Citation
Office of inspector general semiannual report

Material Information

Title:
Office of inspector general semiannual report
Alternate Title:
NASA office of inspector general semiannual report
Creator:
United States -- National Aeronautics and Space Administration. -- Office of Inspector General
Place of Publication:
Washington, D.C
Publisher:
NASA Office of Inspector General
Publication Date:
Frequency:
Two issues yearly
semiannual
regular
Language:
English
Physical Description:
v. : ; 28 cm.

Subjects

Subjects / Keywords:
Auditing, Internal ( lcsh )
NASA PROGRAMS ( nasat )
INVESTIGATION ( nasat )
Auditing, Internal ( fast )
Genre:
serial ( sobekcm )
federal government publication ( marcgt )

Notes

Dates or Sequential Designation:
1986-
General Note:
Title from cover.

Record Information

Source Institution:
University of Florida
Holding Location:
University of Florida
Rights Management:
This item is a work of the U.S. federal government and not subject to copyright pursuant to 17 U.S.C. §105.
Resource Identifier:
21631971 ( OCLC )
ocm21631971

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Aggregations:
Digital Aerospace Collection

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NASA OFFICE OF INSPECTOR GENERAL SEMI ANNUAL REPORT

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INSPECTOR GENERAL E   Paul K. Martin

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TABLE OF CONTENTS NASAs Top Management and Performance Challenges ......................... 2 Office of Audits ......................................................... 1 2 21 25 Office of Investigations ................................................... 42 47 Legal Issues ............................................................ 5 0 Appendixes ............................................................ 55 57 58

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2 NASA' S T OP MANAGEMENT AND P ERFORMANCE CHALLENGES PERFORMANCE

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3 NASA' S T OP MANAGEMENT AND P ERFORMANCE CHALLENGES A SPACE FLIG H T OPERATIONS IN LOW EART H ORBIT: MANAGING T HE INTERNATIONAL SPACE STATION AND T HE COMMERCIAL CARGO AND CREW PROGRAMS 1 1

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4 NASA' sS T opO P M anagement ANAGEMENT an AN D P erformanceE RFORMANCE C H allenges ALLENGES 2           4 2 3 4

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5 NASA' S T OP MANAGEMENT AND P ERFORMANCE CHALLENGES POSITIONING NASA FOR D EEP SPACE D eveloping the SLS, Orion, and Related Launch Infrastructure 5 5 Crew egress training from the Orion vehicle

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6 NASA' S T OP MANAGEMENT AND P ERFORMANCE CHALLENGES MANAGING NASAS SCIENCE PORTFOLIO 7 6 7

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7 NASA' sS T opOP M anagementAN AGEMENT anAN D P erformanceER FORMANCE CH allengesAL LENGES 8         10 8 9 10

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8 NASA' sS T opOP M anagementAN AGEMENT anAN D P erformanceER FORMANCE CH allengesAL LENGES             11 SYSTEMS AN DD DD AT A 11

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9 NASA' sS T opOP M anagementAN AGEMENT anAN D P erformanceER FORMANCE CH allengesAL LENGES AN D FACILITIES 12   12 13

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10 NASA' sS T opOP M anagementAN AGEMENT anAN D P erformanceER FORMANCE CH allengesAL LENGES CONTRACTING AN DD GR ANTS PROCESSES       14 15 14 15

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11 NASA' sS T opOP M anagementANAGEME NT anAN D P erformanceERFORMANC E CH allengesALLENGE S   2015 Report on NASAs Top Management and Performance Challenges (November 5, 2015) https://oig.nasa.gov/ NASA2015ManagementChallenges.pdf (report); https://oig.nasa.gov/Video/ GRobinson_11192015.html (video) 16

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12 OFFICE OF Red romaine lettuce plants grown from seed inside the ISS

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13 S NASAS EFFORTS TO MANAGE H EALT H

