Federal Election Commission 

Offce of the Inspector General 

Management and 

Performance 

Challenges Facing the 

FEC forFiscal 

Year 2021

November 13, 2020
Table of Contents 

Introduction and Approach.............................................................................................................. 1 

Management and Performance Challenge: Growth of Campaign Spending ...................................2 

Management and Performance Challenge: Lack of Quorum ..........................................................4 

Management and Performance Challenge: COVID-19 Pandemic ..................................................5 

Management and Performance Challenge: Lack of Full-Time Chief Information Officer (CIO) 

and General Counsel Positions........................................................................................................ 6 

Management and Performance Challenge: Cybersecurity ..............................................................7 

FY 2020 Management Challenges not Included in FY 2021 Report ..............................................8 

Appendix: Hotline Poster ............................................................................................................. 10 
Introduction and Approach 

Why do we publish this report? 

In accordance with the Reports Consolidation Act of 2000, the Federal Election Commission 

(i.e., the “FEC” or “Commission”) Office of Inspector General (OIG) identifies the most serious 

management and performance challenges facing the Commission and provides a brief 

assessment of the Commission’s progress in addressing those challenges. By statute this report 

is required to be included in the FEC’s Agency Financial Report. 

What are management challenges? 

The Government Performance and Results Modernization Act of 2010 identifies major 

management challenges as programs or management functions that are vulnerable to waste, 

fraud, abuse and mismanagement and where a failure to perform well could seriously affect the 

ability of the FEC to achieve its mission objectives. Each challenge area is related to the FEC’s 

mission and reflects continuing vulnerabilities and emerging issues. The FEC OIG identified the 

top management and performance challenges facing the Commission as the following: 

 Growth of campaign spending 

 Lack of quorum 

 Coronavirus (COVID-19) pandemic 

 Lack of full-time support to Chief Information Officer (CIO) and General Counsel 

Positions 

 Cybersecurity 

How did we identify these challenges? 

We identified the Commission’s major management and performance challenges by recognizing 

and assessing key themes from OIG audits, special reviews, hotline complaints, investigations, 

and an internal risk assessment, as well as reports published by external oversight bodies, such as 

the Office of Personnel Management (OPM) and the Government Accountability Office (GAO). 

Additionally, we reviewed previous management challenge reports to determine if those 

challenges remain significant for this submission. Finally, we considered publicly available 

information and internal Commission records. As a result, we identified five key management 

and performance challenges, which are detailed herein. 

Management and Performance Challenges Facing the FEC in FY 2021 1 
   

Management and Performance Challenge: Growth of Campaign Spending 

The FEC was established nearly fifty years ago to provide oversight of federal campaign 

finance. Since then, federal campaign fundraising and spending have increased dramatically, 

particularly after the U.S. Supreme Court’s decision in Citizens United v. FEC in 2010. Indeed, 

total spending on federal election campaigns has increased from $1.6 billion in 1998 to more 

than $10 billion projected for 2020. 

$0

$2

$4

$6

$8

$10

$12

1998 2000 2002 2004 2006 2008 2010 2012 2014 2016 2018 2020

Billions

Election Spending: 1998 ‐ 2020

Figure: Total expenditures per election cycle reported to the FEC by all filers. 2020 data is as of June 30, 2020 

and projected to exceed $12 - $14 billion. The totals in this figure represent aggregate expenditures by all filers, 

including campaigns, party committees, and political action committees (PACs), obtained from FEC filings. 

The total number of transactions subject to FEC regulation and oversight have also dramatically 

increased, especially in recent years. Transactions include mandatory filings and consist of financial 

reports filed with the FEC and include summary financial information and itemized details of receipts 

(including contributions), disbursements (including expenditures) and other financial activity. 

Indeed, as detailed further in the figure below: 

 Between 1980 and 2002, the total number of transactions subject to FEC regulation and 

oversight increased from approximately 602,000 to nearly three million. 

 In 2018, the FEC handled nearly 270 million transactions. 

 That number is projected to exceed 600 million in 2020. 

Management and Performance Challenges Facing the FEC in FY 2021 2 
FEC Total Transactions (1980 – 2020)

1980 ‐ 2002

3.5M

3.0M

3.0M2.5M2.0M1.5M1.0M0.5M0.0M

1980 1982 1984 1986 1988 1990 1992 1994 1996 1998 2000 2002

Continued: 2002 ‐ 20

600 M500 M400 M300 M200 M100 M

3.0M

0 M

2002 2004 2006 2008 2010 2012 201

Actual Projection

By 2018, the FEC handled nearly

270 million transactions. Thatnumber is projected to exceed

600 million in 2020.

Between 1980 and 2002, the number of transactions subject 

regulation and oversight increase

approximately 602,000 to nearly million.

Total transactions as of August 2020

Projected total transactions for 2020
   

Despite dramatic increases in campaign expenditures and the number of transactions subject 

to FEC regulation and oversight, the Commission’s budget has remained largely static. Since 

2008, the FEC’s budget has increased by an average of only 0.66% per year. Those increases 

have not kept up with inflation, which has averaged approximately 1.6% per year since 2008. 

