THE U.S. ELECTION ASSISTANCE COMMISSION

FISCAL YEAR 2016

INTERIM CONGRESSIONAL BUDGET JUSTIFICATION

February 2, 2015
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TABLE OF CONTENTS

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

FY 2016 Priority Goals ......................................................................................5

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

Legislative Proposals..........................................................................................6

EAC Background and Mission .................................................................................6

EAC’s Goals and Structure.................................................................................7

Operating Plan Summary.....................................................................................9

Budgetary Changes...........................................................................................10

Budget Requests and Performance Measures by Strategic Plan Goal................................10

Status of Management Challenges... .....................................................................23

Improper Payments......................................................................................... 23

Mandated Reports to Congress.............................................................................23

Appendix A -- FY 2014 Annual Performance Report

Appendix B -- Grant Expenditure Report
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VISION AND MISSION

Vision

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

accurately.

Mission 

Assist the effective administration of Federal elections.

FY 2016 Priority Goals 

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

Assistance Commission’s (EAC) Voting System and Certifications program are successfully and 

efficiently tested to Federal standards.

--Administer the 2016 Election Administration and Voting Survey, the EAC instrument used to 

collect state-by-state data on the administration of Federal elections.

--Serve as a Clearinghouse and provide election officials and voters with necessary information and 

materials regarding the elections process.

--Provide election officials with information to support effective and efficient election 

administration, and provide information to voters about the voting process.

Salaries and Expenses Resources Available for Obligation

FY 2014

Enacted

FY 2015

Enacted

FY 2016

President’s Budget

FTE Dollars FTE Dollars FTE Dollars

22 $10,000,000 29 $10,000,000 31 $9,600,000
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Appropriations Language

For necessary expenses to carry out the Help America Vote Act of 2002 (Public Law 107-252), 

$9,600,000 [$10,000,000], of which $1,500,000 [$1,900,000] shall be transferred to the 

National Institute of Standards and Technology for election reform administration activities 

authorized under the Help America Vote Act of 2002. (Consolidated and Further Continuing 

Appropriations Act, 2015)

Legislative proposals

No legislative proposals are being submitted at this time.

EAC Background and Mission

The U.S. Election Assistance Commission (EAC) was established by the Help America Vote Act 

of 2002 (HAVA). EAC is an independent, bipartisan commission charged with:

• accrediting voting system testing laboratories and certifying voting systems, 

• adopting voluntary voting system guidelines for the States, 

• developing guidance for State and local election officials to meet HAVA requirements,

• serving as a national Clearinghouse of information on election administration including tools and 

best practices,

• maintaining the national mail voter registration form developed in accordance with the National 

Voter Registration Act (NVRA) of 1993, 

• providing grantees with technical assistance on use of grant funds, and 

• auditing the use of HAVA funds.

HAVA established the Standards Board and the Board of Advisors to advise EAC. The law also 

established the Technical Guidelines Development Committee (TGDC) to assist EAC in the 

development of voluntary voting system guidelines. 

EAC is required to testify periodically about HAVA progress and related issues. The 

Commission also holds Public Meetings and hearings to inform the public about its progress and 

activities. Further, roundtables and webinars supplement Public Meetings and hearings to gather 

information from or provide information to election officials on election materials and grants 

management topics. By statute, EAC has four Commissioners appointed by the President and 

confirmed by the U.S. Senate. As of this writing, there are three newly-appointed

commissioners. 

Among EAC’s key stakeholders are election officials. Leading up to an election, State and local 

election officials are faced with the enormous responsibility of informing voters about where, 

when and how to vote; training Election Day poll workers; and conducting fair, accessible, 

accurate and secure elections. Federal elections are administered in about 11,000 jurisdictions. 

Election practices, policies and laws vary from State to State and jurisdiction to jurisdiction. 
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Election officials are looking at new technology and practices in voting such as remote access 

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

tablet, internet voting, and accessible technology for disabled voters. To assist the States, EAC 

has produced reports: A Survey of Internet Voting, the Uniformed and Overseas Citizens 

Absentee Voting Act Registration and Voting Process and UOCAVA Pilot Program Testable 

Requirements; awarded two grants totaling $7 million for the Accessible Voting Technology 

initiative to support Research and Development activities to increase the accessibility of new, 

existing, and emerging technological solutions. Further, EAC discusses the new technologies 

and practices with its advisory boards. 