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14 ffice of udits   NASAs Efforts to Manage Health and Human Performance Risks for Space Exploration (IG-16-003, October 29, 2015) https://oig.nasa.gov/audits/reports/FY16/IG-16003.pdf (report); https://oig.nasa.gov/Video/LNicolosi_10292015. html (video)

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15 NASAS EFFORTS TO MANAGE ITS SPACE TEC H NOLOGY PORTFOLIO

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16 ffice of udits   NASAs Efforts to Manage Its Space Technology Portfolio (IG-16-008, December 15, 2015) https://oig.nasa.gov/audits/reports/FY16/IG-16008.pdf (report); https://oig.nasa.gov/Video/BMullins_12152015. html (video) NASAS MANAGEMENT OF T HH E NE AR EART HH NETWORK          

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17 ffice of udits NASAs Management of the Near Earth Network (IG-16-014, March 17, 2016) https://oig.nasa.gov/audits/reports/FY16/IG-16014.pdf (report); https://oig.nasa.gov/Video/RBowman_03172016. html (video)

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18 CONTROL SYSTEM

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19 ffice of udits   Audit of NASAs Commercial Crew Program Failure: Impacts on Commercial Resupply of the Audit of the Spaceport Command and Control System (IG-16-015, March 28, 2016) https://oig.nasa.gov/audits/reports/FY16/ IG-16-015.pdf (report); https://oig.nasa.gov/Video/ LHawkins_03282016.html (video)

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20 Greenlands ice sheet from 40,000 feet

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21 ffice of udits E Audit of a NASA Research Grant Awarded to the University of Miami (IG-16-011, January 21, 2016) https://oig.nasa.gov/audits/reports/FY16/IG16-011.pdf (report)

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22 ffice of udits Audit of NASA Space Grant Awarded to the University of Texas at Austin (IG-16-013, February 18, 2016) https://oig.nasa.gov/audits/reports/FY16/IG-16013.pdf (report)

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23 Audit of NASAs Engineering Services Contract at Kennedy Space Center Review of NASAs Management of the Earth Science Audit of NASAs Mars 2020 Rover Mission Audit of NASAs Parts Quality Control Process

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24 Galaxy 1068 Spectroscopic Telescope Array)

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25 N MANAGEMENT ACT: FISCAL YEAR Federal Information Security Management Act: Fiscal Year 2015 Evaluation (IG-16-002, October 19, 2015) https://oig.nasa.gov/audits/reports/FY16/IG16-002.pdf (summary)

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26 Audit of Industrial Control System Security within

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27 Near Earth Satellite Facility

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28 Telescope mirrors for shipment

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29 FINANCIAL MANAGEMENT T SPACE ADMINISTRATIONS FISCAL YEAR 2015 FINANCIAL STATEMENTS Government Auditing Standards Audit of the National Aeronautics and Space Administrations Fiscal Year 2015 Financial Statements (IG-16-006, November 13, 2015) https://oig.nasa.gov/audits/reports/FY16/IG16-006.pdf (summary)

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30 Audit of NASAs Compliance with the Improper Audit of NASAs Fiscal Year 2016 Financial Statements

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31

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32 ffice of udits NASAs Education Program (IG-16-001, October 19, 2015) https://oig.nasa.gov/audits/reports/FY16/IG-16001.pdf (report); https://oig.nasa.gov/Video/RTolomeo_10222015. html (video)   Review of NASAs Compliance with Federal Export Control Laws (IG-16-012, February 2, 2016) https://oig.nasa.gov/audits/reports/FY16/IG-16012.pdf (report)

