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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 2011.
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- Open - Closed Updated as of November 19, 2024
- Open - Closed Updated as of November 19, 2024
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ETA Did Not Ensure States Sufficiently Implemented Mixed Earners Unemployment Compensation Program
| Status | Rec. | Primary Agency Responsible | Implementing Agency (if different) | Monetary Findings | Recommendation |
|---|---|---|---|---|---|
| 001 | ETA | $0 | Perform an assessment on mixed earners, including a cost-benefit analysis of the Mixed Earners Unemployment Compensation program, to aid future decision-making regarding this segment of the work population and advise Congress based on lessons learned. | ||
| 002 | ETA | $0 | Collaborate with the Bureau of Labor Statistics to track and report data specific to mixed earners in the U.S. economy to allow for the provision of timely and useful assistance to the mixed earner population during future emergencies. | ||
| 003 | ETA | $0 | Monitor the state workforce agencies’ levels of benefit payment activity and establish timeframes to reduce the remaining allotment to the sufficiently minimal amount required to meet future benefit payment needs and ensure the remaining Mixed Earners Unemployment Compensation funds are expended appropriately or returned to Treasury. | ||
| 004 | ETA | $0 | Perform an assessment of previous emergency unemployment insurance (UI) programs and the pandemic-related UI programs to determine an appropriate historically-based time limit for states’ acceptance of emergency program benefit claims after the expiration of the UI programs’ eligibility periods and consider making a legislative proposal to Congress to use the determined the time limit on future emergency programs. |
DOL Implemented Its Wireless Network Securely, Though Security Gaps Exist in Testing, Updating, Patching, and Continuous Review
Audit Report to OASAM, 23-24-003-07-720 issued on 09/11/2024
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 |
|---|---|---|---|---|---|
| 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. | ||
| 03 | OASAM | $0 | This recommendation contains sensitive information and will not be posted. | ||
| 04 | OASAM | $0 | This recommendation contains sensitive information and will not be posted. |
Longshore and Harbor Workers’ Compensation Act Special Fund Financial Statements and Independent Auditors’ Report September 30, 2023, and 2022
Audit Report to OWCP, 22-24-008-04-432 issued on 07/17/2024
1 recommendations, of which 0 are closed
1 recommendations, of which 0 are closed
| Status | Rec. | Primary Agency Responsible | Implementing Agency (if different) | Monetary Findings | Recommendation |
|---|---|---|---|---|---|
| 001 | OWCP | $0 | We recommend the Deputy Chief Financial Officer update its journal entry review procedures to confirm it has all necessary information regarding a transaction before the review and approval of journal entries. |
District of Columbia Workmen’s Compensation Act Special Fund Financial Statements and Independent Auditors’ Report September 30, 2023, and 2022
Audit Report to OWCP, 22-24-009-04-432 issued on 07/17/2024
1 recommendations, of which 0 are closed
1 recommendations, of which 0 are closed
| Status | Rec. | Primary Agency Responsible | Implementing Agency (if different) | Monetary Findings | Recommendation |
|---|---|---|---|---|---|
| 001 | OWCP | $0 | We recommend that the Deputy Chief Financial Officer update its journal entry review procedures to confirm it has all necessary information regarding a transaction before the review and approval of journal entries. |
COVID-19: ETA’S OVERSIGHT OF SHORT-TIME COMPENSATION DID NOT DETECT $129.6 MILLION IN QUESTIONED COSTS
| Status | Rec. | Primary Agency Responsible | Implementing Agency (if different) | Monetary Findings | Recommendation |
|---|---|---|---|---|---|
| 001 | ETA | $0 | We recommend the Assistant Secretary for Employment and Training establish policies and procedures for monitoring, using lessons learned from the Short-Time Compensation program during the pandemic, that ensure states meet requirements for similar future temporary unemployment insurance programs that provide federal reimbursements to states. | ||
| 002 | ETA | $129,565,581 | We recommend the Assistant Secretary for Employment and Training review states’ compliance with Short-Time Compensation (STC) eligibility requirements and require all states with STC agreements to return federal funds used for reimbursements of STC benefit payments for weeks of unemployment beginning before March 27, 2020, and ending after September 6, 2021, as well as for reimbursements that exceeded benefits paid. | ||
| 003 | ETA | $0 | We recommend the Assistant Secretary for Employment and Training monitor states administering unemployment insurance programs subsidized with federal funds, including temporary programs such as Short-Time Compensation, to ensure compliance with the 3-year records retention requirements established in the Code of Federal Regulations (2 C.F.R. § 200.334). |
The U.S. Department of Labor Did Not Meet the Requirements for Compliance With the Payment Integrity Information Act for FY 2023
Audit Report to OCFO, 22-24-007-13-001 issued on 05/29/2024
3 recommendations, of which 0 are closed
3 recommendations, of which 0 are closed
| Status | Rec. | Primary Agency Responsible | Implementing Agency (if different) | Monetary Findings | Recommendation |
|---|---|---|---|---|---|
| 001 | OCFO | ETA | $0 | We recommend the Deputy CFO maintains its current focus on increasing technical assistance and funding to states to improve the improper payment reduction strategies to reduce the improper payments estimate rate below the 10 percent threshold. | |
| 002 | OCFO | ETA | $0 | We recommend the Deputy CFO update review procedures to ensure formulas are specifically confirmed as part of the annual submission process and before the final submission of the Office of Management and Budget data call. | |
| 003 | OCFO | ETA | $0 | We recommend the Deputy CFO update its policies and procedures over the reporting of PUA information to include outlays after the expiration of the program, until such time as the outlays are no longer greater than the statutory threshold. |
OLMS Can Do More to Protect Workers' Rights to Unionize Through Enforcing Persuader Activity Disclosure
Audit Report to OLMS, 09-24-002-16-001 issued on 05/03/2024
6 recommendations, of which 2 are closed
6 recommendations, of which 2 are closed
| Status | Rec. | Primary Agency Responsible | Implementing Agency (if different) | Monetary Findings | Recommendation |
|---|---|---|---|---|---|
| 001 | OLMS | $0 | We recommend the Director for the Office of Labor-Management Standards outline requirements needed to strengthen enforcement authority to align with the Labor-Management Reporting and Disclosure Act of 1959’s intentions to protect workers’ rights and interests to unionize by recommending rule changes or legislative changes to increase employer and consultant compliance. | ||
| 002 | OLMS | $0 | We recommend the Director for the Office of Labor-Management Standards implement quality control measures to improve the usefulness of reported information by—at a minimum—ensuring requirements for: completion of required fields, validated addresses, ability to efficiently cross-match corresponding reports, and tax identification number inclusion. | ||
| 003 | OLMS | $0 | We recommend the Director for the Office of Labor-Management Standards develop an online system to intake, track, and monitor tips from receipt to completion, including anonymity protection. | ||
