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Department of Homeland Security's FY 2014 Compliance with the Improper Payments Elimination and Recovery Act of 2010 (Revised)
From the Highlights: "Our objective was to determine whether the Department of Homeland Security (DHS) complied with the 'Improper Payments Elimination and Recovery Act of 2010' (IPERA). We also evaluated the accuracy and completeness of DHS' improper payment reporting and DHS' performance in reducing and recapturing improper payments. [...] We recommend that DHS' Risk Management and Assurance Division (RM&A) and Federal Emergency Management Agency (FEMA) strengthen their oversight and review procedures for IPERA risk assessments and improper payment testing. We also recommend that RM&A follows the Office of Management and Budget's requirements to comply with IPERA."
United States. Department of Homeland Security. Office of Inspector General
2016-02-22
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[Letter from John E. McCoy II to Jeff Byard Regarding Office of Inspector General Emergency Management Oversight Team Deployment Audits, March 8, 2018]
From the Document: "After completing an internal review of our audits related to multiple Emergency Management Oversight Team (EMOT) projects, we have decided to permanently remove the subject reports from our public website. Our internal review found the subject reports may not have adequately answered objectives and, in some cases, may have lacked sufficient and appropriate evidence to support conclusions. Answering objectives with sufficient and appropriate evidence is required under Government Auditing Standards or Quality Standards for Inspection and Evaluation. In an abundance of caution, we believe it best to recall the reports and not re-issue them."
United States. Department of Homeland Security. Office of Inspector General
McCoy, II, John E.
2018-03-08
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FEMA Should Recover $21.7 Million of $376 Million in Public Assistance Grant Funds Awarded to the City of Biloxi, Mississippi, for Hurricane Katrina Damages
From the Highlights: "This is our third audit of the FEMA Public Assistance grant the City received for 2005 Hurricane Katrina damages. In this third audit, we reviewed 22 projects totaling $376 million. The City started spending most of its Federal funding on these 22 projects within the last 3 years and has claimed only about 18 percent of the $376 million. [...] FEMA should disallow $21.7 of improper contract costs and direct Mississippi to monitor the City and provide it technical assistance to decrease the risk of losing additional FEMA funds."
United States. Department of Homeland Security. Office of Inspector General
2015-08-21
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Kansas and the Unified School District #473 in Chapman, Kansas, Did Not Properly Administer $50 Million of FEMA Grant Funds
From the Highlights: "The Unified School District #473 in Chapman, Kansas, (Chapman) received an award of $65.2 million in Federal Emergency Management Agency (FEMA) grant funds for damages from severe storms, tornadoes, and flooding that occurred May 22, through June 16, 2008. [...] After the devastating storms, Chapman did an outstanding job of reopening all schools by August 18, 2008. However, a year after the storms, Chapman began work to rebuild its schools, but did not follow Federal procurement standards in awarding contracts valued at $50 million. As a result, FEMA has no assurance that contract costs were reasonable; full and open competition did not occur; and small and minority/women-owned firms did not receive opportunities to bid on Federal contracts."
United States. Department of Homeland Security. Office of Inspector General
2015-06-24
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Dixie Electric Membership Corporation, Greenwell Springs, Louisiana, Generally Accounted for and Expended FEMA Grants Funds Properly
From the Highlights: "Dixie Electric Membership Corporation (Dixie Electric) generally accounted for and expended Federal Emergency Management Agency (FEMA) Public Assistance grant funds according to Federal requirements. Dixie Electric used its own employees, mutual aid agreements with other electric cooperatives, and contractors to restore power to its customers by September 4, 2012, only 6 days after the disaster. Although Dixie Electric did not always comply with Federal procurement standards in awarding 10 contracts for disaster work totaling $4.4 million, we question only $21,740 for non-compliance because contractors performed most of the work under exigent circumstances to restore power. Additionally, we question $15,292 of ineligible contract costs resulting from an overbilling. We also determined that, at the time of our audit, Louisiana had not submitted a final claim to FEMA even though Dixie Electric completed all grant work by 2013. Federal regulations require grantees to submit large projects for closeout as soon as practicable after the subgrantee has completed the approved work and requested payment. Without timely closeouts, subgrantees remain uncertain as to the status of Federal funds, while institutional knowledge, supporting documentation, and access to records disappear with the passage of time."
