013 through September 2014;

• 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) the voting system certification program; and (3) remaining 

HAVA funds available to States; and 

• 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 2014, EAC hosted two public roundtable discussions which followed the series of 

prior EAC roundtables about topics and initiatives in preparation for the 2014 Federal election 

cycle. In January, EAC hosted a follow-up post-election roundtable to share best practices for 

addressing some of the challenges presented during the election cycle, discussed at an earlier 

roundtable, such as the response to Hurricane Sandy. 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 
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public through the webcasts. Participants included election officials and subject matter experts 

who provided real world solutions to the issues facing election officials and voters in preparation 

for the 2014 elections. EAC distributed press advisories to 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/National Institute of Standards and 

Technology (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. 

On-demand webcasts of EAC’s yearlong series of discussions are available on www.eac.gov.

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

(January 9, 2014). 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. The objective was to identify which aspects of 

the process might be improved to begin developing best practices for use in future 

elections. C-SPAN covered the event via webcast. 

• Transforming Election Administration, Voting System Accessibility, and the 

Certification Process (May 9, 2014). 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 

workshops:

• EAC/NIST Accessible Voting Technology Research Workshop (April 1-2, 2014). 

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, 2014). 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, manufacturers, 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 levels.
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1/ 

Note: this is a change to the Strategic Plan, replacing “web-based Clearinghouse” with “website.” This excludes

Commissioner approval of tally votes or voting system reports from State that are posted within 48 hours.

Performance Indicator

Type of 

Indicator

FY 2011

Actual

FY 2012

Actual

FY 2013

Actual

FY 2014

Actual

FY 2015

Planned

Operate the EAC clearinghouse effectively.

Issue Clearinghouse policy within 

6 months.

Output In final draft Final adoption 

contingent on 

Commission 

quorum

Final adoption 

contingent on 

Commission 

quorum

Final 

adoption 

contingent 

on 

Commission 

quorum

Adopt 

Clearinghouse 

policy

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.

Output Pending 

approval of 

Clearinghouse 

policy

Pending 

approval of 

Clearinghouse 

policy

Pending 

approval of 

Clearinghouse policy

Establish a 

separate 

location for 

the 

Clearinghouse

Distribute at least one email 

update per month to stakeholders 

about the web-based 

Clearinghouse.

Output 50 newsletters; 13 

updates

12 updates 

distributed

29 updates 

distributed

36 updates 

distributed

12 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 Pending 

approval of 

Clearinghouse 

policy

Pending 

approval of 

Clearinghouse 

policy

Pending 

approval of 

Clearinghouse policy

Issue policies 

and 

procedures

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

Q&A 

summaries 

distributed 

and included 

with monthly 

reports

Q&A 

summaries 

distributed 

and included 

with monthly 

reports

Inquiries 

distributed 

regularly

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 

time 1/31/12

Final report on 

time 1/31/13

Final report 

on time

1/31/14

Final report 

issued on 

1/31/15

Issue quarterly press releases 

summarizing EAC activities.

Output 28 press 

releases

4 press 

releases

67 blog posts 

in lieu of press 

releases

58 blog posts 

in lieu of 

press 

releases

4 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

Disseminate 

Report 

1/31/15

Issue at least 12 EAC newsletters 

per year.

Output 50 newsletters 42 newsletters 29 newsletters 21 newsletters12 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 that have included the College 

Program, Mock Election Program, Military Heroes Initiative, Voting System Pre-Election 

Logic and Accuracy Testing and Post-Election Audit Initiative, and the Accessible 

Voting Technology Initiative; 

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

• Tracks and reviews the content of financial and performance reports submitted by States 

and discretionary grant recipients;

• Reviews and resolves audit findings applicable to EAC programs; and

• Examines amended State Plan submissions.

