for the Implementation of the
Help America Vote Act of 2002
(Public Law 107-252)

I am pleased to submit to you the State of Maine Preliminary State Plan for the Implementation of the Help America Vote Act of 2002. The Help America Vote Act of 2002 (HAVA), enacted by Congress on October 29, 2002, is the most significant piece of federal election reform legislation in the past 30 years. The federal law seeks to enhance the accessibility and integrity of elections across the country and authorizes federal funding to assist states in meeting the law's requirements. HAVA presents Maine with an exciting opportunity to enhance our elections with an unprecedented level of resources. This Preliminary State Plan outlines Maine's strategy for complying with the federal requirements and refining our elections process.

Maine has a long and proud tradition of implementing election laws, procedures and practices to encourage a high level of voter access and participation and to instill confidence in the integrity and accuracy of election results. As a result, Maine is well positioned to meet many of the HAVA's requirements. However, the State's compliance with all requirements will necessitate substantial efforts at the State and municipal level and full funding by Congress.

I want to take this opportunity to thank the State Plan Advisory Committee, comprised of a variety of stakeholders, who worked with me to craft our plan. In Maine, the successful conduct of elections is a cooperative effort of State and municipal election officials. The success of our elections process also relies on the confidence and participation of all Maine citizens. The State Plan Advisory Committee has set out a framework for continued cooperation as we implement HAVA. They have worked to create a plan that will help ensure that every vote counts as intended and that no voter is excluded from the process.

This plan sets out an ambitious agenda for implementing HAVA and enhancing Maine's elections process. With the continued dedication of election officials, civic organizations and Maine's citizens, I am confident we will meet our goals and continue to lead the nation with citizen participation and voter confidence in our elections. I hope you will share your thoughts with us about this Preliminary State Plan, and Maine's election process.

Sincerely,

Dan A. Gwadosky
Maine Secretary of State

The Help America Vote Act of 2002 (HAVA) is a landmark piece of election reform legislation that seeks to enhance the integrity of our elections process by establishing certain minimum standards for the conduct of federal elections. HAVA also authorizes the federal government to make funds available to states for the purposes of implementing the requirements of the law and making other election improvements.

In Maine, our election laws and practices are strong and we are already in compliance with several of the federal requirements contained in the Help America Vote Act, including the provisional voting requirements, most voting information requirements, and all voting system requirements except for the disability access provisions.

We will, however, need to obtain all possible funds to execute the requirements of HAVA that we do not meet. The single biggest challenge Maine faces in complying with HAVA is the development and implementation of a statewide computerized central voter registration list. Due to the current decentralized process of maintaining the voter registration lists in each municipality, implementation of the central voter registration list will require the greatest use of HAVA resources. Another significant challenge will be compliance with the disability accessibility requirements for voting systems. The planning, technology, and training necessary to implement these provisions require most of the resources available through HAVA. Without full funding, Maine will not achieve full compliance.

Maine's Current Election Process
State and Federal elections in Maine are conducted in a manner used mostly in the New England States, which dates back to our country's earliest traditions of government. Maine's election process is a partnership between the State and the municipalities.

The Secretary of State is the chief state election official, and has central authority to oversee the application of the State's election laws and procedures; approve voting machines for use by municipalities; train and advise municipal election officials in the proper conduct of statewide elections; design, prepare and distribute ballots and other election forms in a consistent format for all municipalities; collect and compile statewide reports of election results and voter registration figures; and conduct recounts centrally following uniform procedures. The staff of the Division of Elections carries out these election activities on behalf of the Secretary of State.

The conduct of elections and voter registration is decentralized, occurring in 503 separate voting jurisdictions. These jurisdictions include municipalities, plantations and a small number of unorganized townships that administer their own elections, and range in the number of registered voters from 2 to 50,799. Each jurisdiction has a Clerk, who is responsible for conducting elections, and a Registrar of Voters, who is responsible for voter registration activities. In many jurisdictions, one person holds both of these positions.

The local jurisdictions are responsible for determining the location of voting places; securing accessible buildings and arranging the voting area for each election; obtaining voting booths and other equipment necessary for the election; and electing or appointing election officials and ensuring their training. In addition, municipalities that do not wish to use hand-counted paper ballots must purchase State-approved voting machines.

There are a total of 627 precincts statewide. The majority of jurisdictions have a single voting precinct, while the larger municipalities have up to 20 precincts. As of the November 2002 General Election there were 950,059 registered voters in Maine. About 92% of the voting jurisdictions have fewer than 5,000 registered voters, and over 50% of the jurisdictions have fewer than 900 registered voters.

