U.S. ELECTION ASSISTANCE COMMISSION

FISCAL YEAR 2018

 CONGRESSIONAL BUDGET JUSTIFICATION

May 23, 2017
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TABLE OF CONTENTS

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

FY 2018 Priority Goals............................................................................................................................5

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

FY 2016 Accomplishment Highlights....................................................................................................6

Agency Background............................................................................................................................6

Goals and Structure................................................................................................................................7

Organization Chart..................................................................................................................................7

Operating Plan Summary.......................................................................................................................8

FY 2018 Budget Request Highlights......................................................................................................8

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

Budget Requests and Performance Measures by Goal....................................................................11

Information Technology........................................................................................................................17

Status of Management Challenges.....................................................................................................17

Improper Payments..............................................................................................................................17

Mandated Reports to Congress...........................................................................................................17

Attachment A -- OIG Budget Request in Detail.................................................................................19
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VISION AND MISSION

Vision

For the Election Assistance Commission to be a service agency and the go-to resource on election 

information, best practices, data, technology, technical advice and assistance for election administrators, 

officials, and voters across America.

Mission 

The Commission shall serve as a national clearinghouse and resource for the compilation of information 

and review of procedures with respect to the administration of Federal elections by –

(1) creating and maintaining voluntary voting system guidelines;

(2) providing for the testing, certification, decertification, and recertification of voting system 

hardware and software by accredited laboratories;

(3) periodically conducting and making available to the public studies regarding election 

administration issues; 

(4) making payments to states to help them procure new voting equipment;

(5) developing and carrying out the Help America Vote College Program.

 - Public Law 107-252

 

FY 2018 Priorities

--Increase the knowledge base and resources on cybersecurity for state and local election officials 

through training and best practices;

--Adopt the Voluntary Voting Systems Guidelines version 2.0;

--Facilitate election officials’ ability to competitively procure voting system technology;

--Administer the 2018 Election Administration and Voting Survey, the Election Assistance Commission

(EAC) instrument used to collect State-by-State data on the administration of Federal elections; and

--Serve as a clearinghouse of voting information by providing election officials and voters with necessary and 

timely information and materials regarding the elections process.

Salaries and Expenses Resources Available for Obligation

FY 2016

Enacted

FY 2017

Request

FY 2018

President’s Budget

FTE Dollars FTE Dollars FTE Dollars

31 $9,600,000 28 $9,800,000 29 $9,200,000
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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] $9,200,000, of which $1,500,000 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 Appropriations Act, 2016)

Fiscal Year (FY) 2016 Accomplishment Highlights

EAC helped to improve the security, accuracy, and accessibility of U.S. elections in the lead up to the 

very important 2016 General Election. EAC helped election administrators plan for and administer 

secure elections, maintain their aging voting equipment, procure new equipment when necessary, plan 

for and administer elections effectively, learn from one another, interact with voters, serve military and 

overseas voters, and make their elections more accessible to voters with disabilities and Limited English 

Proficiency (LEP) voters. EAC’s motto for 2016 was BeReady16, and EAC is confident that we did just 

that. EAC also testified before Congress on the security of our nation’s elections and responded to

information requests on election administration. 

To achieve all of the above, the Commission researched tools, information, and practices from around 

the country; created EAC tools, information, and best practices; and distributed these to election 

officials and administrators around the country. The agency worked with other election experts to 

create videos, webisodes, training materials, toolkits and best practices in preparation for the 2016 

Presidential election cycle. To best understand issues and needs, Commissioners held public advisory 

board and panel meetings and a language summit. Throughout the year, the Commissioners and staff 

addressed nearly 40 professional election groups. EAC discussed concerns about voting system 

cybersecurity with election officials across the country, and alongside officials at the Department of 

Homeland Security, EAC helped increase the cybersecurity of the nation’s election systems.

Detailed information on extensive FY 2016 accomplishments can be found in the EAC Annual Report at

https://www.eac.gov/assets/1/Documents/EAC%20Annual%20Report_2016.pdf. 

Agency Background

Congress established the U.S. Election Assistance Commission with the passage of the Help America 

Vote Act of 2002 (HAVA). The Commission was created to help election officials and administrators 

improve elections around the country. Statutorily, EAC is headed by four bipartisan Commissioners 

appointed by the President and confirmed by the U.S. Senate. Currently, there are three 

Commissioners. 

