OFFICE OF 

INSPECTOR GENERAL 

 

Semiannual Report to Congress 

 

April 1, 2004 – September 30, 2004 

Federal Election Commission 

999 E Street, N.W., Suite 940 

Washington, DC 20463 

 

 

November 2004
TABLE OF CONTENTS 

EXECUTIVE SUMMARY ------------------------------------------------------- 1

FEDERAL ELECTION COMMISSION -------------------------------------- 7

AUDITS------------------------------------------------------------------------- 9 

AUDIT FOLLOW-UP ------------------------------------------------------- 14

HOTLINE COMPLAINTS ------------------------------------------------------- 16

ADDITIONAL OFFICE OF INSPECTOR GENERAL 

ACTIVITY ------------------------------------------------------------------------- 17

ECIE AND PCIE ACTIVITY ---------------------------------------------- 20

REPORTING REQUIREMENTS ---------------------------------------------- 22

TABLE I - QUESTIONED COSTS ------------------------------------- 23

TABLE II - FUNDS PUT TO BETTER USE ---------------------------- 24

TABLE III - SUMMARY OF AUDIT REPORTS WITH 

 CORRECTIVE ACTIONS OUTSTANDING 

FOR MORE THAN SIX MONTHS ------------------- 25

OIG STRATEGIC PLAN ------------------------------------------------------- 26

CONTACTING THE OFFICE OF INSPECTOR 

GENERAL -------------------------------------------------------------------- 27

 

Semiannual Report to Congress - April 1, 2004 – September 30, 2004 
EXECUTIVE SUMMARY

This Semiannual Report to Congress issued by the Federal Election 

Commission (FEC) Office of Inspector General (OIG), is submitted in 

accordance with the requirements of the Inspector General Act of 1978, as 

amended. This semiannual report summarizes the major activities and 

accomplishments of the FEC OIG covering the reporting period of April 1, 

2004 - September 30, 2004. The Executive Summary summarizes the 

significant actions and achievements pertinent to the Federal Election 

Commission, Office of Inspector General. In depth facts pertaining to a 

particular topic can be found in subsequent sections of this report. 

To help ensure the integrity of the FEC, and to improve agency 

programs and operations, the OIG is responsible for conducting, supervising, 

and coordinating audits, investigations, and inspections. The OIG continues 

to strive to prevent and detect fraud, waste, abuse, and mismanagement of 

the Federal Election Commission’s resources and operations. 

 

Semiannual Report to Congress - April 1, 2004 – September 30, 2004 Page 1

The Federal Government has made the improvement of financial 

management a high priority. Under the provisions of The Accountability of 

Tax Dollars Act of 2002, the Office of Inspector General is required to audit 

the agency’s financial statements annually. To prepare to meet the 

requirements outlined in the Act, the FEC OIG selected Clifton Gunderson 
(CG), LLP to perform the first financial statement audit of the Federal 

Election Commission. 

The audit will include tests of the Commission’s accounting records 

necessary to enable the contractors to express their opinion on the financial 

statements. Tests of controls will be performed to examine the effectiveness 

of certain policies and procedures that are considered relevant to preventing 

and detecting errors and fraud. 

The FEC OIG involvement in the financial statement audit is critical. 

The OIG, along with the contractors and FEC management officials have 

been involved in a number of meetings pertaining to the financial audit. 

During the planning stages of the audit, the OIG met with the contractors 

and FEC management officials to discuss the financial operation of the 

Commission. In addition, the contractors were provided with information 

pertaining to previous financial related audits conducted by the OIG. 

Audit status meetings were conducted to discuss the progress of the 

audit, as well as address any questions or concerns raised during the 

fieldwork. Additional meetings were held to discuss specific accounting and 

budget issues relevant to the audit. The Audit section of this report, which 

 

Semiannual Report to Congress - April 1, 2004 – September 30, 2004 Page 2
starts on page 9, contains additional information regarding the Audit of the 

FEC’s Fiscal Year 2004 Financial Statements - OIG-04-01.

 The Audit of the FEC’s Public Disclosure Process – OIG-02-03 was 

initiated during a previous semiannual reporting period. The two objectives 

related to this audit are to: 1) determine the extent, if any, of disclosure 

differences between candidate contributions reported by political committees 

and related political committee contributions reported received by 

candidates; and 2) determine whether an adequate process is in place to 

remedy any reporting discrepancies. 

