Washington Metropolitan Area Transit Authority

Office of Inspector General (OIG)

Presentation by:
Inspector General Helen Lew
before WMATA-Metro Work Group
March 3, 2017
 Purpose

Provide overview on the role and responsibilities of OIG

Discuss OIG audits, evaluations, and investigations

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 OIG Mandate

Conduct and supervise audits, program evaluations, and

investigations

Promote economy, efficiency, and effectiveness

Detect and prevent fraud and abuse

Keep the Board of Directors (Board) informed about

deficiencies, as well as the necessity for, and progress of
corrective actions

Make periodic reports to the Board

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Office of Inspector General (OIG)

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Audits Component

Follow generally accepted audit practices

Review contractors pricing information

Oversee annual independent audit of financial accounts and

perform a quality assurance review of the audit

Examine program and contractor performance in carrying

out their respective responsibilities

Conduct independent assessments of programs and

operations

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 Audit & Evaluation Activities & Results CY2016

73 audit/evaluation products were issued

64 attestations (reviews of contractors pricing information

used in pre-negotiations, billing rates and pre-awards)

4 Performance Audits

1 Alert Memorandum

2 Performance Evaluations

2 Financial Statement Audit Related Reports

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 Attestation Reports CY2016

Reviewed pricing and cost information in contractors proposals

used in pre-negotiations and other cost and pricing requests from
the Office of Procurement and Materials.

Value of about $89 million

Suggested about $8 million in audit adjustments

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 Performance Audit & Evaluation Reports - As of
12/31/16

Report Title Date

Audit of the WMATAs Invoice Certification and Payment Process 01-13-16

Audit of Trapeze Scheduling and Dispatch System 12-07-16

Audit of WMATAs Degaussing/Wiping of Electronic and Magnetic Media 11-21-16

Audit of WMATAs Mobile Computing Security Program 11-21-16

Evaluation of WMATAs Rail Fare Activities 11-10-16

Evaluation of WMATAs Safety Measurement System 12-29-16

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 Deficiencies With Highest Repeat Percentage - CYs 2007-2016

Highest Repeat Deficiencies:

Failure to follow or lack of policies and procedures

Lack of oversight/monitoring

Year Percentage
2007 87%
2008 71%
2009 80%
2010 79%
2011 75% Average for CYs 2007-2016 = 75%
2012 59%
2013 81%
2014 75%
2015 85%
2016 57%
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 Investigations Component

Conducts criminal, civil, and administrative investigations of

fraud, waste, and abuse related to programs and operations

Handles the OIG Hotline, including intake of complaints and

determining appropriate actions

Investigates or refers complaints to management, the OIG

Audits component, or another agency, as appropriate

Investigates allegations of whistleblower retaliation (P/I 7.8.1/1)

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 Investigations Activities & Results CY2016

Received over 400 complaints

Referred 200+ complaints to Management or Other Entities

Issued over 20 Reports of Investigation

Dissemination of Sensitive Data, Favoritism, Safety Concerns,

Parking Concession Solicitation, ROCC Concern, Unauthorized
Procurement, Conflict of Interest, Unauthorized Use of
Confidential Information, etc.

Reported the results of 7 whistleblower retaliation cases to the

Whistleblower Panel

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 CY2017 Annual Plan Audits & Evaluations

Five ongoing jobs:

Audit of Buy America Act Activities

Audit of Payroll Operations

Audit of Tunnel Inspection Program

Audit of Control and Accountability of Firearms

Audit of Information Technology Incident Response Process

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 CY2017 Annual Plan Audits & Evaluations (Continued)

Additional new jobs include:

Audit of Contracting Officer Technical Representative Function

Audit of Asset Management

Evaluation of Inventory Controls over Rail Maintenance Program

Audit of Security over Publicly Accessible Web Applications

Audit of the Information System Security Officer Function

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