Semiannual Report to Congress 

October 1, 2008 – March 31, 2009 

May 2009 

Federal Election Commission - Office of Inspector General 

999 E Street, N.W. Suite 940, Washington, D.C. 20463 
October 1, 2008 - March 31, 2009 

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FEDERAL ELECTION COMMISSION 

WASHINGTON, D.C. 20463 

OFFICE OF THE INSPECTOR GENERAL 

A Message from the Inspector General 

On October 14, 2008, the President signed H.R. 928 into law, the Inspector General 

Reform Act of 2008. This law amends several provisions of the Inspector General Act 

of 1978, and is intended to strengthen the independence and oversight responsibilities of the Inspectors General. The law also establishes the Council of Inspectors 

General for Integrity and Efficiency (CIGIE). CIGIE was established to: 

• address integrity, economy, and effectiveness issues that transcend individual 

Government agencies; and 

• increase the professionalism and effectiveness of personnel by developing policies, standards, and approaches to aid in the establishment of a well-trained 

and highly skilled workforce in the offices of the Inspectors General. 

CIGIE replaces the President’s Council on Integrity and Efficiency (PCIE) and the 

Executive Council on Integrity and Efficiency (ECIE). Former members of both 

councils are now members of the newly established CIGIE. This has been an exciting time as all Inspectors General come together and work towards common goals. 

In the last Semiannual Report, I expressed my concern that several senior management positions at the FEC were vacant. I am pleased to report that the agency has 

filled the Staff Director position and the Chief Financial Officer position, two positions vital to the FEC. I look forward to working with both of these people in the 

upcoming months. 

Lynne A. McFarland 

Inspector General 

Federal Election Commission 

April 30, 2009 

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October 1, 2008 - March 31, 2009 

Table of Contents
 


Executive Summary 

The Federal Election Commission 

Office of Inspector General 

OIG Audit Activity 
 

Audit of the Federal Election Commission’s Fiscal Year 

2008 Financial Statements 

Audit of the FEC’s Contract and Procurement 

Management Process 

OIG Hotline Information 

OIG Investigations 

Additional OIG Activity 

OIG Recognition 

Council of the Inspectors General on Integrity and Efficiency (CIGIE) Activity 

Reporting Requirements 

Table I – Inspector General Issued Reports With 
 

Questioned Cost 

Table II – Inspector General Issued Reports With Recommendations 
 

That Funds Be Put To Better Use 

Table III – Summary Of Audit Reports With Corrective Actions 
 

Outstanding For More Than Six Months 
 

OIG Contacts 
 

List of Training, Meetings and Conferences 
 

OIG Strategic Plan - Fiscal Years 2005 – 2010
 

Contacting the Office of Inspector General 

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(inside back cover) 

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October 1, 2008 - March 31, 2009 

Executive Summary
 


The Inspector General Act of 1978, as amended, states that the Inspector General is responsible for conducting audits, inspections, investigations, and recommending policies and procedures 

that promote economic, efficient, and effective use 

of agency resources and programs that prevent 

fraud, waste, abuse and mismanagement. The 

IG act also requires the Inspector General 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 Office of Inspector General, 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 can be found in subsequent sections of this report. 

The Audit of the FEC’s Fiscal Year 2008 Financial 

Statements – OIG-08-01 was completed and released November, 2008 and can be found on the 

OIG’s Website at http://www.fec.gov/fecig/financial08.pdf. Under a contract supervised by the OIG, 

the independent certified public accounting firm, 

Clifton Gunderson LLP (CG-LLP) performed the audit of the FEC’s FY 2008 financial statements. The 

OIG was responsible for 1) reviewing the auditor’s 

approach and planning of the audit; 2) evaluating the 

qualifications and independence of the auditors; 3) 

monitoring the work of the auditors; 4) examining audit documents and reports to ensure compliance with 

Government Auditing Standards, and OMB Bulletin 

No. 07-04, Audit Requirements for Federal Financial 

Statements, as amended; and 5) other procedures 

the OIG deems necessary to oversee the contract 

and audit. 

The results of the financial statement audit were 

detailed in three reports: Opinion on the Financial 

Statements; Report on Internal Control over 

Financial Reporting; and the Report on Compliance 

and Other Matters. The CG-LLP Independent 

Auditor’s Report dated November 7, 2008, concluded 

that the FEC’s financial statements presented fairly, 

in all material respects, the financial position of the 

FEC as of September 30, 2008 and 2007, and its net 

cost, changes in net position, budgetary resources, 

and custodial activity for the years then ended in 

conformity with accounting principles generally accepted in the United States of America. 

