Semiannual Report to Congress 

October 1, 2018 – March 31, 2019 

May 2019 

Federal Election Commission - Offce of Inspector General 

1050 First Street, N.E., Suite 1010, Washington, D.C. 20463 



Office of Inspector General Semiannual Report to Congress
v 

April 1, 2013 - September 30, 2013

v 

October 1, 2018 – March 31, 2019

Table of Contents 

Executive Summary 1 

OIG Audit Activity 3 

OIG Audit Follow-up Activity 4 

OIG Hotline Information 5 

OIG Investigative Information 6 

Additional OIG Activity 7 

Council of the Inspectors General on Integrity and Efficiency (CIGIE) Activity 8 

OIG Contacts 9 

List of Training, Meetings and Conferences Attended by OIG Staff 10 

Reporting Requirements 12 

Table I – Questioned Costs 14 

Table II – Funds Put To Better Use 15 

Table III – Summary Of Audit And Inspection Reports With 16 

Corrective Actions Outstanding For More Than Six Months 

Table IV – Summary of Investigative Reports 17 

Appendix A: Peer Review Results 18 

Appendix B: Review of Outstanding Recommendations as of March 2018 19 

Appendix C: The Federal Election Commission 20

 Office of the Inspector General 
1

April 1, 2013 - September 30, 2013

1 

October 1, 2018 – March 31, 2019

 

 

 

Executive Summary 

The Inspector General Act of 1978, as amended 

(IG Act), states that the Inspector General (IG) is responsible for: conducting audits and investigations; 

recommending policies and procedures that promote 

economy, efficiency, and effectiveness of agency resources and programs; and preventing fraud, waste, 

abuse, and mismanagement. The IG Act also requires 

the IG to keep the Federal Election Commission 

(Commission or FEC) and Congress fully and currently informed about problems and defciencies in the 

Commission’s operations and the need for corrective 

action. 

This semiannual report includes the major accomplishments of the FEC Office of Inspector General (OIG), 

as well as relevant information regarding additional 

OIG activities. The executive summary highlights the 

most signifcant completed activities of the OIG. The 

honesty, integrity, and diligent work of our entire IG 

staff make the accomplishments of the OIG possible. 

During this semiannual reporting period, the Deputy IG 

(DIG) position became vacant due to James Cameron 

Thurber’s resignation on November 9, 2018. In addition, Ms. Brenda Bowie was selected prior to the departure of the former DIG as the Special Assistant to 

the IG and joined the OIG staff on February 4, 2019. 

The FEC OIG has been without a permanent or Acting 

IG since March 2017. The OIG was led in part by the 

DIG prior to his resignation. Since the DIG’s departure, 

the OIG has been operating under a limited scope. 

The absence of an IG and DIG during this reporting 

period is impeding on the mandatory requirements of 

the IG Act and the supporting OIG administrative actions. Some critical examples are as follows: 

• FY 2019 Financial Statement Audit – There 

is a high risk that the FEC’s mandatory annual 

fnancial statement audit cannot be completed to 

render an audit opinion of the agency’s fnancial 

statements by the November 15 deadline, as 

mandated by the Accountability Tax Dollar Act 

of 2002. The absence of an IG or DIG prevents 

approval of an audit contract for an independent 

public accounting frm to conduct the 2019 

fnancial statement audit. The FEC’s former 

independent public accountant frm, Leon 

Snead & Company, is no longer in business 

due to its founder’s retirement. As of the closing 

of this SAR reporting period, there may not be 

enough time to potentially hire a contractor and 

also adequately complete a full audit by the 

mandated November 15 deadline. If the audit 

is not completed, in compliance with applicable 

government auditing standards, it will have an 

impact on FEC’s FY 2019 audit opinion. 

• DATA Act Audit – With the absence of an Acting 

IG, the mandatory DATA Act audit cannot be 

completed because the current office staff does 

not have the required authority to approve the 

necessary audit workpapers and fnal report. 

• Open Audits – The OIG cannot fully complete 

or open new audits or reviews planned or 

reported in our FY 2019 work plan without an 

Acting IG to approve audit plans, workpapers, or 

fnal reports. The OIG has continued to work on 

existing audits in a limited capacity. Therefore, 

there are no audits closed this reporting period. 

