NATIONAL SCIENCE FOUNDATION OFFICE OF INSPECTOR GENERAL OFFICE OF INVESTIGATIONS CLOSEOUT MEMORANDUM Case Number: 1-09-02-0006 Page 1 of 1 We received information from a university 1 that a former employee2 (subject) misused institutional purchase cards that were tied to federal awards- including an NSF award. 3 Our investigation substantiated that the subject made personal purchases using the university purchase cards and then charged those purchases to federal awards. The matter was referred to the Maricopa County Attorney's office. On March 25, 2010, subject pled guilty to felony theft charges. (Attachment 1) ( On April28, 2010, subject was sentenced to 3 years probation and ordered to pay $75,0004 in restitution. (Attachment 2) The universityreimbursed NSF 5 and instituted new policies and procedures to insure proper oversight ofNSF funds in the future. We recommended that NSF debar the former employee for a period of three years. On February 22,2012, NSF debarred the subject until February 10, 2015. (See Attachment 3) Accordingly, this investigation is closed. 2 4 This figure represents the total monetary harm Subject caused to the university. 5 $51,688 which included $17,114 in indirect charges NSF OIG Form 2 (I 1/02) I, Michael K. Jeanes, Clerk of Court ***Electronically Filed*** 04/05/2010 8:00AM SUPERIOR COURT OF ARIZONA MARICOPA COUNTY I I .CR2009-007630-001 DT 03/25/2010 1 CLERK OF THE COURT \COMMISSIONER PHEMONIA L. MILLER I. Kosaka 'I ". Deputy I STATE OF ARIZONA ERJCYUVA ·I 'I vI . .I ·I i CCHARLOTTE HELEN OSHEA (001) MELISSA M LABOR r , ·/ I i . APO-PLEAS-CCC ! I JUDGE FLORES I VICTIM SERVICES DIV-CA-CCC PLEA AGREEMENT/CHANGE OF PLEA 8:48a.m. Courtroom CCB802 State's Attorney: Kristen Stewart Defendant's Attorney: Melissa Zabor Defendant: Present A record of the proceedings is made by audio and/or videotape in lieu of a court reporter. Defendant was present for the group advisement given on the record at 8:40 a.m. this date : 1 in CCB802. The Court reviews the Plea Agreement with Defendant. The Court advises Defendant of 1 the,lrange of possible sentence and the availability of probation, and any special conditions of sen:tencing and probation. The Court advises Defendant of all pertinent constitutional rights and rigHts of review. Do~ket ! Code 105 Form Rl05 Page 1 () ·- SUPERJOR COURT OF ARJZONA MARICOPA COUNTY CR1009-007630-001 DT 03/25/2010 Defendant enters a plea of Guilty to the following: OFFENSE: Count 1 (as amended): Theft Class 5 Felony A.R.S. § 13-1801, 1802, 701, 702, 702.01 and 801 Date of Offense: On or between June 27, 2002 and November 19, 2007 Non Dangerous- Non Repetitive IT IS ORDERED accepting the plea. IT IS ORDERED setting time for sentencing on 04/28/2010 at 8:30a.m. before Judge Flores. IT IS FURTHER ORDERED that the following will be deemed submitted at the time of 1 sentencing: Motion To Dismiss Count 2. Allegation of multiple offenses as reflected in the Plea Agreement. IT IS ORDERED the Adult Probation Department shall prepare a Presentence Report, and that Defendant shall report to the Adult Probation Department today. IT IS ORDERED vacating any pending dates. IT IS FURTHER ORDERED affirming prior release orders. 8:54a.m. Matter concludes. IDocket Code 105 Form Rl05 Page 2 () Michael K. Jeanes, Clerk of Court ***Filed *** 05/04/2010 8:00AM SUPERIOR COURT OF ARIZONA MARICOPA COUNTY ~CR2009-007630-00I DT 04/28/2010 CLERK OF THE COURT HONORABLE LISA DANIEL FLORES .~ 0 I. Carlson Deputy STATE i OF ARIZONA ERICYUVA y. MELISSA M ZABOR APO-SENTENCINGS-CCC APPEALS-CCC DISPOSITION CLERK-CSC FINANCIAL SERVICES-CCC RFR VICTIM SERVICES DIV-CA-CCC SUSPENSION OF SENTENCE- PROBATION GRANTED 8:43a.m. This is the time set for Sentencing. State's Attorney: Vic Cook for Eric Yuva Defendant's Attorney: Melissa M. Zabor Defendant: Present Court Reporter: Luz Franco Jodi Preudhomme makes statements to the Court on behalf of the victim. Count(s) 1: WAIVER OF TRIAL: The Defendant knowingly, intelligently and volfntarily waived all pertinent constitutional and appellate rights and entered a plea of guilty. IT IS THE WDGMENT of the Court Defendant is guilty of the following: OFFENSE: Count 1 (as amended) Theft ' Dotket Code 109 Form Rl09B-04 I Page 1 n SUPERIOR COURT OF ARIZONA MARICOPA COUNTY CR2009-007630-001 DT 04/28/2010 Class 5 Felony A.R.S. § 