During the previous reporting period, the OIG attempted to validate the deliverables of two former 

FEC contractors. Following discussions with management, and the OIG’s failed attempts to validate 

the deliverables, a decision was made to conduct 

an Audit of the FEC’s Contract and Procurement 

Management Process – OIG-08-02. The OIG hired 

the auditing firm of Regis & Associates PC to conduct the audit. The OIG held an entrance conference with the Regis team and FEC management. 

Following the entrance conference, the OIG attended two information gathering interviews. The information gathered during those interviews was used 

to assess the risk of the procurement and contract 

management functions at the FEC and to formulate 

the detailed audit plan and testing approach. 

For detailed information regarding the above audits, 

see the section entitled OIG Audit Activity (starting 

on page 5). 

The OIG is preparing to conduct the FEC’s FY 2009 

Financial Statement Audit (OIG-09-01). One of 

the stipulations contained in the Chief Financial 

Officers Act of 1990 (Public Law 101-576, commonly 

referred to as the “CFO Act”), as amended, requires 

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Office of Inspector General Semiannual Report to Congress 

the FEC Office of Inspector General, or an independent external auditor as determined by the Inspector 

General, to audit the agency’s financial statements. 

At the end of this semiannual reporting period, the 

OIG was preparing to award the contract to conduct 

the audit for FY 2009. 

As this reporting period comes to a close, there are 

15 hotline complaints in various stages (pending, in 

progress); and there are 5 open investigations. For 

more information pertaining to the hotline issues, 

see the section entitled OIG Hotline Information 

(located on page 7); for more information on investigations, see the section entitled OIG Investigations 

(located on page 8). 

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October 1, 2008 - March 31, 2009 

the federal election commission
 


In 1975, Congress created the Federal Election 

Commission (FEC) 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 is made up 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 – Steven 

T. Walther, Chairman; Matthew S. Petersen, Vice 

Chairman; and Commissioners Cynthia L. Bauerly; 

Caroline C. Hunter; Donald F. McGahn II; and Ellen 

L. Weintraub. 

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Office of Inspector General Semiannual Report to Congress 

Office of Inspector General
 

The Inspector General Act of 1978 (P.L. 100-504), 

as amended, states that the Inspector General 

is responsible for: 1) conducting and supervising audits and investigations relating to the Federal 

Election Commission’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. The OIG has a budget of 

$1,159,364 and six staff members for FY 2009 

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October 1, 2008 - March 31, 2009 

OIG Audit Activity
 


Audit of the Federal Election Commission’s 

Fiscal Year 2008 Financial Statements 

Assignment Number: OIG – 08-01 

Status: Released November, 2008 

http://www.fec.gov/fecig/financial08.pdf 

In accordance with the Accountability of Tax Dollars 

Act of 2002, the FEC prepared financial statements for the 2008 fiscal year in accordance with 

Office of Management and Budget (OMB) Circular 

No. A-136, Financial Reporting Requirements. The 

Chief Financial Officers Act of 1990, as amended, 

requires the FEC Inspector General, or an independent external auditor selected by the IG, to audit the 

agency financial statements. 

Under a contract supervised by the OIG, the independent certified public accounting firm, Clifton 

Gunderson LLP (CG-LLP) performed the audit of 

the FEC’s FY 2008 financial statements. The OIG 

was responsible for 1) reviewing the auditor’s approach and planning of the audit; 2) evaluating the 

qualifications and independence of the auditors; 3) 

monitoring the work of the auditors; 4) examining 

audit documents and reports to ensure compliance 

with Government Auditing Standards, and OMB 

Bulletin No. 07-04, Audit Requirements for Federal 

Financial Statements, as amended; and 5) other 

procedures the OIG deems necessary to oversee 

the contract and audit. 

Opinion on the Financial Statements 

The consolidated balance sheets of the FEC as of 

September 30, 2008 and 2007 and the related statements of net cost, changes in net cost, changes in 

net position, and combined statement of budgetary 

resources for the years then ended (hereinafter collectively referred to as the “financial statements”) 

were audited. The audit included assessing the accounting principles used and significant estimates 

made by management, as well as evaluating the 

overall principal statements’ presentation. 

The CG-LLP Independent Auditor’s Report concluded that the FEC’s financial statements presented 

fairly, in all material respects, the financial position 

of the FEC as of September 30, 2008 and 2007, 

and its net cost, changes in net position, budgetary 

resources, and custodial activity for the years then 

ended in conformity with accounting principles generally accepted in the United States of America. 

