Federal Election Commission

Office of Inspector General 

Fiscal Year 2017

Work Plan

Lynne A. McFarland

Inspector General
TABLE OF CONTENTSg

A Message from the Inspector General-------------------------------------------- 1 

OIG FY 2017 Work Plan--------------------------------------------------------------- 3

Audits / Inspections / Reviews----------------------------------------------- 3

 Investigative Program--------------------------------------------------------- 5

Special Projects / Other Work Assignments---------------------------- 6

Additional Requirements / Professional Commitments------------- 7

The Federal Election Commission-------------------------------------------------- 8

Office of Inspector General------------------------------------------------------------ 9

OIG Strategic Planning---------------------------------------------------------------- 10

Annual Planning and Methodology Strategies--------------------------------- 10

Attachment

FEC OIG Strategic Plan – Fiscal Years 2016 - 2020
1

 FEDERAL ELECTION COMMISSION

WASHINGTON, D.C. 20463

Office of Inspector General

A Message from the Inspector General

I am pleased to present the Federal Election Commission (FEC) Office of Inspector 

General’s (OIG) fiscal year (FY) 2017 Annual Work Plan. This work plan includes a 

description of audit, inspection, investigative and special projects planned for FY 2017. 

The plan also sets forth the OIG’s formal strategy for identifying priority issues and 

managing its workload and resources for FY 2017. Successful execution of this plan will 

enable the OIG to provide the highest quality work products to our stakeholders and to 

assist the FEC in ensuring their resources are being expended in a responsible and 

reasonable manner and their programs are being run in an efficient and effective way. 

The OIG substantially completed the work planned for FY 2016 in the audit and 

investigative programs as well as special projects; some assignments are in process and 

span FY 2016 and 2017. During this fiscal year we experienced an increase in our 

investigative workload as the number of hotline complaints received multiplied. One of 

the major projects completed this fiscal year which had agency wide implications, was 

the Root Causes of Low Morale at the Federal Election Commission. We also completed 

the FY 2015 Financial Statement Audit and the inspection of the FEC’s Travel and 

Purchase Card Programs. We began the Contract Management and Oversight by the 

Federal Election Commission’s Operational Units Audit. The OIG continued to devote

resources during FY 16 to audit follow-up and working with agency management toward

the goal of closing outstanding Inspector General recommendations.

The investigative program accomplished much of the work planned for 2016, which 

included responding to hotline complaints, OIG briefings to new employees, and 

oversight of the OIG’s hotline service. In FY 2016, twenty three hotline complaints and 

seven investigations were opened; eleven hotline complaints were closed, as were two

investigations. 

The OIG staff was actively involved in several professional working groups during FY

2016, including the CIGIE Leadership Development Subcommittee, the Council of 

Counsels to Inspectors General, the CIGIE Leadership Community of Practice, and the 

DATA Act working group. I continued as a member of the CIGIE Executive Committee, 

the Professional Development Committee and Vice Chair of the CIGIE Budget 

Committee. I also continued to participate in CIGIE’s New Leadership Program, 

conducted by American University, as the speaker for the session Lunch with the IG.

Shayla Walker was hired in July 2016 to fill the newly created Inspector General 

Specialist position and is supporting our investigative, audit and administration 

functions.
2

Based on the results of the OIG’s planning process, as described in the Annual Planning 

and Methodology Strategies section, the OIG’s annual work plan is divided into four

primary categories:

(1) Audits / Inspections / Reviews;

(2) Investigative Program; 

(3) Special Projects; and

(4) Additional Requirements / Professional Commitments

The development and continual updating of the OIG’s work plan is a critical aspect of 

accomplishing the OIG’s objectives to promote economy and efficiency in FEC programs 

and to detect and prevent fraud, waste and abuse. Effective work planning ensures that 

all OIG resources, including audit and investigative resources, are used effectively and 

efficiently. I look forward to another successful year of providing the highest quality 

support and service to our stakeholders.

