Federal Election Commission

Office of the Inspector General

SEMIANNUAL

REPORT to

CONGRESS

April 1, 2020 – September 30, 2020

November 2020
FEDERAL ELECTION COMMISSION

WASHINGTON, D.C. 20463

OFFICE OF THE CHAIR

November 25, 2020

The Honorable Nancy P. Pelosi The Honorable Michael R. Pence

Speaker of the House of Representatives President of the Senate

H-232 Capitol Building S-212 Capitol Building

Washington, D.C. 20515 Washington, D.C. 20510

Dear Madam Speaker and Mr. President:

Pursuant to the Inspector General Act of 1978, as amended, the Federal Election 

Commission submits the Office of Inspector General’s Semiannual Report to Congress. 

The report summarizes the activity of the FEC Office of Inspector General (“OIG”) from 

April 1, 2020 through September 30, 2020. 

During this reporting period, the OIG completed a special review, and 

management’s response to that review can be found in that document. OIG expects to 

issue final audit reports in two open audits in the next reporting period. 

The Commission appreciates and shares the Office of Inspector General’s 

commitment to sound financial and management practices, and looks forward to 

continuing its cooperative working relationship as management takes appropriate 

measures to improve operations of the Commission. Copies of the Semiannual Report to 

Congress are being provided to the Chairpersons and Ranking Members of the FEC’s 

oversight committees.

On behalf of the Commission,

James E. “Trey” Trainor III

Chair
FEDERAL ELECTION COMMISSION | OFFICE of the INSPECTOR GENERAL

TABLE of CONTENTS

Message from the Inspector General ................................................................................................... 1

OIG Personnel Updates...................................................................................................................... 2

FEC Office of Inspector General Organization Chart....................................................................... 3

OIG Core Values.................................................................................................................................. 4

Executive Summary................................................................................................................................ 5

OIG Audit Activity ...................................................................................................................................7

Special Reviews ...................................................................................................................................... 8

OIG Audit/Review Follow-up Activity ................................................................................................... 9

OIG Hotline Activity ............................................................................................................................. 11

OIG Investigative Summaries............................................................................................................... 13

Council of the Inspectors General on Integrity and Efficiency .......................................................... 15

List of Training, Meetings & Conferences ........................................................................................... 16

Reporting Requirements...................................................................................................................... 19

Table I: Inspector General Issued Reports with Questioned Costs................................................ 20

Table II: Inspector General Issued Reports with Recommended Actions

That Funds Be Spent to Better use............................................................................................... 21

Table III: Summary of Audit and Inspection Reports with Corrective Actions Outstanding......... 22

Table IV: Summary of Investigative Reports and Actions ............................................................... 23

Appendix A: Peer Review Results........................................................................................................ 24

Appendix B: Mission Statements ........................................................................................................ 25

Appendix C: FEC OIG Hotline.............................................................................................. Back Cover
SEMIANNUAL REPORT to CONGRESS | APRIL 1, 2020 – SEPTEMBER 30, 2020 1

Message from the Inspector General

I

t is with great pleasure that I present the Federal Election Commission (FEC) 

Office of Inspector General (OIG) Semiannual Report to Congress for the 

period of April 1, 2020 to September 30, 2020. During this time, we have 

implemented our electronic case management system and hotline portal to assist in 

the overall management of our hotline complaints and investigations. Additionally, 

we are pleased to announce that Mr. Dennis Phillips has joined the FEC OIG 

team as our Deputy Inspector General. We are pleased to have him on the team 

and trust that he will prove to be a great asset to the OIG and to the Commission. 

During the reporting period the OIG audit and investigative program 

accomplished much of the work it had planned in FY 2020, which included 

conducting value added audits and reviews, responding to hotline complaints, 

and investigating allegations of wrongdoing. In FY 2021, we plan to conduct four audits/special review projects as well 

as respond to hotline complaints and investigate allegations of wrongdoing.

In accordance with the Inspector General Act of 1978, as amended (IG Act), OIG’s are required to report to 

Congress, as applicable, results of any peer reviews it received or conducted during the reporting period. Peer reviews 

are required for OIG audit operations, are voluntary for investigative operations, and are scheduled on three-year 

cycles. The FEC OIG was scheduled for an audit peer review in FY 2020 but due to the COVID-19 pandemic, the 

review was extended to the end of the 2020 calendar year. Additionally, the FEC OIG is scheduled to conduct audit 

and investigative peer reviews of other OIG’s in FY 2021.

Continued concern remains regarding the vacancies to FEC commissioners. The Commission is required to be 

comprised of six commissioners appointed by the President, with no more than three members affiliated with the same 

political party. Furthermore, 52 U.S.C. § 30106 requires the affirmative vote of four members to act on certain matters. 

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. 

Of great concern is the current state of the nation due to the COVID-19 pandemic. I’m exceptionally grateful 

to lead the FEC OIG team as they have adjusted to this crisis with professionalism and continues to exude a strong 

commitment to the mission. I look forward to continuing to work with the FEC OIG team, the Commission, members of 

Congress, and my IG colleagues to provide oversight to the FEC on behalf of the American taxpayers. This Semiannual 

Report reflects the exceptional work of the FEC OIG team and their commitment to the critical mission of the OIG.