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33 ffice of udits   17 17  

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34 Mars 2020

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35 ffice of udits STATISTICAL DD ATA Report No. and Date Issued Title Impact Space Operations and Human Exploration IG-16-015, 03/28/2016 Audit of Spaceport Control and Command   System Identified issues NASA should address to reduce the risk of further cost, schedule, and performance issues while developing the command control software that will be used to launch Orion and SLS IG-16-014, 03/17/2016 NASAs Management of the Near Earth   Network Identified issues NASA should address to improve the Networks ability to provide communication services and lessen its vulnerability to IT and physical compromise and to improve the Agencys administration of proactive maintenance on the antennas IG-16-008, 12/15/2015 NASAs Efforts to Manage Its Space Technology Portfolio Improvements in organizational roles, processes, and controls for aligning and prioritizing technology projects IG-16-003, 10/29/2015 NASAs Efforts to Manage Health and Human Performance Risks for Space   Exploration Improvements in NASA's management of human health and performance risks to Agency missions Acquisition and Project Management IG-16-013, 02/18/2016 Audit of NASA Space Grant Awarded to the University of Texas at Austin Risk that the Space Grant Program will fall short of its potential to reach the widest possible audience to promote STEM activities IG-16-011, 01/21/2016 Audit of a NASA Research Grant Awarded to the University of Miami Improvements in the controls established to ensure proper support and payment of invoices Information Technology Security and Governance IG-16-002, 10/19/2015 Federal Information Security Management Act: Fiscal Year 2015   Evaluation Improvements in internal controls for IT security through the enhancement of management programs and processes Financial Management IG-16-010, 02/09/2016 FY 2015 Financial Accounting Management Letter Improvements in the effectiveness of controls over financial reporting IG-16-009, 12/17/2015 FY 2015 Information Technology Management Letter Improvements in the effectiveness of controls over the financial-related IT control environment IG-16-007, 11/17/2015 FY 2015 Closing Package Financial Statements Audit Improvements in NASAs ability to provide auditable closing package financial statements and sufficient evidence to support the financial statements throughout the fiscal year and at year end

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36 ffice of udits Report No. and Date Issued Title Impact Financial Management IG-16-006, 11/13/2015 Audit of the National Aeronautics and Space Administrations Fiscal Year 2015 Financial Statements Improvements in NASAs ability to provide auditable financial statements and sufficient evidence to support the financial statements throughout the fiscal year and at year end IG-16-005, 11/09/2015 Final Report, "Vulnerability Assessment and Penetration Testing of National Aeronautics and Space Administration Enterprise Applications Competency Center," Prepared by CliftonLarsonAllen, in Connection with the Audit of NASAs Fiscal Year 2015 Financial Statements Improvements in the security of the Other Audit Matters IG-16-012, 02/02/2016 Review of NASAs Compliance with Federal Export Control Laws Notified Congress of security weaknesses that may affect NASAs compliance with export control laws IG-16-001, 10/19/2015 NASAs Education Program Improvements in NASAs ability to establish and measure effectiveness relative to long-term goals, implement timely and comprehensive management information, and accurately portray the value and outcomes of its education   programs Report No. and Date Issued Report Title Date Resolved Number of Recommendations Latest Target Closure DateaOpen Closed Space Operations and Human Exploration IG-16-015, 03/28/2016 Audit of Spaceport Control and Command System 03/28/2016 1 0 09/30/2018 IG-16-014, 03/17/2016 NASAs Management of the Near Earth Network 03/17/2016 14 0 03/30/2018 IG-16-008, 12/15/2015 NASAs Efforts to Manage Its Space Technology   Portfolio 12/15/2015 5 0 09/30/2016 IG-16-003, 10/29/2015 NASAs Efforts to Manage Health and Human Performance Risks for Space Exploration 10/29/2015 6 0 12/30/2016 Acquisition and Project Management IG-16-013, 02/18/2016 Audit of NASA Space Grant Awarded to the University of Texas at Austin 02/18/2016 4 0 09/30/2017 IG-16-011, 01/21/2016 Audit of a NASA Research Grant Awarded to the University of Miami 01/21/2016 1 0 06/30/2016

