Office of Inspector General

Semiannual Report to Congress

April 1, 2019 – September 30, 2019

November 2019

Federal Election Commission - Office of Inspector General

1050 First Street, N.E., Suite 1010, Washington, D.C. 20463
FEDERAL ELECTION COMMISSION

WASHINGTON, D.C. 20463

November 18, 2019

The Honorable Nancy P. Pelosi The Honorable Michael R. Pence

Speaker of the House of Representatives President of the Senate

H-232 Capitol Building S-212 Capitol Building

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

Dear Madam Speaker and Mr. Vice President:

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

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

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

April 1, 2019 through September 30, 2019.

During this reporting period, the FEC appointed its second Inspector General, 

Christopher Skinner, who began in August 2019. The FEC’s OIG continued follow-up 

actions with management regarding seven open audits and inspections. The OIG closed 

11 of 43 outstanding recommendations.

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

commitment to sound financial and management practices, and looks forward to 

continuing its cooperative working relationship as management takes appropriate 

measures to improve operations of the Commission. Copies of the Semiannual Report 

to Congress are being provided to the Chairpersons and Ranking Members of the FEC’s 

oversight committees.

On behalf of the Commission,

Ellen L. Weintraub

Chair

OFFICE OF THE CHAIR
Office of Inspector General Semiannual Report to Congress April 1, 2019 - September 30, 2019 3

Table of Contents

Message from the Inspector General 4

FEC Office of Inspector General Organization Chart 6

OIG Core Values 7

Executive Summary 8

OIG Audit Activity 10

OIG Audit Follow-up Activity 12

OIG Hotline Information 14

OIG Investigative Summaries 16

Additional OIG Activity 19

Council of the Inspectors General on Integrity and Efficiency 20

List of Training, Meetings & Conferences 21

Reporting Requirements 23

Table I: Inspector General Issued Reports with Questioned Costs 25

Table II: Inspector General Issued Reports with Recommended Actions That Funds

Be Spent to Better use

26

Table III: Summary of Audit and Inspection Reports with Corrective Actions Outstanding 27

Table IV: Summary of Investigative Reports and Actions 28

Appendix A: Peer Review Results 29

Appendix B: Mission Statements 30
4

FEDERAL ELECTION COMMISSION

WASHINGTON, D.C. 20463

Office of Inspector General

A Message from the Inspector General

It is with great pleasure that I present the Federal Election 

Commission (FEC) Office of Inspector General (OIG) 

Semiannual Report to Congress for the period of April 1, 2019 

to September 30, 2019. I am honored that the Commission has 

selected me to serve as its Inspector General to provide oversight 

for an essential and impactful federal agency and I look forward 

to helping its hard working personnel continue to improve 

the Commission’s efficiency and effectiveness. Our work 

defines the OIG’s commitment to promoting accountability, 

efficiency, and effectiveness through our independent 

oversight of the Commissions’ programs and operations.

We have worked persistently to close out ten (10) hotline 

investigations since the last reporting period. In the course 

of doing so, we identified and recommended opportunities to 

improve agency internal controls. In efforts to enhance the FEC 

OIG investigative function, we are in the process of implementing a case management system 

(CMS). The CMS will, among other things, significantly streamline the OIG investigative process 

while concurrently improving the knowledge management functions for the office. I anticipate that 

the CMS will increase the OIG’s efficiency and, as a result, the OIG’s overall value to the agency.

We continue to make progress towards ensuring outdated audit recommendations are 

completed and resolved. Additionally, the OIG audit function is focused on 

accomplishing all mandated requirements, such as the Financial Statement and Digital 

Accountability and Transparency Act (DATA Act) audits. The FEC OIG is currently staffed 

with one senior auditor and is in the process of hiring another. We are committed to filling 

this vacancy promptly as the additional auditor position will improve the OIG’s efforts to 

proactively identify systemic issues through audits, inspections, and special reviews. 

Additionally, the Deputy IG position remains vacant and will be a top priority to fill.

Going forward, the OIG remains committed to addressing hotline complaints, resolving 

outstanding audit recommendations, conducting audits and special reviews to 

strengthen agency internal controls, and ensuring the citizens of the United States that 

our programs evince a high level of integrity, which is fundamental to who we are 

as an agency.
5

Of great concern are the vacancies among FEC commissioners. The Commission is required to be 

comprised of six commissioners, appointed by the President, with no more than three members 

affiliated with the same political party. Furthermore, 52 U.S.C. § 30106 requires the 

affirmative vote of four members to take action on particular matters. As of September 2019, the 

FEC lacks a quorum to carry out critical tasks related to the agency’s mission. The lack of 

quorum prevents the Commission from, among other things, issuing decisions on pending 

enforcement actions, opening investigations, issuing advisory opinions, and hiring critical 

senior positions within the agency. 

