Semiannual Report to Congress

April 1, 2015 – September 30, 2015

November 2015

Federal Election Commission - Office of Inspector General

999 E Street, N.W. Suite 940, Washington, D.C. 20463
FEDERAL ELECTION COMMISSION

WASHINGTON, D.C. 20463

OFFICE OF THE CHAIR

November 20, 2015

The Honorable Paul D. Ryan

Speaker of the House of Representatives

Washington, D.C. 20515

Dear Mr. Speaker:

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, 2015 through September 30, 2015. 

During this reporting period, the FEC’s OIG report entitled Review of Outstanding 

Recommendations as of August 2015 was released in September 2015. We were pleased to note 

the reduction in the number of outstanding recommendations and, in particular, that the Office of 

the Chief Financial Officer implemented all recommendations from the Inspection of the FEC’s 

Travel and Purchase Card Programs within one year from issuance of the report. The response 

of FEC management to the issues raised in the report appears in the report. 

The Commission appreciates and shares the 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 Chairmen 

and Ranking Members of the FEC’s oversight committees.

On behalf of the Commission,

Ann M. Ravel

Chair


FEDERAL ELECTION COMMISSION

WASHINGTON, D.C. 20463

Office of the Inspector General

A MESSAGE FROM THE INSPECTOR GENERAL

The Office of Inspector General (OIG) had a productive six months. Not only did the 

office continue to move forward in conducting various work products, but the OIG 

Fiscal Year 2016 Work Plan was created and completed along with the Strategic Plan 

for Fiscal Years 2016-2020. Both of these documents required a great deal of research 

and time by the OIG staff to ensure our work as we move forward is well-thought out 

and covers the appropriate areas of the Federal Election Commission, basing these decisions on our risk assessment process and interactions with FEC stakeholders. 

We continued to put an emphasis on working with management to ensure outstanding recommendations from audits/inspections reach closure. The OIG provides a report to the Commission twice a year informing them of the status of each audit and 

the recommendations contained within them and express our concern when a lack 

of progress has occurred for an extended period of time. We have also been working with management to keep them informed of their responsibilities under the DATA 

Act since the Act contains new requirements for federal departments and agencies.

I would once again like to thank the staff of the OIG for their commitment to the principles 

of the OIG and for all of the hard work they display in each task they accomplish. I am really proud to be associated with such a dedicated group of people who not only strive to 

make the OIG and the FEC function more effectively, but the time they give to the Inspector 

General community as a whole to enable it to achieve its mission in improving government.

Lynne A. McFarland

Inspector General

Federal Election Commission

October 29, 2015
v

April 1, 2013 - September 30, 2013

v

April 1, 2015 – September 30, 2015

Executive Summary 1

OIG Audit Activity 3

OIG Audit Follow-up Activity 4

OIG Inspections and Special Projects 5

OIG Hotline Information 6

OIG Investigative Information 8

Additional OIG Activity 9

Council of the Inspectors General on Integrity and Efficiency 10

OIG Contacts 11

List of Training, Meetings and Conferences Attended by OIG Staff 12

Reporting Requirements 14

Table I – Questioned Cost 15

Table II – Funds Put To Better Use 16

Table III – Summary Of Audit And Inspection Reports With 17

Corrective Actions Outstanding For More Than Six Months

Appendix A

The Federal Election Commission 18

Office of Inspector General 18

Table of Contents
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April 1, 2013 - September 30, 2013

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April 1, 2015 – September 30, 2015

Executive Summary

the prior reporting period. The primary objectives of 

the audit are to 1) determine whether the agency’s 

telework related programs are being administered 

by the agency in accordance with Federal law, regulations, Office of Personnel Management (OPM) 

guidance, and FEC policies and procedures, and 

2) assess whether the telework program has been 

implemented equitably and fairly within the spirit of 

Federal guidance. The audit fieldwork has been completed and the notices of findings and recommendations (NFRs) are being finalized. For detailed information pertaining to the 2015 financial statement 

audit or the audit of the flexiplace/telework programs, 

see the section titled OIG Audit Activity (starting on 

page 3).