Christopher Skinner

Inspector General
2 FEDERAL ELECTION COMMISSION | OFFICE of the INSPECTOR GENERAL

OIG Personnel Updates

Additions:

We are pleased to announce the addition of Mr. Dennis Phillips to the FEC OIG team as our Deputy Inspector General. 

Mr. Phillips brings more than ten years of OIG and oversight experience to the FEC OIG. Most recently, he served as 

the IG for U.S. Naval Forces Europe and Africa in Naples, Italy. 

In addition to his ten years of OIG experience, Mr. Phillips has advised federal offices on matters concerning labor 

and employee relations and has represented federal agencies in appeals before the Merit Systems Protection Board, 

labor arbitrations, and other administrative forums. Prior to entering government service, he worked as a litigation 

attorney representing clients in federal and state court in matters that included commercial fraud claims and other 

business disputes. Mr. Phillips completed his undergraduate degree and his Juris Doctor at the University of Hawaii. 

Farewells: 

None during this reporting period.

Vacancies:

The OIG currently has two vacant positions: Investigator and/or auditor. Both positions will be a top priority to fill in 

FY 2021.
SEMIANNUAL REPORT to CONGRESS | APRIL 1, 2020 – SEPTEMBER 30, 2020 3

FEC Office of the Inspector General

Organization Chart

Filled Vacant

* Administrative Officer reports to the Deputy IG, supports all FEC OIG staff in administrative matters, and 

reports to the IG for purposes of managing the IG’s schedule and related items.

Updated: September 2020

Senior Auditor

Michael Mitchell

Senior Auditor

Shellie

Purnell-Brown

Investigator/

Auditor

Deputy Inspector

General

Dennis Phillips

Investigator/

Auditor

*Administrative

Officer

Brenda Bowie

Inspector General

Christopher Skinner

Senior Counsel

Carla Smith
Commitment

We are committed to continually seek personal 

and operational growth opportunities to 

preserve the positive reputation of the OIG. 

We pledge our dedication to persistently 

enhance our skillsets in efforts to uphold the 

integrity of the FEC.

Respect

We are devoted to creating a professional 

and positive work environment in which all 

colleagues and stakeholders are treated with 

the utmost respect. We welcome, value, and 

embrace the diversity of everyone and behave 

respectfully to all with whom we interact.

Service

We pride ourselves in providing a nonconfrontational, value-added service to 

customers through objective, accurate, and 

timely evaluations of OIG inquiries in support 

of FEC operations and procedures.

Honesty

We are honest, fair, and true to ourselves, 

to each other, and to our customers, which 

is reflected in our reputation. We behave 

with the highest levels of integrity, which is 

fundamental to who we are as a team.

Collaboration

We strive to collaborate and build key 

relationships within the OIG community 

and the FEC in order to improve program 

operations, efficiencies, and effectiveness. 

We universally work together to identify 

potential opportunities to partner with OIG 

stakeholders in efforts to resolve Government 

wide concerns and maximize the value to the 

citizens of the United States.

Balance

We aim to balance customer needs with the 

mission of the OIG and FEC while assuring 

all endeavors of our work reflect transparent 

and unbiased processes. We apply this 

practice through our application of due 

regard for our peers, our beliefs, our family, 

and our stakeholders.

4 FEDERAL ELECTION COMMISSION | OFFICE of the INSPECTOR GENERAL

Core Values
SEMIANNUAL REPORT to CONGRESS | APRIL 1, 2020 – SEPTEMBER 30, 2020 5

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 requires that the IG provide a means for keeping the head of its respective establishment 

(i.e., the “FEC” or “Commission”) and the Congress fully and currently informed of problems relating to the 

administration of FEC programs and operations, through regular reports. Additionally, IG’s are required to report 

to their respective establishments particularly serious or flagrant problems, abuses, or deficiencies relating to the 

administration of agency programs and operations.

This semiannual report provides the major accomplishments of the FEC OIG, as well as relevant information 

regarding additional OIG activities. The executive summary highlights the most significant completed activities of 

the OIG from April 1, 2020 to September 30, 2020. Additional details pertaining to each activity (e.g., audits, hotline, 

investigations, and special reviews) can be found in subsequent sections of this report. The FEC OIG staff rely and act 

on its OIG Core Principles (honesty, collaboration, commitment, balance, service, and respect) and the Council of the 

Inspectors General on Integrity and Efficiency (CIGIE) standards to ensure the integrity of all FEC OIG work products. 

Audits and Reviews

FY 2020 Financial Statement Audit

The OIG exercised the first option year of a five-year contract with independent public accountant (IPA), Brown 

& Company, PLLC (Brown & Company) to perform the agency’s 2020 financial statement audit. During this 

reporting period, the entrance conference was held on April 1, 2020 which initiated the planning phase of the 

audit. Brown & Company will conduct final audit testing in October and November 2020. The OIG anticipates 

completing the audit on-time, providing no unforeseen delays, and issuing the final audit report by the mandated 

due date of November 16, 2020.