The Office of Inspector General continues to work towards completing 

the audit of the FEC public disclosure system. Steps taken to accomplish this 

task consist of examining various samples of campaign transactions through 

the disclosure system. These steps include analyzing, reviewing, and 

comparing balances of candidate receipts vs. political committee 

disbursements of campaign finance contributions. Campaign regulations 

were reviewed to determine the recording requirements for in-kind 

contributions, as well as the mandated responsibilities of the committee 

treasurer. For detailed information pertaining to the audit of the agency’s 

public disclosure system, see page 12. 

 

Semiannual Report to Congress - April 1, 2004 – September 30, 2004 Page 3
The OIG conducted a follow-up assessment on the audit entitled 

Agency Controls Governing the Process for Procurement of Vendor Training 

Services – OIG-00-01, released September, 2000. The audit was originally 

conducted to evaluate the effectiveness and efficiency of management 

controls governing the process for procurement of training services obtained 

through outside vendors. 

During this reporting period, the OIG contacted management to 

determine whether or not corrective actions had been taken to rectify the 

outstanding audit recommendations. As a result of the follow-up assessment, 

the OIG concluded that management had taken the necessary steps required 

to close the audit recommendations. For additional information as it pertains 

to the follow-up assessment, see page 14 located in the Audit Follow-up

section of this report. 

The Inspector General provides necessary oversight and serves as a 

catalyst for improving and maximizing the efficiency and integrity of FEC 

programs and operations. The OIG is authorized to receive and investigate 

complaints concerning possible violation of laws, rules or regulations, 

mismanagement, abuse of authority, and waste of funds. These 

investigations are in response to allegations, complaints, and information 

received from FEC employees and other concerned individuals. 

 

Semiannual Report to Congress - April 1, 2004 – September 30, 2004 Page 4
The number of investigative inquires processed by the OIG increased 

during this reporting period. Several individuals contacted the OIG to 

discuss their concerns about matters involving possible violations of fraud, 

waste, abuse, or mismanagement of FEC programs and operations. For 

detailed information with regards to the hotline inquiries, see the section 

entitled Hotline Complaints which is located on page 16. 

Besides conducting audits, investigations, and reviews, the IG staff is 

involved in a wide range of additional activities. The items below outline 

some of the additional assignments taken on by the IG staff during this 

reporting period. For complete information with regards to the additional 

activities of the FEC OIG, refer to page 17, the section entitled Additional 

Office of Inspector General Activity.

• Prior to the end of this reporting period, the OIG initiated a peer 

review of the Federal Housing Finance Board (FHFB), Office of 

Inspector General. The General Accountability Office’s 

Government Auditing Standards, requires that a peer review be 

conducted every three years on organizations that conduct 

government audits. A peer review, also referred to as an 

external quality review, is a review of an audit organization by 

 

Semiannual Report to Congress - April 1, 2004 – September 30, 2004 Page 5
an organization not affiliated with the audit organization being 

reviewed (see page 18). 

• The Inspector General continues to serve as a representative to 

the Executive Council on Integrity and Efficiency (ECIE). 

During this reporting period, the IG served as chairman of the 

2004 ECIE awards review panel committee (see page 19). 

 

Semiannual Report to Congress - April 1, 2004 – September 30, 2004 Page 6
THE FEDERAL ELECTION COMMISSION 

In 1975, Congress created the Federal Election Commission (FEC) to 

administer and enforce the Federal Election Campaign Act (FECA) - the 

statute that governs the financing of federal elections. The duties of the 

FEC, which is an independent regulatory agency, is to disclose campaign 

finance information; enforce the provisions of the law such as the limits and 

prohibitions on contributions; and oversee the public funding of Presidential 

elections. 

The Commission is made up of six members, who are appointed by the 

President and confirmed by the Senate. Each member serves a six-year term, 

and two seats are subject to appointment every two years. By law, no more 

than three Commissioners can be members of the same political party, and at 

least four votes are required for any official Commission action. This 

structure was created to encourage nonpartisan decisions. The 

Chairmanship of the Commission rotates among the members each year, 

with no member serving as Chairman more than once during his or her term. 

