Reports

Social Security Administration OIG

The Social Security Administration’s Enumeration Services During the COVID-19 Pandemic

Objective: To determine whether the Social Security Administration (SSA) complied with its enumeration policies and procedures and had adequate controls over managing evidentiary documents submitted to support Social Security number (SSN) card applications during the COVID-19 pandemic.

Full Details: Oversight.gov Report Page

Audit | 9/30/2022

1 - Closed

Develop and periodically conduct comprehensive refresher training on topics including but not limited to:
- processing original Social Security Number (SSN) cards for individuals aged 12 or older and emphasize requirements and documentation of the in-person interview;
- acceptable forms of evidentiary documents, and
- processing new (different) and replacement SSN cards when adoption

10 - Open

Complete the privacy assessments for the WorkTrack application.

2 - Open

Update quality control reviews to include comparison of SSNAP inputs to an applicant-submitted Form SS-5 and evidentiary documents, and provide feedback to the technicians who made input errors (such as race and ethnicity) or did not use the appropriate evidentiary documents.

3 - Open

Revise enumeration policy to include clear instructions for when Form SSA-5002 is required and how to properly document the form.

4 - Closed

Update Program Operations Manual System (POMS) to provide current instructions for enumeration notices and archive outdated policy.

5 - Open

Retain enumeration notices in the Online Retrieval System for individuals with assigned SSNs.

6 - Open

Create and implement automated tools to assist staff in navigating through enumeration evidentiary document requirements.

7 - Closed

Take corrective action on all keying errors and cross-referencing errors we identified.

8 - Open

Require managers to verify that incident reports are submitted through the Personally Identifiable Information (PII) Loss Reporting Tool before they approve reimbursement to customers for replacing lost original documents.

9 - Open

Update the National Mail Handling Business Process to include standard Agency-wide mitigation steps for misdirected mail including original documents.

Department of Transportation OIG

FAA Quickly Awarded CARES Act Funds but Can Enhance Its Oversight Approach To Promote Effective Stewardship

What We Looked At The Coronavirus Aid, Relief, and Economic Security (CARES) Act provided the Federal Aviation Administration (FAA) with $10 billion to help airports deal with the public health emergency caused by Coronavirus 2019 (COVID-19). FAA awarded $9.1 billion in grants to airports nationwide, using its existing Airport Improvement Program (AIP) to distribute the funds. Our objective for this self-initiated audit was to assess whether FAA’s policies and procedures for awarding and overseeing CARES Act grants are sufficient to protect taxpayer interests. What We Found Leveraging the AIP...

Full Details: Oversight.gov Report Page

Department of Labor OIG

The U.S. Department of Labor Did Not Meet the Requirements for Compliance with the Payment Integrity Information Act for FY 2021

Full Details: Oversight.gov Report Page

Audit | 7/01/2022

Railroad Retirement Board OIG

The RRB Did Not Have Detailed Project Plans to Expend Information Technology Modernization Funds

Full Details: Oversight.gov Report Page

Audit | 6/29/2022

Social Security Administration OIG

The Social Security Administration’s Mail Processing During the COVID-19 Pandemic

Objective: To determine whether the Social Security Administration (SSA) had adequate controls over mail processing during the COVID-19 pandemic.

Full Details: Oversight.gov Report Page

Audit | 5/13/2022

Department of Labor OIG

COVID-19: To Protect Mission Critical Workers, OSHA Could Leverage Inspection Collaboration Opportunities with External Federal Agencies

Full Details: Oversight.gov Report Page

Audit | 3/31/2022

Railroad Retirement Board OIG

Railroad Retirement Board Did Not Implement Sufficient Internal Controls in the Mobile Phones Deployed as a Result of the Pandemic

Full Details: Oversight.gov Report Page

Audit | 3/17/2022

1 - Open

The Bureau of Information Services should update their mobile phone policies to include and implement a National Archives and Records Administration-approved records schedule and transfer procedures for electronic records associated with mobile phones.

10 - Open

The Bureau of Information Services should develop and implement a records management and retention system for electronic records.

11 - Open

The Bureau of Information Services should research the capabilities of Railroad Retirement Board's Microsoft Azure Cloud's functionality to determine feasibility of incorporating the automated records management and retention capabilities to govern the mobile phones electronic records.

2 - Open

The Bureau of Information Services should submit a yearly affidavit to confirm electronic records associated with mobile phones have been identified and retained until the full transition into Microsoft Azure Cloud.

3 - Open

The Railroad Retirement Board's Director of Administration should define and communicate 'personal usage' establishing Railroad Retirement Board's core hours of 5:00 am to 7:00 pm. Any usage outside of core hours would be considered personal usage excluding business management purposes.

