oversight

Reports of Investigation for Three (3) Office of Personnel Management (OPM) Inspector General (OIG) investigations, 2009-2011

Published by the Office of Personnel Management, Office of Inspector General on 2017-06-19.

Below is a raw (and likely hideous) rendition of the original report. (PDF)

Description of document:                 Reports of Investigation for Three (3) Office of Personnel
                                         Management (OPM) Inspector General (OIG)
                                         investigations, 2009-2011

Requested date:                          25-February-2017

Released date:                           13-March-2017

Posted date:                             19-June-2017

Source of document:                      Attention: FOIA Request
                                         U.S. Office of Personnel Management
                                         FOIA Requester Service Center
                                         1900 E Street, N.W.
                                         Room 5415
                                         Washington, D.C. 20415-7900
                                         Fax: 202-606-1719
                                         Email: foia@opm.gov




The governmentattic.org web site (“the site”) is noncommercial and free to the public. The site and materials
made available on the site, such as this file, are for reference only. The governmentattic.org web site and its
principals have made every effort to make this information as complete and as accurate as possible, however,
there may be mistakes and omissions, both typographical and in content. The governmentattic.org web site and
its principals shall have neither liability nor responsibility to any person or entity with respect to any loss or
damage caused, or alleged to have been caused, directly or indirectly, by the information provided on the
governmentattic.org web site or in this file. The public records published on the site were obtained from
government agencies using proper legal channels. Each document is identified as to the source. Any concerns
about the contents of the site should be directed to the agency originating the document in question.
GovernmentAttic.org is not responsible for the contents of documents published on the website.
                           UNITED STATES OFFICE OF PERSONNEL MANAGEMENT
                                                  Washington, OC 20415



  Office of the
Inspector General




                                                  March 13, 2017

                                                                              FOIA Request# 2017-03881




         This is in response to your Freedom oflnformation Act (FOIA) request of February 25, 2017, in
         which you asked for the "final report or closing report or closing memo, referral letter, etc.
         associated with" three specific Office of Personnel Management (OPM) Office of the Inspector
         General (OIG) investigations.

         The attached documents are responsive to your request. They are reports of investigations
         associated with OPM OIG investigations I 2009 00859, I 2010 00228, and I 2011 00002. Please
         note that certain information has been redacted to avoid the disclosure of information protected
         by the deliberative process and attorney work-product privileges, 5 U.S.C. § 552(b)(5); to avoid
         the unwarranted invasion of personal privacy, 5 U.S.C. §§ 552(b)(6), (b)(7)(C); and to prevent
         the disclosure of guidelines for law enforcement prosecutions, 5 U. S.C. § 552(b )(7)(E).

         For any further assistance or to discuss any aspect of your request, you may contact the
         undersigned at 202-606-2030, as well as the OPM FOIA Public Liaison at 202-606-1153.
         Additionally, you may contact the Office of Government Information Services (OGIS) to inquire
         about the FOIA mediation services they offer. The contact information for OGIS is as follows:
                        Office of Government Information Services
                        National Archives and Records Administration
                        8601 Adelphi Road-OGIS
                        College Park, Maryland 20740
                        Email:        ogis@nara.gov
                        Telephone: 202-741-5770
                        Toll-free:    1-877-684-6448
                        Facsimile: 202-741-5769

         If you are not satisfied with the response to this request, you may administratively appeal by
         writing to:
                         Robin M. Richardson
                         FOIA Appeals Officer
                         Office of the Inspector General
                         1900 E Street, NW

         www.opm.gov                                                                           www.usajobs.gov
               Room 6400
               Washington, DC 20415

Please include a copy of your initial request, a copy of this letter, and a statement explaining why
you disagree with our decision. You should write "Freedom of Information Act Appeal" on the
front of the envelope and on the first page of the appeal letter. Your appeal must be postmarked
within 90 days of the date of this response.