OFFICE OF INSPECTOR GENERAL 

The Inspector General Act of 1978 (P.L. 100-504), as amended in 1988, 

states that the Inspector General is responsible for: 1) conducting and 

 

Semiannual Report to Congress - April 1, 2004 – September 30, 2004 Page 7
supervising audits and investigations relating to the Federal Election 

Commission’s programs and operations; 2) detecting and preventing fraud, 

waste, and abuse of agency programs and operations while providing 

leadership and coordination; 3) recommending policies designed to promote 

economy, efficiency, and effectiveness of the establishment; and 4) keeping 

the Commissioners and Congress fully and currently informed about 

problems and deficiencies in FEC agency programs and operations, and the 

need for corrective action. 

Congress created Offices of Inspectors General to improve 

management of programs and to prevent fraud, waste, and abuse in federal 

departments and agencies. This is accomplished through audits, 

investigations, and other reviews. The IG’s office is currently staffed with 

four full time employees - the Inspector General, Lynne A. McFarland, two 

Auditors, and a Special Assistant to the Inspector General. 

 

Semiannual Report to Congress - April 1, 2004 – September 30, 2004 Page 8
AUDITS

TITLE: Audit of the FEC’s Fiscal Year 2004 Financial 

 Statements 

 

ASSIGNMENT #: OIG – 04-01 

RELEASE DATE: In Progress 

PURPOSE: The Federal Government has made the 

improvement of financial management a high priority. Under the provisions 

of The Accountability of Tax Dollars Act of 2002, the Office of Inspector 

General is required to audit the agency’s financial statements annually. In 

our efforts to prepare to meet the requirements outlined in the Act, Clifton 

Gunderson LLP, an independent CPA firm selected by the FEC/OIG, will 

perform the first financial statement audit of the Federal Election 

Commission. 

The audit will include tests of the Commission’s accounting records 

necessary to enable the contractors to express their opinion on the financial 

statements. Tests of controls will be performed to examine the effectiveness 

of certain policies and procedures that are considered relevant to preventing 

and detecting errors and fraud. 

 

Semiannual Report to Congress - April 1, 2004 – September 30, 2004 Page 9
The FEC OIG involvement in the financial statement audit is critical. 

The OIG, along with the contractors and FEC management officials have 

been involved in a number of meetings pertaining to the financial audit. 

During the planning stages of the audit, the OIG met with the contractors 

and FEC management to discuss the financial operation of the Commission. 

The contractors were provided with information pertaining to previous 

financial related audits conducted by the OIG. 

Audit status meetings were conducted to discuss the progress of the 

audit, as well as address any questions or concerns in reference to the audit. 

The audit status meeting is a forum for management and the auditors to 

discuss the progress of the audit. The audit status meetings also included 

discussions regarding the prepared by client (PBC) list, which is a list that 

documents the date and time frame of information requested by the 

contractors, and when management is due to provide such information. The 

audit status meetings are on going. 

The OIG also coordinated and attended meetings with the contractors 

and representatives from the FEC Information Technology (IT) Division to 

discuss the IT system controls such as the controls governing major 

applications used by the FEC. Additional meetings were held with 

management to discuss accounting and budget issues relevant to the audit. 

 

Semiannual Report to Congress - April 1, 2004 – September 30, 2004 Page 10
During this time frame, several documents were reviewed by the OIG, 

such as the planning document submitted by the contractors. The planning 

document is the first contract deliverable that documents the planning and 

understanding phase of the audit. The OIG also reviewed the FEC Office of 

General Counsel’s September 7, 2004 opinion on the applicability of federal 

laws and regulations, as they relate to the FEC and the financial statement 

audit. The OIG will continue working with the CG contractors to successfully 

complete the first financial statement audit of the FEC. 

 

Semiannual Report to Congress - April 1, 2004 – September 30, 2004 Page 11
AUDIT

 

TITLE: Audit of the FEC’s Public Disclosure Process 

ASSIGNMENT #: OIG – 02-03 

RELEASE DATE: In Progress 

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

determine the extent, if any, of disclosure differences between candidate 

contributions reported by political committees and related committee 

contributions reported received by candidates; and 2) determine whether an 

adequate process is in place to remedy any reporting discrepancies. 

