U.S. Department of Labor

Office of the Assistant Secretary 

for Policy

November 2016
Table of Contents

Table of Contents

Table of Contents.......................................................................................................................... ii

TAB 1: AGENCY ORGANIZATIONAL OVERVIEW .......................................................................... 1

Mission........................................................................................................................................ 1

Authorizing Legislation .............................................................................................................. 4

Organizational Structure ............................................................................................................. 6

Organizational Changes During the Past Eight Years................................................................ 8

Key Leaders............................................................................................................................... 8

TAB 2: 30/60/90 DAYS – STATE OF PLAY...................................................................................... 9

Key Meetings, Decisions and Announcements .......................................................................... 9

Key OASP External Stakeholders .............................................................................................. 9

TAB 3: INITIATIVES ..................................................................................................................... 11

Policy and Regulatory Issues.................................................................................................... 11

Major Grants and Contracts...................................................................................................... 15

Audits and Reports.................................................................................................................... 15

Management.............................................................................................................................. 15

Calendar.................................................................................................................................... 17

TAB 4: BUDGET ........................................................................................................................... 19

TAB 5: EVALUATION REPORTS................................................................................................... 25
TAB 1: OASP Organizational Overview

1

TAB 1: AGENCY ORGANIZATIONAL OVERVIEW

Mission

The Office of the Assistant Secretary for Policy (OASP) provides advice to the Secretary of 

Labor, Deputy Secretary of Labor, and Department leadership on policy development, program 

evaluation, regulations, program implementation, compliance strategies, research, and legislation 

that will improve the lives of workers, retirees and their families. Integral to this role, OASP 

develops initiatives and manages cross and intra-departmental activities to advance the mission 

of the Department. The Chief Evaluation Office, an independent evaluation office within OASP,

coordinates the department-wide evaluation agenda and facilitates access to and use of high 

quality data, and builds evidence on the performance, outcomes, and impacts of DOL programs. 

The results of evaluations produce evidence-based information for programs and policymaking 

related to the priorities of the Secretary and mission of the Department.

OASP fulfills DOL’s strategic and outcome goals using a variety of strategies to leverage efforts 

and ensure optimal performance of the Department’s program and enforcement agencies, 

including:

1. Information and analysis reflecting a Department-wide perspective and priorities (for 

both policymaking purposes and public statements);

2. The timely promulgation of high quality regulations that are consistent with the 

Secretary’s vision, Executive Orders, statutes, and OMB Bulletins;

3. Cross-agency collaboration to enhance our policy, regulatory, and legislative initiatives 

and innovations; and

4. Rigorous and credible evaluations and data analysis of program outcomes and impacts.

Regulations and Oversight

OASP is responsible for overseeing the Department’s regulatory activities. OASP also manages

the Department’s regulatory interaction with the Office of Management and Budget’s Office of 

Information and Regulatory Affairs (OIRA), and the Office of the Federal Register, as well as

the Government Accountability Office (GAO). This work includes an array of functions:

1. Coordinate and prepare studies, analyses, public statements and policies on regulatory, 

programmatic and enforcement policies, including the impact of Departmental policies 

and programs on workers, working families and the economy.

2. Conduct economic analysis and data analytics with respect to regulatory issues under 

consideration by the Department including: 

a) Recommendations and analyses on long- and short-term economic trends; and 

preparing macroeconomic and microeconomic studies and analyses related to the 

formulation of regulatory policy;

b) Economic analyses for priority regulatory agency actions.

3. Manage and facilitate the effective, efficient, and strategic development and review of the 

Department’s regulatory activities and key interagency obligations in partnership with 

relevant agencies; serve as the Department’s Regulatory Policy Officer under E.O. 

12866; manage the semi-annual regulatory agendas and regulatory retrospective reviews; 
TAB 1: OASP Organizational Overview

2

ensure compliance with the regulatory and guidance development requirements of E.O. 

12866 and any other related OMB Circulars or Bulletins, including OMB’s Final Bulletin 

for Agency Good Guidance Practices. 

4. Serve as the Department’s regulatory liaison, overseeing the exchange of information

between the Department and OMB, including managing the OMB review of regulations 

and guidance; facilitating related discussions with OMB and interagency passback 

comments; and resolving outstanding issues raised by OMB with affected DOL agencies, 

Solicitor’s Office, and the Office of the Secretary.

5. Serve as the Department’s liaison to the Office of the Federal Register for the 

transmission of documents for publication, including the coordination and technical 

assistance to DOL agencies on regulatory document submission, as well as manage the 

editorial process between the Department and the Federal Register editors and legal staff.

6. Provide general oversight of, and guidance for, the Department's compliance with the 

Regulatory Flexibility Act (as amended by SBREFA), Small Business Paperwork 

Reduction Act, and related laws and Executive Orders, OMB Circulars and Bulletins. 

7. Lead and manage the process for agency development and clearance of significant 

guidance, as defined by OMB’s Final Bulletin for Agency Good Guidance Practices, to 

ensure appropriate and transparent development, public engagement, and review by 

senior departmental officials and OMB.

8. Manage, coordinate, review and process Government Accountability Office (GAO) 

audits, reports and recommendations. 

a) As the Department’s liaison, in close collaboration with DOL agencies, OASP 

manages all interactions with and responses to GAO’s engagements and audits. 

b) OASP’s role includes: participating in substantive meetings (including Entrance 

and Exit Conferences), advising agencies and reviewing agency responses to 

GAO requests for information, reviewing GAO draft report findings and 

recommendations, and managing the DOL-wide response to GAO’s annual 

request for the status of efforts to implement open recommendations.

c) OASP ensures that the Department approaches its GAO engagements 

strategically, consistently, and expeditiously and convenes the DOL GAO Liaison 

Working Group quarterly to share knowledge and experiences, which consists of 

each of the DOL Agency GAO Liaisons and OASP policy staff. 

9. Represent the Secretary in a variety of forums, including maintaining relationships with 

stakeholders, federal partners and the White House on matters involving policy, 

Departmental programs, economic issues, regulations, and evaluations.