• Investigating Criminal and Administrative 

Allegations – The OIG has continued to 

open hotline and investigations as allegations 

are forwarded to the office as required by 

the Inspector General Act. However, due to 

the absence of a permanent IG or Acting 

IG, the office has limited its scope regarding 

document requests, has not issued needed 

subpoenas and other information that requires 

an authorizing signature. The lack of an Acting 

IG has impeded the process of sufficiently 

conducting investigations. As a result, some 

leads and information submitted to the OIG 

have become dormant. However, the OIG has 

continued to work on investigations in a limited 

capacity. 
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• Finalizing Investigative Reports – The OIG has 

not released any fnal Reports of Investigations 

because the reports require an Acting IG 

signature. Therefore, there were no investigative 

reports closed this reporting period. 

• Peer Reviews - In the absence of an Acting 

IG, the OIG would have to postpone receiving 

the upcoming audit and investigative peer 

reviews. Additionally, the OIG would not be able 

to participate in conducting peer reviews as 

required by audit and investigative standards. 

• Budget/Contract Execution - As the highest 

ranking member of the OIG, the Counsel to 

the IG, has requested and received budget 

information. The Counsel is limited in oversight 

of the budget and cannot approve or make 

budgetary decisions. In addition, the OIG has 

not extended or approved any current or new 

contracts. As a result, some contracts, which 

are used in support of OIG daily operations, 

have lapsed or are in jeopardy of lapsing as the 

new fscal year approaches. 

• Personnel Actions - Due to the absence of an 

IG and DIG, current staff did not receive a midyear review and are in jeopardy of not having 

an annual performance review completed 

for the current fscal year. In addition, the 

new Special Assistant to the IG has not had 

an annual performance plan developed or 

approved since coming onboard February 2019. 

As yearly reviews are fnalized in July, the Office 

of Personnel Management (OPM) requires 

that employees’ performance be reviewed by a 

manager who has held the capacity for at least 

three months. In order to comply with OPM 

requirements, a permanent or acting IG would 

have to be hired before April 30 to conduct 

yearly reviews of staff. 

• Required Professional Training – OIG Auditors 

and the Counsel/Investigator are required to 

take continuing education courses to maintain 

professional credentials and meet applicable 

professional standards. The applicable staff is 

not able to take many of the mandatory courses 

as they require payment approval by the IG or 

Acting IG. 

The former DIG and current FEC OIG staff have 

expressed our concerns to the FEC Commissioners 

regarding the absence of an Acting or Permanent 

IG, and the need for this position to be flled on an 

acting or permanent basis. Despite all the above, 

the OIG staff is committed to performing its duties to 

the fullest extent possible given the current structure 

of the office. The staff also continues to be involved 

and make contributions to the Federal IG community through various CIGIE working groups and have 

been engaged with FEC staff following up on audit 

recommendations, and conducting oversight of management policies and procedures. Additional details 

pertaining to each activity (e.g., audits, hotline, and 

investigations) can be found in subsequent sections 

of this report. 
3

April 1, 2013 - September 30, 2013

3 

October 1, 2018 – March 31, 2019

 

OIG Audit Activity 

Audit of Contract Management and Oversight 

Assignment Number: OIG-16-02 

Status: On Hold 

As noted in our prior SAR, the OIG extended the 

due date of the Audit of Contract Management and 

Oversight due to resource constraints and various 

OIG mandates. Due to the required extension, the 

OIG planned to provide FEC management with identifed audit issues after the completion of each audit 

section by the end of the frst quarter of FY 2019. 

However, the OIG was unable to complete this task 

due to the departure of the Deputy Inspector General 

in November of 2018.As the IG and the Deputy IG are 

the only two positions authorized to approve audits 

and all associated workpapers, and the Commission 

has not appointed a permanent or Acting IG, the OIG 

has been unable to complete these audit tasks. This 

audit is currently on hold until a permanent or Acting 

IG is appointed. 

