OIG Recommendation Dashboard - Office of Inspector General, U.S. Dept. of Labor

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

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Rec.	Primary Agency Responsible	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

Audit Report to ETA, 05-21-001-03-370 issued on 03/25/2021
4 recommendations, of which 0 are closed

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Rec.	Primary Agency Responsible	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.
004	ETA	$0	We recommend the Assistant Secretary for Employment and Training: Evaluate the funding needs of Center Mental Health Consultant and Trainee Employee Assistance Program Specialists Center functions to determine if adjustments are needed to adequately support students with mental health or substance abuse issues.

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

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Rec.	Primary Agency Responsible	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

Audit Report to ETA, 19-21-002-03-315 issued on 02/22/2021
2 recommendations, of which 0 are closed

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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

Audit Report to ETA, 02-21-002-03-391 issued on 01/29/2021
6 recommendations, of which 0 are closed

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Rec.	Primary Agency Responsible	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.
004	ETA	$0	To improve future DWG awards, we recommend the Assistant Secretary for Employment and Training: To the extent feasible, consider having grantees verify participant eligibility when self-certifications were used to expedite the eligibility process, as required by the grant agreement.
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

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Rec.	Primary Agency Responsible	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

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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

Audit Report to WHD, 17-21-001-15-001 issued on 12/11/2020
5 recommendations, of which 1 are closed

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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

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Rec.	Primary Agency Responsible	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

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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

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Rec.	Primary Agency Responsible	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

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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.

ETA Could not Demonstrate that Credentials Improved WIOA Participants' Employment Outcomes

Audit Report to ETA, 03-20-002-03-391 issued on 09/30/2020
2 recommendations, of which 0 are closed

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Status	Rec.	Primary Agency Responsible	Implementing Agency (if different)	Monetary Findings	Recommendation
	001	ETA		$0	We recommend the Assistant Secretary for Employment and Training: Develop a mechanism to gauge whether credentials earned by participants are effective in improving participants’ outcomes.
	002	ETA		$0	We recommend the Assistant Secretary for Employment and Training: Perform monitoring at states to ensure adherence to data validation guidance, TEGL 7-18, issued by ETA.

DOL Needs to Improve Debarment Processes to Ensure Foreign Labor Program Violators are Held Accountable

Audit Report to ETA, 06-20-001-03-321 issued on 09/30/2020
4 recommendations, of which 0 are closed

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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.
004	ETA		$0	We recommend the Assistant Secretary for ETA use data analytics and other risk factors to establish a risk-based approach to determine the selection of H-2A and H-2B applications for audit.

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

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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

Audit Report to ETA, 04-20-002-03-315 issued on 09/29/2020
3 recommendations, of which 0 are closed

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Rec.	Primary Agency Responsible	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

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Status	Rec.	Primary Agency Responsible	Implementing Agency (if different)	Monetary Findings	Recommendation
	001	OCFO		$0	This recommendation contains sensitive information and will not be posted.
	002	OCFO		$0	This recommendation contains sensitive information and will not be posted.

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

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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

Audit Report to ETA, 19-20-008-03-315 issued on 08/07/2020
4 recommendations, of which 2 are closed

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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

Audit Report to ETA, 19-20-007-03-370 issued on 07/28/2020
5 recommendations, of which 3 are closed

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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

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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

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Rec.	Primary Agency Responsible	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.

Alert Memorandum: The Pandemic Unemployment Assistance Program Needs Proactive Measures to Detect and Prevent Improper Payments and Fraud

Audit Report to ETA, 19-20-002-03-315 issued on 05/26/2020
1 recommendations, of which 0 are closed

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Status	Rec.	Primary Agency Responsible	Implementing Agency (if different)	Monetary Findings	Recommendation
	001	ETA		$0	We suggest ETA seek additional guidance or clarification from Congress concerning whether a claimant is entitled to establish and continue to receive PUA payments without providing documentation at any point during a weekly benefit amount determination. Alternatively, we recommend ETA consider tools already available under the CARES Act such as those cited in section 2102(a)(3) (A)(i)(I)(kk) or section 2104(f) and change its guidance; or request legislative action to curtail improper or fraudulent PUA payments.

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

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Rec.	Primary Agency Responsible	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

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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

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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

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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

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Rec.	Primary Agency Responsible	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

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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

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Rec.	Primary Agency Responsible	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

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Rec.	Primary Agency Responsible	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

Audit Report to ETA, 06-19-001-03-391 issued on 09/27/2019
3 recommendations, of which 2 are closed

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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

Audit Report to ETA, 26-19-001-03-370 issued on 09/25/2019
5 recommendations, of which 0 are closed

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Rec.	Primary Agency Responsible	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

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Rec.	Primary Agency Responsible	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

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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

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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

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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

Audit Report to WHD, 04-19-001-15-001 issued on 03/29/2019
8 recommendations, of which 2 are closed

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Rec.	Primary Agency Responsible	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

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Rec.	Primary Agency Responsible	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

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Rec.	Primary Agency Responsible	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

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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

Audit Report to ETA, 26-18-002-03-360 issued on 09/28/2018
6 recommendations, of which 5 are closed

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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

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Rec.	Primary Agency Responsible	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

Audit Report to ETA, 02-18-201-03-330 issued on 07/26/2018
4 recommendations, of which 1 are closed

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Rec.	Primary Agency Responsible	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

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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

Audit Report to ETA, 04-18-001-03-370 issued on 03/30/2018
4 recommendations, of which 3 are closed

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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

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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

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Rec.	Primary Agency Responsible	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

Audit Report to ETA, 04-17-002-03-315 issued on 09/26/2017
4 recommendations, of which 1 are closed

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Rec.	Primary Agency Responsible	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

Audit Report to ETA, 26-17-002-03-370 issued on 09/21/2017
5 recommendations, of which 3 are closed

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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

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Rec.	Primary Agency Responsible	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

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Rec.	Primary Agency Responsible	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

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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

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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

Audit Report to ETA, 50-15-001-03-315 issued on 07/24/2015
6 recommendations, of which 0 are closed

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Rec.	Primary Agency Responsible	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

Audit Report to ETA, 26-15-001-03-370 issued on 02/27/2015
6 recommendations, of which 5 are closed

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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

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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 1 are closed

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Status	Rec.	Primary Agency Responsible	Implementing Agency (if different)	Monetary Findings	Recommendation
	001	MSHA		$0	We recommend that MSHA: 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.
	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

Audit Report to ETA, 26-12-006-03-370 issued on 09/28/2012
5 recommendations, of which 4 are closed

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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

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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

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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

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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

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Rec.	Primary Agency Responsible	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.

UNITED STATES
DEPARTMENT OF LABOR

OFFICE OF INSPECTOR GENERAL

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