1 

GRANTS PRIMER 

FOR STATE ELECTION OFFICIALS 

 
2 

The information contained in this document, including the sample forms, is intended for informational 

and general guidance purposes only. It does not supersede or modify relevant federal statutes, 

regulations and/or case law relating to the application for and administration of federal grant money. 

Following this guidance is not a guarantee or assurance that activities are in compliance with legally

controlling federal authority. Grant applicants and recipients are encouraged to consult with their 

attorneys or with representatives of this agency with specific questions. 
3 

TABLE OF CONTENTS 

I. INTRODUCTION .................................................................... 4 

II. BACKGROUND ON HAVA ....................................................... 5 

a. Purpose of HAVA ................................................................. 5 

b. The EAC ............................................................................ 5 

III. HAVA FUNDING .................................................................... 7 

a. State Plan .......................................................................... 7 

b. Key Components of a State Plan .......................................... 7 

c. How to Request Requirements Payments ............................... 9 

d. Purpose of Requirements Payments .................................... 10 

e. Title III Certification ......................................................... 10 

IV. FISCAL AND GRANT MANAGEMENT ..................................... 12 

a. Reporting Requirements .................................................... 12 

b. OMB Circulars ................................................................... 12 

c. Matching Funds ................................................................ 19 

d. Maintenance of Expenditure ............................................... 19 

e. Audits ............................................................................. 19 

V. CONCLUSION ...................................................................... 21 

APPENDICES 

Appendix A: Title III Self-Assessment Tool 22 

Appendix B: Template Letter to EAC Requesting Requirements 

Payments 27 

Appendix C: Sample Title III Certification 28 

Appendix D: HAVA Reporting Schedule 29 

Appendix E: Annotated Federal Financial Report 31 

Appendix F: MOE Policy 32 

Appendix G: MOE Checklist 38 

 
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I. INTRODUCTION

This primer was developed by the U.S. Election Assistance Commission 

(EAC) for state election officials. The primer is a compendium of information 

for quick reference on the funding and grants administration requirements of 

the Help America Vote Act (HAVA) of 2002 and other federal funding 

requirements. It is principally focused on the management of HAVA funding 

and the responsibilities of state officials in administering and overseeing 

these programs and grants to assure responsible financial management of 

HAVA funds. While not an exhaustive resource, this primer provides 

valuable information about the requirements for states and addresses many 

questions new election officials have. 

This primer is intended as an educational tool for election officials, 

particularly officials whose responsibilities include assuring compliance with 

HAVA. Other election officials may also find the information useful. 

If you have any questions, please contact the EAC Payments and Grants 

Division either by email at havafunding@eac.gov or by phone at 202-566-

3100. Another resource that you may find useful is your fellow election 

officials in other jurisdictions. Many officials have developed connections 

with those in other states and have learned a lot from their experiences and 

expertise. 

 
5 

II. BACKGROUND OF HAVA

a. Purpose of HAVA 

The Help America Vote Act (HAVA, PL 107-252) was passed by Congress and 

signed by President George W. Bush in 2002. It was drafted in large part 

due to the controversies in the 2000 Presidential Election. 

Pursuant to HAVA, every state choosing to receive federal funds must 

undertake an examination of their voting systems and regulations and 

implement fundamental changes to the electoral process. The law provides 

funding to help states meet the new standards found in HAVA, to replace 

voting systems and to improve the overall administration of elections. It is 

highly recommended that every new election official read the legislation 

(http://www.eac.gov/about_the_eac/help_america_vote_act.aspx). 

HAVA also created EAC to oversee these reforms and provide voluntary 

standards for the management of elections. 

b. The U.S. Election Assistance Commission (EAC)

EAC was established by HAVA as an independent, bipartisan commission. 

The four EAC Commissioners are appointed by the President and confirmed 

by the U.S. Senate. The Commissioners hold regular public meetings to 

gather input and inform the public about its activities. Public meetings are 

typically webcast live and archived on the EAC website so that you can 

remain informed. HAVA also established three advisory committees (a 

Standards Board, Board of Advisors, and the Technical Guidelines 

Development Committee) that provide advice to EAC. 

EAC is tasked with several important missions: 

1) Serve as a national clearinghouse of information on election 

administration, including the experiences of state and local government 

election officials in implementing election reform and operating voting 

systems. 

2) Administer a federal voting system testing and certification program. 