EAC’s Goals and Structure

EAC’s offices are aligned to address the goals in the Strategic Plan: Goal 1, Communicate is 

administered by the Office of Communications and Clearinghouse. Goal 2, Fund and Oversee is 

administered by the Grants Management and Inspector General Offices. Goal 3, Study, Guide, 

and Assist, is administered by the Research, Policy and Programs unit. Goal 4, Test and Certify

is administered by the Voting System Testing and Certification unit. Goal 5, Operate is 

administered by the Boards, Commissioners, Executive Director, Chief Operating Officer, Chief 

Financial Officer and General Counsel. 

A cost allocation model distributing administrative costs to the four program goals is part of the 

annual Agency Financial Report. The model is reviewed by EAC’s independent financial 

statement auditors and is used to present the Fiscal Year (FY) 2016 agency budget request. 

Budgets correspond with the goals. 

The current EAC strategic plan covers the period FY 2009 through FY 2014. Next steps are for 

EAC’s Board of Advisors and Standards Board to comment on a new plan covering FY 2015 

through FY 2020, and for Commission adoption of the document. In order to comply with 

guidance, EAC presents an interim FY 2016 plan and performance measures which serve as a 

draft annual performance plan. Management improvement efforts are described in Goal 5.
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Operating Plan Summary

Salaries and Expenses

FY 14

Enacted

FY 15

Enacted

FY 16

Request

Full-Time Equivalent Staff (FTE) 22 29 31

Full-Time Staff 19 28 28

Other than Full-Time Staff 5 3 5

Category FY 14

Enacted

FY 15

Enacted

FY 16

Request

Payroll Full-time Personnel 2,777,268 3,242,990 3,286,053

Payroll Other than Full-time Personnel 326,251 194,085 301,128

Subtotal Personnel Compensation 3,103,519 3,437,075 3,587,181

Personnel Benefits 823,514 853,871 919,018

Transit and Parking Benefits 33,682 47,528 38,268 

Subtotal Benefits 857,196 901,399 957,286 

Subtotal PC&B 3,960,715 4,338,475 4,544,467

Travel and Transportation of Things

 

360,003

 

383,798

 

411,085

Rent 250,925 257,708 260,134

Communications, Equipment Rentals 132,150 141,265 127,681

Printing, Reproduction 19,796 93,175 30,560

Other Services 3,264,532 2,772,491 2,642,318

NIST 1,900,000 1,900,000 1,500,000

Supplies and Subscriptions 80,379 81,089 72,255

Equipment 31,500 32,000 11,500 

Subtotal, Non-personnel 6,039,285 5,661,526 5,055,533 

Total 10,000,000 10,000,000 9,600,000

Note: FY 2016 assumes a 1.3 percent cost of living increase, and a .5 percent increase in FERS benefits, and 

 no non-pay inflationary increase.
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Budgetary Changes FY 2015 Enacted to FY 2016 Request

(in whole dollars)

Personnel Compensation and Benefits $205,992

Reflects full funding in FY 2016 for statutory positions (four 

Commissioners, Executive Director and General Counsel) that were not 

filled as of the beginning of FY 2015 $152,212; 1.3 percent cost of living 

adjustment $53,730

Transfer to the National Institute of Standards and Technology (-$400,000)

Other Services (-$130,174)

Reflects lower cost of year one of the eac.gov website contract 

recompetition in FY 2014 compared to the base year

Miscellaneous (-$75,818)

Increases for travel $27,287, annual increase for rent $2,427, 

communications and rentals (-$13,584), printing (-$62,614), supplies and 

subscriptions (-$8,834), equipment (-$20,500)

Budget Requests and Performance Measures by Strategic Plan Goal

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. The anticipated outcome of the goal is to provide Congress, Federal agencies, State and 

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

the administration of Federal elections.

FY 2014

Enacted

FY 2015 FY 2016

Enacted Request

Direct Costs $677,274 $483,939 $487,163

Indirect Costs 295,668 736,684 650,672

Total, Communicate

 

$972,942 $1,220,623 $1,137,835

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

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

objectives: 
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1) operate the EAC Clearinghouse effectively; 

2) respond to outside requests about EAC timely and accurately; and 

3) convey the results of EAC operations and accomplishments.

EAC’s Communications Division is responsible for communicating with the media and 

stakeholders, including election officials, academics, policy-makers, advocacy groups and the 

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

www.eac.gov, which contains thousands of documents with information about voting system test 

plans, agency correspondence, and testimony from EAC Public Meetings, roundtable 

discussions, and hearings; and external and internal communications such as press releases, news 

articles and speeches, informational videotapes on the programs, Twitter account @EACgov, the 

Election Official Exchange of information, a blog, a monthly newsletter about EAC activities 

and events that goes to approximately 1,200 subscribers, and a monthly email on internal 

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

and other agency initiatives to the public. 

