THE U.S. ELECTION ASSISTANCE COMMISSION

FISCAL YEAR 2015

INTERIM CONGRESSIONAL BUDGET JUSTIFICATION

March 10, 2014
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TABLE OF CONTENTS

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

FY 2015 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

Improper Payments......................................................................................... 22

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

Appendix A -- FY 2013 Annual Performance 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 2015 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.

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

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.

-- Update the National Voter Registration form, pursuant to State’s requests, on an ongoing 

basis.

--Administer the 2014 Election Administration and Voting Survey, the EAC instrument used to 

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

Salaries and Expenses Resources Available for Obligation

FY 2013

Enacted

FY 2014

Enacted

FY 2015

President’s Budget

FTE Dollars FTE Dollars FTE Dollars

26 $10,898,481 29 $10,000,000 31 $10,000,000
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Appropriations Language

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

$10,000,000, of which $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 Appropriations Act, 2014.)

Legislative proposals

No legislative proposals are being submitted at this time due to lack of a quorum of 

Commissioners.1/

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. Because EAC lacks a quorum and 

Commissioners to appoint board and committee members whose terms have lapses, the boards 

and committee are not currently active.

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. While EAC is without Commissioners, roundtables and webinars take the place of 

Public Meetings and hearings to gather information from election officials and other election 

experts on topics such as a review of issues in the 2012 presidential election. EAC is headed by 

four Commissioners appointed by the President and confirmed by the U.S. Senate. As of this 

writing, there are no commissioners. 

__________

1/ At this time, there are two Commissioner position nominees who have had hearings with Senate confirmation 

members. Their nominations are pending Senate confirmation.
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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. 

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 

phone or 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. Due to a lack of commissioners, the boards’ 

activities are currently suspended.

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, Program and Policy unit. Goal 4, Test and Certify is 

administered by the Voting System Testing and Certification unit. Goal 5, Manage 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 FY 2015 agency budget request. Budgets 

correspond with the goals. 

The current EAC strategic plan covers the period FY 2009 through FY 2014. A new plan 

requires a quorum of Commissioners. In order to comply with guidance, EAC presents an 

interim FY 2015 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 13 

Enacted

FY 14 

Request

FY 15 

Request

Full-Time Equivalent Staff (FTE) 26 29 31

Full-Time Staff 28 30 30

Other than Full-Time Staff 3 6 2

Category FY 13 

Enacted

FY 14 

Request

FY 15 

Request

Payroll Full-time Personnel 3,075,524 2,777,268 3,242,990

Payroll Other than Full-time Personnel 295,633 326,251 194,085 

Subtotal Personnel Compensation 3,371,157 3,103,519 3,437,075

Personnel Benefits 808,896 823,514 853,871

Transit and Parking Benefits 54,780 33,682 47,528

Subtotal Benefits 863,676 857,196 901,399 

Subtotal PC&B 4,234,834 3,960,715 4,338,475

Travel 339,247 360,003 383,798

Rent 907,665 250,925 257,708 

Communications, Equipment Rentals 141,025 132,150 141,265

Printing, Reproduction 69,396 19,796 93,175 

Other Services 2,007,587 3,264,532 2,772,491

NIST 2,606,159 1,900,000 1,900,000 

Supplies and Subscriptions 79,709 80,379 81,089

Equipment 41,115 31,500 32,000

Leasehold Improvements 471,745 - - 

Subtotal, Non-personnel 6,801,988 6,039,285 5,661,526

Total 10,898,481 10,000,000 10,000,000

Note: These amounts are updated from the amounts reflected in the President’s 2015 Budget
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Budgetary Changes FY 2014 Enacted to FY 2015 Request

(in whole dollars)

Personnel Compensation and Benefits $377,759

Reflects full funding in FY 2015 for statutory positions (four 

Commissioners, Executive Director and General Counsel) that were not 

filled to date in FY 2014 $336,390; one percent cost of living adjustment 

$41,369

Other Services ($492,040)

Reflects assumption that the eac.gov website contract recompetition in 

FY 2014 will result in a lower cost after the base year ($300,588

estimated), decrease for one-time CFO initiatives related to resolution of 

financial statement audit findings ($276,447), decrease in contractual 

legal support ($70,000); increase in the number of public meetings with a 

quorum $128,432, additional contractual grants management support 

$25,000; and other small increases and decreases $1,563

Miscellaneous $114,282

Increases for travel $23,795, annual increase for rent $6,783, 

communications and rentals $9,115, printing $73,379, supplies $710, 

equipment $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 2013

Enacted

FY 2014 FY 2015

Enacted Request

Direct Costs $366,095 $677,274 $483,939

Indirect Costs 345,730 295,668 736,684 

Total, Communicate $711,825 $972,942 $1,220,623

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 2015 Request

Efforts will continue in FY 2015 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 2015 request includes funds for a staff of two. Estimated cost for the website contract in 

