OFFICE OF

INSPECTOR GENERAL

Semiannual Report to Congress

April 1, 2000 - September 30, 2000

Federal Election Commission

999 E Street, N.W.

Suite 940

Washington, D.C. 20463

202-694-1015

Toll-Free: 1-800-424-9530

e-mail address: oig@fec.gov

website address: http://www.fec.gov/fecig.htm

November 2000
ANNOUNCING 

THE FEDERAL ELECTION COMMISSION 

OFFICE OF INSPECTOR GENERAL 

E-MAIL ADDRESS: oig@fec.gov 

The Internet and the world wide web (www) have become essential components in 

conducting business with the Federal Election Commission (FEC), and the government as a 

whole. The OIG established an e-mail address (oig@fec.gov) as a means for FEC 

employees and the public to electronically contact the OIG. 

The OIG website (http://www.fec.gov/fecig.htm) was designed to provide information 

and material in an efficient and convenient manner. The OIG webpage contains electronic 

copies of completed OIG reports. Visitors to the home page can obtain information such as 

a list of our final audit reports, as well as download copies of our audit reports and 

semiannual reports to congress (pdf format). 

April 1, 2000 - September 30, 2000 
TABLE OF CONTENTS 

SUBJECT PAGE 

EXECUTIVE SUMMARY......................................................... 1

FEDERAL ELECTION COMMISSION.................................... 6

AUDITS................................................................................... 8

INVESTIGATIONS.................................................................. 14

ADDITIONAL OFFICE OF INSPECTOR GENERAL

ACTIVITY......................................................................... 15

ECIE AND PCIE ACTIVITY..................................................... 21

REPORTING REQUIREMENTS.............................................. 23

TABLE I - QUESTIONED COSTS........................................... 24

TABLE II - FUNDS PUT TO BETTER USE............................. 25

TABLE III - SUMMARY OF AUDIT REPORTS WITH

CORRECTIVE ACTIONS OUTSTANDING

FOR MORE THAN SIX MONTHS....................... 26

FEC/OIG STRATEGIC PLAN................................................... 27

CONTACTING THE OFFICE OF INSPECTOR

GENERAL.......................................................................... 28

April 1, 2000 - September 30, 2000 
EXECUTIVE SUMMARY 

This report is submitted pursuant to the Inspector General Act of 

1978, as amended. This Executive Summary provides a brief synopsis of 

accomplishments and general activities pertaining to the Office of Inspector 

General (OIG) for the period April 1, 2000 through September 30, 2000. 

During this semiannual reporting period, the OIG released one audit 

report entitled, Agency Controls Governing the Process for Procurement 

of Vendor Training Services (OIG-00-01 - September, 2000). The 

primary objective of this audit was to assess economy, efficiency, and 

effectiveness of management controls governing the process for procurement 

of training services obtained through outside vendors. 

A hearing was held on May 18, 2000 by the Senate Subcommittee on 

Management, Restructuring, and the District of Columbia. The hearing was 

held to examine the Federal government’s commitment to develop and train 

its workforce. Our audit covered several issues addressed during the 

hearing, which related to staff development at the Commission using outside 

vendors. 

During the audit, the OIG interviewed agency staff, analyzed training 

records and reviewed training related financial information to determine 

whether or not the Federal Election Commission (FEC) has put in place 

April 1, 2000 - September 30, 2000 Page 1 
management controls required by OMB directives and Federal regulations. 

This included adopting specific practices for managing the training of agency 

staff and maintaining a complete record of staff training activities. 

Based on our audit work, we concluded that agency controls governing 

the process for procurement of vendor training services are not effective or 

efficient. Although we did not examine training developed “in-house,” which 

is training created and administered by agency staff for agency staff, during 

our audit we found that the FEC would not be capable of producing a 

complete record of all staff training and activities which would comply with 

existing Federal laws and regulations. However we noted no specific 

instances of fraud or abuse. 