United States. Department of Homeland Security. Office of Inspector General
2015-06-17
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FEMA Should Recover $337,135 of Ineligible or Unused Grant Funds Awarded to the Port of Tillamook Bay, Oregon
From the Highlights: "We audited Federal Emergency Management Agency (FEMA) Public Assistance grant funds awarded to the Port of Tillamook Bay, Oregon (Port), for damages resulting from severe storms, flooding, landslides, and mudslides that occurred in December 2007."
United States. Department of Homeland Security. Office of Inspector General
2015-06-15
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FEMA Should Recover $4.85 Million of Ineligible Grant Funds Awarded to Oklahoma City, Oklahoma
From the Highlights: "Oklahoma City, Oklahoma, (City) did not always account for and expend FEMA grant funds according to Federal regulations and FEMA guidelines. The City claimed $4.85 million in contract costs without taking the affirmative steps that Federal regulations require to ensure the use of small and minority firms, women's business enterprises, and labor surplus area firms when possible, nor did it take the steps that its own affirmative policy required. As a result, FEMA has no assurance that these types of firms had sufficient opportunities to bid on federally funded work as Congress intended. In addition, the City did not comply with two additional Federal requirements: it did not always perform a cost or price analysis on its procurements and did not include all required contract provisions in its contracts. The City's claim also included $8,050 of ineligible costs resulting from accounting errors. These findings occurred, in part, because Oklahoma, as the grantee, did not take a more proactive role in monitoring the City's contracting activities. It is the grantee's responsibility to ensure that its subgrantees are aware of and comply with Federal requirements."
United States. Department of Homeland Security. Office of Inspector General
2015-07-01
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Lawrence County Engineer, Ohio, Generally Accounted for and Expended FEMA Grant Funds Properly
From the Highlights: "Lawrence County Engineer, Ohio (Lawrence), received a Federal Emergency Management Agency (FEMA) Public Assistance award of $7.5 million for damages resulting from severe storms and flooding during April 4-May 15, 2011. Our audit objective was to determine whether Lawrence accounted for and expended FEMA funds according to Federal regulations and FEMA guidelines."
United States. Department of Homeland Security. Office of Inspector General
2015-06-25
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Montgomery County, Maryland, Generally Accounted for and Expended FEMA Public Assistance Grant Funds According to Federal Requirements - Hurricane Sandy Activities
From the Highlights: "Montgomery County, Maryland, (County) received a Public Assistance grant award of $3.0 million from the Maryland Emergency Management Agency, a Federal Emergency Management Agency (FEMA) grantee, for damages resulting from Hurricane Sandy in October 2012. Our audit objective was to determine whether the County accounted for and expended FEMA funds according to Federal requirements."
United States. Department of Homeland Security. Office of Inspector General
2015-07-21
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Management Advisory on Department of Homeland Security Components' Reporting of Conference Spending
From the Summary: "We reviewed whether, from October 1, 2013, to December 31, 2014, DHS components reported conference expenses to OIG [Office of Inspector General] and the public as required. During this time period, DHS components reported 28 (15 percent) of 187 conferences they were required to report to OIG; of the 28, 2 (7 percent) were reported within the required 15 days. Based on conference expenses reported in the first quarter of fiscal year (FY) 2015, the components' compliance with the reporting requirement is improving--the percentage of conferences reported rose from 13 percent in FY 2014 to 30 percent in the first quarter of FY 2015. For all but one conference with expenses exceeding $100,000, DHS published conference expenditures on its website as required, but the public cannot easily find this information. We made three recommendations to improve DHS components' required reporting of conferences to OIG and the public. DHS concurred with these recommendations and took responsive action; we consider all three recommendations closed."
United States. Department of Homeland Security. Office of Inspector General
2015-08-10
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Montgomery County, Maryland, Effectively Managed FEMA Public Assistance Grant Funds Awarded for Severe Storms During June and July 2012
From the Highlights: "Montgomery County, Maryland (County) received a Public Assistance award of $8.2 million from the Maryland Emergency Management Agency, a Federal Emergency Management Agency (FEMA) grantee for damages resulting from severe storms during June and July 2012. Our audit objective was to determine whether the County accounted for and expended FEMA funds according to Federal requirements."