$0

$10

$20

$30

$40

$50

$60

$70

$80

$90

$100

2008 2009 2010 2011 2012 2013 2014 2015 2016 2017 2018 2019 2020

Millions

FEC Annual Appropriations: 2008 ‐ 2020

Figure: Annual congressional budget appropriations to the FEC, as reported in Congressional budget justifications. 

In addition, the nature of federal campaigns has evolved in recent years. Online fundraising, 

the influence of dark money, and potential foreign electoral influence will continue to place 

further strain on the FEC’s ability to provide oversight of federal campaigns. As such, absent 

additional resources, the FEC faces challenges in successfully regulating campaign finance with 

its current funding, which has essentially remained the same over the past thirteen years or more. 

Management and Performance Challenge: Lack of Quorum 

A significant management and performance challenge for FY 2021 resides with the July 

2020 announcement of the resignation of Commissioner Caroline Hunter, leaving the FEC 

without a four-member quorum. The Commission is required to be composed of six 

commissioners, appointed by the President, with no more than three members affiliated with the 

same political party.1 Furthermore, 52 U.S.C. § 30106 requires the affirmative vote of four 

members to act on certain matters. The FEC has lacked a quorum for all but 29 days in FY 2020. 

Since its inception, the FEC has lacked a quorum on three occasions: a six-month period in 2008, 

from September 2019 to May 2020, and from July 4, 2020, to the present. 

The lack of a quorum prevents the Commission from among other things, issuing decisions 

on pending enforcement actions, opening investigations, and issuing advisory opinions. This 

concern also prominently directly and indirectly impacts agency programs and procedures. 

1 See 52 U.S.C. § 30106. 

Management and Performance Challenges Facing the FEC in FY 2021 4 
Commission Directive 10, Section L sets forth the rules of procedure to be followed when the 

Commission has fewer than four sitting members and includes a list of matters on which the 

Commission may still act. These include notices of filing dates, non-filer notices, debt settlement 

plans, administrative terminations, and appeals under the Freedom of Information and Privacy 

Acts. 

While the Federal Election Campaign Act of 1971, as amended (FECA), requires an 

affirmative vote by four Commissioners to make decisions in many areas, including regulations, 

advisory opinions, audit matters and enforcement, the Commission remains open for business. 

Staff continues to further the agency’s vital mission of administering the nation’s campaign 

finance laws. 

The OIG understands that this management challenge is beyond the control of the 

Commission; but we would be remiss if we fail to acknowledge the lack of a quorum is an 

ongoing significant management challenge. 

Management and Performance Challenge: COVID-19 Pandemic 

The ongoing COVID-19 pandemic poses many management and performance challenges to 

the Commission. Most notably, it has forced the FEC, and many other agencies, to operate in a 

remote status since March 2020. 

Fortunately, much of the Commission’s business is being accomplished remotely. One 

critical mission area the pandemic has affected relates to the submission and acceptance of 

campaign finance complaints. By law, all complaints must be made in writing and must provide 

the full name and address of the person filing the complaint.2 Complaints must be signed, sworn, 

and notarized, meaning that the notary's certificate must state that the complaint was "signed and 

sworn to before me" or must indicate that the complainant affirmed the complaint "under penalty 

of perjury." Currently, the FEC is processing mail on an intermittent basis until it resumes 

normal mail operations and as a result, the Commission has requested that anyone who wishes to 

file a complaint with Office of General Counsel (OGC) Enforcement, do so by mail and send an 

electronic copy of the complaint via email. In addition, the Commission has encouraged the use 

of electronic signatures and notarizations where permitted by state law.3  

Additionally, due to the intermittent processing of mail, the FEC OIG has experienced delays 

in responding to hotline complaints delivered via mail. As such, we have posted announcements 

to our webpage, email, and hotline phone recording that strongly encourages complainants to file 

all inquiries and/or complaints through the newly-established FEC OIG Hotline Portal. 

Management was forced to react to the COVID-19 pandemic and as a result, established a 

COVID management team to address and act on pandemic-related concerns. A few of those 

actions include but are not limited to: 

2 See 52 U.S.C. § 30109(a)(1). 

3

 Electronically submitted copies of complaints that otherwise appear to be in order are deemed received on the date 

the copy was electronically received by staff. Complaints that are filed only by mail will be deemed received when 

actually received by OGC staff, subject to mail processing delays. 

