WORKFORCE 

INNOVATION AND 

OPPORTUNITY ACT

Federal Agencies' 

Collaboration 

Generally Reflected 

Leading Practices, but 

Could Be Enhanced

Report to the Ranking Member, 

Committee on Health, Education, 

Labor and Pensions, U.S. Senate

February 2018

GAO-18-171

United States Government Accountability Office
United States Government Accountability Office

Highlights of GAO-18-171, a report to the 

Ranking Member, Committee on Health, 

Education, Labor and Pensions, U.S. Senate

February 2018

WORKFORCE INNOVATION AND 

OPPORTUNITY ACT

Federal Agencies’ Collaboration Generally Reflected 

Leading Practices, but Could Be Enhanced

What GAO Found

Federal agencies’ efforts to implement Workforce Innovation and Opportunity Act 

(WIOA) requirements related to regulations, program performance, and state 

planning aligned with most of the leading collaboration practices that GAO 

identified in its prior work, but could be enhanced in two areas. Officials from the 

Departments of Labor (DOL), Education (Education), and Health and Human 

Services (HHS) reported having taken actions consistent with five of seven 

leading collaboration practices (see table). 

Table: Examples of Federal Agencies’ Actions That Were Consistent with GAO’s Identified 

Leading Collaboration Practices

Leading 

Collaboration 

Practices

Examples of Actions Taken by the Departments of Labor (DOL), 

Education (Education), and Health and Human Services (HHS) to 

Implement the Workforce Innovation and Opportunity Act (WIOA)

Defining 

Outcomes and 

Accountability

Implemented outcomes and time frames required by WIOA by establishing 

interim outcomes and deadlines. The agencies also identified additional 

outcomes and tracked their progress, for example, by developing work 

plans with deadlines for specific tasks.

Bridging 

Organizational 

Cultures

Shared information about differences across agencies in programs and 

processes. For example, identified each agency’s existing process for 

reviewing and approving state plans before developing a joint process.

Establishing 

and Sustaining 

Leadership 

Shared leadership of the collaboration by identifying a senior leader from 

each agency and workgroup co-chairs from each agency. These workgroup 

leadership roles are generally a core job responsibility. 

Clarifying Roles 

and 

Responsibilities 

Developed a collaboration structure, including roles and responsibilities of 

interagency workgroups, and a joint decision-making process involving 

senior leaders from each agency.

Including 

Relevant 

Participants

Involved relevant participants from DOL, Education, HHS, and other 

agencies as needed. Participants committed staff resources to help carry 

out interagency workgroup activities.

Source: GAO and analysis of information from DOL, Education, and HHS officials. | GAO-18-171

However, GAO noted that the agencies’ efforts could be enhanced in two areas:

Resources. The agencies have leveraged various resources, but have not fully

identified the resources needed to address technology challenges. Online 

collaboration tools could help address these challenges, and officials said they 

have used them to a limited extent based on their business needs. DOL and 

Education officials said the agencies are exploring options for using online tools

to a greater extent, but have not fully identified their technology needs or which 

tools would best meet these needs. Without doing so, the agencies may be 

missing opportunities to collaborate more efficiently and effectively.

Written agreements. The agencies have not formally documented their 

agreements about how they are collaborating or sharing resources. Officials said 

they have not formally documented their agreements because they believed it 

was not necessary, and they faced time constraints. However, the agencies have 

experienced turnover among senior officials, and without documentation of how 

they are collaborating, it may take longer for newly appointed officials to become 

familiar with and implement collaboration efforts. In addition, without 

documenting decisions about how they share resources, the agencies may be 

missing opportunities to assess whether their approach could be enhanced.

View GAO-18-171. For more information, 

contact Cindy Brown Barnes, (202) 512-7215, 

brownbarnesc@gao.gov.

Why GAO Did This Study

WIOA was enacted in 2014 and

requires DOL, Education, and HHS to 

collaborate on an ongoing basis to 

implement the law. WIOA requirements 

involving interagency collaboration

include issuing regulations, developing 

a common performance system, and 

overseeing state planning. In prior 

work, GAO identified leading practices 

that can enhance and sustain federal 

collaborative efforts. Given the ongoing 

collaboration required by WIOA, GAO 

was asked to review the collaborative 

approaches the agencies have used to 

implement the law.

This report examines the extent to 

which federal agencies’ efforts to 

implement certain WIOA requirements 

have aligned with leading collaboration 

practices.

GAO reviewed relevant federal laws, 

regulations, and guidance. GAO also 

interviewed officials from DOL, 

Education, and HHS who led the 

overall collaboration effort, gathered 

information from interagency 

workgroups, and reviewed relevant 

documentation. In addition, GAO

interviewed Office of Management and 

Budget staff regarding their role in this 

collaboration. GAO assessed the 

agencies’ efforts against leading 

collaboration practices and federal 

internal control standards. 

What GAO Recommends

GAO is making 6 recommendations to 

DOL, Education, and HHS to better 

address their resource needs and 

document their agreements. HHS 

agreed with GAO’s recommendations. 

DOL and Education neither agreed nor 

disagreed but planned to take actions 

to address the recommendations.
Page i GAO-18-171 Workforce Innovation and Opportunity Act

Letter 1

Background 4

Federal Agencies’ Collaboration Has Generally Aligned with 

Leading Practices, but Agencies Have Not Fully Identified 

Resource Needs or Documented Agreements 8

Conclusions 20

Recommendations for Executive Action 21

Agency Comments and Our Evaluation 23

Appendix I Interagency Groups for Implementing the Workforce Innovation 

and Opportunity Act 25

Appendix II Comments from the Department of Labor 27

Appendix III Comments from the Department of Education 29

Appendix IV Comments from the Department of Health and Human Services 31

Appendix V GAO Contact and Staff Acknowledgments 33

Related GAO Products 34

Table

Table 1: Interagency Groups Used by the Departments of Labor 

(DOL), Education (Education), and Health and Human 

Services (HHS) to Implement the Workforce Innovation 

and Opportunity Act (WIOA) 25

Figures

Figure 1: Implementation Timeline for Certain Workforce 

Innovation and Opportunity Act (WIOA) Requirements 5

Contents
Page ii GAO-18-171 Workforce Innovation and Opportunity Act

Figure 2: Key Features and Considerations for Implementing 

Interagency Collaborative Mechanisms 7

Figure 3: Collaboration Structure Created by the Departments of 

Labor (DOL), Education (Education), and Health and 

Human Services (HHS) to Implement the Workforce 

Innovation and Opportunity Act (WIOA) 13

Abbreviations 

DOL Department of Labor

Education Department of Education

HHS Department of Health and Human Services

ICR information collection request

OMB Office of Management and Budget

TANF Temporary Assistance for Needy Families

WIOA Workforce Innovation and Opportunity Act

This is a work of the U.S. government and is not subject to copyright protection in the 

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Page 1 GAO-18-171 Workforce Innovation and Opportunity Act

441 G St. N.W.

Washington, DC 20548

February 8, 2018

The Honorable Patty Murray

Ranking Member

Committee on Health, Education, Labor and Pensions

United States Senate

Dear Senator Murray:

The Workforce Innovation and Opportunity Act (WIOA) requires federal 

agencies to collaborate to implement programs serving jobseekers and 

employers.1 Enacted in July 2014, WIOA emphasizes the alignment and

integration of workforce programs, which are administered primarily by 

the Departments of Labor (DOL) and Education (Education), with support 

from the Department of Health and Human Services (HHS) and other 

partner agencies.2 These programs provide education and training 

services that help jobseekers obtain employment and advance in the 

labor market, including job search assistance, career counseling, and a 

variety of occupational skills, classroom, and on-the-job training. In 

addition, WIOA emphasizes that employers are also customers of the 

workforce system, and includes provisions that involve them in helping 

the system provide the skilled workers they need. WIOA requires DOL, 

Education, and HHS to work together in various ways to implement the 

law, including issuing regulations, developing a common performance 

accountability system, and overseeing state workforce development 

 1

Workforce Innovation and Opportunity Act, Pub. L. No. 113-128, 128 Stat. 1425 (2014) 

(codified as amended at 29 U.S.C. § 3101 et seq.). 