The Office of Inspector General continues to work towards completing 

the audit of the FEC public disclosure system. Steps taken to accomplish this 

task consist of examining various samples of campaign transactions through 

the disclosure system. Specific steps include analyzing, reviewing, and 

comparing balances of candidate receipts vs. political committee 

disbursements of campaign finance contributions. Campaign regulations 

were also researched to determine the recording requirements for in-kind 

contributions, as well as the mandated responsibilities of the committee 

treasurer. 

 

Semiannual Report to Congress - April 1, 2004 – September 30, 2004 Page 12
Additional work included the examination of disclosure process 

narratives and flowcharts to determine whether the process compares 

candidate and political committee reports for in-kind contributions given by 

political committees that are not reported by candidates. In addition, various 

meetings were conducted to observe the Reports Analysis Division’s (RAD) 

campaign finance report review process for authorized and unauthorized 

campaign committees. 

An extensive review of RAD’s Operational Procedures and Training 

Manual was initiated to identify specific procedures in place to detect 

variances in political action committee and candidate committee data. Data 

was collected for the development of spreadsheets that will aid in identifying 

variances in campaign data reported for the 2002 and current election cycles. 

 

Semiannual Report to Congress - April 1, 2004 – September 30, 2004 Page 13
AUDIT FOLLOW-UP

TITLE: Agency Controls Governing the Process for 

 Procurement of Vendor Training Services 

 

ASSIGNMENT #: OIG - 00-01 

RELEASE DATE: September, 2000 

WEBSITE ADDRESS: http://www.fec.gov/fecig/training.pdf 

PURPOSE: The OIG conducted a follow-up assessment on the 

audit entitled Agency Controls Governing the Process for Procurement of 

Vendor Training Services – OIG - 00-01, released September, 2000. The 

audit was originally conducted to evaluate the effectiveness and efficiency of 

management controls governing the process for procurement of training 

services obtained through outside vendors. The report initially contained 

seven audit recommendations, three were closed during a prior reporting 

period, and four remained outstanding. 

As part of the follow-up process the OIG has in place, management is 

contacted prior to the end of the semiannual reporting period to determine 

the status of any outstanding recommendations (if applicable). During this 

reporting period the OIG contacted management to determine whether or not 

corrective actions had been taken to rectify the outstanding audit 

recommendations. 

 

Semiannual Report to Congress - April 1, 2004 – September 30, 2004 Page 14
In three of the four outstanding recommendations, management had 

taken the necessary steps to enable the OIG to close those three. 

Management disagreed with the fourth outstanding recommendation, which 

recommended that a computer based system be developed to replace the 

current paper based system for requesting and acquiring vendor training 

services. Even though the OIG continues to believe an electronic system 

would be more efficient, this recommendation has been closed. All 

recommendations pertaining to this audit have now been closed. 

 

Semiannual Report to Congress - April 1, 2004 – September 30, 2004 Page 15
HOTLINE COMPLAINTS

The number of investigative inquiries processed by the Office of 

Inspector General increased during this reporting period. Several 

individuals contacted the OIG to discuss their concerns about matters 

involving possible violations of fraud, waste, abuse or mismanagement of 

FEC programs and operations. Those contacts were made through the OIG 

e-mail account, phone, and mail. 

According to the OIG’s Procedures for Processing Hotline Calls, a 

preliminary inquiry must be conducted on all allegations raised in a hotline 

complaint. If the OIG decides a full investigation is necessary, then the 

hotline complaint file is closed and a separate investigative file is opened. 

The IG has a policy to protect the legal rights of complainants and 

whistleblowers. In addition, the OIG takes great care not to disclose the 

identity of the complainant without that person’s consent. 

Currently there are four (4) hotline complaints pending, and one (1) 

investigation in progress. The OIG closed two (2) hotline complaints during 

this time frame. 

 

Semiannual Report to Congress - April 1, 2004 – September 30, 2004 Page 16
 

ADDITIONAL OFFICE OF INSPECTOR GENERAL ACTIVITY

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

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

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

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

Legislative Committee. In addition, the Inspector General routinely reads all 

Commission agenda items and attends the Finance Committee meetings. 