Lynne A. McFarland

Inspector General 

Federal Election Commission

October 3, 2016
3

OIG 2017 Work Plang

AUDITS / INSPECTIONS / REVIEWS

 

The term “audit” is used to describe work performed by auditors in examining financial

statements, as well as work performed in reviewing compliance with applicable laws and 

regulations, the economy and efficiency of operations, and the effectiveness in achieving 

program results. Audits are prepared in accordance with generally accepted government 

auditing standards and vary in scope and complexity. Inspections and reviews are 

conducted in accordance with quality standards issued by the federal Inspector General 

community. 

The following audit, inspection, and review assignments are planned for FY 

2017:

1. Audit of the Federal Election Commission’s 2016 and 2017 Financial 

Statements.

In accordance with the Accountability of Tax Dollars Act of 2002, the FEC is 

required to prepare annual financial statements in accordance with Office of 

Management and Budget (OMB) Circular No. A-136, Financial Reporting 

Requirements. The Chief Financial Officers Act of 1990, as amended, requires the 

FEC Inspector General, or an independent external auditor selected by the IG, to 

audit the agency financial statements.

We will oversee the FY 2016 and 2017 audits conducted by the OIG’s independent 

public accounting firm Leon Snead & Company. The OIG is responsible for 1) 

reviewing the auditor’s approach and planning of the audit; 2) evaluating the 

qualifications and independence of the auditors; 3) monitoring the work of the 

auditors; 4) examining audit documents and reports to ensure compliance with 

government auditing standards, and OMB Bulletin No. 07-04, Audit Requirements 

for Federal Financial Statements, as revised; and 5) other procedures the OIG 

deems necessary to oversee the contract and audit.

Planned periods of audit: May 2016 – November 2016;

May 2017 – November 2017.

2. Audit of Contract Management and Oversight by the Federal Election 

Commission’s Operational Units.

The OIG is conducting an audit of contract management and oversight by the 

FEC’s operational units. This audit is concentrating on the larger dollar amount 

contracts. The focus of the audit is on multiple phases of agency operational unit 

involvement, roles, and responsibilities in the contract process, with an emphasis 

on acquisition planning, contract implementation and management, and oversight
4

by agency components. An audit plan was finalized in August 2016 after 

preliminary and planning work was accomplished.

Planned period of audit: August 2016 – March 2017.

3. DATA Act Reviews. 

The Digital Accountability and Transparency Act of 2014 (DATA Act) requires the 

establishment of government-wide standards for information on spending by 

Federal agencies, and tasks agency Inspectors General with reviewing and 

assessing agency compliance. Agencies must begin reporting spending data in 

compliance with the DATA Act in May 2017. A readiness review, which will 

assess the agency’s progress in preparing to implement DATA Act requirements, 

will be issued in November 2016. A full review assessing the completeness, 

timeliness, accuracy, and quality of the FEC’s reported spending data will be 

conducted after May 2017 and issued in November 2017.

Planned period of review: September 2016 – November 2016; 

May 2017 – November 2017.

4. On-Going Audit Follow-up. 

An important responsibility of the OIG is to follow-up on previously issued audit 

reports with outstanding audit recommendations. Over the years, there have been

numerous outstanding recommendations relating to audits and inspections. The 

OIG has implemented an ongoing audit process to work with management to close 

recommendations in a timely manner. On-going audit follow-up during FY 2017

will consist of the following responsibilities: 1) review implemented audit 

recommendations to ensure the audit finding has been resolved; 2) review and 

comment on management’s corrective action plans that detail plans for resolving 

outstanding audit recommendations; 3) conduct regular meetings throughout the 

FY with management to discuss progress in implementing audit 

recommendations; and 4) provide semi-annual reports to the Commission detailing 

progress made by management and any ongoing OIG concerns.

Planned period of audit follow-up: On-going throughout FY 2017. 