Management and Performance Challenges Facing the FEC in FY 2021 5 
 Establishing flexible work schedules and waiving core working hour requirements 

 Purchasing and implementing video communication tools 

 Providing video conferencing trainings and telework security best practice tips 

 Communicating a weekly compilation of guidance and information to assist FEC staff 

while the agency is under mandatory telework 

 Establishing a Phase 1 re-opening quick reference guide 

 Establishing Phase I re-opening training for FEC staff members which includes a selfcheck for COVID form, FEC contact tracing log, and protective personal equipment 

for staff members entering the office during Phase I 

 Mandating face masks in common areas, limiting the number of people in the 

building, and establishing enhanced cleaning protocols 

 Issuing an evacuation order on March 24, 2020 and renewing that order on September 

18, 2020 to reduce concerns regarding potential COVID-19 exposure pursuant to 

OPM’s regulations at 5 C.F.R. Part 550, Subpart D 

 Tracking the operating status of approximately 25 public school districts in DC, 

Maryland, and Virginia 

In addition, the Commission launched a re-opening survey to staff members in July 2020 in 

efforts to use employee feedback in conjunction with government regulations to formulate a plan 

for a phased re-opening approach. The survey received a 90% response rate in which a majority 

of respondents reported that they would like to continue to remain in a maximum telework state 

due to COVID-19 concerns and that they can successfully complete work tasks from home. 

Moreover, half of the respondents reported concerns regarding exposure to COVID-19 with the 

use of public transportation. 

Out of short-term necessity, the Commission has implemented agency-wide procedures in 

reaction to the COVID-19 pandemic. We identify this as a continued challenge facing the 

Commission in FY 2021 due to the volatility of the situation and encourage the agency to be 

proactive in its response strategy in FY 2021 to mitigate potential impacts to mission 

requirements. 

Management and Performance Challenge: Lack of Full-Time Chief 

Information Officer (CIO) and General Counsel Positions 

Currently, the senior leadership roles of the Staff Director and CIO are occupied by the same 

individual and have been since August 2011. Information technology is ever-evolving, which 

affects all government agencies and without a fully dedicated CIO to focus on technological 

issues to ensure resources are properly allocated and adequate processes are in place for the 

protection and safeguards of the agency, the agency will remain at risk. 

On April 1, 2019, the Committee on House Administration of the U.S. House of 

Representatives posed a number of questions to the FEC Commissioners about agency 

Management and Performance Challenges Facing the FEC in FY 2021 6 
operations, including if the Commission agreed with concerns that the CIO and Staff Director 

should have a full-time dedicated person for each position. The Commissioners agreed with this 

concern and added that the salary limit placed on the Staff Director by the FECA is capped at 

Level IV of the Executive Schedule. This statutory requirement provides that the Staff Director 

supervises personnel at the GS-15 and Senior Level pay scales, whom often have higher salaries 

than the Staff Director. Once the Commission promoted the CIO to the Staff Director, the 

Commission allowed him to continue to serve as the CIO and be compensated at that level rather 

than take a pay cut. 

Similarly, the Deputy General Counsel for Law is concurrently serving as the Acting General 

Counsel and has been doing so since September 2016. This has potential to put the agency at 

risk and inhibit the agency to effectively and efficiently meet its mission requirements, as robust 

internal dialogue and diversity of opinion are essential to ensuring the agency considers 

competing legal theories and courses of action. 

The Committee on House Administration of the U.S. House of Representatives similarly 

inquired as to why the position of General Counsel had not been permanently filled. In response, 

the Commission identified that the FECA requires the General Counsel to be paid at Level V of 

the Executive Schedule and that this limitation can make difficult to attract and retain good 

talent. Similar to the Staff Director position, the General Counsel supervises personnel at the 

GS-15 and Senior Level pay scales, which often provide higher salaries than level V of the 

Executive Schedule. 

Management previously reported that the Commission adopted legislative recommendations 

in 2018, 2017, 2016, 2015, 2014, 2013 and 2011 that urged Congress to remove the statutory 

references to the Executive Schedule in FECA with respect to the FEC Staff Director and 

General Counsel Positions. The removal of that reference would ensure the two positions be 

compensated under the same schedule as the Commission’s other senior managers. 

Filling the CIO and General Counsel Positions with full-time incumbents would help ensure 

the FEC is effectively and efficiently supporting its overall mission objectives. Assigning acting 

personnel to two essential leadership positions on a long-term basis is not an efficient solution. 

Conversely, due to the lack of a quorum, the Commissioners have opted not to approve the 

selections of GS-15 and Senior Level positions. Based on the foregoing and upon renewal of a 

quorum, we encourage the agency to hire or appoint someone to carry out the agency CIO and 

General Counsel duties on a full-time basis. 

Management and Performance Challenge: Cybersecurity 

Protecting data, systems, and networks from threats remains a top challenge. The FEC was 

established to protect the integrity of federal campaign finance by providing transparency and 

enforcing and administering federal campaign finance laws. In doing so, the FEC discloses 

campaign finance data to the public and as a result, encounters large volumes of webpage traffic 

from stakeholders and members of the public. In efforts to streamline transparency initiatives 

and improve business processes, the Commission is more technology reliant today, as is society; 

as such, it is imperative that the Commission continue to prioritize cybersecurity. 