HAVA also created The Board of Advisors, the Standards Board, and the Technical Guidelines 

Development Committee (TGDC) to advise EAC. The three groups advise the agency and help it achieve 

its mission regarding the development of the Voluntary Voting System Guidelines. 

HAVA dictates the membership of the three groups. The Standards Board is a 110-member board 

consisting of 55 state election officials (the 50 states, the District of Columbia, American Samoa, Guam, 

Puerto Rico, and the Virgin Islands) selected by their respective chief state election official, and 55 local 
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election officials selected through a process supervised by the chief state election officials. The Board 

of Advisors consists of groups representing governors; mayors; state legislatures; secretaries of state; 

state election directors; county recorders, election officials and clerks; voter advocacy groups; federal 

agencies; and professionals in the fields of science and technology. TGDC helps the EAC develop its 

Voluntary Voting System Guidelines, and it is composed of 14 members appointed jointly by EAC and 

the Director of the U.S. Department of Commerce’s National Institute of Standards and Technology 

(NIST), who is the chairperson of TGDC.

Goals and Structure

EAC’s offices are aligned to address the mandates of the Help America Vote Act to: serve as a 

clearinghouse of information on voting; test and certify voting systems; administer and maintain the 

National Voter Registration Act (NVRA) voter registration form; assist States with administration of 

HAVA funds; and report to Congress on NVRA and Uniformed and Overseas Citizens Absentee Voting 

Act voting activity.

A cost allocation model distributing administrative costs to program goals is used in EAC’s annual 

Agency Financial Report. The model is reviewed by EAC’s independent financial statement auditors,

and is used to present the FY 2018 agency budget request. EAC is working on a new strategic plan, 

which includes programmatic plans, and presents an interim FY 2018 plan in this document. 

Inspector General Commissioners

Executive Director

General Counsel Chief Financial Officer/

Budget Officer

Clearinghouse

Advisory Board (37 members)

Standards Board (110 members) 

and Technical Guidelines 

Development Committee (15 

members).

Statutory, non-monetary positions

Payments 

and Grants 

Management

Accounting

Procurement

Voting System 

Testing and 

Certification

Research, Policy 

& Programs

Information 

Technology 

Human Resources

Administrative 

Services

ELECTION ASSISTANCE COMMISSION 

ORGANIZATION CHART

Communications
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Operating Plan Summary

Salaries and Expenses FY 16 Enacted FY 17 Request

FY 18 President’s 

Budget Request

Full-Time Equivalent Staff (FTE) 31 28 29

Full-Time Staff 28 26 28

Other than Full-Time Staff 5 5 2

Payroll Full-time Personnel $3,286,053 $ 3,064,525 $ 3,230,742

Payroll Other than Full-time Personnel 301,128 320,128 83,950

Subtotal Personnel Compensation 3,587,181 3,384,209 3,314,508

Personnel Benefits 995,554 940,847 1,022,647

Subtotal PC&B 4,544,467 4,325,056 4,337,339

Travel 411,085 543,085 465,839

Rent, Communications, Equipment Rentals 387,815 385,960 370,717

Printing, Reproduction 30,560 26,276 11,792

Other Services 2,642,318 2,938,996 2,434,174

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

Supplies and Subscriptions 72,255 69,127 69,114

Equipment 11,500 11,500 11,025

Subtotal, Non-personnel 5,055,533 5,474,944 4,862,661

Total Salaries and Expenses $9,600,000 $ 9,800,000 $ 9,200,000

Note: FY 2018 assumes a 1.6 percent Cost of Living Adjustment, and no non-pay inflationary increase. FY 2017 assumes a 1.02% non-pay 

inflationary increase.

FY 2018 Budget Request Highlights

Election officials face cybersecurity threats, our nation’s voting machinery is aging, and there are 

accusations of interference in U.S. Elections. Each day, EAC staff hears from state and local election 

officials requesting assistance with the many challenges and tight deadlines they face with limited 

resources. These challenges are even greater in today’s time of heightened cyber threats and increased 

public attention. EAC’s 2018 budget justification highlights its plans to continue to help election officials 

administer secure and effective elections that inspire public confidence. EAC plans to do this by helping 

election officials secure their elections, interact with and use federally provided cybersecurity 

resources, develop and share best practices, test and certify voting machines, and research and report 

election administration data.