2

WIOA designated six programs as core and established common performance measures 

for them. Four of these programs are administered by DOL: Title I Adult, Title I Dislocated 

Worker, Title I Youth, and Wagner-Peyser Employment Services. Two of these programs 

are administered by Education: Adult Education and Family Literacy Act, and State 

Vocational Rehabilitation Services (Vocational Rehabilitation). 

Letter
Page 2 GAO-18-171 Workforce Innovation and Opportunity Act

planning.3 According to agency officials, these three areas were the 

primary focus of their collaboration after WIOA was enacted and they said 

they had completed most of the actions needed to implement them by 

summer 2016.

Beyond these initial efforts, WIOA requires ongoing collaboration among 

DOL, Education, and HHS to oversee the full implementation of the law. 

For example, WIOA requires DOL and Education to collaborate on an 

ongoing basis to review updates to state plans every 2 years, approve 

any modifications, and approve new state plans every 4 years.4 Further, 

WIOA encourages DOL, Education, HHS, and other relevant federal 

agencies to conduct program research and evaluation. In our prior work, 

we have identified leading practices that can help enhance and sustain 

federal collaborative efforts.5 We have also determined, as part of our 

prior work, that collaborations experience common challenges, including 

using resources such as staff, funding, and technology.6

In light of the ongoing collaboration required by WIOA, you asked us to 

examine the approaches the federal agencies have used to foster their 

collaborative efforts to implement the law. This report examines the extent 

to which federal agencies’ efforts to implement WIOA requirements 

 3

State workforce development plans must include planning for the six programs 

designated as core by WIOA, and may also include planning for one or more additional 

programs and activities. For ease of reference, we refer to WIOA “Unified State plans” and 

“Combined State plans” collectively as “state workforce development plans.” 29 U.S.C. § 

3112-13. Further, we refer to these additional programs and activities as “other partner 

programs” throughout this report. The other partner programs include the Temporary 

Assistance for Needy Families (TANF) program, which is administered by HHS. 

Furthermore, WIOA requires TANF services to be available at one-stop centers—also 

known as American Job Centers—that provide workforce services, although state 

governors may opt out of this requirement.

4

WIOA also requires HHS to review and approve the relevant portions of state plans when 

they include TANF as a partner program. 

5

See GAO, Managing for Results: Key Considerations for Implementing Interagency 

Collaborative Mechanisms, GAO-12-1022 (Washington, D.C.: Sept. 27, 2012). Many of 

the key features and considerations we identified in GAO-12-1022 align with the key 

collaboration practices we identified in GAO, Results-Oriented Government: Practices 

That Can Help Enhance and Sustain Collaboration among Federal Agencies, GAO-06-15 

(Washington, D.C.: Oct. 21, 2005). Also see GAO, Managing for Results: Implementation 

Approaches Used to Enhance Collaboration in Interagency Groups, GAO-14-220 

(Washington, D.C.: Feb. 14, 2014). For a complete list of our relevant previous work, see 

the Related GAO Products page at the end of this report.

6

GAO-14-220. 
Page 3 GAO-18-171 Workforce Innovation and Opportunity Act

related to regulations, program performance, and state planning have 

aligned with leading collaboration practices.

To address this objective, we reviewed relevant federal laws, regulations, 

and guidance. In addition, we interviewed senior DOL and Education 

officials at the Assistant Secretary level, and other senior Education and 

HHS officials who served as key leaders in this interagency collaboration 

from 2014 to 2016.7 We also obtained information, through interviews or 

written responses, from five interagency groups identified by 

knowledgeable agency officials as integral to developing WIOA 

regulations, developing a common performance accountability system, or 

providing guidance and oversight related to state planning. These groups 

are the (1) Coordinating Committee, (2) Regulations Workgroup, (3) 

Performance Workgroup, (4) One-Stop Workgroup, and (5) State Plan 

Workgroup.8 Additionally, we obtained information, through interviews or 

written responses, from the Joint Technical Assistance and 

Communication Workgroup and the Shared Monitoring Workgroup, which 

were identified by knowledgeable agency officials as integral to ongoing 

efforts to oversee the full implementation of WIOA.9 (For a description of 

the role of each workgroup, see appendix I). To corroborate information 

from interviews and written responses, we reviewed relevant agency 

documentation such as meeting agendas, work plans, and tracking tools. 

Furthermore, we interviewed Office of Management and Budget (OMB) 

staff to obtain information on (1) their role in this effort, and (2) the OMB 

MAX Federal Community website, which federal agencies can use to 

share information. Lastly, we assessed the agencies’ collaborative efforts 

against the leading practices for interagency collaboration that we have 

identified in our prior work, as well as related federal internal control 

standards.10

 7

Most of these senior officials were politically appointed, and the presidential 

administration changed in January 2017. Non-termed political appointees are typically 

asked to leave their positions when a presidential administration changes. As of October 

2017, the positions held by these senior officials at DOL and Education were vacant.

8

The Regulations Workgroup was discontinued in August 2016 after the WIOA regulations 

were issued, but the other four groups are ongoing, according to agency officials.

9

We also obtained some information on the purpose and membership of three other 

interagency workgroups: the Career Pathways Workgroup, Evaluation Workgroup, and 

Youth Workgroup. 

10GAO-12-1022, GAO-06-15, GAO-14-220, and GAO, Standards for Internal Control in 

the Federal Government, GAO-14-704G (Washington, D.C.: September 2014). 
Page 4 GAO-18-171 Workforce Innovation and Opportunity Act

We conducted this performance audit from September 2016 to February 

2018 in accordance with generally accepted government auditing 

standards. Those standards require that we plan and perform the audit to 

obtain sufficient, appropriate evidence to provide a reasonable basis for 

our findings and conclusions based on our audit objectives. We believe 

that the evidence obtained provides a reasonable basis for our findings 

and conclusions based on our audit objectives.