                                                      Regards,



                                                      Kevin T. Miller
                                                      Attorney-Advisor

Enclosure
                             OFFICE OF PERSONNEL MANAGEMENT
                             OFFICE OF THE INSPECTOR GENERAL
                                 OFFICE OF INVESTIGATIONS




                                REPORT OF INVESTIGATION

                                         February 6, 2015

CASE NAME: (b) (6), (b) (7)(C)

CASE NUMBER: I 2009 00859

CASE AGENT: (b) (6), (b) (7)(C)


INTRODUCTION

The following information relates to (b) (6), (b) (7)(C)    ((b) (6), (b) (7)(C) ), a former U.S.
Office of Personnel Management (OPM), Federal Investigative Services (FIS), contract
background investigator with U.S. Investigations Services (USIS). (b) (6), (b) (7)(C) falsified work
on background investigations of federal employees and contractors on numerous Reports of
Investigation (ROI), between January 1, 2008 and July 21, 2008.

The ROIs submitted by (b) (6), (b) (7)(C) were utilized and relied upon by the agencies requesting
the background investigations to determine whether the subjects were suitable for positions
having access to classified information, for positions impacting National Security, or for
receiving or retaining security clearances.

PROGRAM OVERVIEW

The responsibility of the OPM, Office of the Inspector General (OIG) is to prevent, detect, and
investigate fraud, waste and abuse within programs operated and administered by OPM,
including FIS background investigations.

FIS, formerly known as the Center for Federal Investigative Services or the Federal Investigative
Services Division, through its workforce of approximately 9,608 investigators (both Federal
employees and contractors), is responsible for conducting background investigations for
numerous federal agencies and their contractors, on individuals either employed by or seeking
employment with those agencies or contractors. In the 2013 fiscal year, FIS processed
approximately 2.3 million investigations.



WARNING:
This document is the property of the U.S. Office of Personnel Management Office of the Inspector
General and is on loan to your agency. Contents may not be disclosed to any party under
investigation nor may this document be distributed outside receiving agency without specific
prior authorization of the Assistant Inspector General for Investigations


CLASSIFICATION:                FOR OFFICIAL USE ONLY
ill conducting background investigations, the investigators conduct inte1views of individuals who
have infonnation about the person who is the subject of the review. ill addition, the investigators
seek out, obtain, and review docmnentary evidence, such as employment records, to verify and
con oborate info1mation provided by either the subject of the background investigation or by
persons inte1viewed during the investigation. After conducting inte1views and obtaining
docmnentary evidence, the investigators prepare a ROI containing the results of the inte1views
and docmnent reviews, and electronically submit the material to OPM in Washington, DC. OPM
then provides a copy of the investigative file to the requesting agency, which uses the
info1mation to dete1mine an individual's eligibility/suitability for employment or a security
clearance.

BASIS OF INVESTIGATION

ill or about April 2009, the OPM/OIG received a refe1rnl from FIS, illtegrity Assurance (IA),
relatin to alle ations that                 , a Contract illvestigator assigned to a USIS field office
in                           , falsified a nmnber of background investigations and records checks.
Subsequent t.o receipt of this in£.01mation, a complaint was initiated and the investigation was
assigned to the repo1iing Special Agentrtpflp      Im.
STATUTES VIOLATED

Title 18 U.S.C. §1001            Making a False Statement

CASE SUMMARY

On or about April 29, 2009, the OPM/OIG received notification from FIS I/A that FIS/IA was re-
investigating the cases assigned to                 , due to allegations that              falsified
source inte1views and records checks on nmnerous RO Is while conducting background
investigations.                , Executive Program Director, FIS/IA, advised that substantial
info1mation relating to the falsification of repo1is had been obtained and as a result, FIS/IA
initiated a Falsification Recovery Project.

On August 9, 2012, FIS/IA provided the OIG with their Executive Summaiy repo1i which
compiled all the statistical data and analysis and concluded there were approximatelyl
confnmed falsifications uncovered by their recove1y project. During the months of April and
May 2013, the repo1iing agent coordinated with FIS/IA to thoroughly review the Executive
Summai·y repo1i and all known source and records falsifications. ill May 2013, the repo1iing
~ conducted multiple field inte1views of sources and record checks in the
- a i · e a.

