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The Office of Inspector General (OIG) makes recommendations to the U.S. Department of Labor (DOL) to promote effectiveness, efficiency, economy, and integrity of all DOL programs and operations, including those performed by its contractors and grantees. Recommendations are considered resolved when agency management and the OIG agree on the required corrective actions. After the agreed-upon corrective actions have been completed, the recommendations are considered closed. This Recommendation Dashboard provides the status of OIG recommendations going back to FY 2010.
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- Open - Closed Updated as of July 27, 2021
- Open - Closed Updated as of July 27, 2021
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Alert Memorandum: The Employment and Training Administration Does Not Require the National Association of State Workforce Agencies to Report Suspected Unemployment Insurance Fraud Data to the Office of Inspector General or DOL’s Employment and Training Administration.
| Status | Rec. | Primary Agency Responsible | Implementing Agency (if different) | Monetary Findings | Recommendation |
|---|---|---|---|---|---|
| 001 | ETA | $0 | We recommend the Principal Deputy Assistant Secretary of Employment and Training take immediate action to require NASWA to refer information to ETA and the OIG on suspected fraud, waste, abuse, mismanagement, or misconduct, per DLMS 8-106(D)(3). Such actions could include modification of ETA’s grant award or issuance of unemployment insurance program policy guidance to ensure ETA complies with the notice requirement and its grantees comply with the reporting requirements of the DLMS. | ||
| 002 | ETA | $0 | We recommend the Principal Deputy Assistant Secretary of Employment and Training continue to work with the OIG and, within 30 days of this memorandum, meet with the OIG to develop a permanent approach to OIG access to IDH data. |
Alert Memorandum: The Employment and Training Administration Needs to Issue Guidance to Ensure State Workforce Agencies Provide Requested Unemployment Insurance Data to the Office of Inspector General
| Status | Rec. | Primary Agency Responsible | Implementing Agency (if different) | Monetary Findings | Recommendation |
|---|---|---|---|---|---|
| 001 | ETA | $0 | We recommend the Principal Deputy Assistant Secretary of Employment and Training: Amend 20 CFR 603.5 and 603.6(a) through the rulemaking process to reinforce that UI information must be provided to DOL OIG for all IG engagements authorized under the IG Act, including audits, evaluations, and investigations. | ||
| 002 | ETA | $0 | We recommend the Principal Deputy Assistant Secretary of Employment and Training: Issue a new UIPL within 15 days of this memorandum to instruct SWAs that disclosure of information to the OIG for audits, evaluations, and investigations is mandatory without need for a subpoena, and that the OIG will notify SWAs directly of current and future information disclosure requirements, to include data elements. | ||
| 003 | ETA | $0 | We recommend the Principal Deputy Assistant Secretary of Employment and Training: Ensure the new UIPL guidance advises SWAs that they may not require the OIG to enter into data sharing agreements as a prerequisite to disclosure of information to the OIG for audits, consistent with the IG Act and federal law. | ||
| 004 | ETA | $0 | We recommend the Principal Deputy Assistant Secretary of Employment and Training: Ensure revisions to UIPL 04-17 advise SWAs that data sharing agreements are not required when sharing UI claim and wage data with the OIG for fraud investigations. The revised UIPL should make clear that SWAs shall share UI claim and wage data with the OIG for fraud detection and investigative purposes, not limiting the sharing to investigations into a particular instance of suspected UI fraud. | ||
| 005 | ETA | $0 | We recommend the Principal Deputy Assistant Secretary of Employment and Training: Continue to work with the OIG, and within 30 days of the memorandum, meet with the OIG to develop a permanent approach for OIG access to UI data. |
Covid-19: States Struggled To Implement Cares Act Unemployment Insurance Programs
| Status | Rec. | Primary Agency Responsible | Implementing Agency (if different) | Monetary Findings | Recommendation |
|---|---|---|---|---|---|
| 001 | ETA | $0 | We recommend the following to the Principal Deputy Assistant Secretary for Employment and Training conduct a study to assess the technological needs of the UI programs to determine the capabilities that need to be upgraded or replaced; the features necessary to effectively respond to rapid changes in the volume of claims in times of emergency or high unemployment; the capabilities needed to ensure effective and equitable delivery of benefits; and the capabilities to minimize fraudulent activities. | ||
| 002 | ETA | $33,745,677,576 | Continue to work with states to develop, operate, and maintain a modular set of technological capabilities to modernize the delivery of UI benefits that is sufficient to manage and process sudden spikes in claims volume during emergencies or high unemployment. | ||
| 003 | ETA | $0 | Assist states with claims, overpayment, and fraud reporting to create clear and accurate information. Then use the overpayment and fraud reporting to prioritize and assist states with fraud detection and recovery. | ||
| 004 | ETA | $0 | Develop standards for providing clear and reasonable timeframes to implement temporary programs to establish expectations for prompt benefit payments to claimants. |
MSHA Can Improve How Violations Are Issued, Terminated, Modified, and Vacated
Audit Report to MSHA, 05-21-002-06-001 issued on 03/31/2021
10 recommendations, of which 0 are closed
10 recommendations, of which 0 are closed
| Status | Rec. | Primary Agency Responsible | Implementing Agency (if different) | Monetary Findings | Recommendation |
|---|---|---|---|---|---|
| 001 | MSHA | $0 | We recommend the Assistant Secretary for Mine Safety and Health: Provide refresher training to inspectors and supervisors on complying with MSHA guidance for each violation type. | ||
| 002 | MSHA | $0 | We recommend the Assistant Secretary for Mine Safety and Health: Provide training on how to determine the subsequent inspection when multiple inspections overlap, enter violations into the system in the same chronological order identified, be specific when writing the “Area or Equipment” entry, and when it is appropriate to list “No area affected” for an order. | ||
| 003 | MSHA | $0 | We recommend the Assistant Secretary for Mine Safety and Health: Update system controls to improve compliance of MSHA violations with the Mine Act and MSHA guidance in the following instances: a. Verify only authorized violation types used; b. Include all required phrases automatically in the “Condition or Practice” entry when the inspector selects 103(a) citations, 104(g)(1) orders, 104(e)(1)/104(e)(2) orders, or 107(a) orders; c. Ensure 104(d) orders and 104(g)(1) orders cite eligible CFR sections; d. Verify the correlations between the CFR or Mine Act sections of 104(b) orders and the original violation; e. Verify 104(d)(1) orders, 104(d)(2) orders, 104(e)(1) orders, and 104(e)(2) orders reference the correct “initial action” by including additional crucial attributes in the system controls, such as issue date, event number, and event start date; f. Verify orders have the “Area or Equipment” entry populated when initially issuing the violation; g. Apply system controls to modifications done directly in MCAS, such as modifications due to court decisions or settlements; h. Identify modifications needed to other violations when vacating or modifying a violation; i. Verify the reasonableness of the due dates and provide warnings to inspectors when due dates appear longer than necessary; and j. Provide a warning message to inspectors when trying to issue a safeguard at a mine that would lead to multiple safeguards citing the same regulation issued for a single mine. | ||
| 004 | MSHA | $0 | We recommend the Assistant Secretary for Mine Safety and Health: Update the Citation and Order Writing Handbook to clarify situations when multiple safeguards can be issued for a single mine and to correct any examples that do not comply with the instructions listed in the Handbook. | ||
| 005 | MSHA | $0 | We recommend the Assistant Secretary for Mine Safety and Health: Improve the violations termination process by decreasing the percentage of future untimely terminations, improving the use of 104(b) orders, and not allowing due dates to be extended unless for specific, justified reasons listed on the violation form. | ||
| 006 | MSHA | $0 | We recommend the Assistant Secretary for Mine Safety and Health: Provide training on how to write specific supporting reasons on the violation forms or other documentation (e.g., vacate memos) when extending, modifying, or vacating violations. | ||
| 007 | MSHA | $0 | We recommend the Assistant Secretary for Mine Safety and Health: Develop a metric to measure performance and an internal control to verify timely uploading of violations from the inspector’s laptop/tablet into MCAS. | ||
| 008 | MSHA | $0 | We recommend the Assistant Secretary for Mine Safety and Health: Complete periodic reviews to determine whether MSHA personnel are meeting the timely upload and recording of violations in MCAS, terminating violations by the due date, and effectively using 104(b) orders. | ||
| 009 | MSHA | $0 | We recommend the Assistant Secretary for Mine Safety and Health: Simplify the design of the supervisory checklists by revising compound questions into simple questions answerable by a single response (yes, no, or not applicable) and provide refresher training on the quantity completion requirements, how to properly complete and review the checklist, and the importance of providing feedback using the checklist. | ||