The OIG issued the OIG’s Review of Outstanding 

Recommendations as of August 2015 (OIG-15-

05). On a semiannual basis, the OIG provides the 

Commission with a report outlining the status of the 

outstanding recommendations. We reviewed seven 

audits and inspections that contained a combined 

total of eighty-three outstanding recommendations. 

The OIG was able to close four recommendations 

from three of the seven open audits and inspections, resulting in a collective total of seventy-nine 

outstanding recommendations remaining. A noteworthy accomplishment, the Office of the Chief Financial 

Officer (OCFO), implemented all recommendations 

from the Inspection of the FEC’s Travel and Purchase 

Card Programs report in less than a year from the 

report’s issuance. For additional information, see the 

section titled OIG Audit Follow-up Activity (starting 

on page 4).

The OIG is conducting a study to determine the root 

cause of morale issues among FEC employees. The 

annual Federal Employee Viewpoint Survey (FEVS) 

reflects significant morale problems within the FEC, 

with the FEC ranking 29th out of 30 small agencies. 

For detailed information pertaining to the Employee 

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 endeavoring to prevent 

fraud, waste, abuse, and mismanagement. The IG 

Act also requires the IG to keep the Commission and 

Congress fully and currently informed about problems and deficiencies in the Commission’s operations and the need for corrective action.

This semiannual report includes the major accomplishments of the Federal Election Commission 

(FEC) Office of Inspector General (OIG), as well as 

relevant information regarding additional OIG activities. The executive summary highlights the most significant activities of the OIG. Additional details pertaining to each activity (e.g., audits, hotline, and 

investigations) can be found in subsequent sections 

of this report. The diligent work, outstanding efforts, 

and many contributions of our entire IG staff make 

the accomplishments of the OIG possible.

The Audit of the FEC’s Fiscal Year 2015 Financial 

Statements (OIG-15-01) commenced during this 

reporting period. On April 16, 2015, Leon Snead & 

Company (LSC), the independent public accountants 

responsible for performing the audit, provided the engagement letter detailing the roles and responsibilities of LSC and agency management regarding the 

audit process. The entrance conference was subsequently held on April 29, 2015. LSC started the audit by conducting the Information Technology (IT) 

Internal Control, Audit Planning, Risk Assessment, 

and Compliance Testing Phase. LSC will start final 

testing in October, and the report is scheduled to be 

released November 16, 2015.

The OIG began work on the Audit of the FEC’s 

Flexiplace/Telework Programs (OIG-15-03) during 
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Office of Inspector General Semiannual Report to Congress

Morale Study see the section titled OIG Inspections 

and Special Projects (starting on page 5).

During this semiannual reporting period, three new 

hotline complaints were opened and two hotline complaints were closed, including one that was merged 

into an investigation. The OIG has four open hotline 

complaints, including three that were opened prior to 

the beginning of this reporting period. The closed hotline complaint included allegations of a refusal by the 

FEC to provide public records, which was resolved.

Five investigations were open, including four from 

the previous reporting period and one investigation opened during this one. One investigation was 

closed. For detailed information pertaining to hotline 

complaints and investigations, see the sections titled 

OIG Hotline Information (starting on page 6) or OIG 

Investigative Information (starting on page 8).
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April 1, 2013 - September 30, 2013

3

April 1, 2015 – September 30, 2015

OIG Audit Activity

Audit of the FEC's Fiscal Year 2015 Financial 

Statements

Assignment Number: OIG-15-01

Status: In Progress

On April 16, 2015 LSC, the independent public accountants responsible for performing the audit, provided the engagement letter detailing the roles and 

responsibilities of LSC and agency management regarding the audit process. The entrance conference 

was subsequently held on April 29, 2015. LSC started 

the audit by conducting the IT Internal Control, Audit 

Planning, Risk Assessment, and Compliance Testing 

Phase, which is required by the FEC OIG’s contract, 

to conduct additional testing on IT controls. The FEC 

is exempt from the Federal Information Systems 

Management Act (FISMA) and an annual FISMA audit is not required to be performed. This phase of the 

audit began on May 4, 2015 and consisted of LSC 

conducting follow-up on all outstanding recommendations from the prior year’s audit. 