Travel Program Audit

The audit of the FEC’s travel program commenced during this report period. The objectives include evaluating internal 

controls, compliance with certain relevant travel regulations, identify potential fraudulent or wasteful transactions, 

and recommend improvements to the efficiency and effectiveness of the travel card program. Fieldwork is ongoing 

and our anticipated completion date is early November 2020. We anticipate issuing the final report during the next 

reporting period.
6 FEDERAL ELECTION COMMISSION | OFFICE of the INSPECTOR GENERAL

Special Review

Use of TRANServe Benefits during the FY19 Government Shutdown (December 22, 2018 – 

January 25, 2019)

In efforts to provide FEC management insight into the TRANServe program’s internal controls and operations, we 

completed a special review to determine if FEC employees misused their TRANServe benefits during the FY 19 

government shutdown and if management established adequate internal controls to monitor compliance with FEC 

Commission Directive 54, Employee Transit Benefit Program. The OIG issued a final report on July 31, 2020 that 

included three recommendations to improve the operations and monitoring of the FEC TRANServe Program. Those 

recommendations serve to enhance the integrity and effectiveness of the FEC TRANServe Program and the accuracy 

of the agency transit subsidy allocations. 

Peer Reviews

In accordance with the CIGIE Audit Peer Review schedule, the Election Assistance Commission (EAC) OIG was tasked 

to conduct a modified peer review of the FEC OIG Audit Program for the reporting period that ended September 30, 

2019. The peer review kick-off meeting was held on February 25, 2020, and fieldwork remains in progress. Due to the 

unforeseen conditions related to the COVID-19 pandemic, an extension for this peer review period was granted and 

the report is now due by December 31, 2020.

OIG Audit/Review Follow-up Activity

The OIG has the responsibility to perform follow-up assessments to ensure that management has effectively implemented 

OIG recommendations. The OIG follows up on all FEC recommendations that have been outstanding for more than 

six months and identifies the progress management has made in addressing such recommendations to date.

The OIG continues to follow up with management to address outstanding audit recommendations despite competing 

priorities and the current environment due to the COVID-19 pandemic. As a result, three recommendations were closed 

during this reporting period. There are five open audits and inspections, containing 21 outstanding recommendations 

as of September 2020 (see complete details in the OIG Audit Follow-up Activity section of this report).

Hotlines and Investigations

The OIG implemented an online hotline portal to improve the process in which members of the public and agency 

employees may submit matters to the OIG. During this reporting period, the OIG received 43 new hotline complaints 

and closed 40 of them, ending this reporting period with three open hotline complaints. No outstanding hotline 

complaints remained from the prior reporting period.

All hotline complaints are evaluated to determine if an investigation is warranted. OIG investigations involve a 

detailed analysis of the issues presented. That analysis includes, but is not limited to, reviewing pertinent agency records, 

leveraging information technology resources, and interviewing witnesses and subjects. The OIG previously reported 

four open investigations as of March 31, 2020. During the reporting period, no new investigations were opened, three 

investigations were closed, and one investigation remains open and ongoing. 

EXECUTIVE SUMMARY
SEMIANNUAL REPORT to CONGRESS | APRIL 1, 2020 – SEPTEMBER 30, 2020 7

OIG Audit Activity

Title: FY 2020 Financial Statement Audit

Assignment Number: OIG-20-01

Status: In progress

The OIG exercised the first option year of a five-year contract with Brown & Company to perform the agency’s 

2020 financial statement audit. During this reporting period, the entrance conference was held on April 1, 

2020, which initiated the planning phase of the audit. Additionally, the audit timeline, audit plan, engagement 

letter, and list of requested testing documents were provided to management. Fieldwork and interim testing began on 

July 1, 2020. 

Brown & Company is currently in the process of completing interim testing, assessing information technology 

(IT) internal controls, and following-up on the status of prior years’ IT audit findings and recommendations. As in prior 

years, the contractor is required by the FEC OIG’s contract to conduct additional testing on IT controls, as the FEC is 

exempt from the Federal Information Systems Management Act (FISMA) and is not subject to the annual FISMA audit.

Brown & Company will conduct final audit testing in October and November 2020. The OIG anticipates completing 

the audit on time, providing no unforeseen delays, and issuing the final audit report by the mandated due date of 

November 16, 2020.

