REPORT ON THE QUALITY ASSESSMENT REVIEW 

OF THE INVESTIGATIVE OPERATIONS OF THE 

OFFICE OF INSPECTOR GENERAL FOR THE FEDERAL 

ELECTION COMMISSION 

Conducted in Washington, D.C. 

by 

The Securities and Exchange Commission 

Office of Inspector General 

100 F Street, NE 

Washington, D.C. 20549 

Carl W. Hoecker, Inspector General 

Daniel Mummert, Senior Special Agent 

Kaizad Munshi, Senior Special Agent 

January 2017 
TABLE OF CONTENTS 

Page 

Section 1 - Report on the Quality Assessment Review ......................................... 1 

Attachment A - Listing of Sampled Closed Investigative Files ......................... 2 

Attachment B -Inspector General Response ..................................................... 3 
UNITED STATES 

SECURITIES AND EXCHANGE COMMISSION 

WASHINGTON, D.C. 20549 

OFFICE OF 

INSPECTOR GENERAL 

January I I, 2017 

Ms. Lynne McFarland 

Inspector General 

Federal Election Commission 

999 E Street, NW 

Suite 940 

Washington, D.C. 20463 

Subject: Report on the Quality Assessment Review of the Investigative Operations of the 

Office of Inspector General for the Federal Election Commission 

Dear Inspector General McFarland: 

We have reviewed the system of internal safeguards and management procedures for the 

investigative operations of the Federal Election Commission (FEC), Office of Inspector General 

(OIG) in effect for the period April I, 2014 through September 30, 2016. Our review was 

conducted in conformity with the Quality Standards for Investigations and the Quality 

Assessment Review Guidelines established by the Council of the Inspectors General on Integrity 

and Efficiency (CIGIE). 

We reviewed compliance with the FEC OIG's system of internal policies and procedures to the 

extent we considered appropriate. The review was conducted at the FEC OIG's office in 

Washington, D.C. Additionally, we reviewed the case files for the two investigations completed 

during our review period. 

In our opinion, the system of internal safeguards and management procedures for the 

investigative function of the FEC OIG in effect for the period April 1, 2014 through September 

30, 2016, is in compliance with the quality standards established by the CIGIE. These 

safeguards and procedures provide reasonable assurance of conforming with professional 

standards in the planning, execution and reporting of its investigations. 

Sincerely, 

§Carl W. ,t)d:

Hoecker 

Inspector General 
Attachment A: List of Closed Investigative Files Reviewed 

Case File Number Case Closiml Date 

INV-16-01 January 20, 2016 

INV-16-03 March 18, 2016 

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Attachment B: Inspector General Response 

FEDERAL ELECTION COMMISSION 

WASHllllGTON, D.C. 20463 

Office of lnspectOI' General 

January rn, 2017 

The Hcmorabie Carl \1/_ Hoecker 

Securities and E.'\:d1an.:1;e Commission 

100 F Street, N..E..� Ro�m 

\VashingtOl!l!, DC 20549 

Re: Quality As5e5sment Rniew of Iirrestigation Opentions 

(Ap1i1 l, 2016 dll'ougb September 30, 2016) 

Dear Inspector General Hoecker: 

I would ]ilze to express my appreciation to you and yow- staff for conducting a reeent (November, 

2016) Quality Asses!:ment Review (QAR) of my office's investigative operations as presca'bed 

by the Co1.mcil of the Inspecto:rrr General on Integrity and Efficiency CIGIE). 

Our office is pleased that your review concluded our office was in co-mplian,ce \\·ifili the quality 

standards established by CIG.IE. 

I would .like to take time to commend your staff on their 1,,;ork and coordinatiion wi!lh our 

investigative staff during this review. It has been a pleas1.rre workm!: w]tb. you and your staff on 

this asses5ment 

Sincerely, 

Lynne 

Inspector 

McFarland 

Gener.al. 

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