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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 September 17, 2019
- Open - Closed Updated as of September 17, 2019
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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 |
|---|---|---|---|---|---|
| 1 | MSHA | $0 | We recommend the Assistant Secretary for Mine Safety and Health develop metrics for the CMP program that will allow review and measurement of its effect on changing operator behavior to deter unsafe mine operations. | ||
| 2 | MSHA | $0 | We recommend the Assistant Secretary for Mine Safety and Health 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. |
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 2 are closed
7 recommendations, of which 2 are closed
| Status | Rec. | Primary Agency Responsible | Implementing Agency (if different) | Monetary Findings | Recommendation |
|---|---|---|---|---|---|
| 1 | OWCP | $0 | Director of OWCP work with stakeholders to develop better guidelines to shorten the 60-day grace period for first fill opioid prescriptions. | ||
| 3 | OWCP | $0 | Director of OWCP establish procedures to conduct on-going analysis of ICD-10 codes and other related data to monitor opioid addiction and treatment. | ||
| 4 | OWCP | $0 | Director of OWCP ensure the PBM implements a drug utilization review as specified in the contract. | ||
| 5 | OWCP | $0 | Director of OWCP ensure the PBM, when developing its formulary, considers all classes of drugs to determine if prior authorization or LMNs would be appropriate. | ||
| 6 | OWCP | $0 | Director of OWCP report all excluded providers to HHS. |
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 |
|---|---|---|---|---|---|
| 1 | WHD | $0 | We recommend the Acting Administrator for Wage and Hour 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. | ||
| 2 | WHD | $0 | We recommend the Acting Administrator for Wage and Hour develop and implement a risk-based strategy to manage rates over 10 years old. | ||
| 3 | WHD | $0 | We recommend the Acting Administrator for Wage and Hour the consult with BLS and evaluate alternative methods to update wage rates such as the Consumer Price Index, and Occupational Employment Survey data. | ||
| 4 | WHD | $0 | We recommend the Acting Administrator for Wage and Hour obtain an official opinion from the Administrative Review Board about the use of states’ non-highway prevailing wage rates. | ||
| 5 | WHD | $0 | We recommend the Acting Administrator for Wage and Hour continue efforts to identify new strategies to increase contractors’ participation in order to obtain more relevant wage data. | ||
| 6 | WHD | $0 | We recommend the Acting Administrator for Wage and Hour develop performance goals and measures to gauge and improve the quality of DBA prevailing wage rates, including the accuracy of information reported in WD-10s. | ||
| 7 | WHD | $0 | We recommend the Acting Administrator for Wage and Hour 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. | ||
| 8 | WHD | $0 | We recommend the Acting Administrator for Wage and Hour seek regulatory changes if necessary for implementing any of these recommendations. |
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 |
|---|---|---|---|---|---|
| 1 | 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. | ||
| 2 | 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. | ||
| 3 | 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. | ||
| 4 | OSHA | $0 | 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 |
Management Advisory Comments Identified in an Audit of the Consolidated Financial Statements, For the Year Ended September 30, 2018
Audit Report to OCFO, 22-19-006-13-001 issued on 03/15/2019
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 |
|---|---|---|---|---|---|
| 1 | OCFO | ETA | $0 | ETA ensure management and staff follow existing policies and procedures in the preparation and review of the grant accrual accuracy analysis. | |
| 2 | OCFO | ETA | $0 | ETA require responsible personnel to adhere to existing policies and procedures; however, if any deviations from the policies and procedures are made they should document their rationale along with an assessment of whether the overall impact is immaterial to the estimate. | |
| 3 | OCFO | ETA | $0 | ETA update policies and procedures to clarify when variances for allowance review should be investigated. | |
| 4 | OCFO | ETA | $0 | ETA update policies and procedures to require only the use of actual data for the look back analysis. | |
| 5 | OCFO | OIG | $0 | AIGA effectively implement and adhere to policies and procedures to enhance the monitoring controls to ensure all applicable reports from the FAC are downloaded, reviewed, accurately tracked and reported to the applicable agency, and resolved in accordance to the applicable guidance. | |
| 6 | OCFO | ETA | $0 | ETA enhance policies and procedures for ensuring that grantee’s timely submit their Single Audit Reports into FAC. | |
| 7 | OCFO | CFO | $0 | CFO implement policies and procedures to analyze, on a monthly basis, the total differences that have been outstanding for more than three months for the DOL consolidated FBWT balance, and to document management's considerations of whether such differences have a material impact on the consolidated FBWT balance and on the consolidated financial statements. | |
| 8 | OCFO | ETA | $0 | ETA develop and implement monitoring controls to ensure FPOs are accepting ETA 9130s timely. | |
| 9 | OCFO | ETA | $0 | ETA provide additional training to FPOs, as necessary. | |
| 10 | OCFO | ETA | $0 | ETA provide additional training to grantees to ensure timely submission of reports or follow up to inquiries. | |
| 11 | OCFO | ETA | $0 | ETA implement policies and procedures to ensure all Regions are properly assigned to the correct FPO. | |
| 12 | OCFO | ETA | $0 | ETA provide training to staff on existing policies and procedures to ensure employees are performing desk reviews timely. | |
| 13 | OCFO | ETA | $0 | ETA develop and implement monitoring controls to ensure that on-site monitoring review reports are timely issued and uploaded into GEMS with appropriate documentation. | |
| 14 | OCFO | ETA | $0 | ETA provide training to employees to ensure compliance with ETA's written policies and procedures. | |
| 15 | OCFO | ETA | $0 | ETA develop and implement policies and procedures to ensure a complete and accurate listing of grants to be monitored is maintained. | |
| 16 | OCFO | OSEC | $0 | ILAB communicate the retention policies to its grantees to ensure adequate supporting documentation is maintained and submitted to DOL to support daily grant activities. | |
| 17 | OCFO | MULTI | $0 | VETS, ILAB, ETA educate the grantees to properly follow procedures related to the monitoring of the closeout process for grants that have expired and have not been closed within 365 days of expiration. | |
| 18 | OCFO | MULTI | $0 | VETS, ILAB, ETA strengthen their communication with the grantees and service providers to follow up on issues or missing supporting documentation prior to the 365 days expiring. | |
| 19 | OCFO | MULTI | $0 | VETS, ILAB, ETA implement routine edit checks on their systems to ensure that system issues do not cause the delays in the close out process. | |