3) Develop guidance to assist the states in HAVA compliance, including 

information and training on the management of payments and grants 

provided to the states. 
6 

4) Distribute funds to the states and perform audits to ensure the funds are 

spent appropriately. 

5) Conduct research and studies to promote effective administration of 

federal elections. 

While all of these are incredibly important tasks, this primer will focus on 

providing information on requirements payments (HAVA Section 251) and 

their management by the states. In this role, EAC has responsibility for 

issuing grants and specifying terms and conditions, administering grants 

(including providing guidance and assistance and oversight), and auditing 

funds through the EAC Inspector General. 

 
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III. HAVA FUNDING

a. State Plan 

According to HAVA, each state must develop a state plan to receive federal 

funding. The plan details how the funds will be used in accordance with 

HAVA. 

HAVA specifies that the state plans be developed through a committee that 

includes the chief election officer of the two most populous jurisdictions, 

other local election officials, and stakeholders including representatives of 

groups of individuals with disabilities, and other citizens appointed by the 

chief state election official. The state plan must meet the public notice and 

comment period requirements as outlined in HAVA Section 256. The state 

takes the public comments at the state level or federal level into account 

when preparing a final version of the state plan. Once the preliminary plan 

is developed, it is sent to EAC for publication in the Federal Register for a 

30-day public inspection and comment period. 

Upon request, the EAC grants management office will review state plans or 

revisions to answer questions. On the date of publication, EAC will notify the 

state that the state plan has been published and shall go into effect following 

a 30-day period. The final state plan is filed with the EAC. The state plan 

should be amended if there are any material changes in what has been 

published. 

 

b. Key Components of a State Plan (For complete overview, see 

HAVA Section 254). 

The state plan shall contain a description of each of the following: 

1) How the state will use the requirements payment to meet the 

requirements of Title III, and, if applicable to carry out other 

activities to improve the administration of elections 

2) How the state will distribute and monitor requirements payments 

to local governments or other entities 

2a) How the state will determine the eligibility of local governments 

or sub-grantees to receive funds 

2b) How the state will monitor these funds to ensure that they are 

used in accordance with the performance goals of the state plan 
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3) How the state will provide for programs for voter education, 

election official education and training, and poll worker training 

4) Detail the voting system guidelines and processes to be used by 

the state in accordance with Section 301 of HAVA 

5) How the state will establish a fund to track requirements 

payments, matching funds, interest earned on the fund, etc. 

6) Long-term budget (the budget should cover entire time frame of 

the state plan) based on the state’s best estimates for the costs 

of activities identified 

 

6a) Specific cost of becoming compliant and maintaining compliance 

with Title III requirements 

6b) Specific information on the portion of funds that will be used for 

these activities (include whether the state has submitted to the 

EAC that it is Title III compliant) 

6c) Specific cost of other election activities and the specific portion 

of funds that will be used for these activities 

7) How the state will maintain expenditures (MOE) and maintain 

documentation 

8) Performance Goals and Measures: 

- Process to develop the criteria 

- Specific criteria to measure performance 

- Name of an individual or job title that will ensure that 

each performance goal is met- Timetable for meeting 

aspects of the state plan 

9) Description of the uniform, nondiscriminatory administrative 

complaint procedures 

10) Amount of any Title I payments and description of how they will 

be used 

11) How the state will conduct ongoing management of the plan 
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12) Description of any changes in current plan from the previous 

state plan and a description of how the state implemented 

aspects of the previous state plan 

13) Description of the committee which participated in the 

development of the state plan in accordance with Section 255 

and the procedures followed by the committee under Sections 

255 and 256 

OTHER: 

14) Description of how the state will implement the Military and 

Overseas Empowerment Act (MOVE) 

 15) How the state calculates and ensures matching funds 

c. How to Request Requirements Payments 

Following the 30-day public comment period in the Federal Register, the 

state may send EAC a request for requirements payments by certifying 

compliance with HAVA Section 253(b) (See Appendix B for Template Letter 

to EAC Requesting Requirements Payments). 

Requests can be sent either electronically to havafunding@eac.gov or 

hardcopy by mail to the address below: 

Attn: Payments and Grants Division 

U.S. Election Assistance Commission 

1201 New York Ave, NW, Suite 300 

Washington, DC 20005 

EAC requests that states also provide backup documentation that shows the 

five percent match has been deposited into the state election fund. 