| 005 | OLMS | $0 | We recommend the Director for the Office of Labor-Management Standards increase awareness of the tip line through enhanced publicity, such as posting it on DOL’s complaint webpage. |
OWCP Could Improve Guidelines for Processing DEEOIC Claims
Audit Report to OWCP, 09-24-001-04-437 issued on 05/02/2024
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 |
|---|---|---|---|---|---|
| 002 | OWCP | $0 | We recommend the Director for Office of Workers’ Compensation Programs require the Division of Energy Employees Occupational Illness Compensation to regularly assess progress toward meeting performance metrics and goals related to claims processing, which track the process from start to finish, and publicly report results. | ||
| 003 | OWCP | $0 | We recommend the Director for Office of Workers’ Compensation Programs require the Division of Energy Employees Occupational Illness Compensation to establish criteria to determine which quality assurance recommendations require action and should be tracked. | ||
| 005 | OWCP | $0 | We recommend the Director for Office of Workers’ Compensation Programs require the Division of Energy Employees Occupational Illness Compensation to implement standard operating procedures to standardize the supervisory review process, including tracking and evaluating aggregate errors identified during reviews and ensure appropriate corrective actions are taken. |
Management Advisory Comments Identified in an Audit of the Consolidated Financial Statements, for the Year Ended September 30, 2023
Audit Report to OCFO, 22-24-005-13-001 issued on 12/20/2023
6 recommendations, of which 0 are closed
6 recommendations, of which 0 are closed
| Status | Rec. | Primary Agency Responsible | Implementing Agency (if different) | Monetary Findings | Recommendation |
|---|---|---|---|---|---|
| 001 | OCFO | ETA | $0 | We recommend that the Principal Deputy Assistant Secretary for Employment and Training Administration (ETA) update ETA’s policies and procedures related to risk assessment to include procedures to timely identify, analyze, and respond to changes in the entity’s control environment. | |
| 002 | OCFO | ETA | $0 | We recommend that the Principal Deputy Assistant Secretary for Employment and Training Administration (ETA) design and implement controls over the completeness and accuracy of the data used in the periodic reconciliations. | |
| 003 | OCFO | $0 | We recommend that the Chief Information Officer (CIO) develop standard operating procedures to be used in the future for all stages of system migration process, to include detailed risk assessment procedures, and coordination between the Office of the CIO (OCIO) and the Office of the Chief Financial Officer (OCFO). | ||
| 004 | OCFO | $0 | We recommend that the Principal Deputy Assistant Secretary for ETA and the Assistant Secretary for Administration and Management design and implement account management procedures to include additional review of the updated daily report of separated federal staff and the weekly contractor separation report generated to help ensure all separated users are removed from the system in accordance with DOL Cybersecurity Policy Portfolio requirements. | ||
| 005 | OCFO | $0 | We recommend that the Principal Deputy Assistant Secretary for ETA and the Assistant Secretary for Administration and Management update Office of the Chief Information Officer’s (OCIO) privileged account recertification standard operating procedures to require OCIO to recertify all administrators that are not OCIO employees and have access to DOL General Support System servers and databases | ||
| 006 | OCFO | $0 | We recommend that the Principal Deputy Assistant Secretary for ETA and the Assistant Secretary for Administration and Management retain supporting documentation evidencing performance of the privileged user account review and recertification. |
Without an IT Modernization Framework, DOL Is Vulnerable to Inadequate Resource Prioritization for Ensuring Security and Availability of DOL Systems
Audit Report to OASAM, 23-24-002-07-725 issued on 11/17/2023
3 recommendations, of which 0 are closed
3 recommendations, of which 0 are closed
| Status | Rec. | Primary Agency Responsible | Implementing Agency (if different) | Monetary Findings | Recommendation |
|---|---|---|---|---|---|
| 001 | OASAM | $0 | We recommend the CIO document an IT modernization framework including the variety of connections between different elements and publish the information to ensure all Department personnel are aware of how it works. | ||
| 002 | OASAM | $0 | Develop documents for IT modernization project discussions that ensure completeness of IT modernization efforts including new projects and enhancements to existing systems. | ||
| 003 | OASAM | $0 | Implement a system/program to maintain an automated, real-time inventory of all Department systems and applications that enables prioritization of IT modernization. |
FY 2023 Independent Auditors' Report on DOL's CFS
Audit Report to OCFO, 22-24-004-13-001 issued on 11/14/2023
3 recommendations, of which 0 are closed
3 recommendations, of which 0 are closed
| Status | Rec. | Primary Agency Responsible | Implementing Agency (if different) | Monetary Findings | Recommendation |
|---|---|---|---|---|---|
| 001 | OCFO | $0 | We recommend that the Deputy Chief Financial Officer and the Principal Deputy Assistant Secretary for Employment and Training 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 reviews of the methodology, relevance and reliability of the underlying data, and assumptions used to develop the estimates. | ||
| 002 | OCFO | $0 | We recommend that the Deputy Chief Financial Officer and the Principal Deputy Assistant Secretary for Employment and Training maintain documentation of the reviews performed to assess the reasonableness of the methodology, underlying data, and assumptions used to develop the estimates that is sufficiently detailed to evidence the specific items reviewed, analysis performed, and conclusions reached. | ||
| 003 | OCFO | $0 | We recommend that the Deputy Chief Financial Officer and the Principal Deputy Assistant Secretary for Employment and Training, design and implement controls to timely reconcile the state monthly financial summary report to the financial statements and determine the appropriate accounting treatment for adjustments. |
BLS Could Do More to Identify Data Limitations and Increase Transparency
| Status | Rec. | Primary Agency Responsible | Implementing Agency (if different) | Monetary Findings | Recommendation |
|---|---|---|---|---|---|
| 001 | BLS | $0 | We recommend the Acting Commissioner for the Bureau of Labor Statistics perform a nonresponse bias study or imputation assessment to determine if bias exists in the Consumer Price Index and Import and Export Price Index economic information due to the increased use of imputations. | ||
| 002 | BLS | $0 | We recommend the Acting Commissioner for the Bureau of Labor Statistics, based on the nonresponse bias study or imputation assessment, establish, as applicable, a threshold at which the Consumer Price Index and Import and Export Price Index must publicly disclose the amount of imputations used. Update program policies and procedures to include the established threshold and document how to publicly disclose when the threshold is met. |
COVID-19: MSHA Did Not Complete or Accurately Report Mandatory Inspections
Audit Report to MSHA, 19-24-001-06-001 issued on 10/17/2023
11 recommendations, of which 2 are closed