WIOA required federal agencies to collaborate to implement a new 

framework for the workforce development system over the 2 years 

following its enactment in 2014.11 This framework included outcomes 

related to regulations, program performance, and state workforce 

development planning. Specifically, WIOA required:

• DOL, Education, and HHS, as appropriate, to develop joint regulations 

implementing WIOA;12

• DOL and Education to develop a common performance accountability 

system for the core programs to assess their effectiveness in 

achieving positive outcomes for individuals served by those programs, 

including a new measure of effectiveness in serving employers and 

definitions of the performance measures specified in the law;13 and

• DOL and Education to provide guidance to states on their workforce 

development plans, and review and approve these plans before they 

were implemented, including involving other federal agencies in the 

review process as needed.14

 11WIOA has a number of different requirements, some of which included statutory 

timelines for implementation, required ongoing collaboration, or both. For example, WIOA 

required DOL and Education to review and approve initial state workforce plans within two 

years of the date of enactment of the Act, and continue to review state workforce plans 

indefinitely, at least every four years. 29 U.S.C. § 3112-13. 

1229 U.S.C. § 3343(f). 

1329 U.S.C. § 3141. 

14When states also include planning for other partner programs, WIOA requires the 

agencies overseeing those programs to review and approve the relevant portions of the 

plan. For example, WIOA requires HHS to review and approve the relevant portions of 

state plans when they include TANF. 29 U.S.C. § 3112-13, 3343(a).

Background

WIOA Requirements and 

Implementation Timeline
Page 5 GAO-18-171 Workforce Innovation and Opportunity Act

According to officials and related documentation, by summer 2016, 

federal agencies had completed most of these requirements (see fig. 1).15

Figure 1: Implementation Timeline for Certain Workforce Innovation and 

Opportunity Act (WIOA) Requirements

a

To implement WIOA, DOL and Education issued five separate proposed regulations resulting in five 

separate final regulations. Each set of proposed and final regulations included one joint regulation 

issued by both agencies, one issued by DOL, and three issued by Education. DOL, Education, and 

HHS officials told us that HHS was involved in developing the joint regulation.

b

The other agencies were the Departments of Agriculture and Housing and Urban Development. 

State workforce development plans must include planning for the six programs designated as core by 

WIOA, which are administered by DOL and Education. States may also include planning for one or 

more additional programs and activities, including programs and activities administered by HHS and 

the Departments of Agriculture and Housing and Urban Development.

c

While the agencies announced the final regulations in June 2016 by posting them on their websites, 

the regulations were not published in the Federal Register until August 19, 2016.

 15According to officials, as of summer 2016, the agencies were still in the process of 

developing the performance measure on effectiveness in serving employers. In July 2016, 

the agencies began piloting three different approaches for measuring the effectiveness of 

the core programs in serving employers. As part of this pilot, the agencies asked states to 

select two of these three approaches and collect related data. In October 2017, officials 

told us they were in the process of evaluating the pilot and that states would begin 

reporting outcomes on this performance measure in October 2018. 
Page 6 GAO-18-171 Workforce Innovation and Opportunity Act

Beyond the initial 2-year period, WIOA requires ongoing collaboration 

among DOL, Education, and HHS to oversee the full implementation of 

the law. For instance, WIOA requires federal agencies to review updates 

to state plans every 2 years beginning in spring 2018. WIOA also requires 

federal agencies to approve new state plans every four years beginning in 

spring 2020. In addition, WIOA encourages federal agencies to 

collaborate to conduct program research and evaluation. Agency officials 

told us they also plan to continue their efforts to provide joint technical 

assistance and guidance to states and localities, and to collaborate to 

monitor state program performance.

In our prior work, we found that interagency collaborative mechanisms 

benefit from certain leading practices, or key features, which raise issues 

to consider when implementing these mechanisms. Specifically, we found 

that federal agencies have used a variety of mechanisms to carry out 

collaborative efforts, which all benefited from certain key features, such 

as bridging organizational cultures and clarity of roles and responsibilities 

(see fig. 2).16 These key features raise issues for agency officials to 

consider when working collaboratively. For example, agency officials 

should consider the missions and cultures of the participating agencies, 

whether the agencies have agreed on common terminology and 

definitions, and whether the agencies have clarified roles and 

responsibilities.

 16GAO-12-1022, GAO-06-15, and GAO-14-220.

Leading Practices for 

Interagency Collaboration
Page 7 GAO-18-171 Workforce Innovation and Opportunity Act

Figure 2: Key Features and Considerations for Implementing Interagency 

Collaborative Mechanisms

Our prior work has also identified specific approaches that interagency 

groups have used to address common challenges and implement key 

features related to outcomes and accountability, leadership, and 

resources.17 With respect to resources, for example, we identified several 

approaches, including (1) developing an inventory of resources dedicated 

to interagency outcomes, which can help identify and coordinate agency 

spending, and (2) leveraging related agency resources toward the group’s 

outcomes.

 17GAO-14-220.
Page 8 GAO-18-171 Workforce Innovation and Opportunity Act

Overall, we found that the agencies’ efforts to implement WIOA were 

aligned with five of the seven leading practices for interagency 

collaboration we have identified in our prior work.18 Specifically, the 

agencies’ efforts aligned with leading practices in the areas of (1) 

outcomes and accountability, (2) bridging organizational cultures, (3) 

leadership, (4) clarity of roles and responsibilities, and (5) participants. 

For example, consistent with the clarity of roles and responsibilities 

practice, the federal agencies developed a collaboration structure 

including politically-appointed leaders—or Principals—from each of the 

three agencies, a Coordinating Committee made up of career-level 

leaders from each agency, and nine interagency workgroups with specific 

roles and responsibilities.

 18GAO-12-1022, GAO-06-15, and GAO-14-220. 

Federal Agencies’

Collaboration Has 

Generally Aligned 

with Leading 

Practices, but 

Agencies Have Not 

Fully Identified 

Resource Needs or 

Documented 

Agreements

Federal Agencies’ Efforts 

Reflected Most of the 

Leading Collaboration 

Practices
Page 9 GAO-18-171 Workforce Innovation and Opportunity Act

Outcomes and Accountability

According to DOL, Education, and HHS officials, WIOA established key 

outcomes and time frames for the collaboration, and the agencies 

determined how to implement them within the relevant statutory time 

frames.19 Specifically, these officials said they worked jointly to identify 

interim outcomes, set related deadlines, and monitor progress for the 

agencies’ key outcomes—issuing regulations, developing a common 

performance system, and overseeing state planning. To accomplish this, 

each workgroup developed a work plan with deadlines for specific tasks. 

For example, State Plan Workgroup officials told us that they identified 

interim outcomes that they needed to accomplish before states could 

submit their plans to federal agencies, including developing the 

information collection request (ICR) containing the state plan 

requirements and planning guidance.20 These officials set deadlines for 

these interim outcomes based on the sequence in which they needed to 

occur. Similarly, DOL, Education, and HHS officials told us that the 

Regulations Workgroup also had a work plan with time frames and interim 

outcomes, and developed a day-to-day chart that officials used to brief 

the Principals and manage time frames during the last several months of 

the regulation development process. This chart included deadlines for 

sending drafts for legal review and deadlines for when legal reviews 

needed to be completed, among other key tasks. Furthermore, these 

officials said the Principals monitored the progress of the workgroups on 

key outcomes, and the agencies regularly communicated their progress 

on key outcomes with external parties, including congressional staff.

