Final Audit Report of the 

Commission on 

Dr. Raul Ruiz for Congress 

(January 1, 2017 - December 31, 2018) 

Why the Audit 

Was Done

Federal law permits the 

Commission to conduct 

audits and field 

investigations of any 

political committee that is 

required to file reports 

under the Federal 

Election Campaign Act 

(the Act). The 

Commission generally 

conducts such audits 

when a committee 

appears not to have met 

the threshold 

requirements for 

substantial compliance 

with the Act.1 The audit 

determines whether the 

committee complied with 

the limitations, 

prohibitions and 

disclosure requirements 

of the Act.

About the Campaign (p. 2)

Dr. Raul Ruiz for Congress is the principal campaign committee 

for Dr. Raul Ruiz, Democratic candidate for the United States 

House of Representatives from the state of California, 36th 

Congressional District, and is headquartered in Palm Desert, 

California. For more information, see the Campaign 

Organization chart, p.2. 

Financial Activity (p. 2)

• Receipts

o Contributions from Individuals

o Contributions from Political

Committees

o Transfers from Other Authorized

Committees

o Offsets to Operating

Expenditures

Total Receipts

$ 1,917,208 

1,235,207 

17,829 

• Disbursements

o Operating Expenditures

o Contribution Refunds

o Other Disbursements

Total Disbursements

7,810 

 $ 3,178,054 

 $ 2,502,591 

29,857 

 5,868 

$ 2,538,316 

No Commission Findings (p. 3) 

Based upon an examination of the statements and reports filed, 

and the records presented by Dr. Raul Ruiz for Congress, in its 

Audit Division Recommendation Memorandum to the 

Commission, the Audit staff recommended that the Commission 

approve two findings: Misstatement of Financial Activity and 

Personal Use of Campaign Funds. On March 25, 2021, the 

Commission considered the Audit staff’s recommendations and 

voted to not adopt the recommendations, resulting in no findings 

in the audit of Dr. Raul Ruiz for Congress. 

1

 52 U.S.C. §30111(b). 
Final Audit Report of the 

Commission on 

Dr. Raul Ruiz for Congress

(January 1, 2017 - December 31, 2018)
Table of Contents

Page

Part I. Background

Authority for Audit 1

Scope of Audit 1

Audit Hearing 1

Part II. Overview of Campaign

Campaign Organization 2

Overview of Financial Activity 2

Part III. No Commission Findings 3
1

Part I

Background

Authority for Audit

This report is based on an audit of Dr. Raul Ruiz for Congress (RRFC), undertaken by the 

Audit Division of the Federal Election Commission (the Commission) in accordance with 

the Federal Election Campaign Act of 1971, as amended (the Act). The Audit Division 

conducted the audit pursuant to 52 U.S.C. §30111(b), which permits the Commission to 

conduct audits and field investigations of any political committee that is required to file a 

report under 52 U.S.C. §30104. Prior to conducting any audit under this subsection, the 

Commission must perform an internal review of reports filed by selected committees to 

determine if the reports filed by a particular committee meet the threshold requirements 

for substantial compliance with the Act. 52 U.S.C. §30111(b).

Scope of Audit

Following Commission-approved procedures, the Audit staff evaluated various risk 

factors and as a result, this audit examined: 

1. the receipt of excessive contributions and loans;

2. the receipt of contributions from prohibited sources;

3. the disclosure of contributions received;

4. the disclosure of individual contributors’ occupation and name of employer;

5. the disclosure of disbursements, debts and obligations;

6. the consistency between reported figures and bank records;

7. the completeness of records;

8. other committee operations necessary to the review.

Audit Hearing

RRFC declined the opportunity for a hearing before the Commission on the matters

presented in the Draft Final Audit Report.
2

Part II

Overview of Campaign

Campaign Organization

Overview of Financial Activity

(Audited Amounts)

Cash on hand @ January 1, 2017 $ 1,003,930

Receipts

o Contributions from Individuals 1,917,208

o Contributions from Political Committees 1,235,207

o Transfers from Other Authorized 

Committees

17,829

o Offsets to Operating Expenditures 7,810

Total Receipts $ 3,178,054

Disbursements

o Operating Expenditures 2,502,591

o Contribution Refunds 29,857

o Other Disbursements 5,868

Total Disbursements $ 2,538,316

Cash on hand @ December 31, 2018 $ 1,643,668

2 During pre-audit, the Audit staff provided RRFC the Internal Control Questionnaire to complete, which included 

these questions. Additionally, RRFC was asked these questions in follow-up correspondence. To date, the 

questionnaire has not been returned by RRFC. 

Important Dates

• Date of Registration September 23, 2011

• Audit Coverage January 1, 2017 - December 31, 2018

Headquarters Palm Desert, California

Bank Information

• Bank Depositories Two

• Bank Accounts One checking and one savings account

Treasurer

• Treasurer When Audit Was Conducted John Pinkney

• Treasurer During Period Covered by Audit John Pinkney (January 8, 2013 – Present)

Management Information2

• Attended FEC Campaign Finance Seminar Not Available

• Who Handled Accounting and 

Recordkeeping Tasks

Paid Staff
3

Part III

No Commission Findings

Based upon an examination of the statements and reports filed, and the records presented 

by RRFC, the Audit staff proposed two findings in the Interim Audit Report and the Draft 

Final Audit Report: Misstatement of Financial Activity and the Personal Use of 

Campaign Funds. In its Audit Division Recommendation Memorandum to the 

Commission, the Audit staff recommended that the Commission approve the two 

findings. On March 25, 2021, the Commission considered the Audit staff’s 

recommendations and voted to not adopt the recommendations, resulting in no findings in 

the audit of Dr. Raul Ruiz for Congress.

Regarding the proposed Misstatement of Financial Activity finding, while considering 

the Audit staff’s recommendation, some Commissioners stated that RRFC demonstrated 

that it did not materially misstate its disclosure reports. As such, the Commission voted 

not to adopt a finding for Misstatement of Financial Activity.

Regarding the proposed Personal Use of Campaign Funds finding, while considering the 

Audit staff’s recommendation, some Commissioners stated that the regulated community 

has not been given appropriate notice for requiring campaign staff to keep logs to 

document use of personal vehicles for expenditures such as parking, gasoline, and 

insurance payments, and that these costs are de minimis in relation to total campaign 

expenditures. Some Commissioners also determined that RRFC provided sufficient 

documentation to support that the expenditures were campaign related. As such, the

Commission voted not to adopt a finding for Personal Use of Campaign Funds.