11 recommendations, of which 2 are closed
| Status | Rec. | Primary Agency Responsible | Implementing Agency (if different) | Monetary Findings | Recommendation |
|---|---|---|---|---|---|
| 002 | MSHA | $0 | We recommend the Assistant Secretary for Mine Safety and Health update MSHA policies to: (1) define a schedule for verifying mine statuses; (2) specify when visual verifications (e.g., E28 idle mine visits) are necessary; (3) limit deviations from the mine status criteria to defined exceptional situations; (4) define how “primary mine type” changes apply during calculation of inspection requirements; (5) define timeliness metrics for certification of E01 inspections; (6) require mandatory inspections start and end in the same fiscal year; and (7) define how to calculate the mandatory inspection completion rate annually. | ||
| 003 | MSHA | $0 | We recommend the Assistant Secretary for Mine Safety and Health redesign monitoring processes to check Part 50 data reporting for mines on a quarterly basis, and verify timely certification of mandatory inspections and accuracy of activity codes and inspection dates. | ||
| 004 | MSHA | $0 | We recommend the Assistant Secretary for Mine Safety and Health update supporting tools based on revisions to the mine status criteria. | ||
| 005 | MSHA | $0 | We recommend the Assistant Secretary for Mine Safety and Health develop a process to verify if: (1) mines in “temporarily idle” status for extended periods need a change to “abandoned” status and (2) mines with underground openings are being timely sealed when their “primary mine type” is not listed as “underground.” | ||
| 006 | MSHA | $0 | We recommend the Assistant Secretary for Mine Safety and Health verify all underground coal mines in abandoned status for more than 90 days are either sealed (and its status updated in MSHA’s system), in the process of sealing and are issued a violation for non-compliance with the regulation, or has a remark in MSHA’s system indicating why it will not be sealed. This may include verifying the mine was identified for future reclamation in the Abandoned Mine Lands program inventory. | ||
| 007 | MSHA | $0 | We recommend the Assistant Secretary for Mine Safety and Health communicate to staff on: (1) the current version of mine status criteria, (2) MSHA reports and tools available for the mandatory inspection program, and (3) leadership’s expectations on districts correcting activity codes and when Part 50 data should be available to districts (including follow-up and violations for operators not reporting timely). | ||
| 009 | MSHA | $0 | We recommend the Assistant Secretary for Mine Safety and Health update policy or procedures to: (1) clearly define when an inspection starts and ends and (2) ensure the inspection dates for an E01 mandatory inspection include any inspection work done on other events (e.g., E16 spot inspection) to make the E01 inspection an “entire mine” inspection adhering to requirements in the Mine Act. | ||
| 010 | MSHA | $0 | We recommend the Assistant Secretary for Mine Safety and Health revise business rules used in MSHA reports for the mandatory inspections program to align with the Mine Act and MSHA policy, or update MSHA policy accordingly and consider raising the number of E28 idle mine visits and E27 denial of entry attempts used in MSHA reports to eliminate an inspection requirement. | ||
| 011 | MSHA | $0 | We recommend the Assistant Secretary for Mine Safety and Health improve the design and execution of MSHA’s internal control system for the mandatory inspections program to align with the GAO Standards for Internal Control in the Federal Government, specifically by identifying key risks through a programmatic risk assessment and collecting MSHA workforce concerns to verify or improve the integrity of the program. |
COVID-19: ETA Needs a Plan to Reconcile and Return to the U.S. Treasury Nearly $5 Billion Unused by States for a Temporary Unemployment Insurance Program
| Status | Rec. | Primary Agency Responsible | Implementing Agency (if different) | Monetary Findings | Recommendation |
|---|---|---|---|---|---|
| 001 | ETA | $105,100,000 | We recommend the Principal Deputy Assistant Secretary for Employment and Training work with Oregon, Louisiana, Delaware, and Mississippi to ensure the appropriate return of approximately $105.1 million in TFFF reimbursements for first-week regular UI compensation paid that were associated with ineligible weeks. | ||
| 002 | ETA | $0 | We recommend the Principal Deputy Assistant Secretary for Employment and Training establish a deadline by which states are required to perform a timely review of past drawdowns and provide evidence that drawdowns were for reimbursement of eligible first-week regular UI compensation paid by the state for claim weeks that fell within the TFFF program period. | ||
| 003 | ETA | $0 | We recommend the Principal Deputy Assistant Secretary for Employment and Training reassess the eligibility of all states with waiting week provisions according to their state laws to ensure that the waiting week was not in effect when states accessed TFFF funds prior to December 31, 2020. | ||
| 004 | ETA | $0 | We recommend the Principal Deputy Assistant Secretary for Employment and Training ensure that any state drawdowns of the remaining almost $5 billion in TFFF funds are only for the reimbursement of first-week regular UI compensation paid by the state that fall within the TFFF program period (March 27, 2020, through September 6, 2021). | ||
| 006 | ETA | $4,948,811,006 | We recommend the Principal Deputy Assistant Secretary for Employment and Training establish written procedures and deadlines for the timely return of funding for TFFF and future similar programs and consult with OMB and Treasury officials to execute the proper return of unused funds that remain within states’ accounts. | ||
| 007 | ETA | $0 | We recommend the Principal Deputy Assistant Secretary for Employment and Training capture lessons learned from the TFFF program and use the information to develop effective internal control procedures to ensure states meet program requirements, including eligibility, and have sufficient infrastructure in place to pay claimants’ UI benefits without delay for similar temporary emergency UI programs that may be established in the future. | ||
| 008 | ETA | $0 | We recommend the Principal Deputy Assistant Secretary for Employment and Training capture lessons learned from the TFFF program and use the information to develop and implement controls to ensure the methodology and procedures are documented and maintained for estimating allotments and subsequent adjustments for similar temporary emergency UI programs that may be established in the future. |
COVID-19: The Employment and Training Administration Needs to Improve Oversight of s Awarded in New Jersey
| Status | Rec. | Primary Agency Responsible | Implementing Agency (if different) | Monetary Findings | Recommendation |
|---|---|---|---|---|---|
| 001 | ETA | $100,098,923 | We recommend the Principal Deputy Assistant Secretary for Employment and Training: Develop and implement risk tolerance for the amount of participants being served under the WIOA Adult, Youth, and Dislocated Workers program. | ||
| 002 | ETA | $0 | We recommend the Principal Deputy Assistant Secretary for Employment and Training: Regularly monitor Bergen Community College’s performance and provide the necessary assistance to ensure $7.2 million in remaining funds are used as intended by the completion of the one-year extension period | ||
| 004 | ETA | $265,040 | We recommend the Principal Deputy Assistant Secretary for Employment and Training: Resolve the $265,040 in questioned costs associated with ineligible participants and ineligible payments | ||