Policy 

OASP manages the interagency policy innovation and development process within the 

Department and represents the Department in the broader policy development process in the 

Administration. This work includes a number of functions:

1. Conducting policy research on priority issues to advance the Department’s strategic 

goals; inform the rulemaking process; leading collaboration on issues that cross agencies 
TAB 1: OASP Organizational Overview

3

or do not reside in any one DOL agency; and tracking emerging trends in the labor 

market;

2. Partner and represent the Department with policy experts, academics, think tanks, and 

others to advance the growth of our knowledge around emerging labor policy; 

3. Assist agencies in aligning their priorities with the Secretary’s priorities and ensuring that 

the messaging for their priorities fits within the Department’s broader messaging; and

4. Organize and convene key stakeholders for discussions and public forums to explore 

various long-term economic trends and policies.

Chief Evaluation Office

The Chief Evaluation Office (CEO) coordinates DOL’s evaluation agenda -- designing, 

initiating, and carrying out rigorous and credible evaluations to accumulate evidence on the 

performance, outcomes, and impacts of DOL programs. The annual Departmental evaluation 

plan is developed based on learning agendas updated annually by agencies within the 

Department in consultation with CEO. The results of these evaluations inform Departmental 

programs and policy, advance the priorities of the Secretary and the mission of the Department, 

and complement DOL’s performance-based management initiatives. 

Specific responsibilities include:

1. Institutionalize an evidence-based culture in DOL, including sponsoring seminars and 

forums on evaluation topics and methodologies and disseminating results of evaluations 

in various formats appropriate to practitioners, evaluators, and policymakers.

2. Lead the design and implementation of a Department-wide program of research and 

evaluation to identify effectiveness of policies and programs.

3. Represent the Department in evaluation and evidence discussions with other departments, 

the White House, the Office of Management and Budget and other Agencies.

4. Promote high standards for data systems and for accessing data appropriate for rigorous 

evaluation and performance management purposes.

5. Monitor and review research and evaluation plans and projects initiated by DOL agencies 

to ensure they are consistent the highest standards of methodological rigor are reflected, 

including the use of experimental designs when possible.

6. Develop an active program of communication, dissemination and networking with 

research organizations, professionals and other stakeholders to ensure that the 

Department is aware of the universe of relevant research and evaluation findings and 

activities and that interested parties are aware of the Department’s evaluation activity.

The Departmental Evaluation Policy Statement -- built on the principles of rigor, independence, 

transparency, relevance, and ethics -- is posted on the CEO website at 

https://www.dol.gov/asp/evaluation/EvaluationPolicy.htm. 

Data Analytics Unit

The Data Analytics Unit (DA) provides quantitative data analysis and analytic consultation to 

DOL agencies and programs using administrative data, evaluation data, and government survey 

data from the Bureau of Labor Statistics, the Bureau of the Census, and other statistical agencies.

The statisticians provide basic services such as data analysis and data visualization as well as 

more sophisticated services including complex statistical modeling, accessing, using, or creating 
TAB 1: OASP Organizational Overview

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public use data files, and providing support to any DOL programs to effectively analyze 

administrative and other programmatic data.

Specific responsibilities include:

1. Assistance with statistical methods for data collection;

2. Data quality assurance and assessment;

3. Administrative data management;

4. Data analysis and forecasting in support of program evaluation or performance 

measurement;

5. Development of descriptive statistics or customized tabulations of data;

6. Linking different data sources, including linking programmatic data with other 

publically available sources of data;

7. Finding and utilizing available data to support program administration;

8. Consulting on statistical methodology and analytical approaches;

9. Economic analysis and econometric modeling;

10. Assistance with, and access to, statistical software including crosscutting analysis 

platforms;

Authorizing Legislation

Chief Regulatory Policy Officer

The Regulatory Flexibility Act, as amended by the Small Business Regulatory Enforcement 

Fairness Act (5 U.S.C. 601 et seq.); the Small Business Paperwork Relief Act of 2002 (44 U.S.C. 

3506(i)); Executive Order 12866 (“Regulatory Planning and Review,” September 30, 1993); and 

Executive Order 13272 ("Proper Consideration of Small Entities in Agency Rulemaking," 

August 13, 2002).

Executive Order 12866 requires the head of each Executive Branch Agency to designate a 

Regulatory Policy Officer who is responsible for ensuring the Department’s compliance with the 

Executive Order. The Secretary has designated the Assistant Secretary for Policy, as the 

Department’s Regulatory Policy Officer. The Office is also responsible for the Department’s 

compliance with the requirements of the Regulatory Flexibility Act, as amended by the Small 

Business Regulatory Enforcement Fairness Act of 1996 (SBREFA); the Small Business 

Paperwork Relief Act of 2002; and management of the Government Accountability Office 

(GAO) audits, reports and recommendations.

Chief Evaluation Office

Departmental Program Evaluation (DPE) funding is authorized each year through legislative 

appropriations ($8.5 million in FY 2016), and administered by the CEO. In addition to funds 

appropriated for DPE, Division G, Title I, Section 107 of Public Law 114-113, the “Consolidated 

Appropriations Act, 2016” (the Act) authorizes the Secretary of Labor to reserve not more than 

0.75 percent from specific budget accounts for transfer to and use by the CEO’s Chief Evaluation 

Officer for departmental program evaluation. In consultation with the Departmental Budget 

Office and operating agencies, the Chief Evaluation Officer recommends the set-aside 

percentage to the Secretary for approval. These evaluation set-aside funds are transferred to CEO 
TAB 1: OASP Organizational Overview

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and are available for evaluations of programs administered by the agencies specifically listed in 

statute fifteen days after notifying Congress of the intent to transfer funds and the planned 

projects. Evaluation funding (core and set aside) must be obligated within two years. 

The Fiscal Year 2016 Consolidated Appropriations Act authorizes DOL’s evaluation set aside 

funding:

“Section 107 (a) The Secretary may reserve not more than 0.75 percent from each 

appropriation made available in this Act identified in subsection (b) in order to carry out 

evaluations of any of the programs or activities that are funded under such accounts. Any 

funds reserved under this section shall be transferred to ‘‘Departmental Management’’ for 

use by the Office of the Chief Evaluation Officer within the Department of Labor, and shall 

be available for obligation through September 30, 2017: Provided, That such funds shall only 

be available if the Chief Evaluation Officer of the Department of Labor submits a plan to the 

Committees on Appropriations of the House of Representatives and the Senate describing the 

evaluations to be carried out 15 days in advance of any transfer.