| 010 | MSHA | $0 | We recommend the Assistant Secretary for Mine Safety and Health: Work with the Solicitor’s Office and the Federal Mine Safety and Health Review Commission to implement a process to ensure violations listed in settlement agreements or court decisions still comply with the Mine Act and Mathies test. |
Job Corps Should Improve Its Pre-admission Evaluation Process
| Status | Rec. | Primary Agency Responsible | Implementing Agency (if different) | Monetary Findings | Recommendation |
|---|---|---|---|---|---|
| 001 | ETA | $0 | We recommend the Assistant Secretary for Employment and Training: Make a final determination on the legality and permissibility of pre-enrollment behavioral assessment tools, such as drug screenings, trial periods, or personality or aptitude tests that would be appropriate for use within Job Corps. | ||
| 002 | ETA | $0 | We recommend the Assistant Secretary for Employment and Training: Perform cost/benefit analyses to determine which, if any, of these pre-enrollment behavioral suitability assessment tools would be beneficial to Job Corps. | ||
| 003 | ETA | $0 | We recommend the Assistant Secretary for Employment and Training: Incorporate the results of recommendations 1 and 2, as appropriate, in revising guidance to improve the assessment process. |
COVID-19: Increased Worksite Complaints and Reduced OSHA Inspections Leave U.S. Workers’ Safety at Increased Risk
Audit Report to OSHA, 19-21-003-10-105 issued on 02/25/2021
4 recommendations, of which 0 are closed
4 recommendations, of which 0 are closed
| Status | Rec. | Primary Agency Responsible | Implementing Agency (if different) | Monetary Findings | Recommendation |
|---|---|---|---|---|---|
| 001 | OSHA | $0 | We recommend the Principal Deputy Assistant Secretary for Occupational Safety and Health. Improve OSHA’s inspection strategy by prioritizing very high and high-risk employers for COVID-19 related onsite inspections as businesses reopen and increase operations in various localities across the United States. | ||
| 002 | OSHA | $0 | We recommend the Principal Deputy Assistant Secretary for Occupational Safety and Health. Ensure remote inspections are tracked retroactive to February 1, 2020. | ||
| 003 | OSHA | $0 | We recommend the Principal Deputy Assistant Secretary for Occupational Safety and Health. Compare remote inspections to onsite inspections, and at a minimum provide analysis that addresses their frequency and timeliness for identifying and abating worksite hazards. | ||
| 004 | OSHA | $0 | We recommend the Principal Deputy Assistant Secretary for Occupational Safety and Health. Analyze and determine whether establishing an infectious disease specific ETS is necessary to help control the spread of COVID-19 as employees return to worksites. |
Alert Memorandum: The Employment and Training Administration (ETA) Needs to Ensure State Workforce Agencies (SWA) Implement Effective Unemployment Insurance Program Fraud Controls for High Risk Areas
| Status | Rec. | Primary Agency Responsible | Implementing Agency (if different) | Monetary Findings | Recommendation |
|---|---|---|---|---|---|
| 001 | ETA | $5,409,966,198 | We recommend the Principal Deputy Assistant Secretary of Employment and Training establish effective controls, in collaboration with SWAs, to mitigate fraud and other improper payments to ineligible claimants, including the areas identified in the memorandum: UI benefits paid to multi-state claimants, claimants who used the social security numbers of deceased individuals, potentially ineligible federal inmates, and claimants with suspicious email accounts. Effective controls will help prevent similar or greater amounts of fraud and allow those funds to be put to better use. | ||
| 002 | ETA | $0 | We recommend the Principal Deputy Assistant Secretary of Employment and Training work with Congress to establish legislation requiring SWAs to cross match high-risk areas, including the four areas identified in the memo. |
ETA Needs To Improve Its Disaster National Dislocated Worker Program
| Status | Rec. | Primary Agency Responsible | Implementing Agency (if different) | Monetary Findings | Recommendation |
|---|---|---|---|---|---|
| 001 | ETA | $0 | To improve future DWG awards, we recommend the Assistant Secretary for Employment and Training: Establish written timelines for when disaster relief should begin providing relief to those impacted by a disaster. | ||
| 002 | ETA | $0 | To improve future DWG awards, we recommend the Assistant Secretary for Employment and Training: Develop a strategy to continuously work with state grantees to ensure local areas maximize the use of disaster relief funds, and that states are sufficiently monitoring subrecipients. | ||
| 003 | ETA | $0 | To improve future DWG awards, we recommend the Assistant Secretary for Employment and Training: Evaluate ETA’s monitoring of grantees and technical assistance provided to ensure grantees have greater opportunities to achieve key performance goals. | ||
| 005 | ETA | $0 | To improve future DWG awards, we recommend the Assistant Secretary for Employment and Training: Ensure that on future awards that include self-certification processes, regular eligibility verification is performed. | ||
| 006 | ETA | $1,988,627 | To improve future DWG awards, we recommend the Assistant Secretary for Employment and Training: Recover $1,988,627 in unallowable costs. |
FY 2020 FISMA DOL Information Security Report: Progress Needed to Improve Risk Management and Continuous Monitoring Information Security Controls
Audit Report to OASAM, 23-21-001-07-725 issued on 12/22/2020
25 recommendations, of which 0 are closed
25 recommendations, of which 0 are closed
| Status | Rec. | Primary Agency Responsible | Implementing Agency (if different) | Monetary Findings | Recommendation |
|---|---|---|---|---|---|
| 001 | OASAM | $0 | Work with DOL management to update the DOL cybersecurity risk management strategy so that it appropriately addresses each activity and task described in NIST SP 800-39 and NIST SP 800-53, Rev. 4, PM-9, Risk Management Strategy. | ||
| 002 | OASAM | $0 | Complete, approve, and implement its Enterprise Architecture and related artifacts. | ||
| 003 | OASAM | $0 | Implement a process to review the latest NIST SPs and update the appropriate DOL documentation consistent with the new standards and best practices put forth by NIST. | ||
| 004 | OASAM | $0 | Review NIST SP 800-160 Vol. 1 and 2 and update the CSH to integrate security engineering principles, as appropriate. | ||
| 005 | OASAM | $0 | Review, revise as necessary, finalize, and implement their revised SDLC Manual. | ||
| 006 | OASAM | $0 | Provide training to responsible personnel over the third-party continuous monitoring review checklist. | ||
| 007 | OASAM | $0 | Validate that the classification of DOL systems is in accordance with policy, and that system interconnections are appropriately documented within its inventory. | ||
| 008 | OASAM | $0 | Develop, define, implement, and monitor change management key performance indicators that align DOL’s goals and objectives. | ||
| 009 | OASAM | $0 | Enforce DOL policies and procedures regarding separation of duties so developers do not possess the ability to migrate changes to production. | ||
| 010 | OASAM | $0 | Enforce DOL security baseline polices with DOL’s CSPs and develop a security configuration checklist for the CSPs. | ||
| 011 | OASAM | $0 | Implement a process for approving deviations from established configuration settings. | ||
| 012 | OASAM | $0 | Provide training to responsible personnel addressing the new guidance for operational activities, including the patch management process. | ||
| 013 | OASAM | $0 | Provide additional resources to support operational activities during unforeseen circumstances. | ||
| 014 | OASAM | $0 | Update the patching process to ensure patches are applied within appropriate timeframes. | ||
| 015 | OASAM | $0 | Reinforce the PIV Exemption approval process through training. | ||
| 016 | OASAM | $0 | Implement a process for periodic review or monitoring of PIV Exemptions to ensure the process is operating effectively. | ||
| 017 | OASAM | $0 | Implement policies and procedures regarding user access reviews for tenants that reside on the platform as a service in accordance with requirements outlined in the DOL CSH. | ||
| 018 | OASAM | $0 | Provide additional resources to support the security requirements and a training over the application user access review process, as documented in the DOL CSH. | ||
| 019 | OASAM | $0 | Provide training on removing access for separated DOL employees to all DOL officials in the oversight role. | ||
| 020 | OASAM | $0 | Document the responsibilities of control activities for tenants that reside on the PaaS through policies and procedures that include user activity reviews in accordance with requirements outlined in the DOL policy. | ||
| 021 | OASAM | $0 | Provide training over the application user activity review process. | ||
| 022 | OASAM | $0 | Update their ISCM plan to include a procedure to review and update the ISCM strategy and ISCM Program on a defined frequency, and review and update the policies and procedures for security status monitoring. | ||
| 023 | OASAM | $0 | Develop sufficiently defined quantitative and qualitative metrics that provide meaningful indications of security status and trend analysis at all risk management tiers. | ||
| 024 | OASAM | $0 | Monitor contingency plan testing and exercises through examination of after-action reviews. | ||
| 025 | OASAM | $0 | Validate that systems have received either the appropriate classification or risk waiver that would exempt the system from specific security requirements. |
Management Advisory Comments Identified in an Audit of the Consolidated Financial Statements, For the Year Ended September 30, 2020
Audit Report to OCFO, 22-21-005-13-001 issued on 12/18/2020
20 recommendations, of which 0 are closed
20 recommendations, of which 0 are closed
| Status | Rec. | Primary Agency Responsible | Implementing Agency (if different) | Monetary Findings | Recommendation |
|---|---|---|---|---|---|