| 005 | ETA | $0 | We recommend the Principal Deputy Assistant Secretary for Employment and Training: Establish and implement a plan to improve monitoring activities to ensure grantees and sub-recipients are properly documenting eligibility | ||
| 007 | ETA | $6,900,000 | We recommend the Principal Deputy Assistant Secretary for Employment and Training: Resolve the $6.9 million in questioned costs associated with unaccounted expenditures and assist the New Jersey Department of Labor and Workforce Development in expediting the closure of corrective action related to its accounting system. |
COVID-19: OSHA Needs To Do More To Address High Injury Rates Of Warehouse Workers
Audit Report to OSHA, 19-23-013-10-105 issued on 09/27/2023
7 recommendations, of which 1 are closed
7 recommendations, of which 1 are closed
| Status | Rec. | Primary Agency Responsible | Implementing Agency (if different) | Monetary Findings | Recommendation |
|---|---|---|---|---|---|
| 001 | OSHA | $0 | We recommend the U.S. Assistant Secretary for Occupational Safety and Health update the criteria for the number of establishments to be included in the Site-Specific Targeting programs’ universes to better reflect industry growth and the number of eligible establishments nationwide. | ||
| 002 | OSHA | $0 | We recommend the U.S. Assistant Secretary for Occupational Safety and Health to develop specific, measurable inspection goals for the Site Specific Targeting program, including a baseline for the number of inspections in each Site-Specific Targeting category, and periodically monitor progress toward those goals. | ||
| 003 | OSHA | $0 | We recommend the U.S. Assistant Secretary for Occupational Safety and Health develop a more effective enforcement strategy to improve employer Form 300A compliance. | ||
| 004 | OSHA | $0 | We recommend the U.S. Assistant Secretary for Occupational Safety and Health assess Form 300A data categories and gather more specific supporting information about injuries to better identify the count and type of injuries reported, such as musculoskeletal disorders. | ||
| 005 | OSHA | $0 | We recommend the U.S. Assistant Secretary for Occupational Safety and Health develop improved Form 300A data analyses to better identify trends among industries and establishments. | ||
| 006 | OSHA | $0 | We recommend the U.S. Assistant Secretary for Occupational Safety and Health develop specific measurable inspection goals for the warehousing National Emphasis Program, including a baseline for the number of inspections to complete and periodically monitor progress toward those goals. Ensure the goals contain metrics that demonstrate the outcomes of the program. |
COVID-19: Pandemic Unemployment Assistance for Non-Traditional Claimants Weakened By Billions in Overpayments, Including Fraud
| Status | Rec. | Primary Agency Responsible | Implementing Agency (if different) | Monetary Findings | Recommendation |
|---|---|---|---|---|---|
| 001 | ETA | $0 | We recommend the Principal Deputy Assistant Secretary for Employment and Training develop a document that captures lessons learned from the implementation of the pandemic-related UI programs that can be used to provide legislative technical assistance and operational guidance to Congress and states on any future emergency UI programs, including an assessment of fraud and fraud prevention methods in programs that allow for self-certification. |
ETA Needs to Incorporate Data Analytics Capability to Improve Oversight of the Unemployment Insurance Program
| Status | Rec. | Primary Agency Responsible | Implementing Agency (if different) | Monetary Findings | Recommendation |
|---|---|---|---|---|---|
| 001 | ETA | $0 | We recommend the Principal Deputy Assistant Secretary for Employment and Training obtain direct access to unemployment insurance claims data from all State Workforce Agencies. | ||
| 002 | ETA | $0 | We recommend the Principal Deputy Assistant Secretary for Employment and Training create an integrity program that incorporates a data analytics capability and regularly monitors state unemployment insurance claims data to detect and prevent improper payments, including fraudulent payments, and to identify trends and emerging issues that could negatively impact the unemployment insurance program. | ||
| 003 | ETA | $1,292,205,723 | We recommend the Principal Deputy Assistant Secretary for Employment and Training establish effective controls, in collaboration with State Workforce Agencies, to mitigate fraud and other improper payments to ineligible claimants in high-risk age categories. |
COVID-19 – ETA Can Improve its Oversight to Ensure Integrity over CARES Act UI Programs
| Status | Rec. | Primary Agency Responsible | Implementing Agency (if different) | Monetary Findings | Recommendation |
|---|---|---|---|---|---|
| 001 | ETA | $0 | We recommend the Acting Assistant Secretary for Employment and Training implement a process to ensure OCIO performs required reviews of NASWA’s IDH system in a timely manner. |
COVID-19: Unemployment Relief For Governmental Entities And Nonprofit Organizations Should Have Been Better Managed
| Status | Rec. | Primary Agency Responsible | Implementing Agency (if different) | Monetary Findings | Recommendation |
|---|---|---|---|---|---|
| 001 | ETA | $0 | We recommend the Principal Deputy Assistant Secretary for Employment and Training obtain evidence from the states that ensures all EURGENO refunds and credits to which reimbursing employers are entitled have been provided. | ||
| 002 | ETA | $0 | We recommend the Principal Deputy Assistant Secretary for Employment and Training work with states to reconcile remaining balances that factor in: (a) the actual EURGENO relief provided (or, in some cases, that still must be provided) to reimbursing employers and (b) excess EURGENO relief provided due to the impact of other unemployment insurance or CARES Act provisions or fraud. | ||
| 003 | ETA | $29,074,061 | We recommend the Principal Deputy Assistant Secretary for Employment and Training determine the proper disposition of excess funds and take necessary actions, including recovery of questioned costs. |
OSHA Needs to Strengthen Its Process in Awarding Future Emergency Supplemental Funds to State Plans
Audit Report to OSHA, 19-23-009-10-105 issued on 08/30/2023
2 recommendations, of which 1 are closed
2 recommendations, of which 1 are closed
| Status | Rec. | Primary Agency Responsible | Implementing Agency (if different) | Monetary Findings | Recommendation |
|---|---|---|---|---|---|
| 002 | OSHA | $0 | To strengthen OSHA’s process for awarding future emergency supplemental funds to State Plans, we recommend the Assistant Secretary for Occupational Safety and Health update OSHA’s monitoring procedures to temporarily impose restrictions, request monthly expense reports, and implement other noncompliance remedies if grantees fail to submit accurate Federal Financial Reports until the expense reconciliation issue is resolved. |
ETA Did Not Provide Adequate Oversight of Emergency Administrative Grants
| Status | Rec. | Primary Agency Responsible | Implementing Agency (if different) | Monetary Findings | Recommendation |
|---|---|---|---|---|---|
| 001 | ETA | $0 | We recommend the Acting Assistant Secretary for Employment and Training specify within its policy the information states must include in their documentation to support compliance with the requirements to receive grant funds prior to disbursement of the funds. | ||