(b) The accounts referred to in subsection (a) are: ‘‘Training and Employment Services,’’ 

‘‘Job Corps,’’ ‘‘Community Service Employment for Older Americans,” ‘‘State 

Unemployment Insurance and Employment Service Operations,’’ ‘‘Employee Benefits 

Security Administration,’’ ‘‘Office of Workers’ Compensation Programs,’’ ‘‘Wage and Hour 

Division,’’ ‘‘Office of Federal Contract Compliance Programs,’’ ‘‘Office of Labor 

Management Standards,’’ ‘‘Occupational Safety and Health Administration,’’ ‘‘Mine Safety 

and Health Administration,’’ ‘‘Office of Disability Employment Policy,’’ funding made 

available to the ‘‘Bureau of International Labor Affairs’’ and ‘‘Women’s Bureau’’ within the 

‘‘Departmental Management, Salaries and Expenses’’ account, and ‘‘Veterans Employment 

and Training.’’
TAB 1: OASP Organizational Overview

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Organizational Structure

OASP programmatic and policy work is conducted through the Office of Regulatory and 

Programmatic Policy, and the evaluation work is conducted through the Chief Evaluation Office 

and Data Analytics Unit. There are currently 42.5 FTE.

OASP also routinely engages short-term personnel on details to work on a variety of priority 

projects and assignments through the Presidential Management Fellow Program, DOL 

Repository of Opportunities Assignments & Details (ROAD) program and the SOL Attorney 

Leadership Development Program. 

Organizational Chart
TAB 1: OASP Organizational Overview

7

Workforce At-A-Glance
TAB 1: OASP Organizational Overview

8

Organizational Changes During the Past Eight Years

While the key function of regulatory review and analysis has been a constant in OASP for the 

last eight years, OASP holds responsibility for leading high priority regulatory initiatives through 

the Department and OMB, including leading the policy development, drafting and engaging 

agency economists and CHECO in the development and defense of the economic analyses, and 

managing the Department’s equities in the OMB interagency economic and policy review

process. 

In 2010, to build a culture of evidence, evaluation, and data at DOL, the Department created an 

independent Chief Evaluation Office within OASP. Since the CEO was established, the 

appropriated budget and the Congressionally-authorized evaluation set-aside funds have 

increased. The portfolio of evaluations and the number of evaluation staff have also increased 

accordingly, with about 50 studies underway at any given time. 

Finally, in 2013, the Department created a Data Analytics Unit to support and complement DOL 

agencies efforts to improve administrative data quality, access to data, use data to conduct 

analysis to answer program and policy questions, facilitate evaluations, and improve program 

operations. 

Key Leaders 

• Assistant Secretary for Policy – (non-career) Vacant 

• Sharon Block, Principal Deputy Assistant Secretary (non-career)

• Daniel Zeitlin, Deputy Assistant Secretary (non-career)

• Stephanie Swirsky, Deputy Assistant Secretary (career)

• Jeff Vockrodt, Associate Assistant Secretary (non-career)

• Justin Allen, Chief of Staff (non-career)

• Molly Irwin, Chief Evaluation Officer (career)

• Director Office of Regulatory and Programmatic Policy – Vacant (career; selection 

pending)

• Carrol Bascus, Administrative Officer (career)
TAB 2: 30/60/90 Days – State of Play

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TAB 2: 30/60/90 DAYS – STATE OF PLAY

Key Meetings, Decisions and Announcements

Semi-Annual Regulatory Agenda

The OMB call for agency submissions for the 2017 Spring Regulatory Agenda will likely be issued 

in February 2017, with the Department’s submission due in March.

Regulatory Retrospective Review

The Department’s Retrospective Review Report is due on the January 9, 2017.

CEO

One primary evaluation item facing the Secretary in early 2017 involves responding to any external 

questions or interest that may arise related to publicly released evaluation reports. The Secretary 

receives advance notice of the release of reports along with a short summary of key findings and 

possible external or stakeholder interest in the report. See below under “Initiatives” for information 

on reports and studies. Another item that will require Secretarial attention is approving the 2017 

evaluation set-aside funding and the required Notice to Congress, discussed above under legislative 

authority, usually submitted in February of each year. 

GAO

Attached is a list of current GAO audits that GAO has indicated may have final reports issued 

between January and March 2017. The Presidential Transition Act of 2000 provides for GAO to 

brief individuals the President-elect intends to nominate as Department heads on the GAO’s HighRisk List. There are three categories that GAO considers key issues: Employment in a Changing 

Economy, Financial Security for Older Americans, and Reducing Government-wide Improper 

Payments.

Key OASP External Stakeholders

Regulations 

OMB

OMB/Office of Information and Regulatory Affairs (OIRA)

OMB/Regulatory Information Service Center (RISC) 

OMB/Office of Federal Procurement Policy

EOP/Domestic Policy Council

EOP/National Economic Council

EOP/Council of Economic Advisors

Small Business Administration, Office of Advocacy

FAR Council

Office of the Federal Register

Government Printing Office

EPA/FDMS (erulemaking program)
TAB 2: 30/60/90 Days – State of Play

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Policy

EOP/Domestic Policy Council

EOP/National Economic Council

Small Business Administration

EOP/Office of the Vice President

EOP/Office of Public Engagement

Government Accountability Office

Department of Homeland Security (DHS)

DHS Immigration and Customs Enforcement

DHS U.S. Citizenship and Immigration Services

DHS Human Smuggling and Trafficking Center

Federal Mediation and Conciliation Service

Department of Justice 

State Department, Office to Monitor and Combat Trafficking in Persons

General Services Administration/Presidential Innovation Fellows

CEO

EOP (NEC, OSTP, CEA, DPC)

OMB (Labor Branch, OIRA-Statistical Office, Evidence Office)

Federal statistical and evaluation agencies and offices (e.g., HHS, DOJ, Education, HUD, CNCS, 

Agriculture, Transportation, USAID, Census)

National Science Foundation

National Academy of Sciences

State and Local workforce agencies and their national associations and representatives

National Governors Association

Employer and business groups interested in labor standards and worker protection programs

Job training programs and providers

Advocacy associations and organizations

Post-secondary education institutions 

Academic researchers and evaluators

Evaluation and research contractors
TAB 3: Initiatives

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TAB 3: INITIATIVES

Policy and Regulatory Issues 

Regulatory Process 

OASP serves as the chief regulatory office for the Secretary, Deputy Secretary, and the Department. 