Title: Travel Program Audit

Assignment Number: OIG-20-03

Status: In progress

The audit of the FEC’s travel program commenced during this report period. The primary objectives of this 

audit are to: (1) assess travel card policies and procedures to ensure internal controls in place are adequate to comply 

with Federal Travel Regulations (FTR), OMB Circular A-123 – Appendix B, and the Government Charge Card 

Abuse Prevention Act of 2012; (2) test travel card reimbursements and charges to ensure compliance with the FTR, 

and determine if fraud, waste, abuse, or misuse has occurred; and (3) assess the travel card program and processes 

to determine if there are opportunities to improve the efficiency and effectiveness of the program. Fieldwork is 

ongoing and our anticipated completion date is early November 2020. We anticipate issuing the final report during 

the next reporting period.
8 FEDERAL ELECTION COMMISSION | OFFICE of the INSPECTOR GENERAL

Special Reviews

Title: Use of TRANServe Benefits during the FY19 Government Shutdown 

(December 22, 2018 – January 25, 2019)

Assignment Number: SR 19-01

Status: Complete

Report Location: Use of TRANServe benefits during the FY 19 government shutdown

The OIG received information via the OIG hotline that alleged FEC employees violated the FEC Transit 

(TRANServe) Program by utilizing their transit benefits for personal use during scheduled telework days. The 

OIG opened an investigation into the matter on May 22, 2019. Based on the documentary evidence obtained, 

the investigation did not determine whether the employees were using their TRANServe benefits for personal use; 

however, it identified irregularities in TRANServe benefit usage during the FY19 government shutdown (December 

22, 2018 through January 25, 2019). The 35-day shutdown consumed four out of five weeks in January 2019. Specifically, 

FEC employees were permitted to use their TRANServe benefits on four out of 21 (19%) working days in January 2019; 

thus, any TRANServe usage over 20% indicate potential abuse. Accordingly, the OIG conducted a special review of the 

program, which found that 30 employees used more than 20% of their January 2019 TRANServe benefits.

The OIG issued a final report on July 31, 2020 with the following recommendations:

1. That the FEC regularly request, retrieve, and review monthly TRANServe subsidy benefit reports from 

the Department of Transportation in efforts to monitor benefit usage and prevent fraud, waste, and/or 

abuse of government funds.

2. That FEC management incorporate guidance into Commission Directive 54 that addresses transit benefits 

for furloughed and non-furloughed employees in the event of a government shutdown.

3. That FEC management include specific guidance related to the use of transit benefits during a government 

shutdown within the annual transit recertification application and within the agency PowerPoint training.

Considering the agency’s current state of remote operations due to the COVID-19 pandemic, we highly encourage 

FEC management to implement the foregoing recommendations prior to a return to normal operations.
SEMIANNUAL REPORT to CONGRESS | APRIL 1, 2020 – SEPTEMBER 30, 2020 9

OIG Audit/Review Follow-up Activity

Title: Audit Follow-Up

Assignment Number: N/A

Status: In progress

As required by the Inspector General Act of 1978, as amended, the OIG is responsible for among other things, 

conducting and supervising audits, inspections, and special reviews of the FEC’s programs and operations. 

Additionally, the OIG has the responsibility to perform follow-up assessments to ensure that management 

has effectively implemented OIG recommendations. The OIG performs follows up on all recommendations that have 

been outstanding for more than six months and identifies the progress management has made in addressing such 

recommendations to date. 

Since the last reporting period, the OIG has included the five recommendations identified in FY 2019 Required 

Review Under the DATA ActReport (FY 2019 DATA Act Audit) as its recommendations are older than six months. There 

were three recommendations identified in the 2017 DATA Act Audit report which were repeated and superseded in the 

recent FY 2019 DATA Act Audit. The OIG met with management in May 2020 to discuss the open recommendations 

and received supporting documentation related to corrective actions implemented including the FEC DATA Quality 

Plan. Based on our review, we were able to close three of the five recommendations.

The OIG continues to follow-up with management to address outstanding audit recommendations despite 

competing priorities and the current environment due to the COVID-19 pandemic. As a result, three recommendations 

were closed during this reporting period. 

There are five audits and inspections containing 21 outstanding recommendations as of September 30, 2020. A 

list of those audits and inspections is detailed below:

1. 2010 Follow-up Audit of Privacy and Data Protection (outstanding 9 years)

2. Inspection of the FEC’s Disaster Recovery Plan and Continuity of Operations Plans

(outstanding 7 years)

3. Audit of the FEC’s Office of Human Resources (outstanding 6 years)

4. Audit of the FEC Telework Programs (outstanding 3 years)

5. FY 2019 Required Review Under the DATA Act (outstanding 6 months)
10 FEDERAL ELECTION COMMISSION | OFFICE of the INSPECTOR GENERAL

OIG AUDIT/REVIEW FOLLOW-UP ACTIVITY

Age of Outstanding Recommendations

86% of the outstanding recommendations are more than six years old

■ Open Less Than 2 Years

■ Open 2 to 4 Years

■ Open 6 to 8 Years

■ Open 8 to 10 Years

Number of Recommendations

9

23

9

3

14

9

2

6 7

12

8 7

25

20

15

10

5

0

9

1

2

Recommendations Activity by FEC Office from 

August 2018 to September 2020

■ Current Open Recommendations

■ Total Closed Recommendations Since August 2018

OGC OHR OCFO

FEC Office

OCIO
SEMIANNUAL REPORT to CONGRESS | APRIL 1, 2020 – SEPTEMBER 30, 2020 11

OIG Hotline Activity

1 The OIG also receives communications that do not rise to the level of complaints because they are not OIG specific and/or fail to state a 

complaint; we classify those as OIG Contacts for reporting purposes. During the reporting period, the OIG received and responded to 96 OIG Contacts. 