| 003 | ETA | $136,353,568 | We recommend the Acting Assistant Secretary for Employment and Training remedy the $136,353,567.50 in questioned costs. |
OWCP Did Not Ensure Best Prices and Allowed Inappropriate, Potentially Lethal Prescriptions in the FECA Program
Audit Report to OWCP, 03-23-001-04-431 issued on 03/31/2023
10 recommendations, of which 7 are closed
10 recommendations, of which 7 are closed
| Status | Rec. | Primary Agency Responsible | Implementing Agency (if different) | Monetary Findings | Recommendation |
|---|---|---|---|---|---|
| 001 | OWCP | $321,261,486 | We recommend the Director of OWCP implement a process to ensure competitive prices for the FECA program by regularly evaluating alternate pricing methodologies and other sources — including publicly available benchmark price lists, state fee schedules, market research, and comparable payers — and updating its pricing methodology as appropriate. | ||
| 002 | OWCP | $0 | We recommend the Director of OWCP implement a process to collect drug manufacturer rebates. | ||
| 006 | OWCP | $0 | We recommend the Director of OWCP implement a technology solution to perform ongoing prescription claim level reviews in near real-time - including contractual adherence by the PBM, prescription drug pricing discounts, and rebate guarantees - as well as to validate prescription drug pricing methodology. |
OSHA Needs to Better Address Complaints and Referrals for Increased Worker Safety
Audit Report to OSHA, 02-23-001-10-105 issued on 03/06/2023
3 recommendations, of which 0 are closed
3 recommendations, of which 0 are closed
| Status | Rec. | Primary Agency Responsible | Implementing Agency (if different) | Monetary Findings | Recommendation |
|---|---|---|---|---|---|
| 001 | OSHA | $0 | We recommend the Assistant Secretary for Occupational Safety and Health: Modify the Field Operations Manual to include a policy for mandatory interviews of complainants and witnesses or document the rationale for lack thereof and provide training to Compliance Safety and Health Officers on the updated requirements. | ||
| 002 | OSHA | $0 | We recommend the Assistant Secretary for Occupational Safety and Health: Update the Field Operations Manual to require documented case file review and approvals by supervisors and provide training for Compliance Safety and Health Officers to ensure complete documentation of significant decisions and actions. | ||
| 003 | OSHA | $0 | We recommend the Assistant Secretary for Occupational Safety and Health: Establish controls and provide training of Field Operations Manual abatement certification and documentation requirements and create a monitoring process that is reviewed and approved by a supervisor. |
FY 2022 FISMA DOL Information Security Report: DOL’s Information Security Program Not Remaining Current with Security Requirements
Audit Report to OASAM, 23-23-001-07-725 issued on 02/10/2023
8 recommendations, of which 6 are closed
8 recommendations, of which 6 are closed
| Status | Rec. | Primary Agency Responsible | Implementing Agency (if different) | Monetary Findings | Recommendation |
|---|---|---|---|---|---|
| 001 | OASAM | $0 | Update DOL entity-wide and system-level security policies, procedures, and plans to comply with NIST SP 800-53, Rev. 5. | ||
| 005 | OASAM | $0 | Implement data loss prevention tools and alerts based on the results of agencies’ data exfiltration tests. |
COVID-19: OSHA’S Enforcement Activities Did Not Sufficiently Protect Workers from Pandemic Health Hazards
Audit Report to OSHA, 19-23-001-10-105 issued on 10/31/2022
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 |
|---|---|---|---|---|---|
| 002 | OSHA | $0 | We recommend the Assistant Secretary for Occupational Safety and Health: update guidance or policy to include supervisory review of inspection files to ensure they contain adequate support for the reasons regarding citation issuance decisions before closing inspections. | ||
| 003 | OSHA | $0 | We recommend the Assistant Secretary for Occupational Safety and Health: develop a plan for a future pandemic or epidemic to collaborate with external agencies on worksite case data and to use this data to maximize rapid response and enforcement actions in worksites. | ||
| 004 | OSHA | $0 | We recommend the Assistant Secretary for Occupational Safety and Health: as part of OSHA’s rulemaking on infectious diseases, require employersto notify all employees of all known positive cases of infectious diseases at the worksite. | ||
| 005 | OSHA | $0 | We recommend the Assistant Secretary for Occupational Safety and Health: develop and implement a tracking tool to ensure OSHA receives and reviews all items CSHOs request during inspections to ensure alleged hazards have been mitigated. |
COVID-19: ETA and States Did Not Protect Pandemic-Related UI Funds from Improper Payments Including Fraud or From Payment Delays
| Status | Rec. | Primary Agency Responsible | Implementing Agency (if different) | Monetary Findings | Recommendation |
|---|---|---|---|---|---|
| 001 | ETA | $0 | We recommend the Acting Assistant Secretary for Employment and Training: Use data collected from monitoring and BAM reports to identify the areas of highest improper payments including fraud and create a plan to prevent similar issues in future temporary UI benefit programs. | ||
| 003 | ETA | $0 | We recommend the Acting Assistant Secretary for Employment and Training: Work with NASWA to update the IDH Participant Agreement to require state to submit the results of their UI fraud investigations. | ||
| 004 | ETA | $0 | We recommend the Acting Assistant Secretary for Employment and Training: Work with NASWA to ensure the IDH cross matches are effective at preventing the types of fraud that were detected during the pandemic and regularly update using the results of state fraud investigations. |
Alert Memo: Potentially Fraudulent Unemployment Insurance Payments in High-Risk Areas Increased to $45.6 Billion
| Status | Rec. | Primary Agency Responsible | Implementing Agency (if different) | Monetary Findings | Recommendation |
|---|---|---|---|---|---|
| 001 | ETA | $0 | We recommend the Assistant Secretary of Employment and Training: Implement immediate measures to ensure SWAs are required to provide ongoing access to the OIG by amending its current guidance to require disclosures to the OIG for audits and investigations as necessary, mandatory, and without time limitation for the proper oversight of the UI program. | ||
| 002 | ETA | $29,581,490,253 | We recommend the Assistant Secretary of Employment and Training: Expedite OIG-related amendments to 20 C.F.R. § 603.6(a) to make ongoing disclosures of UI information to DOL OIG mandatory by expressly adding the U.S. Department of Labor, Office of Inspector General (including its agents and contractors) to the list of required disclosures that are necessary for the proper oversight of the UI program without distinction as to purpose (e.g., audits versus investigations). | ||
| 003 | ETA | $0 | We recommend the Assistant Secretary of Employment and Training: Expedite 603.5(i) to expressly make disclosures of UI information to federal officials for oversight, audits, and investigations of federal programs mandatory. |
COVID-19: To Protect Mission Critical Workers, OSHA Could Leverage Inspection Collaboration Opportunities With External Federal Agencies
Audit Report to OSHA, 19-22-003-10-105 issued on 03/31/2022
2 recommendations, of which 0 are closed
2 recommendations, of which 0 are closed
| Status | Rec. | Primary Agency Responsible | Implementing Agency (if different) | Monetary Findings | Recommendation |
|---|---|---|---|---|---|