Maine is a leader in adopting laws and procedures that remove barriers to registration and voting, encourage full citizen participation in the electoral process, and provide uniform and consistent voting procedures for all voters across the State. Since 1973, Maine has permitted new residents to register to vote in person up to and during Election Day, and has eliminated the length of residency requirement. Voters have also been allowed to register to vote by mail since 1973, and signature notarization requirements were eliminated in the late 1980's. Maine provided voter registration at motor vehicle branches five years before it was required under the National Voter Registration Act (NVRA), and added opportunities for voter registration at a variety of social service and public agencies when NVRA was adopted.

For decades, Maine has allowed absentee voting under certain circumstances both by mail and in the presence of the municipal clerk. In 1999, the election law was amended to allow any voter to cast an absentee ballot for any reason. In recent years, Maine has also expanded access to absentee voting by allowing voters to obtain a ballot via a telephone request, an immediate family member, a designated third person, or voting in the presence of the municipal clerk in certain licensed residential facilities.

Maine law also includes a fail-safe voting system, in the form of the challenged ballot. Qualified voters whose names do not appear on the voting list, or who are unable to show satisfactory proof of identity and residency upon registering to vote on Election Day, must be allowed to vote a challenged ballot. The challenge process protects the voter's right to vote. It also protects the integrity of the system by marking challenged ballots for later retrieval and a determination of validity if the results of the election could be affected by those ballots.

In the 1980's and 1990's, the Maine municipalities that used older voting technologies (e.g. mechanical lever machines and punch card voting systems) replaced those systems with newer optical scan precinct tabulators. Although only 22% of Maine's voting jurisdictions use optical scan systems, over 65% of the voters in Maine vote using one of these systems. All others vote using paper ballots that are counted by hand.

The Office of the Secretary of State has pioneered the use of its website to provide a wealth of election information to the public. From information on upcoming elections, including the Citizen's Guide to the Referendum Election and candidate listings, to information on registering to vote and absentee voting, to the results of prior elections over the past decade, Maine has used the web to create a vital link between the citizens of Maine and their democracy.

In an effort to ensure that municipal election officials have the tools they need to conduct election and voter registration duties according to current laws and procedures, the Secretary of State has created educational and instructional materials and has conducted voluntary training sessions for municipal clerks and registrars in partnership with the Maine Town and City Clerk's Association over the past decade. The Secretary of State also hosts a 2-day annual elections conference to combine specific training on election duties with other professional development sessions. In addition, Maine now requires that all municipal clerks and registrars attend at least one of these training programs during each two-year election cycle.

All of Maine's efforts to improve the accessibility and consistency of the State's voter registration and election processes have increased voter confidence in Maine's electoral process and likewise have increased voter participation dramatically in the last 30 years. In the Presidential Election of 1972, Maine's turnout was twenty-first in the nation. In the Presidential Elections of 1992 and 1996, Maine led the nation in voter turnout, and in 2000, Maine's turnout was second in the nation.

The Future of Maine's Elections
Maine, through the efforts of the Secretary of State, the Legislature, advocacy groups and other concerned citizens, has consistently updated its laws and procedures to enhance the integrity of the election process and increase citizen participation in democracy, and will continue to do so. HAVA bolsters those efforts by providing Maine with an unprecedented level of federal resources to make substantial election infrastructure improvements and technological advances. HAVA also mandates Maine to meet certain requirements. Full funding of HAVA will ensure that Maine meets these requirements.

This State Plan outlines Maine's approach to implementing HAVA. It does not attempt to address every detail of implementation, but provides a basic framework and budget for achieving compliance. Importantly, Maine recognizes that the requirements contained in HAVA are minimum requirements. This plan is not intended to prevent Maine from exceeding these minimum requirements.

1.  Title III Requirements and Other Activities

How the State will use the requirements payment to meet the requirements of title III, and, if applicable under section 251(b)(2), to carry out other activities to improve the administration of elections. -- HAVA §254 (a)(1)

Maine has 503 municipal jurisdictions and 627 precincts where voting is conducted for federal and state elections. The State approves the voting systems that may be purchased by municipalities and prepares all ballots in a consistent format for these voting systems. Two categories of voting systems are currently used in Maine. Hand counted paper ballots are used by 394 municipalities, and optical scan ballots are used by 109 municipalities. (Optical scan ballots are also paper based, but are machine counted using precinct tabulators.)