5. Monitoring of the Elocen Contract.

The lease for the FEC headquarters building expires on September 30, 2017. The 

agency has contracted with The Elocen Group LLC to assist with and oversee 

logistics related to requirements of the new lease. The OIG will monitor the 

contract and communicate with management, as necessary, consistent with the 

OIG’s statutory obligations to promote economy and efficiency in agency programs 

and operations, and prevent and detect fraud, waste and abuse. 

Planned period of monitoring: On-going throughout FY 2017.
5

6. Review of Budget and Year End spending for FY 2016.

The FEC Office of Chief Financial Officer publishes monthly budget execution 

reports. The OIG plans to hire a contractor to review the budget execution reports

to ensure they accurately reflect funds expended, proper classification of funds, 

and funds remaining to be obligated. The contract will also include a review of 

year end spending.

Planned period of review: January - March 2017.

7. Limited Scope Inspections.

The OIG is planning to complete two limited scope, or short-term, inspections of 

FEC programs during FY 2017. The goal of the short-term inspections will be to 

focus OIG resources on very specific areas and provide timely, up-to-date 

information to FEC management and the Commission on the efficiency and 

effectiveness of FEC programs. 

o An inspection of FEC’s invitational travel program, which began in the 

summer of FY 2016. 

o Performance Plan and Appraisal process.

o Additional inspections may be performed, time permitting.

INVESTIGATIVE PROGRAM

The OIG’s investigative program is intended to add value to the agency’s programs and

operations by identifying and investigating allegations of fraud, waste, abuse, and 

misconduct leading to criminal, civil, and administrative penalties and recoveries. 

Investigations typically originate as hotline complaints and may result in formal 

investigations if warranted, based on OIG criteria. The OIG’s investigative program also 

provides for initiatives designed to monitor specific high-risk areas within FEC programs 

and operations in order to proactively identify vulnerabilities in order to prevent fraud, 

waste and abuse.

The following investigative assignments are planned for FY 2017:

1. Manage Hotline Complaints and Investigation Caseload.

The OIG will respond to hotline complaints, assess the information provided and 

decide on course of action. Investigations will be opened when warranted. Existing 

matters will continue to be investigated and brought to a resolution. When an 

investigation is closed, appropriate reports will be issued. The identities of 

complainants and witnesses will be protected pursuant to The Inspector General Act 

of 1978, as amended (IG Act).
6

2. Review of the Investigative Manual.

The OIG will conduct a review of its Investigations Manual, and revise and update 

it as appropriate. 

3. Outreach.

The OIG will continue participating in the new employee orientation program to 

meet with all new employees to discuss the purpose and mission of the OIG, and to 

update the OIG Skillport training. The OIG will also review and revise, as 

necessary, the OIG’s FECNet (intranet) site, OIG brochure, fraud poster, and post 

required reports on the OIG public Web site.

SPECIAL PROJECTS / OTHER WORK ASSIGNMENTS

Special projects include reviews and reports required by statute, requested by Congress, 

or initiated pursuant to guidance from OMB that are more limited in scope than those 

addressed in the Audits / Inspections / Reviews section. Special projects may also include

those undertaken to add value to the agency. When appropriate, special projects will be 

conducted in accordance with the appropriate quality standards issued by the federal 

Inspector General community. 

The following special projects / other work assignments are planned for FY 

2017:

1. Management Challenges.

The OIG is required to report annually on the most serious management and 

performance challenges facing the agency, and on efforts by the agency to meet 

these challenges. 

2. Purchase and Travel Card Reporting.

The OIG is required to conduct annual risk assessments of FEC purchase and 

travel cards pursuant to the Charge Card Abuse Prevention Act of 2012, Public 

Law 112-194, and OMB Memorandum M-13-21. The OIG must file a report with 

OMB by January 31st of each year reporting on any audit recommendations from 

the previous FY concerning audits of purchase or travel card programs. 