Cybersecurity: Helping Election Officials Secure U.S. Elections by Helping Them Secure The Elections 

They Conduct

EAC plans to help election officials secure U.S. Elections by helping them secure their current voting 

systems, interact with and use federally provided security resources, procure new secure voting 

systems, craft and implement security guidelines and practices, and share security best practices.
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EAC is a clearinghouse that election officials around the country use to develop their cybersecurity 

practices and secure their voting systems. EAC plans to expand its cybersecurity focus in its 

clearinghouse. Common products of the clearinghouse are best practices, guidance documents, and 

examples from other states. EAC plans to increase the production of these products and their focus on 

cybersecurity, and EAC plans to create new products as necessary. Topic areas that EAC plans to focus 

on include: (1) security best practices for both cyber and physical security, (2) procuring secure voting 

systems, (3) maintaining secure voting systems, and (4) best practices for interacting with the critical 

infrastructure framework in 2018.

Many election officials are also seeking to purchase new, more secure voting equipment. So EAC plans 

to assist election officials with tools that help them more effectively procure secure voting systems. 

These resources will include but will not be limited to Guidance Documents, Best Practices, Request for 

Proposal Reviews, and hands on help and instruction.

The Department of Homeland Security (DHS) recently designated elections as part of the nation’s 

critical infrastructure. The critical infrastructure designation is intended to help ensure that voting 

systems are further protected in future elections. Election officials must successfully interact with a 

new critical infrastructure framework and other federally provided resources in order to leverage the 

new assets available to them. This type of federal interaction is new to many election administrators.

As the clearinghouse for election administration information, it is incumbent on EAC to help election 

administrators access and effectively use these resources. As such, EAC plans to dedicate resources to 

understanding the designation, helping election officials understand the designation, and helping 

election officials secure their elections with the resources provided by the designation. EAC and DHS 

developed a valuable working relationship before the 2016 general election and plan to continue this 

relationship to help election officials secure U.S. elections.

EAC has already developed a checklist on incident response and best practices for securing voting 

systems, and as referenced above, EAC has already acted as a critical resource to both DHS and election 

officials as they communicate and learn from each other. We expect our role will need to expand to 

meet our statutory mandate of assisting election officials as they protect the nation’s election 

infrastructure. EAC plans on dedicating staff to increase our expertise, setting up meetings around the 

country with election officials and their professional organizations, assisting election officials with 

developing comprehensive all-hazards emergency management plans, and developing best practices 

on working with community partners to protect the election infrastructure. 

EAC continuously works with election officials at the state and local levels to share best security

practices, including but not limited to pre-election testing, security, continuity planning, and postelection audits to ensure accessible, accurate, and secure elections. For example, EAC provided election 

security preparedness resources to election officials leading up to the 2016 Presidential Election. These

included dissemination of best practices regarding securing voter registration databases and voting 

systems. For voters, EAC encouraged them to reach out to their election officials, ask questions, verify 

that their voter registration is up-to-date, and volunteer as poll workers so they could see election

systems’ security for themselves.

EAC understands that in today’s time of new cyber threats U.S. elections must be secure, and voters 

must have confidence in their integrity. As such, EAC plans to help election officials secure their 

elections as the country moves forward.
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EAC and the National Institute of Standards and Testing

EAC will work with the National Institute of Standards and Testing (NIST) on developing the 

cybersecurity framework as it relates to elections as critical infrastructure and on finishing test 

requirements and scripts to complete the next iteration of the Voluntary Voting System Guidelines 

(VVSG) version 2.0 in FY 2018.

EAC administers the most-used voting machine testing and certification program in the country. This 

program is essential to secure elections because it allows election administrators to purchase voting 

systems with confidence in their security and later verify the machine’s integrity. EAC is currently 

working on the newest version of EAC’s Voluntary Voting System Guidelines, VVSG 2.0, and plans to 

finish this in 2018. This requires administering public working groups, managing the development 

process, working with NIST on test requirements and scripts, and continuously remaining appraised of 

current developments in technology and elections. After these guidelines are finished, voting machines 

will be tested in EAC certified labs to the highest standard to date. 

