Independent Auditors’ Performance Audit Report on the U.S. Department of the Interior Federal Information Security Modernization Act for Fiscal Year 2017
The Federal Information Security Modernization Act (FISMA) for fiscal year (FY) 2017. FISMA (Public Law 113-283) requires Federal agencies to have an annual independent evaluation of their information security programs and practices. This evaluation can be performed by either the agency’s Office of Inspector General (OIG) or by an independent external auditor, as determined by the OIG, to determine the effectiveness of such programs and practices.
Alleged Ethics Violations by a Former SOL Employee
OIG investigated allegations that a former attorney-advisor for the U.S. Department of the Interior (DOI) Office of the Solicitor (SOL), may have violated post-employment restrictions by representing a DOI employee in her Equal Employment Opportunity complaint against the Bureau of Indian Affairs (BIA). The former attorney-advisor made a counter allegation that she was the subject of harassment by the SOL.
We found no evidence the former attorney-advisor was involved in matters during her tenure at DOI that would have prohibited her from representing her client.
Interior Incident Response Program Calls for Improvement
We evaluated the Department to determine whether it effectively follows the incident response lifecycle, as defined by the National Institute of Standards and Technology (NIST). We found that the Office of the Chief Information Officer (OCIO) had not fully implemented the capabilities recommended by NIST in its incident detection and response program.
Embezzlement at Shonto Preparatory School
The OIG and the FBI jointly investigated allegations that two employees stole school funds from the Shonto Preparatory School (SPS) in Arizona, which is funded by grants from the Bureau of Indian Education.
The investigation determined that former SPS Business Manager Felicia Barlow stole $20,430.87 by fraudulently obtaining three SPS checks. Barlow pled guilty to one count in violation of 18 U.S.C. § 1163, Embezzlement and theft from Indian tribal organizations, in U.S.
Alleged Fraud Involving the United Mine Workers of America Health and Retirement Funds
OIG investigated allegations that the United Mine Workers of America Health and Retirement Funds (UMWAF) was not adhering to Federal law and regulations concerning three federally supported health benefit plans. According to the allegations, the UMWAF enrolled beneficiaries in the combined benefit fund (CBF) after the enrollment cutoff date and inflated the beneficiary numbers by retaining deceased beneficiaries in its records.
Falsification of Sick Leave by former OST Employee
OIG investigated allegations that an employee at the Office of the Special Trustee for American Indians (OST) lied about her cancer diagnosis, forged medical records, falsified documents, and abused her own sick leave and leave donated by coworkers.
Our investigation confirmed the allegations. We found no evidence that the OST employee had been diagnosed with cancer or that she received medical care for cancer as she claimed. On 15 occasions, the employee submitted physicians’ notes to OST containing forged signatures from 5 separate medical providers.
Theft of Funds from the Petrified Forest National Park
OIG investigated discrepancies identified after the National Park Service (NPS) conducted an electronic audit of the fee collection software at the Petrified Forest National Park (PEFO), located in eastern Arizona, which compared cash collected at the park with cash deposits made into the bank.
Our investigation determined that from approximately 2010 through March 2016, Sharon Baldwin, Supervisory Visitor Use Assistant, exploited vulnerabilities in the NPS remittance process at PEFO and stole approximately $313,000 in fees collected at the park.
Unsubstantiated Allegations of Inappropriate Procurement and Budget Actions by BLM Office
The OIG investigated allegations that the Bureau of Land Management’s (BLM’s) Wyoming State Office (WYSO) had entered into an unneeded contract for oil-and-gas-record digitization services, had improperly selected the contractor, and had improperly carried the funds for the digitization project across fiscal years. We also investigated an allegation that WYSO had not received proper compensation for record copying and other clerical services it had performed for an oil and gas company.
Our investigation did not substantiate these allegations.
U.S. Fish and Wildlife Service Wildlife and Sport Fish Restoration Program Grants Awarded to the New York State Department of Environmental Conservation, Division of Fish and Wildlife, From April 1, 2014, Through March 31, 2016
OIG’s audit of grants to New York’s State Department of Environmental Conservation, Division of Fish and Wildlife, included claims totaling approximately $171 million on 19 grants that were open during the State fiscal years that ended March 31, 2015, and March 31, 2016.