Our report contained seven audit recommendations. Detailed 

information regarding this audit report can be found on page 8, the Audit 

section of this report. 

The Office of Inspector General initiated an audit during the previous 

reporting period entitled, Procurement Operations (OIG-00-03). The 

primary objectives of this audit are to 1) determine whether or not the FEC 

has an efficient and effective procurement system in place; and 2) to 

determine whether the FEC’s procurement process complies with statutory 

and regulatory requirements. The audit is being conducted to determine if 

April 1, 2000 - September 30, 2000 Page 2 
the Commission has implemented the key acquisition reforms contained in 

the Federal Acquisition Streamlining Act (FASA) of 1994. 

We are in the process of completing the audit and anticipate releasing 

the report during the next reporting period. Significant information 

pertaining to this audit is located on page 8, the Audit section of this report. 

The following items highlight additional activities of the Office of 

Inspector General during this reporting period. Items are described in 

greater detail on page 15, the section entitled Additional Office of 

Inspector General Activity. 

• The OIG received a congressional inquiry signed by Congressmen 

Sessions, Dreier, Davis, and Ose. The request was part of an 

inquiry of Federal agencies’ websites and their utilization of the 

Internet. The Congressmen were particularly interested in 

knowing the status of the FEC’s website in addition to seeking a 

response to several questions relating to the capabilities of the 

website, such as accessibility to the disabled and search functions. 

The OIG, along with assistance from the Director of the Data 

Systems Development Division, addressed each of the inquiries and 

April 1, 2000 - September 30, 2000 Page 3 
forwarded the response to each of the Congressmen. For more 

information, see page 15. 

• The OIG responded to correspondence from the Government 

Auditing Standards Committee concerning the GAO document 

Preliminary Views, Government Auditing Standards, Independence. 

The IG’s purpose for responding to the correspondence was to voice 

her opinion over the views expressed in the document regarding 

Designated Federal Entity (DFE) Inspectors General. 

The Inspector General’s main concern was the attempt to question 

the independence of a specific group of IGs, which she feels is a 

threat to all IGs. Although DFE inspectors general have statutory 

rights and protections to assure their independence, the IG felt that 

creating two different standards of independence for inspectors 

general is inconsistent with statutory intent. For additional 

information on this subject, see page 16. 

• In an effort to identify and provide useful, relevant, and costeffective training for auditors working in various Inspector General 

offices, the Department of Defense (DOD), Office of Inspector 

General requested data to identify and evaluate training provided 

to OIG auditors from fiscal year 1998 through fiscal year 2000. 

April 1, 2000 - September 30, 2000 Page 4 
The purpose of the review was to support the PCIE Audit 

Committee’s goal in determining if the curriculum at the Inspector 

General Auditor Training Institute (IGATI) needs to be changed to 

continue to meet the needs of the Federal Inspector General audit 

community. The information was compiled and forwarded to DOD 

OIG. See page 17 for more information. 

• During this reporting period, two cash counts of the Federal 

Election Commission’s (FEC) imprest fund were performed (OIG00-05 and OIG-00-06). This is an ongoing task conducted by the 

Special Assistant to the Inspector General. For detailed 

information regarding the imprest fund cash count, see page 18. 

April 1, 2000 - September 30, 2000 Page 5 
THE FEDERAL ELECTION COMMISSION 

The Federal Election Commission (FEC) is an independent, 

regulatory agency responsible for administering and implementing the 

Federal Election Campaign Act (FECA). The FEC is composed of six 

Commissioners who are appointed for six year terms by the President of the 

United States, with the advice and consent of the Senate. The FECA 

likewise established the positions of Staff Director and General Counsel, who 

are appointed by the Commissioners. 

During this reporting period, the FEC received one new Commissioner, 

Professor Bradley A. Smith, who was sworn in on June 27, 2000. He joins 

Chairman Darryl R. Wold, Vice Chairman Danny L. McDonald, 

Commissioners David M. Mason, Karl J. Sandstrom, and Scott E. Thomas. 