Upon review, EAC will send an email notification to the state with an 

electronic copy of the 1) Notice of Grant Award, 2) ACH

Vendor/Miscellaneous Payment Enrollment Form (Standard Form (SF) 3881), 

3) EAC Certifications Regarding Lobbying; Debarment, Suspension and other 

Responsibility Matters; and Drug-Free Workplace, and 4) Assurances – NonConstruction Programs (SF 424B). A hardcopy of these documents will also 

be mailed to the state. 

Once these documents have been completed, signed and dated, the state 

may send them electronically to havafunding@eac.gov or by mail. 
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Visit our website at 

http://www.eac.gov/payments_and_grants/request_requirements_payments.aspx

to read the “Memo to chief election officials on new instructions for 2010” 

and listen to the “Webinar on Requirements Payments.” 

 

d. Purpose of Requirements Payments 

HAVA Section 251 requirements payments have been authorized by 

Congress to implement changes to federal elections at the state level to: 

• Procure voting systems that comply with the requirements of 

HAVA; 

• Implement and/or operate a system of provisional voting during 

federal elections; 

• Create and maintain a computerized statewide voter registration 

list; 

• Educate voters; 

• Implement new voter identification requirements; 

• Improve accessibility; and 

• Provide for other improvements to the administration of federal 

elections. 

According to HAVA Section 251(b)(2), states can use requirements 

payments for other activities to improve the administration of federal 

elections only after meeting the requirements of Title III (see Appendix A 

for more information on Title III compliance) or if the amount is not more 

than the minimum payment amount applicable to the state under HAVA 

Section 252(c). 

e. Title III Certification: 

Each state must send a letter to EAC certifying that the state is in 

compliance with all of the Title III requirements of HAVA: 

1) Voting Systems (Section 301) 

2) Provisional Voting (Section 302) 

3) Voter Registration (Section 303) 

The letter must also include the date that the state became compliant with 

Title III and that the state is also in compliance with other sections of HAVA. 

Each state must keep backup documentation on file to prove that they are in 

compliance with these requirements and have a plan for remaining in 

compliance. 
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The checklist in Appendix A may be helpful to you in determining your 

state’s progress toward compliance. Appendix C offers a sample letter to 

EAC to certify that your state is Title III compliant. 

If you have any additional questions, please reference the HAVA statute or 

contact the EAC. The list of states that have certified compliance with Title 

III of HAVA is available on our website at 

http://www.eac.gov/payments_and_grants/request_requirements_payments.aspx

under “HAVA Title III and Minimum Payment Amount Certification.” 

 
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IV. FISCAL AND GRANT MANAGEMENT

a. Reporting Requirements 

States must report on all distributions of funds. The reporting scheduling for 

states can be found in Appendix D or by visiting our website 

http://www.eac.gov/assets/1/Documents/State%20HAVA%20Reporting%20Schedu

le_revised.pdf.

The form used to report annually to EAC is called SF 425 – Federal Financial 

Report (FFR) which can be found on the EAC website at 

http://www.eac.gov/payments_and_grants/reporting.aspx. There is also an 

annotated version available to help you in completing the form (See 

Appendix E for Annotated Federal Financial Report). 

b. OMB Circulars 

Basic Grants Information on Administering EAC HAVA Grant Awards 

to States 

Aside from the funding award itself and any limitations therein reflecting the 

HAVA statute or agency requirements, there are three major governmentwide documents which address the administration of federal awards to the 

states including those issued by EAC under HAVA: 

• The Cost Principles (OMB Circular A-87/2 CFR 225) for state 

and local governments – which define specific allowable and 

unallowable costs, the standards of reasonableness and allocability, 

and documentation requirements. 

• The Uniform Administrative Requirements for grants and 

agreements with states and local governments (OMB Circular A102) establishes uniform rules for applying, receiving, and

administering federal grants or assistance. 

• Audits of State & Local governments & Nonprofits (OMB 

Circular A-133) establishes the federal requirements and 

standards for audits for organizations receiving federal funding 

and/or assistance. 

 
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1. Cost Principles 

The cost principles are issued by the White House Office of Management and 

Budget (OMB) (Circular A-87) and codified as 2 Code of Federal Regulations 

(CFR) 225 for state and local governments. 