Management and Performance Challenges Facing the FEC in FY 2021 7 
Cybersecurity encompasses attempts from criminals and adversaries to obtain sensitive 

information linked to government networks, personal identifiable information, intellectual 

property and other sensitive data. Cyber threats may arise from phishing, ransomware or other 

malware attacks and can infiltrate any level within an organization. 

Since August 2019, the Commission engaged in three joint efforts with the Department of 

Homeland Security (DHS) to improve its overall security posture: 

1. The Commission encountered an issue where an employee was terminated for 

downloading prohibitive software on their FEC-issued laptop. This incident prompted FEC 

management to partner with the DHS Cybersecurity and Infrastructure Security Agency (CISA) 

Hunt and Incident Response Team (HIRT) in August 2019, to perform an assessment to 

determine if an intrusion occurred within the FEC’s network environment. 

2. In January 2020, at the request of the OIG, the CISA HIRT performed a Risk and 

Vulnerability Assessment (RVA) of the FEC network which included a penetration test and 

phishing assessment. 

3. In May 2020, CISA performed a Security Assessment Review (SAR) to assist with 

identifying additional cyber risks. 

As a result of the foregoing reviews, the DHS teams identified potential risks and provided 

recommendations to improve the FEC’s overall security posture. Additionally, in efforts to help 

safeguard the Commission’s network and instill a culture of cybersecurity, all staff, including 

contractors, are required to successfully complete recurring information security training. 

It is essential that the Commission continue to maintain the integrity and availability of its 

information as it looks to modernize its systems, which include moving towards a cloud 

environment. In large part, the agency has been reactive to cybersecurity concerns and we 

encourage the Commission to be proactive in establishing a cybersecurity framework and 

strengthen internal controls to mitigate external threats from entering the FEC’s network. 

 

Conclusion 

The OIG presents these challenges as previous and evolving issues facing the FEC in FY 

2021. The challenges serve as impending barriers to promote efficiency and effectiveness in the 

management of FEC operations and procedures. The OIG remains dedicated to independent 

oversight to ensure accountability of the mission of the FEC. 

FY 2020 Management Challenges not Included in FY 2021 Report 

Management Challenge: Address outstanding OIG audit recommendations 

The OIG and FEC have made tremendous progress in resolving 29 recommendations since 

August 2018. The OIG acknowledges that from November 2018 to August 2019, the FEC OIG 

lacked an Inspector General and Deputy Inspector General and, as a result, could not approve 

actions requested to close outstanding recommendations. 

Management and Performance Challenges Facing the FEC in FY 2021 8 
Currently, there are 21 outstanding audit recommendations that date back to 2010. The agency 

should continue to devote attention to address the outstanding recommendations in efforts to 

ensure adequate internal controls are identified, documented, and implemented. The OIG will 

continue to promote ongoing and recurring discussions with management to help focus attention 

to current processes and recommend specific actions to close out remaining recommendations. 

Management Challenge: Address results from the annual FEVS and 2016 Root Causes of 

Low Employee Morale Study 

In the OPM Human Capital Management Evaluation report of the FEC dated August 13, 2019, 

OPM identified that FEC lacks a formal process for using FEVS results to inform management 

decisions and focus improvement efforts. The OIG believes that implementing a formal process 

to address employee concerns would further benefit the agency and increase employee morale. 

The agency continues to make strides in improving agency morale through the improvements in 

management training, professional development, and increased communications. Management 

should continue to develop and implement action plans to address these concerns. 

The Commission stated that it planned to launch an outreach program to learn from staff how 

best to build on the successes reported in the 2019 FEVS and how to address those employee 

issues that continue to require management’s focused attention. The OIG acknowledges that this 

effort will take time and we plan to revisit this concern at a later date. 

Management and Performance Challenges Facing the FEC in FY 2021 9 
 

Federal Election Commission 

Offce of the Inspector General 

REPORT 

FRAUD, WASTE, & ABUSE 

OIG Hotline Portal 

https://fecoig.ains.com 

* Also accessible via: 

http://www.fec.gov/oig 

OIG Hotline Phone 

202-694-1015 

* Available from 9:00 a.m. to 5:00 p.m. 

Eastern Standard Time, Monday through 

Friday, excluding federal holidays. 

Or you may call toll free at 1-800-424-9530 (press 0; then dial 1015). You may also file 

a complaint by completing the Hotline Complaint Form (http://www.fec.gov/oig) and 

mailing it to: 1050 First Street, N.E., Suite 1010, Washington DC 20463. 

Individuals including FEC and FEC contractor employees are encouraged to alert the OIG to fraud, waste, abuse, and 

mismanagement of agency programs and operations. Individuals who contact the OIG can remain anonymous. However, 

persons who report allegations are encouraged to provide their contact information in the event additional questions 

arise as the OIG evaluates the allegations. Allegations with limited details or merit may be held in abeyance until further 

specific details are reported or obtained. Pursuant to the Inspector General Act of 1978, as amended, the Inspector 

General will not disclose the identity of an individual who provides information without the consent of that individual, 

unless the Inspector General determines that such disclosure is unavoidable during the course of an investigation. To 

learn more about the OIG, visit our Website at: http://www.fec.gov/oig. 