This gives the FEC a full compliment of Commissioners. 

OFFICE OF INSPECTOR GENERAL 

The Federal Election Commission is one of the thirty-three designated 

agencies required to have an Inspector General under the 1988 amendments 

to the Inspector General Act of 1978 (P.L. 100-504). 

April 1, 2000 - September 30, 2000 Page 6 
The responsibilities of the Inspector General as stated in P.L. 100-504 

are as follows: 

• conduct and supervise audits and investigations relating to 

the Federal Election Commission’s programs and operations; 

• provide leadership, coordination, and to recommend policies 

for activities designed to promote economy, efficiency and 

effectiveness in the administration of Commission programs 

and operations. To prevent and detect fraud, waste and 

abuse in these programs and operations, and; 

• keep the Commissioners and Congress fully and currently 

informed about problems and deficiencies and the need for 

and progress of corrective actions. 

The OIG is under the supervision of the Inspector General who provides 

overall direction to the staff. The OIG staffing level for FY 2000 is four (4) 

full time employees. This is also the projected staffing for FY 2001. The staff 

consists of the Inspector General, the Special Assistant to the Inspector 

General and two Senior Auditors. 

April 1, 2000 - September 30, 2000 Page 7 
AUDITS 

TITLE: Agency Controls Governing the Process for 

Procurement of Vendor Training Services 

ASSIGNMENT #: 00-01 

RELEASE DATE: September, 2000 

PURPOSE: The primary objective of this audit was to assess 

economy, efficiency, and effectiveness of management controls governing the 

process for procurement of training services obtained through outside 

vendors. 

The Senate Subcommittee on Government Management, 

Restructuring and the District of Columbia, held a hearing on May 18, 2000 

to examine the Federal government’s commitment to develop and train its 

workforce. Our audit covered many of the issues addressed during that 

Senate hearing. 

The Office of Inspector General (OIG) completed a limited-scope audit 

of the staff training program at the Federal Election Commission (FEC). The 

code of Federal regulations requires Federal agencies to adopt specific 

practices for managing the training of agency staff. A key provision of the 

April 1, 2000 - September 30, 2000 Page 8 
Federal regulations requires maintaining a complete record of staff training 

activities. 

The procurement of vendor training services at the FEC is comprised 

of a set of operating practices which seem to have simply evolved over time 

without the aid of written administrative policy and procedures. From 

agency staff we interviewed during our audit, there is an unanimous 

agreement that the current process for submitting and approving staff 

requests for vendor training services is a cumbersome, paper intensive 

process which is extremely costly, especially in terms of the unnecessary 

expenditure of staff time. 

During the audit, the OIG used various methods of data collection 

including staff interviews, document reviews, and the examination of 

individual training records for fiscal year 1999. However, we did not 

examine training developed “in-house,” which is training created and 

administered by agency staff, for agency staff. In addition, we assessed the 

system of management controls and operational practices relating to the 

process for procurement of outside vendor training services. Our assessment 

was performed to determine whether or not the FEC has in place 

management controls required by OMB directives and Federal regulations. 

In general, these controls include the policies and procedures the FEC has 

designed and implemented to establish a process for training agency staff. 

April 1, 2000 - September 30, 2000 Page 9 
Throughout the audit, we regularly updated management on program 

risks. We identified a substantial number of weaknesses as a result of 

ineffective and inefficient controls governing the process for procurement of 

vendor training services. We concluded that if the FEC would design formal 

administrative policies and procedures, as well as adopt our other audit 

recommendations, significant weaknesses in the current program could be 

eliminated. We also believe that during the design stage for developing 

policy and procedures, the FEC will identify other methods to streamline and 

improve the current process. 

Management provided written comments to our seven audit 

recommendations. Three of the recommendations have been fully 

implemented. However, regarding the remaining three recommendations, 

management’s corrective actions appear appropriate, and when fully 

implemented, should adequately respond to the issues. Management 

disagreed with our audit recommendation to develop and implement a 

computer information system to replace the paper based system of records 

currently maintained for requesting and acquiring vendor training services. 