| 20 | OCFO | ETA | $0 | ETA properly document when estimated replacement data is used, as well as, the rationale and assumptions used to estimate the replacement data. |
FY18 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 |
|---|---|---|---|---|---|
| 1 | OASAM | $0 | Chief Information Officer conduct a risk assessment to identify the root causes of the identified deficiencies. | ||
| 2 | OASAM | $0 | Chief Information Officer document, track, and implement milestones and corrective actions to timely remediate all identified deficiencies that have been communicated to DOL management. | ||
| 3 | OASAM | $0 | Chief Information Officer 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. | ||
| 4 | OASAM | $0 | Chief Information Officer monitor the agencies’ ongoing progress to ensure that established procedures and controls are operating effectively. | ||
| 5 | OASAM | $0 | Chief Information Officer develop and implement performance metrics that will be used to manage and measure the effectiveness of the DOL information security program. |
Investigative Advisory Report -- Recommendations for Enhancing Forms Used For H-2B Non-Agricultural Temporary Workers
| Status | Rec. | Primary Agency Responsible | Implementing Agency (if different) | Monetary Findings | Recommendation |
|---|---|---|---|---|---|
| 1b | ETA | $0 | ETA should incorporate a summation of key attestations into Appendix B so the petitioner can expressly identify its legal responsibilities. This information could be auto-populated during the form preparation process, which would eliminate additional burden for preparers and guard against tampering. | ||
| 2b | ETA | $0 | To demonstrate the petitioner has knowledge of the forms’ contents and to guard against the shifting of culpability between petitioners and/or preparers in administrative or criminal proceedings, ETA should incorporate all pages of Form ETA-9142B and Appendix B into the attestation sections on page B.3 of Appendix B. | ||
| 3b | ETA | $0 | To provide authorized preparers with a full understanding of their culpability for their role in fraud schemes related to the filing of their applications, and to be consistent with the statutory language listed in the other accompanying Form ETA 9142B documents, ETA should add both the visa fraud and perjury statute code violations to the preparer declaration. | ||
| 4b | ETA | $0 | At paragraph one of the ETA-9142B – General Instructions, ETA should strengthen the language advising both petitioners and preparers that they are required to read the contents of the instructions before completing the form. | ||
| 5b | ETA | $0 | At page one, paragraph two of the General Instructions, ETA should include language advising of the consequences of misrepresentations made to the OFLC when filing the ETA Form 9142B. | ||
| 6b | ETA | $0 | At paragraph one of the ETA Form 9142B, ETA should strengthen the language advising both petitioners and preparers that they are required to read the contents of the instructions. |
Special Report Relating to the Federal Employees' Compensation Act Special Benefit Fund - September 30, 2018
Audit Report to OWCP, 22-19-003-04-431 issued on 11/02/2018
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 |
|---|---|---|---|---|---|
| 1 | OWCP | $0 | We recommend that the Director of OWCP complete follow-up actions to obtain the information required to determine the claimants' continuing eligibility ad recover any associated overpayments, if necessary. | ||
| 2 | OWCP | $0 | We recommend that the Director of OWCP require the PERs performed by the CEs to be reviewed by a second CE to ensure that such reviews are properly conducted. | ||
| 3 | OWCP | $0 | We recommend that the Director of OWCP provide additional training to the CEs to address deficiencies identified. | ||
| 4 | OWCP | $0 | We recommend that the Director of OWCP update DFEC's policies and procedures to require that CEs scan signed copies of all schedule award decision letters into iFECS timely following certification of payment to ensure documentation is readily available. |
EBSA Can Provide Greater Oversight of the Thrift Savings Plan by Strengthening its Audit Program
Audit Report to EBSA, 05-18-001-12-001 issued on 10/11/2018
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 |
|---|---|---|---|---|---|
| 1 | EBSA | $0 | We recommend the Assistant Secretary for the Employee Benefits Security Administration tailor EBSA’s risk assessment process using criteria found in OMB Circular A-123, Management’s Responsibility for Enterprise Risk Management and Internal Control. | ||
| 2 | EBSA | $0 | We recommend the Assistant Secretary for the Employee Benefits Security Administration timely and publicly post to its website all audit reports not considered “sensitive” in their entirety after the final release and post reports considered “sensitive” either redacted as appropriate or listed only by title along with a caption indicating the report contains sensitive information and will not be published. | ||
| 3 | EBSA | $0 | We recommend the Assistant Secretary for the Employee Benefits Security Administration on at least an annual basis, post to the EBSA public website a listing of all unimplemented, non-sensitive audit recommendations, including, at a minimum, the date of and text of the recommendations, a summary of the comments provided and any corrective actions proposed by the Board, and expected implementation dates (when available). | ||
| 4 | EBSA | $0 | We recommend the Assistant Secretary for the Employee Benefits Security Administration seek amendments to FERSA granting EBSA injunctive authority similar to that EBSA has over private pension plans under ERISA. |
Experience Works, Inc. Misused More Than $4 million in SCSEP Grant Funds
| Status | Rec. | Primary Agency Responsible | Implementing Agency (if different) | Monetary Findings | Recommendation |
|---|---|---|---|---|---|
| 1 | ETA | $2,348,788 | Principal Deputy Assistant Secretary for Employment and Training require EW to return $1.3 million to its employee leave account, and pay $294,577 of that amount in lump-sum annual leave payouts owed to former employees who separated from December 2016 through December 2017. | ||
| 2 | ETA | $0 | Principal Deputy Assistant Secretary for Employment and Training provide an updated accounting of its leave funds, including the leave liability for current employees and leave amounts owed to separated employees, as well as its payment plan to make these individuals whole, for ETA’s review and approval. | ||
| 3 | ETA | $1,831,166 | Principal Deputy Assistant Secretary for Employment and Training use non-grant funds to reimburse DOL for $1.83 million in unallowable costs, which overlaps many of the disallowed costs noted in ETA’s Monitoring Report issued December 2015 and follow-up response issued in August 2016. | ||
| 4 | ETA | $0 | Principal Deputy Assistant Secretary for Employment and Training continue to improve internal controls to adequately safeguard federal resources. | ||