Full text of Circular A-87: http://www.whitehouse.gov/omb/circulars_default 

(This has been relocated to 

http://www.whitehouse.gov/sites/default/files/omb/assets/omb/fedreg/2005/08310

5_a87.pdf) 

Federal cost principles are policies used to determine which costs of an 

activity/project/program should be borne by the federal government. This 

document ensures the consistent treatment of costs, regardless of whether 

reimbursement is received directly from the federal government or through 

another recipient of federal funds. 

Purpose and Significance of 2 CFR 225 (OMB Circular A-87)

This guidance is intended to achieve more efficient and uniform 

administration of federal grant and contract awards, and to foster better 

relationships between the federal government and state and local 

governments (and federally-recognized Indian tribal governments). It 

provides the foundation for greater uniformity in the cost procedures of 

nonfederal governments and in the reimbursement practices of federal 

agencies. It should be used in conjunction with other applicable state laws to 

provide comprehensive direction and accountability in federal fund 

management. 

2 CFR 225 provides principles and standards for determining both direct and 

indirect costs applicable to federal cost-based awards to governmental units. 

It may be useful for budget preparers, recipient personnel responsible for 

tracking costs charged against federal awards, independent auditors, federal 

awarding agency personnel reviewing budget requests and charges to the 

award, and cognizant agency and recipient personnel negotiating indirect 

cost rates and cost allocation plans. 

2 CFR 225 Appendix A — General Principles for Determining Allowable Costs, 

this is the basis for determining the allowability of costs under federals 

grants and thus is applicable to all HAVA funding. This directive explains 

what costs are allowable charges to federal programs, what costs are not 

allowable, and how costs must be documented. They describe what may be 
14 

reimbursed or recovered under a federal award. They are designed so that 

the federal government bears its fair share of costs, except where restricted 

or prohibited by law. Agency statute, in the case of the U.S. Election 

Assistance Commission, the statute referred to as HAVA, preempts any 

differences between the OMB Cost Principles and the statute. 

These Cost Principles also establish the standards for states and local 

government to document the costs charged to federal awards. It defines in 

2 CFR 225 Appendix B – Selected Items of Cost, specific items of costs that 

are unallowable under all federal awards, such as alcohol, entertainment, 

lobbying, fines, work not specifically provided for under the grant, losses, 

etc. It also defines the direct costs allowable such as personnel, services, 

equipment, telecommunications, etc., within the context of the purpose and 

conditions of the federal agency grant award. For the specific costs defined 

as allowable, the Cost Principles also establish the standards for 

documentation such as the time and activity reports necessary to document 

any personnel charged to a grant. The Cost Principles further establish the 

standards of reasonableness and allocability for allowable charges to the 

federal grant. 

Finally, allowable charges to the grant may be limited by the purpose of the 

federal agency grant funding and/or by the agency statute. For example, 

HAVA does not support voter registration drives or get-out-the-vote 

activities as these are not within either the statute or the purposes or scope 

of grant funding. If you have any questions whether an expense is allowed 

under HAVA funding, please ask the EAC Payments and Grants division. 

Governmental Unit Responsibilities

2 CFR 225 recognizes the responsibility and sovereignty of governmental 

units that receive and administer federal awards. It reinforces the 

expectation contained in the law and in award agreements that these 

organizations will administer federal funds properly and in a manner 

consistent with the sound management practices that they apply to their 

own revenues. Standards provided in the Common Rule OMB Circular A-102

(http://www.whitehouse.gov/omb/circulars_a102/), Uniform Administrative 

Requirements for Grants and Cooperative Agreements to State and Local 

Governments, reinforce this recipient responsibility for financial 

management, procurement, property management, and record retention. 

The Cost Reimbursement Process

In the context of Circular A-87 (2 CFR 225), the term "cost reimbursement" 

describes how the claims will be reviewed, accepted, and settled. Although 
15 

the term “cost reimbursement” implies that funding is received after-thefact, the process of cost reimbursement under federal grant (assistance) 

awards has little to do with this when cash is actually received. This is 

because, with few exceptions, assistance award recipients receive advance 

funding. In the case of HAVA, the statute directs that funds will be 

advanced to the state and held along with state HAVA funds in a separate 

interest-bearing account. 

The cost principles have a role to play at most stages of the assistance 

award or contract life cycle. These stages, and the role of 2 CFR 225 at each 

stage, are summarized in the following chart: 

 
16 

At this stage in the 

cycle.... 2 CFR 225 plays this role:

Soliciting applications 

and/or proposals from 

governmental units 

Awarding agency (EAC) announces the applicability of the 

2 CFR 225 cost principles in its Notice of Funds Award to 

the states. 