Management does not believe that an automated vendor training 

request process would be cost effective, based on the size of the agency’s 

annual training budget. The OIG believes that further analysis is necessary 

April 1, 2000 - September 30, 2000 Page 10 
before management’s reasons for not agreeing with the audit 

recommendation is accepted. 

April 1, 2000 - September 30, 2000 Page 11
Audits (continued) 

TITLE: Procurement Operations

ASSIGNMENT #: 00-03

RELEASE DATE: In Progress

PURPOSE: The primary objectives of this audit are to 1)

determine whether or not the FEC has an efficient and effective procurement

system in place; and 2) to determine whether the FEC’s procurement process

complies with statutory and regulatory requirements.

The audit is being performed to determine if the Commission has 

implemented the key acquisition reforms contained in the Federal Acquisition 

Streamlining Act (FASA) of 1994. The audit will include soliciting feedback 

from Commission divisions on the positive and negative aspects of the 

Commission’s process to purchase goods and services. The OIG is also 

interested in knowing if the goods and services are delivered in a timely 

manner; would written guidelines on how to order goods and services be 

helpful; and is there a need for additional staff training to address the 

procedures for acquiring goods and services. 

The OIG sent an e-mail survey to managers to assess their satisfaction 

and experience with the Commission’s procurement process. The e-mail 

stated that we intend to forward the comments to the Administrative 

Division because we believe it may be beneficial for them to receive the 

April 1, 2000 - September 30, 2000 Page 12 
feedback. However, we agreed to withhold names and divisions from the 

responses, and in some cases, edited some of the comments in order to protect 

the contributor’s anonymity. This feedback has already been provided to 

management. We anticipate completing this audit report during the next 

reporting period. 

April 1, 2000 - September 30, 2000 Page 13 
INVESTIGATIONS 

No new investigations were opened during this reporting period. 

However, the OIG received over 7,500 letters of complaints from outside 

sources regarding 1) alleged inappropriate activities of various committees; 

2) alleged campaign finance violations; and 3) illegal fundraising activities of 

candidates for federal office. The majority of the 7,500 letters were from an 

organization that urged its members to sign the letters requesting an FEC 

investigation of a specific campaign. The letters were received as a bulk 

delivery. 

Since the inception of our e-mail account, we also received several email inquiries regarding allegations of candidates who indulge in fraud or the 

conspiracy to commit fraud, as well as abuse of power and ballot fixing. The 

letters and e-mails were reviewed by the IG and consequently referred to the 

appropriate FEC component. 

April 1, 2000 - September 30, 2000 Page 14 
ADDITIONAL OFFICE OF INSPECTOR GENERAL ACTIVITY 

All legislation, as compiled by the Commission’s Congressional Affairs 

Office, was reviewed by the Inspector General, as required by the Inspector 

General Act of 1978, as amended. The Inspector General reviews and 

comments, when appropriate, on all legislation provided by the PCIE 

Legislative Committee. The Inspector General also routinely reads all 

Commission agenda items and attends Finance Committee Meetings. 

During this semiannual reporting period, the OIG responded to a 

Congressional request for information regarding the status of the FEC’s 

website. The inquiry was signed by the following members of Congress: Pete 

Sessions, Chairman, Results Caucus; David Dreier, Chairman, Committee on 

Rules; Tom Davis, Chairman, Subcommittee on DC; and Representative 

Doug Ose. The request was part of an inquiry of Federal agencies’ websites 

and their utilization of the Internet. The Congressmen were particularly 

interested in knowing the status of the FEC’s website in addition to seeking a 

response to several questions relating to the capabilities of the website, such 

as accessibility to the disabled and search functions. 

After several follow-up conversations with Congressman Session’s 

staff, it was determined that the IG would facilitate the request within the 

agency. With assistance from the Director of the Data Systems Development 

April 1, 2000 - September 30, 2000 Page 15 
Division, the inquiries were addressed and forwarded to each of the 

Congressmen. 

