Semiannual Report to Congress: April 1 – September 30 2019 1

TEST

OFFICE OF INSPECTOR GENERAL

SEMIANNUAL REPORT TO CONGRESS

OCTOBER 1, 2019 – MARCH 31, 2020

MAY 2020
FEDERAL ELECTION COMMISSION

WASHINGTON, D.C. 20463

OFFICE OF THE CHAIR

May 22, 2020

The Honorable Nancy Pelosi The Honorable Michael R. Pence

Speaker of the House of Representatives President of the Senate

H-232 Capitol Building S-212 Capitol Building

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

Dear Madam Speaker and Mr. President: 

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

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

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

October 1, 2019 through March 31, 2020. 

During this reporting period, the FEC’s OIG completed, with the assistance of contract 

auditors, the annual audit of the FEC’s financial statements. We are pleased to report that the 

Commission received an unqualified opinion on the required statements: the FEC’s Balance 

Sheet as of September 30, 2019 and 2018, and the related Statements of Net Costs, Changes in 

Net Position, Budgetary Resources, and Custodial Activity for the years then ended. This marks 

the eleventh consecutive year with no material weaknesses identified. The auditors raised issues 

pertaining to Information Technology security that do not rise to the level of a material 

weakness, but nonetheless merit attention by the Commission. The response of FEC 

management to those issues appears in the report, which was issued on November 19, 2019. 

During this reporting period, the FEC’s OIG also completed, with the assistance of 

contract auditors, its Audit of the FEC’s Compliance under the Digital Accountability and 

Transparency Act of 2014 in November 2019. The response of FEC management to the issues 

raised in that audit appears in the report.

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

sound financial and management practices, and looks forward to continuing its cooperative 

working relationship as management takes appropriate measures to improve operations of the 

Commission. Copies of the Semiannual Report to Congress are being provided to the Chairs and 

Ranking Members of the FEC’s oversight committees.

On behalf of the Commission,

Caroline C. Hunter

Chair
Table of Contents

Message from the Inspector General ................................................................................................................................. 3 

OIG Personnel Updates ................................................................................................................................................. 4 

FEC Office of Inspector General Organization Chart ................................................................................................... 5 

OIG Core Values ........................................................................................................................................................... 6 

Executive Summary .......................................................................................................................................................... 7 

OIG Audit Activity ............................................................................................................................................................ 9 

Special Reviews .............................................................................................................................................................. 11 

OIG Audit/Review Follow-up Activity ........................................................................................................................... 12 

OIG Hotline Activity ....................................................................................................................................................... 14 

OIG Investigative Summaries ......................................................................................................................................... 17 

Council of the Inspectors General on Integrity and Efficiency ....................................................................................... 19 

List of Training, Meetings & Conferences ...................................................................................................................... 20 

Reporting Requirements .................................................................................................................................................. 22 

Table 1: Inspector General Issued Reports with Questioned Costs ............................................................................ 23 

Table II: Inspector General Issued Reports with Recommended Actions That Funds Be Spent to Better use ......... 24 

Table III: Summary of Audit and Inspection Reports with Corrective Actions Outstanding .................................... 25 

Table IV: Summary of Investigative Reports and Actions ......................................................................................... 26 

Appendix A: Peer Review Results ................................................................................................................................. 27 

Appendix B: Mission Statements ................................................................................................................................... 28 

Appendix C: FEC OIG Hotline ...................................................................................................................................... 29 

Semiannual Report to Congress: October 1, 2019 – March 31, 2020 2 
Semiannual Report to Congress: October 1, 2019 – March 31, 2020 3 

FEDERAL ELECTION COMMISSION

WASHINGTON, D.C. 20463

Office of Inspector General

Message from the Inspector General

It is with great pleasure that I present the Federal Election Commission 

(FEC) Office of Inspector General (OIG) Semiannual Report to Congress 

for the period of October 1, 2019 to March 31, 2020. During this time, 

we have made tremendous progress with the FEC in addressing 

unresolved audit recommendations. Furthermore, we have worked 

expeditiously in preparing for the execution of our hotline portal and case 

management system to assist in the overall management of our hotlines 

and investigations. We anticipate rolling those efforts out May 15, 2020. 

During the reporting period the OIG closed 28 of the 50 outstanding 

recommendations. I’d like to acknowledge that the increased 

collaboration efforts by both the OIG and FEC management, has resulted 

in significant progress in reducing 56% of the open recommendations 

since August 2018. The complete details of that review are included in 

the Review of Outstanding Recommendations as of February 2020 report. 

We continue to make progress in addressing OIG hotlines and investigations. We have worked persistently to 

close out six (6) hotline complaints and three (3) investigations since the last reporting period. Going forward, 

the OIG remains committed to resolving outstanding audit recommendations, conducting audits and special 

reviews to strengthen agency internal controls, addressing hotline complaints, and ensuring the citizens of the 

United States that our programs evince a high level of integrity, which is fundamental to who we are as an 

agency.

