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The Office of Inspector General (OIG) is an independent office created within the SBA by law to conduct and
supervise audits, inspections, and investigations relating to SBA programs and supporting operations; to detect
and prevent waste, fraud, and abuse; and to promote economy, efficiency, and effectiveness in the administration
and management of SBA programs.
The Inspector General, a Presidentially appointed and Senate-confirmed officer, keeps the SBA Administrator and the Congress fully informed of any problems, recommends corrective actions, and monitors progress in the implementation of such actions. The three operating components of OIG are the Auditing Division, the Investigations Division, and the Inspection and Evaluation Division. The Auditing and Investigations Divisions each administer their respective activities through field offices around the country. The Management and Policy and Counsel Divisions support both the Inspector General and the operating divisions by providing policy, planning, administrative, and legal services respectively. |
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OIG conducts financial and performance audits of internal Agency functions and of participants in SBA programs
to promote the economical, efficient, and effective operation of SBA programs.
Audits give SBA managers an objective and systematic assessment of how well their offices are carrying out their SBA-related programs and operations. Financial audits examine the presentation of financial information, internal controls, and adherence to financial requirements. Performance audits assess operations in terms of economical use of resources. |
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OIG inspections provide independent assessments of the effectiveness of SBA programs and activities. They also provide special analyses of critical program issues. Inspection subjects cover a wide range, from evaluations of program performance and efficiency to the identification of "best practices" and research on business and economic issues of concern to the SBA. The inspections are designed to help Agency policy makers and Congressional oversight committees identify ways to improve SBA management and enhance the impact of its programs. |
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When an investigation finds a serious systemic deficiency in Agency procedures or practices of SBA personnel, OIG staff provides a program vulnerability memorandum to appropriate program officials setting forth the pertinent investigative findings and suggesting possible management actions or procedural changes to decrease or eliminate the vulnerability in a program. |
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OIG staff participates with SBA staff on Agency-wide task forces to address issues of concern to the Agency, the Congress, and the small business community. |
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OIG is mandated to review and evaluate legislation, regulations, and standard operating procedures in terms of their impact on program economy and efficency, or their prevention of fraud and abuse. |
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| Investigations | OIG investigates allegations of possible criminal violations and other wrongdoing.  Most investigations are conducted in conjunction with a U.S. Attorney's
Office. While the subject of an OIG investigation can be an SBA employee, approximately 90 percent of the subjects are applicants for or participants
in Agency programs. OIG depends heavily on SBA employees for referrals of possible criminal activity.
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OIG's investigations staff regularly presents fraud awareness briefings to Agency employees. Topics discussed with the employees include the Agency's standards
of conduct and how to handle potentially compromising situations. The cooperation OIG receives from SBA employees indicates their strong commitment
to reducing waste, fraud, and abuse in Agency programs and to improving the Agency's management and control of
its programs.
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OIG staff ensures that all Agency employees have the appropriate background investigations and security clearances for their duties. OIG's name check program provides SBA officials with character-eligibility information on loan applicants and other potential program participants. |
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| SBA employees have a duty to report any suspected irregularity to OIG and to cooperate in OIG investigations, audits, and inspections by readily providing information that may be helpful. To protect the integrity of an investigation, employees should keep the subject matter confidential. | |
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| Although anyone may report suspected fraud, mismanagement, or abuse in SBA programs, approximately 70 percent of all investigative referrals over the past several years have come from Agency employees. | |
| Complaint may be made: | |
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SBA Office of Inspector General 409 Third Street, S.W. Washington, DC 20416 |
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| A referral should be as specific as possible as to who and what is involved. Confidentiality may be requested, and the referrer's identity will not be disclosed unless it becomes unavoidable during an ensuing investigation. | |
| To request an OIG investigation, audit, or inspection, call: | |
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| The SBA has offices located throughout the United States. For the one nearest you, look under "U.S. Government" in your telephone directory, or: |
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Bulletin Board |
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| Internet | |
| SBA Home Page http://www.sba.gov File transfer ftp://ftp.sba.gov Telnet telnet://sba.gov |
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