To conclude, I look forward to continuing to work with the Commission, members 

of Congress, and my IG colleagues to provide oversight and to add value to the 

Commission on behalf of the American taxpayers. This Semiannual Report reflects the 

exceptional work of the FEC OIG personnel and their commitment to the critical mission 

of the OIG. 

Christopher Skinner

Inspector General
Office of Inspector General Semiannual Report to Congress April 1, 2019 - September 30, 2019 6

FEC Office of Inspector General Organization Chart

FEC Office of Inspector General

Organization Chart

Inspector General

Christopher Skinner

Senior Counsel

Carla Smith

Deputy Inspector

General

Investigator IG Specialist

Shayla Walker

*Administrative

Officer

Brenda Bowie

Senior Auditor

Shellie Purnell-Brown

Senior Auditor

Filled

Vacant

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

reports to the IG for purposes of managing the IG’s schedule and related items.
Office of Inspector General Semiannual Report to Congress April 1, 2019 - September 30, 2019 7

Semiannual Report to Congress: April 1 – September 30, 2019 6

OIG Core Values

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

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

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

We strive to collaborate and build key relationships within the OIG 

community and the FEC in order to improve program operations, 

efficiencies, and effectiveness. We universally work together to identify 

potential opportunities to partner with OIG stakeholders in efforts to 

resolve Government wide concerns and maximize the value to the citizens 

of the United States.

We are committed to continually seek personal and operational growth 

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

our dedication to persistently enhance our skillsets in efforts to uphold 

the integrity of the FEC. 

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

while assuring all endeavors of our work reflect transparent and unbiased 

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

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

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

service to customers through objective, accurate, and timely evaluations 

of OIG inquiries in support of FEC operations and procedures.

We are devoted to creating a professional and positive work environment 

in which all colleagues and stakeholders are treated with the utmost 

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

behave respectfully to all with whom we interact.

Honesty

Collaboration

Commitment

Balance

Service

Respect
Office of Inspector General Semiannual Report to Congress April 1, 2019 - September 30, 2019 8

Executive Summary 

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

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

effectiveness of agency resources and programs; and preventing fraud, waste, abuse, and mismanagement. The IG 

Act requires that the IG provide a means for keeping the head of the establishment (“FEC” or “Commission”) and the 

Congress fully and currently informed of problems relating to the administration of FEC programs and operations, by 

means of the reports required by section 5 of the IG Act. Additionally, IG’s are required to report to the Commission 

particularly serious or flagrant problems, abuses, or deficiencies relating to the administration of agency programs and 

operations.

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

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

OIG from April 1, 2019 through September 30, 2019. Additional details pertaining to each activity (e.g., audits, hotline, 

investigations, and special reviews) can be found in subsequent sections of this report. The FEC OIG staff depend 

and act on its OIG Core Principles (honesty, collaboration, commitment, balance, service, and respect) to ensure the 

integrity of all FEC OIG work products. 

Mr. Tony Baptiste was appointed as the acting FEC IG from May to August 2019 to ensure the continuity of OIG 

operations pending the Commission’s selection of a permanent IG. The temporary IG assignment allowed the OIG to 

function and process critical work tasks within the mandatory scope of the IG Act. Under the leadership of Mr. Baptiste, 

the OIG was able to close three (3) investigations as well as solicit proposals and award a critical contract to conduct 

the required annual Financial Statement Audit of the FEC. The FEC OIG is grateful and appreciative of the leadership 

Mr. Baptiste exhibited during a critical juncture for the office. 

The Commission appointed a permanent IG, Mr. Christopher Skinner who reported August 5, 2019. In a very short 

time, Mr. Skinner has brought new vision to the FEC OIG. Notably, the FEC OIG team was able to solicit proposals and 

award a contract for a Case Management System to enhance the investigative function and significantly streamline the 

complaint intake process. Furthermore, the team continues to work through a backlog of investigations and closed ten 

(10) cases during the reporting period. Mr. Skinner’s new vision has created an environment of change within the office;

specifically, he updated all employee position descriptions to accurately reflect the duties of the office, restructured the

organizational configuration, and led a Core Values exercise with OIG staff members to ensure that the staff carry out

the OIG mission with integrity, independence, and transparency.

The FEC Deputy IG position remains vacant but is a top priority for Mr. Skinner to fill in FiscalYear (FY) 2020. Additionally, 

Ms. Mia Forgy, FEC OIG Senior Auditor, resigned during the reporting period, which left the office with one senior auditor 

to perform the audit functions for the office. The OIG is currently in the process of hiring a senior auditor to fill the 

vacancy. The FEC OIG would like to sincerely thank Ms. Forgy for her dedicated service to the agency throughout her 

tenure. 