| 5 | ETA | $0 | Principal Deputy Assistant Secretary for Employment and Training require ETA to: ensure EW’s corrective actions to address recommendations 1 - 4 above are adequate to safeguard federal resources. | ||
| 6 | 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. |
DOL Did Not Effectively Manage Mobile Devices And Related Telecommunication Services
Audit Report to MULTI, 17-18-003-50-598 issued on 09/26/2018
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 |
|---|---|---|---|---|---|
| 1 | MULTI | OASAM | $728,237 | We recommend the Assistant Secretary for Administration and Management develop and implement a written plan to consolidate all of DOL’s minute and data requirements to one contract per carrier using a government-wide acquisition strategy. | |
| 2 | MULTI | OASAM | $0 | We recommend the Assistant Secretary for Administration and Management use a consolidated approach to keep track of total spending on mobile telecommunication services. | |
| 3 | MULTI | OASAM | $0 | We recommend the Assistant Secretary for Administration and Management confirm all component agencies submit quarterly mobile data and verify the data before submission to OMB. | |
| 4 | MULTI | OASAM | $0 | We recommend that the Assistant Secretary for Administration and Management develop and implement an inventory management system for mobile devices. | |
| 5 | MULTI | OASAM | $0 | We recommend that the Assistant Secretary for Administration and Management ensure component agencies secure their mobile devices using appropriate security software. | |
| 6 | MULTI | OASAM | $0 | We recommend the Assistant Secretary for Administration and Management ensure component agencies have employees sign rules of behavior before issuing them mobile devices. | |
| 7 | MULTI | OASAM | $0 | We recommend the Assistant Secretary for Administration and Management ensure mobile device users complete their required annual security training in a timely manner. | |
| 8 | MULTI | OASAM | $0 | We recommend the Assistant Secretary for Administration and Management ensure mobile devices are disposed of properly and timely. | |
| 9 | MULTI | OASAM | $0 | We recommend the Assistant Secretary for Administration and Management maintain documentation related to the disposal and/or transfer of all mobile devices. |
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 |
|---|---|---|---|---|---|
| 1 | 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. | ||
| 2 | OSHA | $0 | We recommend that the Acting Assistant Secretary for Occupational Safety and Health consistently issue citations for late reporting. | ||
| 3a | 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 | ||
| 3b | 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, | ||
| 3c | OSHA | $0 | We recommend that the Acting Assistant Secretary for Occupational Safety and Health clarify OSHA’s guidance related to: c. requirements for monitoring employer-conducted investigations. | ||
| 4 | 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 Career Training Grants: 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 |
|---|---|---|---|---|---|
| 2 | 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. | ||
| 3 | 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. | ||
| 4 | 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 2 are closed
5 recommendations, of which 2 are closed
| Status | Rec. | Primary Agency Responsible | Implementing Agency (if different) | Monetary Findings | Recommendation |
|---|---|---|---|---|---|
| 3 | OCFO | CFO | $0 | Develop and implement formalized policiesand procedures related to the maintenance of supporting documentation for the IPERA reporting process. | |
| 4 | OCFO | CFO | $0 | Develop and implement formalized policies and procedures that require a detailed review of the IPERA information in the AFR, including the related calculations andsupporting documentation. | |
| 5 | OCFO | CFO | $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 |
|---|---|---|---|---|---|
| 1 | ETA | $0 | We recommend the Employment and Training Administration Ensure outreach and admission contractors complete the forms identifying participants’ prior employment work history and use that information to evaluate training and placement. | ||
| 4 | ETA | $51,750 | We recommend the Employment and Training Administration determine and assess liquidated damages to contractors that misreported data based on invalid placements. |
DOL Could Improve Exit Requirements and Participant Outcomes for the YouthBuild Program
| Status | Rec. | Primary Agency Responsible | Implementing Agency (if different) | Monetary Findings | Recommendation |
|---|---|---|---|---|---|
| 1 | ETA | $12,600,000 | We recommend the Assistant Secretary for Employment and Training clarify the definition of a “successful exit” and require its use by all grantees. At a minimum, this definition should require that the successful exiter earn a high school diploma or equivalency degree or an industry-recognized credential, have a job follow-up plan in place, and receive referrals to either an employer or school. | ||
| 3 | ETA | $1,390,498 | We recommend the Assistant Secretary for Employment and Training recover $1,390,498 in questioned costs from the grantees for participants that remained in the program for more than 24 months. |
Management Advisory Comments Identified in an Audit of the Consolidated Financial Statements, For the Year Ended September 30, 2017
Audit Report to OCFO, 22-18-006-13-001 issued on 03/29/2018
19 recommendations, of which 15 are closed
19 recommendations, of which 15 are closed
| Status | Rec. | Primary Agency Responsible | Implementing Agency (if different) | Monetary Findings | Recommendation |
|---|---|---|---|---|---|
| 12 | OCFO | CFO | $0 | CFO work with the other DOL agencies to improve communication so that the information needed to properly resolve aged FBWT differences is received timely and in accordance with DCAO’s established timeline. | |
| 15 | OCFO | ETA | $0 | ETA update the FECA Existing Claims Accrual Methodology to require that outliers that fall outside of management expected range be properly researched and documented. | |
| 16 | OCFO | ETA | $0 | ETA review and update the Due and Payable Accrual Methodology to include steps for reaching out to states identified as outliers or utilizing other information such as unemployment rates and/or state submitted reports to determine the accuracy of data obtained and the reasons for fluctuations. These reasons should be documented and detailed in management’s analysis of the quarterly accrual. | |
| 18 | OCFO | OASAM | $0 | CIO continue to periodically conduct training to review the Incident Management SOP and incident response reporting guidelines with all agencies, so they are aware of the procedures prior to incident occurrence. |
The Department Needs to Take Action to Improve The Quality of Its DATA Act Submissions Report
Audit Report to OCFO, 03-18-001-13-001 issued on 01/19/2018
8 recommendations, of which 0 are closed
8 recommendations, of which 0 are closed
| Status | Rec. | Primary Agency Responsible | Implementing Agency (if different) | Monetary Findings | Recommendation |
|---|---|---|---|---|---|