Officials from all three agencies told us that they also identified additional 

outcomes that they believed were needed to effectively implement the 

law. For example, the One-Stop Workgroup developed answers to 

frequently asked questions about funding infrastructure costs for 

American Job Centers that provide workforce services. The agencies also 

developed an existing portal on Education’s website to serve as a central 

location for states to submit their workforce development plans and for 

 19Implementation requirements and corresponding time frames can be found throughout 

WIOA. For instance, WIOA required DOL, Education, and HHS to develop and publish 

final implementing regulations not later than 18 months after the date of enactment of 

WIOA. 29 U.S.C. § 3343(f).

20Pursuant to the Paperwork Reduction Act, federal agencies collecting information from 

10 or more non-federal entities must comply with a number of statutory provisions, 

including submitting an ICR to the Director of the OMB for approval. 44 U.S.C. § 3507.

Key Issues to Consider 

• Have short-term and long-term outcomes 

been clearly defined? 

• Is there a way to track and monitor their 

progress?

Source: GAO. | GAO-18-171
Page 10 GAO-18-171 Workforce Innovation and Opportunity Act

federal agencies to review these plans. Furthermore, the agencies have 

provided joint technical assistance and guidance to states and localities 

through the Innovation and Opportunity Network website and through 

online webinars on various WIOA implementation topics.21 DOL, 

Education, and HHS officials said they tracked progress on these 

additional outcomes using the same approach they used to track required 

outcomes.

Bridging Organizational Cultures

DOL, Education, and HHS officials said that learning about differences in 

each agency’s culture, programs, and processes was important to 

accomplishing their outcomes related to WIOA. Early in the collaboration, 

they held an interagency retreat at DOL to help facilitate knowledge 

sharing about program services and structures, as well as agency 

processes. They said that they continued this learning process in the 

interagency workgroups. Furthermore, these officials told us that this 

learning process helped develop their commitment to the collaboration. 

These officials explained that, as they became more familiar with other 

agencies’ programs, they developed a genuine commitment to working 

collaboratively. One senior official noted that the high level of commitment 

among the partner agencies set this collaboration apart from other 

collaborative efforts in which he has previously participated.

Officials from the three agencies told us that they shared information 

about differences between program requirements, with respect to 

services, participants, and program structures. For example, Education 

officials shared information about the continuum of services provided by 

the Vocational Rehabilitation program, which includes determining 

eligibility, developing individualized employment plans, and helping 

individuals with disabilities obtain employment.22 Officials explained that 

this differs from some workforce programs, which may provide services to 

participants over a shorter period of time. In addition, officials told us that 

they shared information about the characteristics of program participants, 

which led them to realize that their programs may potentially be providing 

different services to the same participants at different points in time.

Furthermore, officials said they learned that DOL has a regional structure 

for administering its programs, while Education’s structure is primarily 

 21For the Innovation and Opportunity Network website, see https://ion.workforcegps.org. 

22Education provides grants to states to administer the Vocational Rehabilitation program.

Key Issues to Consider

• What are the missions and organizational 

cultures of the participating agencies?

• Have agencies agreed on common 

terminology and definitions?

Source: GAO. | GAO-18-171
Page 11 GAO-18-171 Workforce Innovation and Opportunity Act

state-based. Officials told us they bridged this difference by deciding that 

DOL would use its regional structure to communicate with states about 

WIOA implementation issues, while Education would use its state 

liaisons.

DOL, Education, and HHS officials said they also shared information 

about differences at the agency level, with respect to processes for 

approving state plans and clearing documents. Prior to WIOA, states 

submitted separate plans to DOL, Education, and HHS for the programs 

administered by each agency. In contrast, under WIOA, states are 

required to develop one plan that includes the six core DOL and 

Education programs, and may also include other programs, such as 

HHS’s TANF program. WIOA requires DOL and Education to review and 

approve these plans, and also requires HHS to review and approve them 

when they include TANF. As a result, the agencies must now coordinate 

their efforts to review and approve state plans. DOL, Education, and HHS 

officials said they first needed to learn more about each agency’s existing 

process for reviewing and approving these plans before they could 

develop a joint interagency process for reviewing and approving them 

under WIOA. For example, DOL and Education had different levels of 

communication with states prior to approving these plans. In addition, due 

to the different nature of its review process, HHS used different 

terminology than DOL and Education to indicate that state plans met 

federal requirements. The role of the officials who approved the state 

plans was also different across agencies and programs. Furthermore, in 

order to issue joint guidance and regulations, officials said they needed to 

learn about differences in each agency’s processes for clearing 

documents before they are shared outside the agency. For example, 

officials told us that the Coordinating Committee helped the agencies 

navigate differences in their clearance processes by connecting the lead 

regulatory officials at Education with those officials at DOL.

Leadership

The agencies have shared leadership of the WIOA collaboration by 

identifying Principals, Coordinating Committee co-chairs, and workgroup 

co-chairs from each agency. In the first two years of the collaboration, the 

Principals included Assistant Secretaries from DOL and Education, the 

Director of HHS’s Office of Family Assistance, and the Commissioner of 

Key Issues to Consider

• If leadership is shared, have roles and 

responsibilities been clearly identified and 

agreed upon?

• How will leadership be sustained over the 

long term?

Source: GAO. | GAO-18-171
Page 12 GAO-18-171 Workforce Innovation and Opportunity Act

Education’s Rehabilitation Services Administration.23 Most of these 

Principals were politically appointed and left their positions by January 

2017 due to the change in presidential administrations. Since then, 

officials told us that Deputy Assistant Secretaries or other senior, careerlevel officials have assumed the role of those Principals, and have held

monthly meetings. The agencies have also shared leadership of the 

Coordinating Committee and the workgroups by identifying co-chairs 

representing each of the three agencies, with the exception of the 

Performance Workgroup, which is co-chaired by DOL and Education 

officials. HHS officials explained that they were not members of this 

workgroup because the WIOA common performance measures do not 

affect HHS programs.24

The agencies plan to sustain leadership of the collaboration over the long 

term by maintaining key relationships across agencies and filling careerlevel leadership positions when they become vacant. DOL, Education, 

and HHS officials said that career-level officials have developed the 

relationships across agencies that are needed to sustain the 

collaboration, and are dedicated to maintaining these relationships in the 

future. In addition, officials told us that co-chairing the workgroups is 

generally a core job responsibility for career-level officials. As a result, if 

these officials leave their positions, the officials hired to replace them 

would continue to lead the workgroups. According to officials, this 

approach has been successful in sustaining the leadership of the 

collaboration since WIOA was enacted.

Clarity of Roles and Responsibilities

As mentioned earlier, the federal agencies developed a collaboration 

structure initially headed by politically-appointed leaders, or Principals, 

from each of the three agencies who provided guidance and oversight to 

the entire group (see fig. 3). At the next level below the Principals, a 

Coordinating Committee made up of career-level leaders from each 

agency acted as a liaison between nine interagency workgroups and the 

Principals, and developed and monitored timelines for accomplishing 

outcomes. The nine workgroups performed a wide range of duties that 

 23Officials told us that the Assistant Secretary of HHS’s Administration for Children and 

Families delegated this responsibility to the Director of the Office of Family Assistance, 

which oversees the TANF program. 

24The WIOA common performance measures are statutorily required for the six core 

programs administered by DOL and Education, and are not required for HHS programs.

Key Issues to Consider

• Have participating agencies clarified roles 

and responsibilities?