The FEC OIG’s second five (5) year contract with Leon Snead & Company to conduct the FEC’s annual Financial 

Statement audit concluded in December 2018. The process to award a new contract was delayed due to the lack of a 

permanent or acting IG. Therefore, the FEC OIG released a Statement of Work (SOW) at the end of April 2019 to solicit 

proposals from Independent Public Accounting (IPA) firms to conduct the FEC’s annual Financial Statement audit. The 

temporary Acting IG (Mr. Baptiste) reported in May 2019 and due to the lack of OIG auditing resources, submitted a 

revised SOW to additionally contract the work required for the Digital Accountability and Transparency Act (DATA Act) 

Audit. As a result, the Audit of the FEC’s FY 2019 Financial Statements entrance conference was held on July 3, 2019 

which initiated the planning phase for the audit. The fieldwork and interim testing began on July 19, 2019. The awardee, 

Brown & Company (Brown & Co) is currently in the process of completing interim testing, assessing information 

technology (IT) internal controls, and following-up on the status of prior years’ IT audit findings and recommendations. 

The Audit of FEC’s compliance under the Data Act commenced during this reporting period. The primary purpose 

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

quality, and accuracy of financial and payment data submitted for publication on USASpending.gov; and (2) the FEC’s 

implementation and use of Government-wide financial data standards established by the Office of Management and 

Budget (OMB) and the Department of Treasury. The scope of the audit, as required by the IG Guide, is the review of 
Office of Inspector General Semiannual Report to Congress April 1, 2019 - September 30, 2019 9

FEC’s FY 2019 first quarter financial and payment data submitted for publication on USASpending.gov, which 

additionally includes any applicable procedures, certifications, documentation, and controls associated with the 

publication process.

The entrance conference was held on July 3, 2019. As of September 30, 2019, the engagement team has 

successfully completed the audit planning, internal control assessment, and detailed testing of financial 

transactions and awards submitted to the Treasury DATA Broker.

The FEC OIG is in need of a full time investigator to assist in addressing OIG investigations as the number of 

investigations increased 33% since the last reporting period, and continues to do so. Four (4) new 

cases were opened this reporting period to add to the twelve (12) open cases from the prior period (October 1, 2018 to 

March 31, 2019). The OIG diligently processed and closed ten (10) cases during the reporting period. The OIG 

Senior Counsel continues to remain the Chief Investigator for all OIG investigations.

The FEC OIG continues to thoroughly and accurately address audit and investigative tasks in efforts to 

promote accountability, efficiency, and effectiveness through the independent oversight of the Commissions’ 

programs and operations. Moreover, the FEC OIG is committed to provide complete transparency between 

the Congress, the Commission, and the American taxpayers.
Office of Inspector General Semiannual Report to Congress April 1, 2019 - September 30, 2019 10

OIG Audit Activity 

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

Assignment Number: OIG-19-01

Status: In progress

The FEC OIG’s second five (5) year contract with Leon Snead & Company to conduct the FEC’s annual financial 

statement audit concluded in December 2018. The process to award a new contract was delayed due to the lack of 

a permanent or acting IG in place. Therefore, the FEC OIG released a Statement of Work (SOW) at the end of April 

2019 to solicit proposals from Independent Public Accounting (IPA) firms to conduct the FEC’s annual FS audit. Once 

the temporary Acting IG (Mr. Baptiste) reported in May 2019 and due to the lack of internal auditing resources, the 

OIG submitted a revised SOW to additionally include the work required for the DATA Act Audit. The FEC OIG formed 

a technical evaluation panel that consisted of two FEC OIG staff and one OIG employee from the National Labor 

Relations Board OIG. The panel members independently reviewed all proposals and determined that Brown & Co was 

best suited for the work. 

The entrance conference was held on July 3, 2019, which initiated the planning phase of the audit. During this time, 

Brown & Co worked with the OIG to create project timelines and the audit plan. Fieldwork and interim testing began 

on July 19, 2019. Brown & Co is currently in the process of completing interim testing, assessing IT internal controls, 

and following-up on the status of prior years’ IT audit findings and recommendations. As in prior years, the IPA firm is 

required to conduct additional testing on agency IT controls; however, the FEC is exempt from the Federal Information 

Systems Management Act (FISMA) and is not required to perform the annual FISMA audit.

Final audit testing will be performed from October through early November 2019. The draft report is scheduled to be 

submitted to management on November 7, 2019 and the exit conference is tentatively scheduled for October 23, 2019. 

Currently the audit is scheduled to be completed in accordance with the mandated due date of November 19, 2019.

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

of 2014

Assignment Number: OIG-19-02

Status: In Progress

The Audit of FEC’s compliance under the DATA Act commenced during this reporting period. The primary purpose of 

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

quality, and accuracy of financial and payment data submitted for publication on USASpending.gov; and (2) the FEC’s 

implementation and use of Government-wide financial data standards established by the OMB and Department of 

Treasury. The audit is being conducted in accordance with the Generally Accepted Government Auditing Standards 

(GAGAS) and the IG Guide as required by the DATA Act.

