FEDERAL ELECTION COMMISSION

FISCAL YEAR 2016

CONGRESSIONAL BUDGET JUSTIFICATION

February 2, 2015

Concurrently submitted to Congress and the Office of Management and Budget
1 

Table of Contents

SUMMARY OF FY 2016 BUDGET JUSTIFICATION 2

MISSION STATEMENT 4

Section 1: Purpose and Priorities in FY 2016 5

1A: Commission Overview and Future Outlook 5

1B: FY 2016 Priorities 8

Section 2: Budget Overview 10

2A: OMB Budget Guidance Level 10

2A.1: Description of Budget Increases 11

2A:2 Request for Lease-Expiration Funds 13

2B: Appropriations Language 14

2C: Recommended Legislative Changes 14

Section 3: FY 2016 Annual Performance Plan and FY 2014 Annual Performance Report 16

3A: Introduction 16

3A:1 Mission Statement 16

3B: Organizational Structure 17

3C: Performance Framework 20

3C:1 Strategic Goal 20

3C:2 Plans and Progress by Strategic Objective 20

3C:2.1 Strategic Objective 1: 20

Performance Goal 1-1: 24

Supporting Indicators 1-1: 25

3C:2.2 Strategic Objective 2: 25

Performance Goal 2-1: 30

Supporting Indicators 2-1: 31

Performance Goal 2-2: 31

Supporting Indicators 2-2: 32

3C:2.3 Strategic Objective 3: 33

Performance Goal 3-1: 35

Supporting Indicators 3-1: 36

3C:2.4 Strategic Objective 4: 36

Performance Goal 4-1: 38

Supporting Indicators 4-1: 38

3D: Implementation Factors 39

3D:1 Major Management Priorities, Challenges and Risks 39

3D:2 Data Validation and Verification 40

3E: Conclusion 41

Office of Inspector General’s Fiscal Year 2016 Budget Request 42

 

 

 

 

 

 

 

 

 

 

 

 

 

 
2 

SUMMARY OF FY 2016 BUDGET JUSTIFICATION

The Federal Election Commission (FEC) is an independent regulatory agency responsible for 

administering, enforcing, defending and interpreting the Federal Election Campaign Act of 1971

(“FECA” or “the Act”), as amended.

1 As the foundation of Federal campaign finance regulation, 

FECA reflects Congress’s efforts to ensure that voters are fully informed about the sources of 

financial support for Federal candidates, political committees and others. The FECA imposes 

amount limitations and source prohibitions on contributions received by certain types of political 

committees. The Commission’s responsibilities also include overseeing the Federal public funding 

programs for Presidential campaigns.2

For the fiscal year (FY) 2016 Budget Submission, the FEC’s total requested funding level is $76.1 

million: an operational budget of $71.1 million to provide the necessary funding level to support 

the agency’s mission and an additional $5.0 million in two-year funds to cover initial expenses 

related to the expiration of the FEC’s office space lease. 

FEC Operational Budget Request

The FEC protects the integrity of the Federal campaign finance process by providing the public 

with accurate and accessible information about how candidates raise and spend funds to support 

their campaigns. Because of the large and rising number of political committees and the evergrowing number of financial disclosure reports filed with the FEC, the Commission anticipates 

significant campaign finance disclosure activity during FY 2016. In an average fiscal year, the FEC 

receives campaign finance reports, statements and other disclosure documents from more than 

10,000 political committees and other filers. During FY 2016, the historical trend toward greater 

numbers of reports filed and transactions disclosed is expected to be amplified due to what is likely

to be a highly competitive Presidential race. 

By providing the public with transparency regarding campaign financing, and ensuring that the 

campaign finance law is fairly and effectively enforced and administered, the Commission provides 

the public with crucial information by which to evaluate candidates for Federal office. To support 

this mission, the FEC must provide the public with robust access to campaign finance information 

as well as ensure that timely advice and support is provided so that candidates, committees and the 

public can fully understand and comply with the requirements of campaign finance law. In order to 

make certain that campaign finance disclosure information is quickly available and easily 

accessible to the public, the Commission must also support its enhanced information technology

(IT) delivery systems. Thus, for FY 2016, the Commission has prioritized maintaining the services 

it provides to the public and supporting and protecting IT delivery systems. A third priority for FY 

2016 is to better serve the public by improving the efficiency and effectiveness of the FEC’s staff 

in order to ensure that the agency can realize the highest level of performance from its employees 

and retain its highest-performing staff members.

 

1

 Public Law 92-225, 86 Stat. 3 (1972) (codified at 52 U.S.C. §§ 30101-30145) (formerly at 2 U.S.C. §§ 431-55).

2

 The Commission’s responsibilities for the Federal public funding programs are contained in the Presidential Election

Campaign Fund Act, Public Law 92-178, 85 Stat. 562 (1971) (codified at 26 U.S.C. §§ 9001-13) and the Presidential

Primary Matching Payment Account Act, Public Law 93-443, 88 Stat. 1297 (1974) (codified at 26 U.S.C. §§ 9031-42).
3 

An appropriation of $71.1 million for the FEC’s operations during FY 2016 would permit the 

agency to carry out its mission and accomplish limited priorities as described above.. 

FEC Lease Expiration Expenses

On September 30, 2017, the FEC’s current lease for its office space at 999 E Street, NW, 

Washington, D.C., will expire. The FEC is working closely with General Services Administration 

(GSA) to plan for the agency’s office space needs beyond the current lease. Based on GSA and 

OMB guidance, the FEC is seeking an appropriation of $5.0 million—in addition to the $71.1 

million in annual operating funds identified above—that would be available until September 30, 

2017, to cover initial costs related to its lease expiration, including costs associated with design and 

construction. 

The $5.0 million in two-year funds to cover initial expenses related to the expiration of the FEC’s 

lease are necessary because of the anticipated schedule for approval of the FEC’s Housing Plan and

construction design expenses. Based on GSA and OMB guidance, the FEC anticipates seeking 

approximately $8.0 million in additional funding in subsequent budgets for furniture, fixtures, 

equipment and other expenses associated with the lease expiration. 
4 

MISSION STATEMENT

To protect the integrity of the Federal campaign finance process by providing 

transparency and fairly enforcing and administering Federal campaign finance 

laws

Congress created the FEC to administer, enforce and formulate policy with respect to the FECA. 

The Act reflects Congress’s efforts to ensure that voters are fully informed of the sources of 

financial support for Federal candidates, political committees and others and to prevent corruption. 

Public confidence in the political process depends not only on laws and regulations to ensure 

transparency, but also on the knowledge that those who disregard the campaign finance laws will 

face consequences.

The primary objectives of the FEC are: (1) to engage and inform the public about campaign finance 

data; (2) to promote compliance with the FECA and related statutes; (3) to interpret the FECA and 

related statutes; and (4) to foster a culture of high performance.

Voluntary compliance with the requirements of FECA is a particular focus of the Commission’s 

efforts, and its educational outreach and enforcement programs are both designed to ensure 

compliance with the Act’s limits, prohibitions and disclosure provisions. Because of the large and 

rising number of political committees and the ever-growing number of financial disclosure reports 

filed with the FEC, voluntary compliance is essential to enforcing the requirements of the Act. 

Accordingly, the Commission devotes considerable resources to encouraging voluntary compliance 

through widespread dissemination of educational materials related to Federal campaign finance 

laws to the public, the press, political committees and State election officials.

This Budget Justification is organized in three sections. Section 1 addresses the agency’s purpose 

and priorities in FY 2016. Section 2 provides an overview of the agency’s request. Section 3

provides an overview of the agency’s four strategic objectives and describes the agency’s progress 

during the past fiscal year and its performance goals, indicators and targets to ensure continued 

progress toward meeting these objectives during FY 2016. 
5 

Section 1: Purpose and Priorities in FY 2016 

1A: Commission Overview and Future Outlook

The FEC is an independent regulatory agency responsible for administering, enforcing, defending 

and interpreting the FECA. The Commission is also responsible for administering the Federal 

public funding programs for Presidential campaigns. 

The FEC is directed by six Commissioners, who are appointed by the President with the advice and 

consent of the Senate. By law, no more than three Commissioners can be members of the same 

political party. Each member serves a six-year statutory term, and two seats are subject to 

appointment every two years. Commissioners may continue to serve beyond their six-year terms 

until new Commissioners are confirmed. The Commission’s Chairmanship rotates for one-year 

terms among the members, with no member serving as Chairman more than once during a six-year 

term. The Commissioners meet regularly to formulate policy and to vote on significant legal and 

administrative matters. The Act requires the affirmative vote of four members of the Commission 

to approve official actions, thus requiring bipartisan decision making. 

As part of its responsibilities, the FEC administers the Act’s requirement that all Federal candidates 

and Federal political committees file financial disclosure reports by making the disclosure reports 

and the data contained in them available to the public through the Commission’s Internet-based 

public disclosure system on the Commission’s website at . The FEC also has 

exclusive responsibility for civil enforcement of the Act, including the handling of civil litigation 

arising from any legal actions brought by or against the Commission. Additionally, the 

Commission promulgates regulations implementing the Act. The Commission also has a statutory 

responsibility to issue advisory opinions responding to inquiries regarding interpretation and 

application of the Act and the Commission’s regulations to specific factual situations.

www.fec.gov

The FEC’s Strategic Plan for FY 2014 through FY 2019, developed pursuant to the Government 

Performance and Results Act of 1993 (GPRA)

provides the agency’s strategic management framework. This framework is designed to ensure that 

every employee works in support of the FEC’s strategic goal and objectives and that the 

effectiveness of these efforts can be regularly and meaningfully measured.

3 and the GPRA Modernization Act of 2010,4

 

3

 Public Law 103-62, 107 Stat. 285 (1993).

4

 Public Law 111-352, 124 Stat. 3866 (2011).
6 

The FEC is funded currently by a single annual appropriation for salaries and expenses and is 

authorized to collect fees only to offset the costs of the agency’s educational conferences. More 

than two-thirds of the agency’s expenses are composed of personnel salary and benefits. Of the 

agency’s remaining expenses, the largest categories are IT initiatives, including IT security 

initiatives, and facilities. These three requirements constitute over 90 percent of the agency’s 

budget. Actual spending for FY 2014, which is shown in Figure 1 below, reflects the historical 

trend. For FY 2016, the FEC expects the percentages in each category to be comparable to FY 

2014, with a slight percentage increase in the Salaries and Benefits category. 