United States. Department of Homeland Security. Office of Inspector General
2015-07-21
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Jefferson Parish, Louisiana, Generally Accounted for and Expended FEMA Grant Funds Properly
From the Highlights: "Jefferson Parish, Louisiana, (Parish) received an award of $18.1 million from the Louisiana Governor's Office of Homeland Security and Emergency Preparedness (Louisiana), a Federal Emergency Management Agency (FEMA) grantee, for damages resulting from Hurricane Isaac, which occurred in August 2012. Our audit objective was to determine whether the Parish accounted for and expended FEMA funds according to Federal regulations and FEMA guidelines."
United States. Department of Homeland Security. Office of Inspector General
2015-08-20
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Scott County, Minnesota, Physical Development Department Has Adequate Policies, Procedures, and Business Practices to Effectively Manage Its FEMA Public Assistance Grant Funding
From the Highlights: "Scott County's Physical Development Department in Jordan, Minnesota (County), received a $2.6 million grant for damages from a June 2014 disaster. We conducted this audit early in the grant process to identify areas where the County may need technical assistance of monitoring to ensure compliance with Federal requirements."
United States. Department of Homeland Security. Office of Inspector General
2015-08-12
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Mankato, Minnesota, Has Adequate Policies, Procedures, and Business Practices to Effectively Manage Its FEMA Public Assistance Grant Funding
From the Highlights: "The City of Mankato, Minnesota (City) received a $939,719 grant for damages from a June 2014 disaster. We conducted this audit early in the grant process to identify areas where the City may need additional technical assistance or monitoring to ensure compliance with Federal requirements. [...] The City has established policies, procedures, and business practices to account for and expend Federal Emergency Management Agency (FEMA) Public Assistance grant funds according to Federal regulations and FEMA guidelines."
United States. Department of Homeland Security. Office of Inspector General
2015-08-21
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Knoxville Utilities Board Effectively Managed FEMA Public Assistance Grant Funds Awarded for Damages from Tornadoes and Severe Storms in June 2011
From the Highlights: "The Knoxville Utilities Board (Utility) received a Public Assistance award of $5.2 million from the Tennessee Emergency Management Agency (Tennessee), a Federal Emergency Management Agency (FEMA) grantee, for damages resulting from tornadoes and severe storms in June 2011. We audited projects totaling $4.3 million to determine whether the Utility accounted for and expended FEMA funds according to Federal requirements."
United States. Department of Homeland Security. Office of Inspector General
2015-08-24
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New York's Management of Homeland Security Grant Program Awards for Fiscal Years 2010-12
From the Highlights: "New York (State) and the New York City urban area distributed and spent Homeland Security Grant Program awards to enhance their homeland security capabilities; however, both need to make improvements to ensure future spending complies with applicable Federal laws and regulations. In addition, neither the State nor the urban area included adequately defined goals and objectives in their homeland security strategies. The State also did not obligate funds to subgrantees within the required timeframes. Neither the State nor the New York City urban area had sufficient management controls to ensure subgrantees used grant funds appropriately. The State's and urban area's inadequate fiscal monitoring contributed to these issues. As a result, we identified more than $67 million in questioned costs related to operational overtime, management and administration, and training that were not spent according to grant guidance or were not adequately supported."
United States. Department of Homeland Security. Office of Inspector General
2015-06-19
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City of Atlanta, Georgia, Effectively Managed FEMA Public Assistance Grant Funds Awarded for Severe Storms and Flooding in September 2009
From the Highlights: "The City of Atlanta, Georgia, (City) received a $13.5 million award from the Georgia Emergency Management Agency, a Federal Emergency Management Agency (FEMA) grantee, for damages resulting from severe storms and flooding in September 2009."
United States. Department of Homeland Security. Office of Inspector General
2015-05-19
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City of Rocky Mount, North Carolina, Effectively Managed FEMA Public Assistance Grant Funds Awarded for Hurricane Irene Damages
From the Highlights: "The City of Rocky Mount, North Carolina (City), received a Public Assistance award of $5.4 million from the North Carolina Division of Emergency Management, a Federal Emergency Management Agency (FEMA) grantee, for damages resulting from Hurricane Irene in August 2011. We audited projects totaling $5.3 million to determine whether the City accounted for and expended FEMA funds according to Federal requirements."