3. Improper Payments Reporting.

The OIG is required to annually review the FEC’s compliance with OMB 

Memorandum M-15-02, which provides statutory and executive order 

implementation guidance, for the Improper Payments Information Act of 2002, as 
7

amended, the Improper Payments Elimination and Recovery Act of 2010, the 

Improper Payments Information Improvement Act of 2012, and Executive Order 

13520. The OIG is required to assess agency compliance with M-15-02, and to 

report the results to Congress, the Comptroller General, and OMB.

4. Responses to Congressional Requests.

The Chairman of the Senate Judiciary and Homeland Security and Governmental 

Affairs committees have requested semiannual reports on audits, evaluations and 

investigations conducted by the OIG, and on whether the OIG has been provided 

with access to all information needed to accomplish its duties and responsibilities. 

The OIG will respond to other Congressional requests as appropriate.

5. Peer Review Program.

Audit programs of Federal OIG’s are required to be peer reviewed once every three 

years. CIGIE has developed a process to ensure compliance with this requirement.

Each OIG undertakes a peer review of another Federal OIG using the guidelines 

established under the CIGIE peer review program. The OIG will conduct a peer 

review of the National Endowment for the Arts OIG in the first quarter of FY 

2017. This review was originally scheduled for FY16, but was postponed due to a 

request from the NEA OIG. The FEC OIG’s audit program will be peer reviewed in 

FY 2017 by the Farm Credit Administration OIG. While not required as with 

audit peer reviews, the OIG is scheduled to have its investigative program peer 

reviewed through a voluntary program this fiscal year.

 

Additional special projects / work assignments may be undertaken during FY 2017 based 

on available OIG resources, benefit to the agency, and other relevant factors. Priorities 

may be adjusted to reflect emerging issues during the FY.

ADDITIONAL REQUIREMENTS / PROFESSIONAL COMMITMENTS

In addition to the OIG’s audit and investigative responsibilities, the OIG has numerous 

other requirements, activities, and professional commitments during FY 2017. The 

Inspector General and staff participate in several Federal Inspectors General community 

working groups on topics related to law, audits, and investigations. All of these activities 

contribute to the success and mission of the OIG. The OIG’s workload will be prioritized 

to respond to additional special projects that may arise throughout the FY.

The following are examples of the activities and commitments planned by the 

OIG for FY 2017:

1. Participate in / Attend Professional Working Group and Other Meetings.

The Inspector General or OIG staff will regularly attend the following CIGIE

professional meetings: monthly CIGIE meetings; monthly CIGIE Executive 
8

Council meetings; CIGIE Professional Development Committee; Budget 

Committee; CIGIE Leadership Community of Practice; Council of Counsels to the 

Inspector General; Assistant Inspector General for Investigations; Federal Audit 

Executive Council; and Financial Statement Audit Network Group meetings. 

In addition to CIGIE professional meetings, the Inspector General or staff will 

attend FEC director level meetings, management and FEC town-hall meetings, if 

held, and the Institute of Internal Auditors (IIA) DC Chapter meetings. 

2. Semiannual and Quarterly Reporting.

In accordance with the IG Act, the OIG will prepare and transmit to the Congress 

semiannual reports on the activities of the OIG. Semiannual reports summarize 

OIG activities during the immediately preceding six-month periods ending March 

31st and September 30th of each year. The OIG will also report on a quarterly 

basis to the Commission on the activities of the office.

3. Professional Development and Training.

The goal of the OIG’s training program is to provide cost effective training to 

increase professional knowledge and proficiency, and ensure staff meet continuing 

professional educational requirements. Our auditors are required to have 80 

hours of continuing education units every two years. The attorneys have 

continuing legal education requirements to maintain bar membership. Other 

professional designations, such as Certified Fraud Examiner and CPA, held by the 

OIG staff also have continuing education requirements that need to be met on an 

annual basis. As a result, the OIG staff will attend professional training during 

the FY to maintain and improve their knowledge, skills and abilities.

 The Federal Election Commission n

In 1975, Congress created the FEC 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 finance information, enforce the provisions of the law,

and oversee the public funding of Presidential elections.

