Order Code RS20898
Updated January 21March 29, 2004
CRS Report for Congress
Received through the CRS Web
Elections Reform: Overview and Issues
Kevin J. Coleman
Analyst in American National Government
Government and Finance Division
Eric A. Fischer
Senior Specialist in Science and Technology
Resources, Science, and Industry Division
Summary
The remarkable circumstances of the November 2000 Presidential election are
unlikely to be repeated, but Florida’s role in determining the outcome may be
remembered as a turning point with respect to the nation’s election system. Previously
obscure details of voting and vote counting became the focus of public attention, and
various state and national commissions issued reports or recommendations on changing
the voting process. Some states made plans or began to replace voting equipment and
adopt other improvements before the 2002 election cycle. Both sessions of the 107th
Congress considered and debated federal election reform legislation, and the Help
America Vote Act (HAVA, P.L. 107-252) was enacted in October 2002. The Actact
creates a new federal agency with election administration responsibilities, sets
requirements for voting and voter-registration systems and certain other aspects of
election administration, and provides federal funding; but it does not supplant state and
local control over election administration. Issues for the 108th Congress include funding,
establishment of the new agency, and implementation by and impacts on the states. For
additional information, see the CRS Electronic Briefing Book on Election Reform. This
report will be updated periodically to reflect new developments.
Voting Systems and Election Administration
After election day 2000, the media first focused attention on specific problems with
punchcard voting, but broader questions soon arose about error rates, costs, counting
standards, accessibility, and other issues. Elections in the United States are administered
at the state and local level, and the federal government had not historically set mandatory
standards for voting systems, nor had it provided funding to state and local jurisdictions
for the administration of elections. HAVA changed that. While initial reactions after the
election had tended to focus on technological fixes such as eliminating punchcards, some
consensus emerged subsequently that the issues, and the solutions needed, are more
Congressional Research Service ˜ The Library of Congress
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complex and often involve trade-offs among diverse goals. HAVA reflects those
developments — it funds replacement of punchcard and lever systems but also broader
improvements to election administration.
Kinds of Voting Systems. Currently, five technologies are used — paper ballots,
lever machines, punchcards, optical scan, and direct recording electronic (DRE) systems.
Most states use more than one kind. Each has advantages and disadvantages with respect
to error rates, cost, speed, recounts, accessibility to disabled persons, and other
characteristics. Differences in actual performance in elections are difficult to measure
accurately and depend on many factors, such as the design and condition of the system,
the familiarity of voters with it, the complexity and design of the ballot, local standards
and practices, and the level of competence of pollworkers.
There is no consensus on whether any one technology is best. States have different
requirements, such as whether the full ballot must be displayed on one page, whether
votes are tabulated in the precincts or at a central location, whether straight-ticket voting
is provided, and how accessibility requirements are to be met. Local jurisdictions also
differ in how they configure and use the systems to meet local needs. Many believe that
a diversity of systems is preferable because it promotes innovation and inhibits systematic
fraud. Others believe that a uniform voting system, at least within each state, can be
sufficiently secure, and would be more efficient and more likely to ensure that all voters
have equal opportunity to cast their votes. HAVA does not require any particular voting
system, but it sets requirements that will influence what systems election officials choose.
Beginning in 2006, voting systems used in federal elections must provide for error
correction by voters, manual auditing, accessibility, alternative languages, and federal
error-rate standards. Systems must also maintain voter privacy and ballot confidentiality,
and states must adopt uniform standards for what constitutes a vote on each system.
Electronic Voting Machine Controversy. The HAVA requirement for
accessible voting systems (at least one per polling place) and other factors are expected
to drive states toward adopting DREs. However, there is currently some controversy about
how secure those systems are from tampering. Some experts believe that the problem is
serious enough to require changes in the systems before they are more widely adopted,
ranging from more sophisticated computer security to the printing of paper ballots that
would be verified by the voter and hand-counted if the election results were contested.
Others believe that procedural and other safeguards can make DREs sufficiently safe from
tampering, that use of printed paper ballots would create too many problems, and that the
controversy risks drawing attention away from the demonstrated utility of DREs in
addressing known problems of access to and usability of voting systems.