Audit of the FEC’s FY 2018 Financial Statements 

Assignment Number: OIG-18-01 

Status: Completed 

During this reporting period the independent public 

accountants, Leon Snead & Company (LSC), completed fnal testing and issued the agency’s FY 18 

fnancial statement audit report. Management was 

issued the draft report for review and comment and 

the exit conference was held on November 9, 2018 

to discuss the draft report and audit fndings. LSC 

determined that the FEC’s fnancial statements were 

presented fairly, in all material respects, but also 

reported a signifcant defciency in internal controls 

related to information technology security. 

The audit report contained nine audit recommendations, and a management letter was also provided to 

management related to reconciling trading partner 

transactions. Due to the IG vacancy and the Deputy 

IG’s resignation from FEC, the fnal audit report was 

signed and distributed on behalf of the OIG by the 

Counsel to the IG and the OIG’s Senior Auditor, as 

the IG’s Counsel reviews all fnal OIG reports prior to 

distribution, and the OIG’s Senior Auditor contractually has primary oversight of the FY 2018 fnancial 

statement audit as the OIG’s Certifed Contracting 

Officer Representative. 
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OIG Audit Follow-up Activity 

Office of Inspector General’s Review of 

Outstanding Recommendations as of February 

2019 

Status: Completed 

The OIG provides the Commission with a semiannual report of outstanding recommendations that 

contains details of the follow-up work conducted by 

the OIG and the status of the outstanding OIG audit 

and inspection recommendations. In the absence of 

a permanent or acting Inspector General, the OIG 

provided the Commission with a copy of all the corrective action plans (CAP) for each open OIG report, 

in lieu of an official report on March 29, 2019. 

For this review, we continued follow-up with management regarding the following seven (7) open audits 

and inspections, containing a combined total of 50 

outstanding recommendations as of August 2018: 

• 2010 Follow-up Audit of Privacy and Data 

Protection (outstanding 8 years) 

• 2010 Follow-up Audit of Procurement and 

Contract Management (outstanding 7 years) 

• Inspection of the FEC’s Disaster Recovery 

Plan and Continuity of Operations Plans 

(outstanding 6 years) 

• Audit of the FEC’s Office of Human 

Resources (outstanding 5 years) 

• Inspection of the FEC’s Compliance with 

FMFIA/OMB A-123 (outstanding 4 years) 

• Audit of the FEC Telework Programs 

(outstanding 2 years) 

• Required Review Under the DATA 

Act (outstanding 1 year) 

Since the OIG’s last report, we were able to close a 

total of seven recommendations; three from the 2010 

Follow-up Audit of Privacy and Data Protection, 

two recommendations from the Audit of the FEC 

Telework Programs, and two from the Inspection of 

the FEC’s Compliance with FMFIA/OMB A-123. As 

a result of these closures, collectively there are 43 

outstanding recommendations remaining from the 

seven open OIG reports. 
5

April 1, 2013 - September 30, 2013

5 

October 1, 2018 – March 31, 2019

OIG Hotline Information 

The OIG Hotline exists to enable FEC employees, 

FEC contractors, and the public to have direct and 

confdential contact with the OIG. All allegations and 

referrals of fraud, waste, abuse, mismanagement, 

and misconduct involving FEC employees, contractors, programs, operations, property, or funds received through any means are termed “hotline complaints” per OIG policy. Once a hotline complaint has 

been received, a preliminary inquiry is conducted to 

determine whether the hotline complaint will have an 

investigation initiated, referred to management or another agency, or closed with no further action taken. 

The OIG considers many factors when evaluating whether to open an investigation based on a 

hotline complaint, and acknowledges that every 

hotline complaint received by the OIG will not be 

investigated, and in many cases a complaint does 

not merit an investigation. OIG policy requires that 

hotline complaints be evaluated on certain criteria, 

including the merits of an allegation, the availability 

of evidence, and the existing priorities, commitments, 

and resources of the OIG. Under this policy, hotline 

complaints are classifed as either high or low priority 

complaints. High priority complaints are investigated 

and low priority complaints are either closed with no 

action or referred to the appropriate FEC official for 

possible further review. Often, a hotline complaint will 

be closed because a preliminary inquiry found the 

allegations to be unsubstantiated, there is a lack of 

information to proceed, or the issue giving rise to the 

allegation has been otherwise resolved. Hotline evaluation decisions are made by the Chief Investigator, 

with concurrence from the IG. 