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37 Report No. and Date Issued Report Title Date Resolved Number of Recommendations Latest Target Closure Date a Open Closed Financial Management IG-16-010, 02/09/2016 FY 2015 Financial Accounting Management Letter 02/09/2016 14 0 12/31/2016 IG-16-009, 12/17/2015 FY 2015 Information Technology Management Letter 12/17/2015 27 0 12/31/2016 IG-16-006, 11/13/2015 Audit of the National Aeronautics and Space Administrations Fiscal Year 2015 Financial Statements 11/13/2015 18 0 11/30/2016 IG-16-005, 11/09/2015 Final Report, "Vulnerability Assessment and Penetration Testing of National Aeronautics and Space Administration Enterprise Applications Competency Center," Prepared by CliftonLarsonAllen, in Connection with the Audit of NASAs Fiscal Year 2015 Financial Statements 11/09/2016 9 0 11/30/2016 Other Audit Matters IG-16-001, 10/19/2015 NASAs Education Program 10/19/2015 5 0 06/29/2018 Report No. and Date Issued Title Date Resolved Number of Recommendations Latest Target Closure Date Open Closed Space Operations and Human Exploration IG-15-023, 09/17/2015 NASAs Response to Orbitals October 2014 Launch Failure: Impacts on Commercial Resupply of the International Space Station 12/02/2015 4 3 07/31/2016 IG-15-013, 03/26/2015 NASAs Management of the Deep Space Network 03/26/2015 9 3 03/30/2017 IG-15-003, 10/23/2014 NASAs Launch Support and Infrastructure Modernization: Commercial Space Launch Activities at Kennedy Space Center 10/23/2014 2 1 05/02/2016

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38 Report No. and Date Issued Title Date Resolved Number of Recommendations Latest Target Closure Date Open Closed Space Operations and Human Exploration IG-14-031, 09/18/2014 Extending the Operational Life of the International Space Station Until 2024 09/29/2014 2 1 a IG-14-026, 07/22/2014 Audit of the Space Networks Physical and Information Technology Security Risks 07/22/2014 3 1 01/17/2018 Acquisition and Project Management IG-15-024, 09/29/2015 NASAs Joint Cost and Level Process 09/29/2015 7 1 12/30/2016 IG-15-022, 07/16/2015 Audit of NASAs Cooperative Agreement Awarded to the Wise County Circuit Court 07/16/2015 7 0 12/04/2018 IG-15-009, 12/16/2014 NASAs Use of Blanket Purchase Agreements 12/16/2014 4 4 01/31/2017 IG-14-020, 06/05/2014 NASAs Use of Space Act Agreements 06/05/2014 3 4 12/31/2016 IG-14-003, 11/19/2013 NASAs Use of Awardfee Contracts 04/03/2015 2 13 04/30/2016 IG-12-018, 07/26/2012 Audit of NASA Grants Awarded to the Philadelphia College Opportunity Resources for Education 07/26/2012 3 5 04/30/2016 Information Technology Security and Governance IG-14-023, 07/10/2014 Security of NASAs Publicly Accessible Web Applications 07/10/2014 2 3 07/29/2016 IG-14-015, 02/27/14 NASAs Management of its Smartphones, Tablets, and other Mobile Devices 02/27/2014 2 0 06/30/2016 IG-13-006, 03/18/2013 NASAs Process for Acquiring Information Technology Security Assessment and Monitoring Tools 03/18/2013 1 3 04/27/2016 IG-12-017, 08/08/2012 Review of NASAs Computer Security Incident Detection and Handling Capability 08/07/2012 2 1 09/30/2016 IG-12-013, 03/01/2012 Audit of NASAs Process for Transferring Technology to the Government and Private Sector 03/01/2012 2 4 07/30/2016