Interim audit testing of financial reporting controls 

began on July 13, 2015. During this phase of the 

audit, LSC held a meeting with the Chair and Vice 

Chair as required by the Statements on Auditing 

Standards 114: The Auditor’s Communication with 

Those Charged with Governance. The meeting was 

conducted to communicate the status of the audit 

process with governance, the approach and scope 

of the annual audit, the status of prior year findings, 

and notify governance of any new issues identified 

for the current year’s audit. Notice of Findings and 

Recommendations were sent to management outlining the issues that remain open, giving management 

the opportunity to provide responses and any new 

status updates.

LSC will start final testing in October; the audit is 

scheduled to be released by November 16, 2015. 

Audit of the FEC's Flexiplace/Telework Programs

Assignment Number: OIG-15-03

Status: In Progress

The Audit of the FEC’s Flexiplace/Telework Programs 

commenced during the prior reporting period. The 

primary objectives of the audit are to 1) determine 

whether the agency’s telework related programs are 

being administered by the agency in accordance 

with Federal law, regulations, OPM guidance, and 

FEC policies and procedures; and 2) assess whether the telework program has been implemented equitably and fairly within the spirit of Federal guidance.

The audit fieldwork has been completed. The scope 

of the audit included detailed testing of a sample of 

FEC employees during a rolling twelve month pay cycle from March 2014 to March 2015. The detailed testing included the following:

• Ensure required telework documentation was 

properly completed and approved prior to employee starting telework;

• Determine if employees' actual telework time 

and attendance records are consistent and in 

line with telework agreements, as well as in 

compliance with the applicable telework policy; 

and 

• Follow-up on employees that have been identified as potentially using excessive telework 

based on the policies in place at the time, and 

assess for reasonableness and the appearance of preferential treatment.

We expect to release the audit report during the next 

reporting period.
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OIG's Review of Outstanding Recommendations 

as of August 2015

Assignment Number: OIG-15-05

Status: Released September 2015

http://www.fec.gov/fecig/documentsReviewof

OutstandingRecommendationsasofAugust

2015-09-30-15.pdf

The OIG semiannually provides the Commission with 

the status of outstanding audit and inspection recommendations detailing the follow-up work conducted 

by the OIG. Since the last follow-up report, released 

in March 2015, the OIG added the Inspection of the 

FEC’s Travel and Purchase Card Programs report to 

the audit follow-up process, as the recommendations 

have been outstanding for six months or more. 

For this reporting period, we reviewed the following seven audits and inspections that contained a combined total of eighty-three outstanding 

recommendations: 

• Audit of the Commission’s Property 

Management Controls (issued 03/2010);

• 2010 Follow-up Audit of Privacy and Data 

Protection (issued 03/2011);

• 2010 Follow-up Audit of Procurement and 

Contract Management (issued 06/2011);

• Inspection of the FEC’s Disaster Recovery 

Plan and Continuity of Operations Plans (issued 01/2013); 

• Audit of the FEC’s Office of Human Resources 

(issued 07/2013);

• Inspection of FEC’s Compliance with FMFIA/

OMB A-123 (issued 06/2014); and

• Inspection of FEC's Travel Card and Purchase 

Card Programs (issued 02/2015).

The OIG was able to close four recommendations 

from three of the seven open audits and inspections, 

resulting in a collective total of seventy-nine recommendations from OIG audits and inspections that are 

still outstanding. 

A noteworthy accomplishment identified during the 

most recent audit follow-up review was that the Office 

of the Chief Financial Officer implemented all recommendations for the Inspection of the FEC’s Travel 

and Purchase Card Programs report in less than a 

year from the issuance of the report. As a result, the 

inspection has been closed. 

OIG Audit Follow-up Activity
5

April 1, 2013 - September 30, 2013

5

April 1, 2015 – September 30, 2015

Root Causes of Low Employee Morale Study

Assignment Number: OIG-15-06

Status: In Progress

The Office of Personnel Management’s annual 

Federal Employees Viewpoint Survey (FEVS) and 

Partnership for Public Service’s (PPS) publication 

The Best Places to Work in the Federal Government, 

which is based on FEVS data, reflect significant morale problems within the FEC. The 2014 PPS rankings place the FEC twenty-ninth out or thirty small 

agencies. The FEC OIG has also received complaints 

concerning low morale among FEC staff.