The OIG frequently receives reports and allegations 

which are misdirected complaints that should have 

been routed to the Office of Complaints and Legal 

Administration within the Office of General Counsel 

(OGC), are outside the jurisdiction of the OIG or the 

FEC, or are facially unsubstantiated or meritless. In 

cases of misdirected complaints, a response is sent to 

the individual referring him or her to the proper office 

or other agency. In some limited instances where a 

misdirected communication does not concern a campaign fnance violation but falls under the purview of 

another FEC component or government agency, the 

inquiry may be redirected and sent to the appropriate office or agency directly from the OIG. Reviewing 

and, where appropriate, responding to these reports 

and allegations when aggregated can entail a signifcant amount of staff time and effort, despite the fact 

that they are not valid hotline complaints. In order to 

capture and document these hotline contacts, the 

OIG created a category for “hotline inquiries” that do 

not meet the criteria for hotline complaints. 

During this reporting period, 13 new hotline complaints were opened and 21 hotline complaints were 

closed; eight hotline complaints remain open. 
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OIG Investigative Information 

OIG investigations seek out facts related to allegations 

of wrongdoing. OIG investigations may address administrative, civil, and criminal violations of laws, regulations, and policies. The subject of an OIG investigation can be any agency employee, an FEC contractor, 

consultant, or a person or entity involved in alleged 

wrongdoing affecting FEC programs and operations. 

As discussed in OIG Hotline Information, all hotline 

complaints are evaluated to determine if they warrant an investigation. If an investigation is opened, 

the hotline complaint is closed and merged into the 

investigative fle. OIG investigations involve a detailed 

examination or inquiry into issues brought to our attention by various sources, and may include interviews 

of relevant witnesses and subjects, document reviews, 

and computer forensic examinations. At the conclusion 

of an OIG investigation, the OIG prepares a report that 

sets forth the allegations and an objective description 

of the facts developed during the investigation. 

During this reporting period eight new investigations 

were opened, no investigations were closed, one was 

referred to DOJ for criminal prosecution and 12 investigations remain open. As the IG and the Deputy IG 

are the only two positions authorized to approve the 

closure of investigations and the Commission has not 

appointed a permanent or acting IG, the OIG has been 

unable to close pending investigations. The closure of 

investigations are currently on hold until a permanent 

or acting IG is appointed. 
7

April 1, 2013 - September 30, 2013

7 

October 1, 2018 – March 31, 2019

 

Additional OIG Activity 

Besides conducting audits, inspections, and investigations, the OIG performs and is involved in an array of additional projects and activities. As required 

by the Inspector General Act of 1978, as amended 

(IG Act), legislation compiled by the Commission’s 

Congressional Affairs office that may affect agency 

programs and operations is reviewed by the OIG. The 

IG Act states that the Inspector General is responsible for: 1) conducting and supervising audits and 

investigations relating to the FEC’s programs and 

operations; 2) detecting and preventing fraud, waste, 

and abuse of agency programs and operations while 

providing leadership and coordination; 3) recommending policies designed to promote economy, effciency, and effectiveness of the establishment; and 

4) keeping the Commission and Congress fully and 

currently informed about problems and defciencies 

in FEC agency programs and operations, and the 

need for corrective action. 

The Inspector General also reviews and provides 

comments, when appropriate, on legislation provided 

by the Council of Inspectors General on Integrity and 

Efficiency (CIGIE) Legislative Committee. In addition, 

the Inspector General routinely reads all Commission 

agenda items. 

During this reporting period, there are no additional 

OIG activities to report. 
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Council of the Inspectors General on Integrity and Efficiency 

Prior to his departure, Deputy Inspector General J. 

Cameron Thurber, attended CIGIE meetings, as well 

as meetings of the Professional Development Sub 

Committee and Small/Unique OIGs. He also instructed CIGIE’s IG Authorities training course. Counsel to 

the Inspector General has attended CIGIE monthly 

meetings in the absence of the permanent or acting 

IG. In addition, OIG staff members continue to attend 

CIGIE breakout meetings for auditors, counsels, and 

investigators. 
April 1, 2013 - September 30, 2013

October 1, 2018 – March 31, 2019

OIG Contacts 

OIG contacts run the gamut, from citizens expressing their views or trying to reach the right FEC component to 

graduate students doing research. Contacts requesting information concerning where to submit a complaint or 

concern are directed to the appropriate FEC component or other agency. Other citizen contacts are handled and 

responded to as appropriate for the circumstances. 