Subsequently, upon further investigative review and discussion with (b) (6). (b) (7)(C) , Branch

WARNING:
This document is the property of the U . S. Office of Personnel Man agement Office of the Inspector
General and is on loan to your agency . Contents may not be disclosed to any party under
investigation nor may this document be distributed outside receiving agency without specific
prior authorization of the Assistant Inspector General for I nvestigations


CLASSIFICATION :               FOR OFFICIAL USE ONLY



                                                  2
Chief, IA, OPM/FIS    andM"j"i"',      it was confin ned that the majority of confmned falsified
sources an d record check repo1ts were either near or afread exceeded the 5 ear statute of
limitations for criminal prosecution. Therefore,
              , both offices mutually agreed to pursue a
prosecution.

CONCLUSION/DISPOSITION

On or about November 20, 2013 ,     !"1'fHP'T
                                            provided our office with a notification and written
confnmation th at a memorandum of an administrative Contract Offset action was processed
against USIS in the amount of $133 ,889.58.

On March 26, 2014, (b) (6). (b) C)(C) , Senior Advisor to th e Assistant Inspector General for
Investigations, OPM/OIG, submitted an Action Refe1Tal Memorandum to Recommend
Deban nent of                  to Patricia W. Broome, Director, Contracting Policy, Facilities,
Security, and Contracting, OPM.

On (b) (6). (b) C')(C) , 2014, a Notice of Proposed Deban nent was sent to (b) (6). (b) C)(C) by OPM
Suspension and Deban nent Official Dean S. Hunter, Director, Facilities, Security, an d
Contracting, OPM.

SUBJECT OF INVESTIGATION

Name:
DOB:
SSN:
FBI#:


                       (b) (6). (b) C)(C)



        Signed:
                       "'l"R"!I
                       Assistant Specia Agent in Charge
                        Special Investigations




        Signed:
                        Michelle B. Schmitz
                        Assistant Inspector General for Investigations
WARNING:
This document is the property of the U . S. Office of Personnel Managemen t Office of the Inspector
General and is on loan to your agency. Contents may n ot be disclosed to any party under
investigation n or may this document be distributed outside receiving agency without specific
prior authorization of the Assistant Inspector General for I nvestigations


CLASSIFICATION:                 FOR OFFICIAL USE ONLY



                                                   3
WARNING:
This document is the property of the U.S. Office of Personnel Management Office of the Inspector
General and is on loan to your agency. Contents may not be disclosed to any party under
investigation nor may this document be distributed outside receiving agency without specific
prior authorization of the Assistant Inspector General for Investigations


CLASSIFICATION:               FOR OFFICIAL USE ONLY



                                               4
                              OFFICE OF PERSONNEL MANAGEMENT
                              OFFICE OF THE INSPECTOR GENERAL
                                  OFFICE OF INVESTIGATIONS




                                REPORT OF INVESTIGATION

                                          February 5, 2015

CASE NAME: (b) (6), (b) (7)(C)

CASE NUMBER: I 2010 00228

CASE AGENT: (b) (6), (b) (7)(C)


INTRODUCTION

The following information relates to (b) (6), (b) (7)(C) ((b) (6), (b) (7)(C) ), a former U.S. Office
of Personnel Management (OPM), Federal Investigative Services (FIS), contract background
investigator with KeyPoint Government Solutions (KeyPoint) (formerly Kroll Government
Services) and CACI. (b) (6), (b) (7)(C) falsified work on background investigations of federal
employees and contractors on numerous Reports of Investigation (ROI), between May 1, 2009
and November 18, 2009.

The ROIs submitted by (b) (6), (b) (7)(C) were utilized and relied upon by the agencies requesting the
background investigations to determine whether the subjects were suitable for positions having
access to classified information, for positions impacting National Security, or for receiving or
retaining security clearances.