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

comprised of six (6) commissioners, appointed by the President, with no more than three members affiliated 

with the same political party. Furthermore, 52 U.S.C. § 30106 requires the affirmative vote of four members 

to take action on particular matters. The lack of quorum prevents the Commission from, among other things, 

issuing decisions on pending enforcement actions, opening investigations, issuing advisory opinions, and 

hiring critical senior positions within the agency. 

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

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

strong commitment to the mission. I look forward to continuing to work with the FEC OIG team, the

Commission, members of Congress, and my IG colleagues to provide oversight to the FEC on behalf of the 

American taxpayers. This Semiannual Report reflects the exceptional work of the FEC OIG team and their 

commitment to the critical mission of the OIG. 

Christopher Skinner 

Inspector General
Semiannual Report to Congress: October 1, 2019 – March 31, 2020 4 

OIG Personnel Updates

Additions:

I’m pleased to announce the addition of Mr. Michael (Mike) Mitchell to the FEC OIG team. Mike was selected 

to fill one of two vacant senior auditor positions. Similarly, I’m delighted to announce the promotion of Ms. 

Shellie Purnell-Brown to fill the additional senior auditor position. I have no doubt that the OIG audit team 

will continue to produce value-added reports in efforts to strengthen all aspects of agency programs and 

operations. 

Mike previously worked as an auditor for the FEC Office of Compliance. Prior to joining the FEC, Mike 

worked as an auditor for the Florida Department of Business and Professional Regulations OIG, and as an 

auditor for the Florida Department of Revenue. We are pleased to have him on the team and trust that he will 

continue to be a great asset to the agency.

Mike will serve alongside newly appointed OIG Senior Auditor, Ms. Shellie Purnell-Brown. Shellie has been 

conducting OIG audits for the FEC since 2011. Prior to joining the FEC, she worked as a senior audit manager 

for World Kitchen, Intelsat, and Verizon Wireless. Shellie continues to demonstrate and exude her passion to 

deliver high quality work products to the agency. 

Farewell: 

OIG Investigator, Ms. Shayla Walker, has accepted a position with another entity and will no longer serve in 

her role with the FEC OIG effective April 24, 2020. We’d like to express our sincere gratitude for the great 

work that Shayla accomplished during her 4-year tenure with the agency. She served a vital role for the OIG 

during a critical time of transition, and her dedication to the OIG mission will be missed. 

Vacancies: 

The OIG currently has two vacant positions: deputy IG (DIG) and senior investigator. Both positions will be 

a top priority to fill in FY 2020. 
Semiannual Report to Congress: October 1, 2019 – March 31, 2020 5

FEC Office of Inspector General Organization Chart 

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

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

** Scheduled to depart FEC OIG effective April 24, 2020.

Filled

Vacant
Semiannual Report to Congress: October 1, 2019 – March 31, 2020 6 

OIG Core Values

Honesty We are honest, fair, and true to ourselves, to each other, and to our 

customers, which is reflected in our reputation. We behave with the 

highest levels of integrity, which is fundamental to who we are as a team. 

Collaboration

Commitment

We strive to collaborate and build key relationships within the OIG 

community and the FEC in order to improve program operations, 

efficiencies, and effectiveness. We universally work together to identify 

potential opportunities to partner with OIG stakeholders in efforts to 

resolve Government wide concerns and maximize the value to the citizens 

of the United States. 

We are committed to continually seek personal and operational growth 

opportunities to preserve the positive reputation of the OIG. We pledge 

our dedication to persistently enhance our skillsets in efforts to uphold 

the integrity of the FEC. 

Balance

We aim to balance customer needs with the mission of the OIG and FEC 

while assuring all endeavors of our work reflect transparent and unbiased 

processes. We apply this practice through our application of due regard 

for our peers, our beliefs, our family, and our stakeholders.

Service We pride ourselves in providing a non-confrontational, value-added 

service to customers through objective, accurate, and timely evaluations 

of OIG inquiries in support of FEC operations and procedures.

Respect

We are devoted to creating a professional and positive work environment 

in which all colleagues and stakeholders are treated with the utmost 

respect. We welcome, value, and embrace the diversity of everyone and 

behave respectfully to all with whom we interact.
Semiannual Report to Congress: October 1, 2019 – March 31, 2020 7 

Executive Summary

The Inspector General Act of 1978, as amended (IG Act), states that the Inspector General (IG) is responsible 

for: conducting audits and investigations; recommending policies and procedures that promote economy, 

efficiency, and effectiveness of agency resources and programs; and preventing fraud, waste, abuse, and 

mismanagement. The IG Act requires that the IG provide a means for keeping the head of the establishment 

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

administration of FEC programs and operations, by means of the reports required by section 5 of the IG Act. 

Additionally, IG’s are required to report to the Commission particularly serious or flagrant problems, abuses, 

or deficiencies relating to the administration of agency programs and operations.

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

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

completed activities of the OIG from October 1, 2019 to March 31, 2020. Additional details pertaining to each 

activity (e.g., audits, hotline, investigations, and special reviews) can be found in subsequent sections of this 

report. The FEC OIG staff depend and act on its OIG Core Principles (honesty, collaboration, commitment, 

balance, service, and respect) to ensure the integrity of all FEC OIG work products. 