• During the previous semiannual reporting period, the OIG conducted 

research on a legislative provision pertaining to the Consolidated 

Appropriations Act of 2004. As directed by the Rural Development Act 

of 1972, the Inspectors General of each applicable department or 

agency are required to report to Congress the policies and procedures 

in place that give priority to the location of new offices and other 

facilities in rural areas. During this reporting period, a letter was sent 

to the Committee on Appropriations in response to the legislation. As 

stated in our reply to the Committee, the OIG has concluded that the 

requirement for a policy regarding the location of new offices and other 

facilities in rural areas is not applicable to the FEC. 

 

Semiannual Report to Congress - April 1, 2004 – September 30, 2004 Page 17
• Prior to the end of this reporting period, the OIG initiated a peer 

review of the Federal Housing Finance Board (FHFB) Office of 

Inspector General. The General Accountability Office’s Government 

Auditing Standards, requires that a peer review be conducted every 

three years on organizations that conduct government audits. A peer 

review, also referred to as an external quality review, is a review of an 

audit organization by an organization not affiliated with the audit 

organization being reviewed. 

A Memorandum of Understanding (MOU) between the FEC OIG and 

the FHFB OIG was prepared and signed. The MOU was developed to 

assure that there is a mutual understanding between the two OIGs 

regarding the fundamental aspects of the review. In order to prepare 

for the review, the revised Guide for Conducting External Quality 

Control Reviews of the Audit Operations of Offices of Inspector 

General was reviewed and analyzed. 

As part of the peer review process, the FHFB OIG’s recent Semiannual 

Report to Congress, two annual audit plans, the audit tracking system,

and the continuing education summaries for the auditors have been 

reviewed. In addition, two audits from the FHFB OIG were selected to 

be evaluated during the peer review process. The FEC OIG anticipates 

 

Semiannual Report to Congress - April 1, 2004 – September 30, 2004 Page 18
completing the peer review during the course of the next reporting 

period. 

• The Inspector General continues to serve as a representative to the 

Executive Council on Integrity and Efficiency (ECIE). During this 

reporting period, the IG served on the 2004 ECIE awards review panel 

committee. In this capacity the IG was required to review and 

evaluate the nominations for the ECIE awards. The ECIE recognizes 

outstanding performance and commitment to the work of the 

community and the Federal Government in its annual awards 

program. 

 

Semiannual Report to Congress - April 1, 2004 – September 30, 2004 Page 19
ECIE AND PCIE ACTIVITY 

 

The Executive Council on Integrity and Efficiency was established by 

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

Inspectors General and representatives of the Office of Government Ethics, 

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

Office of Management and Budget. 

The Commission’s Inspector General is an active member of the 

Executive Council on Integrity and Efficiency (ECIE) and has provided input 

to a number of initiatives proposed by the Council. The ECIE serves as a 

forum for the exchange of views for the Inspector General Community. The 

Council identifies, reviews, and discusses issues that are of interest to the 

entire IG Community. The IG attended regular meetings held by the ECIE, 

and joint meetings of the President’s Council on Integrity and Efficiency 

(PCIE) and the Executive Council on Integrity and Efficiency. 

For the period April 1, 2004 through September 30, 2004, the Inspector 

General (or staff) attended the following training, meetings, programs, 

seminars and/or conferences: 

• ECIE - Monthly Meetings

 

Semiannual Report to Congress - April 1, 2004 – September 30, 2004 Page 20

• PCIE - Financial Statement Audit Network (FSAN) Meetings 
• PCIE - Government Performance and Results Act (GPRA) 

Roundtable Discussion

• Southeastern Intergovernmental Audit Forum – 15th Biennial 

Forum of Government Auditors Conference 

• Federal Audit Executive Committee (FAEC) – Information 

Technology Security Committee (ITSC) Meeting

• Association of Government Accountants (AGA) – Success in 

Accelerating Financial Statement Reporting

• Government Executive – Excellence in Government 2004: Leading 

When it Matters Most Conference

• USDA Graduate School – Government Auditing Standards: Review 

& Update

• Federal Election Commission – Administrative Liaison Meeting

• Federal Election Commission – Civil Service Retirement System 

(CSRS)

 

Semiannual Report to Congress - April 1, 2004 – September 30, 2004 Page 21
IG ACT REPORTING REQUIREMENTS PAGE 

