UNITED STATES
DEPARTMENT OF LABOR

Audit and Other Reports

Listed below are the results of your search. If you are unable to find an audit report, please email us or visit our FOIA page to request a report through the FOIA process.

1. EBSA Can Provide Greater Oversight of the Thrift Savings Plan by Strengthening its Audit Program
   Report No. 05-18-001-12-001 (October 11, 2018)
[ Summary ] | [ Full Report ] {4.97 MB} | [ Response ]
2. EBSA Did Not Have the Ability to Protect the Estimated 79 Million Plan Participants in Self-Insured Health Plans from Improper Denials of Health Claims
   Report No. 05-17-001-12-121 (November 18, 2016)
[ Summary ] | [ Full Report ] {3.27 MB} | [ Response ]
3. Small Pension Plans Receiving Audit Waivers Need More Frequent Review
   Report No. 05-15-002-12-121 (March 31, 2015)
[ Summary ] | [ Full Report ] {775 KB} | [ Response ]
4. Limited-Scope Audits Provide Inadequate Protections to Retirement Plan Participants
   Report No. 05-14-005-12-121 (September 30, 2014)
[ Summary ] | [ Full Report ] {846 KB} | [ Response ]
5. EBSA Could Improve Its Usage of Form 5500 Data
   Report No. 05-14-003-12-121 (March 31, 2014)
[ Summary ] | [ Full Report ] {1.10 MB} | [ Response ]
6. EBSA Needs to Provide Additional Guidance and Oversight to ERISA Plans Holding Hard-to-Value ALternative Investments
   Report No. 09-13-001-12-121 (September 30, 2013)
[ Summary ] | [ Full Report ] {1.99 MB} | [ Response ]
7. Fiscal Year 2013 Federal Information Security Management Act: EBSA General Support System Testing
   Report No. 23-13-012-12-001 (September 30, 2013)
This report contains Sensitive Information and will not be posted
8. Fiscal Year 2013 Federal Information Security Management Act: Employee Retirement Income Security Act Filing Acceptance System Testing
   Report No. 23-13-026-12-001 (September 26, 2013)
This report contains Sensitive Information and will not be posted
9. Verification of EBSA Remediation Efforts of Prior-Year Information Technology Security Recommendations
   Report No. 23-13-017-12-001 (September 20, 2013)
This report contains Sensitive Information and will not be posted
10. Changes Are Still Needed in the ERISA Audit Process to Increase Protections for Employee Benefit Plan Participants
    Report No. 09-12-002-12-121 (September 28, 2012)
[ Summary ] | [ Full Report ] {1.07 MB} | [ Response ]
11. Further Action By EBSA Could Help Ensure PPACA Implementation and Compliance
    Report No. 09-11-003-12-121 (September 30, 2011)
[ Summary ] | [ Full Report ] {971 KB} | [ Response ]
12. Federal Information Security Management Act Audit of EBSA's Technical Assistance and Inquiry System
    Report No. 23-11-026-12-001 (September 30, 2011)
This report contains Sensitive Information and will not be posted
13. Verification of EBSA Remediation Efforts of Prior-Year IT Security Recommendations
    Report No. 23-11-009-12-001 (August 25, 2011)
This report contains Sensitive Information and will not be posted
14. Proxy-Voting May Not be Solely for the Economic Benefit of Retirement Plans
    Report No. 09-11-001-12-121 (March 31, 2011)
[ Summary ] | [ Full Report ] {2685 KB} | [ Response ]
15. EBSA Needs to Monitor the Projected Impact of the Qualified Default Investment Alternative Regulation
    Report No. 09-11-002-12-121 (March 31, 2011)
[ Summary ] | [ Full Report ] {326 KB} | [ Response ]
16. EBSA Needs to Do More to Protect Retirement Plan Assets From Conflicts of Interest
    Report No. 09-10-001-12-121 (September 30, 2010)
[ Summary ] | [ Full Report ] {823 KB} | [ Response ]
17. Notifications of Findings and Recommendations Related to the Federal Information Security Management Act Audit of: Employee Benefits Security Administration's General Support System
    Report No. 23-10-020-12-001 (September 30, 2010)
This report contains Sensitive Information and will not be posted
18. Updated Status of Prior-Year Recommendations Related to EBSA IT Security
    Report No. 23-10-004-12-001 (March 30, 2010)
This report contains Sensitive Information and will not be posted
19. EBSA Could Strengthen Policies and Procedures over the REACT Project
    Report No. 05-09-005-12-001 (September 30, 2009)
[ Summary ] | [ Full Report ] {1.35 MB} | [ Response ]
20. Recovery Act: EBSA Could Improve Some Aspects of its Implementation of the COBRA Premium Assistance Provisions
    Report No. 18-09-003-12-001 (September 30, 2009)
[ Summary ] | [ Full Report ] {1.63 MB} | [ Response ]
21. EBSA Could More Effectively Evaluate Enforcement Project Results
    Report No. 05-09-003-12-001 (March 31, 2009)
[ Summary ] | [ Full Report ] {1.62 MB} | [ Response ]
22. Status of Recommendations Provided to EBSA in Notifications of Findings and Recommendations Cited in the Audit Report: Department of Labor Needs to Remedy Significant Security Control Deficiencies in Access Controls and in the VETS, USERRA Information Management System
    Report No. 23-08-015-12-001 (September 25, 2008)
This report contains Sensitive Information and will not be posted
23. Notifications of Findings and Recommendations Related to the Federal Information Security Management Act Audit of: Employee Retirement Income Security Act Filing Acceptance System
    Report No. 23-08-006-12-001 (August 28, 2008)
This report contains Sensitive Information and will not be posted
24. EBSA Should Mandate Electronic Filing of the Form 5500 to Improve Data Accuracy
    Report No. 09-05-002-12-121 (September 30, 2005)
[ Summary ] | [ Full Report ] {2.87 MB} | [ Response ]
25. EBSA Needs Additional Authority to Improve the Quality of Employee Benefit Plan Audits
    Report No. 09-04-005-12-121 (September 30, 2004)
[ Summary ] | [ Full Report ] {2.54 MB} | [ Response ]
26. Audit of EBSA's Participant and Compliance Assistance Program
    Report No. 09-04-001-12-121 (March 24, 2004)
[ Summary ] | [ Full Report ] {1.19 MB} | [ Response ]
27. PWBA Needs to Improve Oversight of Cash Balance Plan Lump Sum Distributions
    Report No. 09-02-001-12-121 (March 29, 2002)
No Summary | [ Full Report ] {994 KB} | [ Response ]
28. Evaluation of DOL's Travel Card Program: Pension and Welfare Benefits Administration
    Report No. 2E-12-001-0004 (March 26, 2002)
No Summary | [ Full Report ] {140 KB}
29. PWBA EFAST General Controls
    Report No. 09-01-001-12-001 (March 27, 2001)
No Summary | [ Full Report ] {265 KB}
30. Evaluation of PWBA's "Prohibited Transactions" Exemptions Process
    Report No. 2E-12-001-0003 (September 21, 2000)
No Summary | [ Full Report ] {168 KB}
31. Review of PWBA's Enforcement and Training Programs
    Report No. 2E-12-121-0001 (March 24, 2000)
No Summary | [ Full Report ] {235 KB}

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