PROGRAM OVERVIEW

The responsibility of the OPM, Office of the Inspector General (OIG) is to prevent, detect, and
investigate fraud, waste and abuse within programs operated and administered by OPM,
including FIS background investigations.

FIS, formerly known as the Center for Federal Investigative Services or the Federal Investigative
Services Division, through its workforce of approximately 9,608 investigators (both Federal
employees and contractors), is responsible for conducting background investigations for
numerous federal agencies and their contractors, on individuals either employed by or seeking
employment with those agencies or contractors. In the 2013 fiscal year, FIS processed
approximately 2.3 million investigations.

WARNING:
This document is the property of the U.S. Office of Personnel Management Office of the Inspector
General and is on loan to your agency. Contents may not be disclosed to any party under
investigation nor may this document be distributed outside receiving agency without specific
prior authorization of the Assistant Inspector General for Investigations


CLASSIFICATION:                FOR OFFICIAL USE ONLY
ill conducting background investigations, the investigators conduct inte1views of individuals who
have infonnation about the person who is the subject of the review. ill addition, the investigators
seek out, obtain, and review docmnentary evidence, such as employment records, to verify and
con oborate info1mation provided by either the subject of the background investigation or by
persons inte1viewed during the investigation. After conducting inte1views and obtaining
docmnentary evidence, the investigators prepare a ROI containing the results of the inte1views
and docmnent reviews, and electronically submit the material to OPM in Washington, DC. OPM
then provides a copy of the investigative file to the requesting agency, which uses the
info1mation to dete1mine an individual's eligibility/suitability for employment or a security
clearance.

BASIS OF INVESTIGATION

ill or about December 2009, the OPM/OIG received a referral from FIS, illtegrity Assurance
(IA), relating to allegations that · · '        , a Contract illvestigator assigned to KeyPoint and
CACI field offices in               , falsified a nmnber of background investigations and records
checks. Subsequent to receipt of this infonnation, a com)laint was initiated and the investigation
was assigned to the reporting Special AgentMM''Pi®·

STATUTES VIOLATED

Title 18 U.S.C. §1001           Making a False Statement

CASE SUMMARY

On or about December 17, 2009, the OPM/OIG received notification that from FIS/IA that
FIS/IA was re-investigatingfR"?'P's assigned cases, due to allegations that fR!f'm
falsified source inte1views and records checks on nmnerous RO Is while conducting background
investigations. ill March 2013 ,                , Executive Program Director, FIS/IA, notified our
office that as a result of their completion of the Falsification Recovery Project a FIS Executive
Summary repo1i was completed and approximately thirty confmned falsifications were identified
in the repo1i.

The repo1i ing agent, from Febmary through March 2013 , coordinated with FIS/IA and reviewed
all known source and records falsifications, as well as conducted multiple source inte1views
related to records check verifications. The outcome of the investigative review and field
inte1views of sources and record checks confnmed there were a total ofll_confnmed
                                         I
falsifications. Of the total falsifications, were records checks and oniJI were source
inte1views.

ill October 2013 , the repo1iing agent conducted an intake briefing with prosecuting Assistant

WARNING:
This document is the property of the U . S. Office of Personnel Man agement Office of the Inspector
General and is on loan to your agency . Contents may not be disclosed to any party under
investigation nor may this document be distributed outside receiving agency without specific
prior authorization of the Assistant Inspector General for I nvestigations


CLASSIFICATION :               FOR OFFICIAL USE ONLY



                                                 2
U.S. Attorneys at the U. S. Attorney's Office, District of Columbia, (USAO-DC), Fraud and
Public Co1111ption Division. On or about December 5, 2013, the USAO-DC decided to decline
criminal rosecution due to




CONCLUSION/DISPOSITION

On or about December 16, 2013,      H"t"PU'P
                                         1
                                           provided our office with a notification and written
confnmation that a memorandum of an administrative Contract Offset action was processed
against KeyPoint and CACI in the amount of $170,131.64.