Verification and Correction of Ballots before Casting
Since all voting systems in Maine currently use a paper ballot, voters can verify their vote selections in a private and independent manner before their ballots are cast and counted. Voters are permitted to change a selection or otherwise correct any error on their ballots by returning their spoiled ballot to the election clerk and requesting a replacement ballot. (Voters may obtain up to 2 replacement ballots, or a total of 3 ballots.)

All optical scan voting systems in use in Maine are capable of being programmed to notify voters of overvotes (multiple votes cast for a candidate or question) and return those ballots to the voter for an opportunity to correct the error using a replacement ballot. The Secretary of State (in conjunction with municipal election officials and the vendors charged with programming or maintaining these systems) will implement this programming change by January 1, 2006.

The Secretary of State already has an extensive voter education program for each voting system currently in use. The Secretary of State provides instructions on how a voter can correct an error through the use of a replacement ballot and will enhance these instructions to describe the effect of an overvote.

Audit
The paper ballots and paper based optical scan ballots used in Maine elections serve as the paper record required for manual audits. Maine already utilizes a manual recount system for all types of ballots, satisfying the manual audit capacity requirement.

Disability Access
Maine will not have enough resources, even with the federal funding, to replace all the existing voting systems with accessible units. However, Maine will improve its accessibility and satisfy this requirement by purchasing at least one direct recording electronic voting system (DRE), or other system equipped for individuals with disabilities, per voting precinct. Although past practice by the State of Maine has been for the Secretary of State to approve voting systems that may be purchased by municipalities, the Secretary of State will go through a process to select the DRE's, or other compliant systems, and undertake a statewide purchase of those systems by January 1, 2006. The Secretary of State will explore joint purchasing agreements with other states. The purchase may include ongoing programming and maintenance costs associated with the selected systems.

The process for selecting any systems will include input from municipal election officials, members of various disability communities, senior citizen representatives, and other interested parties. The Secretary of State will consider, among other functionalities, the requirements of Maine's challenged ballot procedure, alternative language capabilities, and flexibility in programming for various election formats. The Secretary of State will ensure that the systems to be purchased meet all federal requirements.

The Secretary of State will incorporate extensive voter education and poll worker training for the new systems into its existing education and outreach programs prior to the first election in which they are used.

Alternative Language Accessibility
Although no jurisdiction in Maine is subject to the alternative language accessibility requirements of Section 203 of the Voting Rights Act of 1965, voting systems approved in the future will be required to be capable of providing alternative language accessibility should it become necessary. In addition, the Secretary of State will monitor language trends throughout its various voting jurisdictions and will consider voluntary and targeted measures to increase citizen participation and access in those jurisdictions with significant populations of citizens who use languages other than English as their primary language.

Error Rates
Current voting systems used in Maine comply with the error rate standards established under section 3.2.1 of the voting system standards issued by the Federal Election Commission and in effect at the time that HAVA was enacted.

The following standard will apply to any new voting systems purchased by the State or approved by the Secretary of State for municipal purchase, including DRE's: For each processing function, the voting system shall achieve a target error rate of no more than 1 in 10 million ballot positions, with a maximum acceptable error rate in the test process of 1 in 500,000 ballot positions.

All systems submitted for certification in Maine will be required to provide documentation by the Independent Testing Authority, indicating that their systems comply with these error rates.

Uniform Definition of what Constitutes a Vote
Maine has a uniform state law requiring a determination of voter intent and has a uniform central recount procedure.

Maine statute requires that election officials must count each vote based on voter intent, even when the ballot is marked in a way that differs from the instructions. Before every election, the Secretary of State provides each municipality with uniform instructions for counting ballots, including instructions on counting specific types of ballots such as challenged ballots, invalid vote ballots, defective ballots and void ballots. In addition, the Secretary of State provides municipal election officials with training on how to determine voter intent. This training is based on case law and includes examples of common ballot mis-markings that still show voter intent.

Further enhancing the uniform application of voter intent at the municipal level is the Secretary of State's exclusive, central authority to conduct recounts. All recounts follow a well-established, uniform recount procedure, which includes instructions on counting certain types of ballots and determining voter intent.

Although the framework for determining voter intent is uniform, the Secretary of State will work in consultation with municipal election officials and other stakeholders to further clarify and define voter intent for each category of voting system used in Maine. The Secretary of State will work to incorporate these definitions into either statute or rule by January 1, 2006.