The office manages and coordinates the regulatory development, review and clearance process in 

compliance with the requirements of E.O. 12866, as well as other related OMB Circulars and 

Bulletins. In this capacity, OASP is the Department’s lead office, coordinating the review of 

regulations with the Office of Information and Regulatory Affairs (OIRA) within OMB. 

OASP works with Departmental agencies to develop the Department’s regulatory agenda and the 

office of the Secretary to identify priority regulations. OASP works with the agencies and the 

Office of the Solicitor (SOL) to draft and review regulations and economic analyses. OASP leads 

regulatory policy decision-making with the offices of the Secretary and Deputy Secretary, as well as

agency leadership and SOL. OASP economists are often responsible for preparing regulatory

impact analyses and other economic projects in conjunction with the agencies and the office of the 

Chief Economist. 

OASP manages the Department’s clearance process for agency regulations. Agency regulations

must be approved by the Offices of the Secretary and Deputy Secretary, the Solicitor, the (Principal 

Deputy) Assistant Secretary for Policy, and the Chief Economist. Once departmental clearance is 

complete, OASP works with the Executive Secretariat to secure the Secretary’s approval to transmit 

significant regulations to OIRA for inter-agency review, or publish those not determined to be 

significant. OASP then manages and coordinates written responses and discussions with OIRA, the 

Executive Office of the President and other federal partners on comments provided on regulations. 

OASP transmits regulations that OIRA determines are not significant to the Federal Register for 

publication. The process appropriately applies to all rulemaking mechanisms under the 

Administrative Procedures Act, including Requests for Information (RFIs), Advance Notices of 

Proposed Rulemaking (ANPRMs), Notices of Proposed Rulemaking (NPRMs), Interim Final Rules 

(IFRs), Final Rules, and Significant Guidance, with consideration of and response to public 

comments made on proposals occurring during development of Final Rules. 

OASP is also responsible for managing the process for publishing NPRMs, Final Rules, and other 

rulemaking-related notices in the Federal Register. This involves working with agencies to ensure 

regulations are in order to submit to the Federal Register, handling special requests for specific 

dates of publication, working with agencies and the Federal Register editorial and legal staffs to 

address changes requested by the Federal Register for regulations and notifying the Department of 

timing for publications. 

Semi-Annual Regulatory Agenda

OASP manages, develops and prepares the Department’s Semi-Annual Regulatory Agenda (and

Regulatory Plan), which is typically released to the public in October and May. The annual 

Regulatory Plan is published in the fall, and contains a statement of the Department’s regulatory 

priorities and information about significant regulatory objectives for the year.
TAB 3: Initiatives

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Twice yearly, OASP works with the agencies to update their current agenda items and identify new 

items, as well as facilitate policy discussions among OASP, agency staff and senior department

leadership on any issues of concern and to assure that the regulatory agenda reflects the Secretary’s 

priorities. OASP drafts and prepares the Department’s regulatory agenda submission for the 

Secretary’s approval and transmittal to OIRA. OASP then manages the OIRA review process and 

passback, working with the agencies and departmental leadership to answer questions and resolve 

differences. OIRA publishes and posts the Department’s agenda on its website, along with all of the 

other federal and independent agencies.

The most recent regulatory agenda was published on May 18, 2016, and can be found at 

www.reginfo.gov. As requested by OIRA, the Department’s Fall 2016 Regulatory Agenda and 

Regulatory Plan was submitted on September 2, 2016, and is under development and review by 

OIRA.

Retrospective Regulatory Review

Retrospective Reviews or “lookbacks” at regulations are institutionalized in Executive Orders 

13563 and 13610, which require agencies to regularly report on the status of retrospective review 

efforts to OIRA. Agencies are required to review significant rules and determine whether they are 

obsolete, unnecessary, unjustified, excessively burdensome, counterproductive or duplicative of 

other Federal regulations. As part of the review, DOL also identifies rules for repeal, modification, 

strengthening, or modernization. The review is consistent with Section 610 of the Regulatory 

Flexibility Act (5 U.S.C. 610). Section 610 of the RFA requires Federal agencies to review 

regulations that have a significant economic impact on a substantial number of small entities within 

10 years of their adoption as final rules. 

OASP manages the Department’s retrospective review reporting requirements, coordinates and 

reviews the agency submissions, and identifies and resolves issues and concerns. OASP reports on 

DOL’s progress, accomplishments and timelines to OIRA on the second Monday of January and 

July of each year, unless directed otherwise by OIRA. OASP also includes the retrospective review 

report in the Department’s fall Regulatory Plan Statement, which accompanies the Regulatory 

Agenda. Once approved by OIRA, the Department makes the report available to the public through 

its website, as required.

The Retrospective Reviews for the Department can be found at 

www.whitehouse.gov/omb/oira/regulation-reform

Office of the Federal Register

OASP is the Department’s liaison to the Office of the Federal Register (OFR) and manages the 

submission of all documents published by the Department in the Federal Register. In this capacity, 

and on behalf of the Department, OASP certifies and submits documents (in hardcopy or 

electronically) to the OFR for publication. These documents include but are not limited to 

regulations and regulatory-related notices, information collection requests, Federal Advisory 

Committee Act meeting notices, and stakeholder meeting notices.

Prior to submission to the OFR, OASP coordinates and consults with agencies and the Office of the 

Secretary to ensure that documents have been appropriately vetted and approved for publication. 
TAB 3: Initiatives

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OASP facilitates discussions and resolves issues between the Department’s agencies and OFR legal 

and editorial staff on issues including but not limited to drafting, incorporation by reference, 

delegation of authority, and the Code of Federal Regulations. 

Policy Innovation

OASP manages the interagency policy innovation and development process within the Department 

and represents the Department in the broader policy development process in the Administration. 