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

the Inspector General Act Amendments of 1988 are listed below: 

Section 4(a)(2) Review of Legislation----------------------------------------------17 

Section 5(a)(1) Significant Problems, Abuses, and 

 Deficiencies------------------------------------------------------None 

Section 5(a)(2) Recommendations with Respect to 

 Significant Problems, Abuses, and 

 Deficiencies------------------------------------------------------None 

Section 5(a)(3) Recommendations Included in Previous 

Reports on Which Corrective Action Has 

 Not Been Completed-(Table III) -------------------------------25 

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

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

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

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

Section 5(a)(7) Summary of Significant Reports---------------------------------9 

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

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

 to Better Use (Table II)------------------------------------------24 

Section 5(a)(10) Summary of Audit Reports issued before 

the start of the Reporting Period for which 

 no Management Decision has been made-------------------N/A 

Section 5(a)(11) Significant revised Management Decisions-----------------N/A 

Section 5(a)(12) Management Decisions with which the 

 Inspector General is in Disagreement-----------------------None 

 

Semiannual Report to Congress - April 1, 2004 – September 30, 2004 Page 22
TABLE I 

INSPECTOR GENERAL ISSUED REPORTS 

WITH QUESTIONED COSTS

 DOLLAR VALUE (in thousands)

QUESTIONED UNSUPPORTED 

NUMBER COSTS COSTS

A. For which no management 0 0 [0] 

 decision has been made by 

 commencement of the reporting 

 period 

B. Which were issued during 0 0 [0] 

 the reporting period 

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

C. For which a management 0 0 [0] 

 decision was made during 

 the reporting period 

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

 costs 

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

 not disallowed 

D. For which no management 0 0 [0] 

 decision has been made by the 

 end of the reporting period 

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

 decision was made within 

 six months of issuance 

 

Semiannual Report to Congress - April 1, 2004 – September 30, 2004 Page 23
TABLE II 

INSPECTOR GENERAL ISSUED REPORTS WITH 

RECOMMENDATIONS THAT FUNDS BE PUT TO BETTER USE

 

 NUMBER DOLLAR VALUE 

 (in thousands) 

A. For which no management 0 0 

decision has been made by 

the commencement of the 

 reporting period 

B. Which were issued during 0 0 

the reporting period 

C. For which a management 0 0 

decision was made during 

the reporting period 

(i) dollar value of 0 0 

 recommendations 

were agreed to by

 management 

based on proposed 0 0 

 management action 

based on proposed 0 0 

 legislative action 

(ii) dollar value of 0 0 

 recommendations 

that were not agreed 

 to by management 

D. For which no management 0 0 

decision has been made by 

the end of the reporting period 

E. Reports for which no 0 0 

 management decision 

was made within six months 

 of issuance 

 

Semiannual Report to Congress - April 1, 2004 – September 30, 2004 Page 24
TABLE III 

SUMMARY OF AUDIT REPORTS WITH CORRECTIVE ACTIONS 

OUTSTANDING FOR MORE THAN SIX MONTHS

Recommendations

 Report Issue

Report Title Number Date Number Closed Open

Agency Controls 00-01 09/00 7 7 0 

Governing the Process 

for Procurement of Vendor 

Training Services 

 

Semiannual Report to Congress - April 1, 2004 – September 30, 2004 Page 25
FEC / OIG Strategic Plan

OIG Products: To provide products and

services that promote positive change in

FEC policies, programs, and operations.

OIG Process: To develop and implement

processes, policies, and procedures to ensure

the most effective and appropriate use of OIG

resources in support of our people and products.

Objective A: Deliver timely, high-quality

products and services that promote

positive change.

Strategy:

- establish common OIG standards for communicating

results;

- conduct quality assurance programs;

- solicit appropriate internal and external review and

comment;

- comply with applicable statutory guidelines and

standards;

- set realistic and appropriate milestones.

Objective B: Address priority issues and

concerns of the Commission, Congress,

and Management.

Strategy: Perform work that supports;

- Federal Election Commission and Congressional

priorities;

- National Performance Review objectives;

- Strategic Management Initiative efforts;

Focus OIG attention in the following areas of emphasis:

- managing change;

- resource allocation in relation to policy objectives;

- delivery of client service;

- causes of fraud and inefficiency; and,

- automation and communication.