On April 21 , 2014, (b) (6). (b) C)(C) , Senior Advisor to th e Assistant Inspector General for
Investigations, OPM/OIG, submitted an Action Refe1Tal Memorandum to Recommend
Debannent   of[ffl f'D'
                1
                              to Patricia W. Broome, Director, Contracting Policy, Facilities,
Security, and Contractmg, OPM.

                                                                      to[ffl"!"D'
On (b) (6). (b) ("')(C) , 2014, a Notice of Proposed Debannent was sent          by OPM
Suspension and Debannent Official Dean S. Hunter, Director, Facilities, Security, an d
Contracting, OPM.

SUBJECT OF INVESTIGATION

Name:
DOB:
SSN:
FBI#:


                       (b) (6). (b) C)(C)



        Signed:
                       gmgmg1
                       Assistant Special Agent in Charge
                       Special Investigations




WARNING :
This document is the property of the U . S. Office of Personnel Managemen t Office of the Inspector
General and is on l oan to your agency. Contents may not be discl osed to any party under
investigation nor may this document be distributed outside receiving agency without specific
prior authorization of the Assistant Inspector General for I nvestigations


CLASSIFICATION :                FOR OFFICIAL USE ONLY



                                                  3
       Signed: _______________________________________
                    Michelle B. Schmitz
                    Assistant Inspector General for Investigations




WARNING:
This document is the property of the U.S. Office of Personnel Management Office of the Inspector
General and is on loan to your agency. Contents may not be disclosed to any party under
investigation nor may this document be distributed outside receiving agency without specific
prior authorization of the Assistant Inspector General for Investigations


CLASSIFICATION:               FOR OFFICIAL USE ONLY



                                               4
                             OFFICE OF PERSONNEL MANAGEMENT
                             OFFICE OF THE INSPECTOR GENERAL
                                 OFFICE OF INVESTIGATIONS




                                REPORT OF INVESTIGATION

                                          February 4, 2015

CASE NAME: (b) (6), (b) (7)(C)

CASE NUMBER: I 2011 00002

CASE AGENT: (b) (6), (b) (7)(C)


INTRODUCTION
                                                                 (b) (6), (b) (7)(C)
The following information relates to (b) (6), (b) (7)(C)         (          ), a former U.S. Office of
Personnel Management (OPM), Federal Investigative Services (FIS), contract background
investigator with KeyPoint Government Solutions (KeyPoint) (formerly Kroll Government
Services). (b) (6), (b) (7)(C) falsified work on background investigations of federal employees and
contractors on numerous Reports of Investigation (ROI), between February 1, 2010 and
September 2010.

The ROIs submitted by (b) (6), (b) (7)(C) were utilized and relied upon by the agencies requesting
the background investigations to determine whether the subjects were suitable for positions
having access to classified information, for positions impacting National Security, or for
receiving or retaining security clearances.

PROGRAM OVERVIEW

The responsibility of the OPM, Office of the Inspector General (OIG) is to prevent, detect, and
investigate fraud, waste and abuse within programs operated and administered by OPM,
including FIS background investigations.

FIS, formerly known as the Center for Federal Investigative Services or the Federal Investigative
Services Division, through its workforce of approximately 9,608 investigators (both Federal
employees and contractors), is responsible for conducting background investigations for
numerous federal agencies and their contractors, on individuals either employed by or seeking
employment with those agencies or contractors. In the 2013 fiscal year, FIS processed
approximately 2.3 million investigations.

WARNING:
This document is the property of the U.S. Office of Personnel Management Office of the Inspector
General and is on loan to your agency. Contents may not be disclosed to any party under
investigation nor may this document be distributed outside receiving agency without specific
prior authorization of the Assistant Inspector General for Investigations


CLASSIFICATION:                FOR OFFICIAL USE ONLY
ill conducting background investigations, the investigators conduct inte1views of individuals who
have infonnation about the person who is the subject of the review. ill addition, the investigators
seek out, obtain, and review docmnentary evidence, such as employment records, to verify and
con oborate info1mation provided by either the subject of the background investigation or by
persons inte1viewed during the investigation. After conducting inte1views and obtaining
docmnentary evidence, the investigators prepare a ROI containing the results of the inte1views
and docmnent reviews, and electronically submit the material to OPM in Washington, DC. OPM
then provides a copy of the investigative file to the requesting agency, which uses the
info1mation to dete1mine an individual's eligibility/suitability for employment or a security
clearance.