Open Government and Public Participation Activities

EAC’s Open Government activities are available at www.eac.gov/open, and general comments 

can be submitted to www.eac.gov/contact. Throughout EAC’s website, the agency has applied 

the concept of open government and implemented tools to facilitate a conversation with the 

public about voting and election administration. There are several mechanisms through which 

the public can provide direct feedback to EAC on agency activities and operations. For example, 

the public can rate and comment on nearly 200 EAC reports, policies, manuals and Election 

Management Guidelines in the Election Resource Library. In addition, EAC’s Public Comment 

section makes it easier for the public to keep track of draft EAC policies on which the agency is 

seeking Public input.

Users can also 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. Other features include a multimedia center that provides

training and educational videos on polling place management, election contingency planning, 

voting accessibility, and voting system testing and certification.

EAC Elections Clearinghouse

The Elections Clearinghouse is required under the Help America Vote Act (HAVA) of 2002 and 

provides a public portal for information about elections. EAC’s website serves as a national 

Clearinghouse of election administration information. Among its thousands of pages of content 

are test plans and reports of voting system manufacturers seeking Federal certification, datasets 

containing detailed information by State on voter registration and turnout statistics in recent 

Federal elections, and information for voters on how to register to vote and contact their State 

elections offices.

The primary purposes of the Clearinghouse are to: 

• Disseminate election information to the public.

• Supplement States’ efforts to provide information to assist voters.
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• Provide a central location for best practices, shared practices, innovations and creative 

solutions in election administration.

• Share research findings and data about elections.

• Provide information about EAC’s voluntary voting system certification and testing 

program including information regarding voting system experiences and anomalies 

submitted by State and local election jurisdictions.

• Notify the public about EAC’s funding grants opportunities. 

• Report on the expenditure of HAVA funds.

The FY 2016 Request

Efforts will continue in FY 2016 to post and disseminate additional information on election 

administration topics to achieve the goal of serving as the trusted source for information about 

elections and election administration. 

The FY 2016 request includes funds for staff payroll and benefits; the EAC website contract 

at$184,776; $8,770 for travel, and $22,000 for subscriptions. 

FUND AND OVERSEE

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

anticipated outcome of the goal is for States and other recipients to promptly and 

accurately receive Federal funds administered by EAC and use the funds appropriately to 

improve the administration of elections for Federal office in accordance with HAVA.

FY 2014

Enacted

FY 2015

Enacted

FY 2016

Request

Grants Management Direct Costs $414,091 $229,324 $287,055

OIG Direct Costs 1,157,241 1,157,241 1,157,241

Indirect Costs 1,256,590 736,684 976,009

Total, Fund and Oversee $2,827,922 $2,123,249 $2,420,305

 

Goal 2 consists of three strategic objectives: 1) accurately and timely disburse Federal

financial assistance administered by EAC; 2) effectively monitor Federal financial 

assistance administered by EAC; and 3) 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. Goal 2 is administered by the Grants 

Management unit and the Office of the Inspector General (OIG). 

Grants Management

EAC’s Grants Management unit is responsible for distributing grants funds, monitoring grantee 

performance, providing technical assistance to States and grantees on the use of funds, and 

reporting on requirements payments and discretionary grants to improve administration of 

elections for Federal office. The office recommends actions to resolve audit findings on the use 

of HAVA funds. Via a Memorandum of Understanding with the U.S. Department of Health and 

Human Services, the unit sets indirect cost rates with grantees. 
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The FY 2016 Request

For FY 2016, goals include achieving the performance targets for timeliness in EAC’s Strategic 

Plan (please see Appendix A, FY 2014 Annual Performance Report attached), including 

resolving 100 percent of audit findings within established timeframes, awarding grants in 

established timeframes, and submitting State Plans to the Federal Register within 30 days of 

receipt.

The request includes funds for staff, an estimated $2,800 for grant site visit travel, $1,500

for webinar services which reduce travel costs, $2,334 to print references to State Plan

revisions, $25,000 for a Memorandum of Understanding with the U.S. Department of 

Health and Human Services for indirect cost rate negotiation services, and $50 for 

supplies.

Office of Inspector General

BACKGROUND

The United States Election Assistance Commission (EAC) is a bipartisan Commission created 

and authorized by the Help America Vote Act of 2002 (HAVA). The Office of Inspector 

General (OIG) was established by HAVA and the Inspector General Act of 1978 (IG Act), as 

amended, to provide independent and objective reporting to EAC and Congress through its audit 

and investigative activities. 