This work includes a number of functions:

1. Conducting policy research on priority issues to advance the Department’s strategic goals; 

inform the rulemaking process; leading collaboration on issues that cross agencies or do not reside 

in any one DOL agency; and tracking emerging trends in the labor market;

2. Partner and represent the Department with policy experts, academics, think tanks, and others 

to advance the growth of our knowledge around emerging labor policy; 

3. Assist agencies in aligning their priorities with the Secretary’s priorities and ensuring that 

the messaging for their priorities fits within the Department’s broader messaging; and

4. Organize and convene key stakeholders for discussions and public forums to explore various 

long-term economic trends and policies.

 

Chief Evaluation Office

The CEO develops a Department-wide evaluation plan, conducts or oversees independent formal 

evaluations, carries out consultative statistical and data analytics projects, disseminates the results 

of Department-funded evaluations and engages in evaluation and data capacity building activities.

Evaluations: CEO directly funds and sponsors independent evaluations and also collaborates 

across all DOL agencies and programs to design and conduct evaluations that those agencies 

sponsor. CEO prepares the Department’s annual evaluation plan in close coordination with the 

operating agencies. Each agency develops a learning agenda in collaboration with CEO and 

specifies priority evaluation and research topics of particular interest to the agencies. CEO develops 

the Department’s evaluation plan based on the agency learning agendas as well as Department’s 

Strategic Plan priorities, statutory requirements for evaluations, Secretarial and Administration 

priorities, and continuing discussions with agency leadership and program staff. The plan indicates 

specific evaluations and related activities that can be funded with CEO core and set-aside funding. 

Three factors guide the plan:

• Prioritize studies that focus on measuring the efficiency and effectiveness of program 

outputs and outcomes consistent with the Secretary’s priorities, the Departmental Strategic 

Plan and the agency Operating Plans;

• Encourage the most rigorous evaluation designs of programs and strategies as possible; and

• Expand the knowledge, capacity, value, and understanding of high quality evaluation 

findings, designs, and methods department-wide. 

At any given time, about 50 evaluations are underway. Nearly all evaluations are conducted by 

independent contractors awarded through competitive procurement. In FY 2016, Congress 

authorized CEO to also enter into grants for evaluations and research, also competitively awarded. 
TAB 3: Initiatives

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The first university-based Labor Research and Evaluation Grants will be awarded by CEO in the 

Fall of 2016. 

Attached are lists of pending evaluations and reports completed and released in the past year. 

Ongoing studies and prime contractors, completed projects and released reports are posted on the 

CEO website under “Studies” at: https://www.dol.gov/asp/evaluation/#.

Evaluation Capacity Building: CEO leads evaluation capacity-building in the Department and 

has an important role in expanding evidence-based practice in the Federal government. For example 

CEO: staff host regular seminars and brown bag sessions for DOL staff on evaluation findings and 

discussions of study implications; make presentation on evaluation methodology and statistical 

techniques for internal DOL staff; present at programmatic and academic evaluation conferences, 

and; funds student and academic research projects in order to build research capacity in areas of 

interest to the Department. Additional specific capacity building activities include: 

Clearinghouse for Labor Evaluation and Research: CEO developed the evidence-based 

Clearinghouse for Labor Evaluation and Research (CLEAR) see http://clear.dol.gov/ in 

2012 as a central source of research and information on labor-related topics, and continues 

to expand this resource. CLEAR’s primary goal is to make labor research more accessible to 

DOL administrators as well as practitioners, policymakers, researchers, and the public so 

that it can inform decisions about policies and programs. CLEAR conducts systematic 

evidence reviews on labor related issues, including studies funded by DOL and other studies 

with published reports, and summarizes methodologies, findings, and policy/program 

implications. Evaluations estimating causal impact are also rated according to the strength 

of the evidence they produced and whether the findings are positive. Conducting systematic 

reviews requires significant technical capacity, currently provided through two 

competitively selected contractors (Mathematica Policy Research and ICF International). 

CEO also uses CLEAR to improve DOL employees’ knowledge about evaluation, such as 

through methodological seminars and by establishing guidelines for high-quality 

evaluations.

Data Analytics Unit

The Data Analytics unit provides analytical services that build the capacity of DOL staff to use data 

to help inform program administration and guide decision making and evaluation designs. Projects 

are conducted incrementally to ensure that they are responsive to the needs of the program offices, 

and will support and complement the existing capacities of DOL program offices. The data 

analytics unit works to understand DOL programs, the populations they cover, and program 

activities and requirements, so they can deliver meaningful analysis and program relevant products. 

Services provided include identifying data sources that can help answer questions or support 

modeling; building statistical products including models, programs and program code, and 

statistical estimates; data visualizations including charts, tables, maps; and documentation to help 

program offices best use these products.
TAB 3: Initiatives

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Major Grants and Contracts

CEO Contracts and Grants

Evaluations are conducted by independent contractors selected through competitive procurement.

About 50 evaluations are underway at any given time. Ongoing studies and prime contractors, 

completed projects and released reports are posted on the CEO website under “Studies” at: 

https://www.dol.gov/asp/evaluation/#. In FY 2016, Congress authorized CEO to also enter into 

grants for evaluations and research, with grantees competitively selected. The first university-based 

Labor Research and Evaluation Grants will be awarded by CEO in the Fall of 2016. Attached are 

lists of pending evaluations and reports completed and released in the past year.

Audits and Reports

See attached lists for:

1. GAO open audits

2. GAO open recommendations

3. GAO recommendations closed since 2012

Management 

IT Opportunities

• OASP Website

The OASP website provides information to the public on its rulemaking and regulations activities, 

policy innovation initiatives and research, Chief Evaluation Office research and reports, and 

Employment Law Advisors (elaws). The website is a resource to the public, particularly in the use 

of the elaws advisors and can become even more integral as a portal for the public to access 

information on DOL regulations, policies and programs. While there are opportunities for the 

continued development and expansion of the website, there are challenges with keeping the website 

updated and ensuring the content is maintained in a routine and timely manner. OASP relies on 

OPA to make manual updates to the site. Currently, there is no mechanism to allow for a more 

expedient process to update the OASP website. 