To ascertain the root causes of low employee morale, the OIG has contracted out to Job Performance 

Systems, Inc. to conduct a study to determine and 

report the various sources of morale issues among 

FEC employees. 

The planning phase of the study has begun and we 

anticipate receiving a final report during the next reporting period.

OIG Inspections and Special Projects
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The OIG hotline exists to enable FEC employees, 

FEC contractors, and the public to have direct and 

confidential contact with the OIG. All allegations or referrals of fraud, waste, abuse, mismanagement, and 

misconduct involving FEC employees, contractors, 

programs, operations, property, or funds received 

through any means are termed “hotline complaints” 

per OIG policy. Once a hotline complaint has been 

received, a preliminary inquiry is conducted to determine whether the hotline complaint will be closed 

with no further action taken, referred to management 

or another agency, or an investigation will be initiated.

The OIG considers many factors when evaluating 

whether to open an investigation based on a hotline 

complaint, and acknowledges that every hotline complaint received by the OIG cannot be investigated, 

and in many cases a complaint does not merit an 

investigation. OIG policy requires that hotline complaints be evaluated on certain criteria, including the 

merits of an allegation, the availability of evidence, 

and the existing priorities, commitments, and resources of the OIG. Under this policy, hotline complaints are classified as either high or low priority 

complaints. High priority complaints are investigated 

and low priority complaints are either closed with no 

action or referred to the appropriate official for possible further review. Often, a hotline complaint will be 

closed because a preliminary inquiry found the allegations to be unsubstantiated, there is a lack of information to proceed, or the issue giving rise to the 

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

with concurrence from the Deputy IG.

During this semiannual reporting period, three new 

hotline complaints were opened and two hotline 

complaints were closed, including one that was 

merged into an investigation. The OIG has four open 

hotline complaints as of the close of this reporting 

period. The other closed hotline complaint included 

allegations of a refusal by the FEC to provide public 

records to a requestor, which was resolved.

The OIG frequently receives reports and allegations which are misdirected complaints that should 

have been routed to the Office of Complaints and 

Legal Administration within the Office of General 

Counsel (OGC), are outside the jurisdiction of the 

OIG or the FEC, or are facially unsubstantiated, meritless or invalid. For example, Section 437g of the 

Federal Election Campaign Act of 1971, as amended (FECA), sets forth strict requirements for reporting alleged violations of FECA, and FEC regulations 

direct that such complaints be filed directly by the 

complainant and processed through OGC; still, the 

OIG regularly receives complaints of alleged FECA 

violations, many of which are not legally compliant. 

Form responses with information about properly filing 

a complaint with OGC are sent to complainants alleging FECA violations, as the OIG cannot simply route 

FECA complaints to OGC.

In other cases of misdirected complaints, a response 

is sent to the individual referring him or her to the 

proper office or other agency. In some limited instances where a misdirected communication does not concern a FECA violation but falls under the purview of 

another FEC component or government agency, 

such as a candidate with a question about filing a 

report with the FEC, the inquiry may be redirected 

and sent to the appropriate office or agency directly 

from the OIG. Reviewing and, where appropriate, responding to these reports and allegations when aggregated can entail a significant amount of staff time 

and effort, despite the fact that they are not valid hotline complaints.

In order to capture and document these hotline contacts, the OIG has created a category for “hotline inquiries” that do not meet the criteria for hotline complaints. For this reporting period, the OIG received 

OIG Hotline Information
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April 1, 2013 - September 30, 2013

7

April 1, 2015 – September 30, 2015

one hotline inquiry, which was related to a campaign 

finance violation; the caller was referred to OGC for 

instructions on how to file a complaint.
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OIG investigations seek out facts related to allegations of wrongdoing. OIG investigations may address 

administrative, civil, and criminal violations of laws 

and regulations. The subject of an OIG investigation 

can be any agency employee, an FEC contractor, 

consultant, or a person or entity involved in alleged 

wrongdoing affecting FEC programs and operations.

