Reports

Federal Deposit Insurance Corporation OIG

DOJ Press Release: Pennsylvania Man Admits $4.8 Million Cares Act Loan Fraud Scheme

Social Security Administration OIG

Controls over the Social Security Administration’s National 800-number Service During the COVID-19 Pandemic

Objective: To determine whether the Social Security Administration had and used management controls over the service its 800 number employees provided callers during the COVID-19 pandemic.

Full Details: Oversight.gov Report Page

Audit | 8/29/2023

Social Security Administration OIG

The COVID-19 Pandemic’s Effect on Disability Determination Services’ Processing of Disability Claims

Objective: To determine how the COVID-19 pandemic affected the disability determination services’ (DDS) processing of disability claims.

Full Details: Oversight.gov Report Page

Federal Deposit Insurance Corporation OIG

FDIC Examinations of Government-Guaranteed Loans

Full Details: Oversight.gov Report Page

Inspection / Evaluation | 5/10/2023

1 - Open

Develop and implement guidance to examination staff on the credit, operational (including fraud), liquidity, and compliance risks related to Government-guaranteed loans to ensure staff adequately plans and conducts examinations to identify and address emerging risks.

10 - Closed

Develop and implement a training plan to ensure examination staff are trained on the requirements and risks of Government-guaranteed loan programs.

11 - Closed

Update, develop, and distribute to FDIC examination personnel a list of FDIC examiners who have significant experience examining banks that specialize in Government-guaranteed loan programs to regional offices.

12 - Closed

Develop and implement a process to obtain improved data regarding Government-guaranteed lending activities of FDIC-supervised financial
institutions.

13 - Closed

Update the [redacted] MOU to include the sharing of loan portfolio information such as historical loan performance, status of guaranty, and loan-level risk characteristics.

14 - Closed

Establish arrangements with other Federal agencies that administer Government-guaranteed loan programs to facilitate information sharing and
proactive identification of risk.

15 - Closed

Develop and implement processes and procedures for the routine sharing, receipt, and storage of confidential information with Federal agencies that administer Government-guaranteed loan programs.

16 - Closed

Develop and implement guidance to provide instruction to FDIC bank examination staff requiring communication and information sharing with Federal agencies that administer Government-guaranteed loan programs to ensure FDIC staff and the Federal agencies are aware of any emerging risks.

17 - Closed

Determine whether other Federal agencies that administer Government-guaranteed loan programs have a list of FDIC-supervised banks with high risk factors associated with such programs and develop protocols to share information with relevant FDIC personnel, including examiners.

18 - Closed

Develop and implement guidance to ensure relevant risk information exchanged with Federal Government agencies that administer Government-guaranteed loan programs is shared internally within the FDIC on an ongoing basis with the appropriate FDIC employees.

19 - Closed

Develop and implement updated FDIC examination guidance to establish an appropriate timeframe for uploading complete supervisory business records to RADD.

2 - Open

Develop and implement guidance to examination staff to ensure the staff consistently evaluate Government-guaranteed loans in their review of loan classification, assessment of off-balance sheet risk, concentration risk, and ongoing monitoring.

3 - Closed

Update and implement the Examination Profile Script to include additional questions on financial institution participation in Government-guaranteed loan programs in order to identify and address emerging risk.

4 - Closed

Develop and implement additional items to the Safety and Soundness Request List to identify Government-guaranteed loans, the performance of those loans, and status of the guaranty.

5 - Closed

Issue and implement guidance to require that examination staff conduct a fraud risk assessment on future Government-guaranteed loan programs involving FDIC-insured and FDIC-supervised financial institutions to inform policy decisions.

6 - Closed

Ensure guidance on future Government-guaranteed loan programs includes all risks associated with such programs and has instructions to allow for consistency in supervisory activities.

7 - Closed

Issue and implement guidance for examiners clarifying the FDIC supervisory expectations for reviewing bank PPP activities, including the level of PPP loan volume triggering a heightened review, how examiners should assess the PPP activities of banks that have existing BSA/AML weaknesses, and protocols for examination staff to communicate observed weaknesses.

8 - Open

Revise and implement FDIC guidance and practices for assessing concentrations and loan classification to ensure uniform application with the other Federal bank regulators of supervisory approaches to banks

9 - Open

Coordinate with the other Federal bank regulators to ensure uniform application of supervisory approaches to banks regarding concentrations and loan classification.

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 - Closed

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 - Closed

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

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

National Science Foundation OIG

Remote Versus In-Person Merit Review Panels

Full Details: Oversight.gov Report Page

Review | 1/20/2022

Social Security Administration OIG

The Social Security Administration’s Telephone Service Performance (Congressional Response Report)

Objective: To review the Social Security Administration’s (SSA) telephone services, especially as they relate to the COVID-19 pandemic.

Full Details: Oversight.gov Report Page

Social Security Administration OIG

Comparing the SSA DDS' Workload Statistics During the COVID-19 Pandemic to Prior Years

Objective: To summarize information about State disability determination services’ (DDS) workloads during the COVID-19 pandemic period of April 2020 to March 2021 and compare it to DDS workloads in prior years.

Full Details: Oversight.gov Report Page

National Science Foundation OIG

Capstone Report: Observations on the OMB COVID-19 Flexibilities

Full Details: Oversight.gov Report Page

Date Range

Report Type

Report Category

Submitting Agency

State/Local Agency

State (State and Local Reports)

Fraud Type

Agency Reviewed

Related Organizations

Management Challenges

Any Recommendations

Any Open Recommendations

Reports

DOJ Press Release: Pennsylvania Man Admits $4.8 Million Cares Act Loan Fraud Scheme

Controls over the Social Security Administration’s National 800-number Service During the COVID-19 Pandemic

The COVID-19 Pandemic’s Effect on Disability Determination Services’ Processing of Disability Claims

FDIC Examinations of Government-Guaranteed Loans

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

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

Remote Versus In-Person Merit Review Panels

The Social Security Administration’s Telephone Service Performance (Congressional Response Report)

Comparing the SSA DDS' Workload Statistics During the COVID-19 Pandemic to Prior Years

Capstone Report: Observations on the OMB COVID-19 Flexibilities

Glossary

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