FY 2014 Accomplishments

• Disbursed Help America Vote Act of 2002 (HAVA) Section 251 Requirements Payment 

grants to States certifying compliance for the FY 2009 through FY 2011 award years 

($2,070,509 for FY 2009 to two States; $1,449,356 for FY 2010 to two States; and 

$172,994 for FY 2011 to five States);

• Provided technical assistance to grant recipients responsible for establishing and 

maintaining internal controls that reasonably ensure compliance with federal laws, 

FY 2014 Enacted Budgets 

Grants Management and 

Office of the Inspector General (OIG)

Grants Management $ 414,091

OIG 1,157,241

Indirect Costs 1,256,590

 Total $2,827,922
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regulations, and the provisions of the authorizing legislation and grant agreements for the 

applicable grant programs;

• Awarded a technical assistance contract to support States in preparing and responding to 

Office of the Inspector General (OIG) audits of HAVA funds;

• Closed seven of eight open OIG audits of State use of HAVA funds; and

• Monitored and provided technical assistance for States and discretionary grantees.

Performance Indicator

Type of 

Indicator

FY 2011

Actual

FY 2012

Actual

FY 2013

Actual

FY 2014

Actual

FY 2015

Planned

Accurately and timely disburse Federal financial assistance administered by EAC.

Award grants within established 

timeframes.

Output All Disability 

and first round 

of L&A; 100% 

of Section 251

N/A (lack of 

Commissioner quorum for 

L&A)

N/A (lack of 

Commissioner quorum for 

L&A)

N/A (lack of 

Commissioner quorum for 

L&A)

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 and answer questions.

Output 100% Yes Yes Yes Meet goal

by 

deadline

Resolve 100 percent of audit findings 

within established time frames.

Output No overdue 

management

decisions as of 

9/30/2010

85% audit 

resolution

100% audit 

resolution

88% (7 out of 

8 audits)

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 

with FY 2016 

CBJ and FY 

2014 APR

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 one

AO before 

quorum was 

lost

N/A N/A N/A 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
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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 (NVRA).

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 Congress as required by the Act.

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 (EAVS);

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

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

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%

FY 2014 Enacted Budget

Study, Guide and Assist

Direct Costs $969,894

Indirect Costs 770,527

 Total $1,740,421
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• Administers the Election Management Guidelines and Quick Tips 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 

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 English and six other 

required languages, and 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; vote recounts and contests;

the feasibility of alternative voting methods such as electronic voting; the voting experiences of 

first-time 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 2014 Accomplishments

Research:

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

related to the 2012 EAVS including the Statutory Overview, the NVRA report, the 

UOCAVA report, and the general EAVS Report. Responded to inquiries regarding the 

2012 EAVS data and responded to State's requests to post updates or corrections to their 

data files. In preparation for administering the 2014 EAVS, performed an assessment of 

the 2012 survey.

• Completed two Federal Register public comment periods on the 2014 EAVS. Performed 

a review and analysis of public feedback (consisting of 45 comments) from the Federal 

Register public comment periods, completed the Paperwork Reduction Act (PRA) 

package for the 2014 survey submission to Office of Management and Budget (OMB), 

responded to inquiries, and received final OMB approval with a clearance number for the 

survey. The clearance number is valid through April 30, 2017. 

• Pursuant to an MOU reached between EAC and the U.S. Department of Defense Federal 

Voting Assistance Program (FVAP), the 2014 EAVS will include 12 additional FVAP 

questions. These questions are incorporated from the previous FVAP local election 

official survey. EAC staff, FVAP staff and each agency’s contractors reached agreement 
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on the final wording of the 2014 questions, rules that will be used to validate the 

UOCAVA data that States provide, and a timeline for the release of the FVAP report that 

will use 2014 EAVS data.

• EAC finalized a contract to administer the 2014 EAVS, analyze the data, and prepare a 

report summarizing the data.

• In consultation with the 2014 EAVS vendor, staff made final changes to the 2014 EAVS 

Supplemental Instruction Manual and the 2014 EAVS Statutory Overview. 

• Reviewed and gave sign-off to a Government Accountability Office document 

referencing EAC data on provisional voting and voter registration.

• Administered a national survey and drafted a report on findings for HAVA Section 

241(b)(15)-mandated study on Voting and Administering Elections in Urban and Rural 

areas. 

Policy:

• Met with U.S. Department of Justice (DOJ) staff attorneys regarding pending court cases 

involving the States of Kansas and Arizona requests for EAC changes to the National 

Mail Voter Registration Form State instructions. Staff prepared documents and 

certifications of EAC materials related to the cases, including creating a notice for public 

comment in the Federal Register regarding a response to the Kansas court decision on 

Kobach vs. EAC.