The OIG hotline provides a means for FEC employees, FEC contractors, and the public to communicate directly 

and confidentially with the OIG regarding allegations of fraud, waste, abuse, mismanagement, and misconduct. 

Additionally, the OIG may open a hotline complaint based on information received from members of Congress, 

FEC management, or the results of an audit or review. 

During this reporting period, the OIG further modernized its hotline system to improve its accessibility, efficiency, 

and effectiveness, in accordance with the CIGIE Quality Standards for Investigations. Prior to June 1, 2020, the hotline 

complaint process was cumbersome, decentralized, and labor-intensive, as it required OIG staff to manually monitor 

the hotline phone, a voice mailbox, an email account, incoming postal mail, faxes, and potential walk-in complaints. 

Moreover, while agency employees could submit complaints through an internal third-party reporting system, members 

of the public could not do so.

Accordingly, during this reporting period, the OIG implemented an online hotline portal in which anyone, 

including FEC staff and the general public, could submit complaints to the FEC OIG. The implementation 

of the OIG hotline portal on June 1, 2020 superseded and subsumed the prior processes for receiving complaint 

submissions. Persons who seek to submit complaints are now redirected via an automated message to three 

methods of submitting a complaint: (1) the hotline portal, which is accessible through the OIG webpage; 

(2) the OIG hotline form (which can be mailed to the OIG’s physical address); and (3) the OIG hotline telephone, which 

is actively monitored during business hours. 

During this reporting period, the OIG received 43 new hotline complaints and closed 40 of them, ending this 

reporting period with three open hotline complaints. No outstanding hotline complaints remained from the prior 

reporting period.1 

The OIG takes all matters received on the hotline seriously; as such, we carefully analyze all information received 

to determine the appropriate course of action. Those courses of action include but are not limited to:

■ Opened for investigation – Issue involves an FEC employee, program/process, and alleges a violation of 

an applicable law, rule, or regulation. 

■ OIG referral to management for action – Issue is more suitably handled by management; OIG refers to 

management via letter for action deemed appropriate.

■ OIG referral to another existing FEC program/process (i.e., OGC, EEO, HR) – Existing process exists to 

resolve the issue; OIG refers the matter via letter to relevant program/process for action deemed appropriate.

■ OIG referral to external agency – Issue is best handled by another agency that has cognizance over 

the matter and/or warrants criminal investigation/prosecution. OIG refers to relevant agency via letter for 

action deemed appropriate. 
12 FEDERAL ELECTION COMMISSION | OFFICE of the INSPECTOR GENERAL

OIG HOTLINE ACTIVITY

■ OIG referral to the OIG audit or special review process – The issue identifies compliance or internal 

control concerns regarding specific agency operations but does not warrant OIG investigation. OIG refers 

internally for potential audit or review.

■ Assist complainant – OIG determines the complaint is best handled by an existing process and/or entity that 

is available to the complaint. OIG notifies the complainant via letter of that process.

■ Closed with no further action – Complainant is frivolous, has already been addressed, provides insufficient 

detail to act, or otherwise warrants no further OIG action. 

OIG Course of Action - Hotlines Closed

Opened for investigation 0

OIG referral to FEC management 0

OIG referral to existing FEC program/process 2

OIG referral to external agency 2

OIG referral to OIG audit/special review 0

Assist complainant 19

Closed with no action 17

Total Hotlines Closed 40
SEMIANNUAL REPORT to CONGRESS | APRIL 1, 2020 – SEPTEMBER 30, 2020 13

OIG Investigative Summaries 

OIG investigations gather and analyze facts to resolve allegations of wrongdoing. OIG investigations may 

address administrative, civil, and criminal violations of laws, regulations, and policies. The subject of an OIG 

investigation may include any agency employee, FEC contractor, consultant, or person or entity involved in 

alleged wrongdoing affecting FEC programs and operations. 

As previously noted, the OIG evaluates all hotline complaints to determine if an investigation is warranted. 

OIG investigations involve a detailed analysis of the issues presented, as well as emerging issues identified by the 

OIG. That analysis includes, but is not limited to obtaining pertinent agency records, performing computer material 

examinations, and interviewing witnesses and subjects. Occasionally, open investigations may be closed without a 

Report of Investigation (ROI) due to among other things, refuting evidence or lack of evidence obtained, and/or the 

level of severity of the allegation(s). Additionally, competing priorities may indicate that an allegation of wrongdoing is 

better addressed by management than by OIG investigation. 

If the OIG determines to proceed and prepare an ROI, that report will provide a summary of the complaint, 

document the specific allegation(s), the law(s) or regulation(s) associated with the allegation(s), the objective description 

of the case facts, and a conclusion of investigative findings (i.e., substantiated or not substantiated). The OIG previously 

reported four open investigations as of March 31, 2020. During the reporting period, no new investigations were opened, 

three investigations were closed, and one investigation remains open.