| 001 | OSHA | $0 | We recommend the Assistant Secretary for Occupational Safety and Health develop an OSHA outreach plan to be activated during a large-scale safety and health crises such as the COVID-19 pandemic that (a) identifies external federal agencies with enforcement or oversight personnel who are active on worksites and (b) defines how OSHA will collaborate with those agencies. OSHA should consider incorporating into the plan: a process to identify and document highly visible, safety and health hazards for large-scale safety and health crises; a plan for how OSHA will conduct related outreach and training on those hazards and how to refer them to OSHA; and a tracking system for agency referrals and outcomes of those referrals, using that information to periodically inform the outreach plan on areas and types of guidance and training the agencies’ oversight and enforcement personnel need. | ||
| 002 | OSHA | $0 | We recommend the Assistant Secretary for Occupational Safety and Health explore mechanisms to enhance collaboration, such as MOUs or other written agreements using GAO’s seven key features for collaboration, and incorporate a process to utilize those mechanisms into the outreach plan. |
FY 2021 FISMA DOL Information Security Report: Information Security Continuous Monitoring Controls Remain Deficient
Audit Report to OASAM, 23-22-001-07-725 issued on 01/28/2022
18 recommendations, of which 16 are closed
18 recommendations, of which 16 are closed
| Status | Rec. | Primary Agency Responsible | Implementing Agency (if different) | Monetary Findings | Recommendation |
|---|---|---|---|---|---|
| 004 | OASAM | $0 | We recommend the CIO: Enforce DOL requirements for implementing, auditing, testing and documenting exceptions to baseline configurations. | ||
| 013 | OASAM | $0 | We recommend the CIO: Develop clear standards for the documentation of information security controls and enforce the adherence to these standards through OCIO monitoring processes for developing, reviewing and maintaining system security plans and documentation. |
COVID-19: Safety and Remote Learning Challenges Continue for Job Corps
| Status | Rec. | Primary Agency Responsible | Implementing Agency (if different) | Monetary Findings | Recommendation |
|---|---|---|---|---|---|
| 004 | ETA | $0 | We recommend the Acting Assistant Secretary for Employment and Training require Job Corps: Increase oversight of remote instructional programs to ensure students receive the training and resources to complete their programs in a timely way. |
ETA did not Sufficiently Plan and Execute the American Apprenticeship Initiative Program
| Status | Rec. | Primary Agency Responsible | Implementing Agency (if different) | Monetary Findings | Recommendation |
|---|---|---|---|---|---|
| 002 | ETA | $0 | We recommend the Assistant Secretary for Employment and Training Administration develop standard operating procedures for discretionary grant programs, which include internal controls resulting in ETA: a. Identifying information needed from grantees for participant level data, quarterly reporting, or program evaluation, prior to submitting the information collection request to OMB; b. Having a complete system and supporting documentation (e.g., user guide, data dictionary, business rules) ready by day one of the grant program with appropriate system controls; c. Obtaining OMB approval numbers for any new information collections prior to collecting information from grantees, verifying the reporting system fields correlate to the approved OMB information collection request, and submitting violations timely to OMB; and d. Conducting compliance reviews prior to awarding grants; using the review results to change applicant scoring or include a condition of award in applicable grants; awarding each grant prior to or on the start of each grantee’s period of performance; and accurately reporting to the public on the grant program. | ||
| 007 | ETA | $0 | We recommend the Assistant Secretary for Employment and Training Administration establish internal controls to verify participant eligibility, verify submitted ETA Forms 671 (Program Registration and Apprenticeship Agreement) are the current OMB approved version and completed correctly, and encourage use of interim credentials when the form indicates a competency or hybrid model apprenticeship. |
COVID-19: The Pandemic Highlighted the Need to Strengthen Wage and Hour Division's Enforcement Controls
| Status | Rec. | Primary Agency Responsible | Implementing Agency (if different) | Monetary Findings | Recommendation |
|---|---|---|---|---|---|
| 002 | WHD | $0 | We recommend the Acting Administrator for the Wage and Hour Division develop a mechanism to enable the agency to determine how effective conciliations are at getting back wage payments to workers, and address any weaknesses identified in ensuring complainants received owed back wages prior to closing conciliations. | ||
| 003 | WHD | $0 | We recommend the Acting Administrator for the Wage and Hour Division update its policy for selecting a conclude reason in its database to require staff to use a reason that would allow WHD to determine the outcome of the conciliation. |
DOL’s IT Governance Lacked the Framework Necessary to Support the Overall Mission
Audit Report to OSEC, 23-21-002-01-001 issued on 09/30/2021
5 recommendations, of which 0 are closed
5 recommendations, of which 0 are closed
| Status | Rec. | Primary Agency Responsible | Implementing Agency (if different) | Monetary Findings | Recommendation |
|---|---|---|---|---|---|
| 001 | OSEC | $0 | We recommend the Deputy Secretary reorganize the CIO position to have a direct reporting relationship to the Deputy Secretary and independent of ASAM. | ||
| 002 | OSEC | $0 | We recommend the Deputy Secretary Ensure the CIO is a lead member with voting rights of DOL’s executive strategy and management boards and committees including but not limited to the MRB, ESS Governance Board, COVID-19 Coordination team, and ERMC. | ||
| 003 | OSEC | $0 | We recommend the Deputy Secretary reassess the incorporation of BLS and OCFO as part of IT Shared Services within 2021, and document the reasoning for the decision reached. | ||
| 004 | OSEC | $0 | We recommend the Deputy Secretary establish an MOU or other agreement between the OCIO and all departmental agencies to establish and state the roles and responsibilities of IT between each set of respective agencies. | ||
| 005 | OSEC | $0 | We recommend the Deputy Secretary codify the policies and procedures that define IT governance and key supporting IT elements. |
OSHA’s Diminished Enforcement Left More Workers At Risk For Exposure To Silica
Audit Report to OSHA, 02-21-003-10-105 issued on 09/29/2021
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 |
|---|---|---|---|---|---|
| 001 | OSHA | $0 | We recommend that the Acting Assistant Secretary for Occupational Safety and Health implement a policy for future emphasis programs, that minimizes the lapse in enforcement between canceled, revised or new programs. | ||
| 003 | OSHA | $0 | We recommend that the Acting Assistant Secretary for Occupational Safety and Health establish meaningful goals and processes to assess whether OSHA’s outreach events are achieving the desired results, in reaching a targeted number of workers at risk of exposure to silica. |
Unemployment Insurance Overpayments Related to Work Search Underscore the Need for More Consistent State Requirements
| Status | Rec. | Primary Agency Responsible | Implementing Agency (if different) | Monetary Findings | Recommendation |
|---|---|---|---|---|---|