• For follow-up to the Kansas court decision, worked with DOJ attorneys and other Federal 

agency staff to ensure: 1) prompt and proper posting of a Federal Register Notice; 

2) cataloguing and monitoring of public comments received in response to the Notice 

through the Federal Document Management System (FDMS) website occurred, and;

3) that 241 comments captured through the FDMS website were posted on

Regulations.gov.

• Processed routine changes to the National Mail Voter Registration Form to update State 

instructions, and awarded a contract for translation services for foreign-language updates 

to State instructions for Georgia, New York and Tennessee. The updates were posted to 

EAC's website.

• Participated in senior management discussions related to updating the EAC strategic plan 

and completed the draft of the Study, Guide and Assist portion of the draft FYs 2015-

2020 EAC Strategic Plan.

Programs:

• Updated EAC’s Quick Tips (formerly referred to as Quick Start Guides) with the 

assistance of two former local election officials on: Managing the Voting Process; 
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Educating Voters; Poll Worker Recruitment and Training; and Why Good Data Matters. 

Information contained in the Quick Tips was based on nine webinars moderated by a 

local election official, with two local election officials as speakers, as well as research on

election jurisdictions across the country. Each session involved 45 to 50 election officials 

representing States throughout the country and the Territories.

• Quick Tips documents were drafted on the topics of: 1) Serving UOCAVA Voters, 

2) Conducting Audits, 3) Monitors at the Polls, 4) Administering Provisional Ballots,

5) Alternative Voting Methods, 6) Disaster and Contingency Planning, and 7) Managing 

Change in Elections. These Quick Tips were published in early FY 2015.

• Fliers on “10 Tips to Enhance Your Voting Experience” and “14 Facts about Voting in 

Federal Elections” were written and posted to EAC’s website. 

• In consultation with EAC’s communications staff, developed a social media program 

plan to promote the Quick Tips program and products through EAC’s social media.

• Staff performed ongoing program reviews of final program reports submitted by Mock 

Election and College Poll Worker program grantees.

• Created and widely disseminated Voter Tips cards and Voters Guides to Elections to the 

general public and to the 55 States and Territories.

• Hosted several briefings for foreign delegations regarding the EAC, the U.S. election 

system and voting process.

Performance Indicator Type of 

Indicator

FY 2011

Actual

FY 2012

Actual

FY 2013

Actual

FY 2014

Actual

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 2014

N/A

Submit 

report June 

2015

Issue required reports [UOCAVA, NVRA, 

EAVS] to Congress by statutory deadlines. Output 3 4 3 3 2

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

Complete guidance regarding HAVA Sections 

301, 302, 303. Output Completed 

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% 85% 96%
 U. S. Election Assistance Commission

 Fiscal Year 2014 Annual Performance Report

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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 voters with disabilities. 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 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 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 Testing and Certification Division:

• Assists States with voluntary certification of their voting systems; 

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

system verification;

Begin NVRA rulemaking process and adopt 

interim procedures by January 2010. Output

Complete 

pending a 

quorum

Complete 

pending a 

quorum

Complete 

pending a 

quorum

Procedures 

adopted

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 final 

regulations 

pending a 

quorum

Issue final 

regulations 

pending a 

quorum

New regs 

adopted.

Issue the biennial report on the impact of NVRA 

by June 30 of each odd-numbered year. Output Completed on 

time 6/30/11 N/A

Completed

on time 

6/30/13

N/A

Complete 

on time 

6/30/15

FY 2014 Enacted Budget 

Testing and Certification 

Direct Costs $ 1,006,457

Indirect Costs 1,552,258

 Total $ 2,558,715
 U. S. Election Assistance Commission

 Fiscal Year 2014 Annual Performance Report

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

monitoring program; 

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

voting systems to specified Federal standards as required by HAVA Section 231

Certification and Testing of Voting Systems.