• CEO Website

The CEO website (https://www.dol.gov/asp/evaluation/) is a continuously updated source of 

information about DOL evaluations, data analytics, and evidence-building activities in DOL and in 

the Federal government. The Departmental evaluation plan and all evaluations underway and 

completed are publicly posted on the CEO website. Evaluation results and public use data files are 

disseminated and make publicly available through the website in various formats appropriate to 

practitioners, evaluators, and policymakers. The website also links to other evidence websites sites 

in DOL, OMB evidence memoranda and guidance, and other federal agencies, and to CLEAR and 

other federal evidence-based clearinghouses.
TAB 3: Initiatives

16

• eRulemaking Program (FDMS)

As part of its role of Chief Regulatory Office under Executive Order 12866, OASP manages and 

coordinates on matters relating to the eRulemaking portal. DOL is a partner agency on the interagency eRulemaking Program and supports the maintenance and operation of the government-wide 

electronic document management system (Federal Docket Management System). The eRulemaking 

Program is a collaborative inter-agency effort that has created and manages the common, automated 

and integrated repository for managing Federal rulemakings and non-rulemaking actions that follow 

the notice and comment process. The portal consolidates dockets of various departments and 

agencies and centrally manages them through a web based environment. 

• Employment Laws Assistance for Workers and Small Businesses (elaws)

The Employment Laws Assistance for Workers and Small Businesses (elaws) Advisor program has 

been an OASP initiative since 1996. This web-based program helps employers and employees 

understand their rights and responsibilities under many of the employment laws administered by 

DOL. Elaws Advisors simulate the interaction a user would have with an expert, answering

questions about complex issues specific to the user’s workplace and/or employment situation. 

Currently, there are over 30 elaws Advisors covering many regulations and laws administered by all 

of the major DOL agencies. 

• Clearinghouse on Labor Evaluation and Research (CLEAR) 

CEO’s Clearinghouse for Labor Evaluation and Research (http://clear.dol.gov/) serves as a central 

source of research and information of labor-related topics for practitioners, policymakers, 

researchers, the media, and the general public. Maintaining and continuously improving the 

internet-based CLEAR requires high-level IT capacity, currently provided through a competitively 

selected contractor (Mathematica Policy Research) in coordination with CEO and the Department’s 

Office of the Chief Information Officer.

• The Data Exchange and Analysis Platform (DEAP)

DEAP allows for cross cutting analysis between agencies, and for agencies to test the feasibility of 

new types of analysis and visualization, and to extend their existing capabilities. This platform is 

being built by the Data Analytics Unit in conjunction with the advanced technologies unit within 

the Department’s Office of the Chief Information Officer. A number of program offices are using 

an existing version of the DEAP platform now, and the data analytics unit plans to begin deploying 

components of the second generation platform in early FY 2017.

IT Challenges

OASP does not have dedicated technical IT staff, and internal demand for equipment and technical 

support is extremely heavy, given our limited resources.

One critical IT challenge is related to maintaining and continuously expanding the CEO’s internetbased CLEAR, which requires high-level IT capacity, currently provided by two competitively-
TAB 3: Initiatives

17

selected contractors (Mathematica Policy Research and ICF International), who work under the 

direction of the evaluation staff.

Additionally the Data Analytics team, in coordination with the Department’s Chief Information 

Officer, builds capacity for data analysis, within and across DOL programs and agencies, built on a

highly technical data analysis infrastructure. 

Employee Engagement

From 2015 to 2016, OASP dramatically improved its employee engagement score, with a 16.9 

percentage point increase in the Agency’s score between 2015 (63) and 2016 (79.9), a 26.8 percent 

improvement over 2015. OASP received the highest combined scores under Leaders Lead, 

Supervisors and Intrinsic Work Experiences, which put it in the top ranking of all DOL agencies 

under Employee Engagement for 2016. Based on preliminary 2016 Federal Employee Viewpoint 

Survey data, when compared to other agencies in the Department, OASP was the most improved in 

employee engagement. OASP also received the highest scores in the Department for the three 

survey items that combine on the Best Places to Work in the Federal Government ranking and for 

the survey item, “I believe the results of this survey will be used to make my agency a better place 

to work.”

OASP is focused on employee engagement through its Employee Viewpoint Survey Action Plan. 

The agency is concentrating efforts in the areas of management and leadership, communication, 

engagement, performance and professional development. The agency has outlined specific 

activities, including: facilitated workshops, team retreats, skills assessment/training survey and 

staff mentoring among other actions intended to be responsive to the issues most important to 

OASP employees.

Calendar

Regulatory Reporting

OMB generally issues an initial call for agency submissions to the semi-annual regulatory agenda in 

February and August, with submissions due in March and September. The fall regulatory agenda 

also includes agencies’ Regulatory Plans, which highlight regulatory priorities. The actual 

publication date of the agenda is at OMB’s discretion, but has generally been within two months of 

the initial data call.

On the second Monday of January and July of each year, unless directed otherwise by OIRA, OASP 

is required to submit the Department’s Retrospective Review Report, with subsequent publication 

at a date determined by OIRA.
TAB 3: Initiatives

18

CEO

Finalize DOL Evaluation Plan for new calendar year, based on Learning 

Agendas and Departmental priorities

January

Send Notice to OMB and Congress on Intent to Transfer Funds

Under Evaluation Set-aside Authority, based on the Secretary’s approval

February/March

Send Notice to OMB and Congress on Intent to Transfer Additional Funds 

Under Evaluation Set-aside Authority, as Determined

TBD, based on 

decisions

Meet End of Fiscal Year Procurement deadlines May

Prepare Fiscal Year Budget submission &

Assist Agencies with Evidence Justification, as Needed

SeptemberDecember

Complete annual updates of Learning Agendas with agencies December
TAB 4: Budget

19

TAB 4: BUDGET

PROGRAM DIRECTION AND SUPPORT

BUDGET AUTHORITY AND FTE SUMMARY

(Dollars in millions)

FY 2013

Enacted

FY 2014

Enacted

FY 2015

Enacted

FY 2016

Enacted

FY 2017

Request

Budget Authority $31.0 $31.0 $31.0 $31.0 $37.4

FTE 120 122 136 130 161

At-A-Glance

• The Program Direction and Support (PDS) activity is a component of the Departmental 

Management (DM) appropriation and receives General Funds. The activity includes the 

following offices: 

o The Office of the Secretary of Labor; 

o The Office of the Deputy Secretary of Labor; 

o The Office of the Assistant Secretary for Policy (ASP); 

o The Office of Congressional and Intergovernmental Affairs; 

o The Office of Public Affairs (OPA); 

o The Center for Faith-based and Neighborhood Partnerships; and 

o The Office of Public Engagement.