• Have participating agencies articulated 

and agreed to a process for making and 

enforcing decisions?

Source: GAO. | GAO-18-171
Page 13 GAO-18-171 Workforce Innovation and Opportunity Act

helped to implement the WIOA requirements of issuing regulations, 

developing a common performance system, and implementing and 

overseeing state planning. Each workgroup had specific roles and 

responsibilities in carrying out the work of the collaboration. (For a 

description of the role of each workgroup, see appendix I). For example, 

the Performance Workgroup is responsible for overseeing the 

implementation of WIOA provisions related to program performance, 

including developing regulations and reporting requirements, and 

providing guidance and technical assistance to states and localities. In 

addition, three workgroups coordinated across the other workgroups to 

accomplish their outcomes. These workgroups are the 1) Joint Technical 

Assistance and Communication Workgroup, 2) Regulations Workgroup, 

and 3) Shared Monitoring Workgroup. For example, the Joint Technical 

Assistance and Communication Workgroup coordinated the technical 

assistance provided by the other workgroups and shared information 

about this assistance with states and localities.

Figure 3: Collaboration Structure Created by the Departments of Labor (DOL), Education (Education), and Health and Human 

Services (HHS) to Implement the Workforce Innovation and Opportunity Act (WIOA)

According to officials, this collaboration structure facilitated joint decisionmaking. Specifically, as the leaders of the collaboration, the Principals 

made joint decisions that resulted in shared outcomes. For example, 

officials told us that the Principals decided that the agencies would submit 

one joint draft regulation to OMB instead of submitting a separate draft 
Page 14 GAO-18-171 Workforce Innovation and Opportunity Act

from each agency.25 In addition, officials said the interagency workgroups 

sought guidance and approval from the Principals on key decisions, 

which was facilitated by the Coordinating Committee. The workgroups 

developed issue papers outlining options for the Principals’ consideration, 

and the Coordinating Committee prioritized these issues and determined 

when they would be elevated to the Principals for discussion. For 

example, the Performance Workgroup used issue papers to seek 

guidance on drafting policy and to seek approval for the definition of each 

performance measure.

Participants

Officials from the four workgroups we interviewed told us that they 

involved all relevant participants in the WIOA collaboration by seeking 

members who represented the relevant DOL, Education, and HHS 

programs, and by involving officials from other agencies and subject 

matter experts, as needed. For example, State Plan Workgroup members 

included DOL and Education officials who represented the six core 

programs, as well as HHS officials who represented the TANF program, 

which states may include as a partner program in their workforce 

development plans. In addition, the workgroup included members from 

the Departments of Agriculture and Housing and Urban Development who 

oversaw other partner programs. Furthermore, all four workgroups 

involved experts on particular topics. For example, the Joint Technical 

Assistance and Communication Workgroup involved staff who were 

responsible for technical assistance activities in their agencies. In 

addition, the One-Stop Workgroup involved staff with legal expertise, and 

the Performance Workgroup consulted with staff from DOL’s Chief 

Evaluation Office. Officials from all four workgroups told us that 

workgroup members were able to commit resources for their agencies, 

primarily staff resources, to help carry out workgroup activities.

DOL, Education, and HHS officials said they involved OMB staff 

throughout the process of developing WIOA regulations. For example, 

these officials told us that they reached out to OMB early in this process 

to identify the areas that OMB staff viewed as important. These officials 

also consulted OMB while they were drafting the proposed and final 

regulations, and noted that OMB staff were always willing to review drafts 

before the agencies submitted the final regulations package. These 

 25As previously noted, the five WIOA regulations published in August 2016 included one 

regulation that was jointly developed by DOL, Education, and HHS.

Key Issues to Consider

• Have all relevant participants been 

included?

• Do they have the ability to commit 

resources for their agency?

Source: GAO. | GAO-18-171
Page 15 GAO-18-171 Workforce Innovation and Opportunity Act

officials noted that they had similar interactions with OMB regarding other 

documents that required OMB approval, including the ICR containing the 

state plan requirements and planning guidance. Officials said they believe 

their efforts to involve OMB throughout this process resulted in the draft 

regulations moving more quickly through the OMB review process than 

they would have otherwise. They added that they also consulted with 

other staff from the Executive Office of the President, and typically met 

with them together with OMB.

Resources

Although their efforts reflected most of the leading collaboration practices, 

the agencies have not fully identified the resources needed to address the 

technology challenges they have experienced. Specifically, officials from 

all four workgroups we interviewed told us that the collaboration could be 

enhanced by addressing technology challenges so they can more easily 

develop joint documents across agencies. Our prior work found that a 

leading collaboration practice is to identify and address needs by 

leveraging resources, including staff, funding, and information technology 

resources.26 As part of this practice, agencies should identify the various 

resources needed to sustain their collaborative effort.27

DOL, Education, and HHS officials told us that the agencies have found 

various ways to leverage resources to support their collaborative efforts. 

Specifically, all three agencies provided staff to help carry out this work. 

For example, officials told us that DOL reprioritized ongoing work in order 

to allow staff to contribute to interagency workgroup activities.28

Regarding agency funding, officials said DOL used flexibility in the line 

item appropriation for the Dislocated Worker National Reserve to support 

 26GAO-06-15, GAO-12-1022, and GAO-14-220. For example, we found that agencies 

have leveraged information technology resources by using online collaboration tools and 

developing information-sharing websites. 

27GAO-12-1022 and GAO-06-15. 

28Education and HHS officials noted that their agencies had fewer staff resources, so they 

were unable to redistribute ongoing work, and the staff who contributed to interagency 

workgroup activities did so in addition to their existing responsibilities.

Agencies Have Leveraged 

Some Resources, but 

Have Not Fully Identified 

Those Needed to Address 

Technology Challenges

Key Issues to Consider

• How will the collaborative mechanism be 

funded and staffed?

• Have online collaboration tools been 

developed?

Source: GAO. | GAO-18-171
Page 16 GAO-18-171 Workforce Innovation and Opportunity Act

WIOA technical assistance and transition activities.29 Furthermore, 

officials told us that all three agencies have used existing contracts to 

support collaborative efforts.30 With respect to information technology 

resources, officials said Education adapted an existing portal on its 

website to serve as a central location for submitting and reviewing state 

plans, as previously noted.31 In addition, the State Plan Workgroup used 

OMB’s MAX Federal Community website to develop and store joint 

documents and used Google Docs to plan and track the state plan review 

process. Officials noted that all of the interagency workgroups also used 

other information technology resources to carry out their work, including 

using video and other technologies to conduct meetings.

However, officials from all four workgroups we interviewed noted that they 

faced technology challenges, including developing joint documents and 

sharing calendars across agencies. Officials said they have primarily 

used Microsoft Word and email to create joint documents, and officials 

from two workgroups told us they experienced challenges editing these 

documents, for example, difficulties merging comments from different 

agencies and managing multiple versions. Officials also said that in one 

instance, due to technology limitations, they physically transported a 

document in order to obtain written signatures from officials at each of the 

three agencies. In addition, officials from one of the workgroups said they 

lacked a single repository for storing joint documents. Furthermore, 

officials from three of the workgroups told us that it was challenging to 

schedule meetings because they were unable to share calendars across 

agencies and they relied on email to coordinate many schedules. 