During this reporting period, Ms. Shellie Purnell-Brown and Ms. Shayla Walker were recognized at the 

Council of the Inspectors General on Integrity and Efficiency’s (CIGIE) 22nd Annual Awards Ceremony. They 

received the Award of Excellence for their extraordinary efforts across the CIGIE community and multiple 

disciplines to identify the highest risk purchase card transactions and recommended control efforts over 

improper purchases for the U.S. Department of Agriculture’s Government Purchase Card Audit. 

Audits and Reviews

The Audit of the FEC’s FY 2019 Financial Statements 

During this reporting period, the independent public accounting (IPA) firm, Brown and Company, completed 

the FEC’s final testing and issued the agency’s FY 2019 Financial Statement (FS) audit report. The IPA firm 

did not identify any agency material weaknesses that could impact financial reporting. Additionally, the IPA

firm is required contractually to conduct additional testing on information systems (IT) controls, as the FEC is 

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

annual FISMA audit. As a result of the FY 2019 financial statement audit, Brown and Company identified 

one (1) recommendation for the FEC. Therefore, the total number of outstanding financial statement audit 

recommendations is six (6). 

The Audit of FEC’s compliance under the Digital Accountability and Transparency Act of 2014 (DATA Act) 1

During the reporting period, Brown and Company also completed the DATA Act audit. The primary objective 

of this audit was to satisfy the OIG’s responsibilities under the DATA Act by assessing the: (1) completeness, 

timeliness, quality, and accuracy of financial and payment data submitted for publication on 

USASpending.gov; and (2) the FEC’s implementation and use of Government-wide financial data standards 

established by the Office of Management and Budget (OMB) and the Department of Treasury. Based on audit 

work performed, we concluded that the FEC properly implemented and made proper use of the Governmentwide financial data standards. We were able to give reasonable assurance that the agency’s internal controls 

regarding its sourced systems are adequate and that Files A and B were complete, accurate, and of quality. 

However, File C and File D1 were not complete due to the manual reconciliation efforts. As a result, the audit 

 

1 The DATA Act of 2014 requires the establishment of government-wide standards for information on spending by Federal 

agencies, and all agencies must begin reporting spending data in compliance with the DATA Act. According to OMB’s 

Management Procedures Memorandum No. 2016-03, data reported by Federal agencies in fiscal year 2017 second quarter will be 

displayed on USAspending.gov by May 2017.
Semiannual Report to Congress: October 1, 2019 – March 31, 2020 8 

report includes four (4) findings, three (3) of which were repeat findings from the previous 2017 DATA Act 

audit, and five (5) recommendations. 

Audit of Contract Management and Oversight (Audit Number 16-02)

The FEC OIG determined to terminate this audit as of March 31, 2020. The OIG announced the subject audit 

engagement on March 16, 2016 and since that time, encountered frequent impediments in completing the 

desired work. Furthermore, once the OIG was resourced to revisit this engagement, additional concerns 

materialized. As a result, the subject audit as currently constructed, would not provide value to the agency and 

would fail to capture the current environment of the FEC Procurement Office. 

Review of Outstanding Recommendations as of February 2020

Since the last formal Outstanding Recommendations report was issued in August 2018, the OIG closed 28 of 

the 50 outstanding recommendations. Specifically, since the last semiannual reporting period (September 

2019), we continued follow-up efforts with FEC management regarding 32 outstanding recommendations that 

resulted from four (4) audits and two (2) inspections. As result of those follow-up efforts, we were able to 

close an additional ten (10) recommendations. Therefore, 22 outstanding recommendations remain (see 

complete details in the OIG Audit Follow-up Activity section of this report). 

Peer Reviews

In accordance with the Council of Inspectors General on Integrity and Efficiency (CIGIE) Audit Peer Review 

schedule, the Election Assistance Commission (EAC) OIG was tasked to conduct a peer review of the FEC 

OIG Audit Program for the reporting period ending September 30, 2019. The peer-review kick-off meeting 

was held on February 25, 2020, and fieldwork is in progress. 

Special Reviews

Use of TRANServe Benefits during the FY19 Government Shutdown (December 22, 2018 – January 25, 2019)

This review was initiated on September 6, 2019, and is currently in the draft phase. We anticipate completing 

this review within the next reporting period. 

Hotlines and Investigations 

The OIG Hotline provides a means for a variety of sources to include but not limited to, FEC employees, FEC 

contractors, and the public to communicate directly and confidentially with the OIG. Additionally, the OIG 

may open a hotline complaint based on information received from congress, management, and/or results of an 

audit and/or review. All allegations and referrals of fraud, waste, abuse, mismanagement, and misconduct 

involving FEC employees, contractors, agency programs, operations, and property, are termed Hotline 

Complaints per OIG policy. As of September 30, 2019, the OIG had zero (0) open hotline complaints. During 

this reporting period, the OIG opened six (6) new hotline complaints and closed six (6) hotline complaints,

ending this reporting period with zero (0) open hotline complaints. 