Federal Funding. A central issue has been what role the federal government
should play in addressing the concerns that have been raised about voting systems,
particularly with respect to funding and standards. Estimates of funding needs for voting
equipment replacement have varied, depending on goals, from about $0.5-$5 billion. That
does not include administrative costs, voter education programs, training of pollworkers,
and so forth. HAVA authorizes $3.86 billion in funding for programs to replace
equipment, improve election administration, improve accessibility, recruit pollworkers,
and perform research and pilot studies. (See “Funding Under the Help America Vote
Act,” below.)
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New Agency. Federal activities relating to election administration have previously
been performed by the Office of Election Administration (OEA) of the Federal Election
Commission (FEC). Other than the voluntary voting system standards, those activities
have been limited essentially to clearinghouse functions, such as publications and reports,
and some administrative responsibilities under the National Voter Registration Act (P.L.
103-31). HAVA replaces the OEA with a new, independent, bipartisan federal agency,
the Election Assistance Commission (EAC). The EAC is authorized for three fiscal years,
beginning in 2003. Members are appointed to four-year terms and may be reappointed
once. The Actact also establishes two boards, with broad-based state and local membership,
and a committee to address aspects of voting system standards. The main duties of the
EAC include carrying out grant programs, providing for testing and certification of voting
systems, studying election issues, and issuing voluntary guidelines for voting systems and
the requirements in the Actact. The commission will not have any new rule-making
authority authority
and will not enforce the requirements in the Actact. The law provides for technical
support support
and participation by the National Institute of Standards and Technology in
relevant relevant
commission activities.
HAVA called for the appointment of commissioners within 120 days of enactment,
which was February 26, 2003. In late May 2003, Democratic leaders in Congress
recommended appointing Ray Martinez and Gracia Hillman to the commission, and the
White House announced on June 6 that the President planned to nominate Republicans
Paul DeGregorio and Deforest B. Soaries. On September 12, the White House announced
the President’s intention to nominate Democrats Martinez and Hillman. The Senate Rules
and Administration Committee held a hearing on the nominations on October 28; Hillman
and DeGregorio have been nominated for two-year terms and Soaries and Martinez for
four-year terms. All nominees are eligible to be reappointed to one additional four-year
term. The Senate confirmed the nominees on December 9. The Commissioners reportedly
commissioners met in a
private session on January 5, 2004; Commissioner Soaries will serve as Chairmanchairman.
The EAC held its first meeting on March 23 and announced that $2.3 billion in Title
II funds would be disbursed following publication of state plans in the Federal Register
on March 24 and a subsequent 45-day public comment period. Reportedly, the
commission plans to hold a hearing on electronic voting issues.
Standards. In the 1980s, the FEC developed voluntary standards for computerbased voting systems, although not for voter registration systems. Most states have now
adopted those standards, which have recently been updated. HAVA establishes federal
requirements for voting systems, registration, provisional ballots, and other aspects of
election administration, but leaves the methods of implementation to the states. The Actact
establishes two enforcement processes. The U.S. Attorney General may bring civil action
with respect to the above requirements, and states, as a condition for receipt of funds, are
to establish administrative grievance procedures to handle complaints from individuals.
Congressional Authority. Some observers expressed concern over Congress’s
authority to require states to meet election administration standards. However, the U.S.
Constitution gives Congress the authority to regulate congressional elections (see CRS
Report RL30747, Congressional Authority to Standardize National Election Procedures).
Prior examples of Congress’s use of that authority include, among other laws, the Voting
Rights Act (see 42 USC 1973; and CRS Report 95-896, The Voting Rights Act of 1965,
As Amended: Its History and Current Issues), which prohibits discriminatory voting
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practices and, and the Voting Accessibility for the Elderly and Handicapped Act, which
sets some requirements for elections with respect to accessibility (see 42 USC 1973aa-1a,
6, and ee). Congress can also attach conditions to the receipt of any funding, such as for
voting systems or election administration. Such conditions are included in HAVA, for
example with respect to the grievance procedures described above.
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Alternative Methods for Voting
State laws and practices vary considerably with respect to the many complex details
of the voting process. Innovations in some states, which may now be considered more
broadly, include large-scale absentee voting, early voting, and Internet voting.