Report on Internal Control over Financial 

Reporting 

CG-LLP’s planning and performance of the audit 

included consideration of the FEC’s internal control over financial reporting as a basis for designing 

audit procedures for the purpose of expressing an 

opinion on the financial statements and to comply 

with OMB Bulletin 07-04, as amended. The auditors 

did not test all internal controls relevant to operating effectiveness, such as those controls relevant 

to ensuring efficient operations and consequently 

CG-LLP did not express an opinion on the agency’s 

internal control over financial reporting. 

The American Institute of Certifi ed Public 

Accountants (AICPA) established standards on communicating deficiencies related to internal control 

over financial reporting indentified by the auditors. 

As defined by the AICPA, a control deficiency exists 

when the design or operation of a control does not 

allow the agency’s management or its employees, 

in the normal course of performing their assigned 

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Office of Inspector General Semiannual Report to Congress 

duties, to prevent or detect misstatements on a timely basis. 

Auditors determined whether an internal control 

deficiency is a significant deficiency or a material 

weakness based on the factors of the likelihood 

and magnitude. A significant deficiency is a control 

deficiency, or combination of control deficiencies, 

that adversely affects the agency’s ability to initiate, 

authorize, record, process, or report financial data 

reliability in accordance with generally accepted accounting principles such that there is a more than a 

remote likelihood that a misstatement of the financial statements will not be prevented or detected by 

the agency’s internal controls. 

CG-LLP identified a signifi cant deficiency in the area of: 

• Information Technology (IT) 

CG-LLP identified a material weakness in the area of: 

•	 Financial Accounting and Reporting Controls 

Report on Compliance and Other Matters 

FEC management is responsible for complying with 

laws and regulations applicable to the agency. To 

obtain reasonable assurance about whether FEC’s 

financial statements are free of material misstatements, CG-LLP performed tests of compliance with 

certain provisions of laws and regulations, noncompliance which could have a direct and material 

effect on the determination of financial statement 

amounts, and certain other laws and regulations 

specified in OMB Bulletin No. 07-04, as amended. 

Tests of compliance were limited to these provisions 

and CG-LLP did not test compliance with laws and 

regulations applicable to FEC. 

The results of CG-LLP’s test of compliance with 

laws and regulations described in the audit report 

disclosed an instance of reportable noncompliance 

that is required to be reported under U.S. generally 

accepted government auditing standards or OMB 

guidance. 

CG-LLP indentified a reportable noncompliance in 

the area of: 

•	 The Federal Managers’ Financial Integrity Act 

(FMFIA) 

Audit of the FEC’s Contract and Procurement 

Management Process 

Assignment Number: OIG – 08-02 

Status: In Progress 

Based on discussions with management and efforts 

by the OIG to validate the deliverables of two former 

contractors; the OIG decided to conduct an audit of 

the procurement and contract management functions of the agency. 

The OIG began the process of hiring an auditing 

firm to conduct the audit. The Request for Proposal 

was submitted to prospective contractors; the OIG 

received and reviewed the proposals, and following 

the completion of the reviewing process, the contract was awarded to Regis & Associates PC to conduct the FEC’s procurement and contract management audit. 

The contractor met with various FEC staff to gain an 

understanding of the systems and processes used 

to manage and monitor procurement of goods and 

services and monitoring of service delivery. Based 

on those meetings, Regis documented actual and 

potential procurement and contract management 

risks and developed a detailed audit program. They 

selected a sample of 91 procurement instruments 

on which to perform detailed testing. 

Regis is finalizing the detailed testing of the audit sample and we expect the draft report within 30 

days. 

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October 1, 2008 - March 31, 2009 

OIG hotline Information:
 


The Office of Inspector General established a 

hotline to enable employees and others to have direct and confidential contact with the OIG. The OIG 

receives complaints through various means such as 

U.S. mail, telephone, e-mail, and personal visits to 

the OIG. Once a hotline (HL) complaint has been 

received, a preliminary inquiry is conducted. When 

the inquiry has been completed, the hotline complaint can be closed with no further action taken, 

referred to management for action, or closed and an 

investigation opened on the issue. 

During this six month reporting period, three new 

hotline complaints were opened, four hotline complaints were closed, and two hotline complaints 

were closed and converted into investigations. The 

OIG reviewed records, conducted legal research, 

and drafted closing documents in connection with 

the closed hotline complaints. 