BASIS OF INVESTIGATION

ill or about October 2010, the OPM/OIG received a refe1rnl from FIS, illtegrity Assurance (IA),
relating to allegations t h a t , _ t t q , a Contract illvestigator assigned to a KeyPoint field
office in northeastern'!!'., , falsified a nmnber of background investigations and records
checks. Subsequent to receipt of this infonnation, a com)laint was initiated and the investigation
was assigned to the reporting Special AgentMM''Pi®·

STATUTES VIOLATED

Title 18 U.S.C. §1001           Making a False Statement

CASE SUMMARY

On or about October 5, 2010, the OPM/OIG received notification that FIS/IA was re-
investigating                's assigned cases, due to allegations that he falsified source
inte1views and records checks on numerous RO Is while conducting background investigations.
ill November 2011 ,                , Executive Program Director, FIS/IA, notified our office that
substantial infonnation relating to the falsification of reports was obtained as a result of their
completion of the Falsification Recove1y Project.

The repo1i ing agent, from March through May 2013 , coordinated with FIS/IA and reviewed all
suspected source and records falsifications, and also conducted multiple source inte1views. The
outcome of the investigative review and field interviews of sources and record checks confomed
approximatelyl total falsifications were identified in the Falsification Recovery Project. Of
theI   total falsifications, 2 sources were now deceased; and 5 were record check items the OIG
was either unable to locate and/or identify the sources that alle edl provided the info1mation.
The verifiable nmnber of falsifications committed b                   did not meet or exceed the
cmTent threshold for criminal prosecution                                      ) established by the
District of Colmnbia U.S . Attorney's Office, Fraud & Public Conuption Division. Therefore,

WARNING:
This document is the property of the U . S. Office of Personnel Managemen t Office of the Inspector
General and is on loan to your agency . Contents may not be disclosed to any party under
investigation nor may this document be distributed outside receiving agency without specific
prior authorization of the Assistant Inspector General for I nvestigations


CLASSIFICATION :               FOR OFFICIAL USE ONLY



                                                 2
th e OIG an d FIS/IA mutually agreed to pursue administrntive remedies in lieu of criminal
prosecution.

CONCLUSION/DISPOSITION

On or about October 9,   2013,'"1''!'8'1provided our office with a notification and written
confnm ation that a memorandum of an administrative Contract Offset action was processed
against KeyPoint in the amount of $89,320.76.

On March 6, 2014, (b) (6). (b) C)(C) , Senior Advisor to th e Assistant Inspector General for
Investigations, OPM/OIG, submitted an Action Refe1Tal Memorandum to Recommend
Debannent of                    to Patricia W. Broome, Director, Contracting Policy, Facilities,
Security, and Contracting, OPM.

On (b) (6). (b) ("')(C) , 2014, a Notice of Proposed Deban nent was sent to (b) (6). (b) C)(C) by OPM
Suspension and Deban nent Official Dean S. Hunter, Director, Facilities, Security, an d
Contracting, OPM.

SUBJECT OF INVESTIGATION

Name:
DOB:
SSN:
FBI#:


                       (b) (6). (b) C)(C)



        Signed:
                        Nath aniel M . Sinith
                        Assistant Special Agent in Charge
                        Special Investigations




        Signed:
                        Michelle B. Schinitz
                        Assistant Inspector General for Investigations



WARNING:
This document is the property of the U . S. Office of Personnel Man agement Office of the Inspector
General and is on loan to your agency . Contents may not be disclosed to any party under
inves t igation nor may this document be distributed outside receiving agency without specific
prior authorization of the Assistant Inspector General for I nvestigations


CLASSIFICATION :                 FOR OFFICIAL USE ONLY



                                                    3