Together we can make a difference! 
 

 

 

 

 

 

Management’s Response to the Office of Inspector General’s Statement on the 

Federal Election Commission’s Management and Performance Challenges1 

November 13, 2020 

In its Statement on the FEC’s Management and Performance Challenges (“Statement”), the 

Office of the Inspector General (“OIG”) identified five overarching management and 

performance challenges for inclusion in the FEC’s Agency Financial Report for Fiscal Year 

2020. Management’s response to the OIG statement is below. 

Challenge 1: Growth of Campaign Spending 

As illustrated in the OIG’s description of this management challenge, increases in the amount of 

money raised and spent in federal elections, and changes in the way political committees raise and 

report contributions, have resulted in explosive growth in the number of campaign finance 

transactions reported to the FEC each election cycle. Each of these transactions represents a data 

element that must be received by the FEC, added to our database and disclosed and made 

searchable on the FEC website and via the FEC campaign finance API. 

In large part in response to projected increases in campaign finance activity, in FY 2015 the FEC 

proactively launched a comprehensive, multi-year IT Modernization project. Since this project was 

launched, the Commission has requested and received as part of its annual budget funds to support 

this crucial effort. As part of the IT Modernization project, the FEC redesigned its website and 

migrated both the website and the campaign finance database that supports it to a cloud 

environment. In addition to providing faster and easier access to campaign finance data hosted in 

the cloud, this migration allowed the agency to shut down one of its physical data centers during 

FY 2018, realizing attendant costs associated with maintaining that data center. During FY 2020, 

the FEC made additional database enhancements to improve database performance and control 

costs of hosting and maintaining the database. 

To continue to mitigate an anticipated steep rise in future cost from maintaining physical data 

centers, the FEC is pursuing a modernization plan which requires investment now and over the 

next several years to continue cloud migration and realize improvements in its IT processes. 

During FY 2020, the FEC conducted a study to determine how best to migrate other appropriate 

systems and databases to the cloud, allowing the agency to realize greater efficiency and 

performance in future years. The FEC will continue to implement the recommendations of this 

study during FY 2022 with the goal of reducing costs in future years while maintaining high levels 

of service to the public. 

In addition, the FEC is currently working to upgrade the agency’s eFiling platform. In order to 

reduce the financial burden of compliance for committees and other individuals and groups who 

must file with the FEC under the Federal Election Campaign Act (the Act), the FEC provides 

access to free filing software. In FY 2017, the Commission published a study of its current eFiling 

platform, including a survey of the existing functionality of the FEC’s free filing software and an 

1 Management consists of the agency’s senior managers, including the Staff Director, General Counsel 

and Chief Financial Officer. 
 

in-depth investigation of needs expressed by filers.2  The FEC will rely on the recommendations 

of this study to improve its eFiling platform to allow greater operating system flexibility for users 

when generating filings for submission to the Commission and increase the consistency and 

accuracy of reporting. The FEC’s new eFiling platform is expected to improve the process for 

validating filings prior to acceptance and generate modern file outputs that will provide for more 

flexibility in accessing data. The FEC had expected to begin the implementation phase of this 

project during FY 2021. However, COVID-19 related delays in onboarding new staff and 

contractors subsequently contributed to delays in the FEC’s efforts to complete the development 

phase of the eFiling platform during FY 2020. As a result, the FEC expects to begin partial 

implementation of the new eFiling system during FY 2021. 

Campaign finance reports filed on paper remain the most costly filings for the FEC because they 

must be manually received and processed by FEC staff. The Commission has also taken steps to 

reduce this burden on the agency. Most notably, in 2000 the Commission began requesting through 

Legislative Recommendations that the Act be amended to make the FEC the point of entry for 

Senate filings. This amendment, which became law in September 2018, had the effect of subjecting 

Senate filers to the FEC’s mandatory electronic filing rules, which require committees to file 

electronically if they receive contributions or make expenditures in excess of $50,000 in a calendar 

year or expect to do so. In 2018, the Commission recommended legislative changes to require 

reports of electioneering communications to be filed electronically with the Commission, rather 

than on paper and to increase and index for inflation certain registration and reporting thresholds. 

If enacted, each of these recommendations would have an effect of further reducing the number of 

paper filings received by the FEC.3 

Challenge 2: Lack of a quorum 

The Commission was without a quorum of four Commissioners for approximately 11 months 

during FY 2020, and began FY 2021 without a quorum.4 However, the President has nominated 

Allen Dickerson, Shana M. Broussard and Sean J. Cooksey to become FEC Commissioners, and 

those nominations are currently pending before the Senate. 

Management agrees that the present lack of a quorum presents challenges for agency staff and 

managers. In the agency’s Enterprise Risk Profile, management has listed the potential lack of 

quorum as a very high risk since FY 2018. 