| 002 | ETA | $0 | We recommend the following to the Principal Deputy Assistant Secretary of Employment and Training: Examine the effectiveness of Benefit Accuracy Measurement’s contact verification process to ensure it reflects the current methods claimants use to seek work. | ||
| 003 | ETA | $0 | We recommend the following to the Principal Deputy Assistant Secretary of Employment and Training: Provide guidance to states notifying them that formal and informal warnings are not permissible under Federal work search law. | ||
| 004 | ETA | $0 | We recommend the following to the Principal Deputy Assistant Secretary of Employment and Training: Include in the UI improper payment estimate: (1) overpayments related to work search formal and informal warnings; and (2) payments to claimants who provide no or insufficient documentation to support eligibility with respect to work search, consistent with the Middle Class Tax Relief and Job Creation Act and OMB guidance that defines improper payments. |
Alert Memorandum: The Employment and Training Administration Needs to Issue Guidance to Ensure State Workforce Agencies Provide Requested Unemployment Insurance Data to the Office of Inspector General
| Status | Rec. | Primary Agency Responsible | Implementing Agency (if different) | Monetary Findings | Recommendation |
|---|---|---|---|---|---|
| 001 | ETA | $0 | We recommend the Principal Deputy Assistant Secretary of Employment and Training: Amend 20 CFR 603.5 and 603.6(a) through the rulemaking process to reinforce that UI information must be provided to DOL OIG for all IG engagements authorized under the IG Act, including audits, evaluations, and investigations. | ||
| 002 | ETA | $0 | We recommend the Principal Deputy Assistant Secretary of Employment and Training: Issue a new UIPL within 15 days of this memorandum to instruct SWAs that disclosure of information to the OIG for audits, evaluations, and investigations is mandatory without need for a subpoena, and that the OIG will notify SWAs directly of current and future information disclosure requirements, to include data elements. | ||
| 003 | ETA | $0 | We recommend the Principal Deputy Assistant Secretary of Employment and Training: Ensure the new UIPL guidance advises SWAs that they may not require the OIG to enter into data sharing agreements as a prerequisite to disclosure of information to the OIG for audits, consistent with the IG Act and federal law. |
Covid-19: States Struggled To Implement Cares Act Unemployment Insurance Programs
| Status | Rec. | Primary Agency Responsible | Implementing Agency (if different) | Monetary Findings | Recommendation |
|---|---|---|---|---|---|
| 002 | ETA | $33,745,677,576 | Continue to work with states to develop, operate, and maintain a modular set of technological capabilities to modernize the delivery of UI benefits that is sufficient to manage and process sudden spikes in claims volume during emergencies or high unemployment. | ||
| 003 | ETA | $0 | Assist states with claims, overpayment, and fraud reporting to create clear and accurate information. Then use the overpayment and fraud reporting to prioritize and assist states with fraud detection and recovery. |
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 1 are closed
10 recommendations, of which 1 are closed
| Status | Rec. | Primary Agency Responsible | Implementing Agency (if different) | Monetary Findings | Recommendation |
|---|---|---|---|---|---|
| 001 | MSHA | $0 | We recommend the Assistant Secretary for Mine Safety and Health: 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. | ||
| 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. |
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 3 are closed
4 recommendations, of which 3 are closed
| Status | Rec. | Primary Agency Responsible | Implementing Agency (if different) | Monetary Findings | Recommendation |
|---|---|---|---|---|---|
| 003 | OSHA | $0 | We recommend the 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. |
Alert Memorandum: The Employment and Training Administration (ETA) Needs to Ensure State Workforce Agencies (SWA) Implement Effective Unemployment Insurance Program Fraud Controls for High Risk Areas
| Status | Rec. | Primary Agency Responsible | Implementing Agency (if different) | Monetary Findings | Recommendation |
|---|---|---|---|---|---|
| 001 | ETA | $5,409,966,198 | We recommend the Principal Deputy Assistant Secretary of Employment and Training establish effective controls, in collaboration with SWAs, to mitigate fraud and other improper payments to ineligible claimants, including the areas identified in the memorandum: UI benefits paid to multi-state claimants, claimants who used the social security numbers of deceased individuals, potentially ineligible federal inmates, and claimants with suspicious email accounts. Effective controls will help prevent similar or greater amounts of fraud and allow those funds to be put to better use. | ||
| 002 | ETA | $0 | We recommend the Principal Deputy Assistant Secretary of Employment and Training work with Congress to establish legislation requiring SWAs to cross match high-risk areas, including the four areas identified in the memo. |
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 24 are closed
25 recommendations, of which 24 are closed
| Status | Rec. | Primary Agency Responsible | Implementing Agency (if different) | Monetary Findings | Recommendation |
|---|---|---|---|---|---|
| 011 | OASAM | $0 | Implement a process for approving deviations from established configuration settings. |
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 2 are closed
3 recommendations, of which 2 are closed
| Status | Rec. | Primary Agency Responsible | Implementing Agency (if different) | Monetary Findings | Recommendation |
|---|---|---|---|---|---|
| 003 | MSHA | $0 | Enhance its sampling program to increase the frequency of inspector samples where needed (e.g., by implementing a risk-based approach). |
DOL Needs To Do More To Secure Employees' Personally Identifiable Information in the Travel Management System
Audit Report to OCFO, 23-20-003-13-001 issued on 09/10/2020
2 recommendations, of which 0 are closed
2 recommendations, of which 0 are closed
| Status | Rec. | Primary Agency Responsible | Implementing Agency (if different) | Monetary Findings | Recommendation |
|---|---|---|---|---|---|
| 001 | OCFO | $0 | Establish and implement procedures to ensure E2 account management practices enforce DOL’s security policies. | ||
| 002 | OCFO | $0 | Establish and implement procedures to ensure E2 is managed in compliance with contractual security requirements and DOL computer security policies for contracted information systems. |
COVID-19: More Can Be Done to Mitigate Risk to Unemployment Compensation Under The CARES Act
| Status | Rec. | Primary Agency Responsible | Implementing Agency (if different) | Monetary Findings | Recommendation |
|---|---|---|---|---|---|
| 004 | ETA | $0 | Issue guidance directing states to provide routine access to state UI claimant data, in order to prevent and detect fraud. |
OFCCP Did Not Show It Adequately Enforced EEO Requirements on Federal Construction Contracts.
Audit Report to OFCCP, 04-20-001-14-001 issued on 03/27/2020
2 recommendations, of which 1 are closed
2 recommendations, of which 1 are closed
| Status | Rec. | Primary Agency Responsible | Implementing Agency (if different) | Monetary Findings | Recommendation |
|---|---|---|---|---|---|
| 002 | OFCCP | $0 | Update participation goals for minorities and females, and implement processes to keep all participation goals current. |
Review of the Occupational Safety and Health Administration's Referral to and Reclamation of Debt from the U.S. Department of the Treasury.