Preparing proposals or 

plans for use of funds 

Applicant governmental unit includes only costs allocable, 

reasonable, and allowable under 2 CFR 225 or the HAVA 

statute if there are exceptions. 

Notifying recipient of 

award 

Applicable assistance award document cites the 

applicability of 2 CFR 225. 

Expending funds 

Governmental unit recipient incurs costs for expenditures 

that are eligible under applicable program legislation, as 

well as allowable under 2 CFR 225, under control 

procedures that allow proper determination. 

Developing and retaining 

documentation 

As costs are incurred, governmental unit generates 

documentation consistent with that generated for 

expenditure of own-source revenue and with any specific 

requirements of 2 CFR 225 (e.g., personnel activity

reports) — documentation is maintained in a system of 

records for at least the minimum of time provided under 

OMB Circular A-102 Common Rule – three years after the 

final Federal Financial Reports (FFR) SF 425. 

Auditing Awards 

Through test procedures, independent auditors or 

auditors representing awarding agencies review claims to 

determine whether incurred costs are appropriate under 

2 CFR 225 and HAVA statute. Discrepancies are reported 

to EAC as questioned costs requiring resolution. 

General Tests of Cost Allowability

Although 2 CFR 225 Appendix B lists a number of selected items of cost, 

which frequently represent significant amounts in individual federal awards 

or are costs for which there is a specific federal policy, 2 CFR 225 Appendix 

A establishes general tests of allowability that apply irrespective of whether 

a particular item of cost is specifically mentioned in 2 CFR Appendix B. These 

general tests frequently involve judgment and an assessment of the facts 

and circumstances in which the specific cost is incurred. The tests are not 

only listed in the Circular itself, but are frequently restated in compliance 
17 

audit guidance that federal and nonfederal auditors use to carry out fieldwork and reporting. 

The basic guidelines for determining allowability state that costs: 

• Be necessary and reasonable for proper and efficient performance and 

administration of the federal awards. A cost is reasonable if, in its 

nature and amount, it does not exceed that which would be incurred 

by a prudent person under the circumstances 

• Be allocable to Federal awards under the provisions of 2 CFR Part 225 

• Be authorized or not prohibited under State or local laws or regulations 

• Conform to any limitations or exclusions set forth in these principles, 

Federal laws, terms and conditions of the Federal award, or other 

governing regulations as to types or amounts of cost items 

• Be consistent with policies, regulations, and procedures that apply 

uniformly to both Federal awards and other activities of the 

governmental unit 

• Be accorded consistent treatment. A cost may not be assigned to a 

Federal award as a direct cost if any other cost incurred for the same 

purpose in like circumstances has been allocated to the Federal award 

as an indirect cost 

2. Uniform Administrative Requirements 

The Uniform Administrative Requirements for grants and agreements with 

state and local governments (OMB Circular A-102) addresses a myriad of 

government-wide requirements from pre-award to post-award and final 

closeout of federal funding for states and local governments. For EAC 

funding, OMB Circular A-102 is found at 41 CFR 105-71.1. 

Circular A-102 Common Rule also establishes documentation and systems 

requirements for a variety of functions. 

Some of the more significant requirements addressed in Circular A-102 for 

state and local governments are: 

• Standards for financial management which establish state 

responsibility for fiscal control, accounting procedures, internal 
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and budget controls and source documentation for grant funds in 

accordance with state laws and procedures and federal 

requirements 

• The responsibility of the state for assuring fiscal control and 

accountability for sub-grantees or sub-recipients of federal funds 

• Real property and equipment defines standards for dollar 

thresholds, establishes the need for inventory every two years, 

maintenance, security, title to and disposal of inventory 

• Procurement establishes requirements for competition, small 

purchase procedures, standards and conflict-of-interest policies 

for involved staff, documentation, debarred parties, etc. 

• Federal financial reporting requirements, annually for the HAVA 

awards to states 

• Closeout defines the process and requirements for reporting and 

reconciliation for final grant award closing 

• Record Retention – three years after last Federal Financial Report 

with exception of on-going audits. (For HAVA Section 

251requirements payments this retention period may extend 

several years as the initial award of funds is often spent out over 

many years) 

3. A-133 Audits 

Audits of state, local governments and nonprofit organizations (OMB Circular 

A-133, http://www.whitehouse.gov/omb/circulars_default) set the standards for 

audits for recipients of federal funding and a dollar threshold for annual 

audits – expenditure of all federal funding in a single fiscal year of $500,000 

or more. 