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. EAC reviews the reports, and 

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

permission from election officials, 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 2014 Accomplishments

• Certified six voting systems;

• Managed testing campaigns for five additional systems (testing not completed as of the

date of this report);

• Processed the registration of one new voting system manufacturer; 

• Drafted and published four Requests for Interpretation (RFIs) to the Voluntary Voting

System Guidelines (VVSG);

• Drafted and published three Notices of Clarification (NOCs) to Testing and Certification

Program Manuals;

• Continued development and implemented major updates to EAC’s Virtual Review Tool

(VRT), including roll-out of the Engineering Change Order Database to the VRT tool to 

track change orders for all EAC-certified 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;

• Audited two voting system manufacturing facilities;

• Conducted two Manufacturing Quality Assurance audits;

• Held a Technology Testing Agreement meeting between EAC, a Voting System Test 

Laboratory (VSTL), and a nontraditional voting system manufacturer;

• Performed two laboratory re-accreditation audits, and a follow-up to an initial new

laboratory accreditation audit; and

• Held one EAC VSTL Meeting and one EAC Voting System Manufacturers Meeting. 

In the area of VVSG and Test Suites, in FY 2014, EAC posted the second draft version of VVSG 

1.1 on 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 
 U. S. Election Assistance Commission

 Fiscal Year 2014 Annual Performance Report

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with NIST staff to address the comments and prepare the VVSG 1.1 revised draft document for 

final formatting for EAC Commissioner vote and approval.

The Certification division, in conjunction with NIST, held the “Future of Voting Systems” 

Symposium at the NIST facility February 26-28, 2014 and attended meetings with the National 

Association of State Election Directors; Election Center; Election Verification Network; EAC 

technical reviewers; voting system manufacturers; the Presidential Commission on Election 

Administration; a voting system manufacturer for the kick-off overview meeting on a new 

system in Austin, Texas; State Certification officials in Harrisburg, Pennsylvania; USENIX –

EVT/WOTE on voting technology; and observed elections in Phoenix, Arizona and Arlington 

County, Virginia.

Performance Indicator

Type of 

Indicator

FY 2011 

Actual 

FY 2012 

Actual

FY 2013 

Actual

FY 2014

Actual

FY 2015

Planned

Develop and update the VVSG.

Produce updates to the VVSG in Fiscal 

Years 2010 and 2014. Plan for and 

produce updates to the VVSG in Fiscal 

Years 2015 and 2016.

Output

Public 

Comment for 

VVSG 

Version 1.1 

pending 

adoption

Pending 

adoption

Pending 

adoption

Adopt VVSG 

1.1; initiate 

development of 

next generation 

VVSG

document

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

test voting systems to Federal standards.

Meet or exceed the review and 

response timeframes related to 

laboratory accreditation or reaccreditation submissions contained in

the Certification Division SOPs and 

Voting System Test Laboratory 

Program Manual. Output 100%

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

100% 

complete in 90 

days

Completed 

2 reaccreditation reviews

(100% in 90 

days)

100% 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 the review and 

response timeframes to voting system 

manufacturer and Voting System Test 

Lab (VSTL) Test Plan/Report 

submissions contained in the SOPs and 

Manual.

20 days or less 

for initial Test 

Plans/Reports; 

10 days or less 

for amended 

Test 

Plans/Reports

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

1 business day 

response time

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

NA: No new 

voting 

systems 

manufactured in 2013

Completed 

two reviews

(100%)

At least two 

manufacturing 
 U. S. Election Assistance Commission

 Fiscal Year 2014 Annual Performance Report

19

facility reviews

Plan to conduct field reviews for at 

least 50 percent of jurisdictions that 

volunteer for reviews. Output

Reviewed

100% of 

jurisdictions

requesting 

reviews

Reviewed

100% of 

jurisdictions

requesting 

reviews

N/A (no 

requests 

were made in 

FY 2013)

N/A (no 

requests 

were made 

in FY 2014)

Review at least 

75% of 

jurisdictions

requesting 

review

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)

60.25 days

(50% less 

than 36 days)

Processed 

one request 

for 

interpretation 45 days

Goal Five Operate

Strategic Plan Goal 5: Implement a high performance organization.

Outcome: EAC commissioners and staff proficiently carry out EAC’s strategic objectives. 

