Audit and Other Reports
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- 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) {4.97 MB} [ Summary ] | [ Full Report ] | [ Response ]
- 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) {3.27 MB} [ Summary ] | [ Full Report ] | [ Response ]
- Small Pension Plans Receiving Audit Waivers Need More Frequent Review
Report No. 05-15-002-12-121 (March 31, 2015) {775 KB} [ Summary ] | [ Full Report ] | [ Response ]
- Limited-Scope Audits Provide Inadequate Protections to Retirement Plan Participants
Report No. 05-14-005-12-121 (September 30, 2014) {846 KB} [ Summary ] | [ Full Report ] | [ Response ]
- EBSA Could Improve Its Usage of Form 5500 Data
Report No. 05-14-003-12-121 (March 31, 2014) {1.10 MB} [ Summary ] | [ Full Report ] | [ Response ]
- 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) {1.99 MB} [ Summary ] | [ Full Report ] | [ Response ]
- 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
- 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
- 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
- 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) {1.07 MB} [ Summary ] | [ Full Report ] | [ Response ]
- Further Action By EBSA Could Help Ensure PPACA Implementation and Compliance
Report No. 09-11-003-12-121 (September 30, 2011) {971 KB} [ Summary ] | [ Full Report ] | [ Response ]
- 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
- 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
- Proxy-Voting May Not be Solely for the Economic Benefit of Retirement Plans
Report No. 09-11-001-12-121 (March 31, 2011) {2685 KB} [ Summary ] | [ Full Report ] | [ Response ]
- EBSA Needs to Monitor the Projected Impact of the Qualified Default Investment Alternative Regulation
Report No. 09-11-002-12-121 (March 31, 2011) {326 KB} [ Summary ] | [ Full Report ] | [ Response ]
- EBSA Needs to Do More to Protect Retirement Plan Assets From Conflicts of Interest
Report No. 09-10-001-12-121 (September 30, 2010) {823 KB} [ Summary ] | [ Full Report ] | [ Response ]
- 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
- 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
- EBSA Could Strengthen Policies and Procedures over the REACT Project
Report No. 05-09-005-12-001 (September 30, 2009) {1.35 MB} [ Summary ] | [ Full Report ] | [ Response ]
- 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) {1.63 MB} [ Summary ] | [ Full Report ] | [ Response ]
- EBSA Could More Effectively Evaluate Enforcement Project Results
Report No. 05-09-003-12-001 (March 31, 2009) {1.62 MB} [ Summary ] | [ Full Report ] | [ Response ]
- 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
- 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
- EBSA Should Mandate Electronic Filing of the Form 5500 to Improve Data Accuracy
Report No. 09-05-002-12-121 (September 30, 2005) {2.87 MB} [ Summary ] | [ Full Report ] | [ Response ]
- EBSA Needs Additional Authority to Improve the Quality of Employee Benefit Plan Audits
Report No. 09-04-005-12-121 (September 30, 2004) {2.54 MB} [ Summary ] | [ Full Report ] | [ Response ]
- Audit of EBSA's Participant and Compliance Assistance Program
Report No. 09-04-001-12-121 (March 24, 2004) {1.19 MB} [ Summary ] | [ Full Report ] | [ Response ]
- PWBA Needs to Improve Oversight of Cash Balance Plan Lump Sum Distributions
Report No. 09-02-001-12-121 (March 29, 2002) {994 KB} No Summary | [ Full Report ] | [ Response ]
- Evaluation of DOL's Travel Card Program: Pension and Welfare Benefits Administration
Report No. 2E-12-001-0004 (March 26, 2002) {140 KB} No Summary | [ Full Report ]
- PWBA EFAST General Controls
Report No. 09-01-001-12-001 (March 27, 2001) {265 KB} No Summary | [ Full Report ]
- Evaluation of PWBA's "Prohibited Transactions" Exemptions Process
Report No. 2E-12-001-0003 (September 21, 2000) {168 KB} No Summary | [ Full Report ]
- Review of PWBA's Enforcement and Training Programs
Report No. 2E-12-121-0001 (March 24, 2000) {235 KB} No Summary | [ Full Report ]
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