As this reporting period ends, the OIG currently has 

fifteen (15) open hotline complaints in various stages (pending or in progress). 

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Office of Inspector General Semiannual Report to Congress 

OIG investigations: 
 

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. 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. 

The OIG conducts a detailed examination or inquiry 

into issues brought to our attention by various 

sources. The examination of the information 

provided could potentially lead to an official 

investigation. 

Currently there are five (5) open investigations - four 

are administrative investigations; one is a criminal 

investigation. 

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October 1, 2008 - March 31, 2009 

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 Inspector General Act of 1978, as amended, all legislation compiled by the Commission’s 

Congressional Affairs office is reviewed by the 

Inspector General. The Inspector General also reviews and provides comments, when appropriate, 

on legislation provided by the Council of Inspectors 

General on Integrity and Efficiency (CIGIE) 

Legislative Committee. In addition, the Inspector 

General routinely reads all Commission agenda 

items. Listed below are examples of the OIG’s additional activities: 

•	 The OIG is preparing to conduct the FEC’s FY 

2009 Financial Statement Audit (OIG-09-01). 

One of the stipulations contained in the Chief 

Financial Officers Act of 1990 (Public Law 101­

576, commonly referred to as the “CFO Act”), as 

amended, requires the FEC Office of Inspector 

General, or an independent external auditor as 

determined by the Inspector General, to audit 

the agency’s financial statements. 

The OIG conducted a solicitation to select an 

independent public accounting firm to conduct 

the FEC’s annual financial statement audit. 

During this reporting period the OIG released 

the Request for Proposal (RFP). The goal of 

the RFP was to engage the services of a contractor to conduct a financial statement audit 

in order to render an opinion to the Inspector 

General on the FEC’s financial statements and 

information technology controls for FY 2009. 

The OIG formulated a panel to evaluate the 

proposals; each panel member read the proposals and ranked them as they believed the 

firms responded to the RFP requirements. After 

the panel members completed their individual 

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Office of Inspector General Semiannual Report to Congress 

evaluation of each firm, a meeting was held 

to evaluate the overall technical merit of each 

proposal and decide which offeror would be the 

best potential provider of the service. 

•	 The FEC engaged a contractor to work with the 

various divisions and create a comprehensive 

inventory of personally identifi able information 

(PII) held at the agency, to include physical location, storage, and destruction methods. On 

March 4, 2009, members of the OIG attended 

the training provided by the contractor on PII 

definitions, classifications and instruction on 

how to complete a detailed questionnaire provided by the firm. We provided the contractor a tour of the OIG office area, to include our 

secure storage and server room, in order to 

illustrate the physical and logical separation of 

OIG records and secure network from the rest 

of the agency. OIG staff members contributed 

to a consolidated PII questionnaire that was 

submitted to the contractor on March 31, 2009. 

The questionnaire data will be used to populate 

a comprehensive PII inventory for the agency. 

•	 During this semiannual reporting period, the 

OIG developed additional IT security standards 

with respect to managing contract auditors. 

The OIG security standards identify the minimum security standards and procedures that 

must be followed when accessing or storing 

FEC information using either FEC or contractor 

systems / networks. The contractor is responsible for compliance with the terms of these 

standards by its employees or agents. All contract auditors will be required to acknowledge, 

in writing, their understanding of the minimum 

requirements and obligations to fully comply 

with the security standards prior to providing 

services to the OIG. 

•	 The OIG finalized a Memorandum of 

Understanding (MOU) between the National 

Labor Relations Board (NLRB) OIG and the 

Federal Election Commission OIG for independent referencing of audit, attestation and 

inspection reports produced by the respective offices. In accordance with guidance from 

the Generally Accepted Government Auditing 

Standards (GAGAS), referencing is a process in which an experienced auditor, who is 

independent of the audit, ensure that statements of facts, figures, and dates are correctly 

reported; that the findings are adequately supported by the evidence in the audit documentation; and that the conclusions and recommendations flow logically from the evidence. 

•	 The OIG met with an Information Technology 

Division (ITD) representative to discuss our options for adding the OIG to the Federal Election 

Commission’s Intranet (FECNet). FECNet 

serves as the interactive information resource 

for FEC employees and is only accessible by 

connecting to the internal FEC network. The 

ITD representative presented a power point 

presentation to the OIG entitled “Creating your 

Office Site.” The purpose of this presentation was to introduce the OIG to the Intranet/ 

FECNet team, explain the purpose of an office 

site on the Intranet, identify the benefits of having an office site, illustrate the features of the 

office site, and discuss the beginning process 

of starting the OIG site on FECNet. 