Figure 1 – FY 2014 Obligations by Major Category 

as of September 30, 2014 
7 

FEC Organizational Chart

The Offices of the Staff Director, General Counsel, Chief Information Officer and Chief Financial 

Officer support the agency in accomplishing its mission. The Office of the Inspector General, 

established within the FEC in 1989 under the 1988 amendments to the Inspector General Act, is 

independent and reports both to the Commissioners and to Congress. The specific roles and 

responsibilities of each office are described in greater detail at http://www.fec.gov/about.shtml.
8 

1B: FY 2016 Priorities

The FEC priorities for FY 2016 are limited to those needs that will allow the FEC to fulfill its 

mission as required by law. The FEC must ensure that it provides the public with timely, reliable, 

useful and accessible campaign finance data to meet the public’s right to access campaign finance 

information. Funding at the full amount of this request for operational expenses, $71.1 million, 

would permit the FEC to maintain the quality of services delivered to the public, continue to 

provide IT delivery of campaign finance data and maintain the efficiency and effectiveness of its 

staff. In addition, augmenting the budget by $5.0 million of two-year funds is required to pay for 

initial costs associated with the September 2017 expiration of the FEC’s lease. These are the

FEC’s priorities for FY 2016, and they are discussed in more detail below. 

Service Delivery to the Public

The FEC is obligated to protect the integrity of the Federal campaign finance process by providing 

transparency and fairly enforcing and administering Federal campaign finance laws. Fair 

enforcement and full disclosure of the sources and amounts of campaign funds allow the public to 

make informed decisions in the political process. Transparency requires that information is not 

only kept by the FEC but that it is provided to the public in an easily accessible way. The 

Commission is committed to providing the public with robust access to campaign finance 

information and providing candidates, committees and the public timely advice and support so 

they can fully understand and comply with the Act. Funding at the full amount of this request, 

$71.1 million, would permit the FEC to maintain the quality of services delivered to the public. 

Over the past decade, the FEC has seen a steady increase in the number of reports filed and 

transactions disclosed. During FY 2016, this trend is expected to be amplified due to what is likely

to be a highly competitive Presidential race. The Commission plans to implement tools to further 

automate the Report Analysis Division’s (RAD) processes in ways that will help to ensure that the 

FEC can continue to provide timely, individualized support to filers and make comprehensive and 

accurate campaign finance information more quickly and easily available to the public. 

Smart IT Delivery

For the past several fiscal years, the Commission has prioritized the enhancement of the public’s 

access to the FEC’s campaign finance data and the development of efficiencies in the disclosure of 

that data. During FYs 2014 and 2015, the FEC will complete a suite of information technology 

projects that will significantly increase the level of service the FEC is able to provide to the public. 

These enhancements include improving the FEC website, implementing a data warehouse 

framework and enterprise search capability, upgrading the Case Management System, transitioning

all staff to a common Enterprise Content Management system and improving enterprise-wide IT 

security systems. The FEC’s FY 2016 request includes funds to replace hardware and servers as 

existing equipment becomes obsolete in order to ensure that the agency continues to realize the full 

potential of these new and enhanced systems and that the FEC’s hardware continues to support the 

agency’s IT security program. Funding at the full request amount will also allow the FEC to 

expand these projects to ensure that the FEC’s IT systems continue to grow with emerging 

technologies. For example, building on previous fiscal years’ IT development and implementation 

projects, the Commission plans to initiate a study to explore the requirements and build a plan to 
9 

launch FEC data into a cloud environment. The Commission’s FY 2016 request also includes 

funds to ensure that the agency is able to maintain and improve upon current efforts to re-design

. In the rapidly changing world of information technology, agencies must proactively 

improve their systems in order to maintain them. Funding at the full request level will ensure that 

the FEC preserves, protects and builds upon these IT investments.

www.fec.gov

Efficiency and Effectiveness of FEC Staff

The Commission recognizes that its most valuable asset is its people. In order to meet the 

Commission’s objectives, the FEC needs a highly skilled workforce that can adapt to changing 

needs. The FEC must maximize the capability of staff at all levels and ensure that the FEC can 

plan for the future to maximize efficiency. Due to the budget constraints of the past several fiscal 

years, the agency has been forced to cut back on all but the most critical areas of staff training. Full 

funding would allow the Commission to provide necessary staff training during FY 2016. Funding 

at the full request level will also allow the Commission to pursue steps to recruit and retain highperforming staff. 

Expenses Related to September 2017 Lease Expiration 

The FEC currently maintains its sole headquarters in the heart of Washington, D.C. This central 

location supports the agency’s efforts to meet its statutory obligations by providing opportunities 

for the public to visit FEC headquarters to meet with Commissioners and staff, get help with filing 

campaign finance reports, research campaign finance disclosure data, attend public meetings of the 

Commission or attend training sessions. However, the agency’s current lease will expire in 

September 2017. The FEC is working closely with GSA to plan for the agency’s office space 

needs beyond the current lease. The FEC anticipates, based on findings from a GSA review, that 

total costs for the agency’s lease expiration expenses would total $13.0 million. The FEC requests 

$5.0 million in two-year funds during FY 2016, above the requested funding for operational 

expenses, to be used solely for initial expenses related to the expiration of its lease. The agency is 

seeking two-year funds for these expenses because a project of this magnitude involves multiple 

variables in the project timeline, which may require funds to be obligated over two fiscal years.

Based on GSA and OMB guidance, the agency anticipates seeking an additional $8.0 million in 

lease-related funds in subsequent budgets to cover other expenses associated with the lease 

expiration, including furniture, fixtures and equipment. 
10

Section 2: Budget Overview

2A: OMB Budget Guidance Level

In this section, pursuant to the Office of Management and Budget (OMB) guidance, budget 

increases are identified, and the FY 2016 budget request is compared to the FY 2015 budget. For 

FY 2016, the proposed FEC operating budget is $3.6 million higher than in FY 2015, primarily to 

address the priorities identified in section 1. Additionally, the agency requests $5.0 million in twoyear funds to be used for expenses related to the lease expiration. 

Table 1

Summary of Changes from FY 2015 to FY 2016 Agency Request

[in dollars] 

Category Amount

FY 2015 President’s Budget $67,500,000 

 Personnel Changes

 Personnel Compensation and Benefits 1,888,408

Personnel Changes Subtotal: 1,888,408

 Non-Personnel Changes

 Federal Goods and Services (includes $5.0 million lease expiration expenses) $5,734,101 

 IT Contracts and Equipment $494,198 

 Communications, Utilities and Postage $151,241 

 Training $128,118 

 Contracts and Other Services $84,990 

 Building Rent $68,832 

 Travel $51,614 

 Supplies and Materials $17,498 

 Non-Personnel Changes Subtotal: 6,730,592

FY 2016 Budget Request (includes $5.0 million lease expiration expenses) $76,119,000 
11

2A.1: Description of Budget Increases 

Program Increases (includes lease expiration expenses of $5.0 million).... $8,619,000/+15 FTE 

Personnel Increases.................................................................... $1,888,408/+15 FTE 

Personnel – The FEC is a small, personnel-intensive organization, with approximately 71 percent 

of the annual operating budget used for salaries and benefits. In FY 2014, the personnel 

percentage slipped to 68%, with several critical positions left vacant. In FY 2015 and 2016, the 

agency is projected to fill these and other vacancies brought about due to attrition. Additionally, 

the funding would cover salary and retirement benefit increases. Funding at $76.1 million would 

permit the FEC to maintain the quality of services it delivers to the public and pursue the identified 

priorities in section 1. It would also assist the FEC with recruiting and maintaining a highperforming staff. The agency is projecting funding for 360 FTEs for FY 2016. 

Non-Personnel Increases (includes lease expiration expenses)................. $6,730,592/+0 FTE 

Non-Personnel – Increasing non-personnel by approximately $6.7 million would allow the agency 

to maintain the services it provides to the public. The FEC requests $5.0 million in two-year funds 

during FY 2016, above the requested funding for operational expenses, to be used solely for initial 

expenses related to the expiration of its lease. The Commission plans to further automate RAD’s

processes in ways that will help to ensure that the FEC can continue to provide timely, 

individualized support to filers and make comprehensive and accurate campaign finance 

information more quickly and easily available to the public. This amount would also assist with 

maintaining efficiency and effectiveness of staff. 

Federal Goods & Services............................................................... $5,734,101/+0 FTE

Based on GSA and OMB guidance, the FEC is requesting $5.0 million in two-year funding to 

cover initial expenses related to the expiration of its lease, including costs associated with design 

and construction. The FEC also needs funding to determine which of the four OMB - approved 

service providers’ financial management system/platform is best suited for the agency. The OMB 

Memorandum M-13-08 and Treasury Office of Financial Innovation and Transformation (OFIT) 

mandate using one of the four identified service providers. In addition, the agency plans to 

enhance and integrate its procurement system. The agency also requests funds to comply with 

National Archives and Records Administration (NARA) Managing Government Records Directive 

pertaining to electronic recordkeeping. 

IT Contracts and Equipment...................................................................................$494,198/+0 FTE

Increased IT security requirements necessitate increased funds for IT contracts and equipment. 

These funds will assist the agency with keeping up with technology advances and maintaining the 

efficiency of the agency’s overall IT infrastructure. As outlined in OMB Memorandum M-08-05, 

the Trusted Internet Connection (TIC) Initiative will optimize and standardize the security of 

individual external network connections currently in use by Federal agencies, including 
12

connections to the Internet. Implementing this initiative will improve the Federal government's 

security posture and incident response capability through the reduction and consolidation of 

external connections and provide enhanced monitoring and situational awareness of external 

network connections. 

 

Communications, Utilities and Postage.................................................. $151,241/+0 FTE

This area covers phone usage, postage and copier costs. The agency realized savings by changing 

copier vendors in the previous year. The increase in FY 2016 represents expanded use of 

communication technology and escalation costs for exercising option years. 

Training..........................................................................................$128,118/+0 FTE

The FEC requires funding for continued training for staff, including mandatory government-wide 

training and occupation-specific training. For example, the FEC’s Office of the Inspector General

auditors recommend additional IT security training for staff. Additional Records Management 

courses are needed for Records Liaisons to meet training requirements of NARA’s Managing 

Government Records Directive. 

Contracts and Other Services............................................................... $84,990/+0 FTE

The agency continues to use contractors for professional and support services to maintain the level 

of service delivered to the public. This increase supports annual cost escalations. 

Building Rent.......................................................................................................... $68,832/+0 FTE

This area includes the agency lease and annual cost escalations. 

Travel............................................................................................. $51,614/+0 FTE

The audit division requires travel funding to conduct mandatory audits under the public funding 

statutes and perform “for cause” audits under the FECA. Travelling to the audited committees’ 

offices dramatically reduces the length of the audit process and increases efficiency. 