Due to the various streams of federal grant and assistance funding, all states 

exceed the threshold for an annual audit and are regularly audited in 

accordance with the OMB Circular A-133 requirements. 

However, the states are responsible for assuring that all of their subrecipients or sub-grantees of federal funds meet the standards for 

independent audit. Further, the state is responsible for assuring receipt of 

the audit and acting on any findings in the audit including cost disallowance 
19 

and repayments and resolution of findings pertaining to internal controls, 

financial management or other matters. 

 

c. Matching Funds 

Per HAVA, each state must have a five percent state match in order to 

receive HAVA funds. That is five percent of the total amount, so the formula 

is: (Federal Dollars/.95) – Federal Dollars = State Match. The EAC grants 

office will assist you in calculating your state match to ensure that you have 

the correct amount. The amount is available at 

http://www.eac.gov/payments_and_grants/managing_payments.aspx under 

“Distribution of FY 2008, 2009 and 2010 Requirements Payments and 

Matching Contributions.”

EAC can only distribute an amount based on the matching funds the state 

has deposited into their election fund. In other words, for every $1,000 

placed in the election fund as a state match EAC will distribute $19,000, up 

to the state’s allocation. 

d. Maintenance of Expenditure (MOE) 

HAVA Section 254(a)(7) requires states to meet an annual MOE based on 

state expenditures in the fiscal year prior to November 2000 for election 

activities in Title III of HAVA. The purpose of MOE is so that states maintain 

expenditure at this level in addition to using HAVA funds. 

EAC adopted a new policy providing guidance on MOE on June 28, 2010 (See 

Appendix F for MOE Policy and Appendix G for the MOE Checklist). 

e. Audits by the EAC Office of the Inspector General

EAC has the responsibility for distributing funds and monitoring their use to 

ensure they are used responsibly, which includes regular audits. All of the 

audits are conducted by the EAC Office of the Inspector General. 

There are several ways you can find out what to expect in an audit: 

- Read audit reports from other states 

(http://www.eac.gov/inspector_general/hava_funds_audits.aspx) 

- Talk to other state officials about their experiences with being 

audited 

- Contact the EAC IG for information on what they look for in an audit 
20 

EAC’s grant management office conducts site visits/monitoring and can 

provide pre-audit support. You can contact the IG’s office at: 

eacoig@eac.gov or 1-866-552-0004. 

The grants management office has primary responsibility for audit 

resolutions, including any corrective actions for issues identified in audits. 

The Director of the EAC Payments and Grants Division recommends how to 

resolve any issues to the EAC Executive Director who issues a management 

decision on the audit. If a state does not agree with the management 

decision, they have thirty days to appeal in writing to the Chair of the EAC. 

The Commissioners will make a decision within sixty days. 

 
21 

V. CONCLUSION

We hope this document has been a helpful overview for you. For more information 

on HAVA fiscal management, please visit the EAC website or contact the Payments 

and Grants Division by email at havafunding@eac.gov or by phone at 202-566-

3100. 

 
APPENDIX A 

Title III Certification Checklist 

22 

This self-assessment tool is for state election officials to help determine progress toward becoming compliant or 

maintaining compliance with Title III of the Help America Vote Act (HAVA). EAC does not expect to receive or review 

this form. 

Choose one of the following three levels of compliance:

1) State is Title III compliant and has officially certified compliance YES NO 

(if unsure please check with EAC grants management division) 

 Date of certification: _____________________________ (MM/DD/YYYY) 

 Processes to determine compliance is documented and back- YES NO 

up documentation used to show compliance is on file. 