The three strategic objectives are to improve performance, strengthen internal controls,

and maximize efficiencies. Key performance measures are to implement 90 percent of 

OIG audit recommendations within agreed-upon timeframes, and to meet and exceed 

annual performance measures.

Regarding the performance measure on implementing audit recommendations, there are only two 

recommendations out of 82 that remain open pending a quorum of the Commission for final 

resolution. For the metric regarding meeting annual performance measures, management works

to foster a staff culture of accountability, improve employee satisfaction ratings, and increase 

agency effectiveness and efficiencies through continuous improvement of internal controls and 

operations. 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, 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 at the end of each fiscal year, which are reviewed and rolled into the 

agency’s Annual Statement of Assurance, which is presented in the Agency Financial Report. 

EAC continues to focus on resolution of issues identified in audits, setting up 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. In FY 2014, EAC provided valuable financial management 

tools and support. All staff was offered internal control training on-site; Contracting Officer’s 

Representatives were offered financial report and accrual training; and managers held a retreat 

on updating performance measures in the draft EAC Strategic Plan for FYs 2015 to 2020. In 

2014, the agency contracted with an outside entity to review and make independent 

recommendations to staff on all internal control processes at the agency.

During FY 2014, to reduce operating costs and increase organizational efficiencies, EAC:
 U. S. Election Assistance Commission

 Fiscal Year 2014 Annual Performance Report

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1) continued to work with the National Archives and Records Administration Federal Records 

Center on a paperless work environment; 2) relocated offices in October 2014, which resulted in 

a 75 percent decrease in rent. The move was consistent with OMB Memorandum 12-12 

Promoting Efficient Spending to Support Agency Operations, and OMB Management Procedures 

Memorandum No. 13-02 Freeze the Footprint policy implementing guidance; 3) reassigned key 

internal functions; 4) equipped staff with laptop computers so they are able to telecommute two 

days per week from any location, helping ensure the agency is able to implement its continuity of 

operations plans if needed; and 5) contracted with four other federal agencies to increase 

efficiencies and take advantage of automated systems (procurement, travel, purchase card, and 

time and attendance) via interagency agreement.

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

The auditors were unable to opine on the FYs 2012 and 2013 financial statements. This was due 

primarily to transfer of financial services from one federal agency to another, and to delays in 

decisions on treatment of an improper payment, respectively. EAC received an unmodified 

opinion on the FY 2014 financial statements. 

In FY 2012, 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. FY 2013 audit recommendations were resolved. EAC plans on addressing issues 

identified by the auditors in the FY 2014 audit by the second quarter of the fiscal year. The 

results are available on eac.gov in the EAC FY 2014 Agency Financial Report. 

Performance Indicator

Type of 

Indicator

 

Planned

FY 2009 

Actual

FY 2010 

Actual

FY 2011 

Actual

FY 2012 

Actual

FY 2013 

Actual

FY 2014 

Actual

FY 2015 

Planned

Strategic Objectives

Implement a high performance organization-improve performance, strengthen internal controls, maximize efficiencies

Obtain a clean opinion on 

agency financial statements by 

FY 2010

Outcome Clean 

opinion

Clean 

opinion

received 

Clean 

opinion

received

Clean 

opinion 

received

Disclaimer opinion 

received

Disclaimer opinion 

received

Clean 

opinion 

received

Clean 

opinion

Institute an internal integrated 

budget and financial 

management system in FY 2010

Established 

CFO 

department 

February 

2009

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 

operations

audit recs. 

made 

prior to 

FY 2010 

resolved 

(2 of 82 

outstanding)

No overdue 

grants mgt. 

decisions as 

of 9/30/11; 

2 of 82 

operational 

audit recs 

outstanding

pending a 

quorum

No 

overdue 

grants 

mgt. 

decisions 

as of 

9/30/12; 2 

of 82 

operations

audit recs 

outstanding

pending a 

quorum

No 

overdue 

grants 

managem

ent 

decisions 

as of 

9/30/13; 2 

of 82 

operations

audit recs 

outstanding

pending a 

quorum

No 

overdue 

grants 

managem

ent 

decisions 

as of 

9/30/14; 2

of 82 

operations

audit recs 

outstanding

pending a 

quorum

90%
 U. S. Election Assistance Commission

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