Charged with the identification and prevention of waste, fraud, and abuse of Federal resources, 

the OIG strives to promote economy, efficiency and effectiveness in EAC programs and 

operations. To accomplish this goal, OIG conducts regular audits of recipients of grant funds 

distributed by EAC, annual audits of EAC’s operations, and periodic reviews and audits of EAC 

program operations and transactions. In addition, OIG conducts investigations in response to 

allegations against EAC, its grant recipients, or other third parties involved in EAC programs.

THE BUDGET IN SUMMARY

For fiscal year (FY) 2016, OIG is requesting $940,366 for contract audits and investigations. 

The request includes $3,125 as a transfer to the Council of Inspectors General for Integrity and 

Efficiency (CIGIE) in keeping with the provisions of the Inspector General Reform Act of 2008. 

The request also includes $5,000 for costs associated with training and professional 

development for OIG’s full-time employee, $10,000 for travel, $3,000 for printing, $4,000 for 

supplies, and $5,000 for equipment. 

OIG ACTIVITIES AND PROJECTS

OIG primarily engages in three activities or projects: auditing grant programs, conducting 

investigations of grant recipients or other third parties related to EAC programs, and conducting 

audits and investigations of EAC programs and operations.
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Auditing Grant Programs

Section 902 of HAVA gives EAC and other agencies making a grant or payment the authority to 

conduct audits of any recipients of funds. EAC is further authorized to conduct regular audits of 

funds distributed under HAVA. OIG conducts those audits on behalf of EAC. 

Over the past several years, OIG has focused on auditing the large grants distributed to states 

under Title II of HAVA. These grants represent the vast majority of grant funds distributed by 

EAC. The objectives of the State audits are to determine whether the State: (1) expended 

HAVA payments in accordance with HAVA and related administrative requirements; and (2) 

complied with HAVA requirements for replacing punch card or lever voting machines, 

establishing an election fund, appropriating five percent matching funds, and maintaining State 

expenditures for elections at a level not less than expended in the State’s base fiscal year.

OIG’s program to ensure economy, efficiency and integrity in the use of funds is not limited to 

audits. OIG has also worked with EAC to help educate States on the requirements that are 

associated with federal funding. 

In the coming fiscal years, OIG will continue to work to protect the federal investment in the 

electoral process and to promote economy, efficiency, and integrity in EAC grant programs 

through its audit and education programs.

Investigations

When allegations are made concerning the misappropriation of HAVA funds, OIG is responsible 

for investigating those allegations. OIG has instituted a number of activities to improve and 

increase information available to EAC employees and the general public about how and when to 

make complaints of fraud, waste, abuse and mismanagement. OIG operates a website that 

includes the ability to file an on-line complaint. 

OIG does not currently employ an investigator. When issues arise that require investigation, 

OIG contracts with other government agencies for investigative services. 

Internal Audits

OIG is also responsible for conducting reviews, audits, and investigations of EAC’s internal 

policies, procedures, and actions. Over the past several fiscal years, OIG has conducted a 

number of internal reviews. OIG has issued a total of 19 reports regarding EAC’s operations. 

These reports assess the efficiency of EAC’s operation and its compliance with governing 

statutes and regulations, including compliance with the Federal Information Security 

Management Act (FISMA) and compliance with Federal Travel Regulations.

OIG GOALS AND OBJECTIVES

In FY 2016, OIG will continue its programs of auditing EAC grant recipients, conducting 

external investigations, and auditing and investigating EAC programs and operations. OIG is 
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currently staffed by one full-time employee: the Inspector General. The attorney position is 

currently vacant. OIG will continue to use contract auditors in FY 2016 to conduct audits. 

GOAL 1: Protect the Federal investment in our electoral system.

The Federal government has made a sizable investment in the American electoral system. 

Congress has appropriated $3.25 billion in grant funds to the States for improvement of election 

infrastructure and processes. 

OIG relies primarily on contract auditors to conduct audits of these grants to states. Budgetary 

restrictions will require that we continue to rely on contractors to conduct the majority of the 

audits of grant recipients. OIG will continue to focus its efforts on the $3.25 billion in grants 

appropriated to the States. As resources allow, OIG is auditing other EAC grant programs, 

including the Mock Election, College Poll Worker, Election Data Collection, Military Heroes 

Initiative, and other grant programs administered by EAC.

GOAL 2: Promote economy, efficiency and integrity in EAC programs and operations.

A critical portion of the OIG mission is to promote economy and efficiency in government 

programs and operations and to detect and prevent fraud, waste, abuse, and mismanagement in 

government programs and involving government resources. OIG fulfills this portion of its 

mission by conducting audits and evaluations of EAC operations, including contracting for an 

annual audit of financial statements and a review of compliance with the Federal Information 

Security Management Act (FISMA). While these two reviews cover a large portion of EAC’s 

operations on an annual basis, OIG also conducts audits and evaluations of programs or specific 

EAC transactions. 