The Commission is made up of six members, who are appointed by the President and 

confirmed 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 calendar year, with no member serving as Chair more than once during his or her 

term. The FEC has a full complement of six Commissioners serving on the 

Commission – Matthew S. Petersen, Chair; Steven T. Walther, Vice Chair; and 

Commissioners Lee Goodman, Caroline C. Hunter, Ann Ravel, and Ellen L. Weintraub. 

 
9

 Office of Inspector General l 

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

supervising audits and investigations relating to the Federal Election Commission’s 

programs and operations; 2) detecting and preventing fraud, waste, mismanagement, 

and abuse of agency programs and operations while providing leadership and 

coordination; 3) recommending policies designed to promote economy, efficiency, and 

effectiveness of the agency; and 4) keeping the Commission and Congress fully and 

currently informed about problems and deficiencies in FEC agency programs and 

operations, and the need for corrective action. The OIG budget request for FY 2017 was 

$1,347,368, an amount necessary to cover salaries and related expenses for seven current 

staff members, as well as audit contracts and training. See the OIG’s organizational 

chart at Exhibit 1.

Exhibit 1: FEC - OIG Organizational Chart

Lynne A. McFarland

Inspector General

J. Cameron Thurber

Deputy Inspector 

General

Dorothy Maddox-Holland

Special Assistant to the 

Inspector General

Mia Forgy

Senior Auditor

Shellie Purnell-Brown

Senior Auditor

Shayla Walker

IG Specialist

Carla Smith

Counsel to the Inspector 

General / Chief 

Investigator
10

OIG Strategic Planning g

To enhance the effectiveness of the OIG and to ensure effective audit and investigative 

coverage of the Commission’s programs and operations, the OIG has a strategic plan that 

covers the period 2016 through 2020. Three major categories of OIG-wide goals and 

objectives are included in the strategic plan, which are as follows: 

• IMPACT: OIG products and services will be designed to positively impact FEC policies, 

programs, and operations by promoting integrity, efficiency, and effectiveness.

• QUALITY: OIG products and services provided to the FEC will be of the highest quality 

and meet or exceed applicable standards.

• EXCELLENCE: OIG will maintain a skilled and motivated work force and empower 

employees to maximize their professional and personal potential by fostering 

accountability, communication, teamwork, and constant growth and development. 

In addition, strategies and performance measures for each objective are included in the 

strategic plan. A detailed version of the OIG’s current strategic plan can be found as an 

attachment of this annual work plan.

 Annual Planning and Methodology Strategiess

The planning methodology adopted by the OIG is based on a formal risk assessment 

process. The purpose of the risk assessment process is to better align OIG resources to 

areas that will provide the most value to the FEC. A risk assessment is a process to 

identify, assess, respond to, and report on opportunities and threats that affect the 

achievement of objectives. The OIG also solicits feedback and ideas from stakeholders 

throughout the year. The annual work plan will, of course, require periodic updates to 

reflect changes, such as new priorities, as well as any changes in OIG resources. 

In the spring of 2016, the OIG conducted our annual planning process that involved OIG 

planning meetings to discuss the upcoming FY and OIG work assignments. In addition 

to risk base planning, the OIG’s work plan is also designed to yield work assignments 

that will identify opportunities for economy, efficiency and effectiveness in FEC 

programs and operations, and detect and prevent fraud, waste, abuse and 

mismanagement. The priority for conducting work assignments is based on: 

1) mandatory legislative requirements; 2) emphasis by the President, Congress, and the 

Commission; 3) a program’s susceptibility to fraud, manipulation, or other irregularities; 

4) dollar magnitude or resources involved in the proposed area; 5) management needs 

identified through consultation with primary organization heads; 6) newness, changed 

conditions, or sensitivity of a program or operation; 7) the extent of outstanding issues 

resulting from prior audit coverage or review by the OIG or other oversight body; and 

8) the adequacy of internal control systems in place for the program or other factors.
FEDERAL ELECTION COMMISSION

OFFICE OF INSPECTOR GENERAL

STRATEGIC PLAN

FISCAL YEARS

2016 - 2020

Lynne A. McFarland

Inspector General
Strategic Plan 1 FY 2016 – 2020

Inspectors General Vision Statement

For the Office of Inspector General

To act as an agent of positive change striving for continuous improvement 

in the agency’s management and program operations and in the Office of 

Inspector General.