The table below is a refection of the total contacts received by the OIG for the past six months – October 1, 2018 

through March 31, 2019. These contacts were made through various sources such as telephone calls, emails, 

faxes, U.S. mail, and personal visits to the OIG. Those forwarded for action were referred to another FEC component and/or appropriate outside source. 

Total OIG No Action Forwarded 

Contacts Action Necessary for Action 

3,874 332 3,447 95 

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List of Training, Meetings and Conferences 

The chart listed below depicts training, meetings, programs, seminars, and/or conferences attended by the 

IG and the OIG staff for the period October 1, 2018 – March 31, 2019: 

MEETINGS: 

Host / Sponsor Topic / Subject 

Council of Counsels to the Inspectors General 

FOIA Working Group 

Monthly Meetings 

IG Management Meeting 

Small OIG Working Group 

Council of Inspectors General on 

Integrity and Effciency (CIGIE) 

CIGIE DAWG Common Methodology 

FAEC DAWG and GAO Quarterly Coordination Meetings 

CIGIE ERM Working Group 

FAEC FY2019 DATA Act Common Methodology 

Workshop Planning 

Federal Election Commission 

Bi-weekly Directors’ Meetings with IG, Acting GC, 

SD & Acting CFO 

Finance Committee Meetings 

New Employee Orientations 

Administrative Liaison Groups Meetings 

Institute of Internal Auditors IIA DC Chapter 70th Anniversary Event Committee 

Volunteering as DC Chapter Offcer 

10 10
April 1, 2013 - September 30, 2013

October 1, 2018 – March 31, 2019

TRAINING/CONFERENCES/PRESENTATIONS: 

Host / Sponsor 

Association of Certifed Fraud Examiners 

Topic / Subject 

2018 Law Enforcement and Government Anti-Fraud Summit 

Why People Stray Off the Straight & Narrow and The 

Many Faces of Fraud 

Council of the Inspectors General 

on Integrity and Effciency 

5th Annual Leadership Conference 

FY2019 FAEC DATA Act Common Methodology Workshop 

2018 CIGIE Leadership Forum: The Next 40 Years: Innovation,

 Collaboration, and Culture 

Federal Election Commission 

Active Shooter 

EEO No Fear Act Training 

FEC Occupant Emergency Plan 

FEC Privacy Training 

Hatch Act Mandatory Training 

Information Security Awareness 

Inspector General Act and Fraud Awareness 

Mandatory Ethics Training 

Service Animals Etiquette Training 

Sexual Harassment Prevention for Federal Employees 

Transit Beneft Program 

Workplace Safety 

Federal Employment Law Training EEOC Training 

General Services Administration SmartPay Purchase Card Training 

SmartPay Travel Card 

Institute of Internal Auditors IIA DC Chapter 2018 All Star Conference 

The Future of Fraud Risk Management 

Wolters Kluwer CCH TeamMate Conference 

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Reporting Requirements 

Reporting requirements required by the Inspector General Act of 1978, as amended, are listed 

below: 

IG ACT Description Page 

Section 4(a)(2) Review of Legislation 3 

Section 5(a)(1) Signifcant Problems, Abuses, and Defciencies None 

Section 5(a)(2) Recommendations with Respect to Signifcant Problems, Abuses, 

and Defciencies None 

Section 5(a)(3) Recommendations Included in Previous Reports on Which 

Corrective Action Has Not Been Completed (Table III) 16 

Section 5(a)(4) Matters Referred to Prosecuting Authorities 17 

Section 5(a)(5) Summary of Instances Where Information was Refused None 

Section 5(a)(7) Summary of Signifcant Reports 6 

Section 5(a)(8) Questioned and Unsupported Costs (Table I) 14 

Section 5(a)(9) Recommendations that Funds be put to Better Use (Table II) 15 

Section 5(a)(10)(A) 

Section 5(a)(10)(B) 

Section 5(a)(10)(C) 