4

0

3

1

5

4

3

2

1

0

FEC OIG Status of Investigations

(March 31, 2020 – September 30, 2020)

Open Investigations

as of March 31, 2020

Open Investigations

(April 1 – Sept 30, 2020)

Closed Investigations

(April 1 – Sept 30, 2020)

Open Investigations

as of Sept 30, 2020
14 FEDERAL ELECTION COMMISSION | OFFICE of the INSPECTOR GENERAL

In accordance with the IG Empowerment Act of 2016, OIG’s are required to report on each investigation conducted 

involving a senior government employee where allegations of misconduct were substantiated, including a detailed 

description of the facts and circumstances of the investigation and the status and disposition of the matter. Accordingly, 

the OIG reports the following:

The OIG received information that suggested an FEC senior government employee had connected an unsecure 

personal laptop to the FEC local area network (LAN), in or around August 2019, in violation of FEC Policy Number 

58-4.3, “Mobile Computing Security Policy.” The OIG opened an investigation into the matter on December 5, 2019. 

The investigation concluded that the employee had in fact connected a personal laptop to the FEC LAN in violation 

of FEC’s Mobile Security Policy. 

The investigation found that the senior employee did so out of personal convenience in the course of conducting 

official business and found no evidence that the employee’s actions resulted in a compromise of the FEC’s LAN by a 

third party. Once this information was made available to management, it advised the Commission that the individual 

was admonished and reminded not to use any personal devices on the internal FEC network and was in violation of 

the FEC’s IT security policies. The matter was not referred to the Department of Justice because it did not implicate 

legal standards for which a criminal or civil penalty could be imposed.

Closed Investigations - Courses of Action

(Apr 1 – Sep 30, 2020) # of Investigations

Investigations closed with ROI released to Commissioners 1

ROI completed and released to Commissioners and referred to local 

state authorities 0

Investigations closed with Management Alert Memorandum (requesting 

management to follow up with actions taken, if any) 0

Investigations closed with Closing Memorandum but not provided to 

management due to insufficient evidence 1

Investigations closed and referred to OIG audit/special review program 0

Referrals to DOJ for federal prosecution2 1

Totals 3

2 This investigation was referred in March 2019 and is now being reported as closed.

OIG INVESTIGATIVE SUMMARIES
SEMIANNUAL REPORT to CONGRESS | APRIL 1, 2020 – SEPTEMBER 30, 2020 15

Council of the Inspectors General on

Integrity and Efficiency

Mr. Christopher Skinner, the Inspector General, attended CIGIE monthly meetings as well as CIGIE 

sponsored Conferences and Professional Development Seminars. Mr. Skinner participates on the CIGIE 

Technology Committee meetings to stay abreast to the effective information technology (IT) audits, 

evaluations, and investigations by Inspectors General. He continues to participate on all CIGIE OIG trainings as a 

new IG in the CIGIE community. 

Mr. Dennis Phillips, the Deputy Inspector General, will participate on recommended CIGIE meetings and 

trainings as a new senior leader in the CIGIE community. 

Ms. Carla Smith, Senior Counsel, participates on the following recurring meetings: CIGIE Legislative Committee, 

Counsel to the OIG, Counsel to the small OIG, and Freedom of Information Act (FOIA).

Ms. Shellie Purnell-Brown, Senior Auditor, participates on the DATA Act and Enterprise Risk Management 

working groups.
16 FEDERAL ELECTION COMMISSION | OFFICE of the INSPECTOR GENERAL

List of Training, Meetings & Conferences

The chart below provides a list of trainings, meetings, programs, seminars, and/or conferences 

attended by the IG and the OIG staff for the period April 1, 2020 to September 30, 2020.

Trainings, Meetings, Conferences, Etc.

Host / Sponsor Topic / Subject

American University Key Executive Leadership Programs: Resilience in Uncertainty

Accountants Continuing 

Education 

New Jersey Law & Ethics for CPAs (mandatory training to renew CPA 

licenses)

Association of Certified 

Fraud Examiners

2019 Law Enforcement and Government Anti-Fraud Summit

2020 Maryland Chapter Fraud Conference - Business Professionals’ 

Network, Inc.

Fighting Fraud in the Government

Council of Counsels to 

the Inspectors General Monthly Meetings and Small OIG Working Group

Council of the Inspectors 

General on Integrity 

and Efficiency (CIGIE)

AIGI Quarterly Meeting 

COVID-19 Procurement Fraud Training

DATA Act Working Group

Data Analytics Working Group (DAWG) Quarterly Meetings

Emerging Technology Symposium – Artificial Intelligence, Real 

Oversight

ERM Working Group

FAEC Bi-Monthly Meeting Workshop

Investigative Peer Review Training

Jump Starting I&E Training Program

Legislation Committee Meeting

LIFT Off Virtual Training

Live Webcast: Using Tech Tools to Manage a Remote Workforce

Pandemic Response Accountability Committee (PRAC)

Small OIG Meetings
SEMIANNUAL REPORT to CONGRESS | APRIL 1, 2020 – SEPTEMBER 30, 2020 17

LIST OF TRAINING, MEETINGS & CONFERENCES

Trainings, Meetings, Conferences, Etc.