Supplies and Materials.......................................................................... $17,498/+0 FTE

Supplies and Materials will increase by 1.5% to cover cost escalation in an existing contract for 

computer-assisted legal research. 
13

Table 2 

FY 2016 Budget Request, Object Class Data

[in dollars]

 Federal Election Commission FY 2014 

Actual *

FY 2015 

Projected 

Budget

FY 2016 

Request

Change 

from FY 

2015 to FY 

2016

% Change 

from FY 

2015 to 

FY 2016

11 Personnel Compensation $34,504,237 $36,400,118 $37,835,308 $1,435,190 3.94%

11.52 Cash Awards 380,285 - - - -

12.1 Personnel Benefits 9,869,686 11,176,774 11,612,992 436,218 3.90%

12.18 Transit Subsidy 301,610 318,000 335,000 17,000 5.35%

 Subtotal, Personnel $45,055,818 $47,894,892 $49,783,300 $1,888,408 3.94%

21 Travel & Transportation of Persons $157,881 $315,600 $367,214 $51,614 16.35%

23.1 Building Rent-GSA 5,922,515 5,990,032 6,058,864 68,832 1.15%

23.3 Communications, Utilities & Postage 635,162 440,359 591,600 151,241 34.34%

24 Printing & Reproduction 106,609 103,007 103,007

 

- 0.00%

25.11 Training, Commercial Fed. & Tuition 339,374 372,900 501,018 128,118 34.36%

25.14 IT Contracts 7,848,375 6,617,629 7,095,700 478,071 7.22%

25.2 Contracts & Other Services 1,163,508 1,137,252 1,222,242 84,990 7.47%

25.3 Federal Goods & Services ** 1,277,507 1,337,175 7,071,276 5,734,101 428.82%

26 Supplies and Materials 1,172,035 1,129,281 1,146,779 17,498 1.55%

31 Non-Capitalized and Capitalized Equipment 2,032,276 2,161,873 2,178,000 16,127 0.75%

 Subtotal, Non-Personnel $20,655,242 $19,605,108 $26,335,700 $6,730,592 34.33%

 TOTAL $65,711,060 $67,500,000 $76,119,000 $8,619,000 12.77%

*FY 2014 Actual does not include Reimbursable Funds.

** FY 2016 Request includes $5.0 million lease expiration expenses.

2A:2 Request for Lease-Expiration Funds

On September 30, 2017, the FEC’s current lease for its office space at 999 E Street, NW, 

Washington, D.C. will expire. In fiscal year 2013, the FEC began working closely with the GSA 

to plan for the FEC’s office space needs beyond the current lease. Based on GSA’s Workplace 

Recommendations Report, the GSA advised the FEC to request $13.0 million in connection with 

the expiration of its lease. Accordingly, the FEC is requesting $5.0 million in FY 2016 two-year 

funds and the remaining $8.0 million in FY 2017 funds. Combined with the FEC’s operational 

budget, these expenses associated with lease expiration bring the FEC’s total budget request for 

FY 2016 to $76.119 million. 
14

2B: Appropriations Language

The FEC is including the following Appropriations Language. 

FEDERAL ELECTION COMMISSION

Federal Funds 

Salaries and Expenses

For necessary expenses to carry out the provisions of the Federal Election Campaign Act of 1971, 

$76,119,000, of which $5,000,000 shall remain available until September 30, 2017, for lease 

expiration and replacement lease expenses; and of which not to exceed $5,000 shall be available 

for reception and representation expenses. 

2C: Recommended Legislative Changes

On December 11, 2014, the Commission adopted seven Legislative Recommendations, which are

available at http://www.fec.gov/law/legrec2014.pdf. All were submitted in accordance with the 

OMB FY 2016 Budget Guidance as proposals that would increase effectiveness and reduce 

fragmentation, overlap and duplication. Of these seven Legislative Recommendations, the two 

described below would generate significant cost-savings. The first was included in the President’s 

FY 2014, FY 2015 and FY 2016 Budgets. 

Electronic Filing of Senate Reports: The Commission recommends that Congress enact 

legislation that will require Senate candidates and their authorized committees to file campaign 

finance reports electronically. Mandatory electronic filing for Senate reports will create 

considerable cost savings and will result in easier, more efficient dissemination of data. 

Under current law, any committee or other filing entity other than Senate candidates and 

committees that receives contributions or makes expenditures in excess of $50,000 in a calendar 

year, or that has reason to expect to do so, must submit its reports electronically. These 

electronically filed reports are normally available, and may be downloaded, within minutes of 

submission. In contrast, reports that are filed on paper can be submitted timely if mailed to the 

Secretary of the Senate and postmarked by the filing deadline. After the postal service delivers the 

reports to the Secretary of the Senate, that office must scan the reports to create an electronic 

image of the reports. The increasing volume of Senate reports, which often consist of thousands of 

pages, can result in scanning delays. Once scanned, the reports are delivered electronically to the 

FEC. An additional 48 hours can be required after the FEC’s receipt of the report to place it on the 

Commission’s website. Moreover, a Senate campaign filing often consists of thousands of pages, 

and data from the filings themselves take up to 30 days to be integrated into the Commission’s 

searchable databases. If such reports were electronically filed, the data could be integrated within a 

few days. The Commission estimates that mandatory electronic filing for Senate reports will yield 

savings of at least $430,000 per year in costs directly attributable to the current paper filing system

at the FEC, with additional savings at the Secretary of the Senate. 
15

Make Permanent the Administrative Fine Program for Reporting Violations: The 

Commission recommends that Congress make the Administrative Fine Program permanent. This 

program was recently extended so that it will expire during FY 2019. The Administrative Fine 

Program has been remarkably successful. Over the course of the program, the number of late and 

nonfiled reports has dramatically decreased, thus fulfilling the agency’s goal of ensuring timely 

public access to complete disclosure filings. To date, the number of late and nonfiled reports has 

decreased from an average of 21 percent of reports filed late to less than 10 percent filed late. With 

fewer late reports and fewer challenges to administrative fines, the Commission has been able to 

reduce the number of employees who work on this program. Specifically, in July 2010, the Office 

of Administrative Review, which considers challenges to administrative fines, was reduced by 

reassignment from three full-time employees to one. In addition, the program has generated more 

than $5.0 million in fines assessed since its inception in 2000. 
16

Section 3: FY 2016 Annual Performance Plan and FY 2014 Annual Performance Report

3A: Introduction

This Annual Performance Plan and Report (APP/APR) is considered the companion to the Federal 

Election Commission’s Strategic Plan for Fiscal Years (FY) 2014-2019, and designed to provide a 

solid framework for performance planning and reporting in accordance with the requirements of 

the GPRA Modernization Act of 2010. To take advantage of the opportunity to relate prior year 

performance with plans for the current year and budget year, the FY 2016 Annual Performance 

Plan and FY 2014 Annual Performance Report are combined in this document. This APP/APR 

presents accomplishments through FY 2014 and performance targets associated with FYs 2014, 

2015 and 2016. 

This plan addresses activities that include ensuring that the agency is well-prepared to provide full 

campaign finance transparency to the public despite the expected increase in campaign finance 

activity, promoting compliance and engaging and informing the public about campaign finance 

data and rules. In order to meet these challenges, the FEC must maintain a workforce that is highly 

qualified to achieve the agency’s mission effectively and efficiently. Therefore, this plan addresses 

activities that include recruiting and retaining a diverse and high-performing workforce, updating 

agency-wide policies and procedures, and updating the records management program.

3A:1 Mission Statement

To protect the integrity of the Federal campaign finance process by providing transparency and 

fairly enforcing and administering Federal campaign finance laws.
17

3B: Organizational Structure

The FEC is an independent regulatory agency responsible for administering, enforcing, defending 

and interpreting the FECA. The Commission is also responsible for administering the Federal 

public funding programs for Presidential campaigns. This responsibility includes certifying and 

auditing all participating candidates and committees and enforcing the public funding laws. 

5

Under the Act, all Federal political committees, including the committees of Presidential, Senate 

and House candidates, must file reports of receipts and disbursements. The FEC makes disclosure 

reports available to the public through the Commission’s Internet-based public disclosure system 

as well as in a public records office at the Commission's Washington, D.C. headquarters. The FEC 

also has exclusive responsibility for civil enforcement of the Act, and has litigating authority 

independent of the Department of Justice in U.S. district court and the courts of appeals. 

Additionally, the Commission promulgates regulations implementing the Act and issues advisory 

opinions responding to inquiries. 

To accomplish its legislative mandate, the FEC is directed by six Commissioners, who are 

appointed by the President with the advice and consent of the Senate. By law, no more than three 

Commissioners may be members of the same political party. Each member serves a six-year term, 

and two seats are subject to appointment every two years. The Chairmanship of the Commission 

rotates among the members, with no member serving as Chair more than once during his or her 

term. The Commissioners are responsible for administering and enforcing the FECA and meet 

regularly to formulate policy and to vote on significant legal and administrative matters. The Act

requires at least four votes for the Commission to approve official actions, thus requiring bipartisan 

decision-making. The FEC has its headquarters in Washington, D.C. and does not have any 

regional offices.

 

5

 The Commission’s primary responsibilities pertain to the Federal Election Campaign Act of 1971, Public Law 92-225, 

86 Stat. 3 (1972) as amended (codified at 52 U.S.C. §§ 30101-30145) (formerly at 2 U.S.C. §§ 431-55) (the Act or the 

FECA). The Commission’s responsibilities for the Federal public funding programs are contained in the Presidential 

Election Campaign Fund Act, Public Law 92-178, 85 Stat. 562 (1971) (codified at 26 U.S.C. §§ 9001-13) and the 

Presidential Primary Matching Payment Account Act, Public Law 93-443, 88 Stat. 1297 (1974) (codified at 26 

U.S.C. §§ 9031-42). 
18

Figure 1: FEC Organizational Chart 

As noted in Figure 1 above, the offices of the Staff Director, General Counsel, Chief Information 

Officer and Chief Financial Officer support the agency in accomplishing its mission. The Office of 

the Inspector General, established within the FEC in 1989 under the 1988 amendments to the 

Inspector General Act, is independent and reports both to the Commissioners and to Congress. The 

specific roles and responsibilities of each office are described in greater detail below.