While the Act requires an affirmative vote by four Commissioners to make decisions in many 

areas, including regulations, advisory opinions, audit matters and enforcement, the Commission 

remains open for business. Staff continues to further the agency’s vital mission of administering 

the nation’s campaign finance laws. 

The requirements of the Act and Commission regulations remain in effect, and political 

committees and other filers must continue to disclose their campaign finance activity to the 

2 Available at https://fec.gov/about/reports-about-fec/agency-operations/e-filing-study-2016/. 3 The Commission lacked the necessary quorum of Commissioners to approve Legislative Recommendations in 2019. 

4 The FEC began FY 2020 without a quorum. A quorum was restored on June 5, 2020, when Commissioner James E. “Trey” 

Trainor, III, was sworn in. The FEC again began working without a quorum on July 3, 2020, with the departure of Commissioner 

Caroline C. Hunter. 
 

 

Commission on the regular schedule. FEC staff remains ready to help committees and the public 

understand and comply with the law, process and review committee reports including issuing 

Requests for Additional Information, and provide public access to campaign finance data. While 

the Commission cannot take action on many legal matters, staff continues to litigate ongoing 

court cases, process new enforcement complaints and responses, conduct audits that were 

previously authorized by the Commission, and investigate matters previously authorized by the 

Commission. 

Commission Directive 10, Section L sets forth the rules of procedure to be followed when the 

Commission has fewer than four sitting members and includes a list of matters on which the 

Commission may still act. These include notices of filing dates, non-filer notices, debt settlement 

plans, administrative terminations, and appeals under the Freedom of Information and Privacy 

Acts. The Commission intends to comply with the statutory requirement set forth at 52 USC 

§30106(d) that the Commission meet at least once each month. 

During the brief period the Commission had a quorum in FY2020, the Commission closed 33 

MURs, 39 ADR matters, and 206 Admin Fine matters, totaling $842,413 in administrative fines 

and penalties assessed. Management continues to prioritize matters so that the Commission can 

quickly act on pending matters upon the resumption of quorum and is prepared for the 

restoration of a quorum at any time. 

Challenge 3: COVID-19 Pandemic 

As noted, Senior Management moved swiftly and efficiently to implement policies and 

workplace flexibilities to respond to the COVID-19 pandemic. Prior to the official declaration of 

a pandemic, Senior Management met and held informational sessions with staff to strongly 

encourage employees to telework. Immediately, a management team was assembled to stay upto-date on changing circumstances and make recommendations to the Commission. With the 

strong backing of Chair Hunter, Vice Chair Walther, and Commissioner Weintraub, the COVID19 management team quickly moved to implement workplace flexibilities, including enhanced 

telework, maxi-flex hours and administrative leave for employees with childcare and elder care 

responsibilities. The COVID-19 management team holds weekly briefings with the Commission 

to keep them abreast of the situation and ensure they are aware of any changes to the building 

operating status and impacts to our employees. Management’s number one priority continues to 

be the safety of all FEC staff. The COVID-19 management team also began a weekly update 

email that is sent every Friday to alert staff to upcoming events, new guidance and general 

reminders. The weekly update has been well received by staff and managers. 

Management continues to closely monitor the situation and is pleased to report that nearly all 

FEC functions have been seamlessly transitioned to the telework environment and that agency 

performance goals are continuing to be met. Senior Management and the Commission have been 

holding virtual meet and greet sessions for new FEC staff and also held an all employee town 

hall in September. Senior Leaders are regularly holding division meetings to check on staff and 

hear any concerns they may raise. 

The Administrative Services Division has been procuring personal protective equipment (PPE) 

for staff going in to the building as part of Phase I operations. ASD has also installed signage 
 

regarding social distancing and shared space guidelines throughout the building in preparation of 

the return of FEC staff in the future. ASD continues to communicate with building management 

about the status of FEC operations. 

Members of the COVID-19 management team have been participating in government-wide 

groups including: OMB small agency group, OPM CHCO/HR Director group, General Counsel 

Exchange, and the CIO/CISO council. 

Challenge 4: Lack of full-time Chief Information Officer (CIO) and General Counsel Positions 

Management fully supports the Commission’s ongoing efforts to fill vacant leadership positions 

and to ensure senior leadership roles are filled by separate individuals. The Commission 

specifically addressed this issue in response to questions posed by the Committee on House 

Administration. In its May 1, 2019, response, the Commission stated: 

All of the Commissioners agree that the Commission should have separate individuals 

filling the senior leadership roles of Staff Director and CIO. As is true of the General 

Counsel position, the salary limit placed on the Staff Director by the FECA (Level IV of 

the Executive Schedule) means that the Staff Director supervises personnel whose 

positions, on the GS-15 and Senior Level pay scales, often provide higher salaries than 

the statutory salary for the Staff Director. The Commission has long recommended that 

Congress de-link the Staff Director’s salary from the Executive Schedule. 