FY 2015 is $175,637 with optional time and materials task orders and/or funds for video 

production. The request also includes $7,000 for staff travel,$2,500 for printing, and $31,000

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 2013

Enacted

FY 2014

Enacted

FY 2015

Request

Grants Management Direct Costs $415,831 $414,091 $229,324

OIG Direct Costs 1,184,617 1,157,241 1,157,241

Indirect Costs 1,382,920 1,256,590 736,684

Total, Fund and Oversee $2,983,368 $2,827,922 $2,123,249

 

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 
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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. 

The FY 2015 Request

For FY 2015, goals include achieving the performance targets for timeliness in EAC’s Strategic 

Plan (see chart below), 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 $800 for grant site visit travel, $650 for 

webinar services which reduce travel costs, $1,945 to print references to State Plan and 

grant notices in the Federal Register, $50,000 for a Memorandum of Understanding with 

the U.S. Department of Health and Human Services for indirect cost rate negotiation and 

audit resolution services, $2,000 for peer reviewers for Logic and Accuracy grants, 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 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

For fiscal year (FY) 2015, OIG is requesting $939,891 for contract audits. The request includes 

$3,600 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 fulltime employee, $10,000 for travel, $3,000 for printing, $4,000 for supplies, and $5,000 for 

equipment. 
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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, 

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 19 reports regarding EAC’s operations. 

These reports assess the efficiency of EAC’s operation and its compliance with governing 
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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 2015, 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 2015 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. If resources allow, OIG will begin auditing other EAC grant 

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

Heroes Initiative, and other grant programs administered by the 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 indentifying 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 
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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 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. That report 

summarizes 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 

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

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

web site 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 2015, 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 2013

Enacted

FY 2014

Enacted

FY 2015

Request

Personal Compensation and Benefits

11.1 Full-time permanent $275,000 $147,250 $147,250

12.1 Civilian personnel benefits 62,100 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 666,917 789,891 789,891
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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 3,600 

Total Program $1,184,617 $1,157,241 $1,157,241

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) complete research on issues that improve the 

administration of elections for Federal office and expeditiously report on those subjects and 

election data as deemed relevant by the Commission; 2) identify and collect required and useful 

data on election administration practices and on voting methods and demographics, and make 

recommendations for improving the quality of practices, methods, and data; 3) issue guides, 

translations and other tools that are timely and useful; and 4) update and maintain a national mail 

voter registration application and submit a report on the impact of the NVRA to the Congress as 

required by the NVRA.

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 under NVRA; 

4) The Election Management Guidelines and Quick Start Guides program, which provide guidelines and 

information to State and local election officials and voters on various topics such as polling place 

FY 2013

Enacted

FY 2014 FY 2015

Enacted Request

Direct Costs $548,178 $969,894 $1,075,709

Indirect Costs 819,479 770,527 942,130 

Total, Study, Guide, and Assist $1,367,657 $1,740,421 $2,017,839
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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 State on provisional voting and statewide 

voter registration databases.

The FY 2015 Request

Beginning in June 2015 EAC will release the findings from its 2014 Election Administration and 

Voting Survey. By June 30, 2015 EAC will provide Congress with its mandatory report on The 

Impact of the National Voter Registration Act (NVRA) on the administration of Elections for 

Federal Office. In 2015 EAC will collaborate with the Federal Voting Assistance Program to 

report on the 2014 election data collected from the 55 states and territories related the Uniformed 

and Overseas Citizens Absentee Voting Act (UOCAVA). The 2014 Election Administration and 

Voting Survey and the Statutory Overview (a review of certain state election laws) will be 

released in mid-2014.

The FY 2015 request includes funds for three full-time staff; $575,000 for studies; $51,000 for 

printing; $15,000 for publication design and layout services for new or updated Election 

Management Guidelines, Quick Starts, and Voter’s Guide; $10,000 for webinar and online 

meeting services; $7,000 for translation services for publications and forms; $4,000 for travel; 

$500 for conferences and staff training; and $1,000 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 the disabled. States participate in EAC’s testing and 

certification program to ensure that their voting systems meet the voluntary voting system 

guideline standards (VVSG).

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.

FY 2013

Enacted

FY 2014 FY 2015

Enacted Request

Direct Costs $982,228 $1,006,457 $896,580

Indirect Costs 2,247,244 1,552,258 1,841,709

Total, Test and Certify $3,229,472 $2,558,715 $2,738,289
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Under 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 Federal government’s first 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 reports on anomalies in the found 

during use in an election.