The scope of the audit, as required by the IG Guide, is the review of FEC’s fiscal year 2019 first quarter financial and 

payment data submitted for publication on USASpending.gov, which additionally includes any applicable procedures, 

certifications, documentation, and controls associated with the publication process.

The main objectives are as follows:

• Assess the FEC’s internal controls associated with financial and payment data reported to USASpending.gov per

OMB Circular A-123; 

• Assess the FEC’s internal controls associated with data management, collection, reporting, and processes used

to report financial and payment data under the DATA Act;

• Assess the general and application controls pertaining to the procurement and financial systems from which the

data elements were derived and linked; and

• Perform testing of fiscal year 2019 first quarter financial and payment data submitted by the FEC for publication on

USASpending.gov
Office of Inspector General Semiannual Report to Congress April 1, 2019 - September 30, 2019 11

Due to the limited OIG auditing resources during this reporting period and in order to accomplish the required objectives 

of this performance audit, the OIG contracted with Brown & Co to perform both the Financial Statement and Data 

Act audits. The entrance conference was held on July 3, 2019. As of September 30, 2019, the engagement team has 

completed audit planning, internal control assessment, and a detailed testing of financial transactions and awards 

submitted to the Treasury DATA Broker. Preliminary findings will be communicated to FEC management prior to the 

issuance of the discussion draft report on October 22, 2019. The report must be submitted by the reporting deadline of 

November 8, 2019. As such, we expect to publish the audit results during the next reporting period.

Title: Audit of Contract Management and Oversight

Assignment Number: OIG-16-02

Status: On hold

The Contract Management and Oversight Audit was placed on hold due to the lead auditor resigning in April 2019. The 

FEC OIG continues to experience resource constraints within the audit functions and during the reporting period, the 

OIG focused on completing the mandatory Financial Statement and DATA Act audits which resulted in the Contract 

Management and Oversight audit to remain in a hold status. The OIG is currently in process of hiring a senior auditor to 

assist with independent reviews of FEC programs and operations.
Office of Inspector General Semiannual Report to Congress April 1, 2019 - September 30, 2019 12

OIG Audit Follow-up Activity

Review: Office of Inspector General’s Review of Outstanding Recommendations as of August 2019

Status: Completed

The OIG previously provided the Commission with a semiannual report of outstanding audit and inspection 

recommendations that contained details of the follow-up work conducted by the OIG and the status of each 

recommendation. In August 2018, the OIG issued to the Commission its final semiannual outstanding recommendations 

report and communicated that a formal report will be issued annually. However, due to limited resources within the audit 

function, the OIG has not released a formal report to the Commission in 2019.

We continued follow-up actions with management regarding the following seven (7) open audits and inspections, 

which contained a combined total of 43 outstanding recommendations as of March 31, 2019. In collaboration with 

FEC management, the OIG closed 11 recommendations during the reporting period. The following1

 was provided to 

management in lieu of a formal recommendations report or updated corrective action plans report.

1 The table provided to management included an additional eight (8) outstanding audit recommendations from the FY 2018 Financial Statement Audit
Office of Inspector General Semiannual Report to Congress April 1, 2019 - September 30, 2019 13

OIG Audits/Inspections

Total Outstanding 

Recommendations as 

of March 31, 2019

Total Closed 

Recommendations 

(Apr 1 - Sep 2019)

Total Open as of 

September 20192

2010 Follow-up Audit of Privacy and

Data Protection

8 years outstanding3

20 3 17

2010 Follow-up Audit of Procurement 

and Contract Management

7 years outstanding

1 1 0

Inspection of the FEC’s Disaster 

Recovery Plan and Continuity of 

Operations Plans

6 years outstanding

7 0 7

Audit of the FEC’s Office of Human 

Resources

5 years outstanding

3 1 2

Inspection of FEC’s Compliance with 

FMFIA/OMB A-123

4 years outstanding

2 1 1

Audit of the FEC Telework Programs

2 years outstanding 7 5 2

Required Review Under the DATA Act

1.5 years outstanding 3 0 3

Totals 43 11 32

Total Outstanding Recommendations 32

2

 FEC management has not adequately implemented the remaining recommendations.

3

 Timelines are calculated based on the final report issuance date.
Office of Inspector General Semiannual Report to Congress April 1, 2019 - September 30, 2019 14

OIG Hotline Information

The OIG Hotline provides a means for FEC employees, FEC contractors, and the public to communicate directly and 

confidentially with the OIG. All allegations and referrals of fraud, waste, abuse, mismanagement, and misconduct 

involving FEC employees, contractors, agency programs, operations, and property, are termed “hotline complaints” per 

OIG policy. The OIG takes all complaints seriously; as such, we carefully analyze all complaint details to determine if an 

investigation is warranted. Other courses of action may include but are not limited to, referred to management for action, 

referred to another existing program/process (i.e., EEO, HR), referred to another agency, referred to the audit or special 

review process, or closed and dismissed with no further action.