Absentee Voting. Voters in many states can request an absentee ballot only for
specific reasons that would prevent the voter from casting a ballot in person. But recent
trends in some states, including California and Washington, allow any voter to request
such a ballot, sometimes called “no fault” absentee voting. Oregon conducts its elections
entirely by mail — all registered voters receive their ballots through the Postal Service.
While the percentage of votes cast by absentee or mail ballot has been increasing in recent
elections, some observers have expressed concerns that the method is more vulnerable to
certain kinds of fraud and coercion of voters than is balloting at the polling place.
Early Voting. In some states, voters may cast a ballot in person before election day
through an early voting program. There are many approaches, and the number of states
using it is growing. According to the National Conference of State Legislatures, at least
26 states have some form of early voting. Some have criticized early voting as distorting
to the electoral process and being open to certain kinds of fraud and abuse.
Internet Voting. Internet voting was used on a very limited basis during the 2000
election cycle. The Arizona Democratic party conducted a March 2000 primary using
both the Internet and traditional polling places, and in the November 2000 election, the
Defense Department conducted a small pilot program in which voters requested and
submitted ballots via the Internet; the experiment is slated to be repeated in 2004.
Although interest has grown, Internet voting from remote locations raises concerns about
voter identification, ballot secrecy, risk of cyberattack, and access for all potential voters.
It is unlikely to be widely adopted until such problems are resolved (see CRS Report
RS20639, Internet Voting: Issues and Legislation). HAVA requires a study on this issue.
Funding Under the Help America Vote Act
HAVA establishes several grant programs (see table below for authorized amounts):
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Election Administration Improvements. Provides expedited, one-time formula
payments for general election administration improvements to states that apply,
with a $5 million minimum combined payment per state for this and the
replacement program below. Administered by General Services Administration
(GSA). (Sec. 101.)
Replacement of Punchcard and Lever Machine Systems. Provides expedited, onetime formula payments to replace punchcard systems and lever machines in
qualifying states, with a $5 million minimum combined payment per state for this
and the improvements program above. Administered by GSA. (Sec. 102.)
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Payments to Meet Election Requirements. Provides annual formula payments to
states to meet the Actact’s requirements. Requires a 5% match and submission of a
state plan. Administered by the Election Assistance Commission (EAC) created
in the Actact (see below). (Sec. 251-258.)
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Payments to Assure Accessibility. Provides payments to states to make polling
places accessible to persons with disabilities. Requires application. Administered
by Department of Health and Human Services (HHS). (Sec. 265-265.)
Payments for Protection and Advocacy Systems. Provides payments to state
protection and advocacy systems to ensure electoral participation by persons with
disabilities. Requires application. Administered by HHS. (Sec. 291-292.)
Grants for Research and Pilot Programs. Provides grants for research to improve
voting technology (Sec. 271-273) and for pilot programs to test new voting
technology (Sec. 281-283). Requires application. Administered by EAC.
Student Programs. Establishes three programs, one to recruit college students as
pollworkers (Sec. 501-503), one to recruit high school students (Sec. 601), and
one to provide grants for the National Student and Parent Mock Election (Sec.
295-296).
Funding Authorizations in the Help America Vote Act (HAVA)
Program
Authorizations ($millions) per Fiscal Year
2003
Election Administration
Improvement
Punchcard/Lever Machine
Replacement
Election Requirements
Accessibility
Protection and Advocacy
Research
2004
2005
2006
Total
325.0
325.0
325.0
325.0
1,400.0
50.0
10.0
20.0
1,000.0
25.0
10.0
600.0
25.0
10.0
10.0
3,000.0
100.0
40.0+
20.0
Pilot Programs
College Program
0.0
5.0
a
a
a
10.0
5.0+
High School Program
Mock Election
5.0
0.2
a
a
a
a
a
a
5.0+
0.2+
EAC
10.0
10.0
10.0
Total
2,160.2
1,045.0
645.0
30.0
10.0
3,860.2+
a: sums necessary.
+: amount shown plus sums necessary for subsequent years.
FY2003 and FY2004 FundingAppropriations. The FY2003 omnibus appropriations bill
(H.J.Res. 2, H.Rept.