| 001 | OCFO | $0 | We recommend that the CFO, in conjunction with management of other key agencies within DOL, enhance the related policies and procedures to clarify how agencies should perform and document their identification, assessment, and response to risks, and how DOL should aggregate and assess those risks for the entity as a whole. | ||
| 002 | OCFO | $0 | We recommend that the Director of the OWCP reinforce with the service provider the requirements to obtain DEEOIC’s approval for medical bills exceeding the applicable review thresholds prior to payment. | ||
| 003 | OCFO | $0 | We recommend that the Director of the OWCP implement a monitoring control to periodically verify that the service provider has sent all medical bills over the applicable thresholds to DEEOIC management for approval prior to payment. | ||
| 004 | OCFO | $0 | We recommend that the Director of OWCP complete follow-up actions to determine the correct amount of the medical payments and the appropriate resolution of any differences. | ||
| 005 | OCFO | $0 | We recommend that the Director of OWCP provide additional training to the MCS to address the deficiency identified. | ||
| 006 | OCFO | $0 | We recommend that the CFO update its policies and procedures to require a review over the completeness and accuracy of continuing resolution amounts used in the SF-132 compliance analysis and the SF-132 to SF-133 reconciliation. | ||
| 007 | OCFO | OASAM | $0 | We recommend that the Assistant Secretary for Administration and Management develop and implement policies and procedures to address the enforcement and monitoring of the control requirement for the employee separation process. | |
| 008 | OCFO | OASAM | $0 | We recommend that the Assistant Secretary for Administration and Management provide trainings to the applicable personnel that reinforce the separated employee process and emphasize established timeframes on the separation clearance form. | |
| 009 | OCFO | MULTI | $0 | We recommend that the Assistant Secretary for Policy and the Assistant Secretary for VETS enforce accountability of grant officers and closeout specialists to incentivize timely execution and process improvement. | |
| 010 | OCFO | OASAM | $0 | We recommend that the Assistant Secretary for Policy and the Assistant Secretary for VETS continue to fully implement monitoring controls to track the status of grants during their closeout processes to ensure proper follow-up and timely execution. | |
| 011 | OCFO | MULTI | $0 | We recommend that the Assistant Secretary for Policy and the Assistant Secretary for VETS administer grant closeout continuous improvement trainings for all agencies to address inconsistent grant closeout implementation concerns. | |
| 012 | OCFO | ETA | $0 | We recommend that the Assistant Secretary for ETA provide continued training to FPOs, emphasizing the revised expectations of the corrective action plan. | |
| 013 | OCFO | ETA | $0 | We recommend that the Assistant Secretary for ETA enforce accountability of the FPOs to facilitate timely and successful remediation of delinquent grant cost reports. | |
| 014 | OCFO | ETA | $0 | We recommend that the Assistant Secretary for ETA enhance monitoring controls to track the status of delinquent cost reports to ensure timely acceptance by the FPOs. | |
| 015 | OCFO | ETA | $0 | We recommend that the Assistant Secretary for ETA provide continued training to FPOs, emphasizing the revised expectations of the corrective action plan. | |
| 016 | OCFO | ETA | $0 | We recommend that the Assistant Secretary for ETA enforce accountability of the FPOs to facilitate timely issuance of final site monitoring reports and completion of required GEMS documentation. | |
| 017 | OCFO | ETA | $0 | We recommend that the Assistant Secretary for ETA continue to fully implement monitoring controls to ensure timely issuance of final site monitoring reports and completion of required GEMS documentation. | |
| 018 | OCFO | VETS | $0 | We recommend the Assistant Secretary for VETS formalize the VETS SOP for the single audit process, and include a timeline to ensure that responses are provided within the 180-day timeframe. | |
| 019 | OCFO | VETS | $0 | We recommend the Assistant Secretary for VETS provide continued training to staff, emphasizing the revised expectations of the corrective action plan. | |
| 020 | OCFO | VETS | $0 | We recommend the Assistant Secretary for VETS enforce accountability of staff to facilitate timely issuance of Single Audit Final Determination Letters and completion of required documentation. |
DOL Did Not Demonstrate It Followed A Sound Process in Promulgating the 2017 Tip Rule Notice of Proposed Rulemaking
| Status | Rec. | Primary Agency Responsible | Implementing Agency (if different) | Monetary Findings | Recommendation |
|---|---|---|---|---|---|
| 01 | WHD | MULTI | $0 | Develop policies and procedures to document its rationale and supporting evidence for key decisions in the development of economic regulatory analysis. | |
| 02 | WHD | MULTI | $0 | Develop policies and procedures to document its rationale and supporting evidence when DOL determines the prescribed regulatory guidance does not apply | |
| 03 | WHD | $0 | Enforce policies and procedures that require employees to maintain records that document government business. Employees should not be discouraged from maintaining such records. | ||
| 04 | WHD | $0 | Develop policies and procedures to ensure that after a regulatory action has been published in the Federal Register, or otherwise issued to the public, DOL identify for the public in a complete, clear, and simple manner the substantive changes between the draft submitted to OIRA for review and the action subsequently announced. |
Region IX Whistleblower Protection Program Complaints Were Not Complete or Timely
Audit Report to OSHA, 02-21-001-10-105 issued on 11/23/2020
4 recommendations, of which 0 are closed
4 recommendations, of which 0 are closed
| Status | Rec. | Primary Agency Responsible | Implementing Agency (if different) | Monetary Findings | Recommendation |
|---|---|---|---|---|---|
| 001 | OSHA | $0 | Explore solutions to improve case management, including tracking completion of the essential elements and alerting the investigator and supervisor when there are periods of inactivity on an investigation. | ||
| 002 | OSHA | $0 | Develop and implement a system to track and monitor the work performed by FTEs to better allocate personnel costs by program and ensure resources are used as intended. | ||
| 003 | OSHA | $0 | Continue efforts to find solutions to developing a reasonable balance between the quality and timeliness of investigations. | ||
| 004 | OSHA | $0 | Ensure OSHA issues an updated WIM by the end of FY 2021 and complete desk guides for all applicable statutes. |
FY 2020 Independent Auditors' Report on the DOL Financial Statements
Audit Report to OCFO, 22-21-004-13-001 issued on 11/16/2020
6 recommendations, of which 0 are closed
6 recommendations, of which 0 are closed
| Status | Rec. | Primary Agency Responsible | Implementing Agency (if different) | Monetary Findings | Recommendation |
|---|---|---|---|---|---|
| 001 | OCFO | MULTI | $0 | We recommend that the Director, Office of Workers’ Compensation Programs and the Assistant Secretary for Employment and Training, in coordination with the Chief Financial Officer design and implement controls over their respective estimates to ensure management’s review of the estimates are performed at a sufficient level of detail, including the underlying data, assumptions, and formulas used to determine the estimates. | |
| 002 | OCFO | MULTI | $0 | We recommend that the Director, Office of Workers’ Compensation Programs and the Assistant Secretary for Employment and Training, in coordination with the Chief Financial Officer design and implement controls to evaluate changes in assumptions occurring between the measurement date and the valuation and update the estimates, as appropriate. | |
| 003 | OCFO | MULTI | $0 | We recommend that the Director, Office of Workers’ Compensation Programs and the Assistant Secretary for Employment and Training, in coordination with the Chief Financial Officer amend policies and procedures to provide specific steps to be performed during the reviews and the documentation requirements, which should include the specific items reviewed, analyses performed, and conclusions reached. | |
| 004 | OCFO | MULTI | $0 | We recommend that the Director, Office of Workers’ Compensation Programs and the Assistant Secretary for Employment and Training, in coordination with the Chief Financial Officer formally document the level of precision used in the reviews to ensure that the review occurs at an appropriately precise level to identify errors within model functionality and data input, which would allow the reviewer to identify material errors in the estimates. | |
| 005 | OCFO | MULTI | $0 | We recommend that the Director, Office of Workers’ Compensation Programs and the Assistant Secretary for Employment and Training, in coordination with the Chief Financial Officer maintain documentation of the reviews performed to assess the reasonableness of the underlying data, assumptions, and formulas used in the models that is sufficiently detailed to evidence the specific items reviewed, analysis performed, and conclusions reached. | |
| 006 | OCFO | MULTI | $0 | We recommend that the Director, Office of Workers’ Compensation Programs and the Assistant Secretary for Employment and Training, in coordination with the Chief Financial Officer provide additional training to the reviewers of the estimates to reinforce established policies and procedures, as necessary. |
MSHA Needs to Improve Efforts to Protect Coal Miners From Respirable Crystalline Silica
Audit Report to MSHA, 05-21-001-06-001 issued on 11/12/2020
3 recommendations, of which 0 are closed
3 recommendations, of which 0 are closed
| Status | Rec. | Primary Agency Responsible | Implementing Agency (if different) | Monetary Findings | Recommendation |
|---|---|---|---|---|---|
| 001 | MSHA | $0 | Adopt a lower legal exposure limit for silica in coal mines based on current scientific evidence. | ||