• The Chief Evaluation Office (CEO) is a component of 

ASP.

• ASP provides advice to the Secretary, Deputy 

Secretary, and Department on matters of policy 

development, program evaluation, regulations, budget 

and legislation. The agency was funded at $5.8 million 

out of the total PDS appropriation. 

• CEO’s staff costs and FTE were historically included 

in ASP’s budget. Beginning in FY 2016, salaries and 

benefits for CEO have been covered in the 

Departmental Program Evaluation activity, which is 

another activity in DM. FTE will be recorded under the DPE activity beginning in FY 2017. 

Budget and FTE Trends

• From FY 2009 to FY 2010, PDS’s budget increased from $25.8 million to $33.2 million. 

The FY 2010 President’s Budget requested additional resources for the Office of Recovery 

for Auto Communities and Workers (ORACW) and to support implementation of the 

American Reinvestment and Recovery Act (ARRA). In FY 2011 and FY 2012, resources 

were shifted from PDS to other DM activities to address deficits. 

• Actual FTE use increased along with the increased budget authority. Actual FTE use was 

109 in FY 2009 and 121 in FY 2016.

• PDS’s budget authority was reduced by a total of $1.7 million in FY 2013 due to 

sequestration and a small rescission. The Department reprogrammed an additional $0.5 

ASP Funding, FY 2009-FY 

2016

(Dollars in millions)

FY 2011 $8.6

FY 2012 $5.5

FY 2013 $5.8

FY 2014 $5.9

FY 2015 $5.7

FY 2016 $5.8
TAB 4: Budget

20

million from PDS to address deficits in DM caused by sequestration, leaving PDS with a 

budget authority of $31.0 million. PDS’s budget authority has been stable since that time.

• PDS components received funding from the ARRA supplemental appropriation in FY 2009. 

$0.7 million was used to staff the ORACW. This office completed its work and was not 

funded in FY 2014. 

• ASP provides advice to the Secretary, Deputy Secretary, and Department on matters of 

policy development, program evaluation, regulations, budget and legislation. The agency 

was funded at $5.8 million out of the total PDS appropriation. 

Upcoming Issues

• The FY 2017 President’s Budget includes requests for additional resources for the CEO 

totaling $1.3 million.

Staff Contacts

Janice Blake-Green, Agency Budget Officer

Departmental Management

Blake.Green.Janice@dol.gov

202-693-4452

DEPARTMENTAL PROGRAM EVALUATION

BUDGET AUTHORITY AND FTE SUMMARY

(Dollars in millions)

FY 2013

Enacted

FY 2014

Enacted

FY 2015

Enacted

FY 2016

Enacted

FY 2017

Request

Budget Authority $8.0 $8.0 $8.0 $8.0 $9.5

FTE 0 0 0 0 0

At-A-Glance

• The Departmental Program Evaluation (DPE) activity funds evaluations of the Department’s 

programs and activities. DPE was first funded in FY 2010.

• The account receives a base appropriation, but the majority of its funding for evaluations 

comes from transfers from other agencies. These transfers are authorized by a set-aside 

authority in the general provisions language. 

• DPE has two year funding availability. 

Budget and FTE Trends

• The CEO was established in FY 2010 to coordinate, manage and implement the 

Department’s evaluation program. The DPE budget activity was also first centralized in FY 

2010.

• Prior to the creation of the DPE activity, evaluation funding was decentralized across 

agencies with an additional $3.5 million in the Office of the Assistant Secretary for 

Administration and Management (OASAM).
TAB 4: Budget

21

• DPE’s appropriated funding has been stable since FY 2010. In FY 2010, it was directly 

appropriated $5.0 million and used the additional $3.5 million in OASAM funding for a 

total of $8.5 million. In subsequent years, it has been directly appropriated between $8.0 and 

$8.5 million in each year. 

• Beginning in FY 2012, the Department has authority in the general provisions to transfer up 

to a certain percentage of specific agency’s funding to DPE, to be managed by the Chief 

Evaluation Officer for DOL evaluations. The largest source of transfers is the Employment 

and Training Administration (ETA). Since FY 2012, ETA has transferred a total of $85.4 

million from various appropriations. In FY 2016, the Secretary had the authority to transfer 

up to 0.75 percent of the appropriations from specified operating agencies to DPE for 

evaluation purposes. Between FY 2013 and FY 2015, the evaluation set-aside authority was 

“up to .5 percent” of operating funds. The general provision requires that a plan be sent to 

the Appropriations committees outlining the evaluations DOL intends to fund suing setaside transfers.

• The appropriation language also provides authority to transfer evaluation funds to any other 

appropriate account in the Department for evaluation purposes.

• Since its establishment, Congress has added to the appropriation language to provide grantmaking authority to the DPE and to direct that grants made for the purpose of evaluations 

are awarded through fair and open competition. In FY 2016, the appropriation language 

also added authority to transfer evaluation funds to any other appropriate account in the 

Department for evaluation purposes. This clause was included in previous fiscal year’s 

appropriations language.