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

acknowledge that every hotline complaint received by the OIG will not be investigated, and in most cases, a complaint 

does not warrant an investigation based on the allegation(s). OIG policy requires that hotline complaints be evaluated on 

specific criteria, including but not limited to, the merits of the allegation(s), the availability of evidence, and the existing 

priorities, commitments, and resources of the OIG. Additionally, internal policy provides that hotline complaints are 

classified as either “high” or “low” priority. Complaints deemed to be high priority are investigated and complaints deemed 

to be low priority are either closed and dismissed with no action or referred to the appropriate FEC management official 

for potential review and action. The OIG will close a complaint due to a variety of reasons including but not limiting to, 

no applicable law, rule, or regulation violated, lack of specific information, or the inability to contact the complainant 

to obtain additional information. Hotline evaluation decisions are made by the Senior Counsel/Chief Investigator, with 

concurrence from the IG.

As of March 31, 2019, the OIG had eight (8) outstanding hotlines. During this reporting period, three (3) new hotline 

complaints were opened and 11 hotline complaints were closed. As of September 30, 2019, zero (0) hotlines remain 

open.

Hotline Complaint Results

(Apr 1 – Sep 30, 2019)

Hotlines Opened

Employee Hotlines 0

Management Referrals 1

Audit Referrals 0

Congressional Requests 0

Public Complaints 2

Total Hotlines Opened 3

Hotlines Closed

Opened for Investigation 5

Referred to FEC Management 2

Referred to External Agency 0

Closed and Dismissed 4

Total Hotlines Closed 11

Furthermore, the OIG receives misdirected complaints such as reports and allegations that are more suitably addressed 

by the FEC Office of General Counsel (OGC), specifically, the Office of Complaints and Legal Administration, which 

fall outside the jurisdiction and purview of the OIG. In cases of misdirected complaints, the OIG submits a response to 

the individual referring him or her to the appropriate office or agency to best handle the complaint. Occasionally, when 
Office of Inspector General Semiannual Report to Congress April 1, 2019 - September 30, 2019 15

a misdirected communication does not concern a campaign finance violation but falls under the purview of another 

FEC component or other government agency, the OIG may provide the information directly to the appropriate office or 

agency. The OIG may spend a considerable amount of time reviewing and, where appropriate, responding to these 

reports and allegations, despite the fact that they are not valid hotline complaints. In order to capture and document 

these actions, the OIG created a category titled “Misdirected Complaints” which do not meet the criteria for a hotline 

complaint or fall within the FEC OIG’s jurisdiction. During the reporting period, the OIG responded4, which includes, 

referrals, transfers, and/or a standard OIG response to 248 contacts.

4

 The OIG may submit a standard letter in response to a complaint/contact explaining the FEC OIG’s jurisdiction and/or depending on the specificity 

of the complaint, may refer and/or transfer the matter to another internal or external process and/or agency for action deemed appropriate.
Office of Inspector General Semiannual Report to Congress April 1, 2019 - September 30, 2019 16

OIG Investigative Summaries 

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

civil, and criminal violations of laws, regulations, and policies. The subject of an OIG investigation may range from 

any agency employee, FEC contractor, consultant, or a person or entity involved in alleged wrongdoing affecting FEC 

programs and operations. 

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

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

analysis of the issues brought forward by the various sources, and may include interviews of relevant witnesses and 

subjects, document requests and reviews, and computer forensic examinations. On occasion, cases that are opened 

as an investigation are sometimes closed without an official Report of Investigation (ROI) due to among other things,

the evidence or lack of evidence obtained and/or the severity of the allegation(s). Additionally, current workload and 

priorities may determine if an allegation of wrongdoing is better addressed by management. If the OIG determines to 

proceed and prepare an ROI, that report will provide a summary of the complaint, list the specific allegation(s) the

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

investigative findings (i.e., substantiated or not substantiated). During this reporting period, four (4) new 

investigations were opened, and ten (10) investigations were closed.

10

6

OPEN INVESTIGATIONS

AS OF MARCH 31, 2019

OPENED INVESTIGATIONS

(APR 1–SEP 30, 2019)

CLOSED INVESTIGATIONS

(APR 1–SEP 30, 2019)

OPEN INVESTIGATIONS

AS OF SEP 30, 2019

FEC OIG INVESTIGATION STATUS

12

4
Office of Inspector General Semiannual Report to Congress April 1, 2019 - September 30, 2019 17

Furthermore, the chart below illustrates the types of allegations the FEC OIG investigated during the reporting period.

OVERPAYMENTS

THEFT

INAPPROPRIATE DISCRIMINATORY COMMENTS

PREFERENTIAL TREATMENT

RELEASE OF CONFIDENTIAL INFORMATION

TIME AND ATTENDANCE FRAUD

TELEWORK ABUSE

SMARTRIP BENEFITS MISUSE

FEC OIG INVESTIGATIONS – ALLEGATION TYPE

(APR 1 – SEP 30, 2019)

1

1

1

1

1

1

1

3

0 1 2 3 4

Details of all courses of action involving the 10 closed cases are provided below.