Although officials said that the agencies have been able to achieve their 

outcomes despite these technology challenges, they present 

opportunities for the agencies to enhance their collaboration as they 

continue to work together to review and approve state plans, provide joint 

technical assistance and guidance to states and localities, and monitor 

state program performance.

 29Specifically, officials told us that DOL’s Employment and Training Administration used 5 

percent of the line item appropriation for the Dislocated Worker National Reserve in 

program years 2015 and 2016 to support WIOA technical assistance and transition 

activities. 

30For example, DOL and Education officials told us that contract staff facilitated 

discussions and took notes to help the Joint Technical Assistance and Communication 

Workgroup analyze the technical assistance plans developed by the other workgroups. 

31Specifically, this portal was located on the Office of Special Education and Rehabilitative 

Services, Rehabilitation Service Administration’s website. 
Page 17 GAO-18-171 Workforce Innovation and Opportunity Act

Online collaboration tools currently available to agency officials—such as 

OMB’s MAX Federal Community website, Google Docs, and 

SharePoint—offer features that could help address technology 

challenges, but officials said they have used these tools to a limited 

extent. DOL, Education, and HHS officials said they weighed the value of 

these tools in the context of their business needs, such as the time frame 

in which they needed to accomplish their outcomes, and decided that it 

was not appropriate to use them to a greater extent at the time. In 

addition, officials told us that information security issues limited their use 

of certain online tools. For example, DOL and Education officials used 

SharePoint to develop documents internally, but officials said they were 

unable to use SharePoint across agencies for various reasons, including 

agency firewalls. Additionally, officials said they used Google Docs to 

share non-deliberative information related to the state plan review 

process, but did not use it to share deliberative information due to 

concerns that the information might not be sufficiently secure.

DOL and Education officials said their agencies are currently exploring 

options for using online collaboration tools to a greater extent, but the 

agencies have not fully identified their information technology needs or 

determined which tools would best meet these needs. As previously 

noted, collaborating agencies should identify the resources, including 

information technology resources, needed to sustain their collaborative 

effort.32 Specifically, officials said the agencies have not yet identified or 

prioritized their specific technical requirements, including information 

security needs, or conducted market research to determine which online 

tools would best meet these needs. We have previously found that 

identifying and prioritizing requirements, such as information security 

needs, is a critical factor in successfully acquiring information 

technology.33 For example, to successfully acquire the needed 

information technology, each collaborating agency would first have to 

identify its own technical requirements and information security needs, 

and then reach agreement with the other agencies on their joint 

requirements and needs.

In addition, according to federal internal control standards, agencies 

should design their information systems and related control activities to 

 32GAO-12-1022 and GAO-06-15. 

33GAO, Information Technology: Critical Factors Underlying Successful Major 

Acquisitions, GAO-12-7 (Washington, D.C.: Oct. 21, 2011).
Page 18 GAO-18-171 Workforce Innovation and Opportunity Act

achieve objectives and respond to risks.34 When acquiring information 

technology, these control activities may include documenting 

requirements. Moreover, we have reported that market research is a 

critical step in the acquisitions process.35 Conducting market research 

would allow the agencies to identify which online collaboration tools offer 

features such as document storage and the ability to share calendars 

across agencies. Conducting such research would also allow the 

agencies to determine whether the technical limitations they have 

experienced can be addressed, as well as which tools would best meet 

their information security needs. Without fully identifying their technology 

needs and leveraging their resources to address these needs, the 

agencies may be missing opportunities to collaborate more efficiently and 

effectively as they continue to develop joint documents such as planned 

cross-departmental guidance and monitoring tools.

Written Guidance and Agreements

DOL, Education, and HHS officials told us that the agencies have 

informally confirmed their collaborative agreements, but we found that 

they have not documented in writing their agreements about how the 

collaboration operates or how they share resources to support joint 

efforts. Our prior work found that formally documenting agreements is a 

leading collaboration practice that can strengthen agencies’ commitment 

to working together.36 These written agreements can address various 

aspects of collaboration, including leadership, roles, responsibilities, and 

resources. Specifically, officials told us that they have confirmed their 

interagency agreements through verbal discussions and work plans. 

However, officials said the agencies have not formally documented in

writing their agreements about the structure of the collaboration, the roles 

 34See GAO, Standards for Internal Control in the Federal Government, GAO-14-704G 

(Washington, D.C.: September 2014). 

35Market research is the process used to collect and analyze data about capabilities in the 

market that could satisfy an agency’s needs, and can include conducting outreach to 

vendors to determine the extent to which their products meet agency requirements. See 

GAO, Market Research: Better Documentation Needed to Inform Future Procurements at 

Selected Agencies, GAO-15-8 (Washington, D.C.: Oct. 9, 2014). 

36GAO-12-1022 and GAO-06-15. Specifically, we found that agencies can strengthen their 

commitment to working together by articulating their agreements in formal documents, 

such as a memorandum of understanding, interagency guidance, or an interagency 

planning document, signed by senior officials in the respective agencies.

Agencies Have Not 

Documented Agreements 

to Ensure Continuity of 

Collaborative Efforts

Key Issues to Consider

• If appropriate, have participating agencies 

documented their agreement regarding 

how they will be collaborating?

• Have they developed ways to continually 

update and monitor these agreements?

Source: GAO. | GAO-18-171
Page 19 GAO-18-171 Workforce Innovation and Opportunity Act

and responsibilities of each federal agency and workgroup, or the process 

for making decisions.37 In addition, officials told us that the agencies have 

not formally documented their agreement that they would use the existing 

portal on Education’s website, which is maintained by Education staff, to 

receive and review state plans.38 Officials also said the agencies have not 

formally documented their agreements regarding how they use existing 

contracts to support collaborative efforts.

DOL, Education, and HHS officials said they have not formally 

documented their agreements because they believed it was not 

necessary and they faced time constraints, but they would consider 

documenting them in the future under certain circumstances. Officials 

said they determined that it was not necessary to document their 

agreements, and doing so would have been burdensome and taken time 

away from accomplishing their outcomes under tight time frames. The 

officials said written agreements are not needed because the agencies 

are already committed to the collaboration, and are required by law and 

regulations to continue to work together to implement WIOA. With respect 

to agreements about sharing resources, officials generally said that 

documenting these agreements would only be necessary if the agencies 

combined funding from separate appropriations.39 Officials said they 

would consider combining funding from separate appropriations and 

documenting these agreements on a case by case basis. For example, 

officials said the agencies are exploring other options for the online portal 

they use to receive and review state plans, and would consider 

developing a written agreement if they decide to share related costs.

Documenting agreements about operations and resources is critical to 

ensuring continuity in collaborative efforts over time, in particular because 

two of the three agencies have experienced turnover in politically 

 37Although the previous section of this report includes a figure depicting the agencies’

collaboration structure, we developed this figure ourselves based on information we 

obtained through interviews with agency officials. Furthermore, officials provided us with 

information about the content of their informal collaborative agreements, but this 

information did not constitute a formal written interagency agreement that existed prior to 

our review.

38Officials noted that the use of Education’s online portal was considered an interim 

strategy and they are continuing to explore a longer term strategy. 