DPE Transfer History

(Dollars in millions)

Year Funds Appropriated Appropriation Transfer

FY 2012 ETA/SUIESO $15.9

FY 2012 WHD $0.6

FY 2012 EBSA $0.9

FY 2013 ETA/SUIESO $11.6

FY 2014 ETA/TES $7.9

FY 2014 ETA/CSEOA $1.1

FY 2014 ETA/OJC $4.2

FY 2015 ETA/TES $7.8

FY 2015 ETA/CSEOA $1.1

FY 2015 ETA/OJC $4.2

FY 2015 ETA/SUIESO $9.0

FY 2016 ETA/TES $8.3

FY 2016 ETA/CSEOA $1.1

FY 2016 ETA/OJC $4.2

FY 2016 ETA/SUIESO $9.0

Total All $86.9
TAB 4: Budget

22

Upcoming Issues

• Program evaluation activities have been of significant interest to the appropriations 

committees and Congress in general. In FY 2016, the Evidence-Based Policymaking 

Commission Act of 2016 was passed. This law establishes a 15-member commission to 

study how best to strengthen and expand the use of data to evaluate the effectiveness of 

federal programs and tax expenditures

Staff Contacts

Janice Blake-Green, Agency Budget Officer

Departmental Management

Blake.Green.Janice@dol.gov

202-693-4452

FY 2009 FY 2010 FY 2011 FY 2012 FY 2013 FY 2014 FY 2015 FY 2016 FY 2017

PB

Request $29.7 $34.1 $34.2 $33.2 $32.7 $31.8 $31.2 $35.3 $37.4

Enacted $25.8 $33.2 $32.9 $32.7 $31.0 $31.0 $31.0 $31.0

$0

$5

$10

$15

$20

$25

$30

$35

$40

PDS

Request vs. Enacted, FY 2009-FY 2016

(Dollars in millions)
TAB 4: Budget

23

FY 2009 FY 2010 FY 2011 FY 2012 FY 2013 FY 2014 FY 2015 FY 2016

Enacted $25.8 $33.2 $32.9 $32.7 $31.0 $31.0 $31.0 $31.0

Inflation Adjusted $25.8 $26.3 $27.1 $27.6 $28.0 $28.5 $28.5 $28.5

$0

$5

$10

$15

$20

$25

$30

$35

PDS

FY 2009 Inflation Adjusted BA vs. FY 2009-FY 2016 Enacted 

BA

(Dollars in millions)

FY 2009 FY 2010 FY 2011 FY 2012 FY 2013 FY 2014 FY 2015 FY 2016 FY 2017

PB

Authorized 133 152 123 118 121 127 136 136 161

Actuals 109 127 123 121 120 122 136 130

0

20

40

60

80

100

120

140

160

180

PDS

Authorized FTE vs. Actuals, FY 2009-2017
TAB 4: Budget

24

FY 2010 FY 2011 FY 2012 FY 2013 FY 2014 FY 2015 FY 2016 FY 2017

PB

Request $5.0 $50.3 $18.4 $9.0 $9.0 $9.0 $9.5 $9.5

Enacted $5.0 $8.5 $8.5 $8.0 $8.0 $8.0 $8.0

$0

$10

$20

$30

$40

$50

$60

Departmental Program Evaluation

Request vs. Enacted, FY 2010-FY 2016

(Dollars in millions)

FY 2010 FY 2011 FY 2012 FY 2013 FY 2014 FY 2015 FY 2016

Enacted $5.0 $8.5 $8.5 $8.0 $8.0 $8.0 $8.0

Inflation Adjusted $5.0 $5.2 $5.3 $5.3 $5.4 $5.4 $5.4

$2

$3

$4

$5

$6

$7

$8

$9

Departmental Program Evaluation

FY 2010 Inflation Adjusted BA vs. FY 2010-FY 2016 Enacted BA

(Dollars in millions)
TAB 5: Evaluation Reports

25

TAB 5: EVALUATION REPORTS

Released Between August 2015 and August 2016

Report Title Release Date

Understanding Adult Subpopulations Served by Workforce Investment 

Programs

August 2015

Administrative Data Research and Analysis Project (ADRA) Federal Agency 

Targeting Inspection (FEDTARG) Program Study Final Report

September 

2015

Providing Services to Veterans Through the Public Workforce System: 

Descriptive Findings from WIA Gold Standard Evaluation

October 2015

Paid Family Leave, Fathers' Leave Taking, and Leave-Sharing in Dual-Earner 

Households

November 

2015

The United Services Military Apprenticeship Program (USMAP) November

2015

A Review of the Literature Related to Homeless Veteran Reintegration: Final 

Report

November 

2015

Assessing Rhode Island's Temporary Caregiver Insurance Act: Insights form a 

Survey of Employers

January 2016

Women Veteran Economic and Employment Characteristics February 2016

Some Implications of The Changing Structure of Work For Worker Retirement 

Security, Pensions and Healthcare

March 2016

The Changing Structure of Work: Implications for Workplace Health and 

Safety in the US

March 2016

Domestic Outsourcing in the U.S.: A Research Agenda to Assess Trends and 

Effects on Job Quality

March 2016

Sector-Based Training Strategies: The Challenges of Matching Workers and 

Their Skills to Well-Paying Jobs

March 2016

Additional Unemployment Compensation Benefits During the Great Recession: 

Recipients and Their Post-Claim Outcomes

March 2016

States' Decisions to Adopt Unemployment Compensation Provisions of the 

American Recovery and Reinvestment Act

March 2016

Encouragement Emails Increase Participation in Reemployment Services April 2016

Single Email prompts Individuals to Increase Retirement Savings April 2016

Pilot OSHA Citation Process Increases Employer Responsiveness April 2016

The Department of Labor 2015 Scholars Program Working Paper Series April 2016

Understanding the Prevalence and Returns to Working Long Hours and the 

Gender Pay Gap: Evidence Across Countries - Patricia Cortés

April 2016

The Demands and Resources of Work and Family: A Longitudinal Study of 

their Effects on the Risk of Injuries in the Workplace - Amit Kramer

April 2016
TAB 5: Evaluation Reports

26

Examining Differences by Ethnicity in the Propensity to File for Workers' 

Compensation Insurance - Melissa McInerney

April 2016

Changing Patterns of Work and Poverty During and After the Great Recession -

Brian Thiede

April 2016

The Effect of Marketing on Demand for OSHA's On-site Consultation Program April 2016

Evaluation of the Occupational Safety and Health Administration's Site-Specific 

Targeting Program Final Report

June 2016

Understanding Attitudes on Paid Family Leave: Discussions with Parents and 

Caregivers in California, New Jersey and Rhode Island

July 2016

Leaving it to the Family: the Effects of Paid Leave on Adult Child Caregivers July 2016

Exploring Reemployment Strategies for Army Veterans: Implementation of 

State Pilots

July 2016