| 1 | OCFO | CFO | $0 | We recommend the Principal Deputy Chief Financial Officer review the errors identified by our audit and, where feasible, correct the errors in the Department’s source systems to improve the quality of future data submissions. | |
| 2 | OCFO | CFO | $0 | We recommend the Principal Deputy Chief Financial Officer develop and implement a process to report URIs in File C for transactions that do not have a unique combination of Federal Award Identification Number and Modification Number. | |
| 3 | OCFO | CFO | $0 | We recommend the Principal Deputy Chief Financial Officer develop and implement a formal process to appropriately address significant items on the broker Warnings Reports, which could indicate systemic issues. | |
| 4 | OCFO | CFO | $0 | We recommend the Principal Deputy Chief Financial Officer develop and implement a process to ensure Contracting Officers appropriately update FPDS-NG “Signed Date” field when approving a contracting action. | |
| 5 | OCFO | CFO | $0 | We recommend the Principal Deputy Chief Financial Officer ensure that training provided to staff on coding state-wide grants effectively addresses the quality of the data related to Primary Place of Performance. | |
| 6 | OCFO | CFO | $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. | |
| 7 | OCFO | CFO | $0 | We recommend the Principal Deputy Chief Financial Officer ensure revision of the script used to extract data from eGrants to allow for accurate reporting of CFDA Numbers. | |
| 8 | OCFO | CFO | $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 |
|---|---|---|---|---|---|
| 1 | OASAM | $0 | Conduct a sufficient risk assessment to identify the root causes of the identified deficiencies. | ||
| 2 | OASAM | $0 | Document, track, and implement milestones and corrective actions to timely remediate all identified deficiencies that have been communicated to DOL management. | ||
| 3 | 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. | ||
| 4 | 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 |
|---|---|---|---|---|---|
| 1 | ETA | $0 | We recommend the Deputy Assistant Secretary for Employment and Training develop and implement specific performance measures for the RESEA program. | ||
| 2 | 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. | ||
| 3 | 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 |
|---|---|---|---|---|---|
| 1 | ETA | $0 | We recommended the Deputy Assistant Secretary for Employment and Training require ETA to develop and implement clear policies and procedures to prevent a reoccurrence of the bona fide needs and Antideficiency Act violations noted in this report. This includes establishing policies and procedures that direct compliance and detect and address potential violations. | ||
| 2 | ETA | $0 | We recommended the Deputy Assistant Secretary for Employment and Training require ETA to provide training to ETA contracting personnel on the bona fide needs rule and related Antideficiency Act requirements. | ||
| 3 | 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. | ||
| 4 | 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. | ||
| 5 | ETA | $11,180,223 | We recommended the Deputy Assistant Secretary for Employment and Training require ETA to develop and implement clear policies and procedures to improve funds management, which should include regularly monitoring obligations to identify unexpended Job Corps’ funds that can be deobligated during the periods of availability and used for program needs, instead of being left to expire. |
OSHA’s Voluntary Protection Programs Require Better Information to Identify Participants with Contract-Worker Fatalities and Catastrophes
Audit Report to OSHA, 02-17-202-10-105 issued on 09/11/2017
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 |
|---|---|---|---|---|---|
| 1 | OSHA | $0 | We recommend that the Acting Assistant Secretary for Occupational Safety and Health establish a system to collect and disseminate VPP contractor information to OSHA staff that monitor lists of its inspections and employer fatality and severe injury reports. | ||
| 3 | OSHA | $0 | We recommend that the Acting Assistant Secretary for Occupational Safety and Health collect contractor information from site-based construction and mobile workforce VPP participants. |
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 |
|---|---|---|---|---|---|
| 3 | OWCP | $0 | Ensure the Existence of Prescriber/ Claimant Relationship | ||
| 6 | OWCP | $0 | Implement drug exclusion lists for drugs and drug ingredients | ||
| 7 | OWCP | $0 | Implement drug formulary lists | ||
| 8 | OWCP | $0 | Implement a new pricing methodology. | ||
| 9 | OWCP | $0 | Verify cost controls (Generic Drug Usage) Effectiveness | ||
| 10 | OWCP | $0 | Use of Preferred Providers | ||
| 12 | OWCP | $0 | Improve reviews of costs | ||
| 13 | OWCP | $0 | Implement quantity limits on initial fills and refills |
OSHA Could Do More To Ensure Employers Correct Hazards Identified During Inspections
Audit Report to OSHA, 02-17-201-10-105 issued on 03/31/2017
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 |
|---|---|---|---|---|---|
| 5 | OSHA | $0 | We recommended the Deputy Assistant Secretary for Occupational Safety and Health require CSHOs to document they conducted a pre-inspection history search on employers to help determine if a repeat or willful citation should be issued. |
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 |
|---|---|---|---|---|---|
| 1a | 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. | ||
| 1b | 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. | ||
| 2 | MSHA | $0 | Maintain an ERP review checklist on MSHA’s website that is updated when requirements change. | ||
| 3 | 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. | ||
| 4 | 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. | ||
| 5 | 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. | ||
| 9 | 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. |
Review of Job Corps Center Safety and Security
| Status | Rec. | Primary Agency Responsible | Implementing Agency (if different) | Monetary Findings | Recommendation |
|---|---|---|---|---|---|
| 4 | ETA | $0 | We recommend the Assistant Secretary for Employment and Training establish, clarify, and define center authority to investigate potentially serious criminal activity, including conducting searches, interviewing suspects and witnesses, performing surveillance, and collecting evidence. | ||
| 5 | ETA | $0 | We recommend the Assistant Secretary for Employment and Training establish, clarify, and establish jurisdictional agreements that cover applicable federal, state, and local law enforcement for each center, including a determination of which LEO or combination of LEOs has jurisdiction based on type of criminal activity that occurs. | ||
| 6 | ETA | $0 | We recommend the Assistant Secretary for Employment and Training establish, clarify, and identify and address physical security challenges at centers. | ||
| 7 | ETA | $0 | We recommend the Assistant Secretary for Employment and Training establish, clarify, and implement methods to share best physical security practices systematically and timely. | ||