39In one interview, some officials said it would be helpful to document the agencies’

agreement regarding the funding for and location of the online portal for receiving and 

reviewing state plans. 
Page 20 GAO-18-171 Workforce Innovation and Opportunity Act

appointed senior officials. According to federal internal control standards, 

agencies should use methods such as written documentation to internally 

and externally communicate the information needed to achieve their 

objectives.40 Internal control standards also note that documentation 

provides a way to retain organizational knowledge and mitigate the risk of 

having that knowledge limited to a few officials.41 As of October 2017, the 

positions held by the political appointees who initially led the collaboration 

at DOL and Education were vacant. Our prior work found that transitions 

in leadership can weaken the effectiveness of any collaborative 

mechanism.42 Without documentation of how the collaboration operates, it 

may take longer for newly appointed senior officials to become familiar 

with and continue to make progress in implementing the collaboration.

In addition, without documenting decisions about how they share 

resources, such as the online state plan portal and related staff 

resources, as well as existing contracts, the agencies may be missing 

opportunities to identify the resources contributed by each agency. For 

example, we have previously reported that federal agencies have used 

resource inventories to better understand the range of resources 

dedicated to interagency outcomes, which can help identify and 

coordinate agency spending.43 The agencies may also be missing 

opportunities to assess whether their approach to sharing resources 

could be enhanced, including whether it is sustainable on an ongoing 

basis. For example, the agencies could use written agreements to 

communicate key resource decisions to agency leadership and to serve 

as a starting point for revisiting these decisions in the future.

Over a relatively short time period, DOL, Education, and HHS officials 

implemented a new framework for the workforce development system 

under WIOA. This effort was substantial and required an unprecedented 

level of coordination among these agencies across two presidential 

administrations. Furthermore, the agencies’ efforts to accomplish these 

outcomes reflected many leading collaboration practices. In particular, the 

collaboration structure they established has played a critical role in 

 40GAO-14-704G. 

41GAO-14-704G. 

42GAO-12-1022. 

43GAO-14-220. 

Conclusions
Page 21 GAO-18-171 Workforce Innovation and Opportunity Act

facilitating cross-program learning and decision-making, and will likely 

position them well as they continue working together to oversee the full 

implementation of WIOA.

However, the agencies have not fully identified their technology resource 

needs or formally documented their collaboration agreements. This was 

due, in part, to time constraints, but with many statutory deadlines behind 

them, the agencies now have an opportunity to fully implement these 

leading practices. The agencies have started to explore ways to use 

online collaboration tools to a greater extent, which could help address 

the technology challenges they have faced. However, without fully 

identifying their technology needs and leveraging their resources to 

address them, the agencies may be missing opportunities to collaborate 

more efficiently and effectively as they continue to develop joint 

documents. In addition, key leadership positions that provide attention, 

focus, and oversight for the collaboration remain vacant at two of the 

three agencies. While the agencies have sustained the leadership of the 

collaboration despite these vacancies, formally documenting agreements 

could help support a smooth transition of leadership when these positions 

are filled. Without documentation of how the collaboration operates, it 

may take longer for newly appointed officials to become familiar with and 

implement collaborative efforts. Furthermore, without documenting 

decisions about how they share resources, the agencies may be missing 

opportunities to develop a more cohesive and sustainable approach 

across organizations.

We are making six recommendations, two to each of the three agencies 

in our review, to take steps to enhance their collaboration:

The Assistant Secretary of DOL’s Employment and Training 

Administration should work with Education and HHS to fully identify and 

address their technology resource needs by (1) jointly identifying and 

prioritizing requirements for online collaboration tools, including those 

related to security, (2) determining which online tools would best meet 

their needs, and (3) leveraging their resources to support greater use of 

those tools. (Recommendation 1)

The Assistant Secretaries of Education’s Office of Career, Technical, and 

Adult Education and Office of Special Education and Rehabilitative 

Services should work with DOL and HHS to fully identify and address 

their technology resource needs by (1) jointly identifying and prioritizing 

requirements for online collaboration tools, including those related to 

Recommendations for 

Executive Action
Page 22 GAO-18-171 Workforce Innovation and Opportunity Act

security, (2) determining which online tools would best meet their needs, 

and (3) leveraging their resources to support greater use of those tools.

(Recommendation 2)

The Director of HHS’s Office of Family Assistance should work with DOL 

and Education to fully identify and address their technology resource 

needs by (1) jointly identifying and prioritizing requirements for online 

collaboration tools, including those related to security, (2) determining 

which online tools would best meet their needs, and (3) leveraging their 

resources to support greater use of those tools. (Recommendation 3)

The Assistant Secretary of DOL’s Employment and Training 

Administration should formally document agreements with Education and 

HHS about how the collaboration operates and how the agencies share 

resources. (Recommendation 4)

The Assistant Secretaries of Education’s Office of Career, Technical, and 

Adult Education and Office of Special Education and Rehabilitative

Services should formally document agreements with DOL and HHS about 

how the collaboration operates and how the agencies share resources.

(Recommendation 5)

The Director of HHS’s Office of Family Assistance should formally 

document agreements with DOL and Education about how the 

collaboration operates and how the agencies share resources.

(Recommendation 6)
Page 23 GAO-18-171 Workforce Innovation and Opportunity Act

We provided a draft of this report to the Department of Labor (DOL), the 

Department of Education (Education), the Department of Health and 

Human Services (HHS), and the Office of Management and Budget 

(OMB) for review and comment. DOL’s Employment and Training 

Administration (ETA), Education, and HHS provided written comments 

that are reprinted in appendixes II, III, and IV, respectively. ETA and 

Education also provided technical comments, which we incorporated as 

appropriate. ETA and Education did not state whether they agreed with 

the two recommendations made to each of their agencies. HHS agreed 

with the two recommendations we made to it. OMB did not provide 

comments.

With respect to our first, second, and third recommendations that ETA, 

Education, and HHS work together to fully identify and address their 

technology resource needs, ETA and Education acknowledged that there 

is more work to be done in this area. ETA stated that it will continue to 

work with its partners to facilitate collaboration, including through 

technology-based solutions. Education stated that, since our review, it 

has made progress in identifying and prioritizing technology needs and 

conducting related market research. Education also stated that, together 

with its WIOA federal agency partners, it plans to issue a Request for 

Information in January 2018 to identify options for a new online system for 

submitting state plans. In addition, Education stated that the agencies 

have made progress in identifying existing internal tools that they can use 

to share documents. HHS stated that it will work with DOL and Education 

to ensure that technology resources are fully identified for online 

collaboration tool requirements. 

With respect to our fourth, fifth, and sixth recommendations that ETA, 

Education, and HHS formally document their collaboration agreements, 

ETA and Education said they would explore developing such agreements. 

ETA noted that written agreements are important to ensure continuity; 

however, Education stated that it is not convinced that a formal 

agreement is necessary, given that the WIOA collaboration has been 

institutionalized. Education also stated that the lack of a formal agreement 

has not negatively affected the agencies’ commitment to working together 

or the quality of their work. We continue to believe that formally 

documenting their collaboration agreements would help ETA, Education, 

and HHS ensure continuity in their efforts to fully implement WIOA, 

particularly given current vacancies in key leadership positions at two of 

the three agencies. Documenting collaboration agreements could help 

support a smooth transition of leadership when these positions are filled, 

Agency Comments 

and Our Evaluation
Page 24 GAO-18-171 Workforce Innovation and Opportunity Act

and could also help the agencies assess and enhance their approach to 

sharing resources. HHS stated that it will work with DOL and Education to 

outline collaboration operations and ensure that documented agreements 

are in place to ensure that the agencies share resources.