Voter Registration List Maintenance

Another vital resource EAC provides to election officials is information about best practices for voter 

registration list maintenance, including data matching criteria, efficient data sharing procedures and 

ways to best incorporate online registration. Voter registration list maintenance is critical to public 

confidence in elections because voter registration lists contain voters’ personal information. When 

voter registration lists are well maintained, voters have increased confidence in elections.

Studying Election Administration: The Election Administration and Voting Survey (EAVS) and Other 

Research

Federal law mandates that EAC collect, study, and distribute information on particular aspects of 

election administration and voting. This survey, EAVS, is the most comprehensive survey of election 

results data in the country, and many election jurisdictions, federal entities, and academics rely on this 

information. EAC plans to continue to produce EAVS and improve how it is produced. This is a critical 

resource, and EAC will work to ensure that it is high quality, accurate, and useful.

 Budgetary Changes FY 2017 Request to FY 2018 President’s Budget Request

 (in whole dollars)

Personnel Compensation and Benefits..........................................................................-$32,537

Reflects an increase of two full-time employees and decrease of 3 

intermittent employees, and a 1.6 percent cost of living adjustment

Travel...................................................................................................................................$77,246 

Other Services.................................................................................................................-$445,002

 Reduce contracts - services to be provided by staff or postponed 

Miscellaneous...................................................................................................................-$45,215 

Equipment rentals (-$15,243), printing (-$14,484), supplies and subscriptions (-$15,013), equipment (-$475) 
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Budget Requests and Performance Measures by Strategic Goal

EAC’s request is presented in terms of four goals: 1. Learn and Communicate, 2. Test and Certify, 3. 

Help Voters Register to Vote, and 4. Fund and Oversee:

LEARN AND COMMUNICATE

Strategic Goal 1: Help election officials administer elections by collecting, analyzing, and 

communicating information related to election administration practices, techniques, and 

experiences and related EAC services and operations and services. $3,693,790

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

officials, the public, academics, policy-makers, advocacy groups, and the media with reliable, accurate,

high-quality, pertinent and non-partisan information, recommendations, guides and other election 

administration tools . The goal will be achieved by pursuing three strategic objectives: operate EAC 

Clearinghouse effectively; collect and release data on election administration practices, voting methods 

and voting practices that are useful and required by HAVA; and administer programs that research and 

release information, which provides timely and useful guidance for election officials and voters.

EAC Elections Clearinghouse

Congress requires EAC to maintain an election administration clearinghouse. EAC’s clearinghouse

provides a public portal for information about the administration of elections, and EAC’s website, 

www.eac.gov, hosts the clearinghouse. Among its thousands of pages of content are information about 

EAC’s voluntary voting system certification and testing program, research data, best practices, guidance 

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

offices.

The clearinghouse provides a central location for best practices, shared practices, innovation and 

creative solutions in election administration. The site will also become the new permanent home for 

the popular tools and guidance developed by the Presidential Commission on Election Administration 

(PCEA).

The Election Administration and Voting Survey (EAVS)

EAC administers and oversees the biennial Election Administration and Voting Survey (EAVS) of the 50 

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

is the only comprehensive collection and report of data on election administration and voting systems 

in the United States. The survey, performed in conjunction with the Department of Defense ‘s Federal 

Voting Assistance Program, collects over one million data points of information about voter 

registration, number of ballots cast, military and overseas voting, absentee ballots, polling places, poll 

workers, and provisional ballots from state election officials. The survey data is used by election 
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officials, academics, and others to improve their methods, metrics, and tactics in serving voters and 

maintaining voter registration lists.

Collection of much of the data is Congressionally mandated, and EAC also uses the survey to help 

inform Congress on the Impact of the National Voter Registration Act (NVRA) on the Administration of 

Elections for Federal Office, and on the Uniformed and Overseas Citizens Absentee Voting Act 

(UOCAVA).