 Office of the Staff Director (OSD)

The Office of the Staff Director consists of four offices: 1) Management and Administration; 2) 

Compliance; 3) Communications; and 4) Equal Employment Opportunity. The Office of 

Management and Administration is responsible for the FEC’s strategic planning and performance 

and works with the Commission to ensure the agency’s mission is met economically and 

effectively. In addition, this office houses the Commission Secretary functions, the Office of 

Human Resources (OHR) and the Administrative Services Division (ASD). The primary 

responsibilities of the Office of Compliance are review of campaign finance reports, audits, 

administrative fines and alternative dispute resolution. The Office of Communications includes 

four divisions charged with receiving campaign finance reports and making this information 

available to the public, encouraging voluntary compliance with the Act through educational 

outreach and ensuring effective communication with Congress, executive branch agencies and the 

media. The Equal Employment Opportunity Office administers and ensures compliance with 

applicable laws, regulations, policies and guidance that prohibit discrimination in the Federal 

workplace based on race, color, national origin, religion, age, disability, sex, pregnancy, genetic 

information or retaliation. The EEO Officer reports to the Staff Director on administrative issues, 

but has direct reporting authority on all EEO matters. See 29 CFR 1614.102(b)(4). 
19

 Office of General Counsel (OGC)

The Office of General Counsel consists of five organizational units: (1) the Deputy General 

Counsel—Administration; (2) the Deputy General Counsel—Law Division; (3) the Policy 

Division; (4) the Enforcement Division; and (5) the Litigation Division. The Deputy General 

Counsel—Administration directly supervises the Administrative Law Team, the Office of 

Complaints Examination and Legal Administration, the Law Library and all OGC administrative 

functions. The Deputy General Counsel—Law has the primary responsibility for assisting the 

General Counsel in all of the substantive aspects of the General Counsel’s duties and shares in the 

management of all phases of OGC programs, as well as directly supervises the Compliance Advice 

Team and the agency’s ethics program. The Policy Division drafts for Commission consideration 

advisory opinions and regulations interpreting the Federal campaign finance law. The Enforcement 

Division recommends to the Commission appropriate action to take with respect to administrative 

complaints and apparent violations of the Act. Where authorized, the Enforcement Division 

investigates alleged violations and negotiates conciliation agreements, which may include civil 

penalties and other remedies. If an enforcement matter does not resolve through conciliation 

during the administrative process, the Commission may authorize suit in district court, at which 

point the matter is transferred to the Litigation Division. The Litigation Division represents the 

Commission before the Federal district courts and courts of appeals in all civil litigation involving 

the campaign finance statutes. This Division assists the Department of Justice’s Office of the 

Solicitor General when the Commission’s FECA cases are before the Supreme Court.

 Office of the Chief Information Officer (OCIO)

The Office of the Chief Information Officer meets the increasing public interest in and demand for 

the agency’s disclosure information. In addition, fast changing information technology provides 

substantial opportunities for efficiency and effectiveness. The OCIO is working to upgrade the 

FEC’s systems to meet internal and external demands and ensure that information is available to

all of the Commission’s stakeholders in a rapid and user-friendly fashion. 

 Office of the Chief Financial Officer (OCFO)

The Office of the Chief Financial Officer is responsible for complying with all financial 

management laws and standards, and all aspects of budget formulation, budget execution and 

procurement. 
20

3C: Performance Framework

3C:1 Strategic Goal

The strategic goal of the Federal Election Commission is to fairly, efficiently and effectively 

administer and enforce the Federal Election Campaign Act, promote compliance and engage and 

inform the public about campaign finance data and rules, while maintaining a workforce that 

delivers results.

3C:2 Plans and Progress by Strategic Objective

The Act reflects a belief that democracy works best when voters can make informed decisions in 

the political process—decisions based in part on knowing the sources of financial support for 

Federal candidates, political party committees, other political committees and other political 

actors. As a result, the FEC’s first strategic objective is to inform the public about how Federal 

campaigns and committees are financed. Public confidence in the political process also depends on 

the knowledge that participants in Federal elections follow clear and well-defined rules and face 

real consequences for non-compliance. Thus, the FEC’s second strategic objective focuses on the

Commission’s efforts to promote voluntary compliance through educational outreach and to 

enforce campaign finance laws effectively and fairly. The third strategic objective is to interpret 

the FECA and related statutes, providing timely guidance to the public regarding the requirements 

of the law. The Commission also understands that organizational performance is driven by 

employee performance and that the agency cannot successfully achieve its mission without a highperforming workforce that understands expectations and delivers results. The FEC’s fourth 

strategic objective is to foster a culture of high performance in order to ensure that the agency 

delivers its mission efficiently and effectively. The FEC’s strategies for reaching these objectives 

are outlined below. 

3C:2.1 Strategic Objective 1: Engage and Inform the Public about Campaign Finance Data

Leader: Assistant Staff Director for Disclosure

The FEC is obligated to protect the integrity of Federal campaigns by providing transparency and 

fairly enforcing and administering Federal campaign finance laws. Full disclosure and fair 

enforcement of the sources and amounts of campaign funds allow the public to make informed 

decisions in the political process. Transparency requires that information is not only kept by the 

FEC, but that it is provided to the public in an easily accessible way. In order to make certain that 

campaign finance disclosure information is quickly available and easily accessible to the public, 

the agency is committed to improving its campaign finance disclosure database and the interfaces 

it offers to the public at The agency is also committed to ensuring that FEC staff has

the tools and knowledge to help the public find and understand the campaign finance information 

relevant to their questions and needs. The FEC gauges its effectiveness through a series of 

indicators designed to measure performance in areas that promote confidence in the campaign

finance process, as detailed in the charts below. 

www.fec.gov.
21

Strategies and Next Steps 

The FEC’s e-filing system acts as the point of entry for submission of electronically filed 

campaign finance reports, providing faster access to reports and streamlining operations. 

Specifically, the system provides for public disclosure of electronically filed reports, via the FEC 

website, within minutes of being filed. When a committee files a financial disclosure report on 

paper, the Commission’s Public Disclosure Division ensures that a copy is available for public 

inspection within 48 hours of receipt, both electronically on the website and at the FEC’s offices in 

Washington, D.C.6 The FEC is committed to providing timely and transparent campaign finance 

disclosure to the public and delivering data in accessible and easy-to-use formats. The FEC has

launched an initiative to develop an automated data capture process to convert paper-filed reports 

into structured, machine-readable data. Automating this labor-intensive process will decrease data 

processing time, increase the accuracy of data and reduce the overall costs of capturing data from 

paper forms.

To make campaign finance data more accessible to the public, the Commission provides several 

interactive, graphic presentations, including maps and charts, of complex data. In addition to the 

graphic presentations, the Commission provides campaign finance data through the Candidate and 

Committee Viewer and the Data Catalog. During Presidential election years, users can access 

through the Presidential Map the amount of funds raised on a state-by-state basis, contributions, 

cash-on-hand and the distribution of contributions by amount with a simple click at www.fec.gov. 

Users can also access lists of contributors by name, city and amounts of contributions within the 

first three digits of any zip code. Contribution and disbursement data are updated within one day of 

the FEC’s receipt of electronically filed disclosure reports. The Candidate and Committee Viewer, 

the House and Senate Map and the Data Catalog are updated nightly with all data that have been 

entered into the Commission's database. Generally, summary financial data are available the day 

following receipt of the report. Transactions—detailed information about receipts and 

disbursements—are processed on a rolling basis and added to the Commission's database nightly. 

The agency also provides a Compliance Map to assist members of the public in their efforts to 

comply with campaign finance law. The Compliance Map lists all reporting dates and other 

significant information tied to each state’s election calendar, such as the time periods when special 

requirements for electioneering communications and Federal election activity apply. Like the 

interactive Disclosure Map of contribution information, the Compliance Map provides quick 

access to information on a state-by-state basis in an easy-to-use format. 

In addition, the FEC is developing internal tools to help improve the service provided by staff 

members who give daily guidance to the public and the press. In order to better guide the public 

through the FEC’s vast quantity of campaign finance information and promote voluntary 

compliance with the campaign finance law, FEC staff is developing a web-based knowledge 

management tool for staff use. Like many Federal agencies, the FEC faces challenges in 

preserving staff knowledge lost through turnover and attrition, as well as finding meaningful ways 

 

6

 The Commission’s mandatory electronic filing (“e-filing”) rules require any committee that receives contributions or 

makes expenditures in excess of $50,000 in a calendar year, or that has reason to expect to do so, to submit its reports 

electronically. Under the Act, these mandatory e-filing provisions apply to any political committee or other person 

required to file reports, statements or designations with the FEC, except for Senate candidate committees (and certain 

other persons who support Senate candidates only).
22

to share this information with staff to achieve the agency’s mission efficiently and effectively. This 

knowledge management tool will capture and organize staff knowledge in a way that is accessible 

and useful and will enable FEC staff to provide the public with quick, comprehensive and 

consistent responses from FEC staff. During FY 2014, FEC staff completed much of the collection 

and categorization of information and procedures across public-facing offices and divisions and 

will continue to build the knowledge management tool during FY 2015. As outlined in the charts 

below, the FEC expects to complete both the campaign finance data (Objective 1) and voluntary 

compliance (Objective 2) aspects of this tool in FY 2016. 

The level of availability and accessibility of campaign finance data serves as a measurement of 

success in improving the public’s access to information about how campaign funds are raised and 

spent. This key indicator represents a new area of performance reporting for the agency. The FEC 

collected baseline performance data during FY 2014 in order to establish appropriate targets for

future years, as detailed below. Additional performance measures for assessing progress on this 

Strategic Objective include measures to ensure that data from campaign finance reports are quickly 

made available to the public on the FEC website and that staff have the tools and knowledge to 

provide excellent service to the public. 

Progress Update for FY 2014

During FY 2014, the FEC placed special emphasis on enhancing its systems and programs to 

engage and inform the public about campaign finance data and information. The FEC’s recent 

efforts build on a series of multi-year projects to improve the public’s ability to find and use 

disclosure data and campaign finance information. For the past several fiscal years, the 

Commission has prioritized the enhancement of the public’s access to the FEC’s campaign finance 

data and the development of efficiencies in the disclosure of that data. During FYs 2014 and 2015, 

the FEC will complete a suite of multi-year information technology projects that will significantly 

increase the level of service the FEC is able to provide to the public. In addition to the agency’s 

continuing efforts to improve the FEC website and enhance enterprise-wide IT security systems, 

the FEC is implementing a data warehouse framework that will contain information currently 

stored across a range of systems. Once fully implemented, the data warehouse will become the 

Commission's primary information retrieval source for FEC staff and the public. For example, the 

data warehouse will provide data to the new disclosure portal and internal reporting systems. The 

data warehouse can be searched using various tools, including the FEC's enterprise search system. 

In addition to searching for information contained in the data warehouse, the enterprise search

system can be used to search any data source. The FEC also continues to upgrade its Case 

Management System, an internal system for tracking enforcement cases through each stage of the 

enforcement process, and to transition staff to a common Enterprise Content Management system 

for sharing and storing documents in a way that fosters collaboration and supports compliance with 

agency document policies and records management. 