We are sending copies of this report to the appropriate congressional 

committees, the Secretary of the Department of Labor, the Secretary of 

the Department of Education, the Secretary of the Department of Health 

and Human Services, the Director of the Office of Management and 

Budget, and other interested parties. In addition, the report is available at 

no charge on the GAO website at http://www.gao.gov.

If you or your staff have any questions about this report, please contact 

me at (202) 512-7215 or brownbarnesc@gao.gov. Contact points for our 

Offices of Congressional Relations and Public Affairs may be found on 

the last page of this report. GAO staff who made key contributions to this 

report are listed in appendix V.

Sincerely yours,

Cindy Brown Barnes

Director

Education, Workforce, and Income Security Issues
Appendix I: Interagency Groups for 

Implementing the Workforce Innovation and 

Opportunity Act

Page 25 GAO-18-171 Workforce Innovation and Opportunity Act

Table 1 lists the interagency groups that the Departments of Labor, 

Education, and Health and Human Services used to implement the 

Workforce Innovation and Opportunity Act (WIOA). According to officials, 

the groups were active as of September 2017, with the exception of the 

Regulations Workgroup, which was discontinued in August 2016 after the 

final WIOA regulations were issued.

Table 1: Interagency Groups Used by the Departments of Labor (DOL), Education (Education), and Health and Human 

Services (HHS) to Implement the Workforce Innovation and Opportunity Act (WIOA)

Group Role Member Agencies

Principals Provides direction and feedback to the Coordinating 

Committee and the interagency workgroups and makes 

final policy decisions.

DOL, Education, and HHS

Coordinating Committee Coordinates the work of the interagency workgroups, acts 

as a liaison between the workgroups and the Principals, 

and develops and monitors timelines for accomplishing 

outcomes.

DOL, Education, and HHS

Joint Technical Assistance and 

Communication Workgroup

Coordinates the technical assistance provided by the 

other workgroups and shares information about this 

assistance with states and localities.

DOL, Education, and HHS

Regulations Workgroup Coordinated and developed the joint WIOA regulation and 

related information collection request, including 

coordination across the other workgroups.

DOL and Education

Shared Monitoring Workgroup Develops approaches for aligning the monitoring of certain 

WIOA requirements across agencies, including 

developing a shared monitoring tool and processes for 

sharing information.

DOL, Education, and HHS

Career Pathways Workgroup Coordinates WIOA career pathways activities across 

WIOA federal partners, including sharing information 

about how programs support career pathways and 

providing related technical assistance.

DOL, Education, HHS, and the 

Departments of Transportation and 

Housing and Urban Development 

(HUD)

Evaluation Workgroupa Aligns the evaluation-related efforts under WIOA. DOL, Education, and HHS

One-Stop Workgroup Oversees the implementation of WIOA provisions related 

to one-stop centers, including developing regulations and 

providing guidance and technical assistance to states and 

localities. 

DOL, Education, and HHS

Performance Workgroup Oversees the implementation of WIOA provisions related 

to program performance, including developing regulations 

and reporting requirements, and providing guidance and 

technical assistance to states and localities.

DOL and Education

Appendix I: Interagency Groups for 

Implementing the Workforce Innovation and 

Opportunity Act
Appendix I: Interagency Groups for 

Implementing the Workforce Innovation and 

Opportunity Act

Page 26 GAO-18-171 Workforce Innovation and Opportunity Act

Group Role Member Agencies

State Plan Workgroup Oversees the implementation of WIOA provisions related 

to state plans, including developing regulations, providing 

guidance and technical assistance to states, and 

coordinating the process for reviewing and approving 

state plans across federal agencies.

DOL, Education, HHS, HUD, and 

the Department of Agriculture 

Youth Workgroup Coordinates systems alignment across WIOA federal 

partners, including technical assistance, policy, and 

performance issues.

DOL, Education, and HHS

Source: GAO analysis of information from DOL, Education, and HHS officials. | GAO-18-171

a

According to officials, the Evaluation Workgroup was established more recently than the other 

workgroups, and met for the first time in September 2017.
Appendix II: Comments from the Department 

of Labor

Page 27 GAO-18-171 Workforce Innovation and Opportunity Act

Appendix II: Comments from the Department 

of Labor
Appendix II: Comments from the Department 

of Labor

Page 28 GAO-18-171 Workforce Innovation and Opportunity Act
Appendix III: Comments from the Department 

of Education

Page 29 GAO-18-171 Workforce Innovation and Opportunity Act

Appendix III: Comments from the 

Department of Education
Appendix III: Comments from the Department 

of Education

Page 30 GAO-18-171 Workforce Innovation and Opportunity Act
Appendix IV: Comments from the Department 

of Health and Human Services

Page 31 GAO-18-171 Workforce Innovation and Opportunity Act

Appendix IV: Comments from the 

Department of Health and Human Services
Appendix IV: Comments from the Department 

of Health and Human Services

Page 32 GAO-18-171 Workforce Innovation and Opportunity Act
Appendix V: GAO Contact and Staff 

Acknowledgments

Page 33 GAO-18-171 Workforce Innovation and Opportunity Act

Cindy Brown Barnes, (202) 512-7215, brownbarnesc@gao.gov

In addition to the contact named above, Danielle Giese (Assistant 

Director), Caitlin Croake (Analyst-In-Charge), LaToya Jeanita King, 

Andrew Sherrill, and Sarah Veale made key contributions to this report. 

Also contributing to this report were Holly Dye, Nicole Jarvis, Elizabeth 

Kowalewski, Sheila McCoy, Mimi Nguyen, Jessica Orr, Jessica Rider, 

Monica Savoy, Ben Sinoff, Almeta Spencer, and Paul Wright.

Appendix V: GAO Contact and Staff 

Acknowledgments

GAO Contact

Staff 

Acknowledgments
Related GAO Products

Page 34 GAO-18-171 Workforce Innovation and Opportunity Act

Workforce Innovation and Opportunity Act: Selected States’ Planning 

Approaches for Serving Job Seekers and Employers. GAO-17-31. 

Washington, D.C.: November 15, 2016.

Workforce Innovation and Opportunity Act: Information on Planned 

Changes to State Reporting and Related Challenges. GAO-16-287. 

Washington, D.C.: March 7, 2016.

Workforce Innovation and Opportunity Act: Performance Reporting and 

Related Challenges. GAO-15-764R. Washington, D.C.: September 23, 

2015.

Managing for Results: Implementation Approaches Used to Enhance 

Collaboration in Interagency Groups. GAO-14-220. Washington, D.C.: 

February 14, 2014.

Managing for Results: Key Considerations for Implementing Interagency 

Collaborative Mechanisms. GAO-12-1022. Washington, D.C.: September 

27, 2012.

Results-Oriented Government: Practices That Can Help Enhance and 

Sustain Collaboration among Federal Agencies. GAO-06-15. Washington, 

D.C.: October 21, 2005.

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