OIG is also charged with identifying and investigating waste, fraud and abuse in EAC programs 

and operations. To meet this requirement, OIG operates a hotline that allows people to make 

complaints via telephone, fax, email, mail, and on-line. Using the website, OIG reaches out to 

those persons involved with EAC and its programs, as well as those impacted by those programs 

to ensure they know how and where to make complaints of fraud, waste, abuse, or 

mismanagement.

OIG can help ensure integrity in EAC programs and operations by investigating alleged waste, 

fraud or abuse. Complaints from the hotline as well as information from audits and evaluations 

can identify potential civil or criminal wrongdoing. When OIG identifies potential wrongdoing, 

it can institute an investigation. OIG will continue to rely upon interagency agreements with 

other Offices of Inspector General to conduct investigations of fraud, waste, abuse and 

mismanagement.

GOAL 3: Effectively communicate successes and opportunities for improvement.

OIG uses various tools to communicate with EAC, Congress, and the general public concerning 

the status of EAC’s programs and operations as well as OIG’s activities in conducting audits, 

evaluations, inspections, and investigations. OIG issues reports following each formal 
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engagement, regardless of type. Reports are disbursed to the entity that is subject of the audit or 

evaluation, as well as to EAC and oversight and appropriations committees of Congress.

OIG also produces two semi-annual reports to Congress each fiscal year. The reports summarize

the audit, evaluation, inspection and investigation reports issued by OIG during the relevant six 

months. The document also reports on OIG activities by including statistics such as the number 

of findings that are outstanding, the amount of costs that were questioned, as well as the amount 

of federal funding that could be put to better use.

OIG also uses technology to communicate with its stakeholders and the public. OIG operates a 

website where it makes information available concerning its operations, issued reports, rights and 

protections for whistleblowers, as well as an on-line form for making complaints of fraud, waste, 

abuse and mismanagement. 

In FY 2016, OIG will continue its outreach efforts to keep EAC, Congress and the public 

informed of OIG’s activities as well as its reviews of EAC programs and operations.

GOAL 4: Effective and efficient OIG operations.

As OIG evaluates the effectiveness and efficiency of EAC programs and operations, it is 

important for the OIG to ensure that its operations are effective and efficient, including having 

the needed policies, procedures and practices to underpin its operations. OIG will focus on 

providing a supportive working environment including providing professional education and 

training for its employees. All OIG employees will be required to meet the continuing education 

requirements applicable under the Generally Accepted Government Auditing Standards.

OIG BUDGET REQUEST BY OBJECT CLASS

FY 2014

Enacted

FY 2015

Enacted

FY 2016

Request

Personal Compensation and Benefits

11.1 Full-time permanent $147,250 $147,250 $147,250

12.1 Civilian personnel benefits 39,500 39,500 39,500

Contractual Services and Supplies

21 Travel and transportation of persons 10,000 10,000 10,000 

24 Printing and reproduction 3,000 3,000 3,000 

25.2 Other services 789,891 789,891 790,366

Training 5,000 5,000 5,000

25.3 Other purchases of goods and services 

from Government accounts 150,000 150,000 150,000

26 Supplies and materials 4,000 4,000 4,000 

Acquisition of Assets

31 Equipment 5,000 5,000 5,000 

94 Financial Transfers 3,600 3,600 3,125

Total Program $1,184,617 $1,157,241 $1,157,241
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STUDY, GUIDE AND ASSIST

Strategic Plan Goal 3: Identify and develop information on areas regarding the 

administration of elections for Federal office and issue guidance, translations, best 

practices and recommended improvements as required by HAVA, and carry out 

responsibilities under the National Voter Registration Act (NVRA). The anticipated 

outcome of this goal is for: 1) the election community and other key stakeholders to improve the 

administration of elections for Federal office on the bases of pertinent, impartial, and highquality information, recommendations, guides and other tools on election and voting issues, and 

2) the national mail voter registration form to be available to citizens to register to vote, register 

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

Goal 3 consists of four strategic objectives: 1) conduct 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 make recommendations for 

improving the quality of practices, methods, and data; 3) issue Election Management Quick Tips, 

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 NVRA to Congress as 

required by the Act.