_____________________________________

Statement of Principles

We Will:

• Strive to ensure optimal stewardship of taxpayer dollars and endeavor to ensure 

proper use of public funds through the fulfillment of our statutory duties and 

responsibilities.

• Work with the agency and the Congress to improve program management, efficiency, 

and effectiveness.

• Maximize the positive impact and ensure the independence and objectivity of our 

audits, inspections, investigations, and other reviews.

• Use our work to increase agency integrity, accountability, and recommend improved 

systems to prevent waste, fraud, abuse, and mismanagement.

• Use innovative tools and work products to provide the agency with suggested means 

for improvement.

• Continue to build and improve relationships with agency management and staff based 

on a shared commitment to improving program operations and effectiveness.

• Strive to continually improve the quality and usefulness of our products.

• Work with our stakeholders to address Government-wide issues.
Strategic Plan 2 FY 2016 – 2020

STRATEGIC PLAN

FOR THE

OFFICE OF INSPECTOR GENERAL

I. Introduction and Background:

To enhance the effectiveness of the Office of Inspector General (OIG) at the Federal Election 

Commission (FEC), to ensure effective audit and inspection coverage of the Commission’s 

programs and operations, and to ensure that allegations within the OIG’s investigative 

jurisdiction are properly addressed, the OIG has developed the following strategic plan. In 

conjunction with the strategic plan, the OIG will continue to request audit and inspection ideas 

from all staff. The OIG will also take into consideration the FEC’s strategic plan in making its 

decisions on areas to audit and inspect to enable the office to address the audit and inspection 

requirements of its stakeholders.

The FEC OIG was created by the 1988 amendments to the Inspector General Act of 1978 (IG 

Act). The mission of the OIG, as spelled out in the IG Act, is to:

• conduct and supervise independent and objective audits and investigations 

relating to agency programs and operations;

• promote economy, effectiveness, and efficiency within the agency;

• prevent and detect fraud, waste and abuse in agency program and operations;

• review and make recommendations regarding existing and proposed 

legislation and regulations relating to agency programs and operations; and

• keep the agency head and the Congress fully and currently informed of

problems in agency programs and operations.

To carry out these responsibilities, the Congress has given the Inspector General:

• access to all records, reports, audits, reviews, documents, papers, 

recommendations or other material which relate to the programs and 

operations of the FEC;

• authority to make such investigations and reports that in the judgment of the 

Inspector General, are necessary;

• authority to request assistance from any Federal, state or local government 

agency as may be necessary;

• authority to issue subpoenas;

• authority to administer and take oaths, affirmations or affidavits;

• direct and prompt access to the Commission (as head of the agency);

• authority to select, appoint and employ such officers and employees as may 

be necessary for carrying out the functions, powers, and duties of the OIG;

• authority to obtain expert and consultant services; and

• within the limits of the budget, authority to contract out for audits, studies, 

analyses, and other services.
Strategic Plan 3 FY 2016 – 2020

The OIG shall also:

• comply with Government Auditing Standards and other applicable auditing, 

investigative, and inspection standards;

• ensure that any work performed by non-federal auditors complies with 

Government Auditing Standards;

• avoid duplication with the U.S. General Accountability Office and ensure 

effective coordination and cooperation;

• report all suspected violations of criminal law to the Attorney General; and,

• arrange for a review of the OIG by a federal audit entity at least once every 

three years for the purpose of determining whether Government Auditing 

Standards are being followed.