4 - Open

The Railroad Retirement Board's Bureau of Information Services should 1) continue efforts to update the Telecommuting and Mobile Security Computing Policy with current laws and regulations and 2) develop a periodic monitoring control to assess personal usage and address it according to agency guidance.

5 - Open

The Bureau of Information Services should incorporate the mobile phones in an existing assessable unit and update their mobile phone policies to include documentation regarding the specific roles and responsibilities of each office overseeing the mobile phone program.

6 - Open

The Bureau of Information Services should enforce and execute a review and approval process for application and software download and restrict access to specified applications found in their Railroad Retirement Board G-6 Rules of Behavior.

7 - Open

The Bureau of Information Services should implement procedures to periodically track, log, and monitor iPhone usage and the completion of the G-6 Acknowledgement Statement.

8 - Open

The Bureau of Information Services should periodically review the mobile phone inventory for completeness and accuracy to include a comparison with Railroad Retirement Board's personnel position index.

9 - Open

The Bureau of Information Services should implement the use of unique identifiers between disparate data sets (e.g., mobile phone inventory, personnel position index) to facilitate comparisons and reconcile inconsistent information.

Railroad Retirement Board OIG

Management Information Report - Railroad Retirement Board's Actions in Response to Pandemic Funding

Full Details: Oversight.gov Report Page

Audit | 3/16/2022

Department of Labor OIG

COVID-19: Delays In Providing Disaster Relief Jeopardize $366 Million Disaster Worker Grant Program

Full Details: Oversight.gov Report Page

Audit | 1/28/2022

Department of Labor OIG

Management Advisory Comments Identified in an Audit of the Consolidated Financial Statements, For the Year Ended September 30, 2021

Full Details: Oversight.gov Report Page

Audit | 12/20/2021

1 - Closed

We recommend the Director of OWCP reinforce existing policies and procedures requiring the completion of the review and approval of the Transaction Balancing sign-off sheet timely.

2 - Closed

We recommend the Director of OWCP provide additional training to the reviewers regarding responsibilities and expectations when reviewing changes to claimant information to ensure reviews are completed timely and consistently.

3 - Closed

We recommend the Chief Financial Officer update the policies and procedures to ensure that when adjustments are made to the financial statements any revised variances that exceed the acceptable threshold are properly investigated and documented, and the flux analysis is reviewed again.

4 - Closed

We recommend the Principal Deputy Assistant Secretary for ETA provide reinforcement to reviewers to ensure reviews are performed at the appropriate level of precision.

5 - Closed

We recommend that the Principal Deputy Assistant Secretary for ETA implement monitoring controls to periodically verify that management controls for estimates are operating effectively.

6 - Closed

We recommend the Assistant Secretary for VETS monitor indirect cost schedule expiration dates and work with grantees to establish new cost allocation plans prior to grant closeout.

7 - Closed

We recommend the Chief Financial Officer continue their efforts to fully implement the revised ERM process and ensure that all necessary risk assessments are completed at both the individual agency level and at the agency-wide level.

8 - Closed

We recommend the Chief Information Officer enhance vulnerability scanning monitoring controls and procedures to track and remediate outstanding vulnerabilities in a timely manner.

9 - Closed

We recommend the Chief Information Officer formally document decisions in a memorandum when accepting the risks of not remediating findings and obtain the necessary approvals from management.

Date Range

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State/Local Agency

State (State and Local Reports)

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Management Challenges

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Reports

The Social Security Administration’s Enumeration Services During the COVID-19 Pandemic

FAA Quickly Awarded CARES Act Funds but Can Enhance Its Oversight Approach To Promote Effective Stewardship

The U.S. Department of Labor Did Not Meet the Requirements for Compliance with the Payment Integrity Information Act for FY 2021

The RRB Did Not Have Detailed Project Plans to Expend Information Technology Modernization Funds

The Social Security Administration’s Mail Processing During the COVID-19 Pandemic

COVID-19: To Protect Mission Critical Workers, OSHA Could Leverage Inspection Collaboration Opportunities with External Federal Agencies

Railroad Retirement Board Did Not Implement Sufficient Internal Controls in the Mobile Phones Deployed as a Result of the Pandemic

Management Information Report - Railroad Retirement Board's Actions in Response to Pandemic Funding

COVID-19: Delays In Providing Disaster Relief Jeopardize $366 Million Disaster Worker Grant Program

Management Advisory Comments Identified in an Audit of the Consolidated Financial Statements, For the Year Ended September 30, 2021

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