The Research, Policy and Programs division administers and oversees: 

1) The biennial Election Administration and Voting Survey (EAVS) to 55 States and territories;

2) Mandatory reports to Congress on the National Voter Registration Act (NVRA) and 

Uniformed and Overseas Citizens Absentee Voting Act (UOCAVA) that are based on the 

survey; 

3) The national mail voter registration form as mandated by NVRA; 

4) The Election Management Quick Tips program, which outline best practices and information 

for use by State and local election officials and voters on various topics such as polling place 

management, contingency planning, voter registration, educating voters, poll worker training 

and recruitment;

5) The Language Accessibility Program, which provides informational materials on the Federal 

election process and election terminology in languages other than English; and

6) Provisions of HAVA requiring voluntary guidance to the States on provisional voting and 

statewide voter registration databases.

FY 2014

Enacted

FY 2015 FY 2016

Enacted Request

Direct Costs $969,894 $1,075,709 $914,299

Indirect Costs 770,527 942,130 976,008

Total, Study, Guide, and Assist

 

$1,740,421 $2,017,839 $1,890,307
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The FY 2016 Request

In FY 2016, EAC will initiate the 2016 Election Administration and Voting Survey (EAVS) 

process, and continue to update educational and best practices materials to improve the 

administration of Federal elections. 

The FY 2016 request includes funds for staff; $575,000 for the EAVS contract; $3,000 for 

printing; $10,000 for webinar and online meeting services; $10,000 for NVRA consulting 

services; $4,000 for travel; $1,000 for conference registration fees and training; and $500 for 

supplies.

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. The 

anticipated outcome of the goal is that voting equipment operates more reliably and 

securely and is more accessible to voters with disabilities. States voluntarily participate 

in EAC’s testing and certification program to ensure that their voting systems meet the 

Voluntary Voting System Guideline (VVSG) standards and voting system manufacturer 

specifications.

Goal 4 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.

Under the Help America Vote Act (HAVA), EAC is responsible for assisting States with 

improvements to voting systems through the distribution of Federal funds and by providing a 

voluntary Federal certification program. The voluntary Voting System Testing and Certification 

Program for the States also provides transparency to the testing process including the publication 

of all test plans, test reports and related information as well as any reports of voting system

anomalies found during use in an election.

EAC works continuously to reduce the cost of voting system testing without compromising 

system quality and conformance with standards through efforts to implement the use of 

automated source code review tools by EAC-accredited Voluntary System Test Laboratories 

(VSTLs) and similar innovative uses of technology. Comprehensive procedures for the program 

FY 2014

Enacted

FY 2015 FY 2016

Enacted Request

Direct Costs $1,006,457 $896,580 $862,204

Indirect Costs 1,552,258 1,841,709 1,789,349

Total, Test and Certify $2,558,715 $2,738,289 $2,651,553 
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are detailed in EAC’s Voting System Testing and Certification Program Manual. The program 

also:

• supports local election officials in the areas of engineering change order (ECO) updates, 

acceptance testing, and pre-election system verification for EAC-certified systems, 

• increases quality control in voting system manufacturing by means of periodic 

manufacturing facility audits of EAC-registered manufacturers, and

• provides procedures to manufacturers for the testing and certification of voting systems to 

specified Federal standards as required by HAVA Section 231(a)(1).

In addition to its certification duties, the unit works in a cooperative and coordinated manner 

with the National Institute of Standards and Technology (NIST) to evaluate and accredit VSTLs. 

As a condition of accreditation, all VSTLs must hold a valid accreditation from NIST’s National 

Voluntary Laboratory Accreditation Program (NVLAP). 

NVLAP accreditation is the primary means by which EAC helps ensure that each VSTL meets 

and continues to meet the technical requirements of EAC’s program. NVLAP uses the 

International Organization for Standardization standard ISO 17025 to review each VSTL’s 

technical, physical and personnel resources, as well as its testing, management, and quality

assurance policies and protocols. EAC monitors VSTLs through a comprehensive compliance 

management program. Further, EAC performs on-site reviews to ensure that VSTLs meet all 

program requirements. 

In addition to voting system certification and laboratory accreditation, EAC along with its 

Standards Board, Board of Advisors, and Technical Guidelines Development Committee 

(TGDC) (chaired by the director of NIST) work together to update and implement voluntary

testing guidelines for voting systems. 

Efforts continue into Research and Development of alternative guidelines for the next iteration 

VVSG document. These areas include Software Independence and related alternatives; Common 

Data Format; improving voting system accessibility; EPollBooks; and Penetration Testing.

The FY 2016 Request

The next iteration VVSG document will be ready for commissioner review in the second quarter 

of FY 2015. Commissioners will modify the document as appropriate. Subsequently, the new 

version will be adopted and published. 