United States. Department of Homeland Security. Office of Inspector General
2015-06-12
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Audit Tips for Managing Disaster-Related Project Costs
From the Document: "More than 100,000 recipients and subrecipients of FEMA disaster assistance grants are currently working on about 600,000 open projects worth over $50 billion. Under the Public Assistance Program, FEMA provides grants to state, tribal, and local governments, and private nonprofit organizations so that communities can quickly respond to and recover from major disasters. FEMA's Hazard Mitigation Grant Program provides funding to the same entities to implement long-term measures to prevent damages from future disasters. Using this report will assist Disaster Assistance applicants-- [1] document and account for disaster-related costs; [2] minimize the loss of FEMA disaster assistance funds; [3] maximize financial recovery; and [4] prevent fraud, waste, and abuse of disaster funds."
United States. Department of Homeland Security. Office of Inspector General
2015-06-08
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Chippewa Cree Tribe of the Rocky Boy's Indian Reservation in Montana Mismanaged $3.9 Million in FEMA Disaster Grant Funds
From the Highlights: "The Chippewa Cree Tribe of the Rocky Boy's Indian Reservation in Montana (Tribe) mismanaged this grant, which resulted in a domino effect of negative consequences. First, the Tribe awarded a $3.7 million sole-source contract to a Tribal-owned corporation, the Chippewa Cree Construction Corporation (Corporation). The lack of full and open competition set the stage for fraud, waste, and abuse. Then, the Tribe neglected to identify the material deficiencies in the Corporation's fiscal controls and accounting procedures. The Corporation's Chief Executive Officer took advantage of these weaknesses; and a Federal court has since convicted him of Federal corruption charges for embezzling the Tribe's insurance proceeds and FEMA grant funds, and sentenced him to prison in August 2014. Finally, the Tribe could not provide documentation sufficient to support the $3.9 million it claimed for Project 117. Evidence indicates that these significant grant management problems may have also negatively affected the Tribe's other projects, especially considering that the Tribe used the same contractor, the Corporation, for other disaster work. Therefore, we plan to audit additional projects that comprise the Tribe's total gross award of $31.6 million."
United States. Department of Homeland Security. Office of Inspector General
2015-06-09
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City of Napa, California, Needs Additional Technical Assistance and Monitoring to Ensure Compliance with Federal Regulations
From the Highlights: "On August 24, 2014, a magnitude 6.0 earthquake struck northern California. FEMA expects eligible damages in the City of Napa, California (City) from the earthquake and aftershocks to exceed $8 million. We conducted this audit early in the grant process to identify areas where the City may need additional technical assistance or monitoring to ensure compliance with Federal requirements."
United States. Department of Homeland Security. Office of Inspector General
2015-08-20
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Boulder County, Colorado, Has Adequate Policies and Procedures to Manage Its Grant, but FEMA Should Deobligate About $2.5 Million in Unneeded Funds
From the Highlights: "The County [Boulder County, Colorado] has adequate policies, procedures, and business practices to account for and expend Public Assistance grant funds according to Federal regulations and FEMA guidelines. The County accounted for disaster costs on a project-by-project basis and adequately supported repair costs. Additionally, the County has adequate procurement policies and procedures to ensure compliance with Federal procurement requirements. Further, the County's insurance procedures and practices are adequate to ensure that anticipated insurance proceeds are deducted from eligible projects. However, the County completed two large projects below original estimated budget, and about $2.5 million remains obligated. FEMA, after reconciling obligated dollars to actual incurred costs, should deobligate the unneeded funds ahead of the large project closeout phase, and put those funds to better use."
United States. Department of Homeland Security. Office of Inspector General
2015-06-05
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U.S. Customs and Border Protection Has Taken Steps to Address Insider Threat, but Challenges Remain (Redacted)
From the Executive Summary: "We reviewed the efforts of U.S. Customs and Border Protection (CBP) to address the risk posed by trusted insiders. Our objective was to assess CBP's progress toward protecting its information technology assets from threats posed by its employees, especially those with trusted or elevated access to sensitive information systems or data. CBP has made progress in addressing the risk of insider threats across the organization. Specifically, CBP established a working group and a committee focused on the risk. Further, CBP researches employee behavior, conducts pre-employment screening including polygraph assessments, and participates in border corruption task forces with the Federal Bureau of Investigation. Also, CBP established a Joint Intake Center and Security Operations Center to centrally identify, monitor, and respond to potential insider threat risks or incidents in information systems and networks. While these efforts have resulted in some improvements, CBP has opportunities to improve its security posture against threats posed by employees and contractors."