108-10, P.L. 108-7), signed into law on February 20, includes $1.5
2003, contained $1.5 billion for
election reform programs authorized by HAVA, including:
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$650 million combined for the election administration improvement and voting
system replacement payments to be administered by GSA (with no specific
allocation designated for either program and a maximum of $500,000 for
administrative costs),
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$830 million for requirements grants (with a maximum of 0.1% to be paid to any
territory), and
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$20 million for other programs — $13 million for accessibility grants, $2 million
for protection and advocacy programs,$1.5 million each for the college and high
school programs, and $2 million for the EAC.
P.L. 108-7 also includesincluded $15 million for one -time payments to certain states that
had obtained optical scan or electronic voting systems prior to the November 2000
election.
The President’s budget request for FY2004 includesincluded $500 million, one-half the
amount authorized, to fund EAC requirements grants and administration. No funds arewere
specifically requested for the other programs described above.
The FY2004 Transportation, Treasury, and Independent Agencies Appropriations
Act, H.R. 2989, as passed by the House on September 20, 2003, includes $495 million
for grant programs authorized under HAVA The House-passed
Transportation/Treasury Appropriations bill, H.R. 2989, included $495 million for HAVA
grant programs and $5 million for the EAC. The Senate
version, S. 1589, reported by the Senate Appropriations Committee on September 8
(S.Rept. 108-146), provides $500 bill, S. 1589, provided $500
million, of which not more than $800,000 iswas to be used
for EAC administrative
expenses. The Senate approved H.R. 2989, as amended, on
October 23; during floor consideration, an amendment was adopted that would provide
$1.5 billion altogether for HAVA grant programs. The Senate appointed conferees on
October 23 and House conferees were appointed on October 29. No vote on the
conference report was taken before the session ended.
The omnibus appropriations bill, H.R. 2673, includespassed H.R. 2989 with an amendment providing $1.5 billion
altogether for HAVA grant programs. The final omnibus appropriations bill, H.R. 2673,
signed into law on January 23, 2004 (P.L. 108-199), contains $1,516,200,000 for election
reform, including $1.0 billion for requirements payments, $500 million for election
reform programs, $10 million for accessibility grants, $5 million for protection and
advocacy systems, and $1.2 million for the EAC. The House approved the conference
report to H.R. 2673 on December 8, while the Senate adjourned without acting on it.
Senate action is expected in January, 2004.
Title 1
The President’s budget request for FY2005 includes $65 million for election
reform, of which $40 million is additional funding for requirements grants and $10
million is for EAC administrative expenses. The request also includes $5 million for
protection and advocacy systems and $10 million for accessibility grants.
The combined total appropriations for election reform for FY2003-FY2005
(assuming funding at the requested level for FY2005) is approximately $3.08 billion. The
total authorization for FY2003-FY2005 is approximately $3.85 billion.
Title I Funding Administered by GSA. The General Services Administration
(GSA) disbursed all Section 101 (election administration improvements) and Section 102
(replacement of punch card and lever machine systems) funds to states in June 2003. All
states and territories received payments for election administration improvements, based
on a formula using each state’s voting age population. Payments for the replacement of
punch card and lever voting systems were made to all states that applied for the program.
Total disbursements for both programs were $649.5 million.
State Implementation of the Help America Vote Act
One result of the delay in establishing the EAC is that states cannot apply for
payments to meet HAVA requirements, yet deadlines for meeting those requirements
exist and some have already passed. Furthermore, the ability of states to meet the
requirements without additional federal funding is hampered by budget difficulties in
many states. The lack of funding and the impending deadlines create a difficult situation
during a transition period when far-reaching changes to the voting process have been
mandated by federal law. While the states have received some funding from GSA, the
greater part of federal funding will be disbursed by the EAC. Specific information on
individual state progress in meeting the requirements may be found at [http
[http://www.electionline.org/index.jsp]With the publication of state plans in the Federal Register on March 24, states and
territories will be eligible to receive $2.3 billion in federal funds, following a 45-day
public comment period. States and territories then need to file a certification with the
EAC to receive a payment. The $2.3 billion includes funds appropriated in FY2003 and
FY2004 which could not be allocated until establishment of the EAC and publication of
the state plans. The General Services Administration will disburse the funds, as it did with
Title I payments made in June 2003.