One of the questions dealt with using the website as a central 

repository for frequently used forms, files, and information. The FEC 

website has been designed to act as a central repository for frequently used 

forms, files and information since its inception. All forms required to be 

submitted to the FEC are available on the website, and the retrieval of 

financial reports and data submitted to the Commission from the web has 

become the standard method of retrieval, both within the Commission, as 

well as among the public. 

The OIG also responded to the Government Auditing Standards 

Committee concerning the GAO document Preliminary Views, Government 

Auditing Standards, Independence. The IG’s purpose for responding to the 

correspondence was to voice her opinion over the views expressed in the 

document regarding Designated Federal Entity (DFE) Inspectors General. 

Since the passage of the Inspector General Act in 1978, Congress felt 

the need to establish additional offices of inspectors general in agencies that 

did not have an independent audit function. This was accomplished with the 

1988 amendments to the IG Act. It is very clear that Congress extended the 

April 1, 2000 - September 30, 2000 Page 16 
independence contained in the IG Act to the DFE IGs. The IG Act also states 

that the head of a designated Federal entity shall not prevent or prohibit the 

IG from initiating, carrying out, or completing any audit or investigation. 

The DFE IGs are required to keep Congress fully and currently 

informed of any serious problems, abuses or deficiencies. This is done 

through semiannual reports or immediate reports, if necessary. The head of 

the designated agency may not remove the inspector general without 

notifying Congress of the reasons involved in such a removal. Peer reviews 

are also independently performed of each IG office to assure that audits are 

conducted according to government standards and no impairments to 

independence are present. 

What concerned the IG the most was the committee’s attempt to 

question the independence of a specific group of IGs, which she feels is a 

threat to all IGs. The DFE inspectors general have statutory rights and 

protections to assure their independence as mentioned above, and the IG felt 

that creating two different standards of independence for inspectors general 

is inconsistent with statutory intent. Furthermore, it is the opinion of the IG 

that all federal inspectors general should be covered by the independence 

standard. 

April 1, 2000 - September 30, 2000 Page 17 
The OIG also responded to a memorandum from the Department of 

Defense (DOD), Office of Inspector General for Audit Policy and Oversight 

requesting data to identify and evaluate training provided to OIG auditors 

from fiscal year 1998 through fiscal year 2000. 

One of the strategic goals of the PCIE Audit Committee, is to identify 

and provide useful, relevant, and cost effective training for auditors working 

in various Inspector General offices. The information requested will support 

the Audit Committee’s goal by determining if the curriculum at the Inspector 

General Auditor Training Institute (IGATI) needs to be changed to continue 

to meet the needs of the Federal Inspector General audit community. To 

assist in the review, the OIG supplied information on the training courses 

that we provided to our auditors, which will be used to aid in anticipating the 

needs for future training. 

During this reporting period, two unannounced cash counts of the 

FEC’s imprest fund were performed (OIG-00-05 and OIG 00-06). This is an 

ongoing task conducted by the Special Assistant to the Inspector General. 

The imprest fund consist of three drawers totaling $2,500. The results of the 

cash counts revealed that all cash was accounted for and cash disbursements 

from the imprest were reasonable and consistent with FEC imprest fund 

policy. 

April 1, 2000 - September 30, 2000 Page 18 
Two projects were initiated but not completed before the end of this 

reporting period. They include a project relating to staff retirement 

eligibility over the next 5, 7, and 10 years and a review of the FEC 

Recreation Association. We anticipate providing more information regarding 

these projects during the next reporting period. 

The Inspector General continues to participate in activities of the 

Executive Council on Integrity and Efficiency (ECIE). The IG served on the 

review board of the ECIE awards panel. The OIG staff attended the 

PCIE/ECIE awards ceremony where our senior auditor, Jonathan Hatfield 

was presented with an ECIE award for individual accomplishment. The 

citation read as follows: “In recognition of his outstanding contributions to 

the mission of the Office of Inspector General, Federal Election Commission. 