All hotline complaints are evaluated to determine if an investigation is warranted. If an investigation is opened, 

the hotline complaint is closed and merged into the investigative file. OIG investigations involve a detailed 

analysis of the issues brought forward by the various sources. That analysis includes but is not limited to 

obtaining pertinent agency records, performing computer material examinations, and interviewing witnesses

and subjects. During the reporting period, one (1) new investigation was opened, three (3) investigations were 

closed, and (4) four investigations remain open. 
Semiannual Report to Congress: October 1, 2019 – March 31, 2020 9 

OIG Audit Activity

Title: Audit of the FEC’s FY 2019 Financial Statements

Assignment Number: OIG-19-01

Status: Complete

Report Location: FEC OIG Webpage (https://www.fec.gov/office-inspector-general/)

During this reporting period, the IPA firm, Brown and Company, completed final testing and issued the 

agency’s FY 2019 financial statement audit report. The exit conference was held on November 14, 2019 to 

discuss the draft report and audit findings. The IPA firm determined that the FEC’s financial statements 

were presented fairly, in all material respects and did not identify any material weaknesses that could impact 

financial reporting. 

Additionally, Brown and Company is required contractually to conduct additional testing on IT controls, as 

the FEC is exempt from the FISMA and is not subject to the mandated annual FISMA audit. The firm also

performs a follow-up assessment on outstanding recommendations related to IT controls. Based on that 

review, no new control deficiencies were identified. As a result of this review, we were able to close two (2)

outstanding financial statement recommendations. Therefore, the FY 2019 financial statement audit report 

contains a total of seven (7) open recommendations (one (1) new recommendation and six (6) outstanding 

from previous audits). The report was issued on November 19, 2019. 

Title: Audit of the FEC’s Compliance under the Digital Accountability and 

Transparency Act of 2014 (DATA Act)

Assignment Number: OIG-19-02

Status: Complete

Report Location: FEC OIG Webpage (https://www.fec.gov/office-inspector-general/)

During the reporting period, Brown and Company also completed the DATA Act audit. The primary 

objective of this audit was to satisfy the OIG’s responsibilities under the DATA Act by assessing the: (1) 

completeness, timeliness, quality, and accuracy of financial and payment data submitted for publication on 

USASpending.gov; and (2) the FEC’s implementation and use of Government-wide financial data standards 

established by the OMB and the Department of Treasury. This engagement was conducted as a performance 

audit in accordance with Generally Accepted Government Auditing Standards (GAGAS), and the Inspectors 

General Guide to Compliance Under the DATA Act IG Guide), which was updated and released in February 

2019. 

The scope of the audit (determined by the DATA Act IG Guide) involves the review of FEC’s FY 2019 first

quarter financial and payment data submitted for publication on USASpending.gov, which additionally 

includes any applicable procedures, certifications, internal controls, and/or documentation required to

achieve this effort. 

The key audit objectives include: 

• Assessing the FEC’s internal controls over the financial and payment data reported to 

USASpending.gov per OMB Circular A-123; 

• Assessing the FEC’s internal controls regarding data management, collection, reporting, and 

processes used to report financial and payment data under the DATA Act requirements; 

• Assessing general and application controls pertaining to the procurement and financial systems 

from which the data elements were derived and linked; and
Semiannual Report to Congress: October 1, 2019 – March 31, 2020 10 

• Performing testing of FY 2019 first quarter financial and payment data submitted by the FEC for 

publication on USASpending.gov. 

Based on audit work performed, we concluded that the FEC properly implemented and made proper use of 

the Government-wide financial data standards. We were able to give reasonable assurance that the agency’s 

internal controls regarding its sourced systems are adequate and that Files A and B were complete, accurate, 

and of quality. 

However, Brown and Company indicated that there are not adequate controls in place to ensure timely 

recording of procurement awards data located in File C and File D1. As a result, File C and File D1 were not 

complete. One key challenge identified is that FEC utilizes a federal shared service provider for financial 

reporting (File C) and an internal management system for procurement award processing (File D). As a 

result, all reconciliation efforts of File C and D1 must be performed manually. Additionally, at the time of 

the audit, FEC management had not yet developed a Data Quality Plan. As a result of the foregoing, the 

audit report includes four (4) findings, three (3) of which were repeat findings from the previous 2017 

DATA Act audit, and five (5) recommendations that will improve the timeliness and completeness of FEC 

award data. The report was issued on November 8, 2019. 