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

system quality and conformance through efforts to implement the use of automated source code 

review tools by EAC accredited VSTLs and similar innovative uses of technology. 

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

Certification Program Manual. The program also:

• supports local election officials in the areas of engineering changer 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 voting 

system test laboratories (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 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. Further, EAC performs onsite 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 and comprised of 14 other members) work together to 

update and implement voluntary testing guidelines for voting systems. (Please note that the 

boards and TGDC are on hold pending a quorum of commissioners to appoint new members for 

terms that have lapsed and to conduct meetings to develop policy.) 

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 2015 Request

The next iteration VVSG document is out for public comment. Comments will be collected and 

reviewed. Commissioners will modify the document as appropriate. Subsequently, the new 

version will be adopted and published pending a quorum of EAC commissioners. 
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The Testing and Certification Program Manual and the Laboratory Accreditation Program 

Manual are being revised and 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 pending a quorum of EAC commissioners.

The FY 2015 request includes payroll and benefits for four full-time staff and two part-time 

technical reviewers; $77,500 for travel; printing at $2,000; $15,000 for the purchase of voting 

system equipment for use in on-site testing to reduce travel to election officials who report voting 

system anomalies; $15,500 for webinar services to reduce travel costs and travel time; $122,746 

for contractual services of a technical reviewer, training and conference registration fees; 

$15,000 for printing; and $300 for supplies. 

In 2015, EAC requests a non-expenditure transfer of $1,900,000 to NIST via interagency 

agreement 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 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.

MANAGE

Strategic Plan Goal 5 consists of one clear-cut objective: 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. 

It would not be feasible for EAC to eliminate any of its Strategic Plan programs, which are based 

on Help America Vote Act (HAVA) mandates. Consequently, EAC anticipates required 

reductions through decreasing staff and improving efficiencies.

Performance Improvement

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

upon timeframes is tracked in EAC’s reports to Congress 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 
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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 for: 1) the Agency Financial Report each November, 2) the Annual Performance Report, 

along with the Congressional Budget Justification, usually in February every year, and 3) actual 

and planned metrics in the OMB Budget Justification each September. 

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.

Internal Controls

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 also 

obtained in FYs 2010 and 2011. A disclaimer was issued for FY 2012 after transition to a

different financial services provider, necessitated by the need for procurement services, and use 

of a part-time staff accountant instead of a full-time EAC accountant. EAC received a disclaimer 

in FY 2013, and is working on resolving audit findings.

For the FY 2013 audit, EAC established a shared drive repository of internal control testing and 

other back-up materials. The repository idea was recommended in the 2013 procurement audit 

to make record retrieval easier with any changes in personnel.

Efficiency Measures

Minimize utilization of office and storage space

Following the General Services Administration’s (GSA’s) lead, and due to a March 2014 lease 

expiration without the option of renewal, EAC moved to the open space “hoteling” or 

“touchdown” concept in October 2013 in federal space at the Silver Spring metro station. The 

smaller touchdown space allows for huge savings on rent. Further, hoteling provides flexibility 

for accommodating changes in staffing levels with staggered telecommuting schedules.

Further, in order to comply with records management requirements and to fit into a smaller 

footprint, EAC continues to make progress in moving to a paperless office environment, with 

files stored electronically or inexpensively stored hard copies at the National Archives and 

Records Administration (NARA) Federal Records Center in Suitland, Maryland according to 

their retention schedules. NARA can provide file retrieval within 20 minutes of agency requests 

for specific files. It is EAC’s understanding that many agencies are storing records at NARA in 

lieu of housing files in higher cost leased space.

Telecommuting

Pursuant to the Telework Enhancement Act of 2010, and with the move to hoteling space, the 

majority of staff work in the office three days each week, and telecommute two days. Staff will 

generally save on commuting time.
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Acquisition Improvements

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

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

purchase-card orders have been automated with CitiDirect Services through the MOU with BPD.

EAC has transitioned over 90 percent of its procurements to the utilization of General Services 

Administration (GSA) Schedule negotiated rate contracts and to Memoranda of Understanding 

with or transfers of funds to other Federal agencies. This provides low risk procurements at 

substantial cost savings in terms of lower prices, strategic sourcing, award time, and internal 

operational efficiencies. EAC has eliminated the vast majority of contracts awarded 

noncompetitively, procurements where only one bid is received, and cost-reimbursement and 

time-and-materials contracts in favor of performance work statements. 

e-Travel

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

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

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) menudriven 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. 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 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 $49,000 for FY 2015. 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. 

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 
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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.
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