To improve the delivery of campaign finance data to the public, the FEC has launched an extensive 

effort to redesign the FEC website. In partnership with 18F, a newly formed organization within 

the General Services Administration (GSA), the FEC is developing an agile, navigable, user-based 

online platform to deliver campaign finance information to its diverse base of users. Once 

complete, the redesigned FEC website will better meet the needs of an audience that spans from 

individual citizens seeking information about the candidates on the ballot in their state to 

journalists and researchers who specialize in campaign finance issues, to filers and other political 
23

participants seeking legal guidance and compliance information. This effort will ensure that the 

FEC provides full and meaningful campaign finance data and information in a manner that meets 

the public’s increasing expectations for data customization and ease of use. The Commission is 

committed to ensuring that this website redesign project is user-driven and meets the needs of the 

FEC’s diverse audience. On September 7, 2014, the Commission hosted a public forum seeking 

broad public input for its website improvement project. The Commission will continue to actively 

engage the public in this effort to provide easily accessible, intuitive and comprehensive campaign 

finance data and information.

The FEC received 68,765 campaign finance disclosure documents filed during FY 2014 disclosing 

more than 26 million transactions. Reports filed electronically are made available on the FEC 

website, and may be downloaded by the public, within minutes of submission. Reports filed on 

paper are scanned and made available on the FEC website within 48 hours of receipt. During FY 

2014, the FEC met its goal of ensuring that 100 percent of paper filed reports were made available 

to the public within two business days, and that 100 percent of independent expenditure filings 

were made available to the public within one business day. 

After reports are imaged for disclosure purposes, the data are coded and entered into the FEC’s 

database for review to assess accuracy and ensure complete disclosure of campaign finance 

information. The agency’s goal is to code and enter 95 percent of the reports within 30 days of 

receipt. However, the FEC has been challenged to meet this goal in recent years, and in FY 2014 

was able to process 79 percent of reports within 30 days of receipt. 

One significant factor contributing to the agency’s workload in processing and coding reports is 

the size of Senate campaign finance disclosure reports. While most filing entities submit their 

reports electronically, the FECA requires Senate campaign finance disclosure reports to be filed on 

paper. A Senate campaign filing often consists of thousands of pages, and data from these filings 

consume a disproportionate amount of time to be integrated into the Commission’s searchable 

databases. After these reports are received by the Secretary of the Senate, that office must scan the 

reports and then deliver them electronically to the FEC. Once the FEC receives a paper report from 

the Secretary of the Senate, an additional 48 hours can be required to place the report on the 

Commission’s website. The increasing volume of these reports can delay scanning and delivery to 

the FEC, and ultimately integration into the FEC’s searchable online database. In contrast, if such 

reports were electronically filed, the data could be integrated within a few days. The Commission 

estimates that mandatory electronic filing for Senate reports will yield savings of at least $430,000 

per year in costs directly attributable to the current paper filing system at the FEC, with additional 

savings at the Secretary of the Senate. Since 2000, the Commission has unanimously 

recommended to Congress a legislative change to apply mandatory electronic filing rules to Senate

reports. 

In order to address the difficulty in coding and entering transaction-level data from paper-filed 

reports, the FEC initiated a project during FY 2015 to develop an automated data capture process 

to convert paper-filed reports into structured, machine-readable data. The FEC anticipates that the 

new process will be in place during FY 2015 and will help to mitigate some of the difficulty in 

processing paper-filed reports. 
24

Performance Goal 1-1: Improve the public’s access to information about how 

campaign funds are raised and spent.

Key Indicator: Enhanced availability of campaign finance data as 

measured by increased capabilities to retrieve and analyze data.

FY 2010 

Actual

FY 2011 

Actual

FY 2012 

Actual

FY 2013 

Actual

FY 2014 

Target

FY 2014 

Actual

FY 2015 

Target

FY 2016 

Target

N/A N/A N/A N/A Set 

baseline

75% 75% 75%
25

Supporting Indicators 1-1:

Measure Name FY 2010 

Actual

FY 2011 

Actual

FY 2012 

Actual

FY 2013 

Actual

FY 2014 

Target

FY 2014 

Actual

FY 2015 

Target

FY 2016 

Target

Percent of 

reports and 

statements filed 

on paper with 

the FEC made 

available on the 

FEC website 

within two 

business days of 

receipt

100% 100% 100% 100% 100% 100% 100% 100%

Percent of 24-

and 48-hour 

reports on 

independent 

expenditure 

spending filed on 

paper made 

available on the 

FEC website 

within one 

business day of 

receipt

N/A N/A N/A N/A 100% 100% 100% 100%

Percent of 

reports 

processed within 

30 days of 

receipt

91% 71% 94% 88% 95% 79% 95% 95%

Script staff 

responses to 

common 

disclosure 

inquiries for staff 

reference.

N/A N/A N/A N/A Complete 

by FY 

2016

N/A N/A Complete

by FY 

2016

3C:2.2 Strategic Objective 2: Promote Compliance with the FECA and Related Statutes

Leaders: Deputy Staff Director/Chief Compliance Officer; Deputy General Counsel—Administration

Helping the public understand its obligations under the Act is an essential component of voluntary 

compliance. The FEC places a significant emphasis on encouraging compliance through its 

Information Division, Reports Analysis Division (RAD), Press Office and Office of Congressional, 

Legislative and Intergovernmental Affairs. The FEC measures its progress in meeting this Objective 

through two performance measures: one that measures the agency’s efforts to encourage voluntary 

compliance through educational outreach and information and another that measures the FEC’s efforts 

to seek adherence to FECA requirements through fair, effective and timely enforcement and 

compliance programs. Progress against these measures and supporting indicators is detailed in the 

charts below.
26

Strategies and Next Steps 

Encourage voluntary compliance with FECA requirements through educational outreach and information.

The FEC’s education and outreach programs provide information necessary for compliance with the 

campaign finance law and give the public the context necessary to interpret the campaign finance data 

filers disclose. The FEC maintains a toll-free line and public email accounts to respond to inquiries 

regarding the campaign finance law and data. Additionally, Campaign Finance Analysts in RAD

provide assistance with completing and filing disclosure reports. The FEC also operates Press and 

Congressional Affairs offices.

One way the Commission encourages voluntary compliance is by hosting conferences across the 

country, where Commissioners and staff explain how the Act applies to candidates, parties and 

political action committees. These conferences address recent changes in the law and focus on 

fundraising, methods of candidate support and reporting regulations. 

The FEC also devotes considerable resources to ensuring that staff can provide distance learning 

opportunities to the public. The Commission’s website is one of the most important sources of 

instantly accessible information about the Act, Commission regulations and Commission proceedings. 

In addition to viewing campaign finance data, anyone with Internet access can use the website to track 

Commission rulemakings, search advisory opinions, audits and closed enforcement matters, view 

campaign finance data and find reporting dates. The Commission places a high emphasis on providing 

educational materials about the campaign finance law and its requirements. Toward this end, the FEC 

has moved its focus away from the printing and manual distribution of its educational materials and 

instead looked for ways to leverage available technologies to create and disseminate dynamic and upto-date educational materials through the website. While the Commission continues to make available 

printed copies of its educational brochures and publications, transitioning to primarily web-based 

media has already allowed the agency to reduce significantly its printing and mailing costs and use of 

resources while at the same time encouraging new and expanded ways of communicating with the 

public via the website. 

As part of this broad effort to improve its Internet communications and better serve the educational 

needs of the public, the Commission has added an E-Learning section to its Educational Outreach web 

page and launched its own YouTube channel, which can be found at 

. The E-Learning page offers instructional videos and tutorials, as well as interactive 

presentations that enable users to obtain guidance tailored to their specific activities. The curriculum 

currently includes a variety of presentations about the Commission and the campaign finance law. 

During FYs 2015 and 2016, the Commission will create online video tutorials for reporting specific 

types of activity, which will provide filers with another tool for disclosure compliance. 

http://www.youtube 

.com/FECTube

The agency’s educational outreach program has been significantly enhanced with the addition of FEC 

Connect, a new online training service that enables political committees and other groups to schedule 

live, interactive online training sessions with FEC staff. FEC Connect, launched in May 2014, allows 

the FEC to provide tailored, distance learning presentations and training to the public in a manner that 

will significantly increase the availability of FEC staff to serve the public. FEC Connect also offers an 

efficient and effective way for alternative dispute resolution and other enforcement respondents to 

satisfy the terms of their agreements with the agency. The FEC has historically measured the success 
27

of its educational outreach programs based on satisfaction surveys of conference attendees. Beginning 

in FY 2014, the agency initiated a program to measure user satisfaction across all aspects of its 

outreach program by developing methods for effectively and consistently surveying user satisfaction 

with publications, webinars and E-Learning presentations. This program will be implemented during 

FY 2015 to help the FEC better understand and meet the public’s expectations and needs regarding the 

agency’s educational outreach efforts.

Seek adherence to FECA requirements through fair, effective and timely enforcement and compliance 

programs. 

The FEC has set strategies for ensuring that its enforcement and compliance programs are fair, 

effective and timely. The Commission’s statutory obligation is to administer, interpret and enforce the 

Federal Election Campaign Act, which serves the compelling governmental interest in deterring 

corruption and the appearance of corruption in financing elections. In doing so, the Commission 

remains mindful of the First Amendment’s guarantees of freedom of speech and association, and the 

practical implication of its actions on the political process.

The FEC has exclusive jurisdiction over civil enforcement of Federal campaign finance laws. It

consults with the U.S. Department of Justice, as appropriate, on matters involving both civil and 

criminal enforcement of the Act. Commission enforcement actions, which are handled primarily by 

the Office of General Counsel (OGC), originate from a number of sources, including external 

complaints, referrals from other government agencies and matters generated by information 

ascertained by the Commission in the normal course of carrying out its supervisory responsibilities.

Enforcement matters are handled by OGC pursuant to the requirements of the FECA. If the 

Commission cannot settle or conciliate a matter involving an alleged violation of the Act, the 

Commission may initiate civil litigation by filing and prosecuting a civil action in Federal district 

court to address the alleged violation. Closed enforcement matters are available online through the 

Commission’s Enforcement Query System at http://eqs.sdrdc.com/eqs/searcheqs. 