Title: Audit of Contract Management and Oversight

Assignment Number: OIG-16-02

Status: Terminated

Report Location: FEC OIG Webpage (https://www.fec.gov/office-inspector-general/)

As noted in prior SARs, the Audit of Contract Management and Oversight was extended over several years 

and was placed on hold in November 2018. The FEC OIG determined to terminate this audit as of March 

31, 2020. The OIG announced the audit engagement on March 16, 2016 and since that time, encountered 

frequent impediments in completing the desired work. A few of those impediments include but are not 

limited to:

• delays in obtaining applicable contract data due to the physical relocation of the FEC; 

• lack of an active or permanent IG from March 2017 to May 2019; 

• resignation of the Deputy IG in November 2018; 

• government furlough of December 22, 2018, to January 25, 2019; and 

• the resignation of the Lead Auditor in April 2019 

Furthermore, once the OIG was resourced to revisit this engagement, additional concerns materialized: 

• a majority of the contracts selected for review predate current leadership staff (Chief Financial Officer 

and Director of Procurement); 

• a majority of the contracts selected for review were awarded at least (7) years ago; and 

• the FEC Procurement Office implemented modifications to its standard operating procedures since the 

announcement of the audit engagement. 

As a result, the subject audit as currently constructed, would not provide value to the agency and would fail 

to capture the current environment of the FEC Procurement Office. A memorandum communicating the 

termination of this audit was provided to the FEC Commission and senior leaders within the agency. 
Semiannual Report to Congress: October 1, 2019 – March 31, 2020 11 

Special Reviews

Title: Use of TRANServe Benefits during the FY19 Government Shutdown (December 

22, 2018 – January 25, 2019)

Assignment Number: SR 19-01

Status: Ongoing

Report Location: N/A

We received information via the OIG hotline that a handful of FEC employees violated the FEC Transit 

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

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

obtained, we could not prove or disprove that the subject employees were using their TRANServe benefits 

for personal use; however, we identified anomalies in TRANServe benefits during the FY19 government 

shutdown (December 22, 2018 through January 25, 2019). This review was initiated on September 6, 2019 

and is currently in the draft phase. We anticipate completing this review within the next reporting period. 
Semiannual Report to Congress: October 1, 2019 – March 31, 2020 12

OIG Audit/Review Follow-up Activity

Title: Review of Outstanding Recommendations as of February 2020 

Assignment Number; OIG-20-02 

Status: Completed

Report Location: FEC OIG Webpage (https://www.fec.gov/office-inspector-general/) 

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

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

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

management has effectively implemented OIG recommendations. Previously, we communicated that audit 

follow-up efforts will be conducted semi-annually; however, a formal report to the Commission would be 

issued annually (March time frame). The annual report that was scheduled to be issued in March 2019 failed 

to materialize due to turnover in OIG leadership personnel. As a result, the OIG did not release its first 

formal annual report to the Commission until March 2020, Review of Outstanding Recommendations as of 

February 2020. 

Since the last formal report was issued in August 2018, the OIG closed 28 of the 50 outstanding 

recommendations. The OIG acknowledges that the increased collaboration efforts by both the OIG and FEC 

management, has resulted in significant progress in reducing 56% of the open recommendations since 

August 2018. The Review of Outstanding Recommendations as of February 2020 report includes the OIG’s 

review of FEC recommendations that have been outstanding for more than six (6) months and identifies the 

progress management has made in addressing such recommendations to date. For more detailed information, 

see the complete report at https://www.fec.gov/office-inspector-general/.
Semiannual Report to Congress: October 1, 2019 – March 31, 2020 13
Semiannual Report to Congress: October 1, 2019 – March 31, 2020 14

OIG Hotline Activity

The OIG Hotline provides a means for a variety of sources to include but not limited to, FEC employees, 

FEC contractors, and the public to communicate directly and confidentially with the OIG. Additionally, the 

OIG may open a hotline complaint based on information received from congress, management, and/or results 

of an audit and/or review. All allegations and referrals of fraud, waste, abuse, mismanagement, and 

misconduct involving FEC employees, contractors, agency programs, operations, and property, are termed 

Hotline Complaints per OIG policy. The OIG takes all matters received on the hotline seriously; as such, we 

carefully analyze all information received to determine if the matter is appropriate for the OIG and should be 

opened as a hotline complaint for further inquiry. Once a hotline complaint is opened, the OIG obtains 

evidence to determine if an investigation is warranted. Other courses of action may include but are not 

limited to:

• OIG referral to management for action – Issue is more suitably handled by management and we 

submit this referral to management via referral letter for action deemed appropriate.

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

to resolve the issue and we submit the matter via referral letter for action deemed appropriate.

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

the matter and/or the issue transitions into a criminal case. We submit this referral via referral letter 

for action deemed appropriate. 

• OIG referral to the audit or special review process – No specific subject identified; the issue 

identifies internal control concerns in specific agency operations; and/or there is not enough evidence 

to open an investigation. We submit this referral via referral letter for a potential future review.

• Assist complainant – After obtaining additional facts, we determine the complaint is best handled by 

another existing process and/or entity and inform the complainant directly, via letter, where to submit 

the complaint.

• Dismissed with no further action – Issue is overcome by events or does not merit further review 

based on evidence obtained.

The OIG considers many factors when analyzing a hotline complaint to determine the best course of action. 