Provisional Voting Requirements
Maine's challenged ballot law (21-A M.R.S.A. §673) in combination with its Election Day registration law (21-A M.R.S.A. §122), meet the provisional voting requirements of HAVA. Maine law permits in-person voter registration on Election Day, and there is no length of residency requirement to qualify as a voter. Under current Maine law, any person whose name is not on the voting list on Election Day may show proof of identity and residency to the registrar and must then be allowed to vote. A voter whose name was removed from the voting list in error, may reinstate the registration at the polls, and be permitted to vote. A new voter who declares residency on Election Day, but does not have satisfactory proof of such residency, must be allowed to vote a challenged ballot. Maine's challenged ballot process achieves the required results of provisional voting.

Under Maine's challenged ballot law, an election official or any voter of a municipality may challenge the right of another person to vote in that municipality. A challenge of an in-person voter must be made to the election warden before that voter enters a voting booth. A challenge of an absentee voter must be made at the time that absentee ballot is being processed by the municipal clerk or election official, and before the ballot is placed in the ballot box or tabulating machine.

There are certain requirements that must be met for a challenge to be processed by the warden. If these requirements are met, the warden completes a challenge certificate, containing: the challenged voter's affirmation of the voter's qualifications and registration status; the signature and identifying information from the challenger, including the reason that the voter is being challenged; and the signature of the warden. The warden writes a unique number on the ballot as well as on the challenge certificate. This number is known only to the warden and the voter. The warden returns the ballot to the voter and the voter proceeds to vote in the usual manner. The warden seals the challenge certificate in an envelope, which is secured with the voted ballots and other materials at the end of Election Day. The warden also creates a public list containing the challenged voter's name, the name of the challenger and the reason for the challenge.

Challenged ballots are counted in the same manner as regular ballots on election night. The validity of a challenge is not reviewed unless a recount occurs, it is determined that there are a sufficient number of challenged ballots to affect the outcome of the election, and the recount remains disputed. In that event, the appropriate appeal authority promptly reviews any challenged ballots as well as ballots that were disputed during the recount, and makes a determination as to whether these ballots will be removed from the count.

Instructions for municipal election officials
The Secretary of State will provide municipal election officials with an informational sheet on the challenged ballot process that the election officials at each voting place can give to each challenged voter. The information sheet will detail how an individual can determine the status of a challenged vote. The Secretary of State will provide generic information on its web site that confirms that all challenged ballots have been counted, and provide an email address or other electronic system where individual voters can request additional information. If there is a disputed recount, and any challenged voters are deemed not to be eligible, the Secretary of State will give notice to the individual voters affected.

Voting Information Requirements
For many years, Maine has had laws requiring the posting of voting information at the polls. In recent years, the Secretary of State has worked with adult literacy experts to produce all election information in a format that is most easily understood by voters. In addition, the Secretary of State is continually providing new and improved information and instructions for voters and election officials.

The Secretary of State provides certain instructional materials to each municipality for posting in each voting place. These materials include:

Maine requires the posting of other election materials at the polls, including a certified copy of the voter registration list, a list of the persons appointed to be election clerks and information pertaining to the issues on the referendum ballot.

The Secretary of State will develop instructions on casting a challenged ballot and the requirements for mail-in registrants and first time voters described in section 303(b).

The most significant challenge Maine faces in meeting the requirements of the Help America Vote Act is the development, implementation and management of a computerized statewide voter registration list as described in HAVA §303(a). Due to the decentralized nature of Maine's registration process, an enormous collaborative effort of the State and municipalities will be necessary to come into compliance with this particular requirement. The State will also need to invest the most significant portion of the funds made available under HAVA to ensure the success of this effort.

The State of Maine, like most other states, has at the foundation of its elections process a system for registering those citizens who are eligible to vote in local, state, and federal elections. As referenced earlier in this plan, Maine has consistently sought to ensure that the registration process is open, easy, and accessible to all eligible citizens, while maintaining the integrity of our elections. To prevent voter registration from becoming a barrier to citizen participation in our democracy, Maine has, for the past thirty years, allowed mail-in voter registration and in-person Election Day voter registration. Maine implemented voter registration at motor vehicle branches five years prior to implementation of the National Voter Registration Act. Maine law also permits voters, whose registration qualifications are questioned, to cast a challenged ballot.

Although Maine registration laws are uniform throughout the State, individual jurisdictions are responsible for the actual collection of registration data and maintenance of official voter registration lists. The Help America Vote Act provides Maine with a challenging mandate and an opportunity to enhance the citizen access, integrity, and administrative efficiency of our registration process by developing a computerized statewide voter registration list.