His efforts have been instrumental in ensuring the professionalism and 

effectiveness of the OIG.” 

An OIG staff member, in coordination with the Data Systems 

Development Division, reviewed the results of the Commission’s information 

technology (IT) security review performed by Booz-Allen & Hamilton, Inc. 

The IT security review included a computer network risk assessment and 

network penetration tests. 

April 1, 2000 - September 30, 2000 Page 19 
The FEC OIG was contacted by an agent of a federal agency regarding 

a background check of a current employee who was interviewed and selected 

for employment outside the FEC. The IG had no negative information 

regarding this particular employee. 

In an effort to further FEC employees’ understanding of the role of the 

Inspector General, an OIG staff person developed, in draft form, an OIG 

informational pamphlet. When completed, the pamphlet will be distributed 

throughout the Commission, and given to new employees upon arrival. 

April 1, 2000 - September 30, 2000 Page 20 
ECIE AND PCIE ACTIVITY 

The Executive Council on Integrity and Efficiency was established by 

Executive Order on May 11, 1992. It consists of Designated Federal Entity 

Inspectors General and representatives of the Office of Government Ethics, 

the Office of Special Counsel, the Federal Bureau of Investigation and the 

Office of Management and Budget. 

The Inspector General (or staff) attended the following training, 

programs and/or conferences during this reporting period: 

• ECIE - Monthly Meetings 

• PCIE/ECIE - Joint Quarterly Meeting 

• PCIE/ECIE - Awards Ceremony 

• PCIE - IT Roundtable Discussion 

• PCIE - Professional Development Forum - Methods and Milieu 

Forum 

• Information Systems Audit & Control Association - Control & 

Security of Electronic Commerce 

• Information Systems Audit & Control Association - Control & 

Security of Oracle NW 

• Institute of Internal Auditors - The American Dream and the Law 

of Unintended Consequences 

• Association of Government Accountants - 49th Annual Professional 

Development Conference & Exposition - Expand your Horizons in 

Government Accountability 

April 1, 2000 - September 30, 2000 Page 21 
• General Accounting Office - 13th Biennial Forum of Government 

Auditors - Forging Government Accountability over a Quarter 

Century 

• Heritage Foundation - Government Performance Results Act 

Conference 

• Federal IT Accessibility Initiative - Developing Accessible Websites 

Training 

• Department of Treasury - OIG Wide Statistician Advisory Group 

Meeting 

• Professional Development Committee - Internet-based Electronic 

Audit Management (I-BEAM) Training 

• Federal Election Commission - Labor Relations Training for 

Supervisors 

• Federal Election Commission - Form Flow Software Application 

Training 

April 1, 2000 - September 30, 2000 Page 22 
IG ACT REPORTING REQUIREMENTS PAGE 

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

the Inspector General Act Amendments of 1988 are listed below: 

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-----------------------------------------------26 

Section 5(a)(4) Matters Referred to Prosecutive 

Authorities---------------------------------------------------------None 

Section 5(a)(5) Summary of Instances Where Information 

was Refused-------------------------------------------------------None 

Section 5(a)(6) List of Audit Reports-----------------------------------------------8 

Section 5(a)(7) Summary of Significant Reports-------------------------------8 

Section 5(a)(8) Questioned and Unsupported Costs-------------------------24 

Section 5(a)(9) Recommendations that Funds be put 

to Better Use--------------------------------------------------------25 

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 

April 1, 2000 - September 30, 2000 Page 23 
TABLE I 

INSPECTOR 

WITH 

DOLLAR VALUE (in thousands) 

QUESTIONED UNSUPPORTED 

NUMBER COSTS COSTS 

GENERAL ISSUED REPORTS 

QUESTIONED COSTS 

A. For which no management 0 0 [0] 

decision has been made by 

commencement of the reporting 

period 

B. Which were issued during the 0 0 [0] 

reporting period 

Sub-Totals (A&B) 0 0 [0] 