II. Organization:

The OIG is currently composed of six full time equivalent employees. The staff consists of the 

Inspector General, Deputy Inspector General, Counsel to the Inspector General and Chief 

Investigator, two Senior Auditors, and a Special Assistant to the Inspector General. The OIG 

anticipates adding an additional staff member in early fiscal year (FY) 2016. The OIG has a 

Memorandum of Understanding with the Staff Director and the Designated Agency Ethics 

Official.

The OIG takes several steps to ensure that the quality of the work performed and products 

produced meets or exceeds applicable standards and guidelines. The office hires only qualified 

and competent staff, and ensures that their expertise and professional competence is maintained 

by being certain that all staff, at a minimum, receive the amount of training required by the 

Government Auditing Standards and for professional licenses and certifications. A deliberate 

effort is made to give staff a wide variety of assignments, including special projects, to further 

increase their knowledge and capabilities. Since the staff size is on a smaller scale, the Inspector 

General is very involved in the audit and investigative processes.

All products that are produced by the OIG are personally reviewed and signed by the Inspector 

General or Deputy Inspector General. In addition, every three years, the OIG undergoes a peer 

review of the audit operation. The investigative operations are also voluntarily peer reviewed on 

a three year cycle. Peer reviews are conducted by another Office of Inspector General following 

the Council of Inspectors General on Integrity and Efficiency (CIGIE) guidelines. The results of 

the peer reviews are given to the Commission by the Inspector General, posted on the OIG 

webpage and published in the Semiannual Report to Congress.

III. Office of Inspector General’s Goals and Objectives:

Three major OIG-wide goals, each with related objectives, have been identified. The goals 

focus on impact, quality, and excellence. Strategies and performance measures for each have 

been included.

The OIG strategic plan will continue to evolve and will be reviewed and updated as necessary to 

ensure maximum effectiveness in meeting changing needs, consistent with the OIG’s statutory 

responsibilities. The term “stakeholder” as used in this plan includes, but is not limited to, the 

Commission, FEC management and staff, Congress, and the Inspector General community.
Strategic Plan 4 FY 2016 – 2020

IMPACT: OIG products and services will be designed to positively impact FEC policies, 

programs, and operations by promoting integrity, efficiency, and effectiveness.

Objective A: Identify potential fraud, waste, abuse, and mismanagement, and advise

FEC management on ways to implement effective safeguards to improve 

accountability and reduce risk of loss.

 Strategy: - Conduct annual risk assessment and perform audits, reviews, and

 inspections to address high risk areas; and

- Perform fraud vulnerability reviews to assess risk in agency programs.

Objective B: Identify internal control deficiencies and inefficient processes and 

procedures, and make recommendations to the agency to improve 

program management.

 Strategy: - Perform audits, inspections, and reviews based on risk assessment and 

 report findings and recommendations to FEC management; and

- Incorporate information obtained through complaints and stakeholder 

 feedback and suggestions into work plan.

Objective C: Conduct timely audits, investigations, reviews, and inspections, and take 

appropriate reporting action.

Strategy: - Identify appropriate lessons learned to improve timeliness and quality; 

 and,

- Conduct follow-up reviews to determine if intended results have been 

 achieved.

Objective D: Educate the agency on fraud prevention and detection practices.

 Strategy: - Continue existing outreach programs and develop new ones to educate 

 new and current employees.

Objective E: Improve stakeholder engagement.

 Strategy: - Continue to foster a collaborative relationship emphasizing open and 

 honest communication with FEC management and staff (consistent 

 with the independent nature of the OIG);

- Improve Congressional outreach and response;

- Ensure that priorities of IG are effectively communicated; and

- Continue involvement with the Inspector General community.
Strategic Plan 5 FY 2016 – 2020

Objective F: Maintain a dynamic strategic planning process.

 Strategy: - Periodically review and update the strategic plan to 

 address changing OIG, FEC and other stakeholder priorities; and,

- Identify factors that influence organizational change

 and develop short and long term plans to address them.