As discussed in the OIG Hotline Information section, 

all hotline complaints are evaluated to determine if 

they warrant an investigation. If an investigation is 

opened, the hotline complaint is closed and merged 

into the investigative file. OIG investigations involve 

a detailed examination or inquiry into issues brought 

to our attention by various sources, and may include 

interviews of relevant witnesses and subjects, document reviews, and computer forensic examinations. 

At the conclusion of an OIG investigation, the OIG 

prepares a report that sets forth the allegations and 

an objective description of the facts developed during 

the investigation.

Five investigations were open at the end of the reporting period, including four that were open at the 

beginning of and one that was opened during this 

reporting period. One investigation was closed. The 

closed investigation involved a digital voice recorder 

(DVR) found in the Commission hearing room. The 

United States Postal Service OIG assisted with a forensic examination of the DVR. The owner could not 

be determined, and it could not be conclusively determined whether the DVR had been left accidentally 

or if had been intentionally placed to record a closed 

session of the Commission. Due to a lack of further 

investigative leads, the matter was closed.

The OIG conducted a Quality Assessment Review, 

or peer review, of the investigative operations of the 

National Credit Union Administration (NCUA) OIG and 

issued a report in September 2015. The OIG found 

the system of internal safeguards and management 

OIG Investigative Information

procedures for the investigative function of the NCUA 

OIG in effect for the year ended May 31, 2015, to be 

in compliance with the quality standards established 

by the Council of the Inspector General on Integrity 

and Efficiency.
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April 1, 2013 - September 30, 2013

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April 1, 2015 – September 30, 2015

Additional OIG Activity

Besides conducting audits, inspections, and investigations, the OIG performs and is involved in an array 

of additional projects and activities. As required by 

the IG Act, all legislation related to the programs and 

operations of the FEC compiled by the Commission’s 

Congressional Affairs Office is reviewed by the IG. In 

addition, the IG routinely reads all Commission agenda items for Commission meetings.

The IG also reviews and provides comments, when 

appropriate, on legislation provided by the Council 

of Inspectors General on Integrity and Efficiency 

(CIGIE) Legislative Committee. Listed below are examples of the OIG’s additional activities during this 

reporting period:

• An OIG senior auditor volunteered to be 

the planning coordinator for the Digital 

Accountability and Transparency Act of 2014

(DATA Act) working sub-group data standards / 

common methodology. The auditor participated 

in DATA Act working group joint meetings with 

Government Accountability Office to discuss 

the status of DATA Act standards; briefed governance group on activities of the sub-group; 

and chaired planning meetings for the DATA 

Act Sub-group.

• In preparation for the OIG annual work planning session, the IG staff solicited ideas for the 

FY 2016 work plan. Senior leaders and other key FEC staff members were interviewed. 

Based on the information received and following additional discussions, the OIG’s work plan 

for FY 2016 was developed and released. The 

OIG Strategic Plan covering FY 2016 - FY 2020 

was also created and published.

• The Counsel to the IG continues to provide 

assistance to the IG of the Federal Maritime 

Commission (FMC) pursuant to a memorandum of understanding between the FEC OIG 

and the FMC OIG to provide legal counsel on a 

reimbursable basis.
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Until July of this year, the IG served as Chair of the 

Inspector General Recommendation Panel, when 

she resigned after leading the Panel since its inception. The Recommendations Panel is charged with 

making recommendations of qualified candidates to 

the White House and heads of various Federal agencies to be considered for vacant IG positions. 

During this reporting period, the Inspector General 

was appointed Vice Chair of the newly formed CIGIE 

Budget Committee. The IG attended various meetings and participated in multiple budget committee 

teleconferences. The IG is also a member of the 

Professional Development Committee.

The IG continues to be an active member of the 

Executive Council which is composed of the CIGIE 

Chair, Vice Chair, the immediate past Chair and Vice 

Chair, an at-large member, and all Committee Chairs. 

The Executive Council provides guidance on CIGIE 

initiated projects, the operating plans for each fiscal 

year, and the general business of CIGIE and meets 

monthly to discuss issues that will affect CIGIE and 

its members. 