C. For which a management 0 0 [0] 

decision was made during 

the reporting period 

(i) Dollar value of disallowed 0 0 [0] 

costs 

(ii) Dollar value of costs 0 0 [0] 

not disallowed 

D. For which no management 0 0 [0] 

decision has been made by the 

end of the reporting period 

E. Reports for which no management 0 0 [0] 

decision was made within 

six months of issuance 

April 1, 2000 - September 30, 2000 Page 24 
TABLE II 

INSPECTOR 

RECOMMENDATIONS THAT FUNDS BE PUT TO BETTER USE 

NUMBER DOLLAR VALUE 

(in thousands 

GENERAL ISSUED REPORTS WITH 

A. For which no management 

decision has been made by 

the commencement of the 

reporting period 

B. Which were issued during 

the reporting period 

C. For which a management 

decision was made during 

the reporting period 

(i) dollar value of 

recommendations 

were agreed to by 

management 

based on proposed 

management action 

based on proposed 

legislative action 

(ii) dollar value of 

recommendations 

that were not agreed 

to by management 

D. For which no management 

decision has been made by 

the end of the reporting period 

E. Reports for which no 

management decision 

was made within six months 

of issuance 

0 0 

0 0 

0 0 

0 0 

0 0 

0 0 

0 0 

0 0 

0 0 

April 1, 2000 - September 30, 2000 Page 25 
TABLE III 

SUMMARY OF AUDIT REPORTS WITH CORRECTIVE ACTIONS 

OUTSTANDING FOR MORE THAN SIX MONTHS 

Recommendations 

Audit Report Management 

Report Issue Response 

Number Date Date Number Closed Open 

97-02 01/98 01/98 4 3 1

98-08 05/99 04/99 9 3 6

April 1, 2000 - September 30, 2000 Page 26 
FEC / OIG Strategic Plan 

OIG Products: To provide products and 

services that promote positive change in 

FEC policies, programs, and operations. 

Objective A: Deliver timely, high-quality 

products and services that promote 

positive change. 

Strategy: 

- establish common OIG standards for communicating 

results; 

- conduct quality assurance programs; 

- solicit appropriate internal and external review and 

comment; 

- comply with applicable statutory guidelines and 

standards; 

- set realistic and appropriate milestones. 

Objective B: Address priority issues and 

concerns of the Commission, Congress, 

and Management. 

Strategy: Perform work that supports; 

- Federal Election Commission and Congressional 

priorities; 

- National Performance Review objectives; 

- Strategic Management Initiative efforts; 

Focus OIG attention in the following areas of emphasis: 

- managing change; 

- resource allocation in relation to policy objectives; 

- delivery of client service; 

- causes of fraud and inefficiency; and, 

- automation and communication. 

Objective C: Follow-up and evaluate 

results of OIG products and services to 

assess their effectiveness in promoting 

positive change. 

Strategy: 

- Identify, as appropriate, lessons learned to improve 

timeliness and quality; and, 

- conduct follow-up reviews to determine if intended 

results have been achieved. 

Objective D: Satisfy customers, 

consistent with the independent nature of 

the OIG. 

Strategy: 

- establish professional communication and interaction 

with customers to promote the open exchange of ideas; 

- incorporate customer feedback, as appropriate; and, 

- be open to customer-generated solutions and 

options. 

Performance Measures: Determine the 

timeliness and quality of products and 

services; their effectiveness in promoting 

positive change; and, reach agreement 

with management on at least 90% of 

recommendations within six months of 

the report issue date. 

OIG Process: To develop and implement 

processes, policies, and procedures to ensure 

the most effective and appropriate use of OIG 

resources in support of our people and products. 

Objective A: Maintain a dynamic strategic 

planning process. 

Strategy: 

- periodically review and update the strategic plan 

address changing OIG and FEC priorities; and, 

-

develop short and long term plans to address them. 

to 

identify factors that influence organizational change and 

Objective B: Plan and conduct costeffective work that address critical issues 

and results in positive change. 