United States. Department of Homeland Security. Office of Inspector General
Saunders, Richard; Greene, Phillip; He, Scott . . .
2013-09
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United States Citizenship and Immigration Services' Employment-Based Fifth Preference (EB-5) Regional Center Program
From the Executive Summary: "In 1990, Congress created the United States Citizenship and Immigration Services' (USCIS) Immigrant Investor Program, also known as the Employment-Based Fifth Preference Program. The program's intent was to stimulate the United States (U.S.) economy through job creation and capital investment by foreign investors. Three years later, the Departments of Commerce, Justice and State, the Judiciary, and 'Related Agencies Appropriations Act, 1993' created the regional center pilot program for pooling investor money in a defined industry and geographic area. Our audit objective was to determine whether the USCIS' Employment-Based Fifth Preference regional center program is administered and managed effectively. Several conditions prevent USCIS from administering and managing the Employment-Based Fifth Preference regional center program effectively."
United States. Department of Homeland Security. Office of Inspector General
2013-12-12
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Nebraska's Management of State Homeland Security Grant Program Awards for Fiscal Years 2009 Through 2011
From the Executive Summary: "Public Law 110-53, Implementing Recommendations of the 9/11 Commission Act of 2007, requires the Department of Homeland Security (DHS), Office of Inspector General (OIG), to audit individual States' management of State Homeland Security Program and Urban Areas Security Initiative grants. This report responds to the reporting requirement for the State of Nebraska. The audit objectives were to determine whether the State of Nebraska (1) spent grant funds effectively and efficiently, and (2) complied with applicable Federal laws and regulations and DHS guidelines governing the use of such funding. We also addressed the extent to which grant funds enhanced the State's grantees ability to prevent, prepare for, protect against, and respond to natural disasters, acts of terrorism, and other manmade disasters. The Federal Emergency Management Agency (FEMA) awarded the State of Nebraska approximately $19.3 million in State Homeland Security Program and Urban Areas Security Initiative grants during fiscal years 2009 through 2011."
United States. Department of Homeland Security. Office of Inspector General
2013-08-19
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DHS' Efforts to Screen Members of Foreign Terrorist Organizations (Redacted)
From the Executive Summary: "The 'Homeland Security Act of 2002' transferred to the Department of Homeland Security (DHS) a prominent role in the visa security process. Several DHS components, as well as other U.S. Government departments and agencies, have roles and responsibilities to ensure that members of Foreign Terrorist Organizations who seek admission into the United States may be admitted only in compliance with applicable Federal laws. [...] We assessed DHS' efforts to screen members of Foreign Terrorist Organizations. Specifically, we reviewed whether (1) DHS has policies and procedures for admitting members of Foreign Terrorist Organizations into the United States; (2) DHS and the Department of State coordinate their efforts when waivers for inadmissibility are granted to members of Foreign Terrorist Organizations; (3) the admittance of a specific individual to the United States was in compliance with applicable Federal laws and DHS policies; and (4) DHS has a role in custodial transfers of foreign nationals who are in Department of Justice custody on terrorism charges."
United States. Department of Homeland Security. Office of Inspector General
2013-07-22
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Los Angeles County, California, Did Not Properly Account for and Expend $3.9 Million in FEMA Grant Funds for Debris-Related Costs
From the Document: "We are currently auditing Federal Emergency Management Agency (FEMA) Public Assistance grant funds awarded to Los Angeles County, California (County), Public Assistance Identification Number 037-99037-00. This report generally focuses on debris-related activities of that Public Assistance grant. Our audit objective is to determine whether the County accounted for and expended FEMA Public Assistance grant funds according to Federal regulations and FEMA guidelines. [...] This report presents findings related to five projects we comprehensively audited, totaling $10.4 million in awarded project funding for debris-related costs, for which the County has requested $6 million in reimbursements for costs incurred. The purpose of this memorandum is to advise you that although we have not yet completed our final report on the County for the aforementioned disaster, we nevertheless identified a broad spectrum of costs associated with the County's debris-related activities that should be disallowed."