The IG was also a member of the working group established to redesign CIGIE monthly meetings; the 

IG reviewed surveys from CIGIE members to enlist ideas for meeting format changes. A report was 

provided to the Chair, Vice Chair and Executive 

Council. Additional CIGIE activity included assisting in the preparation of CIGIE Chair’s testimony on 

the Hill concerning vacant IG positions; responding 

to Hill inquiries concerning vacant IG positions; and 

providing statistics on the number of people the IG 

Recommendation Panel has referred to the White 

House over the past six years. The IG also attended and participated in the CIGIE two day Executive 

Council retreat. 

Council of the Inspectors General on 

Integrity and Efficiency
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April 1, 2013 - September 30, 2013

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April 1, 2015 – September 30, 2015

This section documents the non-hotline communications received by the OIG from the public and other 

government agencies. OIG contacts run the gamut 

from citizens expressing their views or trying to reach 

the right FEC component to graduate students doing 

research. Contacts may be made through telephone 

calls, emails, faxes, U.S. mail, and personal visits to 

the OIG. The table below indicates the total amount of 

contacts received by the OIG for the past six months 

– April 1, 2015 through September 30, 2015. Those 

forwarded for action were referred to another FEC 

component or appropriate resource.

OIG Contacts

Total

Contacts

OIG

Action

No Action

Necessary

Forwarded 

for Action

3,211 30 3,161 20
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The chart listed below depicts training, meetings, programs, seminars, and/or conferences attended by the 

Inspector General and/or the OIG staff for the period April 1, 2015 – September 30, 2015:

MEETINGS:

List of Training, Meetings

and Conferences

Host / Sponsor Topic / Subject

Assistant Inspector General for Investigations Quarterly Meetings

Council of Counsels to the Inspectors General Monthly Meetings

Small OIG Working Group Meeting

Council of Inspectors General on 

Integrity and Efficiency (CIGIE) 

Monthly Meetings

Monthly Executive Council Meetings

Professional Development Committee

 Meetings 

IG recommendation Panel Meetings

Monthly Budget Meetings

Federal Election Commission

Bi-monthy Directors' Meetings

Finance Committee Meetings

New Employee Orientations

A-123 Task Force Meeting

Federal Election Commission/

Office of Inspector General

Congressional Hearing

Bi-weekly Staff Meetings

Weekly Meetings w/Staff Assistant, Deputy IG

 and Counsel to the IG/Chief Investigator

OIG Annual Work Planning Session

Institute of Internal Auditors Mid-Atlantic District Planning Meeting

Monthly Officers Meetings
13

April 1, 2013 - September 30, 2013

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April 1, 2015 – September 30, 2015

Host / Sponsor Topic / Subject

African American Federal Executive 

Association Workshop Executive Leadership Conference

American University 6th Annual Key Executive leadership Conference – 

Leading in a Complex World

Association of Certified Fraud Examiners 26th Annual ACFE Global Fraud Conference

Case Studies, Ethics, and More

Association of Government Accountants 2015 Professional Development Conference

Council of the Inspectors General on

Integrity and Efficiency Training Institute

Lincoln Leadership Institute – A Transformational

 Journey from Gettysburg

Financial Statement Conference

FOIA Training

Executive Women in Government Looking to the Future – 12th Annual Leadership Summit

Federal Election Commission

Annual Ethics Training

IT Security Awareness Training

COR Training

Internal Controls Training – New Travel Service Provider

 Training

GSA – Government Travel Card Training

Be an Overnight Success

How to Develop and Manage your Brand

Management Concepts

Supervising Employee Performance

COR Training

Meeting Federal Requirements for Accountability

National Archives & Records Administration Records Management Training

FOIA Mediation Training

Office of Government Ethics An Overview of Subpart G – Misuse of Position

Office of Management & Budget Treasury Data Act Workshop for OIG

Enterprise Risk Management Seminar

USDA Graduate School COR Essentials

Wolters Kluwer – TeamMate User Forum CCH TeamMate Conference

TRAINING / CONFERENCES:
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Reporting Requirements

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

General Act Amendments of 1988 are listed below:

IG ACT DESCRIPTION PAGE

Section 4(a)(2) Review of Legislation 9

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) 17

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 3

Section 5(a)(8) Questioned and Unsupported Costs (Table I) 15

Section 5(a)(9) Recommendations that Funds be put to Better Use (Table II) 16

Section 5(a)(10) Summary of Audit Reports issued before the start of the Reporting 

Period for which no Management Decision has been made N/A

Section 5(a)(11) Significant revised Management Decisions N/A

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

in Disagreement None

Reporting requirements required by the Inspector General Act of 1978, as amended, are listed below:
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April 1, 2013 - September 30, 2013

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April 1, 2015 – September 30, 2015

NUMBER QUESTIONED 

COSTS

UNSUPPORTED 

COSTS

A. For which no management decision has been made 

by commencement of the reporting period

0 0 0

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

Sub-Totals (A&B) 0 0 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

Table I

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

(In Thousands)

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

commencement of the reporting period

0 0

B. Which were issued during the reporting period 0 0

C. For which a management decision was made during the reporting period

0 0

(i) dollar value of recommendations were agreed to by 

management

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

Table II

Inspector general issued reports with recommendations that funds be put to better use
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April 1, 2013 - September 30, 2013

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April 1, 2015 – September 30, 2015

Recommendations

Report Title Report 

Number

Issue 

Date

Number Closed Open

Audit of the Commission’s Property 

Management Controls OIG-09-02 03/10 36 35 1

2010 Follow-up Audit of Procurement and 

Contract Management OIG-10-02 06/11 29 27 2

2010 Follow-up Audit of Privacy and 

Data Protection OIG-10-03 03/11 45 17 28

Inspection of the Federal Election 

Commission’s Disaster Recovery Plan and 

Continuity of Operations Plans OIG-12-06 01/13 30 11 29

Audit of the Federal Election Commission’s 

Office of Human Resources OIG-12-05 07/13 26 15 11

Inspection of FEC’s Compliance with

FMFIA/ OMB Circular A-123 OIG-14-01 06/14 8 0 8

Inspection of the FEC's Travel Card and

Purchase Card Programs OIG-14-05 02/15 2 2 0

Cumulative Total Of Outstanding Recommendations 79

Table III

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

1

 Recommendation was closed based on a duplicate recommendation in the FEC’s annual financial statement audit that was 

reviewed and closed.
18

Office of Inspector General Semiannual Report to Congress

18

Office of Inspector General Semiannual Report to Congress

Appendix a

The Federal Election 

Commission

In 1975, Congress created the Federal Election 

Commission to administer and enforce the Federal 

Election Campaign Act (FECA). 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 a full complement of 

Commissioners – Ann M. Ravel, Chair; Matthew 

S. Petersen, Vice Chair; Commissioners Lee E. 

Goodman; Carolyn C. Hunter; Steven T. Walther; and 

Ellen L. Weintraub. 

Office of Inspector General

The Inspector General Act of 1978, as amended, 

states that the Inspector General is responsible for: 

1) conducting and supervising audits and investigations relating to the FEC’s programs and operations; 

2) detecting and preventing fraud, waste, and abuse 

of agency programs and operations while providing 

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

effectiveness of the establishment; and 4) keeping 

the Commission and Congress fully and currently 

informed about problems and deficiencies in FEC 

agency programs and operations, and the need for 

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

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

Visit or write to us at 999 E Street, N.W., Suite 940, Washington DC 20463 

Federal Election Commission 

Office of Inspector General 

Individuals including FEC and FEC contractor employees are encouraged to alert the OIG to 

fraud, waste, abuse, and mismanagement of agency programs and operations. Individuals 

who contact the OIG can remain anonymous. However, persons who report allegations are encouraged 

to provide their contact information in the event additional questions arise as the OIG evaluates the 

allegations. Allegations with limited details or merit may be held in abeyance until further specific details 

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

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

individual, unless the Inspector General determines that such disclosure is unavoidable during the course 

of an investigation. To learn more about the OIG, visit our Website at: http://www.fec.gov/fecig/fecig.shtml 

Together we can make a difference. 

Fraud Hotline 

202-694-1015