We acknowledge that every hotline complaint received by the OIG will not be investigated. OIG policy 

requires that hotline complaints be evaluated on specific criteria, including but not limited to, the merits of 

the allegation(s), the availability of evidence, and the existing priorities, commitments, and resources of the 

OIG. Additionally, internal policy provides that a hotline complaint may be classified as a “high” priority

depending on the nature of the allegations and/or the subject(s) involved. The OIG will close a hotline

complaint due to a variety of reasons including but not limited to, no applicable law, rule, or regulation 

violated, lack of specific information, or the inability to contact the complainant to obtain additional 

information. Due to the vacant investigator and DIG positions, the OIG Senior Counsel is evaluating all

hotline complaints with concurrence from the IG.

As of September 30, 2019, the OIG carried over zero (0) open hotlines. During this reporting period, we 

opened six (6) new hotline complaints, and six (6) hotline complaints were closed. As of March 31, 2020, 

zero (0) hotlines remain open.
Semiannual Report to Congress: October 1, 2019 – March 31, 2020 15 

HOTLINE COMPLAINT RESULTS (Oct 1, 2019 – Mar 31, 2020)

Source - Hotlines Opened

Agency Employee Hotlines 1

Management Referral Hotlines 1

Audit/Review Referral Hotlines 0

Congressional Request Hotlines 1

Public Complaint Hotlines 3

Total Hotlines Opened 6

OIG Course of Action - Hotlines Closed

Opened for Investigation 1

OIG Referral to FEC Management 0

OIG Referral to Existing FEC Program/Process 0

OIG Referral to External Agency 0

OIG Referral to OIG Audit/Special Review 1

Assist Complainant 3

Dismiss (No action) 1

Total Hotlines Closed 6

OIG Contacts 

The OIG receives a number of complaints via the OIG hotline, OIG email, or telephone where it is apparent 

that the issue does not fall within the jurisdiction and purview of the FEC OIG and therefore, is dismissed 

and not opened as a hotline complaint. We define these complaints as OIG Contacts. For these contacts, 

the OIG may submit a standard response letter to the complainant outlining the FEC OIGs authorities and/or 

depending on the specificity and seriousness of the complaint, may refer and/or transfer the matter to another 

internal or external process and/or agency for action deemed appropriate (similar to a “Hotline Assist” or 

“Hotline Referral” as defined above). 

Additionally, we receive a number of frivolous complaints that do not warrant a response from the OIG. We 

also define these complaints as OIG Contacts. The OIG may spend a considerable amount of time reviewing 

and, where appropriate, responding to such contacts. As a result, we manage a record of all OIG contacts

that do not meet the criteria for a hotline complaint and/or are frivolous. During the reporting period, the 

OIG received a total of 248 contacts. We provided a response (dismissed) to 204 of those contacts and 44 

contacts were frivolous and warranted no response. 
Semiannual Report to Congress: October 1, 2019 – March 31, 2020 16 

OIG CONTACT RESULTS (Oct 1, 2019 – Mar 31, 2020)

Complaints Breakdown

Dismissed Complaints 204

Frivolous Complaints - Required No Action/Response 44

Total Contacts 248
Semiannual Report to Congress: October 1, 2019 – March 31, 2020 18

OIG Investigative Summaries 

OIG investigations seek out facts related to allegations of wrongdoing. OIG investigations may address 

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

investigation may range from any agency employee, FEC contractor, consultant, or a person or entity 

involved in alleged wrongdoing affecting FEC programs and operations. 

As previously noted, all hotline complaints are evaluated to determine if an investigation is warranted. If an 

investigation is opened, the hotline complaint is closed and merged into the investigative file. OIG 

investigations involve a detailed analysis of the issues brought forward by the various sources. That analysis 

includes but is not limited to obtaining pertinent agency records, performing computer material 

examinations, and interviewing witnesses and subjects. Occasionally, open investigation are closed without 

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

and/or the severity of the allegation(s). Additionally, current workload and priorities may determine if an 

allegation of wrongdoing is better addressed by management. If the OIG determines to proceed and prepare 

a ROI, that report will provide a summary of the complaint, document the specific allegation(s), the law(s) or 

regulation(s) associated with the allegation(s), the objective description of the case facts, and a conclusion of 

investigative findings (i.e., substantiated or not substantiated). We previously reported six (6) open 

investigations as of September 30, 2019. During this reporting period, one (1) new investigation was 

opened, and three (3) investigations were closed. 

Furthermore, each closed investigation during the reporting period includes the following types of 

allegations: Agency hiring practices, employee reasonable accommodations, and conflicts of interest. 