Host / Sponsor Topic / Subject

Council of the Inspectors 

General on Integrity 

and Efficiency (CIGIE)

Stakeholder Perspectives on Oversight of the Federal COVID-19 

Spending and Response 

Technology Committee Meeting

Traps for the Unwary Federal Manager

Using Tech Tools to Manage a Remote Workforce

Department of Health 

and Human Services Mobile Application Security Training

Federal Audit Executive 

Council-GAO DATA Act Coordination Meeting 

Federal Acquisition 

Institute (FAI) Contracting Officer Representative

Federal Election 

Commission

Addressing Systemic Exclusion through Structural Inclusion

Administrative Liaison Group Meetings

Biweekly Director’s Meetings with IG, Acting GC, SD & CFO

Commissioner Monthly Inspector General Update

COOP Meetings

COVID-19 Senior Management Meeting

Finance Committee Meeting

Mandatory Hatch Act Training

Mandatory Management Training – Whistleblower Protection 

Mandatory Training for Phase I Operations

New Employee Orientations

OSC Mandatory Prohibited Personnel Practices 

ServiceNow Training

Zoom Tutorial for FEC License Coordinators

Federal Employment 

Law Training Group, 

LLC (FELTG)

Workplace Challenges in a COVID-19 World

Financial Statement 

Auditor’s Network 

(FSAN)

Attend Bi-Monthly Meetings

GAO 23rd Biennial Forum of Government Auditors Virtual Forum
18 FEDERAL ELECTION COMMISSION | OFFICE of the INSPECTOR GENERAL

LIST OF TRAINING, MEETINGS & CONFERENCES

Trainings, Meetings, Conferences, Etc.

Host / Sponsor Topic / Subject

Government Publishing 

Office How to Use the “Doing Business with GPO” Customer Handbook

Graduate School USA

Assessing Controls in Performance Audits

Administrative Officer Training

Data Analytics: Tools and Techniques

Federal Appropriations Law for Auditors

Government Contract Law

Leading and Managing Audit Projects

Managing Federal Year End Spending

Writing Audit Reports by Objectives

Writing for Impact

Institute of Internal 

Auditors

Cares Act

Elected Member of the Board of Governors

KnowBe4

2020 Kevin Mitnick Security Awareness Training

Compliance Series: Business Continuity Management

Basics of Phishing Fundamentals

Password Security

NIST Password Guidelines

Social Media: Staying Secure in a Connected World

Leadership Strategies The Secrets to Virtual Facilitation

Management Concepts Ethics in Federal Contracting

National Association 

of State Auditors, 

Comptrollers, and 

Treasurers

COVID-19 Accountability Work Group

Office of Management 

and Budget MAX Federal Community 101 Virtual Training

Wolters Kluwer

Evolving Cyber Risks in a COVID-19 World

TeamMate Analytics Virtual Training

TeamMate Live Virtual Conference
SEMIANNUAL REPORT to CONGRESS | APRIL 1, 2020 – SEPTEMBER 30, 2020 19

Reporting Requirements

Reporting requirements required by the IG Act, as amended, are detailed below:

IG Act DESCRIPTION PAGE

Section 4(a)(2) Review of Legislation 15

Section 5(a)(1) Significant Problems, Abuses, and Deficiencies None

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

and Deficiencies None

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

Corrective Action Has Not Been Completed (Table III) 22

Section 5(a)(4) Matters Referred to Prosecuting Authorities None

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

Section 5(a)(7) Summary of Significant Reports None

Section 5(a)(8) Questioned and Unsupported Costs (Table I) 20

Section 5(a)(9) Recommendations that Funds be Put To Better Use (Table II) 21

Section 5(a)(10)

(A)

Summary of Audit Reports issued before the start of the Reporting 

Period for which No Management Decision has been made None

Section 5(a)(10)

(B)

Summary of Audit Reports Issued Before the start of the 

Reporting Period for which No Management Comment was 

Returned Within 60 Days

None

Section 5(a)(10)

(C)

Summary of Audit Reports Issued Before the Start of 

the Reporting Period for which There Are Outstanding 

Unimplemented Recommendations

None

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

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

Disagreement None

Section 5(a)(11) Peer Review Recommendations 24
20 FEDERAL ELECTION COMMISSION | OFFICE of the INSPECTOR GENERAL

REPORTING REQUIREMENTS

IG Act DESCRIPTION PAGE

Section 5(a)(17), 

(18)

Investigative Reports Table and Metrics (Table IV) 13-14,

and 23

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

Substantiated Misconduct 13-14

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

Table I: Inspector General Issued Reports with Questioned Costs

Required reporting Number of 

Reports

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 1 $911 0

Sub-Totals (A&B) 1 $911 0

C.

For which a management decision 

was made during the reporting 

period 

0 0 0

(i) Dollar value of disallowed costs 0 0 0

(ii) Dollar value of costs not 

disallowed 0 0 0

D.