| 8 | ETA | $0 | We recommend the Assistant Secretary for Employment and Training establish, clarify, and require Job Corps to proactively and continuously evaluate and improve its efforts to mitigate violence and other serious crimes at its centers. |
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 2 are closed
5 recommendations, of which 2 are closed
| Status | Rec. | Primary Agency Responsible | Implementing Agency (if different) | Monetary Findings | Recommendation |
|---|---|---|---|---|---|
| 1 | EBSA | $0 | We recommend the Assistant Secretary for Employee Benefits Security reduce or eliminate exemption thresholds for small plans. | ||
| 3 | EBSA | $0 | We recommend the Assistant Secretary for Employee Benefits Security use reported claims data to discover and focus investigations of health plans. | ||
| 4 | EBSA | $0 | We recommend the Assistant Secretary for Employee Benefits Security establish external review reporting requirements for IROs through plan filings. |
MSHA Can Improve How It Responds To and Tracks Hazardous Condition Complaints
Audit Report to MSHA, 05-16-002-06-001 issued on 09/30/2016
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 |
|---|---|---|---|---|---|
| 2 | MSHA | $0 | We recommend that the Assistant Secretary for Mine Safety and Health establish standard completion goals for post-complaint inspections. |
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 |
|---|---|---|---|---|---|
| 1 | OASAM | $0 | This recommendation contains sensitive information and will not be posted. |
Audit of Experience Works’ Senior Community Service Employment Program Grant
| Status | Rec. | Primary Agency Responsible | Implementing Agency (if different) | Monetary Findings | Recommendation |
|---|---|---|---|---|---|
| 2 | ETA | $0 | We recommend the Assistant Secretary for Employment and Training ensure future grant solicitations’ award criteria provide for appropriate assessment of financial stability, quality of management systems, and history of performance. |
OSHA Does Not Know If Special Emphasis Programs Have Long-term Industrywide Effect
Audit Report to OSHA, 02-16-201-10-105 issued on 09/28/2016
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 |
|---|---|---|---|---|---|
| 3a | OSHA | $0 | We recommend the Assistant Secretary for Occupational Safety and Health Establish a written policy for developing and executing NEPs that requires: a. A formal assessment of hazards that weighs all available information; defines “high-hazard” industries, occupations, and processes that are not sufficiently covered through other OSHA targeting programs; and uses a documentable methodology for targeting industries, occupations, and processes that have high potential for these hazards. | ||
| 3b | OSHA | $0 | We recommend the Assistant Secretary for Occupational Safety and Health Establish a written policy for developing and executing NEPs that requires: b. An assessment of the nationwide risk exposure to support developing an NEP that includes a risk-based justification for mandating state implementation, taking into account the applicability of the program within each state’s area of coverage. | ||
| 3c | OSHA | $0 | We recommend the Assistant Secretary for Occupational Safety and Health Establish a written policy for developing and executing NEPs that requires: c. Periodic review and update to ensure NEPs continually target the most significant industry, occupation, and process hazards. |
Jobs For Veterans State Grants Program: VETS Needs To Improve Financial Monitoring
Audit Report to VETS, 06-16-001-02-001 issued on 03/29/2016
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 |
|---|---|---|---|---|---|
| 1 | VETS | $0 | We recommend the Assistant Secretary for Veterans’ Employment and Training develop new monitoring guidance that requires states to submit and DVETs to review a detailed listing of JVSG expenditures and using a risk-based approach, review supporting documentation for a sample of JVSG expenditures to ensure states are charging allowable costs to the program. |
The Department Remains Vulnerable To Premature Release of Embargoed Economic Data
Audit Report to OSEC, 17-16-001-01-001 issued on 03/25/2016
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 |
|---|---|---|---|---|---|
| 1 | OSEC | $0 | We recommend the Senior Managing Director for Communications and Public Affairs work together with the Assistant Secretary for Administration and Management and the Commissioner for Labor Statistics to prohibit the use of software that queues data for transmission without human interaction and develop sanctions for non-compliance. |
Management Advisory Comments Identified In An Audit of the Consolidated Financial Statements For The Year Ended September 30, 2015
Audit Report to OCFO, 22-16-004-13-001 issued on 03/25/2016
40 recommendations, of which 38 are closed
40 recommendations, of which 38 are closed
| Status | Rec. | Primary Agency Responsible | Implementing Agency (if different) | Monetary Findings | Recommendation |
|---|---|---|---|---|---|
| 5 | OCFO | ETA | $0 | ETA develop and implement monitoring controls to enforce the management review requirements per the FECA Existing Claims Accrual Methodology and ensure that the results of the review are sufficiently documented. | |
| 38 | OCFO | CFO | $0 | ETA correct the configuration of GEMS to ensure that multiple desk reviews for the same period are associated with the correct period, and in the interim, implement additional monitoring procedures to verify that desk review submission dates correspond with the appropriate quarterly review timeframe. |
OSHA Needs to Continue to Strengthen Its Whistleblower Protection Programs
Audit Report to OSHA, 02-15-202-10-105 issued on 09/30/2015
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 |
|---|---|---|---|---|---|
| 6 | OSHA | $0 | Assistant Secretary for Occupational Safety and Health develop and implement a process to ensure reasonable balance is applied between the quality and timeliness to complete investigations within statutory timeframes. |
Recovery Act: Effectiveness of New York In Detecting and Reducing Unemployment Insurance Improper Payments and Implementation of Employment and Training Administration National Strategies
| Status | Rec. | Primary Agency Responsible | Implementing Agency (if different) | Monetary Findings | Recommendation |
|---|---|---|---|---|---|
| 01 | ETA | $0 | We recommend the Assistant Secretary for Employment and Training work with and encourage New York to develop controls for the periodic review and testing of its legacy systems’ data extraction and reporting process. | ||
| 2 | ETA | $0 | We recommend the Assistant Secretary for Employment and Training work with and encourage New York to include in its systems modernization effort the necessary applications and processes to enable the state to pass ETA data validation requirements. Specific milestones for remedying data validation should be included in the New York Corrective Action Plan. |
Alert Memorandum: Vulnerability in OWCP FECA Bill Pay Processing System
Audit Report to OASAM, 50-15-002-07-725 issued on 07/28/2015
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 |
|---|---|---|---|---|---|
| 4 | OASAM | $0 | This recommendation contains sensitive information and will not be posted. |