Details of all courses of action involving the three (3) closed cases are provided below. 
Semiannual Report to Congress: October 1, 2019 – March 31, 2020 18 

Closed Investigations - Courses of Action

(Oct 1 – Mar 31, 2020) 

# of 

Investigations 

Investigations closed with ROI released to Commissioners 0 

ROI completed and released to Commissioners and referred to 

local state authorities 0 

Investigations closed with Management Alert Memorandum 

(requesting management to follow up with actions taken, if any) 1 

Investigations closed with Closing Memorandum but not 

provided to management due to insufficient evidence 1 

Investigations closed and referred to OIG audit/special review 

program 

1 

Referrals to DOJ for federal prosecution 0 

Totals 3
Semiannual Report to Congress: October 1, 2019 – March 31, 2020 19 

Council of the Inspectors General on Integrity and Efficiency

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

Conferences and Professional Development Seminars. Mr. Skinner continues to participate on all CIGIE 

OIG trainings as a new IG in the CIGIE community. 
Semiannual Report to Congress: October 1, 2019 – March 31, 2020 20 

List of Training, Meetings & Conferences

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

attended by the IG and the OIG staff for the period October 1, 2019 through March 31, 2020. 

Trainings, Meetings, Conferences, Etc.

Host / Sponsor Topic / Subject

Association of Certified Fraud 

Examiners

2019 Law Enforcement and Government Anti-

 Fraud Summit

Council of Counsels to the Inspectors 

General Monthly Meetings and Small OIG Working Group 

Council of the Inspectors General on 

Integrity and Efficiency

2019 Leadership Forum: “Leading from Where 

 You Are: Leading People - Leading Change - 

 Driving Excellence"

2020 Annual Training for Investigations 

 Committee and Assistant Inspector Generals for

 Investigations Annual Training 

CIGIE Annual Awards Ceremony 

DATA Act Working Group

Data Analytics Working Group (DAWG) Quarterly

 Meetings

ERM Working Group 

Essentials of IG Investigations

FAEC Bi-Monthly Meeting Workshop 

IG 101: IG Authorities 

IG 101: Integrity Committee/Career Enders

Pandemic Response Accountability Committee

 (PRAC)

Intermediate Auditor

Technology Committee Meeting

Training Officers Orientation

Cybersecurity and Infrastructure 

Security Agency (CISA) and Federal 

Bar Association

Cyber Security for Lawyers

Federal Election Commission

2019 Emergency Occupant Training

Active Shooter 2.0 

Administrative Liaison Group Meetings

Biweekly Director’s Meetings with IG, Acting GC,

 SD & CFO

Commissioner Monthly Inspector General Update 

CompTIA Project + PKO-OOY: Procurement

 Terminology and Acronyms 

COOP Meetings

COVID-19 Senior Management Meeting

Data Breach Team

Emergency Occupant Emergency Training: Active
Semiannual Report to Congress: October 1, 2019 – March 31, 2020 21 

 Threat Awareness Training

Finance Committee Meeting

New Employee Orientations

No Fear Act

Occupant Emergency Organization Team Training

Procurement Integrity

Procurement Planning (PMBOK® Guide Sixth

 Edition) 

Project Documents and Terminology 

Security Awareness Training for 2019-2020 

Workplace Harassment Prevention for Federal

 Employees

Workplace Safety

Institute of Internal Auditors Elected Member of the Board of Governors 

Office of Personnel Management Engaging and Encouraging Employees 

Reid Institute Technique of Investigative Interviewing and 

Advanced Interrogation Techniques

Wolters Kluwer Impact of 2018 Yellow Book Revision on Audit 
Semiannual Report to Congress: October 1, 2019 – March 31, 2020 22 

Reporting Requirements

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

IG Act DESCRIPTION PAGE

Section 4(a)(2) Review of Legislation 19 

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) 25 

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

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

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

Section 5(a)(8) Questioned and Unsupported Costs (Table I) 23 

Section 5(a)(9) Recommendations that Funds be Put To Better Use (Table II) 24 

Section 5(a)(10)(A)

Summary of Audit Reports issued before the start of the Reporting Period 

for which No Management Decision has been made None 

Section 5(a)(10)(B)

Summary of Audit Reports Issued Before the start of the Reporting Period 

for which No Management Comment was Returned Within 60 Days None 

Section 5(a)(10)(C)

Summary of Audit Reports Issued Before the Start of the Reporting Period 

for which There Are Outstanding Unimplemented Recommendations None 

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

Section 5(a)(12) 

Management Decisions with which the Inspector General is in 

Disagreement None 

Section 5(a)(11) Peer Review Recommendations 27 

Section 5(a)(17), (18) Investigative Reports Table and Metrics (Table IV) 17-18, and 

26 

Section 5(a)(19) 

Investigations Involving a Senior Government Employee with 

Substantiated Misconduct None 

Section 5(a)(20) Instances of Whistleblower Retaliation None 

Section 5(a)(21) Attempts by the Agency to Interfere with OIG Independence None 

Section 5(a)(22) 

Undisclosed Inspections, Evaluations, Audits, 

and Investigations None 
Semiannual Report to Congress: October 1, 2019 – March 31, 2020 23 

Table 1: Inspector General Issued Reports with Questioned Costs

Required reporting Number of 

Reports

Questioned 

Costs2

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 

2 Dollar values in thousands. 
Semiannual Report to Congress: October 1, 2019 – March 31, 2020 24 

Table II: Inspector General Issued Reports with Recommended Actions That 

Funds Be Spent to Better use

Required Reporting Number of Rec’s Dollar Value 

(In Thousands)