The FY 2018 Request

EAC continually adds content to the Clearinghouse. In FY 2018, EAC requests funds to:

• produce and publish best practices videos such as developing and maintaining complex online 

registration databases, set up and use of accessible voting equipment, registering to vote, and

what happens inside the polling place;

• make additional accessible voting resources available such as best practices in accommodations 

for wheelchairs and individuals who need seating while waiting in line; 

• provide regular staff-level contact with election officials to collect and share information; and

• disseminate information on voting system maintenance.

The FY 2018 request also includes funds to administer EAVS. In June 2018, EAC will release the 

Comprehensive Report on the 2016 Election Administration and Voting Survey. The survey report will 

include the 2018 Statutory Overview, a review of certain State election laws. Work will then begin on 

the 2018 Election Administration and Voting Survey, which will be released by June 30, 2020.

Further, the FY 2018 request includes funds for forums to bring together election officials, technology 

innovators, individuals with disabilities, accessibility equipment and voting system manufacturers, 

academics, computer programmers and security experts, voting system standards developers, and 

website developers and designers. Information from the forums will be used develop a wide range of 

best practices for posting on the EAC website. Examples include creating suggested best practices on 

subjects such as reaching voters with disabilities, vote centers, electronic pollbook use and early voting.

The FY 2018 request includes funds for staff; $62,110 for staff and invitational travel for discussion 

groups; the EAC website contract at $177,549; $394,791 for the 2018 Election Administration and 

Voting Survey; and $25,499 for supplies and media subscriptions. 

TEST AND CERTIFY

Strategic Goal 2: Help election officials procure, understand, and use high quality voting equipment 

by testing and certifying vendor-created voting systems against EAC-created standards of security, 

functionality, and accessibility. $1,816,149

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

securely and is more accessible to individuals with disabilities. Objectives for FY18 are to: 
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develop and update the VVSG; provide for the accreditation of independent laboratories 

qualified to test voting systems to Federal standards, and for the revocation of accreditation as 

appropriate; and administer the testing, certification, decertification, and recertification of 

voting system hardware and software by accredited laboratories.

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

through the distribution of Federal funds and by creating and administering a voluntary voting 

machine testing and certification program. The testing program creates standards against 

which voting machines can be tested, works with EAC accredited labs to test vendor-submitted 

machines against these standards, and certifies machines that successfully pass these tests. The 

program is transparent. It publishes all test plans, test reports and related information as well 

as reports on voting system anomalies in the field during use in an election. Use of the program 

by the states is voluntary, but 47 states use it in some way when deciding which voting systems 

to allow to be used in their elections.

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

system quality and conformance through use of automated source code review tools by EAC-accredited 

Voting System Test Laboratories (VSTLs) and similar innovative uses of technology. Comprehensive 

procedures for the program are detailed in EAC’s Voting System Testing and Certification Program 

Manual, which is available online. 

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, issuance of 

Requests for Procurement (RFPs) and information on how to maintain aging voting technology;

• 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 division 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 the EAC program. NVLAP uses the international 

standards (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 and on-site reviews to ensure that VSTLs meet all 

program requirements. 

In addition to voting system certification and laboratory accreditation, EAC along with its 110-member 

Standards Board, 37-member Board of Advisors, and 15-member Technical Guidelines Development 

Committee (TGDC) work together to update and implement voluntary testing guidelines for voting 

systems. 
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The FY 2018 Request

The Voting System Testing and Certification division will work on providing information on voting 

system sustainability. EAC is working to release the next iteration of the Voluntary Voting System 

Guidelines , VVSG 2.0, in FY 2018. The division will also continue ongoing efforts to educate and train 

users on revisions to the VVSG. After the release of VVSG 2.0, the TGDC, the Commissioners and EAC 

staff will start work on the next VVSG. 

The FY 2018 request includes payroll and benefits for staff; $65,800 for travel including educational 

meetings on the next iteration of the VVSG; $8,575 for webinar services to reduce travel costs and travel 

time; $5,000 for printing of the VVSG; $4,000 for training and conference registration fee; and $525 for 

software. 