Audit Report to OSHA, 22-20-006-10-001 issued on 03/16/2020
4 recommendations, of which 3 are closed
4 recommendations, of which 3 are closed
| Status | Rec. | Primary Agency Responsible | Implementing Agency (if different) | Monetary Findings | Recommendation |
|---|---|---|---|---|---|
| 003 | OSHA | $0 | We recommend the Assistant Secretary for OSHA revise OSHA’s Debt Collection Procedures to comply with OMB Circular A-129. |
FY 2019 FISMA DOL Information Security Report Implementation of Security Tools Hindered by Insufficient Planning
Audit Report to OASAM, 23-20-002-07-725 issued on 12/23/2019
20 recommendations, of which 17 are closed
20 recommendations, of which 17 are closed
| Status | Rec. | Primary Agency Responsible | Implementing Agency (if different) | Monetary Findings | Recommendation |
|---|---|---|---|---|---|
| 005 | OASAM | $0 | Develop and implement performance metrics for configuration management. | ||
| 011 | OASAM | $0 | Finalize the implementation of the access control technologies. | ||
| 015 | OASAM | $0 | Implement data encryption configurations/solutions at the server level for data at rest for sensitive information (PII). |
MSHA Can Improve Its Pre-Assessment Conferencing Program
Audit Report to MSHA, 05-19-001-06-001 issued on 09/23/2019
9 recommendations, of which 0 are closed
9 recommendations, of which 0 are closed
| Status | Rec. | Primary Agency Responsible | Implementing Agency (if different) | Monetary Findings | Recommendation |
|---|---|---|---|---|---|
| 001 | MSHA | $0 | We recommend the Assistant Secretary for Mine Safety and Health provide training to Conference Litigation Representatives and district management on how to write specific supporting reasons for conference decisions in conference files and violation forms. | ||
| 002 | MSHA | $0 | We recommend the Assistant Secretary for Mine Safety and Health provide training to district management on how provide effective oversight over the pre-assessment conference program. The training should focus on reviewing the conference file and the system data for completeness and accuracy. Note: This recommendation applies to issues 1 (conference files) and 3 (system data). | ||
| 003 | MSHA | $0 | We recommend the Assistant Secretary for Mine Safety and Health review each district’s process to ensure Conference Litigation Representatives consistently, in a way that does not create embarrassment or conflict, communicate the reasons they modify or vacate violations with supervisors and issuing inspectors and participate in staff meetings and at district training sessions for inspection personnel. | ||
| 004 | MSHA | $0 | We recommend the Assistant Secretary for Mine Safety and Health develop MSHA Standardized Information System reports showing a summary of conference decisions that Conference Litigation Representatives can use as their monthly report and changes made to violation form attributes through conferencing decisions that MSHA can use to identify high-risk attributes and research the root causes for trends. | ||
| 005 | MSHA | $0 | We recommend the Assistant Secretary for Mine Safety and Health revise the Alternative Case Resolution Handbook to require districts to document reasons supporting conference decisions to uphold a violation. The reason for an uphold decision should explain why any new evidence presented by the operator at the conference did not persuade MSHA to change the violation. | ||
| 006 | MSHA | $0 | We recommend the Assistant Secretary for Mine Safety and Health revise the Alternative Case Resolution Handbook to clarify requirements for CLR monthly reporting. For example, the guidance should address the method(s) allowed and the minimum level of detail that CLRs should describe in the report. | ||
| 007 | MSHA | $0 | We recommend the Assistant Secretary for Mine Safety and Health provide training on how to populate MSHA’s Standardized Information System from the conference files and the importance of the importance of filling in all data fields. The training should focus on defining the required conferencing fields in MSIS to populate, identifying what documentation in the conference file to use when populating each field, and defining appropriate times to cancel a conference. | ||
| 008 | MSHA | $0 | We recommend the Assistant Secretary for Mine Safety and Health update MSHA’s Standardized Information System with two system controls that require users to populate all required fields and prevent personnel from entering dates in the wrong order. | ||
| 009 | MSHA | $0 | We recommend the Assistant Secretary for Mine Safety and Health perform periodic reviews of MSHA’s Standardized Information System data to ensure that districts are accurately populating it and marking conferences as completed in a timely manner. |
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 3 are closed
4 recommendations, of which 3 are closed
| Status | Rec. | Primary Agency Responsible | Implementing Agency (if different) | Monetary Findings | Recommendation |
|---|---|---|---|---|---|
| 001 | OSHA | $0 | We recommend that the Acting Assistant Secretary for Occupational Safety and Health develop formal guidance and train staff on how to detect and prevent underreporting of fatalities and severe injuries. |
MSHA Needs to Provide Better Oversight of Emergency Response Plans
Audit Report to MSHA, 05-17-002-06-001 issued on 03/31/2017
9 recommendations, of which 3 are closed
9 recommendations, of which 3 are closed
| Status | Rec. | Primary Agency Responsible | Implementing Agency (if different) | Monetary Findings | Recommendation |
|---|---|---|---|---|---|
| 001a | MSHA | $0 | We recommend the Deputy Assistant Secretary for Mine Safety and Health reissue PPL P16-V-01 to clarify the mine operators’ responsibility for local coordination under the MINER Act. The revision should inform mine operators to insert language in their ERP referencing the call lists posted at the mine if the ERP does not include them. | ||
| 001b | MSHA | $0 | We recommend the Deputy Assistant Secretary for Mine Safety and Health reissue PPL P16-V-01 to clarify the mine operators’ responsibility for local coordination under the MINER Act. The revision should clarify how a mine operator establishes procedures for coordination and communication between the operator, mine rescue teams, and local emergency response personnel and makes provisions for familiarizing local rescue personnel with surface functions that may be required in the course of mine rescue work. | ||
| 002 | MSHA | $0 | Maintain an ERP review checklist on MSHA’s website that is updated when requirements change. | ||
| 003 | MSHA | $0 | Standardize the ERP review and approval processes and tools across MSHA districts. At minimum, the procedures should specify the a. type of reviews (specialist and/or inspector) the districts should be completing and the frequency for each type of review, b. steps the reviewer should take for a specialist review versus an inspector review and the tools (e.g., standardized review checklist) to use during each review, and c. dates (e.g., Date Received and Decision Date) to enter into the tracking system and instructions on where to obtain each date. | ||
| 004 | MSHA | $0 | Issue additional guidance and provide refresher training on how to enter ERP data into the tracking system and use the tracking system to provide oversight. | ||
| 005 | MSHA | $0 | Implement a process for headquarters and district personnel to manage the ERP program more effectively by periodically (e.g., quarterly or semi-annually) reviewing reports from the tracking system. | ||
| 009 | MSHA | $0 | Issue regulations or guidance to make mine operators aware of tools currently available on MSHA’s website they can use when developing their ERPs and clarify when mine operators should submit an ERP and whether mine operators can exclude certain information from the ERP. |
EBSA Did Not Have the Ability to Protect the Estimated 79 Million Plan Participants in Self-Insured Health Plans from Improper Denials of Health Claims
Audit Report to EBSA, 05-17-001-12-121 issued on 11/18/2016
5 recommendations, of which 4 are closed
5 recommendations, of which 4 are closed
| Status | Rec. | Primary Agency Responsible | Implementing Agency (if different) | Monetary Findings | Recommendation |
|---|---|---|---|---|---|
| 001 | EBSA | $0 | We recommend the Assistant Secretary for Employee Benefits Security reduce or eliminate exemption thresholds for small plans. |
FISMA FISCAL YEAR 2015: Ongoing Security Deficiencies Exist
Audit Report to OASAM, 23-16-002-07-725 issued on 09/30/2016
2 recommendations, of which 1 are closed
2 recommendations, of which 1 are closed
| Status | Rec. | Primary Agency Responsible | Implementing Agency (if different) | Monetary Findings | Recommendation |
|---|---|---|---|---|---|
| 01 | OASAM | $0 | This recommendation contains sensitive information and will not be posted. |
Limited-Scope Audits Provide Inadequate Protections to Retirement Plan Participants
Audit Report to EBSA, 05-14-005-12-121 issued on 09/30/2014
5 recommendations, of which 4 are closed
5 recommendations, of which 4 are closed
| Status | Rec. | Primary Agency Responsible | Implementing Agency (if different) | Monetary Findings | Recommendation |
|---|---|---|---|---|---|
| 002 | EBSA | $0 | We recommend the Assistant Secretary for Employee Benefits Security provide additional formal guidance to plan administrators to identify and adequately support the fair value of plan assets. |