To augment OGC’s traditional enforcement role, the Office of Compliance manages several programs 

that seek to remedy alleged violations of the Act and encourage voluntary compliance. These 

programs include: 1) the Alternative Dispute Resolution Program, 2) the Administrative Fine Program 

and 3) the Audit Program. The Commission’s Alternative Dispute Resolution Program is designed to 

resolve matters more swiftly by encouraging the settlement of less-complex enforcement matters with

a streamlined process that focuses on remedial measures for candidates and political committees, such 

as training, internal audits and hiring compliance staff. Violations involving the late submission of, or 

failure to file, disclosure reports are subject to the Administrative Fine Program. This Program is 

administered by RAD and the Office of Administrative Review (OAR), which assess monetary 

penalties and handle challenges to the penalty assessments. The Audit Program conducts “for cause” 

audits under the FECA in those cases where political committees have failed to meet the threshold 

requirements for demonstrating substantial compliance with the Act, and conducts mandatory audits 

under the public funding statutes. Threshold requirements approved by the Commission and used by 

RAD and the Audit Division are public, subject to limited redactions. 

The Office of Compliance’s Reports Analysis Division (RAD) reviews an ever-increasing volume of 

reports to track compliance with the law and to ensure that the public record provides a full and 
28

accurate representation of reported campaign finance activity. If the FEC’s review identifies an 

apparent violation or raises questions about the information disclosed on a report, RAD sends a 

request for additional information (RFAI letter) to the filer, affording an opportunity to take remedial 

action or correct the public record, if necessary. If the filer is able to resolve the FEC’s concerns, it 

may avoid an enforcement action. If not, the Commission has several tools available to it, such as the 

Administrative Fine Program, audits, the Alternative Dispute Resolution Program and the traditional 

enforcement program.

. 

The Alternative Dispute Resolution (ADR) Program was implemented in FY 2001 to facilitate 

settlements outside of the traditional enforcement or litigation processes. The ADR Program’s primary 

objective is to enhance the agency’s overall effectiveness through more expeditious resolution of 

enforcement matters with fewer resources required to process complaints and internal referrals. A case 

is closed when the Commission votes on the recommendation made by the ADR Office as to what 

final action should be taken. 

In response to a legislative mandate, an Administrative Fine (AF) Program was implemented in July 

2000 to address late and non-filing of disclosure reports in a more efficient and effective manner. The 

AF Program is administered by RAD and Office of Administrative Review (OAR), which are within 

the Office of Compliance. Since the AF Program’s inception in July 2000 through September 30, 

2014, the Commission has closed 2,683 cases and assessed fines of $5.04 million.

The FEC conducts audits of those committees that, according to internal thresholds, have not 

substantially complied with the law. Audit Reports and related documents are located at 

http://www.fec.gov/audits/audit_reports.shtml

Progress Update for FY 2014

Encourage voluntary compliance with FECA requirements through educational outreach and information.

During FY 2014, the Commission continued to meet its mandate to assist the public by providing the 

public with access to campaign finance information. The Commission is deeply committed to 

providing candidates, committees and the public timely advice and support so they can fully 

understand and comply with the Act. The Commission also continues to strive to better understand 

and meet the needs of the public and other stakeholders. 

During FY 2014, the Commission continued and expanded its educational and outreach programs. 

The FEC held regional conferences in San Francisco, California, and Tampa, Florida and a series of 

one-day seminars and topic-based roundtables at FEC headquarters. These programs were also 

available simultaneously as webinars for online attendees in order to reduce registration and travel 

costs for attendees.

The Commission also hosted an informal public forum to discuss agency operations that affect local, 

state and national political parties with Commissioners and senior staff. The forum addressed 

operational aspects of the Commission’s dealings with political party committees, including 

interactions with the Alternative Dispute Resolution Office, the Audit Division, the Office of General 

Counsel and the Reports Analysis Division. 
29

Seek adherence to FECA requirements through fair, effective and timely enforcement and compliance 

programs. 

Reports Analysis Division

During FY 2014, RAD continued to ensure that campaigns and political committees file timely and 

accurate disclosure reports that fully disclose their financial activities. During the year, RAD reviewed 

68,282 documents totaling 9.2 million pages. RAD continued to demonstrate its commitment to 

assisting filers with compliance, handling 10,677 phone calls and meetings and developing six 

YouTube reporting tutorials during FY 2014. In addition, during the year, RAD measured the quality 

of its service through a survey that was sent to all registered filers. The survey response provided 

overwhelmingly favorable results. RAD will rely on information gained from these survey results as it 

continues to build and improve its service and operations in future years. 

Office of General Counsel

OGC continues to meet its obligations to the Commission and the public to handle its caseload 

efficiently and effectively despite staffing challenges. In FY 2014, the Commission closed 132

enforcement cases in an average of 17.3 months, which included $206,235 in negotiated civil 

penalties. The Commission closed 37 cases (28 percent) within 15 months. 

Alternative Dispute Resolution

The ADR program continued to promote compliance with Federal campaign finance law and 

Commission regulations and to reduce the cost of processing complaints by encouraging settlements 

outside the agency’s normal enforcement track. During FY 2014, the Commission completed 72 ADR 

cases, which included $255,381 in negotiated civil penalties. The Commission’s performance measure 

for ADR is to circulate 75 percent of cases to the Commission within 140 days of a case being 

referred. Seventy-two percent of cases met the 140-day benchmark. 

Administrative Fine Program

The Administrative Program continues to successfully reduce the number of late and non-filed reports 

and encourage campaign finance transparency through the timely filing of campaign finance reports. 

During FY 2014, OAR reviewed six challenges submitted by committees in response to a reason-tobelieve finding and/or civil money penalty. OAR reviewed 100 percent of these challenges within 60 

days of receipt. The average completion time for challenges was 32.5 days. Overall, OAR has 

reviewed 670 challenges submitted from the Program’s inception through FY 2014. 

Audit Division

The Audit Division continues to fairly enforce the FECA through an open and transparent audit 

process. During FY 2014, the Audit Division publicly released 14 Audit Reports of which 13, or 93 

percent, were completed within the two-year performance goal period. Two political committees had 

the opportunity to present oral arguments in Audit Hearings before the Commission regarding matters 

in their Audit Reports. In addition, during FY 2014 a political committee brought forth two separate 

challenges to preliminary audit findings under the program established in 2011 for requesting 

consideration of legal questions by the Commission. 
30

Performance Goal 2-1: Encourage voluntary compliance with FECA requirements 

through educational outreach and information.

Key Indicator: Percent of educational outreach programs (webinars, 

seminars, publications and E-Learning presentations) and events that 

achieve targeted satisfaction rating on user surveys.

FY 2010 

Actual

FY 2011 

Actual

FY 2012 

Actual

FY 2013 

Actual

FY 2014 

Target

FY 2014 

Actual

FY 2015 

Target

FY 2016 

Target

N/A N/A N/A N/A Develop 

methods for 

surveying 

user 

satisfaction 

with 

webinars, 

publications 

and ELearning 

presentations.

N/A 4.0 or 

higher 

on a 5.0 

scale

4.0 or 

higher 

on a 5.0 

scale
31

Supporting Indicators 2-1:

Measure Name FY 2010 

Actual

FY 2011 

Actual

FY 2012 

Actual

FY 2013 

Actual

FY 2014 

Target

FY 2014 

Actual

FY 2015 

Target

FY 2016 

Target

Increase in the number 

of E-Learning 

presentations and 

webinars available on the 

FEC website

N/A N/A N/A N/A 4 new 

trainings

13 new 

trainings

4 new 

trainings

4 new 

trainings

Script staff responses to 

common questions for 

staff reference

N/A N/A N/A N/A Complete 

by FY 

2016

N/A N/A Complete 

by FY 

2016

Performance Goal 2-2: Seek adherence to FECA requirements through fair, 

effective and timely enforcement and compliance programs.

Key Indicator: Of the enforcement matters resolved during the fiscal 

year, the percentage that was resolved within 15 months of the date of 

receipt.

FY 2010 

Actual

FY 2011 

Actual

FY 2012 

Actual

FY 2013 

Actual

FY 2014 

Target

FY 2014 

Actual

FY 2015 

Target

FY 2016 

Target

75% 89% 70% 72% 75% by 

FY 2015

28% 75% 75%
32

Supporting Indicators 2-2:

Measure Name FY 2010 

Actual

FY 2011 

Actual

FY 2012 

Actual

FY 2013 

Actual

FY 2014 

Target

FY 2014 

Actual

FY 2015 

Target

FY 2016 

Target

Percent of 

enforcement matters 

resolved through 

conciliation7

N/A N/A N/A N/A Set 

baseline

in FY 

2014

12% N/A N/A

Percent of 

notifications provided 

within five days of 

complaints filed with 

the FEC

100% 100% 100% 100% 100% 100% 100% 100%

Percent of 

enforcement matters 

presented to the 

Commission for 

initial review within 

one year of the date 

of receipt

N/A N/A N/A N/A 95% 73% 80% 80%

Percent of RFAIs 

sent within 40 days of 

report review

N/A 76% 63% 72% 75% 84% 75% 75%

Percent of reports 

reviewed by RAD 

within 90 days of 

receipt

N/A 76% 87% 73% 75% 85% 75% 75%

Percent of Proposed 

Final Audit Reports 

(PFAR) approved by 

the Commission 

within two years from 

the start of fieldwork

N/A 64% 68% 38% 50% 93% 60% 60%

Percent of Reviewing 

Officer 

Recommendations 

circulated within 60 

days

100% 77% 90% 93% 75% 100% 75% 75%

Percent of ADRO 

Recommendations 

circulated within 140 

days of referral

N/A N/A N/A 91% 75% 72% 75% 75%

Create an 

interdisciplinary 

quality control board

N/A N/A N/A N/A Complete 

by FY 

2014

 

100%

N/A N/A

Summarize common 

violations and make 

this information 

available to the public

N/A N/A N/A N/A Complete 

by FY 

2016

N/A N/A Complete 

by FY 

2016

 

7

 This measure is intended to provide context for the Commission’s activities in resolving enforcement matters during the year, 

and the Commission does not intend to set a target for the number of enforcement matters resolved through conciliation.
33

3C:2.3 Strategic Objective 3: Interpret the FECA and Related Statutes

Leaders: Deputy General Counsel—Administration

Commission initiatives, Congressional action, judicial decisions, petitions for rulemaking or other 

changes in campaign finance law may necessitate that the Commission update or adopt new 

regulations. Consequently, the FEC undertakes rulemakings either to write new Commission 

regulations or revise existing regulations. The Commission also provides guidance on how the FECA

applies to specific situations through the advisory opinion process and represents itself in most 

litigation before the Federal district courts and the courts of appeals. The Commission’s three primary 

means for providing interpretive guidance for the FECA and related statutes are discussed below.

Regulations 

The Policy Division of OGC drafts various rulemaking documents, including Notices of Proposed 

Rulemaking (NPRMs), for Commission consideration. NPRMs provide an opportunity for the public 

to review proposed regulations, submit written comments to the Commission and, when appropriate

testify at public hearings at the FEC. The Commission considers the comments and testimony and 

deliberates publicly regarding the adoption of the final regulations and the corresponding Explanations 

and Justifications, which provide the rationale and basis for the new or revised regulations. 