| 002 | MSHA | $0 | Establish a separate standard for silica that allows MSHA to issue citations and monetary penalties when violations of its silica exposure limit occur. | ||
| 003 | MSHA | $0 | Enhance its sampling program to increase the frequency of inspector samples where needed (e.g., by implementing a risk-based approach). |
Special Report on the Federal Employees' Compensation Act Special Benefit Fund
Audit Report to OWCP, 22-21-001-04-431 issued on 10/30/2020
2 recommendations, of which 0 are closed
2 recommendations, of which 0 are closed
| Status | Rec. | Primary Agency Responsible | Implementing Agency (if different) | Monetary Findings | Recommendation |
|---|---|---|---|---|---|
| 001 | OWCP | $0 | We recommend that the Director of OWCP complete follow-up actions to determine the claimants' continuing eligibility and the correct amount of the payments, as applicable, and the appropriate resolution of any differences. | ||
| 002 | OWCP | $0 | We recommend that the Director of OWCP revise the design of the control in place related to the periodic secondary review of the PERS to require that the review covers the entire fiscal year, and the documentation maintained related to the review is sufficiently detailed to include information such as the specific attributes review for each case, the quantitative impact of exceptions identified, and follow-up actions performed to address them. |
DOL Needs to Improve Debarment Processes to Ensure Foreign Labor Program Violators are Held Accountable
| Status | Rec. | Primary Agency Responsible | Implementing Agency (if different) | Monetary Findings | Recommendation |
|---|---|---|---|---|---|
| 001 | ETA | WHD | $0 | We recommend the Administrator for Wage and Hour Division utilize the Secretary options to initiate H-1B investigations, including identifying the criteria that would allow the Secretary to initiate an investigation. | |
| 002 | ETA | WHD | $0 | We recommend the Administrator for Wage and Hour Division define a process for assessing willfulness to make it less difficult to determine if an employer should be debarred. | |
| 003 | ETA | WHD | $0 | We recommend the Administrator for Wage and Hour Division work with Congress to change the restrictive authority of H-1B investigations to permit WHD to initiate investigations similar to the H-2A and H-2B programs. |
DOL Needs to Do More to Implement the Geospatial Data Act of 2018
Audit Report to OSEC, 23-20-004-01-001 issued on 09/30/2020
2 recommendations, of which 1 are closed
2 recommendations, of which 1 are closed
| Status | Rec. | Primary Agency Responsible | Implementing Agency (if different) | Monetary Findings | Recommendation |
|---|---|---|---|---|---|
| 002 | OSEC | $0 | We recommend the Chief Data Officer: Create and implement strategies and internal planning that ensure compliance with the GDA, and update geospatial planning strategies once data standards and guidance are issued. |
ETA Should Do More to Assist Vulnerable States Prepare for Disaster Unemployment Assistance Program Implementation
| Status | Rec. | Primary Agency Responsible | Implementing Agency (if different) | Monetary Findings | Recommendation |
|---|---|---|---|---|---|
| 001 | ETA | $5,564,769 | Establish policies, procedures and controls to ensure states provide DUA staff annual training and have required written state DUA policies and procedures in place. | ||
| 002 | ETA | $0 | Create a rapid response team consisting of Federal and state officials capable of providing technical and other assistance to states impacted by major disasters. | ||
| 003 | ETA | $95,699 | Recover $95,699 in questioned costs from the FLDEO and VIDOL for participants whose eligibility they could not substantiate. |
DOL Needs To Do More To Secure Employees' Personally Identifiable Information in the Travel Management System
Audit Report to OCFO, 23-20-003-13-001 issued on 09/10/2020
2 recommendations, of which 0 are closed
2 recommendations, of which 0 are closed
| Status | Rec. | Primary Agency Responsible | Implementing Agency (if different) | Monetary Findings | Recommendation |
|---|---|---|---|---|---|
| 001 | OCFO | $0 | Establish and implement procedures to ensure E2 account management practices enforce DOL’s security policies. | ||
| 002 | OCFO | $0 | Establish and implement procedures to ensure E2 is managed in compliance with contractual security requirements and DOL computer security policies for contracted information systems. |
COVID-19: OSHA Needs to Improve Its Handling of Whistleblower Complaints During the Pandemic
Audit Report to OSHA, 19-20-010-10-105 issued on 08/14/2020
3 recommendations, of which 1 are closed
3 recommendations, of which 1 are closed
| Status | Rec. | Primary Agency Responsible | Implementing Agency (if different) | Monetary Findings | Recommendation |
|---|---|---|---|---|---|
| 002 | OSHA | $0 | Continue to monitor and evaluate the Region II triage pilot and consider extending the triage process to all regions to expedite screening whistleblower complaints. | ||
| 003 | OSHA | $0 | Develop a caseload management plan to more equitably distribute whistleblower complaints received amongst investigators. |
COVID-19: More Can Be Done to Mitigate Risk to Unemployment Compensation Under The CARES Act
| Status | Rec. | Primary Agency Responsible | Implementing Agency (if different) | Monetary Findings | Recommendation |
|---|---|---|---|---|---|
| 002 | ETA | $0 | Include CARES Act UI transactions in the BAM or develop an alternative methodology to reliably estimate improper payments for those programs. | ||
| 004 | ETA | $0 | Issue guidance directing states to provide routine access to state UI claimant data, in order to prevent and detect fraud. |
COVID-19: ETA Should Continue to Closely Monitor Impact on Job Corps Program
| Status | Rec. | Primary Agency Responsible | Implementing Agency (if different) | Monetary Findings | Recommendation |
|---|---|---|---|---|---|
| 003 | ETA | $0 | Job Corps should ensure centers provide needed resources to address the learning needs of all students, including students who require reasonable accommodations, hands-on-instruction, and special equipment to learn. | ||
| 005 | ETA | $0 | Prior to reopening campuses, Job Corps should ensure all centers have proper controls in place to adhere to federal, state, local and other guidelines – from physical distancing to having ample disinfectant, cleaning and PPE supplies. |
COVID-19: MSHA Faces Multiple Challenges in Responding to the Pandemic
Audit Report to MSHA, 19-20-006-06-001 issued on 07/24/2020
2 recommendations, of which 1 are closed
2 recommendations, of which 1 are closed
| Status | Rec. | Primary Agency Responsible | Implementing Agency (if different) | Monetary Findings | Recommendation |
|---|---|---|---|---|---|
| 001 | MSHA | $0 | We recommend the Assistant Secretary for Mine Safety and Health monitor the: Potential backlog of suspended and reduced enforcement activities and develop a plan to manage the backlog once full operations resume. |
COVID-19: OWCP Should Continue to Closely Monitor Impact on Claims Processing
Audit Report to OWCP, 19-20-004-04-001 issued on 07/06/2020
5 recommendations, of which 1 are closed
5 recommendations, of which 1 are closed
| Status | Rec. | Primary Agency Responsible | Implementing Agency (if different) | Monetary Findings | Recommendation |
|---|---|---|---|---|---|
| 001 | OWCP | $0 | DFEC should continue to monitor non-COVID claims for delays and other potential impacts, particularly for its opioid population who may be at risk while resources are re-allocated to focus on the program’s response to COVID-19. | ||
| 002 | OWCP | $0 | DFEC should closely monitor any delays that occur in requesting FERS Offset Calculations from SSA for potential benefit overpayments to claimants as well as any impact a backlog could have on its ability to timely process claims. | ||
| 004 | OWCP | $0 | DEEOIC should continue to monitor delays and performance data for potential impact from the pandemic and, if needed, take appropriate action to mitigate that impact. | ||
| 005 | OWCP | $0 | DLHWC should continue to monitor disputes and controversions arising from COVID-19 claims and assess performance data for potential impact from the pandemic and, if needed, take appropriate action to mitigate that impact. |
DOL Could Improve Areas of Physical Security To Help Effectively Safeguard Employees
Audit Report to OASAM, 17-20-001-07-001 issued on 05/21/2020
7 recommendations, of which 4 are closed
7 recommendations, of which 4 are closed
| Status | Rec. | Primary Agency Responsible | Implementing Agency (if different) | Monetary Findings | Recommendation |
|---|---|---|---|---|---|
| 02 | OASAM | $0 | This recommendation contains sensitive information and will not be posted. | ||
| 05 | OASAM | $0 | This recommendation contains sensitive information and will not be posted. | ||
| 06 | OASAM | $0 | This recommendation contains sensitive information and will not be posted. |
Alert Memorandum: Vulnerability in OWCP FECA Bill Pay Processing System
Audit Report to OWCP, 50-20-001-04-430 issued on 05/07/2020
1 recommendations, of which 0 are closed
1 recommendations, of which 0 are closed
| Status | Rec. | Primary Agency Responsible | Implementing Agency (if different) | Monetary Findings | Recommendation |
|---|---|---|---|---|---|
| 01 | OWCP | $0 | This recommendation contains sensitive information and will not be posted. |
OFCCP Did Not Show It Adequately Enforced EEO Requirements on Federal Construction Contracts.
Audit Report to OFCCP, 04-20-001-14-001 issued on 03/27/2020
2 recommendations, of which 1 are closed
2 recommendations, of which 1 are closed
| Status | Rec. | Primary Agency Responsible | Implementing Agency (if different) | Monetary Findings | Recommendation |
|---|---|---|---|---|---|
| 002 | OFCCP | $0 | Update participation goals for minorities and females, and implement processes to keep all participation goals current. |
Review of the Occupational Safety and Health Administration's Referral to and Reclamation of Debt from the U.S. Department of the Treasury.