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39 Report No. and Date Issued Title Date Resolved Number of Recommendations Latest Target Closure Date Open Closed Institutional and Facility Management IG-15-019, 06/30/2015 Review of NASAs Pressure Vessel Systems 06/30/2015 8 2 12/30/2016 IG-15-014, 04/23/2015 NASAs Requirements for Plum Brook Station 04/23/2015 2 0 12/31/2016 IG-13-008, 02/12/2013 NASAs Efforts to Reduce Unneeded Infrastructure and Facilities 02/12/2013 2 3 02/01/2017 Financial Management IG-15-015, 05/15/2015 NASAs Compliance with the Improper Payments Information Act for Fiscal Year 2014 05/15/2015 10 0 05/31/2016 IG-15-008, 11/24/2014 FY 2014 Financial Statement Audit Management Letter 05/18/2015 1 84 12/31/2016 IG-15-002, 10/21/2014 Audit of NASAs Premium Air Travel 10/21/2014 1 6 09/30/2016 a Number of Audit Reports Total Questioned a No management decision made by beginning of period 2 $4,973,060 Issued during period 1 $325,028 Needing management decision during period 3 $5,298,088 b Amounts agreed to by management 1 $325,028 Amounts not agreed to by management 1 $1,071,040 b Less than 6 months old 0 $0 More than 6 months old 1 $3,902,020 a

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40 Number of Audit Reports Funds To Be Put to Better Use No management decision made by beginning of period 2 $14,053,020 Issued during period 0 $0 Needing management decision during period 2 $14,053,020 Management decision made during period Amounts agreed to by management 1 $222,931 Amounts not agreed to by management 1 $9,430,089 No management decision at end of period Less than 6 months old 0 $0 More than 6 months old 1 $4,400,000 Audits reviewed 12 Audits with findings 7 Findings and Questioned Costs Number of Findings Questioned Costs Management decisions pending, beginning of reporting period 49 $736,297 Findings added during the reporting period 7 $0 Management decisions made during reporting period (13) Agreed to by management $0 $0 Not agreed to by management $0 $0 Management decisions pending, end of reporting period 43 $736,297

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41 ffice of udits NASA CONTRACTORS 18 1   18   Amounts in Issued Reports Amounts Questioned Costs $91,332,000 $1,384,000 Funds To Be Put to Better Use $0 $0    

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42 OFFICE OF

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43 Former Research Professor and Government Employees in Exchange for Business Professors Sentenced

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44 Business and Owner Sentenced D efrauding NASA Chicago Contractor Indicted for D efrauding NASAs SBIR Program Small Business Owner Charged

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45 Former Glenn Contractor Found Guilty and Sentenced for Indecent Acts CYBER CRIME Child Pornography Former Contractor Employee Enters into Contractor Employee Sentenced for Child Pornography NASA Employee Charged

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46 Large Binocular Telescope Interferometer

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47 STATISTICAL D ATA Source of Complaint a Administrative b Management c Preliminary Investigations d Total Hotline 26 16 5 23 70 All Others 28 21 0 50 99 Total 54 37 5 73 169 a c d Full Criminal/Civil Investigations a 23 a TABLE 10: CASES PEN D ING AT EN D OF REPORTING PERIO D Preliminary Investigations 49 Full Criminal/Civil Investigations 141 Administrative Investigations 50 Total 240 Qui Tam Matters Opened This Reporting Period 2 Qui Tam Matters Pending at End of Reporting Period 4

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48 Cases Referred for Prosecution 32 Indictments/Criminal Informations 12 Convictions/Plea Bargains 15 Sentencing/Pre-Trial Diversions 21 Civil Settlements/Judgments 1 Referrals to NASA Management for Review and Response 18 Referrals to NASA Management Information Only 13 Referrals to the Office of Audits 3 Referrals to Security or Other Agencies 8 Total 42 Recommendation to NASA Management for Disciplinary Action Involving a NASA Employee 7 Involving a Contractor Firm 1 Involving a Contractor Employee 1 Other 0 Recommendations to NASA Management on Program Improvements Matters of Procedure 3 Total 12 Administration/Disciplinary Actions Taken Against a NASA Employee 10 Against a Contractor Employee 4 Against a Contractor Firm 0 Procedural Change Implemented 9 Total 23 Suspensions or Debarments from Government Contracting Involving an Individual 2 Involving a Contractor Firm 1 Total 3 Judicial $2,696,770 Administrative $741,924 Total $3,438,694 Total NASA $278,747 a