Closed Investigations– Courses of Action

(Apr 1 – Sep 30, 2019) # of Investigations

Investigations closed with ROI released to Commissioners 1

ROI completed and released to Commissioners and referred

to local state authorities 1

Investigations closed with Management Alert Memorandum 

(requesting management to follow up with OIG with actions 

taken, if any)

4

Investigations closed with Closing Memorandum but not provided 

to management (referred to audit/special review, or insufficient 

evidence to proceed)

4

Referrals to DOJ for federal prosecution 0

Total 10
Office of Inspector General Semiannual Report to Congress April 1, 2019 - September 30, 2019 18

In accordance with the IG Act, the OIG is required to report on each investigation that involves a senior Government 

employee where allegations of misconduct were substantiated, including a detailed description of the investigation. The 

FEC OIG did not substantiate any allegations against a senior employee but did substantiate an allegation against the 

agency which involved overpayments to FEC commissioners. A short summary of that investigation is provided herein. 

Overpayments - Commissioner Salary Increases

The investigation resulted in an ROI which concluded that FEC failed to implement the pay freeze provisions of the 

Consolidated Appropriations Acts, 2014 to 2018. As a result, during that time, FEC Commissioners received unauthorized 

salary increases in excess of the Executive Schedule level IV pay schedule. The investigation identified no evidence that 

FEC Commissioners received or were otherwise aware of the limitations imposed by the Consolidated Appropriations 

Acts, 2014 to 2018. As a result, the OIG provided recommendations to improve agency internal controls related to 

the monitoring of laws and regulations that impact the FEC. FEC management is awaiting further guidance from the 

National Finance Center on how best to settle the debt.
Office of Inspector General Semiannual Report to Congress April 1, 2019 - September 30, 2019 19

Additional OIG Activity

The IG Act provides that the IG is responsible for: 1) conducting and supervising audits and investigations relating to the 

FEC’s programs and operations; 2) detecting and preventing fraud, waste, and abuse of agency programs and operations 

while providing leadership and coordination; 3) recommending policies designed to promote economy, efficiency, and 

effectiveness of the establishment; and 4) keeping the Commission and Congress fully and currently informed about 

problems and deficiencies in FEC agency programs and operations, and the need for corrective action. As a result, in 

addition to conducting audits, inspections, and investigations, the OIG performs and is involved in an assortment of 

additional projects and activities. The OIG reviews legislation compiled by the Commission’s Congressional Affairs office 

that may affect agency programs and operations. Additionally, the OIG trains new FEC employees by educating staff on 

OIG mission. 

The FEC IG reviews and provides comments, when appropriate, on legislation provided by the Council of Inspectors 

General on Integrity and Efficiency (CIGIE) Legislative Committee. In addition, the IG stays abreast to all Commission 

agenda items to ensure OIG personnel are aware of all agency actions and priorities. Furthermore, the FEC OIG Senior 

Auditor served as a member on the Enterprise Risk Management (ERM) subgroup assisting with documenting and 

implementing a risk-based audit plan guide. Additionally, she represented the FEC OIG at the Federal Audit Executive 

Council Conference and served as a panel member for the ERM working group.

There are no additional OIG activities to report.
Office of Inspector General Semiannual Report to Congress April 1, 2019 - September 30, 2019 20

Council of the Inspectors General on Integrity and Efficiency

Ms. Carla Smith, Senior Counsel and Mr. Tony Baptiste, Acting IG attended CIGIE monthly meetings prior to the selection 

of Mr. Skinner. Following Mr. Skinner’s appointment, he attended monthly CIGIE meetings as well as CIGIE sponsored 

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

as a new IG in the CIGIE community.
Office of Inspector General Semiannual Report to Congress April 1, 2019 - September 30, 2019 21

List of Training, Meetings & Conferences

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

the IG and the OIG staff for the period April 1, 2019 through September 30, 2019.

Trainings, Meetings, Conferences, Etc.

Host / Sponsor Topic / Subject

Association of Certified Fraud 

Examiners 30th Annual Fraud Conference 2019

Committee of Sponsoring 

Organizations of the Treadway 

Commission (COSO)

Enterprise Risk Management (ERM)

Council of Counsels to the Inspectors 

General Small OIG Working Group

Council of the Inspectors General on 

Integrity and Efficiency

2019 CIGIE/GAO Financial Statement Audit Conference

Critical Thinking Skills

ERM Working Group

FAEC Bi-Monthly Meeting Workshop

FAEC 2019 Annual Conference

Annual Leadership Conference

Technology Committee Meeting

Working with Congress, and the Federal Budget Process & 

Preparing and Delivering Congressional Testimony 

Cybersecurity and Infrastructure 

Security Agency (CISA) Fed Virtual 

Training Environment

Cyber Fundamentals for Law Enforcement Investigations

Cyber Security Investigations

Mobile Forensics

Cybrary Introduction to IT & Cybersecurity

Federal Election Commission

2019 COOP Training

Administrative Liaison Group Meetings

Biweekly Director’s Meetings with IG, Acting GC, SD & CFO

Course 101 Introduction to the FSA Workflow System

Finance Committee Meeting

New Employee Orientations

Security Awareness Training for 2019-2020

USA Performance Training NBU Staff
Office of Inspector General Semiannual Report to Congress April 1, 2019 - September 30, 2019 22

Trainings, Meetings, Conferences, Etc.