•	 The OIG conducted several new employee orientations (NEO) during this reporting period. 

The NEO is designed to give new employees 

an overall look at the Commission’s core divisions. The OIG introduces the new employee 

to the office and details the responsibilities of 

the OIG and the employee’s responsibilities as 

a federal employee. 

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October 1, 2008 - March 31, 2009 

OIG Recognition:
 


The Office of Inspector General would like to congratulate its Deputy Inspector General, Jon Hatfi eld, 

on his recent professional accomplishment. In May 

2009, Jon Hatfield received a graduate program 

certificate for completing the American University’s 

Key Executive Leadership Certificate Program. 

Mr. Hatfield was first nominated by the IG to participate in the leadership studies program in 2007. 

Since then, Mr. Hatfield has completed the required 

sessions of program study in leadership studies, 

worked with a professional leadership coach, and 

participated in two 360 degree evaluations by professional colleagues. 

Due to the program’s focus on leadership and public 

policy, several of the program’s modules centered on 

leadership, students focused on their personal approach to leadership and were challenged to provide 

a context for exploring the role of the leader as a 

team builder; students further explored action learning techniques and principles. The action learning 

framework is a modern application of proven classical methods of questioning and provides a very 

adaptable structure for exploring creative approaches to a variety of problems. In addition, the training 

will assist in improving skills that aid in effectively 

evaluating the FEC’s implementation of policy as a 

result of Congressional legislation, executive orders, 

and regulations. 

After conclusion of the program, students who complete all three sessions receive a certificate indicating they have fulfilled the program requirements and 

are now eligible to receive nine credit hours toward 

a master’s degree in public administration from the 

Key Executive MPA Program at American University. 

Members of the OIG also attended the PCIE/ECIE 

annual awards ceremony held at the Andrew W. 

Mellon Auditorium in Washington, DC. At the awards 

ceremony, the OIG’s Deputy Inspector General 

and Staff Auditor was recognized, along with other members of the PCIE/ECIE financial statement 

audit network (FSAN) group, as recipients of the 

Barry R. Snyder PCIE/ECIE Joint Award. The 2008 

Barry R. Snyder joint award was given to members 

of the FSAN group for the “sustained contribution of 

the Network to positively improve Federal financial 

management by bringing together representatives 

from the PCIE/ECIE community.” 

The OIG is very proud of the accomplishments of 

our staff and the well deserved recognition they 

have received. 

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Office of Inspector General Semiannual Report to Congress 

Council of the Inspectors General on 

Integrity and Efficiency (cigie) Activity: 

Prior to the passage of the Inspector General 

Reform Act, the Inspector General attended a meeting with the PCIE Vice Chair, the Chair of the PCIE 

Legislation Committee and Senate staff to discuss 

the implementation of the IG Reform Act and to discuss any problems that may arise. 

The Inspector General was a member of the IG 

Implementation Committee that was formed to 

prepare for the passage of the Inspector General 

Reform Act (Act). This committee looked into funding 

for the new council, developed an operating charter 

that was considered and adopted by the entire membership for implementation, and devised a process to 

elect the first chair of the new council. 

A meeting was also held with OMB’s Deputy 

Director for Management to discuss the IG community’s planned implementation of the IG Reform 

Act. In attendance were the IG, PCIE Vice Chair, 

the Department of Interior IG and the Department of 

Agriculture IG. Discussions were held concerning 

the upcoming election of a chair, the planned charter, and the staffing of the new council. 

The Inspector General was asked to conduct the 

election for the new chair once the Act became law. 

The President signed the Act on October 14, 2008. 

Shortly, thereafter, the election was conducted electronically using a web based voting mechanism. All 

seventy-three members of the CIGIE were contacted 

and the voting process was explained. The election 

was completed and Phyllis Fong, Inspector General, 

Department of Agriculture was elected as the first 

chair of the CIGIE. 

With the passage of the Act, and to meet the requirements relating to the Inspectors General new 

pay system, the Inspector General participated in 

the committee convened to address this issue. The 

IG, along with the Counsel to the IG, met on several occasions with other members of the committee, representatives from the Office of Personnel 

Management, and a Senate staff member to discuss 

the various systems residing in the effected agencies and how best to implement the required changes to the IG pay structure. 