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50 LEGAL ISSUES

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51 W H ISTLEBLOWER PROTECTION CASES WH ISTLEBLOWER PROTECTION

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52 SYSTEM OF RECOR D S NOTICE

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53 NPR 1600 D RAFT 2, DISSEMINATION OF SCIENTIFIC AND TEC HNICAL INFORMATION 19 1 19 STATISTICAL D ATA Freedom of Information Act Matters 23 Appeals 0 Inspector General Subpoenas Issued 38 Regulations Reviewed 21

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55 ES Appendixes 57 58

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56 Curiosity

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57 Inspector General Act Citation Requirement Definition Cross-Reference Page Numbers Section 4(a)(2) Review of Legislation and Regulations 53 Section 5(a)(1) Significant Problems, Abuses, and Deficiencies 1333 Section 5(a)(2) Recommendations for Corrective Actions 1333 Section 5(a)(3) Prior Significant Audit Recommendations Yet to Be Implemented 3739 Section 5(a)(4) Matters Referred to Prosecutive Authorities 48 Sections 5(a)(5) and 6(b)(2) Summary of Refusals to Provide Information None Section 5(a)(6) OIG Audit Products Issued Includes Total Dollar Values of Questioned Costs, Unsupported Costs, and Recommendations that Funds Be Put to Better Use 3940 Section 5(a)(7) Summary of Significant Audits and Investigations 1348 Section 5(a)(8) Total Number of Reports and Total Dollar Value for Audits with Questioned Costs 39 Section 5(a)(9) Total Number of Reports and Total Dollar Value for Audits with Recommendations that Funds Be Put to Better Use 40 Section 5(a)(10) Summary of Prior Audit Products for which No Management Decision Has Been Made 3940 Section 5(a)(11) Description and Explanation of Significant Revised Management Decisions N/A Section 5(a)(12) Significant Management Decisions with which the Inspector General Disagreed N/A Section 5(a)(13) Reporting in Accordance with Section 5(b) of the Federal Financial Management Improvement Act of 1996 Remediation Plan N/A Section 5(a)(14) Peer Review Conducted by Another OIG N/A Section 5(a)(15) Outstanding Recommendations from Peer Reviews of the NASA OIG N/A Section 5(a)(16) Outstanding Recommendations from Peer Reviews Conducted by the NASA OIG N/A

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58 ppendixes CIGIE AWAR DD S C EREMONY Award for Excellence, Audit A ward for Excellence, Audit  

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59 ppendixes Award for Excellence, Audit and Michael HH or owitz, CIGIE Chair. NASA   OIG.

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60

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61 T

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62 prepared for launch

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63 A D AS CIGIE CLA D CAA FISMA FY GSDO IG ISS IT H RP NEN NSSC OEPM OIG OSC SBIR SCaN SCCS SIGAR SLS STEM TCAT

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64 T T H E NASA OFFICE OF INSPECTOR GENERAL (OIG) T HE INSPECTOR GENERAL (IG) INSPECTOR GENERAL ASSISTANT INSPECTOR GENERAL FOR MANAGEMENT AND PLANNING ASSISTANT INSPECTOR GENERAL ASSISTANT INSPECTOR GENERAL INSPECTOR GENERAL FIEL D OFFICES FIEL D OFFICES

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65 GENERAL T HE OFFICE OF MANAGEMENT AND PLANNING

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66 A B C D F I H G E A H D C G I F E B AMES RESEARC H CENTER GLENN RESEARC H CENTER GO DD AR D SPACE FLIG HT CENTER KENNE D Y SPACE CENTER LANGLEY RESEARC H CENTER MARS H ALL SPACE FLIG H T CENTER STENNIS SPACE CENTER

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http://oig.nasa.gov/hotline.html NASA Office of Inspector General http://oig.nasa.gov