Strategy: 

- solicit FEC and Congressional input in planning OIG 

activities; 

- develop internal planning mechanisms to support FEC 

goals and priorities; 

- ensure that priorities of IG are effectively communicated; 

and, 

- identify specific targets for OIG review that are the most 

cost-effective 

Objective C: Identify customer needs and 

provide products and services to meet 

them. 

Strategy: 

- establish new customer feed back mechanisms; 

- consider and evaluate customers feedback when 

planning and developing products and services; 

- respond to Congressional inquires and request for 

briefing and testimony; 

- promote open exchange of ideas and information through 

outreach and through use of e-mail; and, 

- receive, evaluate, and respond, as appropriate, to 

information received through the OIG hotline and other 

sources. 

Objective D: Implement efficient, effective, 

and consistent resolution and follow-up 

procedures. 

Strategy: 

- ensure that IG follow-up procedures are followed and that 

management is aware of their role in the process; and, 

- establish common OIG standards for terminology, date 

maintenance and communications. 

Objective E: Establish a positive and 

productive working environment. 

Strategy: 

- reengineer or streamline OIG procedures to achieve the 

most effective use of resources; and, 

- ensure that necessary technologies, evolving and 

otherwise, are made available to staff as needed. 

Performance Measures: An annual audit 

plan is issued; strategic plan is periodically 

reviewed; and, necessary technology is 

provided to staff to enable them to most 

efficiently perform their duties. 

OIG Staff: To maintain a skilled and motivated 

work force in an environment that fosters 

accountability, communications, teamwork, and 

personal and professional growth. 

Objective A: Attract and retain well-qualified, 

diverse and motivated employees. 

Strategy: 

- develop and implement a comprehensive recruiting program 

that attracts a broad population with the knowledge, skills, 

abilities, and expertise necessary to make meaningful 

contributions to the OIG; 

- assess employee satisfaction and develop strategies to address 

employee concerns; 

- identify reasons for staff departures and develop plans to foster 

greater staff retention; and, 

- adhere to EEO principles and strive to maintain a diverse work 

force. 

Objective B: Provide training and developmental 

opportunities to employees. 

Strategy: 

- assess training needs in relation not only to employee but also 

office needs as well; 

- ensure that Government Auditing Standards in relation to 

training are adhered to; and, 

- maintain a reporting system to ensure that educational 

requirements are met. 

Objective C: Assess, recognize, and reward, 

when possible, performance that contributes to 

achieving the OIG mission. 

Strategy: 

- develop and articulate expectations for each employee's 

performance, including contributions in meeting the mission & 

goals of the OIG; and, 

- ensure that rewards, when possible, are given in recognition of 

exceptional employee performance. 

Objective D: Create and maintain a working 

environment that promotes teamwork and 

effective communication. 

Strategy: 

- ensure that communications between employees is open; and, 

- provide employees with the tools and incentives they need to 

adequately perform their duties. 

Performance Measures: All employees meet 

the training requirements; all employees have 

performance standards; and, all employees meet 

the basic requirements for the position in which 

they were hired to perform. 

April 1, 2000 - September 30, 2000 Page 27 
CONTACTING THE OFFICE OF INSPECTOR GENERAL 

The success of the OIG mission to prevent fraud, waste, and abuse depends 

on the cooperation of FEC employees (and the public). There are several 

ways to report questionable activity. 

Call us at 202-694-1015 or toll-free 1-800-424-9530. A confidential or 

anonymous message can be left 24 hours a day / 7 days a week. 

Write or visit us - we are located at: Federal Election Commission 

Office of Inspector General 

999 E Street, N.W., Suite 940 

Washington, DC 20463 

Mail is opened by OIG staff members only. 

You can also contact us by e-mail at: oig@fec.gov. 

Individuals may be subject to disciplinary or criminal action for knowingly 

making a false complaint or providing false information. 

April 1, 2000 - September 30, 2000 Page 28