Investigative Advisory Report -- Weaknesses Contributing to Fraud in the Unemployment Insurance Program
Audit Report to ETA, 50-15-001-03-315 issued on 07/24/2015
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 |
|---|---|---|---|---|---|
| 1 | 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. | ||
| 1a | 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. | ||
| 2 | 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. | ||
| 2a | 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. | ||
| 3 | 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. | ||
| 4 | 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. | ||
| 5 | 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. | ||
| 5a | 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. | ||
| 6 | 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. | ||
| 6a | 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. |
Alert Memorandum: DOL Needs to Strengthen its Oversight of NCFMS to Control Costs
Audit Report to OSEC, 22-15-007-01-001 issued on 06/02/2015
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 |
|---|---|---|---|---|---|
| 1 | OSEC | $0 | To strengthen its oversight of NCFMS to control costs, we recommend the Department develop and implement a process to review and approve the services and costs requested for reimbursement. | ||
| 2 | OSEC | $0 | To strengthen its oversight of NCFMS to control costs, we recommend the Department negotiate a firm-fixed price agreement with DOT for a baseline of operation and maintenance services for NCFMS, including the Department developing its own cost estimate. |
Procedural Changes Could Reduce the Amount of Time Required to Adjudicate Federal Black Lung Benefit Claims
Audit Report to MULTI, 05-15-001-50-598 issued on 04/09/2015
23 recommendations, of which 22 are closed
23 recommendations, of which 22 are closed
| Status | Rec. | Primary Agency Responsible | Implementing Agency (if different) | Monetary Findings | Recommendation |
|---|---|---|---|---|---|
| 6 | MULTI | ESA | $0 | OWCP Director evaluate the results of OWCP’s pilot program aimed at strengthening the pulmonary evaluation upon its conclusion and decide which actions should be permanently included as part of the claims process. |
Effectiveness of Pennsylvania in Detecting and Reducing Unemployment Insurance Improper Payments and Implementation of Employment and Training Administration National Strategies
| Status | Rec. | Primary Agency Responsible | Implementing Agency (if different) | Monetary Findings | Recommendation |
|---|---|---|---|---|---|
| 1 | ETA | $0 | Assistant Secretary for Employment and Training work with and encourage the Pennsylvania L&I to continue to make improvements and enhancements to its legacy system, while other alternatives to replacing the legacy system are researched. | ||
| 2 | ETA | $0 | Assistant Secretary for Employment and Training work with and encourage the Pennsylvania L&I to develop measures for determining the effectiveness of cross-matching and other strategies. |
Superstorm Sandy National Emergency Grants: ETA Awarded Funds Promptly, But Could Improve Grant Modification And Eligibility Verification Processes
| Status | Rec. | Primary Agency Responsible | Implementing Agency (if different) | Monetary Findings | Recommendation |
|---|---|---|---|---|---|
| 2 | ETA | $7,811,286 | Assistant Secretary for ETA reinstate the policy to require disaster NEG grantees to have systems in place to review eligibility determinations once needed documentation becomes available. |
Job Corps Needs to Improve Enforcement and Oversight of Student Disciplinary Policies
| Status | Rec. | Primary Agency Responsible | Implementing Agency (if different) | Monetary Findings | Recommendation |
|---|---|---|---|---|---|
| 1 | ETA | $398,729 | The Assistant Secretary for Employment and Training require Job Corps’ centers and their respective operators to strengthen policies and procedures to ensure serious student misconduct is promptly reported, investigated, and resolved in accordance with Job Corps' disciplinary policies. | ||
| 3 | ETA | $0 | The Assistant Secretary for Employment and Training require regular monitoring and prompt investigation of significant increases in reported serious student misconduct. | ||
| 5 | ETA | $0 | The Assistant Secretary for Employment and Training develop and implement an effective deterrent, such as financial penalty, to better enforce centers compliance with Job Corps’ student disciplinary requirements. | ||
| 6 | ETA | $48,404 | The Assistant Secretary for Employment and Training 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 1 are closed
5 recommendations, of which 1 are closed
| Status | Rec. | Primary Agency Responsible | Implementing Agency (if different) | Monetary Findings | Recommendation |
|---|---|---|---|---|---|
| 2 | 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. | ||
| 3 | EBSA | $0 | We recommend the Assistant Secretary for Employee Benefits Security establish a timetable to evaluate the feasibility of ERISA Advisory Council recommendations on limited scope audits. | ||
| 4 | EBSA | $0 | We recommend the Assistant Secretary for Employee Benefits Security collaborate with federal and state regulators to determine the level of examination and supervision they exercise for ERISA plans assets certified and held by custodians by: a. Establishing memoranda of understanding with, at minimum, federal regulators to share information on regulatory and examination practices and evaluating those practices; and b. Obtaining access to reports of examination by federal and state regulators to evaluate audit assurances and identify areas of concern for ERISA plan assets held and certified by qualified custodians. | ||
| 5 | EBSA | $0 | We recommend the Assistant Secretary for Employee Benefits Security determine whether EBSA can issue guidance on the level or form of supervision and examination by federal and state regulators needed to provide appropriate assurances for ERISA assets held in trust. |
Job Corps Contractor and DOL Procurement Practices Need Improvement
| Status | Rec. | Primary Agency Responsible | Implementing Agency (if different) | Monetary Findings | Recommendation |
|---|---|---|---|---|---|
| 1 | ETA | $126,500,000 | We recommend that the Assistant Secretary for Employment and Training require the Regional Job Corps Offices and respective ETA COs to refer the 4 small business set-aside contracts we identified held by AET and APS to SBA for review and guidance on corrective action, if warranted. | ||
| 2 | ETA | $0 | We recommend that the Assistant Secretary for Employment and Training require the Regional Job Corps Offices and respective ETA COs develop and implement a mechanism or procedures for ensuring each small business set-aside contract is free of potential violations of affiliation rules. | ||
| 3 | ETA | $0 | We recommend that the Assistant Secretary for Employment and Training require the Regional Job Corps Offices and respective ETA COs develop and implement a comprehensive training plan for procurement staff, including training on affiliation, ostensible subcontracting, and the scope of privity. | ||