Summary of Audit Reports issued before the start of the Reporting 

Period for which no Management Decision has been made 

Summary of Audit Reports Issued Before the start of the 

Reporting Period for which No Management Comment was 

Returned Within 60 Days 

Summary of Audit Reports Issued Before the Start of the 

Reporting Period for which There Are Outstanding 

Unimplemented Recommendations 

N/A 

N/A 

19; App. B 

Section 5(a)(11) Signifcant Revised Management Decisions None 

Section 5(a)(12) Management Decisions with which the Inspector General is in 

Disagreement None 

Section 5(a)(14) Peer Review Recommendations 18; App. A 

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April 1, 2013 - September 30, 2013

October 1, 2018 – March 31, 2019

IG ACT Description Page 

Section 5(a)(17), (18) Investigative Reports Table and Metrics (Table IV) 17 

Section 5(a)(19) Investigations Involving a Senior Government 

Employee with Substantiated Misconduct None 

Section 5(a)(20) Instances of Whistleblower Retaliation None 

Section 5(a)(21) Attempts by the Agency to Interfere with OIG Independence None 

Section 5(a)(22) Undisclosed Inspections, Evaluations, Audits, and Investigations None 

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Table I 

Inspector General issued reports with questioned costs (dollar value in thousands) 

Number Questioned 

Costs 

Unsupported 

Costs 

A. For which no management decision has been 

made by commencement of the reporting period 0 0 0 

B. Which were issued during the reporting period 0 0 0 

Sub-Totals (A&B) 

C. For which a management decision was 

made during the reporting period 

(i) Dollar value of disallowed costs 

(ii) Dollar value of costs not disallowed 

D. For which no management decision has been 

made by the end of the reporting period 

0 

0 

0 

0 

0 

0 

0 

0 

0 

0 

0 

0 

0 

0 

0 

E. Reports for which no management decision 

was made within six months of issuance 0 0 0 

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April 1, 2013 - September 30, 2013

October 1, 2018 – March 31, 2019

Table II 

Inspector general issued reports with recommendations that funds be put to better use 

Number Dollar Value 

(In Thousands) 

A. For which no management decision has been made by the 

commencement of the reporting period 0 0 

B. Which were issued during the reporting period 0 0 

C. For which a management decision was made during the 

reporting period 

0 0 

(i) dollar value of recommendations were agreed to by 

management 

based on proposed management action 

0 

0 

0 

0 

based on proposed legislative action 0 0 

(ii) dollar value of recommendations that 

were not agreed to by management 

0 0 

D. For which no management decision has been 

made by the end of the reporting period 

0 0 

E. Reports for which no management decision 

was made within six months of issuance 

0 0 

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Table III 

Summary of audit and inspection reports with corrective actions outstanding for more than six months 

RECOMMENDATIONS 

Cost Savings Report Title Report 

Number 

Issue 

Date Number Closed Open 

2010 Follow-up Audit 

of Procurement and 

Contract Management 

2010 Follow-up Audit of 

Privacy and Data Protection 

Inspection of the Federal 

Election Commission’s Disaster 

Recovery Plan and Continuity 

of Operations Plans 

Audit of the Federal Election 

Commission’s Offce of 

Human Resources 

Inspection of FEC’s Compliance 

with FMFIA/ OMB Circular A-123 

Audit of the FEC’s 

Telework Programs 

Required Review under the 

DATA Act 

OIG-10-02 06/11 

OIG-10-03 03/11 

OIG-12-06 01/13 

OIG-12-05 07/13 

OIG-14-01 06/14 

OIG-15-03 06/16 

OIG-17-05 11/17 

29 28 1 0 

45 25 20 0 

30 23 7 0 

26 23 3 0 

8 6 2 0 

11 4 7 0 

4 1 3 0 

Cumulative Total of Outstanding Recommendations: 43 

Total Cost Savings: 0 

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April 1, 2013 - September 30, 2013

October 1, 2018 – March 31, 2019

 

Table IV 

Summary of Investigative Reports 

Number 

Total Number of Investigative Reports Issued 0 

Total Number of Persons Referred to 

DOJ for Criminal Prosecution 1 

Total Number of Persons Referred to 

State and Local Prosecuting Authorities 0 

for Criminal Prosecution 

Total Number of Indictments and Criminal 

Information Resulting from Any Prior 0 

Referral to Prosecuting Authorities 

Metrics Used for Developing Data for Table IV: 