Advisory Opinions 

Advisory opinions (AO) are official Commission responses to questions regarding the application of 

Federal campaign finance law to specific factual situations. The Act requires the Commission to 

respond to AO requests within 60 days. For AO requests from candidates in the two months leading 

up to an election, the Act requires the Commission to respond within 20 days. On its own initiative, 

the Commission also makes available an expedited process for handling certain time-sensitive 

requests that are not otherwise entitled to expedited processing under the Act. The Commission strives 

to issue these advisory opinions in 30 days. 

Defending Challenges to the Act

The Commission represents itself in most litigation before the Federal district courts and courts of 

appeals and before the Supreme Court with respect to cases involving publicly financed Presidential 

candidates. It also has primary responsibility for defending the Act and Commission regulations 

against court challenges. In addition, the FECA authorizes the Commission to institute civil actions to 

enforce the FECA. 
34

Strategies and Next Steps

The Office of General Counsel continues to focus on its processes to ensure that staff provides timely 

and well-written advice to the Commission so that it can conduct and complete rulemakings and 

advisory opinions necessary to clarify the requirements of campaign finance law. The Commission 

considers it a high priority to ensure that guidance is provided through the advisory opinion process 

within the timeframes established by the FECA. OGC continues ensure that court filings meet all 

deadlines and rules imposed by the courts and has set as a performance target meeting 100 percent of 

these deadlines and rules.

The Commission also continues to ensure that reporting forms are timely revised, when necessary, to 

facilitate the public’s compliance with regulations. The Commission must accurately and clearly 

explain what is required to be reported under the law, thus allowing filers to completely and correctly 

report their activity. 

Progress Update for FY 2014

During FY 2014, the Commission met its goal to provide 100 percent of legal guidance within 

statutory and court-ordered deadlines. The Commission also met its goal to issue 100 percent of 

advisory opinions within the applicable 60- or 20-day statutory deadlines. During FY 2014, the 

Commission completed work on 18 AO requests and issued 13 AOs. These AOs addressed issues 

such as; the purchase of candidates’ books by the candidates’ campaigns; political committees’ 

acceptance of contributions made in the form of bitcoin; and Federal preemption of certain state 

regulations. The Commission completed work on 16 60-day AO requests and two 20-day AO requests 

during FY 2014. The average number of days from receipt of a complete AO request to Commission 

action on it was 33 days for 60-day requests that did not have extended deadlines and 20 days for 20-

day AOs that did not have extended deadlines. 

The Commission’s litigation docket at the close of FY 2014 included an as-applied constitutional 

challenge to FECA’s prohibition on contributions by government contractors,8 as-applied 

constitutional challenges to the limits on contributions to political party committees,9 two cases 

challenging the Commission’s handling of enforcement matters in which entities were not found to be 

required to register and report as political committees,10 a challenge to an FEC regulation governing 

whether persons who give funds to corporations and unions that make electioneering communications 

must be disclosed11 and enforcement of the Act’s prohibition on conversion of campaign funds to 

personal use.12

 

8

 Wagner v. FEC, No. 13-5162 (D.C. Cir.). 9

 Rufer v. FEC, __ F. Supp. 2d __, 2014 WL 4076053 (D.D.C. Aug. 19, 2014). 10 Public Citizen v. FEC, No. 14-1599 (D.C. Cir.) / No. 14-148 (D.D.C.); Citizens for Responsibility and Ethics in Washington v. 

FEC, No. 14-1419 (D.D.C.). 11 Van Hollen v. FEC, __ F.Supp.3d __, 2014 WL 6657240 (D.D.C.). 12 FEC v. Craig for U.S. Senate, __ F. Supp. 3d __, 2014 WL 48223874 (D.D.C. Sept. 30, 2014).
35

Performance Goal 3-1: Provide timely legal guidance to the public.

13

Key Indicator: Percent of legal guidance provided within statutory and 

court-ordered deadlines.

FY 2010 

Actual

FY 2011 

Actual

FY 2012 

Actual

FY 2013 

Actual

FY 2014 

Target

FY 2014 

Actual

FY 2015 

Target

FY 2016 

Target

N/A N/A N/A N/A 100% 100% 100% 100%

 

13 The Commission obtained extensions to consider ten advisory opinion requests in FY 2014; four of those extensions were 

attributable to the Federal government shutdown during October 2013. The Commission did not have any rulemakings during 

FY 2014 with statutory or court-ordered deadlines.
36

Supporting Indicators 3-1:

Measure Name FY 2010 

Actual

FY 2011 

Actual

FY 2012 

Actual

FY 2013 

Actual

FY 2014 

Target

FY 2014 

Actual

FY 2015 

Target

FY 2016 

Target

Percent of reporting 

forms revised within 

90 days of approval of 

regulations that require 

conforming changes to 

forms

N/A N/A N/A N/A14 100% N/A15 100% 100%

Percent of advisory 

opinions issued within 

60-day and 20-day 

statutory deadlines

100%16 100%17 100%18 100%19 100% 100%20 100% 100%

Percent of court filings 

that meet all deadlines 

and rules imposed by 

the courts

100% 98% 97% 100% 100% 100% 100% 100%

3C:2.4 Strategic Objective 4: Foster a Culture of High Performance

Leaders: Deputy Staff Director for Management and Administration/Chief Human Capital Officer; 

Deputy Chief Information Officer, Enterprise Architecture

One of the objectives from the FEC’s Strategic Plan, FY 2014-2019, Foster a Culture of High 

Performance, cuts across the organization and reflects the agency’s strategic priorities for 

improving the efficiency and effectiveness of its workforce and management processes. The FEC’s 

primary measure of success in developing and maintaining a result-driven workforce is at the 

program level: a workforce that delivers results will meet the internal performance targets set by

the Commission. This performance goal represents a new area of performance measurement for 

the agency. The Commission set a baseline for this measure in FY 2014 and appropriate targets for 

future years. Supporting targets and results are detailed in the charts below.

 

14 There were no regulations approved by the Commission in FY 2012 or FY 2013 that required conforming changes to 

forms. 15 The Commission did not complete any rulemakings during FY 2014 that required conforming changes to forms. 16 Three 60-day advisory opinions had extended deadlines. 17 Four 60-day advisory opinions and one 20-day advisory opinion had extended deadlines. 18 Three 60-day advisory opinions and two 20-day advisory opinions had extended deadlines. 19 Four 60-day advisory opinions had extended deadlines. 20 The Commission obtained extensions to consider ten advisory opinions during FY 2014; four of those extensions were 

attributable to the Federal government shutdown during October 2013.
37

Strategies and Next Steps

The Commission understands that the success of its programs depends upon the skills and 

commitment of its staff. A focus for the Commission in FY 2016 will be to ensure that staff 

training needs are assessed and met at every level of the agency and that agency leaders receive 

training necessary to help manage and maintain a fully engage and productive workforce. During 

FYs 2015 and 2016, the FEC’s Office of Human Resources (OHR) will focus on expanding 

recruiting efforts to attract the best talent, and decreasing the time to hire. The FEC will also 

improve its talent management strategies, including developing a program to on-board new staff in 

a manner that ensures a true integration into the agency while developing career paths for every 

occupation. 

The FEC remains committed to increased engagement between leaders and employees. A 

component of the FEC’s engagement is to build an effective and collaborative relationship with the 

National Treasury Employee Union (NTEU), which is the exclusive representative of bargaining 

unit employees. In accordance with Executive Order 13522, Creating Labor-Management Forums 

to Improve Delivery of Government Services, the FEC and the NTEU have established the FEC 

Labor-Management Forum (Forum). The Forum is intended to promote improvements in overall 

FEC efficiency and effectiveness, improve employee satisfaction, assist in the development of 

cooperative and productive labor-management relations and encourage the involvement of 

employees in workplace issues through their union representatives. During FY 2014, the Forum 

launched a multi-year program to assess and improve employee workplace engagement and 

satisfaction based, in part, on the results of OPM’s annual Federal Employee Viewpoint Survey. 

During FYs 2015 and 2016, FEC management will partner with the NTEU Local Chapter 204 

through the Forum to develop and implement employee-driven plans to improve staff productivity 

and engagement.

The FEC is also participating in and contributing to the government-wide Records Management 

initiative. In compliance with the Federal Records Act, the FEC is updating its records 

management program. The updated program will increase efficiency and improve performance by 

eliminating paper and using electronic recordkeeping to the fullest extent possible. During FYs 

2015 and 2016, the FEC will continue its efforts to preserve and disclose agency activities and 

decisions by modernizing the Commission’s records management policies and procedures and 

implementing a training process regarding those modernized policies and procedures. 

Progress Update for FY 2014

In addition to assessing the agency’s progress in fostering a workforce that delivers results by 

ensuring that internal performance targets are met, the Commission tracks the agency’s efforts to 

reduce staff turnover among high-performing employees and to ensure that staff members receive 

regular performance evaluations and feedback. During FY 2014, 100 percent of eligible employees 

received a required performance evaluation.

The Commission is also working to update its records management program, in compliance with 

the Federal Records Act. During calendar year 2014, the FEC reaffirmed a Senior Agency Official 

for Records Management and delivered the FEC’s Annual Reports to the Chief Records Officer. 

The FEC also established a method to inform all employees of their records management 
38

responsibilities in law and policy, and is developing suitable records management training for all 

staff. The agency made progress in implementing the training process and ensuring that the 

Records Officer holds the National Archives and Records Administration’s Records Management 

Certificate.

Performance Goal 4-1: Foster a workforce that delivers results.

Key Indicator: Commission-required quarterly updates meet targeted 

performance goals.

FY 2010 

Actual

FY 2011 

Actual

FY 2012 

Actual

FY 2013 

Actual

FY 2014 

Target

FY 2014 

Actual

FY 2015 

Target

FY 2016 

Target

N/A N/A N/A N/A Set 

baseline 

in FY 

2014

73% 60% 65%

Supporting Indicators 4-1:

Measure 

Name 

FY 2010 

Actual

FY 2011 

Actual

FY 2012 

Actual

FY 2013 

Actual

FY 2014 

Target

FY 2014 

Actual

FY 2015 

Target

FY 2016 

Target

Reduced 

turnover of 

highperforming 

employees

N/A N/A N/A N/A Set 

baseline in 

FY 2014

3% 3% 3%

Percent of 

eligible 

employees 

who receive 

an annual 

performance 

evaluation 

each 

performance 

period

N/A N/A N/A N/A 99% 100% 99% 99%

Percent of 

agency IT 

initiatives 

within 15% 

variance of 

approved 

budgets

N/A N/A N/A N/A 100% 100% 100% 100%

Meet 

Records 

Management 

Presidential 

Directive 

milestones

N/A N/A N/A 100% As 

specified in 

Presidential 

Directive 

50% As 

specified in 

Presidential 

Directive 

As 

specified in 

Presidential 

Directive
39

3D: Implementation Factors

3D:1 Major Management Priorities, Challenges and Risks

The FEC has identified a management objective, Foster a Culture of High Performance, that sets 

out strategies and measures designed to help the agency deliver greater impact through innovation, 

increase effectiveness and efficiency and improve service. Detailed information about this 

Strategic Objective is available in section 3C:2.4, above. In addition, the Commission has 

identified management initiatives as strategic activities to support its mission objectives where 

those activities are deemed crucial to the success of the objective. 