Process to re-affirm compliance is established and used on a YES NO 

regular basis 

2) State is Title III compliant, but has not yet certified as such to the EAC: YES NO 

(a sample state certification is attached) 

3) State is not yet Title III compliant YES NO 

VOTING SYSTEMS 

(For more detailed information please see the HAVA Section 301) 

Please check all subcategories for which the state is compliant: 

1) For optical scan, or Direct Recording Electronic (DRE) systems, all systems: 

 Allow voter to verify ballot before submitting 

 Allow voter opportunity to correct ballot before submitting 

 Warn if voter selects more than allowed option(s) for an office and give an opportunity to correct ballot 

 Ensure privacy and confidentiality when voting 

2) For paper ballot, or central count (including mail-in) systems, all systems: 

 Have a voter education program about the effect of casting more than allowed votes 
APPENDIX A 

Title III Certification Checklist 

23 

 Have instructions on how to correct the ballot (including obtaining a replacement) 

 Ensure privacy and confidentiality when voting 

3) For manual audit capacity: 

 The voting system shall produce a permanent paper record with a manual audit capacity 

 The voting system shall allow the voter to change or correct the ballot before the paper record is 

created 

 Ensure privacy and confidentiality when voting 

4) Access for voters with disabilities: 

 The voting system shall be accessible for individuals with disabilities in a manner that provides the same 

opportunity for access and participation (including privacy and independence) as for other voters 

 Includes at least one operating accessible system at each polling place 

5) Alternative Language Provision 

 The voting system provides alternative language accessibility (per Section 203 of Voting Rights Act of 

1965, http://codes.lp.findlaw.com/uscode/42/20/I-B/1973aa-1a) 

6) Error Rates: 

 Voting systems comply with error rates pursuant to Voluntary Voting System Standards 

(http://www.eac.gov/testing_and_certification/voluntary_voting_system_guidelines_fact_sheet.aspx) 

7) Definition of a Vote 

 There is an official state definition of what will count as a vote for each voting system 

Voting systems are compliant (must have checked all applicable subcategories): YES NO

_____________________________________________________________________________ 

PROVISIONAL VOTING (Section 302) 

Please check all subcategories for which the state is compliant: 

 1) Voter can cast a provisional ballot if he or she does not appear on the list of eligible voters, with a written 

affirmation that the individual is a registered voter in that jurisdiction and eligible to vote 
APPENDIX A 

Title III Certification Checklist 

24 

 2) Voter is given written information on (a) how to determine if the vote is counted or (b) why the vote was not 

counted 

 3) Free-access system for an individual to check on the status of his or her provisional ballot, for example a tollfree number or website 

 4) The following information is publicly posted at each polling place: 

 Sample version of the ballot 

 Date of election and hours for polling place 

 Instructions on how to vote including how to cast a provisional ballot (including provisional balloting) 

 Instructions for mail-in registrants and first time voters 

 Information on voting rights and who to contact about rights violations 

 Information on laws prohibiting fraud and misrepresentation

 5) Provisional ballots are given to individuals who vote as a result of a federal or state court order 

 extending the closing of the polls. Ballots are separated and held apart from other provisional ballots not 

 affected by the order. 

Provisional voting is compliant (All subcategories are checked): YES NO 

VOTER REGISTRATION (HAVA Section 303)

(Not applicable for states where there is no voter registration requirement for any voter in the state or where all voters may register 

to vote at the polling place (per section 4(b) of the National Voter Registration Act of 1993). 

Please check all subcategories for which the state is compliant: 

1) Voter Registration Database 

 There is one official computerized statewide voter registration system that lists information on each legally 

registered voter, including: 

 Unique identifier for each voter 

 Sole system for managing the official list of voters 

 Coordinated with other state databases 

 Immediate electronic access to information for any election official in the state 

 Information obtained by local election official is entered into database 

 Procedures exist to remove individuals according to National Voter Registration Act of 1993 

 (http://www.justice.gov/crt/voting/42usc/subch_ih.php), including: 

 Coordination with state records of felony status, deaths, and other disqualifications (if applicable) 

 Only remove voters that are either:
APPENDIX A 

Title III Certification Checklist 

25 

1) not registered 

2) not eligible or 

3) duplicates 

 Individuals are not removed solely for failure to vote 

 Safeguards exist to ensure that eligible voters are not removed in error 

 System has adequate security to prevent unauthorized access 

2) Voter Registration Application used for Federal Elections 

 State uses application which requires current and valid driver’s license number OR the last 4 digits of the 

applicant’s social security number (if applicant does not have either then the state assigns a unique identifying 

number from database) 

 State determines if information on application is sufficient and accurate 

 State coordinates with motor vehicle authority to match the information of application information (motor 

vehicle agency works with commissioner of social security per Social Security Act) 

 State requires first-time voters who registered by mail and (1) have not previously voted in a federal election in 

the state OR (2) if the state does not have a computerized voter registration system, to: 

 Present election official with one of the following: (1) a current and valid photo ID (2) a copy of a current utility bill, 

bank statement,4 government check, paycheck, or other government document with name and address of voter 

(unless this information was submitted with registration). 