The Annual Non-Expenditure Transfer to NIST

In 2018, EAC total includes a request for the annual non-expenditure transfer to NIST at $1,500,000 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 will work with NIST to set priorities for FY 2018. The focus in FY 2018 will be finalization of VVSG 

2.0 and cybersecurity. We plan to work with NIST on finishing test requirements and scripts that apply 

to the VVSG, and developing the cybersecurity framework as it relates to elections as critical 

infrastructure. The EAC-NIST Public Working Group on Cybersecurity is one of three groups aimed at

collecting requirements from processes and functions conducted by election officials during preelection, election, and post-election. Four constituency groups have been created to identify the

corresponding technical requirements in human factors (usability & accessibility), cybersecurity,

interoperability, and testing. The cybersecurity group will hold meetings to discuss and develop 

guidance for voting system cybersecurity-related issues, including security controls and auditing 

capabilities. The guidance will be used in the ongoing development of the VVSG. We anticipate the 

Cybersecurity Working Group will also research and discuss threats and security technologies to assist 

election officials in the performance of their duties.

HELP VOTERS REGISTER TO VOTE

Strategic Goal 3: Help to ensure that voters can register to vote by administering and maintaining the 

National Voter Registration Act (NVRA). $419,704

The anticipated outcome for the goal is that the national mail voter registration form is available to 

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

information. The objective is to administer the National Mail Voter Registration Form.
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EAC administers the National Mail Voter Registration Form prescribed by the National Voter 

Registration Act of 1993 (NVRA) (“Motor Voter”). The form is updated when the states request changes

to their instructions, and translated for required languages. Each state, the District of Columbia, 

American Samoa, Guam, Puerto Rico and the U.S. Virgin Islands has its own instructions on how to 

complete the form, which include voter registration rules and regulations. 

The form is available on eac.gov in English, Spanish, Chinese, Japanese, Korean, Tagalog, and 

Vietnamese. The Election Management Program, including user-friendly Quick Start Guide educational 

materials, provides information to State and local election officials and voters on topics such as voter 

registration, and Uniformed and Overseas voters. EAC provides informational materials on the Federal 

election process and election terminology in languages other than English. 

The FY 2018 Request

The FY 2018 request includes funds for staff and translations of educational materials and the voter 

registration form.

FUND AND OVERSEE

Strategic Goal 4: Help election officials procure modern election systems by distributing federal funds 

used for voting systems purchased by the states. $1,770,357

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.

Goal 4 consists of three strategic objectives: accurately and timely disburse Federal financial 

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

EAC; and 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 4 is administered by the Payments and Grants Management unit and the Office of 

the Inspector General (OIG). 

NOTE: The detailed OIG request of $1,065,300, without overhead costs, appears in Attachment A 

to this document, starting on page 19.

EAC’s Payments and Grants Management unit is responsible for distributing payment and grant funds; 

monitoring grantee performance; providing technical assistance to States and grantees on the use of 

funds; and reporting on requirements payments, other formula funds, 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 office provides technical assistance on use of $382,188,580 not yet reported as spent by the States 

on the annual Federal Financial Reports (balance of payments and grants plus interest), and on the use 

of an estimated $1,003,984,519 in Federal HAVA funds for voting and voting-related equipment (see 

chart below). The following chart estimates initial value of voting and voting-related equipment 

purchased by the states using Federal HAVA funds. Amounts are aggregate and reported in the fiscal 

year proceeding the year the expense was incurred. (Note that the chart does not reflect equipment 

that has been sold or otherwise disposed of as it reaches the end of its useful life.) 

FY 2012 FY 2013 FY 2014 FY 2015 FY 2016

Section 102 Funds $90,122 $137,401 $ (267,813) $ (10,769) $ 0

Section 251 Funds 40,410,437 43,417,090 168,169,476 75,586,153 110,248,566

Total $40,500,559 $43,554,491 $167,901,663 $75,575,384 $110,248,566

Source: States, as part of annual financial and narrative reports

The FY 2018 Request

For FY 2018, goals include achieving the performance targets for timeliness, including resolving 100 

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

and submitting references to State Plans to the Federal Register within 30 days of receipt.

The request includes funds for staff; an estimated $3,250 for site visit travel; $150,000 for a 

financial management support contract, including pre- and post-audit technical assistance to 

the States; $5,000 for the Memorandum of Understanding with the U.S. Department of Health 

and Human Services for indirect cost rate negotiation services; and $20 for supplies.
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Information Technology (IT) Infrastructure

The EAC Information Technology Office 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 cloud computing strategy to host EAC’s continuity of operations plan (COOP) site 

and emails. 