The Testing and Certification Program Manual and the Laboratory Accreditation Program 

Manual have been revised and are ready for commissioner review. The manuals were updated to 

implement new mechanisms for decreasing time and cost factors related to the Federal 

certification process. As with the VVSG, these revised documents will be reviewed, adopted and 

published by a quorum of EAC commissioners.

The FY 2016 request includes payroll and benefits for staff and part-time technical reviewers; 

$60,000 for travel; printing at $15,000; $15,500 for webinar services which reduces travel costs

and travel time; $4,000 for training and conference registration fees; and $300 for supplies. 
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In 2016, EAC requests a non-expenditure transfer of $1,500,000 to NIST for activities required 

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

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

the Electoral Process. EAC and NIST continue to work in cooperation with the U.S. 

Department of Defense Federal Voting Assistance Program (FVAP) on the development of 

testable guidelines for remote electronic voting systems to assist absentee voters covered under 

the Uniformed and Overseas Citizens Absentee Voting Act as required by the National Defense 

Authorization Act for Fiscal Year 2010.

OPERATE

Strategic Plan Goal 5 Operate: Implement a high-performance organization. The 

anticipated outcome of the goal is that EAC Commissioners and staff proficiently carry out 

EAC’s strategic objectives.

Goal 5 consists of three strategic objectives: improve performance; strengthen internal controls; 

and maximize efficiencies. As mentioned previously, EAC has four programs administered by 

five offices aligned with the agency’s Strategic Plan: Communications, Grants Management and 

Inspector General; Research, Policy and Programs; and Testing and Certification. 

Key performance measures are to implement 90 percent of OIG audit recommendations within 

agreed-upon timeframes, and to meet and exceed annual performance measures.

Performance Improvement

The performance measure to implement 90 percent of OIG audit recommendations with agreed 

upon timeframes is tracked in EAC’s annual Agency Financial Report on the status of 82 OIG 

audit recommendations made as of March 2008. To date, only two recommendations requiring a 

quorum of the Commission for resolution are open. The open recommendations are related to 

National Voter Registration Act regulations, and communications and clearinghouse policy.

On the measure, meeting annual performance measures, management works to foster a culture of 

accountability among staff. The agency is seeking to improve staff satisfaction ratings and 

achieve management excellence through continuous improvement of internal controls. Agency 

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

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

Congressional Budget Justification, and the OMB Budget Justification each year. 

EAC will continue to focus on working with managers on the relationship between budget and 

performance, maximizing efficient use of staff and financial resources, and training EAC staff on 

financial management processes and their responsibilities.
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Strengthen Internal Controls

Each year, EAC directors complete assessable unit risk assessment questionnaires and individual 

letters of assurance, which are rolled into the Agency’s Annual Statement of Assurance in the 

Agency Financial Report. EAC’s Goal 5 performance measure, “Obtain a clean audit opinion on 

agency financial Statements within two years of the initial Statement preparation” was achieved 

in FY 2009, about eight months after the new CFO department was established. A clean opinion 

was again obtained in FYs 2010 and 2011. A disclaimer was issued for FY 2012 related to 

conversion to a new financial system, and in FY 2013, related to delays in decisions on treatment 

of an improper payment. In FY 2014, EAC received an unmodified (clean) opinion. Full 

implementation of audit recommendations is expected in the second quarter of FY 2015.

Staff are provided on-site training on internal controls, use of automated systems and reports, and 

on accrual accounting for Contracting Officer Representatives. EAC continuously works on 

improvement of controls through systems, procedures and training.

Maximize Efficiencies

Acquisition Improvements

On July 1, 2012, EAC automated its procurement function by implementing the Bureau of Fiscal 

Service’s (BFS’s) PRISM system, replacing use of hard copy procurement forms. Further, 

purchase-card orders and monthly charge card statements have been automated with CitiDirect 

Services through the Memorandum of Understanding with BFS.

EAC looks to the General Services Administration (GSA) Schedule negotiated rate contracts and 

to Memoranda of Understanding with, or transfers of funds to, other Federal agencies. Both 

options provide low-risk procurements at substantial cost savings in terms of lower prices, 

strategic sourcing, award time, and internal operational efficiencies. EAC has moved to use of 

performance work statements in lieu of cost-reimbursement and time-and-materials contracts to 

improve the quality of proposals received from vendors.

e-Travel

On July 1, 2012, EAC implemented BFS’s GovTrip e-travel system. Travel authorizations and 

vouchers are fully automated, replacing hard copy authorization and voucher forms.

Transfer to one of the four Federal Shared Services Providers

In line with guidance in the President’s Management Agenda, and the performance government 

cross-agency priority goal, EAC switched financial and procurement services to the U.S. 