13-1801, 1802, 701, 702, 702.01 and 801 Date of Offense: committed on or between June 27, 2002 and November 19, 2007 Non Dangerous- Non Repetitive IT IS ORDERED suspending imposition of sentence and, under the supervision of the , Adult Probation Department (APD), placing the defendant on probation for: \ Count 1 Probation Term: 3 years To begin April28, 2010. Conditions of probation include the following: Condition 16- Restitution, Fines, and Fees: PROBATION SERVICE FEE: Count 1-$65.00 per month, beginning July 1, 2010. I i RESTITUTION: Count 1 - $75,000.00 payable $500.00 per month, beginning July 1, .j 2010, fo I (Business) $75,000.00 Restitution ledger provided; priority. of payment as stated in the restitution ledger. ASSESSMENTS: Count 1: PROBATION SURCHARGE: $10.00. Count 1: Time payment fee pursuant to A.R.S. § 12-116 in the amount of $20.00. All amounts payable through the Clerk of the Superior Court. Condition 18 -Not have any contact with the victim(s) whatsoever, unless approved in writing by the Adult Probation Department r·. ' Condition 25 - Abide by the Special Conditions of Probation as noted on the attachment ' to the Uniform Conditions of Supervised Probation. Condition 26 - Other: Notify present and future employers, in writing, of the nature of : this offense. · Docket Code 109 Form Rl09B-04 Page 2 () SUPERIOR COURT OF ARIZONA MARICOPA COUNTY 04/28/2010 ' CR2009-007630-00 1 DT IT IS ORDERED granting the Motion To Dismiss the following: Count 2 and allegation of multiple offenses. IT IS ORDERED exonerating any bond previously posted in this matter to the party posting same. IT IS FURTHER ORDERED that Defendant must submit to DNA testing for law i enforcement identification purposes and pay the applicable fee for the cost of 'that testing in · accordance with A.R.S. § 13-610. 8:59a.m. Marter concludes. This case is eFiling eligible: http://www.clerkofcourt.maricopa.gov/efiling/default.asp Form·R109B-04 Page 3 Docket Code 109 () SUPERIOR COURT OF ARIZONA MARICOPA COUNTY CR2009-007630-001 DT 04/28/2010 Is/ HONORABLE LISA DANIEL FLORES JUDGE OF THE SUPERIOR COURT ' (right index fingerprint) Docket Code 109 Form R109B-04 Page 4 NATIONAL SCIENCE FOUNDATION 4201 WILSON BOULEVARD ARLINGTON, VIRGINIA 22230 FEB 2 2 2Gl2 OFFICE OF THE DIRECTOR VriA CERTIFIED MAIL/RETURN RECEIPT REQUESTED ' Re: Notice ofDebarment Dear Ms. Doellman:. 0~ November 15, 2011, the National Science Foundation ("NSF") issued to you a Notice of Proposed Debarment ("Notice"), in which NSF proposed to debar you from directly or indirectly r obtaining the benefits of Federal grants for a period ofthree years. As reflected in the Notice, NSF proposed your debarment because you pleaded. to a of felony theft in connection with your previo~s employment y, you mi~appropriated Federal grant funds for your personal use. In that Notice, NSF provided you wifu thirty days to respond to the proposed debarment. OvFr thirty days have elapsed and NSF has not received a response. Accordingly, you are deBarred I until February 10, 2015. Debarment precludes you from receiving Federal fmancial · and non-financial assistance and benefits under non-procurement Federal programs and activities unl~ss I an agency head or authorized designee makes a determination to grant an exception in accordance with 2 CFR 180.135. Non-procurement transactions include grants, cooperative agreements, I scholarships, fellowships, contracts of assistance, loans, loan guarantees, subsidies, inso/ance, payments for specified use, and donation agreements. In addition, you are prohibited from receiving Federal contracts or approved subcontracts under the Federal Acquisition Regulations at 48 CFR Subpart 9.4 for the period of this debarment. 2 CFR 180.925. During the debarment period, you may not have supervisory responsibility, pri~ary management, substantive control over, or critical influence on, a grant, contract, or cooplerative agreement with any agency of the Executive Branch ofthe Federal Government. - 2 Should you have any uestions regarding the foregoing, please vul.''"'"' Assistant General Counsel, at . Sincerely, Wanda Ward Senior Advisor to the Director l
Published by the National Science Foundation, Office of Inspector General on 2012-03-20.
Below is a raw (and likely hideous) rendition of the original report. (PDF)