 For those voting by mail: Submit copy with ballot of (1) driver’s license or other appropriate photo ID OR (2) a copy 

of a current utility bill, bank statement, government check, paycheck, or other government document that shows 

the name and address of the voter (unless this information was submitted with registration). 

 

 Identification requirements do not apply if voter registered by mail and submits (1) driver’s license number OR (2) 

last four digits of social security number and election official matches this information to state records or voter is 

eligible to vote absentee via Uniformed and Overseas Citizens Absentee Voting Act (UOCAVA), Voting Accessibility 

for the Elderly and Handicapped Act (VAEHA), or other applicable federal law. 

 Cast a provisional ballot if the voter does not have appropriate identification. 

3) Mail-in Voter Registration Form used for federal elections includes statement: 

 “Are you a citizen of the United States of America?” with yes/no checkboxes 

 “Will you be 18 years of age on or before election day?” with yes/no checkboxes 

 “If you checked ‘no’ in response to either of these questions, do not complete this form.” 

 For first-time registrants that they must mail supporting information to avoid additional identification 

requirements when voting for the first time
APPENDIX A 

Title III Certification Checklist 

26 

 

If form is incomplete the registrar notifies applicant in time to complete prior to election: YES NO 

Voter registration is compliant (Must have Checked all subcategories): YES NO 

A state must have checked ‘yes’ for all of these boxes in order to make a reasonable determination that it can certify 

that is in compliance with Title III of HAVA. 

State is Title III compliant: YES NO 

Next Steps:

State will certify Title III Compliance by: _____________________________ (please see the attached sample Title III 

Compliance letter). 

Steps to complete before certification: 

__________________________________________________________________________________________________

__________________________________________________________________________________________________

__________________________________________________________________________________________________

__________________________________________________________________________________________________

_________________________________________________________ 
APPENDIX B 

Template Letter to EAC Requesting Requirements Payments 

27 

Dear [U.S. Election Assistance Commission]: 

 [State] hereby certifies that it is in compliance with the requirements 

referred to in section 253(b) of the Help America Vote Act of 2002. 

Furthermore, [State] certifies that it has: 

• Filed and implemented a plan for uniform, nondiscriminatory 

administrative complaint procedures required by HAVA Section 402 

• Appropriated matching funds equal to five percent of the total amount 

(State share plus Federal share) of your HAVA requirements payment 

budget. 

• Complied with the six laws listed in Section 906 of HAVA. 

• Filed a State plan that complies with the requirements listed in 

Sections 253, 254, 255, and 256 of HAVA. 

• Provided EAC with appropriate certifications under Section 251(b)(2) 

regarding use of requirements payments for activities other than 

meeting the requirements of HAVA Title III. 

 [State] is prepared and eligible to receive funds for [INDICATE 

FISCAL YEAR]. 

Signature 

Chief Executive Officer (or designee, in consultation and coordination with 

the chief state election official) 

 
APPENDIX C 

Sample Title III Certification Letter 

28 

Pursuant to section 251(b) (2) (A) of the Help America Vote Act of 2002 

(HAVA) (42 U.S.C. 15401), [State] certifies that it has implemented all 

of the Title III requirements established by HAVA. To support this 

certification, the status and implementation date of each of the Title III 

requirements are provided below: 

1. Voting System Standards [Provide detailed description] 

2. Provisional Voting [Provide detailed description] 

3. Voting Information [Provide detailed description] 

4. Voter Registration [Provide detailed description]

Signature 

Chief Executive Officer (or designee, in consultation and coordination with 

the chief state election official) 
APPENDIX D 

State HAVA Funds Reporting Schedule 
APPENDIX D 

State HAVA Funds Reporting Schedule 
APPENDIX E 

Annotated Federal Financial Report 

31 
APPENDIX F 

MOE Policy 

32 
APPENDIX F 

MOE Policy 

33 

 
APPENDIX F 

MOE Policy 

34 

 
APPENDIX F 

MOE Policy 

35 
APPENDIX F 

MOE Policy 

36 

 
APPENDIX F 

MOE Policy 

37 
APPENDIX G 

MOE Checklist 

38