| 4 | ETA | $0 | We recommend that the Assistant Secretary for Employment and Training require the Regional Job Corps Offices and respective ETA COs conduct the new CPSR planned for ResCare in FY 2015, or, if the new CPSR is cancelled or delayed, follow up on ResCare’s CAP, as well as the procurement weaknesses identified in ETA’s 2012 CPSR report and this OIG audit report. |
Job Corps Needs to Improve Controls Over Student Travel Funds
| Status | Rec. | Primary Agency Responsible | Implementing Agency (if different) | Monetary Findings | Recommendation |
|---|---|---|---|---|---|
| 4 | ETA | $289,224 | Assistant Secretary for ETA require JC to collect $289,224 ($249,477 + $39,747) in questioned costs from the applicable center operators. |
EBSA Could Improve Its Usage Of Form 5500 Data
Audit Report to EBSA, 05-14-003-12-121 issued on 03/31/2014
4 recommendations, of which 2 are closed
4 recommendations, of which 2 are closed
| Status | Rec. | Primary Agency Responsible | Implementing Agency (if different) | Monetary Findings | Recommendation |
|---|---|---|---|---|---|
| 2 | EBSA | $0 | Assistant Secretary for EBSA determine which Form 5500 data items are not currently searchable and add appropriate data fields to the Form 5500 to allow mining of this data. | ||
| 4 | EBSA | $0 | Assistant Secretary for EBSA improve EFAST 2’s public search function by making searches more user-friendly and by building logic into the search algorithms. |
Improvements Needed to DOL’s Capital Planning and Investment Controls for Managing Information Technology Investments
Audit Report to OASAM, 23-14-009-07-723 issued on 03/25/2014
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 |
|---|---|---|---|---|---|
| 1 | OASAM | $0 | The CIO perform a DOL-wide review of the IT Portfolio and the Investment Management Process to verify classification of all IT investments meets DOL’s policies and procedures. | ||
| 2 | OASAM | $0 | The CIO update IT capital planning and investment control policies, procedures, and documentation to reflect and clarify: (a) use of the capital planning tool, and (b) the comprehensiveness of the investment management process and enforcement to maintain required eCPIC documentation for critical processes involving select, control, and evaluate phases. | ||
| 3 | OASAM | $0 | The CIO implement an investment management framework consistent with NIST SP 800-65 and which aligns with GAO’s ITIM maturity framework to strengthen DOL’s approach to IT investment management. |
Controls Over the Release of the UI Weekly Claims Report Need Improvement
| Status | Rec. | Primary Agency Responsible | Implementing Agency (if different) | Monetary Findings | Recommendation |
|---|---|---|---|---|---|
| 1 | ETA | $0 | Acting Assistant Secretary for ETA in consultation with OMB and other federal agencies who provide pre-release access via press lock-ups, develop and implement a strategy to achieve an equitable release of the Claims Report and eliminate any competitive advantage that news organizations inside the lock-up and their clients may have; or, absent a viable solution, consider discontinuing the use of the press lock-up to provide news organizations pre-release access to the Claim Report |
Voluntary Protection Program: Controls Are Not Sufficient to Ensure Only Worksites With Exemplary Safety and Health Systems Remain in the Program
Audit Report to OSHA, 02-14-201-10-105 issued on 12/16/2013
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 |
|---|---|---|---|---|---|
| 1 | OSHA | $0 | Assistant Secretary for Occupational Safety and Health reevaluate the policy of allowing worksites with high injury and illness rates to stay in VPP for up to 6 years to ensure that only employers who operate systems which meet the objective of the VPP program are allowed to participate. | ||
| 4 | OSHA | $0 | Assistant Secretary for OSHA establish a system to analyze inspection information for continuous improvement of VPP. |
Fiscal Year 2013 Federal Information Security Management Act: DOL Entity-wide Testing
Audit Report to OASAM, 23-14-006-07-725 issued on 11/14/2013
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 |
|---|---|---|---|---|---|
| 2 | OASAM | $0 | This recommendation contains sensitive information and will not be posted. |
Navajo Nation Did Not Adequately Manage Workforce Investment Act Grants and Could Serve More Participants With Available Funds
| Status | Rec. | Primary Agency Responsible | Implementing Agency (if different) | Monetary Findings | Recommendation |
|---|---|---|---|---|---|
| 1 | ETA | $0 | Acting Assistant Secretary for Employment and Training require NDWD to: 1. Implement accounting policies and procedures to properly allocate personnel and non-personnel costs. Furthermore, the NNOOC Policy Manual should be implemented and include practices for identifying unallowable costs. |
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 1 are closed
3 recommendations, of which 1 are closed
| Status | Rec. | Primary Agency Responsible | Implementing Agency (if different) | Monetary Findings | Recommendation |
|---|---|---|---|---|---|
| 1 | MSHA | $0 | Assistant Secretary for Mine Safety and Health review goal monitoring activities and assess the validity of established §110 special investigations goals and implement either revised activities or goals to ensure MSHA initiates and submits cases on a more timely basis. | ||
| 2 | MSHA | $0 | Assistant Secretary for 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 |
EBSA Needs to Provide Additional Guidance and Oversight to ERISA Plans Holding Hard-to Value Alternative Investments
Audit Report to EBSA, 09-13-001-12-121 issued on 09/30/2013
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 |
|---|---|---|---|---|---|
| 1a | EBSA | $0 | Assistant Secretary for Employee Benefits Security improve current protections under current authority to provide guidance to plan administrators to identify and adequately support the fair market value of hard-to-value plan assets | ||
| 1b | EBSA | $0 | Assistant Secretary for Employee Benefits Security improve current protections under current authority to evaluate and determine the feasibility of ERISA Advisory Council recommendations on hard-to-value alternative investments | ||
| 3 | EBSA | $0 | Assistant Secretary for Employee Benefits Security improve Form 5500 data collection, analysis, and targeting of plans with hard-to-value investments. |
Job Corps Needs To Improve Timeliness Of And Accountability For Maintenance Repairs At Its Centers
| Status | Rec. | Primary Agency Responsible | Implementing Agency (if different) | Monetary Findings | Recommendation |
|---|---|---|---|---|---|
| 2 | ETA | $9,215,666 | Assistant Secretary for ETA require Job Corps to improve management processes related to monitoring and tracking the status of funds obligated for center repairs to ensure funds are used for the intended purposes or to address other maintenance deficiencies within the funds’ period of availability and/or five-year expired period. | ||
| 3 | ETA | $0 | Assistant Secretary for ETA require Job Corps to identify and timely use, or return to the U.S. Treasury unused funds obligated for center repairs. | ||