Currently, each municipality's registrar of voters is responsible for maintaining a list of residents who are eligible and registered to vote in elections. These official voter registration lists are maintained separately by 503 municipal jurisdictions, in a variety of disparate formats, including handwritten, typed, and computerized lists. The number of citizens registered to vote ranges from 2 in Maine's smallest jurisdiction to 50,799 in Maine's largest city. Nearly 400 municipalities have fewer than 2,000 registered voters.

The development of a computerized statewide voter registration list as described in HAVA will be a significant undertaking in Maine due to the State's current decentralized, municipal level voter registration process, and the rural nature of our state. This project will involve the acquisition of the technological capabilities for the State to administer the system, the integration of existing and varying municipal data, the development of the necessary infrastructural capabilities throughout the State, and extensive training for state and local election officials. A substantial portion of federal funds made available to the State of Maine under HAVA will be necessary for Maine to develop a computerized statewide voter registration system.

Development and Implementation of List
In anticipation of the federal requirement to develop a computerized statewide voter registration list, and in recognition of the benefits of developing such a system, Maine enacted enabling legislation to facilitate the list's development. Maine Public Laws 2001, Chapter 637 - An Act to Establish a Centralized Voter Registration System for the State (21-A MRSA §§191-195), sets forth the general process Maine will use to implement this requirement. The state law established a Centralized Voter Registration Advisory Committee, consisting of various stakeholders, to advise the Secretary of State with respect to planning for the centralized voter registration system. The law also creates a pilot program and calls for a staged implementation plan to bring the entire state online.

The Secretary of State has convened the Advisory Committee and is in the process of conducting a comprehensive needs assessment, defining the system parameters, and drafting a request for proposals (RFP). During this process, in addition to consulting with the members of the Advisory Committee, the Secretary of State may also consult with municipal election officials, state agencies, and other states to define the functional requirements of a computerized statewide voter registration list. The Secretary of State will also take necessary steps to ensure that the list will be coordinated with other agency data, specifically including data from the Bureau of Motor Vehicles and the Office of Vital Statistics.

The State may also consider hiring an outside consultant to assist with the needs assessment and drafting of a request for proposals (RFP) to build and implement the system. The RFP will incorporate each of the voter registration list requirements set out in HAVA. Maine's successful implementation of a computerized statewide voter registration list will require the combined efforts of state election officials, municipal election officials, other state agencies and any contracted vendor or vendors. The Secretary of State will coordinate these efforts and manage the implementation.

Mail-in Registrations
The Secretary of State and the State Plan Committee have reviewed Maine's registration procedures and have made modifications to those procedures, where necessary, to bring Maine into compliance with the requirements for voters who register by mail. Maine has established procedures to obtain the required ID for first time mail-in registrations received after January 1, 2003. The procedures include collecting required information prior to and on Election Day. The Secretary of State has also updated the voter registration card, mail-in voter registration acknowledgement procedures and forms to advise mail-in registrants of the HAVA requirements and to notify those with incomplete applications how they may complete their registrations. Maine's challenged ballot and Election Day voter registration laws will ensure that voters who fail to provide the required ID by the first federal election in which they vote will still be eligible for fail-safe voting in person or by mail.

Upon implementation of a computerized statewide voter registration list, Maine will be capable of matching the registrants' driver license numbers or the last 4 digits of their social security numbers with existing state identification records to confirm the ID of prospective registrants and to satisfy the ID requirements.

Voter Registration Goals
Maine, through its implementation of a computerized statewide voter registration list and its implementation of the requirements for those who register by mail, will seek enhanced access and ease of registration for voters, accuracy and integrity of voter registration information, administrative efficiencies, uniformity, and ease of operation by municipalities.

Maine understands that the requirements set forth in HAVA Title III are minimum requirements, and that the State may establish election technology and administration requirements that are more stringent. Any more stringent requirement that the State imposes will comply with all Title III requirements, as well as the laws described in HAVA §906.

Maine has chosen various means to comply with the requirements of HAVA Title III.

Once the federal Election Assistance Commission (EAC) has issued its voluntary recommendations with respect to Title III, the State will consider that guidance in updating the State Plan. Maine will incorporate those recommendations deemed appropriate into any subsequent versions of its State Plan.

Maine will monitor the progress of the EAC on developing the Title III recommendations. If appropriate, the State will provide feedback during the public comment period after the recommendations are published in the Federal Register and participate in public hearings regarding the recommendations.

Maine does not currently plan to spend requirements payments for other activities as defined in HAVA §251(b)(2). However, Maine anticipates that it will not receive requirements payments in excess of the minimum payment amount applicable under HAVA §252(c), and thus any expenditure for such activities would be permissible.