Host / Sponsor Topic / Subject

General Services Administration SmartPay Travel Card

Graduate School USA Advanced COR Workshop

Contracting Basics for Administrative Personnel

Institute of Internal Auditors Emerging Audit Trends

Volunteer as DC Chapter Officer

Management Concepts

Contracting Officer’s Representative Course

COR Refresher

Manage Risk through Effective Enterprise Management

Overview of Internal Control Guidance

Miscellaneous IG Meet and Greet with Majority and Minority Staff for 

the Committee on House Administration

Other Corporate Finance Institute/Reading Financial Statements

USDA Federal Budgeting for Non-Budgeting Personnel

Wolters Kluwer TeamMate User Forum 2019

Your Internal Controls Compliance for Small Agencies
Office of Inspector General Semiannual Report to Congress April 1, 2019 - September 30, 2019 23

Reporting Requirements

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

IG Act DESCRIPTION PAGE

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

Section 5(a)(1) Significant Problems, Abuses, and Deficiencies None

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

Abuses, and Deficiencies None

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

Corrective Action Has Not Been Completed (Table III) 13 and 27

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

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

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

Section 5(a)(8) Questioned and Unsupported Costs (Table I) 25

Section 5(a)(9) Recommendations that Funds be Put To Better Use (Table II) 26

Section 5(a)(10)(A)

Summary of Audit Reports issued before the start of

the Reporting Period for which No Management Decision

has been made

None

Section 5(a)(10)(B)

Summary of Audit Reports Issued Before the start of the 

Reporting Period for which No Management Comment was 

Returned Within 60 Days

None

Section 5(a)(10)(C)

Summary of Audit Reports Issued Before the Start of 

the Reporting Period for which There Are Outstanding 

Unimplemented Recommendations

None

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

Section 5(a)(12) Management Decisions with which the Inspector General is in 

Disagreement None

Section 5(a)(11) Peer Review Recommendations 29

Section 5(a)(17), (18) Investigative Reports Table and Metrics (Table IV) 16-17,

and 28
Office of Inspector General Semiannual Report to Congress April 1, 2019 - September 30, 2019 24

IG Act DESCRIPTION PAGE

Section 5(a)(19) Investigations Involving a Senior Government Employee

with Substantiated Misconduct None

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

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

Section 5(a)(22) Undisclosed Inspections, Evaluations, Audits,

and Investigations None
Office of Inspector General Semiannual Report to Congress April 1, 2019 - September 30, 2019 25

Table I: Inspector General Issued Reports with Questioned Costs

Required Reporting Number of 

Reports

Questioned

Costs5

Unsupported 

Costs

A.

For which no management decision 

has been made by commencement of

the reporting period 

0 0 0

B.

Which were issued during

the reporting period 0 0 0

Sub-Totals (A&B) 0 0 0

C.

For which a management decision was

made during the reporting period 0 0 0

(i) Dollar value of disallowed costs 0 0 0

(ii) Dollar value of costs not disallowed 0 0 0

D. For which no management decision has been made 

by the end of the reporting period 0 0 0

E. Reports for which no management decision was

made within six months of issuance 0 0 0

5

 Dollar values in thousands.
Office of Inspector General Semiannual Report to Congress April 1, 2019 - September 30, 2019 26

Table II: Inspector General Issued Reports with Recommended 

Actions That Funds Be Spent to Better Use

Required Reporting Number of Rec’s Dollar Value

(In Thousands)

A. For which no management decision has been made by the 

commencement of the reporting period 0 0

B. Which were issued during the reporting period 0 0

C.