Audit Report to OSHA, 22-20-006-10-001 issued on 03/16/2020
4 recommendations, of which 3 are closed
4 recommendations, of which 3 are closed
| Status | Rec. | Primary Agency Responsible | Implementing Agency (if different) | Monetary Findings | Recommendation |
|---|---|---|---|---|---|
| 003 | OSHA | $0 | We recommend the Assistant Secretary for OSHA revise OSHA’s Debt Collection Procedures to comply with OMB Circular A-129. |
FY 2019 FISMA DOL Information Security Report Implementation of Security Tools Hindered by Insufficient Planning
Audit Report to OASAM, 23-20-002-07-725 issued on 12/23/2019
20 recommendations, of which 7 are closed
20 recommendations, of which 7 are closed
| Status | Rec. | Primary Agency Responsible | Implementing Agency (if different) | Monetary Findings | Recommendation |
|---|---|---|---|---|---|
| 001 | OASAM | $0 | Perform a reconciliation of the current state of each DOL information system and the related classification to the information documented for each system in Cyber Security Assessment and Management and reconcile any differences. | ||
| 002 | OASAM | $0 | Implement technologies for both DOL and the Bureau of Labor Statistics to detect and prevent unauthorized hardware and software from connecting to the local DOL network. | ||
| 003 | OASAM | $0 | Verify that annual assessments of third-party providers, including cloud service providers, are formally documented, reviewed, and signed by appropriate levels of management. | ||
| 005 | OASAM | $0 | Develop and implement performance metrics for configuration management. | ||
| 006 | OASAM | $0 | Design and implement controls and policies to formally perform and document the periodic review of baseline configuration scans across DOL servers and databases. | ||
| 007 | OASAM | $0 | Design and implement controls to monitor DOL assets for missing patches, service packs, hot fixes, and other software updates that are not associated with a CVE. | ||
| 008 | OASAM | $0 | Enhance vulnerability scanning monitoring controls and procedures to track and remediate outstanding vulnerabilities in a timely manner. | ||
| 011 | OASAM | $0 | Finalize the implementation of the access control technologies. | ||
| 012 | OASAM | $0 | Develop and implement access control performance metrics. | ||
| 013 | OASAM | $0 | Design and implement controls to perform and document a periodic review of audit logs that report privileged user activity. | ||
| 015 | OASAM | $0 | Implement data encryption configurations/solutions at the server level for data at rest for sensitive information (PII). | ||
| 016 | OASAM | $0 | Update the ISCM strategy guide with current ISCM performance metrics. | ||
| 019 | OASAM | $0 | Develop and implement contingency planning performance metrics. |
Management Advisory Comments Identified in an Audit of the Consolidated Financial Statements, For the Year Ended September 30, 2019
Audit Report to OCFO, 22-20-005-13-001 issued on 12/19/2019
20 recommendations, of which 14 are closed
20 recommendations, of which 14 are closed
| Status | Rec. | Primary Agency Responsible | Implementing Agency (if different) | Monetary Findings | Recommendation |
|---|---|---|---|---|---|
| 009 | OCFO | OASAM | $0 | The Chief Information Officer coordinate efforts among the DOL agencies to design and implement procedures and controls to address account management, in key financial feeder systems. | |
| 010 | OCFO | OASAM | $0 | The Chief Information Officer monitor the agencies’ progress to ensure that established procedures and controls are operating effectively and maintained. | |
| 011 | OCFO | OASAM | $0 | The Chief Information Officer enforce separation of duties among users assigned access to the DOL’s systems’ infrastructure layers to the extent possible. When not possible, an approved risk exemption waiver should be obtained and effective monitoring controls should be developed and implemented. | |
| 012 | OCFO | OASAM | $0 | The Chief Information Officer segregate permissions such that production system administrators who have their privileged activities logged are not able to modify, update, or delete source log data to the extent possible and if not possible, include this risk consideration in a formal, signed risk exemption waiver. | |
| 015 | OCFO | OASAM | $0 | The Chief Information Officer maintain a current and accurate population of production servers and work with system owners to update that population when server transitions or changes occur outside of any regularly scheduled maintenance updates. | |
| 016 | OCFO | OASAM | $0 | The Chief Information Officer enhance vulnerability scanning monitoring controls and procedures to track and remediate outstanding vulnerabilities in a timely manner. |
DOL's Reported DATA Generally Met Quality Standards But Accuracy Issues Remain
Audit Report to OCFO, 03-20-001-13-001 issued on 11/21/2019
3 recommendations, of which 0 are closed
3 recommendations, of which 0 are closed
| Status | Rec. | Primary Agency Responsible | Implementing Agency (if different) | Monetary Findings | Recommendation |
|---|---|---|---|---|---|
| 001 | OCFO | $0 | Review the errors identified by our audit and, where appropriate, correct the errors in DOL’s source systems and develop corrective action plans to address the underlying causes for data elements with significant errors. | ||
| 002 | OCFO | $0 | Ensure that OASAM Issue guidance to ensure Contracting Specialists accurately input the Period of Performance Start Date into the procurement system’s Effective Date field. | ||
| 003 | OCFO | $0 | Identify risks specific to DATA Act reporting and take appropriate action to ensure internal controls address the resulting areas of concern. |
Stronger Controls Needed Over Web Application Security
Audit Report to OASAM, 23-20-001-07-725 issued on 11/14/2019
3 recommendations, of which 0 are closed
3 recommendations, of which 0 are closed
| Status | Rec. | Primary Agency Responsible | Implementing Agency (if different) | Monetary Findings | Recommendation |
|---|---|---|---|---|---|
| 001 | OASAM | $0 | Establish and maintain a comprehensive inventory of web applications, identifying which applications are public-facing and contain sensitive information. Such an inventory should itemize all system interfaces with the web application for the purpose of ensuring the applications are properly secured and to enable a quick response when new vulnerabilities are encountered. | ||
| 002 | OASAM | $0 | Review and update DOL POA&M policy to ensure agency corrective actions and timeframes are implemented. | ||
| 003 | OASAM | $0 | Establish and verify the implementation of Department-wide policies and procedures specific to associated risks to web applications, securing web servers, and web application programming. |
ETA Had No Reasonable Assurance that $183 Million in TST Grant Funds Helped Get H-1B Jobs
| Status | Rec. | Primary Agency Responsible | Implementing Agency (if different) | Monetary Findings | Recommendation |
|---|---|---|---|---|---|
| 002 | ETA | $0 | We recommend that the Assistant Secretary for Employment and Training oversee and monitor the development and implementation of monitoring procedures to ensure future H-1B training grantees provide the proposed training to help participants obtain employment in an H-1B occupation or advance along the career pathway. |
Job Corps Should do More to Prevent Cheating in High School Programs
| Status | Rec. | Primary Agency Responsible | Implementing Agency (if different) | Monetary Findings | Recommendation |
|---|---|---|---|---|---|
| 001 | ETA | $0 | We recommend the Assistant Secretary for Employment and Training require Job Corps establish basic preventative controls for cheating for all high school programs operated by centers. | ||
| 002 | ETA | $0 | We recommend the Assistant Secretary for Employment and Training require Job Corps ensure centers partner only with those school providers with established cheating or academic integrity policies that include basic preventative controls. | ||
| 003 | ETA | $0 | We recommend the Assistant Secretary for Employment and Training require Job Corps ensure reviews of high school programs are ongoing, consistent, and routine and, at a minimum, cover key controls to detect cheating. | ||
| 004 | ETA | $0 | We recommend the Assistant Secretary for Employment and Training require Job Corps regularly collect and analyze center-wide data for unusual trends or outcomes to detect cheating. | ||
| 005 | ETA | $0 | We recommend the Assistant Secretary for Employment and Training require Job Corps develop a centralized process to ensure deficiencies are timely mitigated and address their root causes. |
MSHA Can Improve Its Pre-Assessment Conferencing Program
Audit Report to MSHA, 05-19-001-06-001 issued on 09/23/2019
9 recommendations, of which 0 are closed
9 recommendations, of which 0 are closed
| Status | Rec. | Primary Agency Responsible | Implementing Agency (if different) | Monetary Findings | Recommendation |
|---|---|---|---|---|---|
| 001 | MSHA | $0 | We recommend the Assistant Secretary for Mine Safety and Health provide training to Conference Litigation Representatives and district management on how to write specific supporting reasons for conference decisions in conference files and violation forms. | ||
| 002 | MSHA | $0 | We recommend the Assistant Secretary for Mine Safety and Health provide training to district management on how provide effective oversight over the pre-assessment conference program. The training should focus on reviewing the conference file and the system data for completeness and accuracy. Note: This recommendation applies to issues 1 (conference files) and 3 (system data). | ||
| 003 | MSHA | $0 | We recommend the Assistant Secretary for Mine Safety and Health review each district’s process to ensure Conference Litigation Representatives consistently, in a way that does not create embarrassment or conflict, communicate the reasons they modify or vacate violations with supervisors and issuing inspectors and participate in staff meetings and at district training sessions for inspection personnel. | ||
| 004 | MSHA | $0 | We recommend the Assistant Secretary for Mine Safety and Health develop MSHA Standardized Information System reports showing a summary of conference decisions that Conference Litigation Representatives can use as their monthly report and changes made to violation form attributes through conferencing decisions that MSHA can use to identify high-risk attributes and research the root causes for trends. | ||
| 005 | MSHA | $0 | We recommend the Assistant Secretary for Mine Safety and Health revise the Alternative Case Resolution Handbook to require districts to document reasons supporting conference decisions to uphold a violation. The reason for an uphold decision should explain why any new evidence presented by the operator at the conference did not persuade MSHA to change the violation. | ||
| 006 | MSHA | $0 | We recommend the Assistant Secretary for Mine Safety and Health revise the Alternative Case Resolution Handbook to clarify requirements for CLR monthly reporting. For example, the guidance should address the method(s) allowed and the minimum level of detail that CLRs should describe in the report. | ||
| 007 | MSHA | $0 | We recommend the Assistant Secretary for Mine Safety and Health provide training on how to populate MSHA’s Standardized Information System from the conference files and the importance of the importance of filling in all data fields. The training should focus on defining the required conferencing fields in MSIS to populate, identifying what documentation in the conference file to use when populating each field, and defining appropriate times to cancel a conference. | ||