2.  Maine's Distribution of Requirements Payment

How the State will distribute and monitor the distribution of the requirements payment to units of local government or other entities in the State for carrying out the activities described in paragraph (1), including a description of --

Since the Secretary of State will bear the primary responsibility for achieving the Title III requirements, the State's implementation costs will consume most or all of the requirements payments. Therefore, Maine does not anticipate being able to grant money to municipal jurisdictions at this time.

However, should it become necessary and possible to disburse funds to municipal jurisdictions to implement the Title III requirements, Maine will establish the eligibility criteria for local units to obtain the funds based on the level of funding available, and the extent of the requirements to be met at the municipal level.

Note: The State will provide such support as is feasible and appropriate to the municipalities if they seek HAVA grants outside the scope of requirements payments.

If it becomes possible to disburse funds to municipalities to meet the Title III requirements, the Secretary of State will ensure that municipal expenditures are subject to the controls and review outlined in this section. Local units will be responsible to account for all expenditures, funding levels, program controls, and outcomes. The Secretary of State will monitor the performance of local units in three areas: financial controls, compliance with standards, and program results.

Financial Controls: The Secretary of State will develop and use standard financial reporting for all local initiatives funded by requirements payments.

Compliance with Standards: The Secretary of State will develop and use standard program management reporting for all local initiatives that are funded by requirements payments.

Program Results: The Secretary of State will develop key performance indicators (KPI) for each local initiative funded by requirements payments.

3.  Voter Education, Election Official Education and Training, and Poll Worker Training

How the State will provide for programs for voter education, election official education and training, and poll worker training which will assist the State in meeting the requirements of Title III. -- HAVA §254 (a)(3)

The State of Maine recognizes that voter education, election official education and training, and poll worker training are vital for the successful conduct of elections and the implementation of election reform measures. To ensure that voters, election officials and poll workers are comfortable with the processes and technologies utilized, Maine has developed extensive outreach, education, and training materials and procedures. These include:

The Secretary of State will incorporate new processes (e.g. ID provisions, administrative complaint procedure) and technologies (e.g. DRE's, computerized statewide voter registration system) into existing education and outreach programs. The Secretary of State will also review existing programs with input from various stakeholders (possibly including educators and marketing experts) and where appropriate expand or establish new programs. These programs will include training developed specifically for poll workers.

In Maine, the Secretary of State has initiated several efforts aimed at involving youth in our democratic process. Specifically, Maine has organized statewide Student/Parent Mock Election programs, has developed election websites targeting youth, has joined with MTV to send Birthday/Registration cards to those turning 18 years old, and has worked with Promote the Vote committees to target advertisements and other outreach messages to young citizens. To strengthen these efforts, and to increase the pool of qualified poll workers, the Secretary of State will explore education and outreach possibilities made available through the Help America Vote College Program (HAVA Title V) and the Help America Vote Foundation (HAVA Title VI).

The Secretary of State is committed to ensuring that all citizens have full and complete access to Maine elections. Outreach and education designed and targeted for various disability communities are critical to achieving this goal. The Secretary of State will work with advocacy groups for individuals with disabilities to educate voters about election accessibility issues. The Secretary of State will also explore ways to incorporate accessibility training and cultural sensitivity training into its election official and poll worker training programs and materials.

The Secretary of State may also consider voter outreach and education programs or materials designed for citizens who use languages other than English as their primary language.

4.  Voting System Guidelines and Processes

How the State will adopt voting system guidelines and processes, which are consistent with the requirements of section 301. -- HAVA §254 (a) (4)

Voting systems currently utilized in the State of Maine are capable of being modified to comply with the provisions of Title III, except that disability accessibility requirements will require the addition of one DRE, or other voting system for individuals with disabilities, per voting precinct. Requirements in Title III will be met through a revision of Maine's election laws, rules, and procedures. In anticipation of some of the federal requirements, Maine has already adopted enabling legislation for the creation of a statewide centralized voter registration system and for mandatory training.

5.  Maine's HAVA Fund Management

How the State will establish a fund described in subsection (b) for purposes of administering the State's activities under this part, including information on fund management. -- HAVA §254 (a) (5)

The Secretary of State, in conjunction with the Legislature, has established an Election Fund as described in HAVA §254 (b). This fund is kept separate and distinct from all other program funds under the Department of the Secretary of State. The Election Fund consists of a federal account (for the receipt and expenditure of federal funds) and a state dedicated account (for the receipt of and expenditure of state match funds). Each account in the fund is non-lapsing and will accrue interest earned.