Department of Treasury. EAC is planning on moving human resources services to Treasury in 

March 2015. Treasury is one of the four agencies, including the U.S. Departments of 

Agriculture, Transportation and Interior, chosen to provide systems and services designed to 

eliminate administrative duplication and enable agencies to direct more resources from 

administrative expenses to programs.
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Minimize utilization of office and storage space

In FY 2014, EAC moved to open concept federal space at the Silver Spring metro station. The 

smaller touchdown space was obtained pursuant to the Performance Government Priority Goal to 

reduce the square footage of replacement leases. EAC previously leased 17,548 square feet of 

space, and reduced to 6,900 square feet in the replacement lease. 

The smaller touchdown space allows for a nearly $700,000 annual rent savings, or about 75 

percent. The configuration encourages collaboration within the agency. The building offers free 

conference space for its multi-agency tenants on a space-available basis. Small rooms have been 

set aside in the agency for small group meetings and individual telephone calls to protect privacy 

and reduce ambient noise. Further, hoteling provides flexibility for accommodating changes in 

staffing levels with staggered telecommuting schedules.

Telecommuting and Continuity of Operations

Pursuant to the Telework Enhancement Act of 2010, EAC encourages staff to work in the office

three days and telecommute two days each week. The agency saves on rent cost, emissions are 

decreased, commuting time is generally reduced, and work-life balance is improved because staff 

are better able to balance work and personal obligations.

EAC is equipped to deal with continuity of operations disruptions by operating off-site: 

individual staff electronic files and emails are not stored on assigned computers at the office. 

Regardless of location or computer used, staff is able to access a “virtual office’ of email data, 

and personal and shared computer drive files and folders from a centralized location.

Information Technology (IT) Infrastructure

The Office of the Chief Information Officer (OCIO) continues to explore new innovations to 

update and improve network services for security, availability, efficiency and productivity. For 

example, EAC is working with GSA to leverage GSA’s private cloud computing strategy to host 

the EAC continuity of operations plan (COOP) site.

EAC operates its own infrastructure, using GSA’s backbone for security purposes. The IT staff

of two maintains personal computers, smart phones, and servers; provides software requested by 

EAC staff, remote access services, Voice over Internet Protocol (VoIP) which allows transfer of

landline voice messages to email format and placing calls from personal computers, and the 

Interactive Voice Response (IVR) menu-driven telephone system which removes the need for a 

full-time receptionist position and allows EAC to provide recordings of updates in the field of 

elections to callers; and performs vulnerability scans in addition to GSA’s backbone 

infrastructure scans, and remediates and updates security patches so that staff are equipped to 

perform work both on- and off-site in a secure environment. EAC is in the process of 

establishing an intranet where policies and procedures can be posted in place of use of a shared 

drive to improve usability and communications. 

For security purposes, EAC uses GSA’s network backbone for its infrastructure, and GSA 

manages a firewall, external intrusion detection, T1 lines and routers and switches for Federal 

Information Security Management Act (FISMA) compliance on EAC’s behalf. EAC’s cyber 

security management needs are covered by GSA through an annual Memorandum of 
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Understanding for IT services and equipment at approximately $40,000 for FY 2016. The 

agreement funds the tools that enable GSA to continuously monitor EAC's IT systems security as 

described in OMB M-10-15, FY 2010 Reporting Instructions for the Federal Information 

Security Act and Agency Privacy Management. In FY 2014, EAC was found to be in substantial 

compliance with FISMA in the annual independent FISMA audit.

Status of Management Challenges

EAC’s Inspector General reported on two categories of management challenges in October 2014: 

performance management and accountability, and records management. The former consists of 

pending Communications and Clearinghouse policy and procedures which will be presented to 

EAC’s recent quorum of commissioners for adoption. Regarding records management, EAC 

expects to submit records retention schedules for the offices of Communications; Research, 

Policy, and Programs (RPP); and Testing and Certification during FY 2015.

Improper Payments

The Improper Payments Act requires each Federal agency to assess all programs and identify 

which, if any, may be subject to high risk with respect to improper payments. EAC does not 

believe that it has any programs where the erroneous payments could exceed 2.5 percent of 

program payments or $10.0 million threshold (set in OMB Guidance) to trigger further agency 

action.

Mandated Reports to Congress 

Annual report of EAC activities to Congress by January 31 of each year for the preceding year 

ending September 30. 

Biennial report on the impact of NVRA by June 30 of each odd-numbered year. 

Recommendations to improve election data collection and data provided to Congress in the 

biennial report on the Election Administration and Voting Survey are released in the Fall of the 

years subsequent to Federal elections.
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