United States. Department of Homeland Security. Office of Inspector General
2013-07-18
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Palm Beach County, Florida, Appropriately Expended $4.8 Million of FEMA Public Assistance Funds Awarded for Beach Renourishment Activities Under Tropical Storm Fay
From the Document: "We audited Public Assistance funds awarded to Palm Beach County, Florida (County) (FIPS Code 099-99099-00). Our audit objective was to determine whether the County accounted for and expended Federal Emergency Management Agency (FEMA) funds according to Federal regulations and FEMA guidelines. The County received a Public Assistance grant award totaling $5.1 million from the Florida Division of Emergency Management (State), a FEMA grantee, for damages resulting from Tropical Storm Fay, which occurred in August 2008. The award provided 75 percent FEMA funding for debris removal, emergency protective measures, and permanent repairs to buildings, roads, and recreational facilities. The award consisted of 4 large projects and 13 small projects. [...] The audit covered the period August 18, 2008, to March 7, 2013, during which the County claimed $4.6 million under the projects reviewed. At the time of our audit, the County had completed work on all projects included in our review and had submitted a final claim to the State for project expenditures."
United States. Department of Homeland Security. Office of Inspector General
2013-07-09
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DHS' Policies and Procedures Over Conferences
From the Executive Summary: "The Department of Homeland Security (DHS) conducts and participates in conferences for various purposes, including employee and stakeholder training, information sharing, and mission support. According to the Department, it participated in 1,094 conferences in fiscal year 2012, with expenditures totaling approximately $21.6 million. We conducted this audit in response to a mandate from the House Appropriations Committee, which directed the Office of Inspector General to report, no later than 30 days after the date of enactment of the DHS Fiscal Year 2013 Appropriations Bill, whether DHS has effective procedures in place to ensure compliance with all applicable Federal laws and regulations on conferences. The Fiscal Year 2013 Appropriations Bill was enacted on March 26, 2013. The Department has established policies and procedures to ensure that conference spending is appropriate and in the best interest of the U.S. Government and taxpayers, but further improvements are needed. Although the Department complies with most aspects of the Office of Management and Budget's guidance, it has not finalized its guidance on conferences, and has not always adhered to its policies on conference oversight. To that end, DHS cannot be assured that all conference spending is appropriate or in the best interest of the U.S. Government and taxpayers."
United States. Department of Homeland Security. Office of Inspector General
2013-06-11
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FEMA's Efforts to Recoup Improper Payments in Accordance with the Disaster Assistance Recoupment Fairness Act of 2011 (6)
From the Background and Overview: "The 'Disaster Assistance Recoupment Fairness Act of 2011' (DARFA; Section 565 of the 'Consolidated Appropriations Act', 2012, Public Law 112‐74) provided a limited‐time, discretionary authority for the Federal Emergency Management Agency (FEMA) Administrator to waive debts arising from improper payments provided for disasters declared between August 28, 2005, and December 31, 2010. Otherwise, FEMA was required to recoup improperly paid amounts under Federal debt collections laws. [...] Based on our reviews of FEMA's efforts to recoup improper payments, we determined that FEMA generally processed cases in accordance with DARFA and FEMA's implementing regulations. However, FEMA did not always properly grant waivers for DARFA cases it adjudicated. Specifically, about 30 percent of the cases we reviewed in our statistically validated sample did not have adequate support to grant waivers. Additionally, FEMA needed to review and process nearly 30,000 DARFA debt recoupment cases. FEMA needed to determine if these cases should be collected or compromised internally or referred to Treasury for collection. FEMA's Waiver Review Governance Group did not use a comprehensive quality assurance assessment to adjudicate DARFA waiver applications because it reviewed only debts that FEMA initially determined it should not waive. This governance group did not review any debts initially authorized a waiver. This sixth and final DARFA report contains recommendations aimed at improving FEMA's reviews and processes of future debt recoupment cases."
United States. Department of Homeland Security. Office of Inspector General
2013-06-21