| 4 | ETA | $0 | Assistant Secretary for ETA require Job Corps to determine and accurately report its total deferred maintenance costs and repairs in the DOL Financial Report for FY 2012. |
Changes Are Still Needed in the ERISA Audit Process to Increase Protections for Employee Benefit Plan Participants
Audit Report to EBSA, 09-12-002-12-121 issued on 09/28/2012
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 |
|---|---|---|---|---|---|
| 2a | EBSA | $0 | Assistant Secretary for EBSA improve current protections under current authority by: a. Clarifying the requirements needed to hold and certify plan assets for limited scope audits. | ||
| 2b | EBSA | $0 | Providing guidance to plan administrators to identify and adequately support current value of plan assets in limited scope audits. | ||
| 2c | EBSA | $0 | Evaluating the recommendations from the ERISA Advisory Council on limited scope audits. |
Job Corps SPAMIS System Testing
Audit Report to ETA, 23-12-023-03-370 issued on 09/28/2012
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 |
|---|---|---|---|---|---|
| 1 | ETA | $0 | This recommendation contains sensitive information and will not be posted. | ||
| 2 | ETA | $0 | This recommendation contains sensitive information and will not be posted. |
Job Corps Oversight of Center Performance Needs Improvement
| Status | Rec. | Primary Agency Responsible | Implementing Agency (if different) | Monetary Findings | Recommendation |
|---|---|---|---|---|---|
| 3 | 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 |
|---|---|---|---|---|---|
| 03 | 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. |
Federal Information Security Management Act Departmental Security Issues
Audit Report to OASAM, 23-12-002-07-001 issued on 03/19/2012
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 |
|---|---|---|---|---|---|
| 1 | OASAM | $0 | This recommendation contains sensitive information and will not be posted. | ||
| 2 | OASAM | $0 | This recommendation contains sensitive information and will not be posted. |
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 |
|---|---|---|---|---|---|
| 4 | OWCP | $0 | OWCP Acting Director 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. |
Fiscal Year 2011 Independent Auditor's Report on the DOL Consolidated Financial Statements
Audit Report to OCFO, 22-12-002-13-001 issued on 11/14/2011
5 recommendations, of which 5 are closed
5 recommendations, of which 5 are closed
| Status | Rec. | Primary Agency Responsible | Implementing Agency (if different) | Monetary Findings | Recommendation |
|---|---|---|---|---|---|
| 03a | OCFO | CFO | $0 | Chief Information Officer should coordinate efforts among the DOL agencies to develop procedures and controls to address access and vulnerability management control deficiencies in financial and support systems | |
| 03b | OCFO | CFO | $0 | Chief Information Officer should monitor the agencies’ progress to ensure that procedures and controls are appropriately implemented and maintained. |
Additional Information Needed to Measure the Effectiveness and Return on Investment of Training Services Funded Under the WIA Adult and Dislocated Worker Programs
| Status | Rec. | Primary Agency Responsible | Implementing Agency (if different) | Monetary Findings | Recommendation |
|---|---|---|---|---|---|
| 2 | ETA | $0 | Require SWAs to report training costs and funding sources at the participant level in WIASRD so stakeholders have adequate information to make return-on-investment decisions for WIA services. |
Job Corps Must Strengthen Controls to Ensure Low-Income Eligibility of Applicants
| Status | Rec. | Primary Agency Responsible | Implementing Agency (if different) | Monetary Findings | Recommendation |
|---|---|---|---|---|---|
| 02 | ETA | $2,274,303 | Recover questioned costs totaling $2.27 million from OA service providers |
Improvements are Needed in DOL IT Security Remediation Efforts
Audit Report to OASAM, 23-11-002-07-001 issued on 09/14/2011
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 |
|---|---|---|---|---|---|
| 2 | OASAM | $0 | This recommendation contains sensitive information and will not be posted. |
OSHA Has Not Determined If State OSH Programs Are at Least as Effective in Improving Workplace Safety and Health as Federal OSHA's Programs
Audit Report to OSHA, 02-11-201-10-105 issued on 03/31/2011
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 |
|---|---|---|---|---|---|
| 3 | OSHA | $0 | Measure Federal OSH program to establish a baseline to evaluate State OSH effectiveness. |
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 5 are closed
7 recommendations, of which 5 are closed
| Status | Rec. | Primary Agency Responsible | Implementing Agency (if different) | Monetary Findings | Recommendation |
|---|---|---|---|---|---|
| 4 | OASAM | $0 | This recommendation contains sensitive information and will not be posted. | ||
| 6 | 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 1 are closed
6 recommendations, of which 1 are closed
| Status | Rec. | Primary Agency Responsible | Implementing Agency (if different) | Monetary Findings | Recommendation |
|---|---|---|---|---|---|
| 1 | OASAM | $0 | Assess and take appropriate measures to ensure reports of lost, missing or stolen sensitive IT assets have not resulted. | ||
| 2 | OASAM | $0 | Perform a full inventory of DOL's IT Assets that is accurate and complete including an update of the information into a | ||
| 3 | OASAM | $0 | Consolidate all inventory systems though out DOL to eliminate duplication, realize cost savings, and strengthen inventory. | ||
| 4 | OASAM | $0 | Perform required reviews of program agencies' inventory practices and procedures to ensure full participation in the | ||
| 6 | OASAM | $0 | Integrate a reliable electronic procurement system with a viable inventory system along with the financial systems |
Audit of State Workforce Agency Evaluations of Workforce Investment Act Title IB Program
| Status | Rec. | Primary Agency Responsible | Implementing Agency (if different) | Monetary Findings | Recommendation |
|---|---|---|---|---|---|
| 2 | ETA | $0 | Assistant Secretary for Employment and Training: 2. Develop in ETA a process to analyze evaluation results so that it can improve delivery of services nationally and be a proactive clearinghouse to the SWAs for best practices. |
Audit of Education and Training Resources, Job Corps Center Operator
Audit Report to OSEC, 26-10-003-01-370 issued on 03/18/2010
9 recommendations, of which 8 are closed
9 recommendations, of which 8 are closed
| Status | Rec. | Primary Agency Responsible | Implementing Agency (if different) | Monetary Findings | Recommendation |
|---|---|---|---|---|---|
| 9 | OSEC | $0 | Implement procedures for incentive plan holiday parties. |
Performance Audit for ResCare, Inc., Job Corps Centers
Audit Report to OSEC, 26-10-002-01-370 issued on 03/03/2010
9 recommendations, of which 8 are closed
9 recommendations, of which 8 are closed
| Status | Rec. | Primary Agency Responsible | Implementing Agency (if different) | Monetary Findings | Recommendation |
|---|---|---|---|---|---|
| 9 | OSEC | $10,115 | Determine extent of liquidated damages from CTT and OBS and require payment. |