OIG Staff:To maintain a skilled and motivated

work force in an environment that fosters

accountability, communications, teamwork, and

personal and professional growth.

Objective A: Maintain a dynamic strategic

planning process.

Strategy:

- periodically review and update the strategic plan to

address changing OIG and FEC priorities; and,

- identify factors that influence organizational change and

develop short and long term plans to address them.

Objective A: Attract and retain well-qualified,

diverse and motivated employees.

Strategy:

- develop and implement a comprehensive recruiting program

that attracts a broad population with the knowledge, skills,

abilities, and expertise necessary to make meaningful

contributions to the OIG;

- assess employee satisfaction and develop strategies to address

employee concerns;

- identify reasons for staff departures and develop plans to foster

greater staff retention; and,

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

force.

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

and results in positive change.

Strategy:

- solicit FEC and Congressional input in planning OIG

activities;

- develop internal planning mechanisms to support FEC

goals and priorities;

- ensure that priorities of IG are effectively communicated;

and,

- identify specific targets for OIG review that are the most

cost-effective

Objective B: Provide training and developmental

opportunities to employees.

Strategy:

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

office needs as well;

- ensure that Government Auditing Standards in relation to

training are adhered to; and,

- maintain a reporting system to ensure that educational

requirements are met.

Objective C: Follow-up and evaluate

results of OIG products and services to

assess their effectiveness in promoting

positive change.

Strategy:

- Identify, as appropriate, lessons learned to improve

timeliness and quality; and,

- conduct follow-up reviews to determine if intended

results have been achieved.

Objective D: Satisfy customers,

consistent with the independent nature of

the OIG.

Strategy:

- establish professional communication and interaction

with customers to promote the open exchange of ideas;

- incorporate customer feedback, as appropriate; and,

- be open to customer-generated solutions and

options.

Objective C: Identify customer needs and

provide products and services to meet

them.

Strategy:

- establish new customer feed back mechanisms;

- consider and evaluate customers feedback when

planning and developing products and services;

- respond to Congressional inquires and request for

briefing and testimony;

- promote open exchange of ideas and information through

outreach and through use of e-mail; and,

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

information received through the OIG hotline and other

sources.

Objective D: Implement efficient, effective,

and consistent resolution and follow-up

procedures.

Strategy:

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

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

- establish common OIG standards for terminology, date

maintenance and communications.

Objective E: Establish a positive and

productive working environment.

Strategy:

- reengineer or streamline OIG procedures to achieve the

most effective use of resources; and,

- ensure that necessary technologies, evolving and

otherwise, are made available to staff as needed.

Objective C: Assess, recognize, and reward,

when possible, performance that contributes to

achieving the OIG mission.

Strategy:

- develop and articulate expectations for each employee's

performance, including contributions in meeting the mission &

goals of the OIG; and,

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

exceptional employee performance.

Objective D: Create and maintain a working

environment that promotes teamwork and

effective communication.

Strategy:

- ensure that communications between employees is open; and,

- provide employees with the tools and incentives they need to

adequately perform their duties.

Performance Measures: Determine the

timeliness and quality of products and

services; their effectiveness in promoting

positive change; and, reach agreement

with management on at least 90% of

recommendations within six months of

the report issue date.

Performance Measures: An annual audit

plan is issued; strategic plan is periodically

reviewed; and, necessary technology is

provided to staff to enable them to most

efficiently perform their duties.

Performance Measures: All employees meet

the training requirements; all employees have

performance standards; and, all employees meet

the basic requirements for the position in which

they were hired to perform.

Semiannual Report to Congress – April 1, 2004 – September 30, 2004 Page 26 
 

Semiannual Report to Congress - April 1, 2004 – September 30, 2004 Page 27

CONTACTING THE OFFICE OF INSPECTOR GENERAL 

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

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

report questionable activity. 

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

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

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

 Office of Inspector General

 999 E Street, N.W., Suite 940 

 Washington, DC 20463

Mail is opened by OIG staff members only. 

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

 Our Website address: http://www.fec.gov/fecig.htm.

Individuals may be subject to disciplinary or criminal action for knowingly 

making a false complaint or providing false information.