6.  Maine's HAVA Budget

The State's proposed budget for activities under this part, based on the State's best estimates of the costs of such activities and the amount of funds to be made available, including specific information on-

Funding Assumptions

Maine used the following Federal and State funding assumptions, when developing its HAVA activities budget.

The duration of the State's budget is based on HAVA deadlines and funding. Full funding of the HAVA authorizations is crucial to Maine's successful implementation of the law's requirements. Maine also anticipates that the ongoing costs of operating and maintaining the new DRE (or other voting system for individuals with disabilities) and the statewide voter registration list will be considerably higher than the State's maintenance of effort level. Therefore, Maine's maintenance and operation of HAVA compliant systems in years 2006 and beyond will require ongoing federal and state funding.

Proposed HAVA Activities Budget

Maine made the following additional assumptions in preparing the budget:

7.  Maintenance of Effort

How the State, in using the requirements payment, will maintain the expenditures of the State for activities funded by the payment at a level that is not less than the level of such expenditures maintained by the State for the fiscal year ending prior to November 2000. -- HAVA §254 (a)(7)

In compliance with section 254 (a)(7) of HAVA, Maine will maintain the State's expenditures, on activities similar to those funded by the requirements payment, at the same level as expended on these activities in the State's Fiscal Year 2000, which covered the period from July 1, 1999, through June 30, 2000. Maine's total expenditures for these activities in FY00 were $429,299.

State and federal elections are administered through a partnership between the Secretary of State's Office (Division of Elections) and 503 municipal jurisdictions. The State produces and distributes the ballots, forms and instructional materials necessary for local jurisdictions to conduct the state and federal elections; provides oversight and education for municipal election officials in their administration of voter registration and election duties; and conducts recounts and tabulates the election results. Municipal election officials provide the equipment and staff for the polling places in their jurisdiction, including voting machines or automatic tabulating devices (if they do not wish to hand-count their ballots); as well as the staff and equipment to prepare and maintain the list of voters for their jurisdiction.

The State does not have a separate budgetary line or account for election administration. State election expenditures include personnel costs for the elections staff; general operating costs to maintain the office and support election administration during the fiscal year; and costs that have been specifically attributed to each election held during the election year. The election specific costs include the printing and distribution of ballots for the election; and the preparation and distribution of forms and instructional materials for municipalities to conduct the election.

The two year election cycle always includes a State Primary Election in the even fiscal year and the General Election in the odd fiscal year. The election specific costs of the State Primary and General Elections are similar. The dollar amount calculated for the FY00 maintenance of effort only includes the specific election costs for the June 2000 State Primary Election. Although in Fiscal Year 2000, Maine also conducted a Presidential Preference Primary and a State Referendum Election, the specific costs attributed to these elections is not included in the baseline maintenance of effort figure. The March 2000 Presidential Preference Primary costs were not included because the current Legislature is in the process of repealing this election. Since there will be no future expenditures for a preference primary election, Maine did not add these costs to its maintenance of effort calculation. The November 1999 State Referendum Election costs were also not included, because this election does not occur in each fiscal year.

Although Maine did not add the dollar amount of expenditures for these two elections to its maintenance of effort baseline figure, Maine will continue to expend state funds to support the election-specific costs, as described above, for any state or federal election held during any fiscal year. Maine will not expend requirements payments on these election-specific activities. Moreover, Maine will not include the amount of state funds spent to cover the specific costs of conducting elections other than the State Primary or General Election when it calculates the expenditures that go toward the future maintenance of effort amount.

8.  HAVA Performance Goals and Measures

How the State will adopt performance goals and measures that will be used by the State to determine its success and the success of units of local government in the State in carrying out the plan, including timetables for meeting each of the elements of the plan, descriptions of the criteria the State will use to measure performance and the process used to develop such criteria, and a description of which official is to be held responsible for ensuring that each performance goal is met. -- HAVA §254 (a)(8)

The Secretary of State will adopt performance goals and measures to determine the success of the State and municipalities in carrying out the elements of Maine's State Plan. Each element of the plan that requires "Actions Planned" to ensure Maine's compliance with HAVA, will be incorporated into the performance goals and measures. The Secretary of State will develop implementation schedules for each major project area outlined below, and will measure progress towards meeting the target dates established in each project schedule. Further, the Secretary of State will periodically monitor the implementation efforts by reviewing program results as measured through the use of key performance indicators (KPI) for each implementation step. The Secretary of State will also periodically review and update performance goals and measures as implementation steps are further developed.