| 008 | MSHA | $0 | We recommend the Assistant Secretary for Mine Safety and Health update MSHA’s Standardized Information System with two system controls that require users to populate all required fields and prevent personnel from entering dates in the wrong order. | ||
| 009 | MSHA | $0 | We recommend the Assistant Secretary for Mine Safety and Health perform periodic reviews of MSHA’s Standardized Information System data to ensure that districts are accurately populating it and marking conferences as completed in a timely manner. |
MSHA Did Not Evaluate Whether Civil Monetary Penalties Effectively Deterred Unsafe Mine Operations
Audit Report to MSHA, 23-19-002-06-001 issued on 08/16/2019
2 recommendations, of which 0 are closed
2 recommendations, of which 0 are closed
| Status | Rec. | Primary Agency Responsible | Implementing Agency (if different) | Monetary Findings | Recommendation |
|---|---|---|---|---|---|
| 001 | MSHA | $0 | Develop metrics for the CMP program that will allow review and measurement of its effect on changing operator behavior to deter unsafe mine operations. | ||
| 002 | MSHA | $0 | Implement controls to ensure good standing of operators with regard to safety record and delinquency status prior to assigning a legal mine identification number or changing the legal ownership structure of a mine. |
Report Title Contains Sensitive Information
Audit Report to OASAM, 50-19-002-07-725 issued on 06/17/2019
2 recommendations, of which 0 are closed
2 recommendations, of which 0 are closed
| Status | Rec. | Primary Agency Responsible | Implementing Agency (if different) | Monetary Findings | Recommendation |
|---|---|---|---|---|---|
| 01 | OASAM | $0 | This recommendation contains sensitive information and will not be posted. | ||
| 02 | OASAM | $0 | This recommendation contains sensitive information and will not be posted. |
OWCP Must Continue Strengthening Management of FECA Pharmaceuticals, Including Opioids
Audit Report to OWCP, 03-19-002-04-431 issued on 05/14/2019
7 recommendations, of which 5 are closed
7 recommendations, of which 5 are closed
| Status | Rec. | Primary Agency Responsible | Implementing Agency (if different) | Monetary Findings | Recommendation |
|---|---|---|---|---|---|
| 004 | OWCP | $0 | Ensure the PBM contractor implement a Drug Utilization Review as specified in the contract. | ||
| 005 | OWCP | $0 | Ensure the PBM, when developing its formulary, considers all classes of drugs to determine if prior authorization or LMNs would be appropriate. |
Better Strategies are Needed to Improve the Timeliness and Accuracy of Davis-Bacon Act Prevailing Wage Rates
| Status | Rec. | Primary Agency Responsible | Implementing Agency (if different) | Monetary Findings | Recommendation |
|---|---|---|---|---|---|
| 001 | WHD | $0 | Continue efforts to reduce the amount of time to complete DBA wage surveys and identify additional strategies to improve timeliness such as the use of statistical sampling or a risk-based approach. | ||
| 002 | WHD | $0 | Develop and mplement a risk-based strategy to manage rates over 10 years old. | ||
| 003 | WHD | $0 | Consult with BLS and evaluate alternative methods to update wage rates such as the Consumer Price Index, and Occupational Employment Survey data. | ||
| 005 | WHD | $0 | Continue efforts to identify new strategies to increase contractors' participation in order to obtain more relevant wage data. | ||
| 006 | WHD | $0 | Develop performance goals and measures to gauge and improve the quality of DBA prevailing wage rates, inclulding the accuracy of information reported in WD-10s. | ||
| 007 | WHD | $0 | Validate the accuracy of documentation that supported the Painter/Spray wage rate for the Kansas Heavy Survey and if warranted take necessary actions to remove the job classification from applicable wage determinations. Likewise, apply these actions to other surveys in which the documentation was used. |
OSHA Procedures for Issuing Guidance Were Not Adequate and Mostly Not Followed
Audit Report to OSHA, 02-19-001-10-105 issued on 03/28/2019
4 recommendations, of which 0 are closed
4 recommendations, of which 0 are closed
| Status | Rec. | Primary Agency Responsible | Implementing Agency (if different) | Monetary Findings | Recommendation |
|---|---|---|---|---|---|
| 001 | OSHA | $0 | We recommend the Principal Deputy Assistant Secretary for Occupational Safety and Health: Establish procedures to require staff to demonstrate that issuing a document as guidance is appropriate under APA and OSH Act requirements. | ||
| 002 | OSHA | $0 | We recommend the Principal Deputy Assistant Secretary for Occupational Safety and Health: Maintain complete records to demonstrate compliance with OSHA criteria for issuance. | ||
| 003 | OSHA | $0 | We recommend the Principal Deputy Assistant Secretary for Occupational Safety and Health: Establish and enforce a monitoring function to ensure its staff fully comply with written procedures and maintain complete records that demonstrate guidance meets criteria for issuance. | ||
| 004 | OSHA | $0 | We recommend the Principal Deputy Assistant Secretary for Occupational Safety and Health: Train officials and staff as needed on their roles and responsibilities for internal controls related to the issuance of guidance and the potential risks of disregarding or circumventing controls. |
FY 2018 FISMA DOL Information Security Report
Audit Report to OASAM, 23-19-001-07-725 issued on 03/13/2019
5 recommendations, of which 0 are closed
5 recommendations, of which 0 are closed
| Status | Rec. | Primary Agency Responsible | Implementing Agency (if different) | Monetary Findings | Recommendation |
|---|---|---|---|---|---|
| 001 | OASAM | $0 | Conduct a risk assessment to identify the root causes of the identified deficiencies; | ||
| 002 | OASAM | $0 | Document, track, and implement milestones and corrective actions to timely remediate all identified deficiencies that have been communicated to DOL management. | ||
| 003 | OASAM | $0 | Coordinate efforts among the DOL agencies to design and implement procedures and controls to address account management, system access settings, configuration management, system audit log configuration and reviews, and patching and vulnerability management control deficiencies in key financial feeder systems. | ||
| 004 | OASAM | $0 | Monitor the agencies’ ongoing progress to ensure that established procedures and controls are operating effectively; | ||
| 005 | OASAM | $0 | Develop and implement performance metrics that will be used to manage and measure the effectiveness of the DOL information security program. |
Special Report Relating to the Federal Employees' Compensation Act Special Benefit Fund
Audit Report to OWCP, 22-19-003-04-431 issued on 11/02/2018
4 recommendations, of which 3 are closed
4 recommendations, of which 3 are closed
| Status | Rec. | Primary Agency Responsible | Implementing Agency (if different) | Monetary Findings | Recommendation |
|---|---|---|---|---|---|
| 003 | OWCP | $0 | We recommend that the Director of OWCP provide additional training to the CEs to address deficiencies identified. |
Experience Works, Inc. Misused more than $4 million in SCSEP Funds
| Status | Rec. | Primary Agency Responsible | Implementing Agency (if different) | Monetary Findings | Recommendation |
|---|---|---|---|---|---|
| 006 | ETA | $0 | Principal Deputy Assistant Secretary for Employment and Training require ETA to improve its monitoring of SCSEP grant funds to ensure grantee operations are consistent with the agency mission, in compliance with laws and regulations, and with minimal potential for waste, fraud, and mismanagement. This includes providing monitoring staff guidance and training to perform effective risk assessments and monitoring reviews. |
OSHA Needs to Improve the Guidance for its Fatality and Severe Injury Reporting Program to Better Protect Workers
Audit Report to OSHA, 02-18-203-10-105 issued on 09/13/2018
4 recommendations, of which 0 are closed
4 recommendations, of which 0 are closed
| Status | Rec. | Primary Agency Responsible | Implementing Agency (if different) | Monetary Findings | Recommendation |
|---|---|---|---|---|---|
| 001 | OSHA | $0 | We recommend that the Acting Assistant Secretary for Occupational Safety and Health develop formal guidance and train staff on how to detect and prevent underreporting of fatalities and severe injuries. | ||
| 002 | OSHA | $0 | We recommend that the Acting Assistant Secretary for Occupational Safety and Health consistently issue citations for late reporting. | ||
| 003a | OSHA | $0 | We recommend that the Acting Assistant Secretary for Occupational Safety and Health clarify OSHA’s guidance related to: a. documentation of essential decisions | ||
| 003b | OSHA | $0 | We recommend that the Acting Assistant Secretary for Occupational Safety and Health clarify OSHA’s guidance related to: b. evidence required to demonstrate employers corrected all identified hazards, | ||
| 003c | OSHA | $0 | We recommend that the Acting Assistant Secretary for Occupational Safety and Health clarify OSHA’s guidance related to. requirements for monitoring employer-conducted investigations. | ||
| 004 | OSHA | $0 | We recommend that the Acting Assistant Secretary for Occupational Safety and Health emphasize the necessity to conduct inspections on all Category 1 incidents. |
Trade Adjustment Assistance Community College and Career Training: ETA Spent $1.5 Billion and Met Its Stated Capacity Development Goals, But is Challenged to Determine If the Investment Improved Employment Outcomes
| Status | Rec. | Primary Agency Responsible | Implementing Agency (if different) | Monetary Findings | Recommendation |
|---|---|---|---|---|---|
| 002 | ETA | $0 | To improve future discretionary grant programs that use funds to develop new education and training programs, we recommend that the Deputy Assistant Secretary for Employment and Training explore new methods, similar to the Department of Education that changed administrative regulations to allow for data collection for an extended period after the end of the project, for the sole purpose of collecting, analyzing, and reporting performance data. | ||
| 003 | ETA | $0 | To improve future discretionary grant programs that use funds to develop new education and training programs, we recommend that the Deputy Assistant Secretary for Employment and Training assist grantees to address the barriers that hindered their efforts to access wage data. | ||
| 004 | ETA | $1,000,000 | We also recommend the Deputy Assistant Secretary for Employment and Training provide additional guidance to grantees on documentation needed to support procurements exceeding the simplified acquisition threshold and recover questioned costs of $1 million associated with the marketing contract that did not provide benefit TAACCCT. |
DOL Did Not Comply with Improper Payments Elimination and Recovery Act for FY 2017
Audit Report to OCFO, 03-18-002-13-001 issued on 05/15/2018
5 recommendations, of which 4 are closed
5 recommendations, of which 4 are closed
| Status | Rec. | Primary Agency Responsible | Implementing Agency (if different) | Monetary Findings | Recommendation |
|---|---|---|---|---|---|
| 005 | OCFO | $0 | Maintain its current focus on increasing its technical assistance and funding to states to improve the improper payment reduction strategies in order to ensure compliance with the improper paymentsestimate rate threshold. |
Job Corps Could Not Demonstrate Beneficial Job Training Outcomes
| Status | Rec. | Primary Agency Responsible | Implementing Agency (if different) | Monetary Findings | Recommendation |
|---|---|---|---|---|---|
| 004 | ETA | $51,750 | We recommend the Employment and Training Administration determine and assess liquidated damages to contractors that misreported data based on invalid placements. |
The Department Needs to Take Action to Improve the Quality of Its DATA Act Submissions.