For which a management decision was made during the 

reporting period 0 0

(i) dollar value of recommendations were agreed to by

management 0 0

based on proposed management action 0 0

based on proposed legislative action 0 0

(ii) dollar value of recommendations that were not agreed to

by management 0 0

D. For which no management decision has been made by the 

end of the reporting period 0 0

E. Reports for which no management decision was made 

within six months of issuance 0 0
Office of Inspector General Semiannual Report to Congress April 1, 2019 - September 30, 2019 27

Table III: Summary of Audit and Inspection Reports with Corrective 

Actions Outstanding

Report Title Report 

Number

Date 

Issued

Total 

Rec’s Closed Open Cost Savings

2010 Follow-up Audit of Procurement 

and Contract Management OIG-10-02 06/11 1 1 0 0

2010 Follow-up Audit of Privacy and 

Data Protection OIG-10-03 03/11 20 3 17 0

Inspection of the Federal Election 

Commission’s Disaster Recovery Plan 

and Continuity of Operations Plans

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

Audit of the Federal Election 

Commission’s Office of Human 

Resources 

OIG-12-05 07/13 3 1 2 0

Inspection of FEC’s Compliance with 

FMFIA/ OMB Circular A-123 OIG-14-01 06/14 2 1 1 0

Audit of the FEC’s Telework Programs OIG-15-03 06/16 7 5 2 0

Required Review Under the DATA Act OIG-17-05 11/17 3 0 3 0

Totals 43 11 32 0
Office of Inspector General Semiannual Report to Congress April 1, 2019 - September 30, 2019 28

Table IV: Summary of Investigative Reports and Actions6

FEC OIG Investigations Courses of Action

(Apr 1 – Sep 30, 2019) Number

Total Number of Closed Cases for Reporting Period 10

Total Number of Persons Referred to DOJ for Criminal Prosecution 0

Total Number of Persons Referred to State and Local Prosecuting

Authorities for Criminal Prosecution 1

Total Number of Indictments and Criminal Information Resulting from 

Any Prior Referral to Prosecuting Authorities 0

6

 Metrics Used for Developing Data for Table IV: 

The Total Number of Investigative Reports Issued reflects the number of all Reports of Investigation (ROI) issued to FEC Commissioners, Closing 

Memorandums, and Management Alerts issued to FEC management, the Department of Justice, or State and local prosecuting authorities during 

the reporting period; 

The Total Number of Persons Referred to DOJ for Criminal Prosecution and Total Number of Persons Referred to State and Local Prosecuting 

Authorities for Criminal Prosecution reflects the total number of referrals for criminal prosecution made by the FEC OIG to the respective criminal 

prosecuting authorities during the reporting period; and

The Total Number of Indictments and Criminal Information Resulting from Any Prior Referral to Prosecuting Authorities includes all indictments and 

information issued during the reporting period by Federal, State, or local criminal prosecuting authorities based upon any referral by the FEC OIG, 

whether the referral was made during this reporting period or a prior reporting period.
Office of Inspector General Semiannual Report to Congress April 1, 2019 - September 30, 2019 29

Appendix A: Peer Review Results

In accordance with the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 (Section 989C of P.L. 

111-203 and as amended in section 5 of the IG Act), OIGs are required to report to Congress, as applicable, results

of any peer reviews it received or conducted during the reporting period. Specifically, OIGs are required to report any

outstanding recommendations that resulted from the peer review. The most recent peer review of the FEC OIG was

conducted by the Farm Credit Administration (FCA) OIG and the final report was issued on February 15, 2017. The

FCA OIG report did not include any recommendations for FEC OIG. Additionally, the FEC OIG does not have any open

recommendations from prior peer reviews. The current peer review period ended on September 30, 2019.

OIG Peer Review Activity

During this reporting period, there are no peer review results to report.
Office of Inspector General Semiannual Report to Congress April 1, 2019 - September 30, 2019 30

Appendix B: Mission Statements

The Federal Election Commission

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

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

information, enforce the provisions of the law, and oversee the public funding of Presidential elections.

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

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

three Commissioners can be members of the same political party, and at least four votes are required for any official 

Commission action. The Chairmanship of the Commission rotates among the members each year, with no member 

serving as Chairman more than once during his or her term. 

Currently the FEC has three Commissioners and three vacancies – Ellen L. Weintraub (Chair); Caroline C. Hunter, and 

Steven T. Walther.

Office of Inspector General

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

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

improvements in the management of FEC programs and operations by independently conducting audits, reviews, and 

investigations. Our overriding objective is excellence and continuous improvement.
or toll free at 1-800-424-9530 (press 0; then dial 1015)

Fax us at 202-501-8134 or e-mail us at oig@fec.gov

Visit or write to us at 1050 First Street, N.E., Suite 1010, Washington DC 20463

Federal Election Commission

Office of Inspector General

Individuals including FEC and FEC contractor employees are encouraged to alert the OIG to fraud, waste, 

abuse, and mismanagement of agency programs and operations. Individuals who contact the OIG can remain 

anonymous. However, persons who report allegations are encouraged to provide their contact information in the 

event additional questions arise as the OIG evaluates the allegations. Allegations with limited details or merit may be 

held in abeyance until further specific details are reported or obtained. Pursuant to the Inspector General Act of 1978, 

as amended, the Inspector General will not disclose the identity of an individual who provides information without 

the consent of that individual, unless the Inspector General determines that such disclosure is unavoidable during 

the course of an investigation. To learn more about the OIG, visit our Website at: http://www.fec.gov/fecig/fecig.shtml 

Together we can make a difference.

Fraud Hotline

202-694-1015