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October 1, 2008 - March 31, 2009 

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 Defi ciencies None 

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

and Defi ciencies 

None 

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

Action Has Not Been Completed (Table III) 

16 

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 Signifi cant Reports 5 

Section 5(a)(8) Questioned and Unsupported Costs (Table I) 14 

Section 5(a)(9) Recommendations that Funds be put to Better Use (Table II) 15 

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 

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Office of Inspector General Semiannual Report to Congress 

TABLE I 

INSPECTOR GENERAL ISSUED REPORTS WITH QUESTIONED COSTS 

(DOLLAR VALUE IN THOUSANDS) 

Number Questioned 

Costs 

Unsupported 

Costs 

A. For which no management decision has been made 

commencement of the reporting period 

by 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 

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October 1, 2008 - March 31, 2009 

TABLE II 

INSPECTOR GENERAL ISSUED REPORTS WITH RECOMMENDATIONS THAT 

FUNDS BE PUT TO BETTER USE 

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 0 0 

management 

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 0 0 

management 

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 

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Office of Inspector General Semiannual Report to Congress 

TABLE III 

SUMMARY OF AUDIT REPORTS WITH CORRECTIVE ACTIONS OUTSTANDING FOR MORE 

THAN SIX MONTHS 

Recommendations 

Report Title Report 

Number 

Issue Date Number Closed Open 

Audit of the FEC’s Employee 

Transit Program 

OIG-06-01 02/07 22 1 21 

Audit of the FEC’s FY 2007 

Financial Statements 

OIG-07-01 11/07 20 12 8 

2007 Performance Audit of 

Privacy and Data Protection 

OIG-07-02 12/07 7 0 7 

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October 1, 2008 - March 31, 2009 

OIG Contacts
 


The table below indicates the total amount of contacts received by the Office of Inspector General for the past 

six months – October 1, 2008 through March 31, 2009. 

These contacts were made through various sources such as telephone calls, personal visits to the OIG, emails, faxes, and U.S. mail. 

Total OIG No Action Forwarded 

Contacts Action Necessary for Action 

1,044 9 1,006 29 

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Office of Inspector General Semiannual Report to Congress 

List of Training, Meetings 

and Conferences 

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 October 1, 2008 – March 31, 2009. 

Host/Sponsor Topic/Subject 

CIGIE 

Monthly Meetings 

Executive Council Meetings 

Financial Statement Audit Network (FSAN) Meetings 

Council of Counsels to the Inspectors General CCIG Meetings 

Assistant Inspector General for Investigations AIGI Quarterly Meetings 

Government Accountability Offi ce IG / GAO Annual Meeting 

National Finance Center NFC Meeting with OIGs 

American University Key Executive Leadership – Session Th ree 

DC Bar 

Effective Writing for Lawyers Workshop/Training 

Basics of Filing and Litigating FOIA Requests Training 

Mandatory Professional Responsibility Training 

DC Rules of Professional Conduct Training 

USDA Graduate School Certified Internal Auditors Review Course/Training 

Federal Audit Executive Council Contracting 

Committee Basics of Contracting Seminar 

Department of Transportation Federal User Group (FUG) Conference 

CIGIE / GAO Financial Statement Audit Conference 

Federal Election Commission 

Weekly Senior Level Meetings 

Town Hall Meeting 

OIG Bi-weekly Staff Meetings 

18 
 

 

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. 

October 1, 2008 - March 31, 2009 

FEC/OIG Strategic Plan - Fiscal Years 2005 – 2010
 


OIG Products: To provide products 

and services that promote positive 

change in FEC policies, programs, and 

operations. 

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. 

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: 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, 

Management, and Congress. 

Strategy: Perform work that supports; 

- Federal Election Commission and Congressional 

priorities; 

- 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. 

Objective A: Maintain a dynamic strategic 

planning process. 

Strategy: 

- periodically review and update the strategic plan to 

address changing OIG and FEC priorities; and, 

- identify factors that influence organizational change 

and develop short and long term plans to address them. 

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; 

- 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. 

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 communication between employees is open; 

- 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. 

19 
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 (A confidential or anonymous message can be left 24 

hours a day) or toll-free 1-800-424-9530 (press 0; then dial 1015 

Mon–Fri 8:30 AM – 5:00 PM). 

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

Office of Inspector General
 


999 E Street, N.W., Suite 940
 


Washington, D.C. 20463
 


Mail is opened by OIG staff members only. 

You can also fax us at 202-501-8134 or contact us by e-mail at: oig@fec.gov.
 


Website address: http://www.fec.gov/fecig/fecig.shtml
 


Individuals may be subject to disciplinary or criminal action for knowingly making a false complaint or providing false information.