Audit Report to OCFO, 03-18-001-13-001 issued on 01/19/2018
8 recommendations, of which 6 are closed
8 recommendations, of which 6 are closed
| Status | Rec. | Primary Agency Responsible | Implementing Agency (if different) | Monetary Findings | Recommendation |
|---|---|---|---|---|---|
| 006 | OCFO | $0 | We recommend the Principal Deputy Chief Financial Officer develop and implement a process to ensure agencies appropriately monitor and maintain adequate documentation of any data quality reviews conducted. | ||
| 008 | OCFO | $0 | We recommend the Principal Deputy Chief Financial Officer monitor the newly implemented process to ensure all new transactions entered into NCFMS include proper program activity and object class codes. |
FY 2017 FISMA DOL Information Security Report
Audit Report to OASAM, 23-18-001-07-725 issued on 12/29/2017
4 recommendations, of which 0 are closed
4 recommendations, of which 0 are closed
| Status | Rec. | Primary Agency Responsible | Implementing Agency (if different) | Monetary Findings | Recommendation |
|---|---|---|---|---|---|
| 001 | OASAM | $0 | Conduct a sufficient risk assessment to identify the root causes of the identified deficiencies. | ||
| 002 | OASAM | $0 | Document, track, and implement milestones and corrective actions to timely remediate all identified deficiencies that have been communicated to DOL management. | ||
| 003 | OASAM | $0 | Coordinate efforts among the DOL agencies to design and implement procedures and controls to address account management, system access settings, configuration management, system audit log configuration and reviews, and patching and vulnerability management control deficiencies in key financial feeder systems. | ||
| 004 | OASAM | $0 | Monitor the agencies' progress to ensure that established procedures and controls are operating effectively and maintained. |
Program Specific Performance Measures Are Needed to Better Evaluate the Effectiveness of the Reemployment Services and Eligibility Assessment Program
| Status | Rec. | Primary Agency Responsible | Implementing Agency (if different) | Monetary Findings | Recommendation |
|---|---|---|---|---|---|
| 001 | ETA | $0 | We recommend the Deputy Assistant Secretary for Employment and Training develop and implement specific performance measures for the RESEA program. | ||
| 002 | ETA | $0 | We recommend the Deputy Assistant Secretary for Employment and Training continue to work with states to update their worker profiling models to accurately identify claimants most likely to exhaust their UI benefits. | ||
| 003 | ETA | $0 | We recommend the Deputy Assistant Secretary for Employment and Training continue to work with states to improve the accuracy of reported RESEA outcomes. |
ETA Violated the Bona Fide Needs Rule and the Antideficiency Act
| Status | Rec. | Primary Agency Responsible | Implementing Agency (if different) | Monetary Findings | Recommendation |
|---|---|---|---|---|---|
| 003 | ETA | $0 | We recommended the Deputy Assistant Secretary for Employment and Training require ETA to provide regular oversight of contract modifications and obligated funds to ensure proper contracting actions are taken and documentation is complete and accurate. | ||
| 004 | ETA | $0 | We recommended the Deputy Assistant Secretary for Employment and Training require ETA to report, in accordance with 31 USC, §1351, §1517(b), the Antideficiency Act violations caused by the bona fide needs rule violations identified in this report. |
Interim Report on Audit of Pharmaceutical Management In DOL Benefit Programs OWCP Needs Better Controls Over Compounded Prescription Drugs
Audit Report to OWCP, 03-17-001-04-431 issued on 05/23/2017
16 recommendations, of which 8 are closed
16 recommendations, of which 8 are closed
| Status | Rec. | Primary Agency Responsible | Implementing Agency (if different) | Monetary Findings | Recommendation |
|---|---|---|---|---|---|
| 003 | OWCP | $0 | Ensure the Existence of Prescriber/ Claimant Relationship | ||
| 006 | OWCP | $0 | Implement drug exclusion lists for drugs and drug ingredients | ||
| 007 | OWCP | $0 | Implement drug formulary lists | ||
| 008 | OWCP | $0 | Implement a new pricing methodology | ||
| 009 | OWCP | $0 | Verify cost controls (Generic Drug Usage) Effectiveness | ||
| 010 | OWCP | $0 | Use of Preferred Providers | ||
| 012 | OWCP | $0 | Improve reviews of costs | ||
| 013 | OWCP | $0 | Implement quantity limits on initial fills and refills |
MSHA Needs to Provide Better Oversight of Emergency Response Plans
Audit Report to MSHA, 05-17-002-06-001 issued on 03/31/2017
9 recommendations, of which 3 are closed
9 recommendations, of which 3 are closed
| Status | Rec. | Primary Agency Responsible | Implementing Agency (if different) | Monetary Findings | Recommendation |
|---|---|---|---|---|---|
| 001a | MSHA | $0 | We recommend the Deputy Assistant Secretary for Mine Safety and Health reissue PPL P16-V-01 to clarify the mine operators’ responsibility for local coordination under the MINER Act. The revision should inform mine operators to insert language in their ERP referencing the call lists posted at the mine if the ERP does not include them. | ||
| 001b | MSHA | $0 | We recommend the Deputy Assistant Secretary for Mine Safety and Health reissue PPL P16-V-01 to clarify the mine operators’ responsibility for local coordination under the MINER Act. The revision should clarify how a mine operator establishes procedures for coordination and communication between the operator, mine rescue teams, and local emergency response personnel and makes provisions for familiarizing local rescue personnel with surface functions that may be required in the course of mine rescue work. | ||
| 002 | MSHA | $0 | Maintain an ERP review checklist on MSHA’s website that is updated when requirements change. | ||
| 003 | MSHA | $0 | Standardize the ERP review and approval processes and tools across MSHA districts. At minimum, the procedures should specify the a. type of reviews (specialist and/or inspector) the districts should be completing and the frequency for each type of review, b. steps the reviewer should take for a specialist review versus an inspector review and the tools (e.g., standardized review checklist) to use during each review, and c. dates (e.g., Date Received and Decision Date) to enter into the tracking system and instructions on where to obtain each date. | ||
| 004 | MSHA | $0 | Issue additional guidance and provide refresher training on how to enter ERP data into the tracking system and use the tracking system to provide oversight. | ||
| 005 | MSHA | $0 | Implement a process for headquarters and district personnel to manage the ERP program more effectively by periodically (e.g., quarterly or semi-annually) reviewing reports from the tracking system. | ||
| 009 | MSHA | $0 | Issue regulations or guidance to make mine operators aware of tools currently available on MSHA’s website they can use when developing their ERPs and clarify when mine operators should submit an ERP and whether mine operators can exclude certain information from the ERP. |
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
Audit Report to EBSA, 05-17-001-12-121 issued on 11/18/2016
5 recommendations, of which 4 are closed
5 recommendations, of which 4 are closed
| Status | Rec. | Primary Agency Responsible | Implementing Agency (if different) | Monetary Findings | Recommendation |
|---|---|---|---|---|---|
| 001 | EBSA | $0 | We recommend the Assistant Secretary for Employee Benefits Security reduce or eliminate exemption thresholds for small plans. |
FISMA FISCAL YEAR 2015: Ongoing Security Deficiencies Exist
Audit Report to OASAM, 23-16-002-07-725 issued on 09/30/2016
2 recommendations, of which 1 are closed
2 recommendations, of which 1 are closed
| Status | Rec. | Primary Agency Responsible | Implementing Agency (if different) | Monetary Findings | Recommendation |
|---|---|---|---|---|---|
| 01 | OASAM | $0 | This recommendation contains sensitive information and will not be posted. |
Investigative Advisory Report Weaknesses Contributing to Fraud in the Unemployment Insurance Program
| Status | Rec. | Primary Agency Responsible | Implementing Agency (if different) | Monetary Findings | Recommendation |
|---|---|---|---|---|---|
| 001 | ETA | $0 | ETA should recommend that SWAs require that all claims be paid by physical check, direct deposited into a checking or savings account, or deposited on a debit card issued by state approved vendors, similar to the debit cards used by the USDASupplemental Nutrition Assistance Program (SNAP). These cards provide for account holder verification. USDA reports that the use of these debit cards has contributed to a significant reduction in benefit fraud over the last decade. | ||