Objective G: Ensure the agency follows through with agreed-upon recommendations

in a timely manner.

 Strategy: - Work with the agency to ensure adherence to FEC Directive 50 and 

 other appropriate guidance; and,

- Conduct reviews of the implementation of agreed-upon 

 recommendations.

Performance Measures: Determine the impact and effectiveness of OIG products and 

services in promoting positive change and producing results by following up with 

management and staff; conduct assessments to determine impact of OIG products on 

FEC programs and operations; reach agreement with management on at least 95% of 

recommendations within two months of the report issue date.

QUALITY: OIG products and services provided to the FEC will be of the highest quality

and meet or exceed applicable standards.

Objective A: Deliver timely, relevant, high-quality products and services that provide 

value to our stakeholders.

 Strategy: - Conduct quality assurance programs;

- Comply with applicable statutory requirements and other applicable

 guidance and standards; and

- Set realistic and appropriate milestones.

Objective B: Assess the effectiveness of OIG activities in fulfilling statutory duties 

and responsibilities and in meeting stakeholder expectations and needs.

 Strategy: - Solicit and evaluate stakeholder feedback concerning products and 

 services; and

- Participate in required and voluntary peer reviews.
Strategic Plan 6 FY 2016 – 2020

Objective C: Implement and continuously update OIG processes and procedures to 

ensure they are efficient, effective, and consistent in producing quality 

products.

 Strategy: - Ensure that OIG operational policies and procedures are followed; and

- Ensure that OIG follow-up procedures with stakeholders are optimal.

Performance Measures: Determine the quality and timeliness of OIG products through 

stakeholder feedback and as measured by CIGIE, GAO, and other applicable standards.

Participate in audit and investigative peer reviews.

EXCELLENCE: OIG will maintain a skilled and motivated work force and empower 

employees to maximize their professional and personal potential by fostering 

accountability, communication, teamwork, and constant growth and development.

Objective A: Attract and retain well-qualified, diverse and motivated employees.

 Strategy: - Develop and implement a comprehensive recruiting program that 

 attracts a broad population with the knowledge, skills, abilities, and

 expertise necessary to make meaningful contributions to the OIG and 

 stakeholders;

- Assess employee satisfaction and develop strategies to address 

 employee concerns;

- Provide challenging assignments and opportunities for staff;

- Identify reasons for staff departures and develop plans to foster greater 

 staff retention; and,

- Adhere to Equal Employment Opportunity principles and strive to 

 maintain a diverse work force.

Objective B: Provide training and developmental opportunities to employees.

 Strategy: - Assess training needs in relation to employee and office needs;

- Ensure that Government Auditing Standards and professional 

 license and certification training requirements are met; 

- Provide broad based training to increase knowledge in areas not 

 directly related to the employee’s area of expertise;

- Enable participation of employees in OIG community projects as much

 as possible.
Strategic Plan 7 FY 2016 – 2020

Objective C: Assess, recognize, and reward, when possible, performance

that contributes to achieving the OIG mission.

 Strategy: - Develop and articulate expectations for each employee’s 

 performance, including contributions in meeting the 

 mission and goals of the OIG; 

- Ensure that rewards, when possible, are given in 

 recognition of exceptional employee performance; and

- Look for creative ways to ensure employees are recognized for their 

 contributions.

Objective D: Create and maintain a positive and professional working environment 

that promotes teamwork and effective communication.

 Strategy: - Ensure that communication between employees is open; 

- Provide employees with the tools and incentives they need to 

 adequately perform their duties;

- Reengineer or streamline OIG procedures to achieve the most effective 

 use of resources; and,

- Ensure that necessary technologies are made available to staff as 

 needed.

Performance Measures: Within budgetary restraints, all employees meet their required 

CPEs associated with their ability to do their work and all professional license 

requirements are met annually. Ensure via budget monitoring that training resources are 

equitably distributed among the staff. Bi-monthly staff meetings will be held to share 

assignments, challenges faced and to build a sense of team.