A. For which no management decision 

has been made by the commencement 

of the reporting period 0 0 

B. Which were issued during the 

reporting period 0 0 

C. For which a management decision was 

made during the reporting period 0 0 

(i) dollar value of recommendations

were agreed to by management 0 0 

based on proposed management 

action 0 0 

based on proposed legislative 

action 0 0 

(ii) dollar value of recommendations

that were not agreed to by

management

0 0 

D. For which no management decision 

has been made by the end of the 

reporting period 0 0 

E. Reports for which no management 

decision was made within six months 

of issuance 0 0 
Semiannual Report to Congress: October 1, 2019 – March 31, 2020 25 

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

Outstanding 

Report Title Report

Number

Date

Issued

Total 

Rec’s Closed Open Cost Savings

2010 Follow-up Audit of 

Privacy and Data 

Protection

OIG-10-03 03/11 17 8 9 0 

Inspection of the Federal 

Election Commission’s 

Disaster Recovery Plan 

and Continuity of 

Operations Plans

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

Audit of the Federal 

Election Commission’s 

Office of Human 

Resources 

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

Inspection of FEC’s 

Compliance with FMFIA/ 

OMB Circular A-123 

OIG-14.01 06/14 1 1 0 0 

Audit of the FEC’s 

Telework Programs OIG-15-03 06/16 2 1 1 0 

Required Review Under

the DATA Act OIG-17-05 11/17 3 0 3 0 

Totals 32 10 22 0
Semiannual Report to Congress: October 1, 2019 – March 31, 2020 26 

Table IV: Summary of Investigative Reports and Actions3

FEC OIG Investigations Courses of Action (Oct 1, 2019 – Mar 31, 2020) Number

Total number of investigative reports issued 3

Total number of persons referred to DOJ for criminal prosecution 0

Total number of persons referred to state and local prosecuting Authorities 

for criminal prosecution 0 

Total number of indictments and criminal information resulting from any 

prior referral to prosecuting authorities 0 

Total Investigations Closed 3

3 Metrics Used for Developing Data for Table IV:

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

Commissioners, management alert memorandums, closing memorandums, and other referral memorandums during the reporting 

period; 

Total number of persons referred to DOJ for criminal prosecution and total number of persons referred to state and 

local prosecuting authorities for criminal prosecution - reflects the total number of referrals for criminal prosecution made by the 

FEC OIG to the respective criminal prosecuting authorities during the reporting period; and

Total number of indictments and criminal information resulting from any prior referral to prosecuting authorities - includes all 

indictments and information issued during the reporting period by Federal, State, or local criminal prosecuting authorities based 

upon any referral by the FEC OIG, whether the referral was made during this reporting period or a prior reporting period.
Semiannual Report to Congress: October 1, 2019 – March 31, 2020 27 

Appendix A: Peer Review Results

In accordance with the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 

(Section 989C of P.L. 111-203 and as amended in section 5 of the IG Act), OIGs are required to report to 

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

Specifically, OIGs are required to report any outstanding recommendations that resulted from the peer 

review.

The most recent peer review of the FEC OIG was conducted by the Farm Credit Administration (FCA) OIG 

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

outstanding recommendations. Additionally, the FEC OIG does not have any open recommendations from 

previous peer reviews. The current peer review period ended on March 31, 2020. 

OIG Peer Review Activity 

Title: Peer Review of the FEC OIG Audit Program

Assignment Number: N/A

Status: In Progress

Report location: N/A

In accordance with the Council of Inspectors General on Integrity and Efficiency (CIGIE) Audit Peer 

Review schedule, the Election Assistance Commission (EAC) OIG was tasked to conduct a peer review of 

the FEC OIG Audit Program for the reporting period ending September 30, 2019. The peer-review kick-off 

meeting was held on February 25, 2020, and fieldwork is in progress. 
Semiannual Report to Congress: October 1, 2019 – March 31, 2020 28 

Appendix B: Mission Statements 

The Federal Election Commission 

In 1975, Congress created the Federal Election Commission to administer and enforce the Federal Election

Campaign Act of 1971, as amended. The duties of the FEC, an independent regulatory agency, are to 

disclose campaign finance information, enforce the provisions of the law, and oversee the public funding of 

Presidential elections.

The Commission consists of six members who are appointed by the President and confirmed by the Senate. 

Each member serves a six-year term, and two seats are subject to appointment every two years. By law, no 

more than three Commissioners can be members of the same political party, and at least four votes are 

required for any official Commission action. The Chairmanship of the Commission rotates among the 

members each year, with no member serving as Chairman more than once during his or her term. 

Currently, the FEC has three Commissioners and three vacancies – Caroline C. Hunter (Chair), Steven T. 

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

Office of Inspector General 

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

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

change, to promote improvements in the management of FEC programs and operations by independently 

conducting audits, reviews, and investigations. Our overriding objective is excellence and continuous 

improvement. 
Semiannual Report to Congress: October 1, 2019 – March 31, 2020 29 

Appendix C: FEC OIG Hotline