| 001a | ETA | $0 | ETA should consider a policy that requires all states to grant the OIG unfettered access to their UI records. This would eliminate the need for subpoenaing UI debit card transaction records by contractually providing OIG access to the following: 1) complete UI records, and 2) UI debit card transaction records, similar to the access given to USDA for the SNAP program. The USDA program uses an electronic "audit trail" from debit card transactions to identify suspicious activity. Their anti-fraud system monitors electronic transaction activity and identifies suspicious activity for analysis and investigation. Currently, some of the SWAs, to include NY, require a subpoena before OIG is permitted access to UI records. Other states, like VA for example, require the OIG to pay a service fee for access to the records. These added steps are cumbersome and often cause unnecessary delays in OIG criminal investigations. | ||
| 002 | ETA | $0 | ETA should recommend that SWAs develop a plan to identify multiple claims that originate from the same IP addresses, or from IP addresses from outside the United States, to minimize threats and fraud. In addition, consideration should be given to development of a database where all 53 SWAs will begin recording and sharing incoming IP addresses using a central data collection and exchange point, where common IP addresses can be researched using data analytics to identify and share information concerning potential fraud rings. | ||
| 002a | ETA | $0 | In order to reduce claimant anonymity, ETA should recommend that SWAs consider additional verification within 30 days of initial filing if the claim was filed from an identified anonymous IP address or with other fraud indicators. Current regulations permit the SWAs to request photo IDs to validate identity. States should suspend payment of benefits and conduct further investigation if requested information is not provided or the information provided does not resolve identity concerns. | ||
| 003 | ETA | $0 | ETA should recommend that SWAs provide all identified fraudulent claimant information into a shared database that can be queried to identify the filing of fraudulent claims against multiple states. One possibility would be to use the existing ETA Fraud Portal, which would make the portal a powerful tool in UI Fraud detection for the SWAs. | ||
| 004 | ETA | $0 | ETA should recommend that SWAs remove auto-populating of any data, specifically employer data, in their systems. Claimants should be required to fill out all employer contact information correctly and completely. | ||
| 005 | ETA | $0 | ETA should work with all SWAs to strengthen existing systematic audit controls to track access to Pll information. This access data can then be used by investigators and/or a data analytics team to determine if an employee accessed an account that they should not have accessed, or to identify trends of employee access connected to fraudulent claims. | ||
| 005a | ETA | $0 | ETA should recommend that SWAs conduct pre-employment and periodic background and credit checks for those employees with direct access to Pll data related to the UI program, and take appropriate actions with regards to employees who have negative results related to periodic suitability investigations. | ||
| 006 | ETA | $0 | ETA should identify best practices and strategies for communication between tax operations and benefit operations, and work with the SWAs to adopt them. | ||
| 006a | ETA | $0 | ETA should consider as a part of their national strategy the establishment of a data analytics project that focuses on delinquent employers who have failed to pay unemployment taxes and cross match that data against existing UI claims. These projects should be consistent among the SWAs to ensure that data can be shared between the SWAs through the use of the fraud portal or the UI Integrity Center of Excellence. |
Job Corps Needs to Improve Enforcement and Oversight of Student Disciplinary Policies to Better Protect Students and Staff at Centers
| Status | Rec. | Primary Agency Responsible | Implementing Agency (if different) | Monetary Findings | Recommendation |
|---|---|---|---|---|---|
| 006 | ETA | $48,404 | Determine and work with their respective contracting personnel to recover liquidated damages for prolonging disciplinary separations and overstating on-board strength. |
Limited-Scope Audits Provide Inadequate Protections to Retirement Plan Participants
Audit Report to EBSA, 05-14-005-12-121 issued on 09/30/2014
5 recommendations, of which 4 are closed
5 recommendations, of which 4 are closed
| Status | Rec. | Primary Agency Responsible | Implementing Agency (if different) | Monetary Findings | Recommendation |
|---|---|---|---|---|---|
| 002 | EBSA | $0 | We recommend the Assistant Secretary for Employee Benefits Security provide additional formal guidance to plan administrators to identify and adequately support the fair value of plan assets. |
MSHA Can Improve Its Section 110 Special Investigations Process
Audit Report to MSHA, 05-13-008-06-001 issued on 09/30/2013
3 recommendations, of which 2 are closed
3 recommendations, of which 2 are closed
| Status | Rec. | Primary Agency Responsible | Implementing Agency (if different) | Monetary Findings | Recommendation |
|---|---|---|---|---|---|
| 002 | MSHA | $0 | We recommend that MSHA: Review and assess the documentation requirements in the current Handbook, revise it as appropriate, and provide documentation training for Special Investigators and TCIO personnel. |
Job Corps Oversight of Center Performance Needs Improvement
| Status | Rec. | Primary Agency Responsible | Implementing Agency (if different) | Monetary Findings | Recommendation |
|---|---|---|---|---|---|
| 003 | ETA | $0 | Assistant Secretary for ETA require Job Corps to develop processes and controls to ensure that underperforming HSD/GED programs receive appropriate oversight, including PIPs |
Audit of Federal Employees' Compensation Act, Durable Medical Equipment Payments
Audit Report to OWCP, 03-12-002-04-431 issued on 03/26/2012
5 recommendations, of which 4 are closed
5 recommendations, of which 4 are closed
| Status | Rec. | Primary Agency Responsible | Implementing Agency (if different) | Monetary Findings | Recommendation |
|---|---|---|---|---|---|
| 003 | OWCP | $0 | OWCP Acting Director direct CEs to perform and document a rental versus new purchase analysis for any rentals exceeding a certain time period and/or certain dollar threshold. |
OWCP's Efforts to Detect and Prevent FECA Improper Payments Have Not Addressed Known Weaknesses
Audit Report to OWCP, 03-12-001-04-431 issued on 02/15/2012
5 recommendations, of which 4 are closed
5 recommendations, of which 4 are closed
| Status | Rec. | Primary Agency Responsible | Implementing Agency (if different) | Monetary Findings | Recommendation |
|---|---|---|---|---|---|
| 004 | OWCP | $0 | OWCP Acting Diretor develop effective procedures, including seeking legislative authority to conduct matches with SSA retirement records, to ensure that claimants who receive SSA retirement benefits are identified timely and their FECA benefits are adjusted accordingly. |
The Department Could Do More To Strengthen Controls Over Its Personal Identity Verification System
Audit Report to OASAM, 04-11-001-07-001 issued on 03/31/2011
7 recommendations, of which 6 are closed
7 recommendations, of which 6 are closed
| Status | Rec. | Primary Agency Responsible | Implementing Agency (if different) | Monetary Findings | Recommendation |
|---|---|---|---|---|---|
| 06 | OASAM | $0 | This recommendation contains sensitive information and will not be posted. |
Ineffective Accounting for Sensitive Information Technology Hardware and Software Assets Places DOL at Significant Risk
Audit Report to OASAM, 23-11-001-07-001 issued on 03/31/2011
6 recommendations, of which 0 are closed
6 recommendations, of which 0 are closed
| Status | Rec. | Primary Agency Responsible | Implementing Agency (if different) | Monetary Findings | Recommendation |
|---|---|---|---|---|---|
| 001 | OASAM | $0 | Assess and take appropriate measures to ensure reports of lost, missing or stolen sensitive IT assets have not resulted. | ||
| 002 | OASAM | $0 | Perform a full inventory of the Department’s IT assets that is accurate and complete including an update of the information into a viable inventory management system. | ||
| 003 | OASAM | $0 | Consolidate all inventory systems though out DOL to eliminate duplication, realize cost savings, and strengthen inventory. | ||
| 004 | OASAM | $0 | Perform required reviews of program agencies’ inventory practices and procedures to ensure full participation in the inventory process across the Department and compliance with Federal information system requirements. | ||
| 005 | OASAM | $0 | Develop policies for disposal of sensitive IT assets that presently lack coherent policy. | ||
| 006 | OASAM | $0 | Integrate a reliable electronic procurement system with a viable inventory system along with the financial systems to ensure seamless interoperability. |