For which no management decision 

has been made by the end of the 

reporting period

0 0 0

E.

Reports for which no management 

decision was made within six 

months of issuance 

0 0 0

Reporting requirements required by the IG Act, as amended, continued:
SEMIANNUAL REPORT to CONGRESS | APRIL 1, 2020 – SEPTEMBER 30, 2020 21

REPORTING REQUIREMENTS

Table II: Inspector General Issued Reports with Recommended Actions 

That Funds Be Spent to Better use

Required Reporting Number of Rec’s 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 0 0

based on proposed management action 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
22 FEDERAL ELECTION COMMISSION | OFFICE of the INSPECTOR GENERAL

Table III: Summary of Audit and Inspection Reports with Corrective Actions Outstanding 

Report Title Report

Number

Date

Issued

Total

Rec’s Closed Open Cost Savings

2010 Follow-up Audit 

of Privacy and Data 

Protection

OIG-10-03 03/11 9 0 9 0

Inspection of the Federal 

Election Commission’s 

Disaster Recovery 

Plan and Continuity of 

Operations Plans

OIG-12-06 01/13 7 0 7 0

Audit of the Federal 

Election Commission’s 

Office of Human 

Resources 

OIG-12-05 07/13 2 0 2 0

Audit of the FEC’s

Telework Programs OIG-15-03 06/16 1 0 1 0

Required Review Under the 

DATA Act OIG-19-02 11/19 5 3 2 0

Totals 24 3 21 0

REPORTING REQUIREMENTS
SEMIANNUAL REPORT to CONGRESS | APRIL 1, 2020 – SEPTEMBER 30, 2020 23

Table IV: Summary of Investigative Reports and Actions3

FEC OIG Investigations Courses of Action (Apr 1, 2020 – Sep 30, 2020) Number

Total number of investigative reports issued 3

Total number of persons referred to DOJ for criminal prosecution 0

Total number of persons referred to state and local prosecuting Authorities for 

criminal prosecution

0

Total number of indictments and criminal information resulting from any prior 

referral to prosecuting authorities

0

Total Investigations Closed 3

3 Metrics Used for Developing Data for Table IV: 

Total number of investigative reports issued - reflects the number of all Reports of Investigation (ROI) issued to FEC Commissioners, management 

alert memorandums, closing memorandums, and other referral memorandums during the reporting period;  

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 - reflects the total number of referrals for criminal prosecution made by the FEC OIG to the respective criminal prosecuting 

authorities during the reporting period; and

Total number of indictments and criminal information 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.

REPORTING REQUIREMENTS
24 FEDERAL ELECTION COMMISSION | OFFICE of the INSPECTOR GENERAL

Appendix A: Peer Review Results

I

n accordance with the IG Act, OIGs are required to report to Congress, as applicable, results of any peer reviews 

it received or conducted during the reporting period. Specifically, OIGs are required to report any outstanding 

recommendations that resulted from the peer review.

The last peer review completed for the FEC OIG was conducted by the Farm Credit Administration OIG 

and the final report was issued on February 15, 2017. The FEC OIG received a “pass” rating with no outstanding 

recommendations. Additionally, the FEC OIG does not have any open recommendations from previous peer reviews. 

OIG Peer Review Activity 

Title: Peer Review of the FEC OIG Audit Program

Assignment Number: N/A

Status: In Progress

In accordance with the CIGIE Audit Peer Review schedule, the Election Assistance Commission OIG was tasked 

to conduct a modified peer review of the FEC OIG Audit Program for the reporting period ended September 30, 

2019. The peer review kick-off meeting was held on February 25, 2020, and fieldwork remains in progress. Due to the 

unforeseen conditions related to the COVID-19 pandemic, an extension for this peer review period was granted and 

the report is now due by December 31, 2020.
SEMIANNUAL REPORT to CONGRESS | APRIL 1, 2020 – SEPTEMBER 30, 2020 25

Appendix B: Mission Statements

The Federal Election Commission

The FEC is the independent regulatory agency charged with administering and enforcing the federal campaign 

finance law. The FEC has jurisdiction over the financing of campaigns for the U.S. House, Senate, Presidency 

and the Vice Presidency. Its mission is to protect the integrity of the Federal campaign finance process by 

providing transparency and fairly enforcing and administering Federal campaign finance laws.

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 consists 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 year, with no member 

serving as Chairman more than once during his or her term. 

Currently, the FEC has three Commissioners and three vacancies – James E. “Trey” Trainor, III (Chair), Steven 

T. Walther (Vice Chair), and Ellen L. Weintraub.

Office of Inspector General

The FEC OIG is committed to detect and prevent fraud, waste, and abuse, violations of law, and to promote economy, 

efficiency and effectiveness in the operations of the FEC. The OIG strives, as an agent of positive change, to promote 

improvements in the management of FEC programs and operations by independently conducting audits, reviews, and 

investigations. Our overriding objective is excellence and continuous improvement.
Federal Election Commission

Office of the Inspector General

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.

REPORT

FRAUD, WASTE, & ABUSE

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!