When the Commission promoted our CIO to Staff Director, we allowed him to continue 

to serve as CIO and be compensated at that level rather than absorb a substantial pay cut 

in order to accept the promotion. This has allowed the Commission to maintain 

consistency in its most senior staff leadership.5 

 

Because of the challenges in maintaining consistent senior leadership, the Commission 

unanimously adopted a Legislative Recommendation in 2018, 2017, 2016, 2015, 2014, 2013 and 

2011 that urges Congress to address this situation. Specifically, the Commission recommends 

that Congress remove the statutory bar on the FEC’s participation in the Senior Executive 

Service (SES) Program and remove the statutory references to the Executive Schedule in FECA 

with respect to the General Counsel and Staff Director, so that those two positions would be 

compensated under the same schedule as the Commission’s other senior managers. This revision 

would remedy the current situation where the Commission’s top managers are compensated at a 

lower rate than many of their direct reports, and would ensure that the Commission can retain 

highly qualified individuals to serve in those positions as well as enable it to remain competitive 

in the marketplace for Federal executives when filing the current vacancy or when further 

vacancies arise. 

Due to a lack of quorum and in accordance with Commission Directive 10, the Commission is 

unable to approve the selections of GS-15 and Senior Level positions. During the brief 

5 https://www.fec.gov/about/committee-on-house-administration-april-2019-questions/ 
restoration of a quorum in FY2020, the Commission approved the permanent selection of the 

Director of Human Resources. The Personnel Committee has approved the following positions to 

be filled on a permanent basis: Assistant General Counsel for Litigation and Assistant General 

Counsel for Enforcement. Upon resumption of quorum, management anticipates the hiring 

process for these and other SL and GS-15 positions to be quickly completed. 

Management continues to work with the Personnel and Finance Committees for approval to post 

and hire qualified individuals for all of the identified positions. As the senior leadership 

vacancies are filled, the Personnel and Finance Committees will closely scrutinize any remaining 

vacancies. In light of the current federal budget conditions, prudent management requires that 

close examination is paid to the potential impact of each vacancy that is approved to hire. The 

Personnel and Finance Committees are committed to analyzing the current FEC workforce and 

looking ahead to fiscal years in order to avoid having to implement a reduction in force. 

Challenge 5: Cybersecurity 

The FEC secures the agency’s infrastructure and prevents intrusions through a holistic 

cybersecurity program led by the Chief Information Security Officer (CISO). The FEC’s 

overarching strategy to protect the security and privacy of its systems and network begins with 

the adoption of the National Institute of Standards and Technology (NIST) Risk Management 

Framework and NIST IT security control “best practices.” NIST Special Publication 800-37 2 – 

Risk Management Framework for Information Systems and Organizations,” identifies seven 

steps essential to the successful execution of the risk management framework (RMF): 

• Prepare to execute the RMF from an organization- and a system-level perspective by 

establishing a context and priorities for managing security and privacy risk. 

• Categorize the system and the information processed, stored, and transmitted by the 

system based on an analysis of the impact of loss. 

• Select an initial set of controls for the system and tailor the controls as needed to reduce 

risk to an acceptable level based on an assessment of risk. 

• Implement the controls and describe how the controls are employed within the system 

and its environment of operation. 

• Assess the controls to determine if the controls are implemented correctly, operating as 

intended, and producing the desired outcomes with respect to satisfying the security and 

privacy requirements. 

• Authorize the system or common controls based on a determination that the risk to 

organizational operations and assets, individuals, other organizations, and the Nation is 

acceptable. 

• Monitor the system and the associated controls on an ongoing basis to include 

assessing control effectiveness, documenting changes to the system and environment of 

operation, conducting risk assessments and impact analyses, and reporting the security 

and privacy posture of the system. 

The FEC currently employs this continuous monitoring and ongoing authorization approach to 

assess the risk to systems and networks and allow the authorizing official to determine whether 

that risk is acceptable. Three of the FEC’s major systems follow the formal Authority to Operate 

(ATO) process: the General Support System, the FEC website and the FEC’s eFiling system. 
Robust Security Architecture 

As a result of, and in support of, the RMF, the FEC’s Office of the Chief Information Officer 

(OCIO) continues to take steps to implement a robust security architecture. For example, in 

partnership with the Department of Homeland Security (DHS), Massachusetts Institute of 

Technology and the Pacific Northwest National Laboratory, the OCIO has collaborated with 

FEC stakeholders and technical experts to identify, protect, detect, and respond to the impact of 

known and unknown threats, continuously assessing security controls and addressing the 

remaining residual risks. 

As identified in OIG’s description of this management challenge, the FEC has proactively 

pursued three significant joint efforts with DHS over the past two years to better identify and 

remediate emerging threats to the FEC’s systems and networks. In addition, the FEC maintains 

ongoing information security efforts, including our security operation center and the applications 

for continuous diagnostics and mitigation, and implementing security controls to address 

identified cybersecurity gaps. These efforts help to ensure that identified risks are appropriately 

addressed and that its cybersecurity program and security architecture will continue to safeguard 

the agency’s infrastructure, networks, and applications against cyber threats and malicious 

activities. 