The Commission’s first strategic objective is to engage and inform the public about campaign 

finance data. A crucial part of the FEC’s mission is to provide transparency in the campaign 

finance process. Since the FEC was established in 1974, it has collected and made public a vast 

quantity of campaign finance data reported by political committees, campaigns and other groups 

required by the campaign finance law to disclose their financial activity. Transparency requires 

more than simply allowing access to data. The data must also be provided to the public in an easily 

accessible way. Accordingly, the agency maintains a strong commitment to providing searchable, 

well-explained and user-friendly information to the public. During FY 2015, the FEC will continue 

to work, in collaboration with the 18F team from GSA, to redesign the FEC website to ensure that 

the FEC provides campaign finance disclosure information in a manner that is most beneficial to 

the public. This partnership will also ensure that the FEC continues to develop innovative and 

intuitive methods of providing this data to the public. 18F relies on an agile development model, 

where new products are quickly developed in their simplest forms and put before users 

immediately in order to test the developers’ assumptions. This evidence-based development model 

will allow user experience and feedback to drive the development process and ensure that the FEC 

can provide improved services to the public as they become available over time, rather than having 

to wait until the entire project is completed. The website redesign project is further detailed in 

section 3C:2.1. 

In order to better support the FEC’s IT delivery and ensure the integrity of the FEC’s campaign 

finance disclosure database, which contains in excess of 14.4 billion data elements, the Office of 

the Chief Information Officer will complete a major IT security upgrade during FY 2015. In 

collaboration with the Department of Homeland Security (DHS), the FEC has designed a multifaceted plan based on best-practice research and DHS’s comprehensive data on the current and 

emerging cyber-threats facing Federal agencies. With improved detection and prevention tools and 

continuous monitoring of the FEC’s network, the agency will be well-placed to manage IT security 

risks in FY 2015 and in future years. 

During FYs 2015 and 2016, the Commission will continue to expand programs to automate 

processes where such automation improves the efficiency and effectiveness of the FEC’s services. 

For example, RAD will continue to focus on process improvements such as expanding its Data 

Services program to increase staff efficiency in tracking contribution limits across campaign 

finance disclosure reports and automating the registration process through web versions of FEC 

committee and candidate registration forms. During FY 2015, the FEC will also develop an 

automated process to convert paper-filed reports into structured, machine-readable data. 

Automating the data capture process will decrease data processing time, increase the accuracy of 
40

data and reduce the overall costs of capturing data from paper forms. 

In addition, the FEC is pursuing activities to improve the service provided by staff members who 

provide daily guidance to the public and the press. For example, during FY 2014 RAD emailed a 

survey to filers to help identify opportunities to improve the service that RAD provides to filers. 

During FY 2015, RAD staff will develop strategies to improve its service and outreach efforts 

based on the results of this survey. In addition, in order to better guide the public through the 

FEC’s vast quantity of campaign finance information and to better promote voluntary compliance 

with the campaign finance law, FEC staff are developing a knowledge management tool for 

internal use. The development and use of this tool cut across the agency’s strategic objectives to 

ensure that information flows freely and efficiently across staff in all offices and divisions. Details 

regarding this project are provided in section 3B:2.1. 

The Commission is also continuing its efforts to reach out directly to the public to gain feedback 

from individuals and groups who do business with the FEC. The FEC Chairman and Vice Chair 

hosted an informal public forum at the FEC to discuss agency operations that affect local, state and 

national political parties with Commissioners and senior staff. The Forum specifically addressed 

operational aspects of the Commission’s dealings with political party committees, including 

interactions with the Alternative Dispute Resolution Office, the Audit Division, OGC and RAD. 

The Commission plans to continue to hold such forums, which provide an invaluable opportunity 

to get policy and operational feedback directly from the public, as necessary, during FYs 2015 and 

2016 to ensure that policies, procedures and outreach initiatives are properly aligned with and 

support the public’s needs. 

The FEC continues to face staffing challenges. Due to limited funding in FY 2013, agency staffing 

reached its lowest level in the last 10 years in FY 2014. Over FY 2014 and 2015, to recover from 

these staffing shortages, the FEC is expected to bring on board more than 30 new employees to fill 

priority positions. The FEC remains challenged in maintaining staffing levels needed to meet 

performance targets and workloads. 

Each year the FEC’s Inspector General (IG) is required to provide a summary and assessment of 

the most serious management and performance challenges facing the FEC. In a memorandum 

dated October 15, 2014, the IG identified three challenges facing management: Information 

Technology Security, Governance Framework and Human Capital Management/Human Resources 

Operations. The IG’s assessment and the FEC’s response are included in the FEC’s FY 2014 

Agency Financial Report, http://www.fec.gov/pages/budget/fy2014/FY2014_AFR.pdf. 

3D:2 Data Validation and Verification

OMB Circular A-136, as revised, and the GPRA Modernization Act of 2010 (GPRAMA) require 

each agency to describe the accuracy and reliability of the data used to measure progress toward its 

performance goals, including an identification of the means used to verify and validate the 

measured values and the source for the data. Agencies are encouraged to determine the appropriate 

frequency of data validation and verification (V&V) needed for the intended use and should 

allocate appropriate resources to carry out validation and verification on an appropriately periodic 

basis.
41

Many of the FEC’s performance measures set goals for the timely completion of tasks that are 

either internally generated or triggered through reports or complaints filed with the Commission. 

As a result, the universe of data the FEC must collect and verify to support its performance 

information is generally small, centrally located and easily verified. The FEC tracks data to 

support its performance measures through its internal databases and with spreadsheets maintained 

by program managers. In cases where performance is measured based on the timeframe for 

completing a decision, matter or inquiry, the universe of data to be measured and the dates on 

which performance milestones are reached are tracked electronically. Data provided by the 

agency’s litigation, policy, enforcement and compliance offices are reported at least quarterly to 

the Commission, which provides regular opportunities for the accuracy of the data to be verified. 

The FEC also tracks its performance in making campaign finance information available to the 

public. Reports filed with the FEC represent the largest universe of data the agency must consider 

in determining its performance. Campaign finance reports and statements filed electronically are 

made available on the FEC website nearly instantaneously, and reports and statements filed on 

paper with the FEC are placed on the FEC website within 48-hours of receipt. In addition, FEC

staff process the data contained in campaign finance reports so that the information can be

accurately organized, categorized and searched in the agency’s databases. The FEC sets as a

performance goal processing 95 percent of reports through its data and coding system within 30 

days. The entry and completion dates for each report are retrievable through the FEC’s electronic 

systems. The FEC also rates its performance in meeting its statutory obligation to make reports and 

statements filed on paper available to the public within 48 hours of receipt. The agency stamps 

reports in the FEC’s mailroom with the date and time of arrival. Any instance of a report appearing

on the FEC website after the 48-hour deadline is tracked manually. 

During FY 2014, the FEC completed a broad review of its methods for verifying and validating 

performance as part of its overall assessment of its strategic and performance plans. The FEC has 

identified senior-level staff and key managers to serve as goal leaders for each area of the strategic 

and performance plans. In addition, each strategic activity in the Strategic Plan has been assigned 

one or more program managers, who are responsible for the delivery and performance reporting of 

that activity. These managers will be serving as measure managers and data quality leads to ensure 

the completeness, consistency and accuracy of the reported data of their respective strategic

activity. Furthermore, in FY 2014 the FEC formed a data verification and validation team, 

composed of strategic activity leads, to assess the data collection and management process of the 

entire agency and design a revised and improved process. This team has developed data definition 

templates, established standard processes for data collection and trained staff to follow the

established standards for each measure included in this plan. The strategic activity leads will 

review and update the V&V process on an annual basis to ensure data reported to stakeholders is 

consistent, accurate and complete.

3E: Conclusion

As described in this section, the FEC’s plans and strategies for FYs 2015 and 2016 are designed to 

ensure that the agency is well-prepared to provide full campaign finance transparency to the public 

despite the expected increase in campaign finance activity.
42

Office of Inspector General’s Fiscal Year 2016 Budget Request

The Inspector General Reform Act (Pub. L. 110-409) was signed by the President on October 14, 

2008. Section 6(f)(1) of the Inspector General Act of 1978, 5 U.S.C. § app. 3, was amended to 

require certain specifications concerning Office of Inspector General (OIG) budget submissions 

each fiscal year.

Each Inspector General (IG) is required to transmit a budget request to the head of the 

establishment or designated Federal entity to which the IG reports specifying: 

• the aggregate amount of funds requested for the operations of the OIG;

• the portion of this amount requested for OIG training, including a certification from the IG 

that the amount requested satisfies all OIG training requirements for that fiscal year; and

• the portion of this amount necessary to support the Council of the Inspectors General on 

Integrity and Efficiency (CIGIE).

The head of each establishment or designated Federal entity, in transmitting a proposed budget to 

the President for approval, shall include:

• an aggregate request for the OIG; 

• the portion of this aggregate request for OIG training; 

• the portion of this aggregate request for support of the CIGIE; and 

• any comments of the affected IG with respect to the proposal. 

The President shall include in each budget of the U.S. Government submitted to Congress: 

• a separate statement of the budget estimate submitted by each IG;

• the amount requested by the President for each OIG;

• the amount requested by the President for training of OIGs; 

• the amount requested by the President for support of the CIGIE; and

• any comments of the affected IG with respect to the proposal if the IG concludes that the 

budget submitted by the President would substantially inhibit the IG from performing the 

duties of the OIG. 

Following the requirements as specified above, the OIG of the Federal Election Commission 

submits the following information relating to the OIG’s requested budget for fiscal year 2016: 

• the aggregate budget request for the operations of the OIG is $1,279,816; 

• the portion of this amount needed for OIG training is $18,000; and 

• the portion of this amount needed to support the CIGIE is an estimated $3,454. 

I, Lynne A. McFarland, certify as the IG of the Federal Election Commission that the amount I 

have requested for training satisfies all OIG training needs for fiscal year 2016.