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

personal computers, smart phones, and servers; provides software requested by EAC staff, remote 

access services, VOIP and IVR; 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. 

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 Understanding for IT services and equipment at 

approximately $28,500 for FY 2018. 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 

FISMA and Agency Privacy Management dated April 21, 2010. In FY 2016, EAC received a clean opinion 

on its FISMA audit.

Status of Management Challenges

EAC’s Inspector General reported on two categories of management challenges in October 2015: 

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

pending Communications and Clearinghouse Plan, which is under review. Regarding records 

management, submission of records retention schedules for the Research, Policy, and Programs (RPP)

Division pending completion of a records inventory. The Testing and Certification schedule was 

submitted to and returned by NARA for changes. Finally, EAC is planning a system to organize and 

archive emails.

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 the 

$10.0 million threshold set in OMB Guidance to trigger further agency action.

Mandated Reports to Congress 

EAC continues to provide an annual report of EAC’s activities to Congress by January 31 of each year for 

the preceding year ending September 30. The current report was released January 31, 2017.
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EAC continues to provide a biennial report on the impact of the NVRA by June 30 of each oddnumbered year. The latest report was released on June 30, 2016.

EAC provides recommendations to improve election data collection and data provided to Congress in 

the biennial report on the Election Administration and Voting Survey released in the fall of the year 

subsequent to the Federal election. The current report was released on June 30, 2016.
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 Attachment A

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 the EAC, annual audits of EAC’s operations, and periodic reviews and audits of 

EAC program operations and transactions. In addition, the OIG conducts investigations in 

response to allegations against EAC, its grant recipients, or other third parties involved in EAC 

programs.

THE BUDGET IN SUMMARY

OIG’s fiscal year (FY) 2018 request reflects a 5 percent reduction below the net discretionary 

total for FY 2017. The request of $1,065,300 includes $2,355 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 employees. 

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.

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 

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

HAVA payments in accordance with the HAVA and related administrative requirements; and 

(2) complied with the HAVA requirements for replacing punch card or lever voting machines, 
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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 the 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, the OIG is 

responsible for investigating those allegations. OIG has instituted a number of new 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 

web site 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 at total of 29 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 the Federal Travel Regulations.

OIG GOALS AND OBJECTIVES

In FY 2018, OIG will continue its programs of auditing EAC grant recipients, conducting 

external investigations, and auditing and investigating EAC programs and operations. OIG is 

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 2018 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 
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audits of grant recipients. OIG will continue to focus its efforts on the $3.25 billion in grants 

appropriated to the states. 

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 web site the 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 the EAC, the 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 engagement, regardless of type. Reports are disbursed to the entity that is the 

subject of the audit or evaluation, as well as the EAC and oversight and appropriations 

committees of Congress.

OIG also produces two semi-annual reports to Congress in each fiscal year. Those reports 

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

relevant six months. The documents also report 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 

how much in federal funding could be put to better use.

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

operates a web site where it makes information available concerning its operations, issued 
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reports, rights and protections for whistleblowers, as well as an on-line form for making 

complaints of fraud, waste, abuse and mismanagement. 

In FY 2018, 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 2016 

Enacted

FY 2017 

Request

FY 2018 

Request

Personal Compensation and 

Benefits

11.1 Full-time permanent $ 147,250 $ 147,250 $ 153,750

11.9 Total personal compensation 147,250 147,250 153,750 

12.1 Civilian personnel benefits 39,500 39,500 55,925

Contractual Services and Supplies

21 Travel and transportation of persons 15,000 10,000 10,000 

24 Printing and reproduction 3,000 3,000 1,000 

25.2 Other services 939,891 909,492 799,170

25.3 Other purchases of goods and 

services from Government accounts 35,000 

26 Supplies and materials 4,000 4,000 3,600 

Acquisition of Assets

31 Equipment 5,000 5,000 4,500 

Financial Transfers

94 Financial Transfers 3,600 3,125 2,355

Total Program $1,157,241 $ 1,121,367 $ 1,065,300

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