The Total Number of Investigative Reports Issued refects the number of all Reports of Investigation (ROI) issued 

to FEC management, the Department of Justice, or State and local prosecuting authorities during the reporting 

period; 

The Total Number of Persons Referred to DOJ for Criminal Prosecution and Total Number of Persons Referred 

to State and Local Prosecuting Authorities for Criminal Prosecution refects the total number of presentations 

of individuals for criminal prosecution made by the FEC OIG to the respective criminal prosecuting authorities 

during the reporting period; 

The Total Number of Indictments and Criminal Informations Resulting from Any Prior Referral to Prosecuting 

Authorities includes all indictments and information issued during the reporting period by Federal, State, or local 

criminal prosecuting authorities based upon any referral by the FEC OIG, whether the referral was made during 

this reporting period or a prior reporting period. 

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Appendix A 

PEER REVIEW RESULTS 

In accordance with the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 (Section 989C of 

P.L. 111-203), which amended Section 5 of the Inspector General Act of 1978, OIGs are required to include in 

their semiannual reports (SAR) to Congress the results of peer reviews of their offices, as well as outstanding and 

not fully implemented recommendations from peer reviews the OIG received from another OIG, and outstanding 

and not fully implemented recommendations the OIG made in any peer review it performed for another OIG. 

The last audit peer review of the FEC OIG was conducted by the Farm Credit Administration OIG and the report 

was issued on February 15, 2017. No recommendations were included in the last peer review report and there are 

no outstanding recommendations from previous peer reviews. The last investigation peer review of the FEC OIG 

was conducted by the Securities and Exchange Commission and the report was issued December 20, 2016. The 

FEC OIG’s current audit and investigation peer review period ends on September 30, 2019. During the absence 

of an IG or DIG, the OIG would have to postpone receiving the upcoming audit peer reviews. Additionally, the 

OIG would not be able to participate in conducting Peer Reviews as required by audit and investigative standards. 

OIG Peer Review Activity 

During this reporting period, there are no peer review results to report. 
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April 1, 2013 - September 30, 2013

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October 1, 2018 – March 31, 2019

Appendix B 

In the absence of a permanent or acting Inspector General, the OIG provided the Commission with a copy of 

all the corrective action plans (CAP) for each open OIG report, in lieu of an official report on March 29, 2019. 

Therefore, no outstanding recommendations report as of February 2019 will be included in this SAR. 
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Appendix C 

The Federal Election Commission 

In 1975, Congress created the Federal Election Commission to administer and enforce the Federal Election 

Campaign Act of 1971, as amended. The duties of the FEC, an independent regulatory agency, are to disclose 

campaign fnance information, enforce the provisions of the law, and oversee the public funding of Presidential 

elections. 

The Commission consists of six members who are appointed by the President and confrmed by the Senate. 

Each member serves a six-year term, and two seats are subject to appointment every two years. By law, no more 

than three Commissioners can be members of the same political party, and at least four votes are required for 

any official Commission action. The Chairmanship of the Commission rotates among the members each year, 

with no member serving as Chairman more than once during his or her term. 

Currently the FEC has four Commissioners and two vacancies – Ellen L. Weintraub, Chair; Matthew S. Petersen, 

Vice Chair; and Commissioners Steven T. Walther and Caroline C. Hunter. 

Office of Inspector General 

The Inspector General Act of 1978, as amended, states that the Inspector General is responsible for: 1) conducting and supervising audits and investigations relating to the FEC’s programs and operations; 2) detecting and 

preventing fraud, waste, and abuse of agency programs and operations while providing leadership and coordination; 3) recommending policies designed to promote economy, efficiency, and effectiveness of the establishment; 

and 4) keeping the Commission and Congress fully and currently informed about problems and defciencies in 

FEC agency programs and operations, and the need for corrective action 
Federal Election Commission 

Office of Inspector General 

Fraud Hotline 

202-694-1015 

or toll free at 1-800-424-9530 (press 0; then dial 1015) 

Fax us at 202-501-8134 or e-mail us at oig@fec.gov 

Visit or write to us at 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/fecig/fecig.shtm

Together we can make a difference.