9.  State-Based Administrative Complaint Procedures

A description of the uniform, nondiscriminatory State-based administrative complaint procedures in effect under section 402. -- HAVA §254 (a)(9)
Deadline for Compliance: Prior to certification of State Plan, but no later than January 1, 2004; no waiver permitted.

Maine's Current Election Complaint Procedure
Maine currently has a simple, expeditious system for handling election questions and complaints. First, people can easily contact the clerk or registrar of voters in their municipality to either obtain election information or make a complaint about an election issue. Many questions or complaints are resolved at the local level, without the assistance of the Secretary of State's Office. However, local election officials frequently call the Secretary of State's Division of Elections for help with answering questions and resolving election complaints.

In addition, the Division of Elections receives hundreds of phone calls and e-mails in the weeks before each election, and typically receives hundreds of calls on Election Day itself. Most of these contacts involve questions about election law or procedure, or requests for information. The Division of Elections is able to quickly respond to these questions or informational requests.

A small number of contacts involve complaints about something that is occurring or has occurred on Election Day. The Division of Elections works to determine whether there is a violation of election law or procedure, and seeks an immediate resolution or remedy. A remedy may provide corrective action for the complainant, or may provide future corrective actions to prevent further violations of a similar nature during the current or future elections.

Some calls or written complaints are received after Election Day. The Division of Elections obtains information from the complainant in writing, and contacts the appropriate election officials for further information or rebuttal of the complaint. Once all the information is received, the Division of Elections determines whether there has been a violation of election law or procedure. If there has been no violation, the Division of Elections provides the information orally to the complainant and the respondent. If there has been a violation of law or an incorrect procedure was followed, the Division of Elections advises both parties about the corrective action verbally and in writing.

Maine's Proposed Administrative Complaint Procedure
While the current process for resolving election complaints is effective, uniform and nondiscriminatory, it does not meet the specific requirements in section 402 of HAVA. Therefore, the Secretary of State has adopted a rule establishing an administrative complaint procedure to resolve alleged violations of Title III of HAVA. The rule was adopted after an opportunity for a public hearing and a public comment period, pursuant to Maine's Administrative Procedure Act. The new process established by rule is intended to supplement, not substitute for, the more expedient process of resolving election complaints described above. The rule, 29-250 CMR Chapter 510 - Administrative Complaint Procedure for Title III of the Help America Vote Act of 2002 (HAVA), may be obtained by contacting the Office of the Secretary of State and is available online at www.maine.gov/sos/cec/rcn/apa/29/chaps29.htm.

10.  Effect of Title I Payments

If the State received any payment under title I, a description of how such payment will affect the activities proposed to be carried out under the plan, including the amount of funds available for such activities. -- HAVA §254 (a)(10)

Maine has received $5 million in Title I payments. These payments are critical to Maine's implementation of HAVA. Funds will be used for:

11.  Maine's HAVA State Plan Management and Changes to State Plan from Previous Fiscal Year

How the State will conduct ongoing management of the plan, except that the State may not make any material change in the administration of the plan unless the change-

In the case of a State with a State plan in effect under this subtitle during the previous fiscal year, a description of how the plan reflects changes from the State plan for the previous fiscal year and of how the State succeeded in carrying out the State plan for such previous fiscal year. -- HAVA §254 (a) (12)

State Plan Management

The Secretary of State will be responsible for the ongoing management of this plan. The Secretary of State will review reports and performance measurements to track the success of implementation and will delegate tasks as necessary to ensure the State meets goals and objectives set forth in this plan, in a timely manner. Should it become necessary to make any material change in the administration of this plan, the State will pursue the state planning procedure, public notice and comment, and publication requirements described in Title II of HAVA.

Changes to State Plan from Previous Fiscal Year

This FY 2003 State Plan is Maine's inaugural plan under HAVA. Should it become necessary to make changes to the plan, this section of the plan will be updated to reflect those changes, and to describe how the State has succeeded in implementing the plan.

12.  State Plan Development and Committee

A description of the committee which participated in the development of the State plan in accordance with section 255 and the procedures followed by the committee under such section 255 and section 256. -- HAVA §254 (a)(13)

The State of Maine's committee consists of individuals representing a cross-section of election stakeholders. The State Plan Committee was selected by Secretary of State Dan A. Gwadosky, the State of Maine's chief election official.

Members of the State Plan Committee, and the primary qualification of each for inclusion on the committee, are as follows:

The committee will comply with filing, publication, and public notice and comment requirements established in HAVA §255 and §256.

Staff Contact:

John T. Smith, Special Assistant
Office of the Secretary of State
148 State House Station
Augusta, Maine 04333-0148
(207) 626-8400