Summary

This operational audit focused on the Department of State’s administration of the Federal Help America Vote Act of 2002 (HAVA) during the period July 1, 2004, through February 28, 2006, and selected actions taken through May 23, 2006.  In addition, we evaluated the effectiveness of selected controls related to the Florida Voter Registration System, implemented to satisfy specific requirements of the Act for a computerized Statewide voter registration list.  Through June 30, 2005, the Department has been awarded $160 million in HAVA funding on behalf of Florida.

Help America Vote Act

Finding No. 1:         The Department did not have a procedure in place to evidence for the public record that voting systems being certified had met the requirements of Florida law.

Finding No. 2:        The Department’s established procedures did not prohibit the Secretary of State and any examiners from having a pecuniary (financial) interest in the examination of and approval of voting equipment.

Finding No. 3:        The Department did not maintain a current, reliable control listing of voting systems certified and in use by the counties.  In addition, the Department did not have a procedure in place to ensure that voting system information was on file with the Department.

Finding No. 4:        The Department incorrectly calculated the required maintenance of effort that was included in the State of Florida HAVA Plan and also did not maintain the required level of expenditures for the 2004-05 fiscal year.

Finding No. 5:        Salary certifications required for employees who worked solely on the HAVA Program were not maintained.  Also, personnel activity reports were not always maintained to support personnel costs charged to the HAVA Program.

Finding No. 6:        Contrary to Federal cost principles, payment for unused leave to a terminating employee was charged as a direct cost to the Program instead of being allocated as a general administrative expense to all activities of the governmental unit.

Finding No. 7:        Controls to ensure that voter education programs were in compliance with Florida law and Department rule were insufficient.

Finding No. 8:        HAVA Program expenditures were not always properly supported.

Finding No. 9:        The Department did not always follow Federal requirements with regards to awards to other State agencies.

Florida Voter Registration System (FVRS)

Finding No. 10:      Improvements were needed in the Department’s Information Technology (IT) risk management practices.

Finding No. 11:      The Department had not adopted a governance model addressing the management, use, and operation of FVRS commensurate with its authority and responsibility to ensure the system’s security, uniformity, and integrity.

Finding No. 12:      Although the Department had put measures in place to help ensure the integrity of data in FVRS, improvements were needed in the processes for identifying duplicate registrations and ineligible voters.

The Secretary’s response is included in its entirety at the end of this report as Appendix D.