Continuous Monitoring and Mitigation 

OCIO Security has worked with DHS to improve security capability by integrating with the 

Continuous Diagnostics and Mitigation (CDM) program. OCIO Security has also introduced the 

use of secure baselining standards, such as the use of DISA STIGS and Benchmarks. System 

hardening and secure baselining practices are being expanded in OCIO teams. The OCIO 

security team has developed a privileged user account agreement and a new password policy to 

add administrative controls to supplement the technical access controls. The addition of the new 

password policy and multi-factor authentication (MFA) has improved the security posture of 

authentication types within the FEC’s information systems. 

Cloud-First Initiative 

The FEC has also adopted a cloud first initiative for security, accessibility and recoverability. 

Hosting systems and data in a cloud environment allows the FEC to utilize our cloud service 

providers’ significant resources that are dedicated to maintaining the highest level of security. In 

addition, by utilizing the cloud service providers’ robust disaster recovery solutions, the FEC 

eliminates the need to maintain physical disaster recovery sites, which are costly to maintain and 

secure. The FEC has already completed the migration of its largest database, the campaign 

finance database, and its website to a cloud environment. The FEC’s new website, launched in 

May 2017, uses FedRAMP Authorized cloud services, which provides a standardized approach 

to security assessment, authorization, and continuous monitoring for cloud products and services. 

Building a Cybersecurity Culture 

At the same time, the FEC is working to build a cybersecurity culture among its employees. The 

first line of defense in maintaining the protection and integrity of the agency’s network is the 

ongoing education of employees about their role in identifying and preventing malicious 

actors—internal or external—from compromising the FEC’s systems and networks. Efforts to 
 

build a cybersecurity culture include steps to educate staff about FEC IT security policies and to 

ensure staff awareness of potential cybersecurity threats, such as phishing scams. The FEC 

promotes this cybersecurity culture in part through annual, mandatory IT security trainings and 

through year-round communication and notices to staff from the CISO. This year, the FEC 

implemented additional trainings for all staff to help staff recognize and avoid social engineering 

attempts. 

Building Capacity in the Information Security Office 

The FEC has also taken steps to build capacity in its Information Security Office. In April 2019, 

the FEC entered into a partnership with the Partnership for Public Service to participate in the 

Cybersecurity Talent Initiative. This selective, cross-sector program, which provides loan 

forgiveness to top bachelors and masters graduates around the United States in exchange for at 

least two-years’ service at a Federal agency, addresses the immediate cybersecurity talent 

deficiency faced by Federal government agencies by attracting service-minded individuals to 

government who might not otherwise have applied. During FY2020, the FEC completed the 

selection process and brought on board an individual for a two-year cybersecurity fellowship. 

Management Challenge: Addressing outstanding OIG audit recommendations 

Management looks forward to continuing to work with the Office of Inspector General to close 

out the remaining audit recommendations. During FY 2020, significant progress was made on 

addressing several recommendations, particularly related to the FEC’s Disaster Recovery Plan 

and Continuity of Operations Plans, Audit of the FEC’s Office of Human Resources, Audit of 

the Privacy Act and Audit of the FEC Telework Program. Management would like to note that 

some of the remaining items are dependent on creating or updating existing FEC policies which 

will require a Commission vote after a quorum has been restored. 

Management looks forward to continued discussions with the OIG on the remaining 

recommendations. Management believes these discussions will help focus attention on current 

processes and allow OIG to identify recommendations that align with current high-risk areas. 

Management Challenge: Address results from the annual FEVS and 2016 Root Causes of Low 

Employee Morale Study 

The Commission understands that the success of its programs depends upon the skills and 

commitment of its staff. During FY 2020, management undertook several initiatives and 

programs to engage staff, especially during the COVID-19 pandemic. 

FY 2020 saw the launch of the FEC Engagement Steering Committee. This group is led by CoCoordinators Rhiannon Magruder and Greg Baker who have been participating in a smallagency Engagement Collective through the Partnership for Public Service. The Senior Leaders 

received briefings on employee engagement throughout FY 2020 and have instituted several 

suggestions, including division Zoom calls and the employee town hall. 

In collaboration with the agency’s EEO Office, the Diversity and Inclusion Council was 

launched with the support of all Senior Leaders and the Commission. As part of the Diversity 
and Inclusion Council, employee resource groups will be established. Senior management has 

also worked to ensure that hiring panels are diverse throughout the agency. 

During FY 2020 and the first quarter of FY 2021, management has continued to partner with 

OPM to bring in trainings for both managers and staff. The following courses were provided: 

Engaging & Encouraging Employees, Coaching & Mentoring for Excellence, Dealing with Poor 

Performance & Conduct, Supervisory Fundamentals and Leadership Skills for Non-Supervisors. 

Upcoming courses open to all FEC staff include Resilience in Leadership and Emotional 

Intelligence. Additionally, many staff members have taken part in free virtual webinars and 

courses through OPM and the Employee Assistance Program.